This Legal Advisory provides answers to frequently asked questions about the gift exception for widely attended gatherings (WAGs) found at 5 C.F.R. § 2635.204(g).

Depending on your perspective, the conclusion of the Presidential election can feel like an ending or a beginning.

This Legal Advisory discusses SGE day counting for the purposes of travel days and when the SGE has past regular Government service.

This Legal Advisory discusses: (1) the subpart C framework for gift-giving between employees, including use of the special infrequent occasion exception in times of crisis; (2) guidance for employees seeking to solicit donations for themselves and others (including the use of crowdsourcing websites in the federal workplace); and (3) considerations for specific types of donations, including in-kind gifts, gifts of cash, and leave donation.

The symbiotic relationship between OGE and the Inspectors General is vital to the success of our government.

This Legal Advisory reviews the elements of 18 U.S.C. §§ 203 and 205(a)(1), common types of payments that may implicate the statutes, and resolutions for when such payments arise.

This Program Advisory provides a summary of the changes in the 2024 revised Guide to Drafting Nominee Ethics Agreements.

This Legal Advisory discusses common ethics issues that may arise for current and former executive branch employees who are serving on a presidential transition team (PTT). This includes the application of the ethics rules concerning representational activity, nonpublic information, and receipt of payments and gifts from the PTT.

The executive branch ethics community is working diligently and will be ready to support incoming leaders of a new Administration in being ready to serve their country, while committing to the highest ethical standards.

This Legal Advisory provides guidance on when “thematic” mutual funds are “sector funds” for purposes of the regulatory exemptions to 18 U.S.C. § 208.

On May 17, 2024, the U.S. Office of Government Ethics (OGE) published a final rule revising the Standards of Ethical Conduct for Employees of the Executive Branch (5 C.F.R. part 2635), and a Legal Advisory highlighting some of the notable changes effectuated by the rulemaking. As of August 15, 2024, the final rule is now in effect.

OGE publishes its annual survey of prosecutions involving the conflict of interest criminal statutes and other related statutes for calendar year 2023.

This Legal Advisory explains the impact of the pay rate cap applicable to noncareer officials for 2024 on the application of the senior employee post-Government employment restrictions under 18 U.S.C. § 207(c).

This program advisory provides an advance copy of the Annual Agency Ethics Program Questionnaire, explains how and when agencies must submit their response, describes the changes made from the previous questionnaire, and reminds agencies of the public availability of the questionnaire

This Program Advisory announces the U.S. Office of Government Ethics' (OGE) plan to list information about individuals who receive conflict of interest waivers (waivers) issued under 18 U.S.C. § 208(b)(1) in its Officials’ Individual Disclosures Search Collection (Collection). This Advisory describes why, how, and when OGE will make this information available, and reminds agencies that they may withhold from public disclosure information that would be exempt from disclosure under the Freedom of Information Act (FOIA).

Maintaining the public’s trust is a shared responsibility between OGE and the 5,300 ethics officials supporting 2.7 million employees across more than 140 executive branch agencies.

This Legal Advisory discusses the application of the terms “organization” under 18 U.S.C. § 208 and “person” under 5 C.F.R. § 2635.502 for employees with outside employment interests with state and local government entities.

In this Program Advisory, OGE asks each agency to forward its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.

The final rule revises the Standards based on OGE’s experience gained from applying the regulation since its inception, input gathered during the public comment period, as well as feedback from ethics officials over the years. It also incorporates past interpretive guidance, improves clarity, modernizes regulatory examples to make them more relevant and inclusive, updates citations, and corrects technical deficiencies.

The final rule making modernization updates to the Standards of Ethical Conduct for Employees of the Executive Branch (Standards) becomes effective on August 15, 2024. This Legal Advisory highlights some of the notable updates to the Standards which will go into effect at that time.

The U.S. Office of Government Ethics (OGE) has published a final rule revising the Standards of Ethical Conduct for Employees of the Executive Branch (5 C.F.R. part 2635), and a Legal Advisory highlighting some of the notable changes effectuated by the rulemaking.

Across 140+ executive branch agencies, more than 26,000 public financial disclosure reports are due to be filed today by senior government leaders.

Public service provides the chance to affect thousands of people's lives for the good, on a daily basis. Our profession allows us to reaffirm every day our values of honesty, respect, fairness, equity, innovation, and compassion.

This Legal Advisory discusses the exceptions to 18 U.S.C. §§ 203 and 205 for representational contacts made by an employee when acting as a personal fiduciary of an individual or their estate.

This Program Advisory provides filing deadlines for the public financial disclosure reports of executive branch employees and procedures for the reports agencies are required to transmit to the U.S. Office of Government Ethics.

This Legal Advisory highlights the potential conflict of interest risks and financial disclosure reporting challenges for employees who invest in managed accounts, including those managed by robo-advisors.

During Sunshine Week (March 10 – 16) and beyond OGE works hard to facilitate transparency by making ethics documents publicly available and raising the American public’s awareness about the systems in place to prevent conflicts of interest and mechanisms available to hold their government accountable.

By the end of today, the nearly one-in-five civilian executive branch employees required to complete a confidential financial disclosure will have filed their reports, which are vital to the integrity of government.

This Legal Advisory discusses the changes in the updated Public Financial Disclosure Guide.

This Legal Advisory discusses the application of certain ethics rules to several Bitcoin exchange-traded products (“Bitcoin ETPs”). As described in the Legal Advisory, these Bitcoin ETPs do not qualify for regulatory exemptions to the conflict of interest law 18 U.S.C. § 208. The Bitcoin ETPs do qualify as excepted investment funds for purposes of financial disclosure reporting.

This Legal Advisory identifies the 2024 thresholds for: (1) determining which senior employees are subject to the post-employment restrictions; (2) identifying which officers and employees must file public financial disclosure reports; and (3) implementing the outside employment and outside earned income restrictions for certain covered noncareer employees.

Each month in 2024, OGE will host offerings (virtual and in-person) to build knowledge and skills ethics officials need to successfully navigate the periods prior to and after a Presidential election.  All the content ethics officials would receive over a week-long event will be delivered throughout the year closer to the time that they are likely to need to apply it. Additionally, OGE will offer opportunities to exchange program practices and build their professional network.

I am grateful to the millions of federal employees, thousands of ethics officials, and entire OGE staff for their collective work to protect the public trust.

The Legal Advisory discusses OGE’s approach to resolving potential conflicts of interest and other ethics issues for nominees for Presidentially appointed, Senate-confirmed positions.

Although the Thanksgiving holiday is behind us, the time for giving and gratitude continues. With the joys of the season, so too come the gift-related challenges.

While you might associate OGE with the review and certification of public financial disclosures of senior executive branch officials, we are also responsible for another important group of filers: candidates for President and Vice President of the United States (candidates).

This Legal Advisory discusses the changes in the updated Confidential Financial Disclosure Guide.

Being ready to assist new leaders to take on their responsibilities free from ethics concerns requires OGE and every executive branch agency to plan and prepare.

Thursday, October 26th will mark the 45th anniversary the Ethics in Government Act being signed into law, creating the U.S. Office of Government Ethics and the ethics program it oversees designed to prevent conflicts of interest.

In support of OGE's equity efforts, this Program Advisory requests your participation in a short, four-question survey to identify the current demographics of the federal employees who implement the executive branch ethics program. OGE will use the results of this survey to compare to the 2021 results, to better understand the composition of the ethics community, to inform its DEIA Strategic Plan, and to tailor and create recruitment, retention, and professional development strategies for ethics practitioners.

This Legal Advisory provides frequently raised questions and answers concerning the application of the Federal ethics laws to employees’ use of personal professional networking accounts and monetized personal social media activities.

This Legal Advisory provides guidance on when an employee may have a disqualifying financial interest under 18 U.S.C. § 208 arising from ownership of digital assets.

Maintaining the public’s trust is a shared responsibility between OGE and executive branch agencies.

This Program Advisory provides an advance copy of the Annual Agency Ethics Program Questionnaire, explains how and when agencies must submit their response, describes the changes made from the previous questionnaire, and reminds agencies of the public availability of the questionnaire.

OGE has completed its annual survey of prosecutions involving the conflict of interest criminal statutes and other related statutes for calendar year 2022.

OGE keeps an eye on the health of the executive branch ethics program in a number of ways.

This Legal Advisory provides guidance on the application of several ethics laws and regulations to detailees between executive branch agencies, including in relation to agency supplemental regulations, the Standards of Conduct, financial disclosure filing, and required ethics training.

This Legal Advisory provides guidance regarding the availability of the exemptions found at 5 C.F.R. part 2640, subpart B, when an agency waives its prohibited holding rule.

In July, when we celebrate our nation’s beginnings, and the public service that independence needs to prosper, I will conclude my term as OGE’s Director.

This Legal Advisory discusses the recent amendments to the gifts and travel reimbursements reporting thresholds at 5 C.F.R. §§ 2634.304 and 2634.907(g) and the widely attended gatherings gift exception ceiling for nonsponsor gifts of free attendance at 5 C.F.R. § 2635.204(g)(3).

The Legal Expense Fund regulation found at subpart J creates an established process for employees to accept pro bono legal services for matters arising in connection with their official position. This legal advisory provides guidance to ethics officials on how employees may accept pro bono legal services under the newly published Legal Expense Fund Regulation, 5 C.F.R. part 2635, subpart J.

Today marks 30 days since the majority of the 2023 annual public financial disclosure reports were due to ethics offices across the executive branch.

In this Program Advisory, OGE asks each agency to forward its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.

This Legal Advisory describes changes in OGE’s updated Compilation of Federal Ethics Laws.

This Legal Advisory provides an overview of the Legal Expense Fund Regulation at 5 C.F.R part 2635, subpart J.

When I was confirmed nearly five years ago, I committed to issuing a regulation governing legal expense funds (LEF) for executive branch employees. Today, OGE published that rule.

Across 130+ executive branch agencies, more than 25,000 public financial disclosure reports are due to be filed today by senior government leaders.

This Program Advisory provides filing deadlines for the public financial disclosure reports of executive branch employees and procedures for the reports agencies are required to transmit to the U.S. Office of Government Ethics.

Recent surveys show that the public’s trust in its government is lower now than it has been at nearly any point in our nation’s recent history.

This Program Advisory reminds Presidential candidates about the filing deadline for public financial disclosure reports and the certification process. It also explains how to request a copy of a candidate financial disclosure report.

Transparency plays an essential role in strengthening trust in government.

The Office of Government Ethics is revising the “Request an Individual’s Ethics Documents” form (OGE Form 201). The purpose of the changes is to (1) make the form more appropriate for use throughout the executive branch, and (2) provide applicants with clarifying information about the use of the form.

The U.S. Office of Government Ethics (OGE) has published a proposed rule revising the Standards of Ethical Conduct for Employees of the Executive Branch (5 C.F.R. part 2635).

This Legal Advisory provides a high-level summary of notable legislation in the 117th Congress.

On and around February 15th, hundreds of thousands executive branch employees will file confidential financial disclosure reports.

This month, I sent a video message to the thousands of officials who carry out the ethics program across the executive branch.

This Legal Advisory provides guidance on how the Federal ethics rules and conflict of interest statute at 18 U.S.C. § 208 apply to use of official social media accounts by executive branch employees.

This Legal Advisory discusses the application of the outside earned income limitations to mining, staking, and delegated staking of cryptocurrency.

On December 27, 2022, the President signed Public Law 117-286 into law. This law moved the Ethics in Government Act from the Appendix to title 5 of the U.S. Code to a new chapter 131 in title 5. This Program Advisory describes the recodification and includes a section-by-section citation comparison.

This Legal Advisory identifies the 2023 thresholds for: (1) determining which senior employees are subject to the post-employment restrictions; (2) identifying which officers and employees must file public financial disclosure reports; and (3) implementing the outside employment and outside earned income restrictions for certain covered noncareer employees.

As the holiday season arrives, OGE recognizes that gifts are an important part of many cultures and traditions. So, why then do the executive branch ethics rules prohibit accepting some gifts and what should you do if you are an employee who is offered one?

This Program Advisory provides an overview of OGE’s new professional development opportunities, as well as ongoing offerings.

Provide your input on potential improvements to the executive branch public and confidential financial disclosure forms.

One of OGE’s goals in its Equity Action Plan is to improve equitable access to ethics records available under the Ethics in Government Act.

This Legal Advisory provides guidance on the application of the post-employment restrictions in the ethics pledge in Executive Order 13989 to appointees who signed the ethics pledge.

OGE’s mission is one of prevention. That doesn’t mean that OGE does not act when it becomes aware of potential ethics risks in executive branch agencies.

Ethics is a mission that is important to everyone in our country. Whether you are a taxpayer, a Social Security recipient, a grantee, or a policy advocate, good and ethical government is important to you.

Ethical culture can seem like a vague concept and fostering an ethical culture may seem to make as much sense as trying to bottle sunshine.

Over the coming months, OGE leaders will publish Leadership Notes expanding upon the four new strategic objectives in the Plan.

This Program Advisory provides an advance copy of the Annual Agency Ethics Program Questionnaire, explains how and when agencies must submit their response, describes the changes made from the previous questionnaire, and reminds agencies of the public availability of the questionnaire.

“Why doesn’t OGE do more ethics investigations?” It is a fair question, with a good answer.

OGE has completed its annual survey of prosecutions involving the conflict of interest criminal statutes and other related statutes for calendar year 2021.

This Legal Advisory discusses financial disclosure reporting considerations for collectible Non-Fungible Tokens (NFTs) and Fractionalized Non-Fungible Tokens (F-NFTs).

This Legal Advisory discusses the application of the 18 U.S.C. § 208 securities and mutual fund exemptions to cryptocurrency, stablecoins, and related investments.

One of our fundamental principles of ethical conduct in the executive branch requires the more than two million federal employees to provide equal opportunities to all Americans when carrying out their work.

In this Program Advisory, OGE asks each agency to forward its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.

This Legal Advisory discusses the application of the financial disclosure and conflict of interest rules to mutual funds purchased through the Thrift Savings Plan mutual fund window.

This is an important time of year for government ethics. Every May, approximately 26,000 senior government employees are required to file public financial disclosure reports.

There is a very special subset of public servants who work tirelessly to protect the trust between the American people and their government: ethics officials.

This Legal Advisory clarifies that pursuant to the sector fund exemption, an employee may participate in a particular matter that affects a non-sector line of business or subsidiary of a company that operates within the sector that is the focus of the fund.

This Program Advisory provides filing deadlines for the public financial disclosure reports of executive branch employees and procedures for the reports agencies are required to transmit to the U.S. Office of Government Ethics.

This Program Advisory announces an upcoming data call for agency practices related to the release of ethics documents under the Ethics in Government Act.

I am honored to present the Strategic Plan for the United States Office of Government Ethics for 2022-2026.

Transparency plays an essential role in strengthening trust in government. Without this transparency, you could not meaningfully oversee the integrity of its government. This is why OGE works every day to make sure that you have access to information about the executive branch and its leaders.

Today, a very important aspect of reducing risk and mitigating conflicts of interest in the executive branch happens across the executive branch as nearly 400,000 employees begin to file confidential financial disclosures with their agency ethics officials for review.

This Legal Advisory identifies the 2022 thresholds for: (1) determining which senior employees are subject to the post-employment restrictions; (2) identifying which officers and employees must file public financial disclosure reports; and (3) implementing the outside employment and outside earned income restrictions for certain covered noncareer employees.

As we welcome the New Year, this is a time of significant endings and important beginnings within the executive branch ethics program that keep it strong and working to prevent conflicts of interest.

Giving and receiving gifts is common to many cultures around the world for marking joyous occasions, holidays, or even mourning. So why, if gift exchanges are so common, do the executive branch ethics rules prohibit accepting some gifts?

OGE’s review teams regularly evaluate each executive branch agency’s ethics program.

This Legal Advisory announces the issuance of updated guidance to assist ethics officials in identifying and analyzing potential conflicts of interest that can arise from various financial interests. This series of documents covers various types of financial interests, as well as interests arising from employment and employment-related assets, and is available on OGE’s website.

This Program Advisory requests the input of Federal employees who implement the executive branch ethics program. OGE will use the results of the survey to inform its Equity Action Plan and to tailor the professional development opportunities it provides to ethics officials.

In this Legal Advisory, OGE publishes a letter to an agency DAEO that discusses the risks that may arise when agency employees mix official agency content with personal posts from their personal social media accounts.

This Program Advisory explains how and when to submit the questionnaire response, describes the changes made from the 2020 questionnaire, and provides executive branch agencies with an advance copy of the 2021 questionnaire. The advance copy provides agencies time to coordinate among their ethics officials, human capital officers, and Inspectors General in order to prepare complete and accurate responses. In addition, this Advisory explains how OGE uses the data and reminds agencies of the public availability of the questionnaire responses.

By leveraging data, OGE hopes to reduce risk, increase our impact, and reach our important goal of preventing conflicts of interest in the executive branch — all while enabling you to see for yourself how the ethics program is doing.

OGE has completed its annual survey of prosecutions involving the conflict of interest criminal statutes and other related statutes for calendar year 2020.

Sometimes employees need help understanding ethics rules. When they do have questions, they have someone to call for help: an agency ethics official.

OGE Seeks Your Feedback on its Draft Strategic Plan

This Legal Advisory explains new language in the ethics pledge that pertains to incoming appointees and memorializes OGE’s interpretation of language common to this ethics pledge and prior ethics pledges to reflect advice that OGE has provided in the past.

In this Program Advisory, OGE asks each agency to forward its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.

Every day, government leaders make decisions that will have profound effects on the lives of their fellow citizens.

During this Public Service Recognition Week, I am grateful for each and all of the contributions, big and small, made by public servants to help our nation weather the Covid-19 pandemic.

This Program Advisory provides filing deadlines for the public financial disclosure reports of executive branch employees and procedures for the reports agencies are required to transmit to the U.S. Office of Government Ethics.

Summary of the ethics provisions that apply to Special Government Employees (SGEs)

The U.S. Office of Government Ethics (OGE) has a unique and important relationship with Congress.

This Legal Advisory summarizes key legislation from the 116th Congress, including legislation that has been reintroduced in the current Congress. This Legal Advisory highlights enacted or proposed legislation that is relevant to the executive branch ethics program and relevant to specific agencies. This Legal Advisory also provides the updated Compilation of Federal Ethics Laws.

How can citizens know that their government leaders are following through on their ethics commitments? The answer: ethics agreements and ethics agreement compliance certifications.

This Program Advisory describes recent updates to the Certification of Ethics Agreement Compliance (Certification) required to be filed with the OGE by Presidential appointees following their confirmation by the Senate.

This Legal Advisory compares Executive Order 13989 to two prior Executive Orders containing ethics pledges – Executive Order 13770 and Executive Order 13490. The attached table identifies past OGE guidance relating to E.O. 13770 or E.O. 13490 that may be relied upon with respect to E.O. 13989.

This Legal Advisory provides guidance to agency heads and Designated Agency Ethics Officials on the application of section 3 of Executive Order 13989.

There are hundreds of thousands of federal employees who award contracts, conduct investigations, administer grants, and review licensing applications. How can we know that they are acting in the public’s interest and not being influenced by their private financial holdings? The answer is the confidential financial disclosure system.

I am continuing OGE’s practice and my commitment to advancing ethical leadership by sending a letter discussing these important responsibilities to each incoming Presidential appointee as they are confirmed by the Senate.

On January 20, 2021, President Biden signed an Executive Order titled “Executive Order on Ethics Commitments by Executive Branch Personnel.” Pursuant to the Executive Order, OGE is providing a copy of the Ethics Pledge and a link to the Executive Order. The Legal Advisory also addresses the revocation of Executive Order 13770.

The dedicated career professionals in the ethics community provide a thread of experience and certainty between administrations, and they will not be deterred from their important work.

This Legal Advisory briefly describes Real Estate Investment Trusts (REITs), Master Limited Partnerships (MLPs), and Business Development Companies (BDCs), and provides guidance on the financial disclosure reporting requirements and conflicts of interest analysis applicable to each of these assets. Ethics officials should consider REITs and MLPs as operating businesses and BDCs as investment funds, and report and analyze them accordingly. The appendices to this document serve as a quick reference for disclosure guidance and conflicts of interest analysis for these assets.

This Legal Advisory identifies the 2021 thresholds for: (1) determining which senior employees are subject to the post-employment restrictions; (2) identifying which officers and employees must file public financial disclosure reports; and (3) implementing the outside employment and outside earned income restrictions for certain covered noncareer employees.

This Legal Advisory reminds executive branch employees of the gifts and fundraising rules relevant to 2021 Presidential Inaugural events.

This Legal Advisory addresses recurring questions about the gifts analysis for virtual events. The Legal Advisory clarifies that ethics officials should analyze virtual events under the same framework as in-person events.

This Legal Advisory provides guidance on the post-Government employment restrictions applicable to employees who signed the Ethics Pledge under E.O. 13770. The advisory expands on the post-Government employment guidance included in LA-17-03.

On this day in 1978, President Carter signed the Ethics in Government Act, which created the United States Office of Government Ethics (OGE) and the public financial disclosure system for the United States Government.

This Legal Advisory provides guidance on certain types of communications, made without an intent to influence, that OGE views as permissible under 18 U.S.C. § 205(a)(2). The Legal Advisory clarifies that submitting certain applications or forms on behalf of another is permissible if employees’ submissions consist of factual information and seek routine action that do not contain an appreciable element of dispute.

This Legal Advisory provides answers to frequently asked questions for employees engaged in crowdsourced fundraising. The advisory addresses a range of topics, including determining when gifts are based on an employee's official position and accepting donations from fundraising campaigns started by others.

This Legal Advisory provides guidance on recurring book deals issues relevant to incoming and outgoing employees that OGE did not directly address in OGE DAEOgram DO-08-006. Specifically, this Advisory shares guidance provided by OGE since 2008 relating to the ability of employees, during government service, to: (1) receive compensation for updating a textbook or other book that was initially written prior to government service; (2) engage in promotional activities as part of a book deal; and (3) try to sell a book idea or “shop a book around.”

Welcome to OGE’s wholly new website. OGE hopes the new navigation, search collections, and content strengthen the executive branch ethics program, increase transparency, and improve accountability.

This Program Advisory explains how and when to submit the questionnaire response, describes the changes made from the 2019 questionnaire, and provides executive branch agencies with an advance copy of the 2020 questionnaire. In addition, this Advisory explains how OGE uses the data and reminds agencies of the public availability of the questionnaire.

Ethics agreements are designed to ensure that incoming officials are free from the kinds of financial entanglements that could compromise their objectivity or prevent them from performing their duties.

This Program Advisory details the recent revisions to the OGE/GOVT-1 and OGE/GOVT-2 governmentwide systems of records covering ethics records. The changes included several new and modified routine uses.

This Program Advisory announces the revised Guide to Drafting Nominee Ethics Agreements and provides an overview of the changes. It also has an attached table that lists the revised and new samples.

When government officials abuse public office for their own enrichment, they may face a variety of consequences, from administrative sanctions to prison time.

OGE has completed its annual survey of prosecutions involving the conflict of interest criminal statutes and other related statutes for calendar year 2019.

This Legal Advisory discusses the recent amendments to the gifts and travel reimbursements reporting thresholds at 5 C.F.R. §§ 2634.304 and 2634.907(g) and the widely attended gathering (WAG) gift exception ceiling for nonsponsor gifts of free attendance at 5 C.F.R. § 2635.204(g)(3).

Congress established the Office of Government Ethics in 1978 to be the policy and prevention body for ethics in the executive branch. At the same time, Congress saw a need for specialized investigators to help detect and combat waste, fraud, and abuse in the executive branch.

In this Program Advisory, OGE asks each agency to forward its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.

May 15 is the deadline for filing public financial disclosure reports. This year, nearly all of those reports will be filed using Integrity, OGE’s public financial disclosure filing system – a fully virtual system that enables continuity during this time of disruption.

This Public Service Recognition Week, I hope that you will take some time to thank the public servants in your life.

This Legal Advisory reminds agency ethics officials that under 18 U.S.C. § 208, an employee may not participate in any particular matter that would have a direct and predictable effect on the financial interests of a company in which the employee (or any imputed person) owns stock, not merely those particular matters that would affect the stock price.

In light of the COVID-19 pandemic, this Program Advisory clarifies that OGE is not requiring or encouraging PAS officials to meet “in person” with a qualified ethics official to satisfy the regulatory requirement found in 5 C.F.R. § 2638.305 or the requirement in their ethics agreements.

Yesterday, I sent a memo to the heads of all executive branch agencies asking them to take affirmative steps to remind their agency officials and employees of the importance of ethics in government.

This Program Advisory provides filing deadlines for the public financial disclosure reports of executive branch employees and procedures for the reports agencies are required to transmit to the Office of Government Ethics.

This Program Advisory provides suggestions for maintaining ethics program continuity during the disruptions caused by the COVID-19 pandemic.

Today, Director Rounds kicked off the 2020 National Government Ethics Summit, which will provide attendees with opportunities to deepen their knowledge of ethics laws and learn about the latest in ethics program practices.

The Summit will provide attendees with opportunities to deepen their knowledge of the ethics laws and rules, learn about the latest in ethics program practices, prepare for the next presidential election, and listen to viewpoints from experts outside government.

This Legal Advisory shares recently-updated and newly-developed resources relating to agency supplemental ethics regulations. These resources are designed to assist agency ethics officials who might have questions regarding supplemental ethics regulations, or who have an interest in adopting or modifying such regulations for their agencies.

As we say “goodbye” to 2019, OGE looks forward to some exciting challenges in 2020.

This Legal Advisory identifies the 2020 thresholds for: (1) determining which senior employees are subject to the post-employment restrictions; (2) identifying which officers and employees must file public financial disclosure reports; and (3) implementing the outside employment and outside earned income restrictions for certain covered noncareer employees.

This Program Advisory reminds agencies of annual public financial disclosure deadlines, explains reasons why OGE may decline to certify a report, and provides additional information on year-end status letters.

This Program Advisory announces a data call for agency practices related to providing ethics advice and counsel and attaches an advance copy of the questions that will be asked. The information requested must be submitted to the U.S. Office of Government Ethics (OGE) by December 6, 2019.

Today marks 41 years since the passage of the Ethics in Government Act of 1978, which created the Office of Government Ethics and its public financial disclosure system. 

This Program Advisory provides executive branch agencies with an advance copy of the 2019 Annual Agency Ethics Program Questionnaire to allow agencies time to coordinate between the ethics officials, human capital officers, and Inspectors General in order to prepare complete and accurate responses.

Without the trust of its people this nation cannot succeed. When I was sworn in as Director of the United States Office of Government Ethics one year ago, I remarked upon the enormity of this Office’s mission.

OGE has revised the suggested format for agencies to use when requesting Certificates of Divestiture. These revisions incorporate the changes in 5 C.F.R. part 2634, subpart J, which became effective on January 1, 2019. Use of the format remains optional.

This Legal Advisory discusses how mutual funds invested in the information technology and internet fields are treated for purposes of certain regulatory exemptions to 18 U.S.C. § 208. The Legal Advisory revises the guidance contained in OGE Informal Advisory Opinion 00x8 and OGE DAEOgram DO-00-030.

Making and following through on ethics agreements is an important step in preventing conflicts of interest; this is where ethical obligations become action.

OGE has completed its annual survey of prosecutions involving the conflict of interest criminal statutes and other related statutes for the period January 1, 2018 through December 31, 2018.

This Program Advisory reminds ethics officials that modifications to Presidentially appointed, Senate-confirmed officials’ (PAS officials) ethics agreements require prior approval from OGE and outlines the steps OGE will take if a PAS official fails to comply timely with his or her ethics agreement.

This Program Advisory asks each agency to forward to OGE its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.

I recently sent a memo to the heads of all executive branch agencies reminding them of their responsibility to foster an ethical culture and to ensure the success of their agency’s ethics program.

This Program Advisory provides executive branch agency heads with templates to use when designating a federal employee to serve as the Designated or Alternate Designated Agency Ethics Official (DAEO/ADAEO) of their agency. These templates should be used going forward for all new designations.

OGE’s supporting role was particularly vital during the 115th Congress, which considered a large number of presidential nominations and introduced a record amount of legislation related to ethics, trends which continue into the current Congress.

This Program Advisory announces deadlines for the public financial disclosure reports of executive branch employees and procedures for those reports agencies are required to transmit to OGE.

This Legal Advisory summarizes relevant legislative activity from the 115th Congress, during which members introduced more legislation that referenced ethics officials than any previous Congress and more legislation that referenced the Ethics in Government Act than any Congress since the 101st Congress.

This Legal Advisory describes the changes in OGE’s updated Compilation of Federal Ethics Laws. The 115th Congress passed legislation affecting ethics and other government integrity statutes contained in the Compilation.

This Legal Advisory identifies the 2019 thresholds for: (1) determining which senior employees are subject to the post-employment restrictions; (2) identifying which officers and employees must file public financial disclosure reports; and (3) implementing the outside employment and outside earned income restrictions for certain covered noncareer employees.

This Program Advisory advises Designated Agency Ethics Officials of ways that they can use the ethics education regulations to maximize the effectiveness of their ethics education programs.

This Program Advisory is a call for data to revise and expand the resource currently named the DAEO List, which is published on the website of the U.S. Office of Government Ethics (OGE).

This Program Advisory reminds Presidential candidates about the filing deadline for public financial disclosure reports and the certification process. It also explains how to request a copy of a candidate financial disclosure report.

This Program Advisory announces deadlines for the certification by the U.S. Office of Government Ethics of public financial disclosure reports of executive branch employees for those reports agencies are required to transmit to OGE. The deadlines are being extended because of the partial government shutdown.

For our democracy to function, citizens must be able to learn what and how their government is doing.

This Legal Advisory provides answers to frequently asked questions (FAQs) to assist employees and ethics officials in navigating the common situations employees in non-pay status may face during a lapse. This guidance is specifically focused on gifts, crowdsourcing, and outside employment.

This Program Advisory extends the 2019 annual deadline for confidential financial disclosure reports due from filers at agencies affected by the partial government shutdown to March 15, 2019.

This Legal Advisory urges ethics officials to remind employees that ethics laws and regulations will continue to apply to them while in a furlough status in the event of a lapse in appropriations.

OGE Director begins meeting with the heads of executive branch agencies

This Program Advisory highlights changes to the public and confidential financial disclosure forms necessitated by the recent revision of 5 C.F.R. part 2634. The revised forms go into effect January 1, 2019.

This Program Advisory reminds Designated Agency Ethics Officials of their obligation to promptly make available copies of public financial disclosure reports filed with their agency.

This Legal Advisory announces the release of a revised Public Financial Disclosure Guide and Confidential Financial Disclosure Guide and outlines the changes to both guides. A revision of the guides was necessitated by the revision of 5 C.F.R. part 2634, which contains the rules for Executive branch financial disclosure.

This Legal Advisory discusses gifts of farewell receptions provided to government employees by former employers. The Legal Advisory also updates and modifies advice provided in OGE Informal Advisory Opinion 94x2.

This week, OGE gathered with a group of senior ethics officials from throughout the executive branch to mark this anniversary and the beginning of the modern government ethics program.  

Today I sent a memo to the heads of all executive branch agencies asking them to support ethics in government. 

This Legal Advisory clarifies the meaning of “political entity” for financial disclosure purposes. For purposes of the Ethics in Government Act and 5 CFR part 2634, a political entity is a non-profit organized under section 527 of the Internal Revenue Code.

This Legal Advisory provides guidance regarding the annual report filing requirements that apply to public filers who change agencies or branches within the Federal government. The Legal Advisory clarifies which employees must file an annual public financial disclosure report, with what agency or branch the employee must file, what agency or branch certifies the report, and if the report should be sent to OGE for certification.

This Legal Advisory reminds agency ethics officials of their responsibility to help ensure that an employee’s acceptance of a gift to provide for legal expenses is done in accordance with the limitations of the gift rules. Agency ethics officials should take special care when counseling employees on whether the gift is from a prohibited source as defined in 5 C.F.R. § 2635.203(d), due to the heightened appearance concerns unique to an employee’s acceptance of this type of gift.

This Legal Advisory provides guidance regarding the updates to 5 C.F.R. part 2634, which covers Executive branch financial disclosure, Qualified Trusts, and Certificates of Divestiture. Attached to the Legal Advisory is a table detailing the changes.

I am honored to lead the U.S. Office of Government Ethics. There are few more important duties in government than protecting the public’s trust.

On August 2, 2018, Mr. Emory A. Rounds, III, was sworn into office as Director of the U.S. Office of Government Ethics.

OGE has completed its annual survey of prosecutions involving the conflict of interest criminal statutes and other related statutes for the period January 1, 2017 through December 31, 2017.

For the last forty years, OGE and agency Offices of Inspectors General (OIGs) have worked together to ensure that the American public can have confidence in the integrity of its government.

This Program Advisory announces proposed revisions to the public and confidential financial disclosure forms. Comments are due by September 10, 2018.

This Legal Advisory discusses waivers under 18 U.S.C. § 208(b)(1) for an employee’s otherwise disqualifying financial interest arising from intellectual property rights.

In the wake of the Watergate scandal Congress sought to rebuild the public’s trust, in part, by giving citizens access to financial disclosure reports filed by senior government officials. OGE’s Deputy Director for Compliance discusses how this system works.

This Legal Advisory announces the issuance of guidance to assist ethics officials in identifying and analyzing potential conflicts of interest that can arise from various financial interests. These guidance documents cover various types of financial interests, as well as interests arising from employment and employment-related assets, and are available on OGE’s website.

This Legal Advisory clarifies that for purposes of financial disclosure reporting, virtual currency is property held for investment or the production of income and must be reported on employees' financial disclosure reports. Ethics officials should review virtual currency holdings for potential conflicts of interest.

At the U.S. Office of Government Ethics (OGE) we oversee the executive branch ethics program designed to prevent conflicts of interest and ensure that the public’s business is conducted impartially. To succeed, we need your help. 

In this Legal Advisory, OGE asks each agency to forward to OGE its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.

This Public Service Recognition Week we honor our friends, neighbors, and family members in the public service who serve our nation with honor and integrity. Their work keeps us safe, healthy, and secure.

OGE is pleased to announce the launch of the Institute for Ethics in Government learning portal.

This Program Advisory announces deadlines for the public financial disclosure reports of executive branch employees and procedures for those reports agencies are required to transmit to the U.S. Office of Government Ethics. The deadlines and procedures apply to 2018 annual public financial disclosure reports that are due in May 2018 and cover calendar year 2017.

This Legal Advisory provides guidance on two important aspects of the Certificate of Divestiture (CD) Program: (1) the “reasonably necessary” divestiture standard in the context of current Executive branch employees who know they will be leaving Government service shortly and (2) the requirement that only an “eligible person” may sell property in order to qualify for the benefits of a CD.

OGE’s newly released five-year Strategic Plan reflects commitment to our important mission of preventing conflicts of interest in the executive branch.

This Legal Advisory discusses what constitutes “similar or related property” for purposes of the Certificate of Divestiture regulations.

When we become public servants-- custodians of the people's government--we take an oath.

This Legal Advisory urges ethics officials to remind employees that ethics laws and regulations will continue to apply to them while in a furlough status in the event of a lapse in appropriations.

This Legal Advisory clarifies the 2018 thresholds for: (1) determining which senior employees are subject to the post-employment restrictions; (2) identifying which officers and employees must file public financial disclosure reports; and (3) implementing the outside employment and outside earned income restrictions for certain covered noncareer employees.

OGE’s Acting Director reminds new senior executives of the critical importance of maintaining the public’s trust.

This Legal Advisory provides a copy of a court case involving the application of the Federal ethics laws to the acceptance of attorney's fees by an employee who is a client to litigation.

This Legal Advisory clarifies that the discussion in OGE Informal Advisory Opinion 93x21 concerning the acceptance of donations from anonymous sources does not, and has not, reflected OGE's views since shortly after the issuance of that opinion.

This program advisory notifies agencies of the requirement to provide OGE with copies of waivers issued under Executive Order 13770 as they are issued.

This Legal Advisory describes the application of the Federal ethics laws to student interns. As described in the Legal Advisory, the Federal ethics laws will have different application to student interns based on what legal authority they are hired under and whether they qualify as Special Government Employees or as Regular Employees.

OGE has completed its annual survey of prosecutions involving the conflict of interest criminal statutes and other related statutes for the period January 1, 2016 through December 31, 2016.

OGE’s Leadership Team will continue to use this space to talk directly to you about the Federal executive branch ethics program. Read past Director's Notes below.

This Legal Advisory discusses the recent amendments to the gifts and travel reimbursements reporting threshold at 5 C.F.R. §§ 2634.304 and 2634.907(g) and the widely attended gathering (WAG) gift exception ceiling for nonsponsor gifts of free attendance at 5 C.F.R. § 2635.204(g)(3).

Today, OGE released the waivers and authorizations collected from executive branch agencies pursuant to its April 28, 2017, data call. This Director's Note explains how to access the documents.

The Ethics in Government Act gives OGE the authority to collect executive branch records and information related to the ethics program. At the end of April, OGE announced that it was collecting copies of waivers and authorizations issued in the past 12 months to certain high-level executive branch officials. This Director's Note explains how OGE will release the documents it has collected.

In this Legal Advisory, OGE asks each agency to forward to OGE its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.

This program advisory reminds agencies of the upcoming deadline for producing waivers and authorizations.

The Office of Government Ethics (OGE) monitors ethics-related provisions of interest to the executive branch ethics program. This Legal Advisory highlights legislative activity from the 114th Congress affecting the executive branch ethics program.

This program advisory is to simplify and make uniform the process for reporting and monitoring compliance with ethics agreements. The adoption of the attached Certification of Ethics Agreement Compliance will also increase transparency regarding the actions that the executive branch's most senior leaders are taking to resolve potential conflicts of interest.

This feature allows OGE’s Director to talk to you directly about the Federal executive branch ethics program. Read past Director’s Notes below.

This program advisory is a data call for waivers and authorizations issued to certain appointees in the White House and other agencies from May 1, 2016 through April 30, 2017, under the following authorities: Executive Order 13770, Executive Order 13490, 18 U.S.C. § 208(b)(1), 5 C.F.R. § 2635.502(d), and 5 C.F.R. § 2635.503(c).

On April 18, 2017, OGE issued a Legal Advisory to assist agencies in identifying a “sponsor” of an event for purposes of the Free Attendance Exclusion and the Widely Attended Gatherings (WAG) Exception.

This Legal Advisory assists agencies in identifying a “sponsor” of an event for purposes of the Free Attendance Exclusion and the Widely Attended Gatherings (WAG) Exception to the gift rules in the Standards of Ethical Conduct at 5 C.F.R. § 2635.203(b)(8) and 5 C.F.R. § 2635.204(g).

This program advisory announces deadlines for the public financial disclosure reports of executive branch employees and procedures for the public financial disclosure reports of executive branch employees whose reports agencies are required to transmit to the U.S. Office of Government Ethics. The deadlines and procedures apply to 2017 annual public financial disclosure reports that are due in May 2017 and cover calendar year 2016.

This Legal Advisory identifies the parts of OGE’s past advisories on Executive Order 13490 that are applicable to Executive Order 13770 and provides additional guidance based on discussions with the Counsel to the President’s Office.

While the rest of the world is focused on Valentine’s Day in mid-February, the executive branch ethics program is focused on financial disclosure. Yesterday was the deadline for approximately 370,000 mid-level federal officials to file their annual confidential financial disclosure reports. Government ethics officials review every one of these reports, scouring them for potential financial conflicts of interest . This massive undertaking is an important part of the mechanisms in place to guard the integrity of the government’s operations.

This Legal Advisory makes available for agency use a copy of Executive Order 13770 and the Ethics Pledge form. It also explains the extent to which OGE’s legal advisories applicable to Executive Order 13490 may be read as being applicable to Executive Order 13770.

On January 1, 2017, new government ethics training regulations went into effect. These regulations now require agencies to train more employees than in the past. They also place a new emphasis on four core topics: conflicts of interest, impartiality, misuse of position, and gifts. Earlier “Director’s Notes” have discussed conflicts of interest , misuse of position , and gifts. To round out the set, this Director’s note focuses on the impartiality rule.

Executive branch employees are subject to an important set of ethics rules contained in the Standards of Ethical Conduct for Employees of the Executive Branch . These rules serve to guard the federal service against ethical problems that could undermine public confidence in the integrity of the government’s operations. They regulate such things as conflicts of interest, misuse of position, impartiality, and gifts.

On January 11, 2017, the U.S. Office of Government's Director, Walter Shaub, Jr., presented at the Brookings Institution. The full text of the speech is available here.

This Legal Advisory clarifies the 2017 thresholds for: (1) determining which senior employees are subject to the post-employment restrictions; (2) identifying which officers and employees must file public financial disclosure reports; and (3) implementing the outside employment and outside earned income restrictions for certain covered noncareer employees.

This program advisory discusses two new requirements involving notices that must be issued to prospective new employees and to new supervisors.

This program advisory discusses two new requirements involving notices that must be issued to prospective new employees and to new supervisors.

On December 21, 2016, OGE issued a Legal Advisory discussing the recent amendments to the provisions of the Standards of Ethical Conduct that govern gifts from outside sources, found at 5 C.F.R. 2635, Subpart B.

This Legal Advisory discusses the recent amendments to the provisions of the Standards of Ethical Conduct that govern gifts from outside sources, found at 5 C.F.R. part 2635, subpart B, and highlights the major substantive changes set forth in the final rule.

This Legal Advisory reminds agencies of the ethical requirements relevant to a Federal employee during the inauguration celebration, particularly those requirements regarding gifts.

This Legal Advisory provides interpretive guidance on the Stop Trading on Congressional Knowledge Act (STOCK Act) as it applies to the President, the Vice President, and certain executive branch employees.

This Program Advisory encourages agency ethics officials to remind political appointees and other public financial disclosure report filers about the notification requirements under the Stop Trading on Congressional Knowledge Act (STOCK Act). *attachment updated 12/23/2016 - fields now fillable on page 3, no content changes.

Today, OGE has published amended rules on gifts from outside sources. The amended rules make several important changes to strengthen the executive branch ethics program.

On November 18, 2016, OGE published a final rule revising the provisions of the Standards of Ethical Conduct that govern solicitation and acceptance of gifts from outside sources, found at 5 C.F.R. 2635, Subpart B. It is effective January 1, 2017.

This Legal Advisory announces a new job aid to help ethics officials familiarize themselves with the new government ethics education requirements under the revised 5 C.F.R. part 2638.

For the first time since 1981, OGE has issued a regulation overhauling the requirements for the executive branch ethics program. The new requirements include increased ethics training requirements for executive branch employees, and significant new responsibilities for executive branch officials with ethics-related responsibilities.

OGE has updated its procedures associated with referrals to the Department of Justice of possible violations of criminal conflict of interest laws.

The U.S. Office of Government Ethics is updating its procedures associated with referrals to the Department of Justice (DOJ) of possible violations of criminal conflict of interest laws. This Program Advisory describes the updated procedures, announces a revised OGE Form 202 (Notification of Conflict of Interest Referral), provides instructions for the office making the referral to DOJ, and provides instructions for the Designated Agency Ethics Official of the agency that employs the individual who is the subject of the referral.

On November 2, 2016, OGE published a final rule amending its regulations that govern the Executive Branch Ethics Program, which are found at 5 C.F.R. part 2638. The rule is a comprehensive revision that draws upon the collective experience of agency ethics officials across the executive branch and OGE as the supervising ethics office.

OGE is pleased to announce the release of a portfolio of education products that agency ethics officials can use for initial ethics orientations and annual ethics training

The U.S. Office of Government Ethics has posted on its website a new job aid to support Presidential nominees for positions requiring Senate confirmation (PAS nominees) in complying with applicable requirements for public financial disclosure. The aid, a collection of public financial disclosure review checklists, will also support agency ethics officials in reviewing PAS nominees’ financial disclosure reports.

The U.S. Office of Government Ethics (OGE) believes that ethics training is an important tool to help employees perform the government’s work with professionalism and integrity. To help agency ethics officials with this critical task, OGE is pleased to announce the release of a portfolio of education and training products agency ethics officials can use for initial ethics orientation and annual ethics training. These education products not only exceed the minimal regulatory requirements, but were specifically designed to be customized by agencies and tailored to their missions and to the work their employees perform.

OGE has published a proposed rule to update the financial disclosure regulation. The proposed amendments would implement the additional transaction and mortgage reporting requirements that Congress imposed in 2012 in the Stop Trading on Congressional Knowledge Act (STOCK Act). In addition, OGE is proposing changes that would improve consistency between various government ethics regulations and the Ethics in Government Act.

On September 27, 2016, the U.S. Office of Government Ethics issued a Legal Advisory discussing the post-Government employment restrictions, particularly those found in 18 U.S.C. § 207.

This Legal Advisory provides a plain language discussion for agency ethics officials, departing employees, and former employees on the post-Government employment restrictions, particularly those found in certain provisions of the primary post-Government employment statute applicable to former employees of the executive branch, 18 U.S.C. § 207.

The results of OGE’s executive branchwide survey of agency ethics programs and a summary of key statistics are now available on OGE’s website. The data provides valuable insights into individual agencies and the executive branch ethics program as a whole.

This Program Advisory clarifies the circumstances under which an agency may accept a termination public financial disclosure report prior to the termination of the employment of a public filer in a position subject to public filing requirements.

The U.S. Office of Government Ethics has released a new Confidential Financial Disclosure Guide, which provides comprehensive guidance on financial disclosure requirements for both new entrant and annual confidential reports in the executive branch.

This Legal Advisory describes a technical regulatory modification to the definition of "employee" found in 5 C.F.R. part 2640.

OGE’s website now features a Presidential Transition page targeting the Presidential campaigns, the future Presidential Transition Team, incoming Presidential nominees, the media, and the public. Based on OGE’s extensive experience with the nominee process, OGE has developed critical resources that will help to ensure that the transition is as smooth and effective as possible.

On August 3, 2016, OGE issued a Legal Advisory discussing the recent amendments to the provisions of the Standards of Ethical Conduct that govern seeking other employment found at 5 C.F.R. 2635, Subpart F.

This Legal Advisory discusses the recent amendments to the provisions of the Standards of Ethical Conduct that govern seeking other employment found at 5 C.F.R. part 2635, subpart F. In addition, this Legal Advisory highlights two principal changes set forth in the final rule, which OGE published in the Federal Register on July 26, 2016.

OGE has completed its annual survey of prosecutions involving the conflict of interest criminal statutes and other related statutes for the period January 1, 2015 through December 31, 2015.

On July 26, 2016, OGE published final amendments to the regulations that govern seeking other employment by Federal executive branch employees. This is the first comprehensive set of amendments to these rules since the Standards of Ethical Conduct for Employees of the Executive Branch went into effect in 1993.

One of OGE’s key responsibilities is to help the President-elect fill top leadership positions by moving prospective nominees through the nomination process quickly and free from conflicts of interest.

On June 28, 2016, OGE published an interim final rule adjusting the five civil monetary penalties set forth in the Ethics in Government Act. For a brief summary of the rule and effective penalties, see Legal Advisory LA-16-04 dated July 21, 2016.

This Legal Advisory announces increases in five civil monetary penalties related to the executive branch ethics program. OGE recently issued an interim final regulation establishing these inflationary adjustments, pursuant to a recent legislative enactment.

On July 18, OGE issued a Legal Advisory emphasizing that the general prohibitions on executive branch employees’ soliciting and accepting gifts from outside sources are unaffected by the U.S. Supreme Court’s recent decision, McDonnell v. United States.

This Legal Advisory responds to the Supreme Court’s recent holding in McDonnell v. United States. The Legal Advisory emphasizes that the Supreme Court’s ruling does not affect the scope of the gift prohibitions found at 5 U.S.C. § 7353 and 5 C.F.R. § 2635.202(a), or any OGE interpretation of 18 U.S.C. §§ 202-209.

OGE supports ethics officials in their preparation for the presidential transition through our Transition Readiness Series.

On June 6, 2016, OGE published a proposed rule amending 5 C.F.R. Part 2638, “The Executive Branch Ethics Program.” This comprehensive revision is informed by more than three decades of experience gained by OGE and agency ethics officials in administering the program.

This program advisory contains OGE’s Certificate of Divestiture Reference Guide for employees. The Reference Guide summarizes key elements of the Certificate of Divestiture Program.

At the invitation of the U.S. Department of State, the U.S. Agency for International Development, and the Agile and Harmonized Assistance for Devolved Institutions, a representative from the U.S. Office of Government Ethics recently traveled to Nairobi, Kenya to assist Kenya’s government in implementing anti-corruption training for members of its civil service.

In this Legal Advisory, OGE asks each agency to forward to OGE its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.

OGE announces the deadline for Public Financial Disclosure Reports of candidates for President and Vice President.

This program advisory announces the release of the new web-based Public Financial Disclosure Guide for filers and reviewers of the OGE Form 278e and the OGE Form 278-T.

This program advisory announces deadlines for the public financial disclosure reports of executive branch employees and procedures for the public financial disclosure reports of executive branch employees whose reports agencies are required to transmit to the U.S. Office of Government Ethics (OGE).

The U.S. Office of Government Ethics (OGE) recently met with the Kenya School of Government to discuss model practices in developing and implementing effective civil service ethics training.

A year after its launch, Integrity is off to a strong start. The system has been widely adopted throughout the executive branch, with over 100 agencies and more than 10,000 filers registered. Integrity’s user population continues to expand, and in 2016 every executive branch agency is expected to have registered filers in the system.

This Legal Advisory clarifies the 2016 thresholds for: (1) determining which senior employees are subject to the post-employment restrictions; (2) implementing the outside employment and outside earned income restrictions for certain covered noncareer employees; and (3) identifying which officers and employees must file public financial disclosure reports.

It's that time of year again: The season for reminding federal employees about the government’s rules against accepting certain types of gifts.

Shortly after my appointment as Director in January 2013, I challenged OGE’s training staff to modernize and expand our efforts to educate ethics officials throughout the executive branch. On May 9, 2013, we announced our strategy in a program advisory and launched the Institute for Ethics in Government.

The U.S. General Services Administration launched the 2016 Presidential Transition Directory on November 2, 2015. The website is designed to help candidates in the 2016 Presidential election get quick and easy access to key resources about the federal government structure and key policies related to Presidential Transition.

Former Director Mr. Stephen D. Potts Visits OGE

The Ethics in Government Act requires each agency to submit an annual report regarding its government ethics operations. We have posted these reports, along with a summary of key statistics about the executive branch ethics program, on OGE’s website.

2014 Conflict of Interest Prosecution Survey.

OGE’s Director and General Counsel Present at DOJ’s Ethics Advisors’ Conference

OGE and agency Inspectors General work together to ensure that the American public can have confidence in the integrity of its government.

The U.S. Office of Government Ethics (OGE) has issued a Legal Advisory on the application of the diversified mutual fund exemption to certain real estate funds under 5 C.F.R. § 2640.201(a).

In this Legal Advisory, OGE asks each agency to forward to OGE its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.

OGE Publishes Updated Compilation of Federal Ethics Law

OGE Director Participates in Roundtable and Workshop at the London School of Economic

The Office of Government Ethics (OGE) monitors ethics-related provisions of interest to the executive branch ethics program. This Legal Advisory highlights legislative activity from the 113th Congress affecting the executive branch ethics program.

OGE’s Program Counsel Presents at Anti-Corruption Symposium in Hong Kong

This Legal Advisory clarifies how to determine the “market value” of a gift of free attendance to an event when no fee is charged to any attendee.

This Legal Advisory explains when the employee benefit plan exemption at 5 C.F.R. § 2640.201(c)(1)(iii) is applicable to (1) employee benefit plans through which employees hold diversified pooled investment funds, and (2) employee benefit plans that are established or maintained outside of the United States.

This Legal Advisory explains the types of prepaid gift cards that are considered to be cash equivalents, and are therefore categorically prohibited under the de minimis gift exception, and the types that are not treated as cash equivalents.

OGE Publishes its Sixth Annual Report on Political Appointees’ Compliance with the Ethics Pledge

OGE Publishes Proposed Updates to its FOIA Regulations

This Legal Advisory discusses how the Standards of Ethical Conduct for Executive Branch Employees apply to employees' personal social media activities. The Legal Advisory focuses on common issues such as when an employee can reference his or her title on a personal social media account, and what rules apply to personal fundraising on social media.

OGE works with the State Department to support efforts to fight corruption across the globe. As part of this effort, OGE recently participated in a review of the United States’ implementation of the Inter-American Convention against Corruption.

This Legal Advisory discusses the definition of "free attendance" as used in the Widely Attended Gathering gift exception. The Legal Advisory confirms that free attendance does not include the waiver of an additional fee charged to attend a meal or reception that is collateral to the original event.

Presidential campaigns are advised that OGE recently implemented a redesigned executive branch public financial disclosure form, the OGE Form 278e (Executive Branch Personnel Public Financial Disclosure Report). Candidates for the Office of the President of the United States or the Office of the Vice President of the United States should use the OGE Form 278e.

I am pleased to announce that the U.S. Office of Government Ethics has selected Dale “Chip” Christopher for the position of Deputy Director for Compliance.

Under the Ethics in Government Act (EIGA), and the Stop Trading on Congressional Knowledge Act of 2012 (STOCK Act), the U.S. Office of Government Ethics (OGE) is responsible for establishing and supervising a financial disclosure program for the executive branch. OGE is implementing Integrity, the new executive branch-wide electronic filing system for public filers. This Program Advisory provides Designated Agency Ethics Officials (DAEOs) with information regarding Integrity and related data-submission requirements.

Director Walter Shaub and OGE Program Leaders Meet With Agency Ethics Officials

OGE Releases its Congressional Budget Justification and Annual Performance Plan for Fiscal Year 2016 and Annual Performance Report for Fiscal Year 2014

The U.S. Office of Government Ethics (OGE) provides overall leadership and oversight of the executive branch ethics program designed to prevent and resolve conflicts of interest. Fundamental to OGE’s mission is the belief that public service is a public trust. OGE, in concert with agency ethics practitioners through

This LA clarifies the 2015 thresholds for: (1) identifying which officers and employees must file public financial disclosure reports; (2) determining which senior employees are subject to the post-employment restrictions and (3) implementing the outside employment and outside earned income restrictions for certain covered noncareer employees.

January is a time for reflection as well as a time to set priorities for the New Year. I want to share just a few highlights from 2014 and provide a preview of what to expect from OGE in 2015.

WATCH LIVE: Introduction to Enterprise Risk Management What if you could see the places in your organization where ethics problems are likely to occur? Would it change the way you train? Would it change the way you deploy program resources? Could it change the amount of resources that you have to deploy?  You

OGE Director meets with top leaders from OPM, OSC, and NEH.

OGE Discusses Role of Financial Disclosure as a Conflicts Prevention Tool at World Bank Conference

The holiday season is upon us again, with homemade treats, gift baskets, assorted other goodies, and invitations abundant in workplaces across the country. For federal employees, now is a good time to review the government’s ethics rules on gifts.

UN Report Cites OGE’s Communication Practices as Model Practices

The Passing of the Honorable Robert I. “RIC” Cusick, former Director of the U.S. Office of Government Ethics

This Legal Advisory provides guidance to agencies on factors to consider in determining whether references to an employee's title or position made by a private organization with which the employee is affiliated would create an impermissible appearance of government sanction or endorsement.

OGE Publishes Highlights from the CY 13 Annual Agency Questionnaires

OGE Publishes a Summary of Ethics Prosecutions in 2013

2013 Conflict of Interest Prosecution Survey

This legal advisory explains and expands the options available to ethics officials for ensuring and documenting compliance with PAS officials' ethics agreements. It also clarifies the discretion ethics officials have in determining when screening arrangements are necessary to implement recusal commitments, and what form such arrangements can take.

OGE Participates in On-Site Visit and Review by a Commission of the Organization of American States’ Anticorruption Mechanism (MESICIC)

Watch Live on 10/16 at 12:00 noon: 2014 Nominee Ethics Agreement Guide

Watch Live on 10/9 at 2:00 PM: An Introduction to Fundraising

OGE's first National Government Ethics Summit was a success.  We brought together ethics officials and other stakeholders to strengthen the executive branch ethics program and, with our partners, presented an extraordinary quantity of high-quality training at a low cost.

This Legal Advisory explains what Presidential Nominees, subject to Senate confirmation, must report on the OGE 278 when they own certain Pooled Investment Funds that do not qualify as excepted investment funds.

On September 18, 2014, OGE issued a report of its program review of the ethics program of the U.S. Department of Veterans Affairs. The report highlights model practices OGE identified during its review and includes recommendations addressing areas of VA’s ethics program that need to be strengthened. The report is

On September 23rd, the Honorable Donna Edwards of the U.S. House of Representatives will deliver a keynote address on the importance of government ethics. Congresswoman Edwards represents Maryland’s 4th Congressional District. She was sworn in after a special election to become a member of the U.S. House of Represe

What do good government advocacy groups, the press, OGE, and executive branch agency ethics programs have in common? Whether through internal controls or external oversight, these entities help ensure a transparent federal government that functions with integrity and free from conflicts of interest. Meet some of the

Featured Speakers at the OGE National Government Ethics Summit: Joseph Gangloff, Patrick Kelley, Tim Mazur, and Emil Moschella

Featured Speakers at the OGE National Government Ethics Summit: Ambassador Norman Eisen and Professor Richard Painter

This Program Management Advisory announces the release of the 2014 PAS Nominee Ethics Agreement Guide.

OGE kicked off the National Government Ethics Summit this week.

On September 9th, Max Stier will deliver a keynote address on the importance of ethical leadership in the executive branch at the National Government Ethics Summit. Mr. Stier is the President and CEO of the Partnership for Public Service, a nonprofit, nonpartisan organization dedicated to revitalizing the federal go

Featured Speakers at the OGE National Government Ethics Summit: Michael Smallberg and David Zaring

WATCH LIVE on 8/28 @ 1:00 PM: OGE National Government Ethics Summit Preview

The National Government Ethics Summit: Strengthening our Community In any organization, it is the people who make or break an ethics program. Most people want to do the right thing, but knowing and understanding the rules often makes the difference between compliance and an ethics violation. That is why training is vit

Excitement is building for the first National Government Ethics Summit, which OGE is hosting throughout the month of September. Participate in the Summit virtually.

Watch Live on August 21 at 12:00 PM: Gifts of Free Attendance - 31 USC § 1353 v. WAG

On August 11, 2014, OGE’s Director, Walter M. Shaub, Jr., met with the new Secretary of the Department of Veterans Affairs, Robert A. McDonald.

Ethics practitioners from the three branches of the federal government meet regularly to discuss common ethics issues and areas of interest. These meetings provide an invaluable Government-wide perspective on ethics.

Watch Live on August 57 at 2:00 PM: Gifts of Free Attendance MOOC

On Wednesday, July 30, OGE Director Shaub held his third quarterly meeting of the year with Designated Agency Ethics Officials

OGE is responsible for evaluating the ethics programs of federal agencies. OGE has expanded the reach of its oversight function by supplementing program reviews with a new inspections process.

OGE meets with Commissioner and Deputy CEO of Kenya’s Ethics and Anti-Corruption Commission

OGE delivers its first Massive Open Online Course

Meet OGE's Chief of Staff & Program Counsel, Shelley K. Finlayson

In this Legal Advisory, OGE asks each agency to forward to OGE its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.

The Office of Government Ethics (OGE) has issued final rule amendments that revise the executive branch financial disclosure regulation at 5 C.F.R. §§ 2634.304 and 2634.907(g) and the widely attended gathering (WAG) gift exception ceiling for nonsponsor gifts of free attendance at 5 C.F.R. § 2635.204(g)(2).

OGE Meets with Philippines Ombudsman

Every year, the government's top leaders disclose their financial interests in reports that are available to the public. This annual exercise in transparency is a cornerstone of the ethics program because the executive branch uses these reports to identify and resolve potential conflicts of interests.

OGE's Director Meets with the Chair of the Federal Reserve to Discuss the Importance of the Ethics Program

It’s Public Service Recognition Week! OGE thanks the dedicated public servants in our nation’s workforce of more than 2 million executive branch employees, especially the 5,000 executive branch ethics officials who protect the integrity of the government’s operations.

On Wednesday, April 30, OGE Director Shaub held a quarterly meeting with Designated Agency Ethics Official

This Program Management Advisory reminds ethics officials of the deadlines associated with the 2014 filing cycle for annual public financial disclosure reports.

Two years ago, the Stop Trading on Congressional Knowledge Act (STOCK Act) imposed the most sweeping changes to executive branch ethics laws in over 20 years.

South Korea and OGE Benefit from Discussion of Similarities and Differences in their Ethics Program.

This week, OGE hosted a virtual training symposium for approximately 150 executive branch agency ethics officials.

OGE commemorates Sunshine Week by taking stock of how far OGE has come in promoting transparency.

OGE has released its 2014-2018 Strategic Plan, which lays out OGE’s strategy for accomplishing the important mission of the executive branch ethics program.

March 10, 2014 – Washington, DC –U.S. Office of Government Ethics   Today the U.S. Office of Government Ethics (OGE) releases its strategic plan for fiscal years 2014 through 2018. The strategic plan reflects OGE’s continuedcommitment: (1) to the shared belief that public service is a public trust and;(2)

This Legal Advisory addresses specific statutory limits on when certain employees may purchase securities that are the subject of an Initial Public Offering.

OGE Officials Participate in the Interagency Ethics Council’s Panel on the STOCK Act

Ethics training is essential to ensuring uniformity in the application of ethics laws and policy. 2013 saw a significant expansion of OGE’s ethics education offerings.

OGE’s Conflict of Interest Prosecution Survey illustrates the high standard to which federal employees are held and the potential consequences for the few who violate the public’s trust.

This week I met with senior White House officials and agency ethics leaders to discuss recent developments in the executive branch ethics community. 

OGE Director Announces that OGE Has a New General Counsel, David J. Apol

I am pleased to announce that the U.S. Office of Government Ethics has a new General Counsel. This morning, I administered the oath of office to David J. Apol.

One year ago, I was sworn in as Director of OGE, a “small agency with the big mission of making sure the public can have confidence in the government’s impartiality.” Looking back a year later, I am proud of the work that OGE accomplished in 2013.

This Legal Advisory discusses changes to the statutory pay-level thresholds for certain purposes under the Ethics in Government Act and 18 U.S.C. § 207(c).  The Legal Advisory also provides the relevant threshold amounts.

This time of year has become a season for gift-giving and gift-getting. In the federal workplace, the ethics rules prohibiting certain gifts do not take a holiday.

2012 Conflict of Interest Prosecution Survey

In the context of the Windsor decision, OGE’s Director discusses one of the most important ways OGE serves the executive branch ethics community – providing timely and accurate advice on emerging issues affecting the ethics program.

On November 20, 2013, OGE’s Director, Walter M. Shaub, met separately with anti-corruption officials from Hong Kong and Romania.

The Office of Government Ethics celebrates the 35th anniversary of the Ethics in Government Act of 1978, the law most directly responsible for the executive branch ethics program as we know it.

This Legal Advisory reminds employees that the ethics laws and regulations will continue to apply during a possible government shutdown.

We have created this new feature so I can talk to you directly about the ethics program in the executive branch of the Federal government.

In light of the Supreme Court’s decision in United States v. Windsor striking down Section 3 of the Defense of Marriage Act (DOMA), the U.S. Office of Government Ethics (OGE) is today issuing guidance regarding the effect of the decision on the Executive Branch ethics program.

This Legal Advisory provides guidance on the effect of United States v. Windsor on the federal ethics provisions that use the terms “spouse,” “marriage,” and “relative.”

OGE invites the public to comment on the OGE draft Strategic Plan for fiscal years 2014 to 2017.

This Legal Advisory reminds ethics officials that OGE’s blanket waiver of the $200 late fee for periodic transaction reports is no longer effective July 3, 2013.

In this Legal Advisory, OGE asks each agency to forward to OGE its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.

This Program Management Advisory reminds ethics officials of the deadlines associated with the 2013 filing cycle for annual public financial disclosure reports.

This Legal Advisory summarizes the provisions of the Consolidated and Further Continuing Appropriations Act, 2013, that affect the Executive Branch Ethics Program.

This Legal Advisory clarifies that employees must comply with the notification requirements under section 17 of the Stop Trading on Congressional Knowledge Act of 2012 (STOCK Act) when they negotiate for, or have an agreement of, post-government, non-federal compensation for services to be rendered entirely after termination of federal employment.

This report provides information about the efforts of the U.S. Office of Government Ethics to ensure that agency officials implemented the Ethics Pledge appropriately. The report covers the time period January 1 through December 31, 2012.

The U.S. Office of Government Ethics (OGE) has launched a new twitter account!

On April 15, 2013, President Obama signed into law S. 716, a bill that, among other things, limits the STOCK Act’s requirement for online posting of public financial disclosure reports.

Congress has passed a bill that, among other things, would limit the STOCK Act’s requirement for online posting of public financial disclosure reports that is set to go into effect on April 15, 2013.

This memorandum clarifies guidance concerning the application of the financial disclosure reporting requirements to discretionary trusts, as the term “discretionary trust” is defined in OGE’s only issuance on such trusts, DAEOgram DO-08-024 (2008)

This Legal Advisory discusses the history and scope of the exemption for official participation in nonprofit organizations found at 5 C.F.R. § 2640.203(m). The Legal Advisory also highlights important considerations for agency officials who intend to assign employees to serve in an official capacity at a nonprofit organization.

On April 5, 2013, OGE’s Director sent a letter to Congress concurring with the National Academy of Public Administration’s recommendation to suspend indefinitely a STOCK Act provision that would require online posting of personal financial data.

This Legal Advisory updates relevant legislative activity from the recently ended 112th Congress.

On March 28, 2013, in accordance with section 2 of Public Law 112-178, the National Academy of Public Administration (NAPA) submitted an independent study on the impact of the STOCK Act to Congress and the President of the United States.

On March 18, 2013, OGE issued a legal advisory reminding executive branch employees that ethics laws and regulations continue to apply during the time that they are in a furlough status.

This legal advisory is a reminder that ethics laws and regulations continue to apply to Federal Government employees during furlough periods.

This Legal Advisory explains that covered Executive Branch employees must file periodic reports of transactions involving separately owned assets of their spouses or dependent children. This Advisory amends the guidance provided in OGE LA-12-04.

On January 8, 2013, President Obama appointed Mr. Walter M. Shaub, Jr., as Director of the U.S. Office of Government Ethics. He was sworn into office January 9, 2013.

OGE will be distributing the Ethics Pledge assessment to agencies on January 14, 2013. Agencies are requested to complete the assessment by February 4, 2013. This assessment is separate from the Agency Ethics Program Questionnaire.

In this legal advisory, OGE summarizes the ethical requirements relevant to a Federal employee during the 2013 Presidential Inauguration celebration, particularly those requirements regarding gifts.

This Legal Advisory clarifies that the exception at 18 U.S.C. § 205(e) for representation of persons with whom an employee has a personal relationship before the Government in connection with most matters may permit representation of an employee's stepparent or stepchild when the relationship is one that invokes certain family responsibilities.

On December 7, 2012, President Obama signed into law H.R. 6634, which extends the date by which certain Executive Branch public financial disclosure forms must be made available on the internet to April 15, 2013.  

OGE updates a poem that reminds executive branch employees, in an entertaining way, about the ethics rules on solicitation and acceptance of gifts.

On December 5, 2012, the House passed H.R. 6634, which extends the date by which certain Executive Branch public financial disclosure forms must be made available on the internet to April 15, 2013. The Senate passed the bill on December 6, 2012; it goes to the President next for signature.

This Legal Advisory clarifies that an individual waiver issued pursuant to 18 U.S.C. § 208(b)(1) to an employee who has transferred from one agency to another will remain effective until the receiving agency makes a determination to either cancel the waiver or issue a new waiver.

On September 28, 2012, President Obama signed into law S. 3625, which extends the date by which certain Executive Branch public financial disclosure forms must be made available on the internet to December 8, 2012.

On September 28, 2012, Congress passed S. 3625, which extends the date by which certain Executive Branch public financial disclosure forms must be made available on the internet to December 8, 2012.

On September 22, 2012, the Senate passed S. 3625, which extends the date by which certain Executive Branch public financial disclosure forms must be made available on the internet to December 8, 2012. The bill goes to the House next for consideration.

2011 Conflict of Interest Prosecution Survey

This Legal Advisory clarifies when an employee’s participation in an event will constitute “otherwise presenting information on behalf of the agency” for purposes of the “speaking and similar engagements” gift exception at 5 C.F.R. § 2635.204(g)(1).

On August 16, 2012, President Obama signed into law S. 3510, which extends the date by which executive branch public financial disclosure forms must be made available on the internet to September 30, 2012.

Subsection 11(a)(1) the STOCK Act (Public Law 112 – 105) requires that by August 31, 2012, financial disclosure forms filed pursuant to title I of the Ethics in Government Act in calendar year 2012, and in subsequent years, be made available to the public on the official websites of the respective executive branch agencies not later than 30 days after such forms were filed.

The U.S. Office of Government Ethics (OGE) has issued a Legal Advisory providing guidance to ethics officials on the new requirement for periodic reporting of certain financial transactions.

This Legal Advisory explains the STOCK Act provision that requires certain employees to file periodic public reports of their transactions. The Legal Advisory also includes a copy of the new form that employees should use to file their periodic transaction reports (OGE Form 278-T).

OGE asks each agency to forward to OGE its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.

On May 24, 2012, President Obama announced his intent to nominate Walter M. Shaub, Jr. as the new Director of the Office of Government Ethics.

This Program Management Advisory announces the launch of a web guide for individuals filing the OGE Form 278 as new entrants or as nominees to Presidentially-appointed, Senate-confirmed (PAS) positions.

Section 13 of the STOCK Act requires certain Presidential Appointees with Senate Confirmation to include on their OGE Form 278 mortgages secured by their personal residences.

This Legal Advisory explains STOCK Act provisions requiring certain employees to: (1) Notify their DAEOs of any negotiation or agreement for future employment or compensation within three business days after commencement of the negotiation or agreement; and (2) Recuse whenever there is a conflict of interest or appearance issue with the entity.

On April 4, 2012, the President signed the Stop Trading on Congressional Knowledge Act of 2012 (STOCK Act) (S. 2038).

On March 22, 2012, the Senate passed the House version of the Stop Trading on Congressional Knowledge Act of 2012 (STOCK Act) (S. 2038).

Copies of the certified public financial disclosure reports (SF 278/OGE Form 278) and, as appropriate, Certificates of Divestiture for individuals who have been nominated by President Obama to executive branch positions requiring Senate confirmation may be obtained by completing the automated OGE Form 201

The United States Office of Government Ethics (OGE) is implementing a new process by which agencies can forward compliance documentation for ethics agreements. Agencies who are forwarding compliance documentation to OGE must submit via email to eacompliance@oge.gov.

OGE responds to questions from the Senate Homeland Security and Governmental Affairs Committee regarding the scope of certain provisions of the STOCK Act (S. 2038), as amended and passed by the Senate on February 2, 2012.

The United States Office of Government Ethics (OGE) is compiling information to assess agency compliance with Executive Order 13490, “Ethics Commitments by Executive Branch Personnel” (January 21, 2009). OGE is requesting information relative to full-time non-career appointees appointed during calendar year 2011. The information will be used to prepare the annual public report as required by the Executive Order.

This Legal Advisory reminds agencies that the three statutory pay-level thresholds for certain purposes under either the Ethics in Government Act (Ethics Act) or 18 U.S.C. § 207(c) will remain the same as last year.

The U.S. Office of Government Ethics (OGE) has revised the OGE Form 278 and the OGE Form 450 to reflect the current thresholds for reporting gifts and travel reimbursements, as amended by 76 Fed. Reg. 38547 (July 1, 2011).

In January 2012, OGE will be compiling information to assess agency compliance with Executive Order 13490, “Ethics Commitments by Executive Branch Personnel.” We will be collecting information relative to appointees appointed during calendar year 2011. The information will be used to prepare the annual public report as required by the Executive Order.

2010 Conflict of Interest Prosecution Survey

This legal advisory addresses whether an agency needs a supplemental ethics regulation, the appropriate ethics issues to include in a supplemental agency regulation, and summarizes OGE's role in assisting agencies with this process.

The United States Office of Government Ethics is launching its Annual Survey of Ethics Officials. The survey will be distributed to the Designated Agency Ethics Official (DAEO), Alternate DAEO, and other high-level agency ethics contacts at all executive branch agencies. The survey will be open for responses until October 6, 2011.

OGE analyzes whether, under 5 C.F.R. § 2635.802, an agency may issue an across-the-board policy that an employee may not run for or hold nonpartisan elective office because election to that office may have the potential to create the appearance of misuse of the employee's federal position. OGE also provides guidance on related ethics issues.

This Program Management Advisory serves as a reminder and clarification of the requirements for timely certification of financial disclosure reports under 5 C.F.R. § 2634.605(a). During recent program reviews, PRD has found some confusion and different interpretations among agencies regarding the requirement to accomplish final certification of financial disclosure reports within 60 days of their receipt.

The Office of Government Ethics (OGE) has issued final rule amendments that in pertinent part revise the executive branch financial disclosure regulation at 5 C.F.R. §§ 2634.304 and 2634.907(g).

OGE asks each agency to forward to OGE its annual letter stating whether its components that are currently designated should remain designated for purposes of 18 U.S.C. § 207(c). Any request to modify the existing list of components should be submitted in accordance with regulatory procedures.

This Program Management Advisory reminds ethics officials that public financial disclosure reports are due no later than May 16, 2011.

This Legal Advisory provides guidance to potential Presidential and Vice Presidential candidates concerning the public financial disclosure reporting requirements that apply to them.

This Program Management Advisory serves as a reminder, notice of change, and clarification of the requirements for reporting payments accepted under 31 U.S.C. § 1353.

This Legal Advisory updates relevant legislative activity from the recently ended 111th Congress, including the re-codification of the Procurement Integrity Act, changes to the ethics laws for the intelligence community, and a trend toward imposing new post-employment restrictions on certain Executive Branch employees.

This Legal Advisory updates the three statutory pay-level thresholds for certain purposes under either the Ethics in Government Act (Ethics Act) or 18 U.S.C. § 207(c) for calendar year 2011.

The United States Office of Government Ethics (OGE) is compiling information to assess agency compliance with Executive Order 13490, “Ethics Commitments by Executive Branch Personnel” (January 21, 2009). OGE is requesting information relative to full-time non-career appointees appointed during calendar year 2010. The information will be used to prepare the annual public report as required by the Executive Order.

The United States Office of Government Ethics announces the retirement of the DAEOgram. OGE will transmit guidance via Legal Advisories, Program Management Advisories, and Education Advisories.

OGE replaces the SF 278 Executive Branch Personnel Public Financial Disclosure Report with a new form for collecting public financial disclosure reports in the Federal executive branch, the OGE Form 278.

2009 Conflict of Interest Prosecution Survey

The United States Office of Government Ethics announces the launch of the 2010 Annual Survey of Ethics Officials. The survey provides OGE with information to enhance the executive branch ethics program.

The United States Office of Government Ethics reminds Designated Agency Ethics Officials of the annual requirement to forward a letter stating whether components currently designated should remain designated.

The United States Office of Government Ethics reminds agencies to notify OGE of all Presidentially Appointed Senate Confirmed (PAS) officials and Designated Agency Ethics Officials (DAEO) who received extensions of the filing deadline.

The United States Office of Government Ethics announces the 2010 Ethics Program Award recipients.

The United States Office of Government Ethics announces the due dates for public financial disclosure reports of executive branch officials required to be filed with OGE in 2010.

Waivers under 18 U.S.C. § 208(b) and agency supplemental regulations and authorizations under 5 C.F.R. § 2635.502(d) must be issued prospectively in order to be valid.

OGE clarifies its views on the application of 5 C.F.R. § 2635.702 and 5 C.F.R. § 2635.807 pertaining to uncompensated teaching, writing, and speaking.

Paragraphs 4 (post-employment cooling-off period) and 5 (post-employment lobbying ban) of the Ethics Pledge, Executive Order 13490, impose significant new post-employment restrictions on non-career appointees.

Attendance by particular personnel whose presence is truly essential to the performance of the Executive Branch speaker's official duties at a specific event does not violate either OGE’s long-standing gift rules or the Executive Order 13490 lobbyist gift ban.

This memorandum highlights 5 C.F.R. § 2640.203(d), which authorizes an employee to participate in official travel matters, with certain limits, notwithstanding the financial interest that may arise from an agency's provision of travel benefits and cost reimbursement to the employee.

The United States Office of Government Ethics is compiling information to assess agency compliance with Executive Order 13490, “Ethics Commitments by Executive Branch Personnel." The information will be used to prepare the annual public report as required by Executive Order.

OGE updates a poem that reminds executive branch employees, in an entertaining way, about the ethics rules on solicitation and acceptance of gifts.

The United States Office of Government Ethics reminds Designated Agency Ethics Officials that PAS officials serving in covered public financial disclosure filing positions are required to file a termination public financial disclosure report within 30 days after leaving office.

Executive Branch employees may accept offers of free attendance at events from the Kennedy Center, consistent with the gift rules in the Standards of Ethical Conduct.  This determination is limited to the Kennedy Center and should not be read as extending to all congressionally-established entities.

2008 Conflict of Interest Prosecution Survey

The United States Office of Government Ethics has begun an assessment of agency compliance with the Ethics Pledge requirement of Executive Order 13490, “Ethics Commitments by Executive Branch Personnel.”

The United States Office of Government Ethics will be conducting an electronic survey to assess agency compliance with administration of the Ethics Pledge required by President Obama’s Executive Order 13490.

OGE addresses questions about how to apply Paragraph 2 of the Ethics Pledge in Executive Order 13490 to an appointee who gives an official speech at an event sponsored by a former employer or client.  OGE also addresses the question of whether the Pledge applies to detailees under the IPA.

This memorandum reiterates and clarifies previous guidance regarding which commitments in a PAS nominee's ethics agreement require evidence of compliance and what documentation the United States Office of Government Ethics will accept as demonstrating compliance.

Appointees from the prior Administration must sign the Ethics Pledge once the 100-day grace period expires.

OGE provides an explanation of the phrases that comprise paragraph 2 of the Ethics Pledge and discusses how paragraph 2 interacts with existing impartiality regulations.

OGE identifies the categories of officials who must sign the Ethics Pledge required by Executive Order 13490 and those who are not required to sign.

OGE provides guidance to Designated Agency Ethics Officials on the exercise of waiver authority under Section 3 of Executive Order 13490.

OGE provides guidance on the implementation and interpretation of the lobbyist gift ban in paragraph 1 of the Ethics Pledge in Executive Order 13490.

OGE describes when various appointees must sign the Ethics Pledge in Executive Order 13490.

As of January 30, 2009, agencies are authorized to allow digital signatures on the electronically fillable PDF version of the confidential financial disclosure form (OGE Form 450) if their agency’s Chief Information Officer (CIO) has approved a digital signature process.

OGE provides an overview of President Obama's Executive Order 13490, "Ethics Commitments by Executive Branch Personnel."

OGE reminds agencies of the ethical requirements pertaining to offers of free attendance from various sources to Federal employees to attend Inauguration-related events, including the Inaugural Parade, Inaugural Balls, receptions, dinners and fundraisers.

When a current employee assumes new responsibilities, even on a temporary basis, ethics officials need to reexamine the employee's financial disclosure report to determine whether potential conflicts of interest may exist with the employee's new duties.

OGE provides a brief reminder about the ethics rules regarding holiday gifts and fundraising.

Recent legislation affecting the executive branch ethics program includes a loan repayment assistance plan, legislation on conflicts of interest for certain contractor employees, and a revision to the base pay of certain senior officials.

2007 Conflict of Interest Prosecution Survey

OGE announces the winners of the 2008 Ethics Program Awards for outstanding achievement in managing the ethics program.

OGE provides tips to ethics officials to facilitate the timely review and certification of the public financial disclosure termination reports (SF 278s) that PAS officials must file.

OGE strongly encourages agency ethics officials to document ethics advice provided to current and former employees. Additionally, ethics officials should establish close working relationships with their respective Inspector General offices.

OGE provides guidance concerning the treatment of income beneficiaries of discretionary trusts, for purposes of the disqualification requirements of 18 U.S.C. § 208 as well as the financial disclosure requirements of section 13104(f)(1) of the Ethics in Government Act, 5 U.S.C.

OGE explains what actions a nominee for a full-time Senate-confirmed position (PAS nominee) must take with regard to pooled investment funds in order for the Director of OGE to certify the individual’s financial disclosure report.

Anticipating an increase in the number of termination 278 reports as the Bush Administration ends, OGE requires agencies to notify it of a PAS official’s termination date.

OGE issues the final post-government employment rule, to be codified in 5 C.F.R. part 2641.

OGE announces it will conduct a review to evaluate agencies’ processes and procedures for collecting, reviewing, and certifying financial disclosure reports, including those filed by nominees for Presidentially-appointed, Senate-confirmed (PAS) positions.

OGE provides guidance on the application of the post-government employment restrictions at 18 U.S.C. § 207(a) and 18 U.S.C. § 207(c).

Guidance on when two matters are separate, for purposes of 18 U.S.C. § 207(a); reconsiders conclusion previously reached in OGE Informal Advisory Letter 99 x 14(2).

18 U.S.C. § 207(j)(7) provides an exception to the one-year no-contact ban for former senior employees and the two-year no-contact ban for very senior employees. These categories of employees do not violate the statute if a communication or appearance is on behalf of a candidate or one of the specified political entities.

An employee may accept compensation for teaching a course offered by a NAFI because the term "sponsored and funded by the Federal Government" in this exception encompasses courses of instruction offered and funded by NAFIs.

An employee may accept compensation for teaching a course offered by a NAFI because the term "sponsored and funded by the Federal Government" in this exception encompasses courses of instruction offered and funded by NAFIs.

18 U.S.C. § 207(j)(7) provides an exception to the one-year no-contact ban for former senior employees and the two-year no-contact ban for very senior employees. These categories of employees do not violate the statute if a communication or appearance is on behalf of a candidate or one of the specified political entities.

OGE issues final rule amendments that revise the financial disclosure regulations to reflect the statutory increase of the thresholds for reporting of gifts, reimbursements and travel expenses. OGE also increases the widely attended gathering gift exception ceiling for nonsponsor gifts of free attendance.

OGE notifies the ethics community of the March 2008 Government Accountability Office report on contractor employee conflicts of interest.

OGE provides a comprehensive discussion of the laws pertaining to book deals involving Government employees. The rules for regular and special Government employees are covered in one document, and the rules for noncareer employees and Presidential appointees are addressed in a second document.

OGE provides a comprehensive discussion of the laws pertaining to book deals involving Government employees. The rules for regular and special Government employees are covered in one document, and the rules for noncareer employees and Presidential appointees are addressed in a second document.

OGE summarizes the restrictions on a political appointee who was interested in writing a book not related to his official duties.

The provisions of NARA’s rule and the GRS 20 revisions that generally allow the destruction of original paper documents will not apply to public and confidential financial disclosure reports and related ethics agreements. These original documents must be maintained in accordance with the full time periods specified in GRS 25.

The Motion Picture Association of America receives a response related to the Widely Attended Gathering exception to the gift rules and a clarification of "prohibited source" at 5 C.F.R. § 2635.204(h) of the Standards of Conduct for Employees of the Executive Branch.

Reviewers should seek additional information to clarify the inadequate entries on a financial disclosure report submitted by a Presidential appointee whose position requires Senate confirmation.

Locality pay is excluded from an employee's rate of basic pay for purposes of determining whether an employee is a senior employee under the criminal post-employment statute 18 U.S.C. § 207(c).

This comprehensive memorandum provides guidance on what types of events are covered by the widely attended gathering exception to the gift prohibitions in the Standards of Conduct.

This comprehensive memorandum provides guidance on what types of events are covered by the widely attended gathering exception to the gift prohibitions in the Standards of Conduct.

OGE has prepared a format for ethics officials to use in requesting Certificates of Divestiture for their employees. Use of the format is optional.

2006 Conflict of Interest Prosecution Survey

Agencies with alternative pay systems should continue to designate executive-level employees as public filers if the lowest pay for their grade or range is equal to or greater than 120 percent of the minimum rate of basic pay payable for a GS-15. Seeking an equal classification is an option for other employees.

Agencies with alternative pay systems should continue to designate executive-level employees as public filers if the lowest pay for their grade or range is equal to or greater than 120 percent of the minimum rate of basic pay payable for a GS-15. Seeking an equal classification is an option for other employees.

The bill extends the cooling off period for very senior executive branch employees from one year to two and adds a criminal penalty for knowing and willful falsification or failure to report required information on a financial disclosure form.

Where members of an advisory board are given access to classified information solely to help them perform their advisory function, this access alone does not constitute a delegation of Governmental, sovereign authority that would result in their advisory board service falling under the restrictions of the Emoluments Clause.

OGE discusses whether communication and appearances made during the performance of a training contract by a former senior official subject to 18 U.S.C. § 207(c) may involve the intent to influence on behalf of the contractor.

This memorandum outlines several factors that an executive branch employee should consider in deciding when it is appropriate to assist an associate, either another Government employee or a private party, in efforts to obtain private sector employment.

This memorandum outlines several factors that an executive branch employee should consider in deciding when it is appropriate to assist an associate, either another Government employee or a private party, in efforts to obtain private sector employment.

OGE responds to whether certain positions in an executive branch agency may rely on component designations for purposes of the post-government employment "cooling off" period at 18 U.S.C. § 207.

OGE will perform the final review and certification of recess appointees’ annual and termination public financial disclosure reports and will also track compliance with recess appointees’ ethics agreements.

OGE prepares an outline of cases and issues pertaining to expert witnesses and the relevant ethical restrictions.

OGE provides general guidance on acceptance of reimbursement of travel expenses and training by executive branch employees provided by a non-profit speakers bureau.

OGE provides a general overview of the issues related to determining whether a personal service contractor is an executive branch employee subject to the Standards of Conduct.

Generally, a Federal employee who writes an immigration support letter and submits the letter to an arm of the Federal Government would not normally be "act[ing] as agent or attorney" for another within the meaning of 18 U.S.C. § 205.

Generally, a Federal employee who writes an immigration support letter and submits the letter to an arm of the Federal Government would not normally be "act[ing] as agent or attorney" for another within the meaning of 18 U.S.C. § 205.

Although each agency may undertake the development of its own electronic filing process to use with either the public (SF 278) or confidential (OGE Form 450) reporting system, each agency must follow some basic guidelines.

OGE requests that agencies review their supplemental regulations to determine if any new or additional restrictions on prohibited holdings need to be added.

OGE provides guidance on whether receipt of cash awards by Government employees under an awards program administered by a non-federal entity is permissible under the gift rules.

Travel reimbursements that are required to be reported to the Federal Election Commission (FEC) because they are for a Federal campaign or election are not required to be reported on public and confidential financial disclosure reports.

Travel reimbursements that are required to be reported to the Federal Election Commission (FEC) because they are for a Federal campaign or election are not required to be reported on public and confidential financial disclosure reports.

OGE describes creative, innovative educational programs and tools being used by the 2007 Training Award recipients. The products serve as models of programs that can be adapted for use by other agencies.

This memorandum provides guidance on issues that Designated Agency Ethics Officials should consider when deciding whether to grant a waiver under 18 U.S.C. §§ 208(b)(1) or (b)(3).

This memorandum provides guidance on issues that Designated Agency Ethics Officials should consider when deciding whether to grant a waiver under 18 U.S.C. §§ 208(b)(1) or (b)(3).

The Office of Legal Counsel, Department of Justice, issued an opinion reaffirming the longstanding executive branch interpretation that service by a special Government employee for part of any day counts as service for a full day, for purposes of relevant limits on the number of days of service under the conflict of interest laws.

The Office of Legal Counsel, Department of Justice, issued an opinion reaffirming the longstanding executive branch interpretation that service by a special Government employee for part of any day counts as service for a full day, for purposes of relevant limits on the number of days of service under the conflict of interest laws.

The value of a gift of attendance in a skybox or private suite is determined by adding the market value of the most expensive publicly available ticket to the event to the market value of the food, parking and other tangible benefits provided in connection with the gift of attendance.

The value of a gift of attendance in a skybox or private suite is determined by adding the market value of the most expensive publicly available ticket to the event to the market value of the food, parking and other tangible benefits provided in connection with the gift of attendance.

OGE clarifies the conditions under which an agency need not count a day of service solely on the basis of certain activities by special Government employees.

OGE clarifies the conditions under which an agency need not count a day of service solely on the basis of certain activities by special Government employees.

OGE provides general guidance on ethics provisions related to outside activities for a federal employee who owns a personal business in an area related to his official duties.

Government employees are generally prohibited from acting as agent or attorney for anyone before a Federal court in connection with any covered matter in which the U.S. is a party or has a direct and substantial interest. 18 U.S.C. § 205(i) provides an exception for representing a "labor organization" under certain conditions.

If an employing agency determines that a private corporation's Employee Purchase Program is a benefit secured by a Government contract, the benefit is provided to the employee by the Government. Accepting the benefit does not violate the gift prohibition. The employing agency must determine whether the benefit is secured by a Government contract.

OGE summarizes the changes to the confidential financial disclosure regulation. The new regulation will go into effect on January 1, 2007.

OGE provides a brief reminder about the ethics rules regarding holiday gifts and fundraising.

This memorandum amends DO-06-008 to correct citation errors and to discuss only the issue of soliciting gifts of travel.

OGE outlines the ethics issues that can arise in connection with IPA assignments.

OGE outlines the ethics issues that can arise in connection with IPA assignments.

OGE outlines the information that an agency must include in a request for a certificate of divestiture.

OGE discusses the meaning of and the distinctions among the terms "particular matter involving specific parties," "particular matter," and "matter" as used in the criminal conflict of interest statutes and regulations.

OGE discusses the meaning of and the distinctions among the terms "particular matter involving specific parties," "particular matter," and "matter" as used in the criminal conflict of interest statutes and regulations.

OGE discusses training as the principal avenue for explaining to federal employees why ethical behavior is important in government. OGE announces a new award program for ethics training.

Preliminary, informal discussions about possible changes to industry-specific standards are particular matters for purposes of 18 U.S.C. § 208.

The final rule clarifies that detailees to an agency from a State or local government or other organization, under the Intergovernmental Personnel Act (IPA), 5 U.S.C. § 3374, are covered by the Standards.

Guidance on variety of ethics issues that commonly arise in procurement context, such as seeking employment, post-employment, financial conflicts of interest, outside employment, gifts and misuse of office.

Guidance on variety of ethics issues that commonly arise in procurement context, such as seeking employment, post-employment, financial conflicts of interest, outside employment, gifts and misuse of office.

2005 Conflict of Interest Prosecution Survey

Robert I. Cusick, newly confirmed as Director of OGE, shares an introductory message with the ethics community.

OGE believes a Government employee should be allowed to use reasonable periods of official time to complete a financial disclosure report because completion of the report is a requirement of the Government position. For the same reason, assigning a subordinate to complete the report is not an improper use of Government position or resources.

The proposed rule would clarify that detailees to an agency from a State or local government or other organization, under the Intergovernmental Personnel Act (IPA), 5 U.S.C. § 3374, are covered by the Standards.

The Federal 10th Circuit upholds the validity of 5 C.F.R. § 2635.807(a) against a first amendment challenge by an administrative law judge (ALJ) of the Social Security Administration (SSA).

The exception to the requirement that nominees and new entrants report the names of their major clients on Schedule D, Part II of the SF 278 applies in a narrow set of circumstances.

OGE addresses questions that have been raised about the propriety of executive branch employees soliciting free air travel.

OGE explains that Agency Ethics Officials have a duty to report possible violations of the ethics rules to the appropriate authorities, including OGE, and do not have a duty to protect employee; lack of knowledge of the ethics rules is not a defense; and an employee is responsible for remembering his ethical obligations or seeking ethics advice.

OGE discusses the extent of its authority to waive the application of the one-year cooling-off period to a particular position or category of positions. OGE denied the request for a waiver to permit former senior employees to make representational contacts with current employees of their former agencies who happen to be on detail to another agency.

An employee may only accept the testamentary gifts from a prohibited source if the gift falls within one of the gift acceptance exceptions. Included are factors to consider if relying on the personal relationship exception.

OGE has published a first-round paperwork notice requesting comments on a new proposed OGE Form 450, Executive Branch Confidential Financial Disclosure Report form.

OGE provides advice to a former employee on 18 U.S.C. § 207, including guidance on a "particular matter involving specific parties," and the post-employment restrictions under the Procurement Integrity Act in 41 U.S.C. § 423.

OGE will continue the system of “pre-clearing” nominee financial disclosure forms. The goal of this system is to ensure that all technical and substantive issues are resolved prior to nomination, so that no impediments to confirmation arise at the last minute.

OGE summarizes Office of Legal Counsel Opinion about whether a nonprofit organization has a financial interest in a particular matter on which it spends funds to advocate its policy position, solely by virtue of such expenditures.

OGE summarizes Office of Legal Counsel Opinion about whether a nonprofit organization has a financial interest in a particular matter on which it spends funds to advocate its policy position, solely by virtue of such expenditures.

18 U.S.C. § 209 does not bar most employees from being paid for participating during non-duty hours in a survey related to insurance offered to federal employees.  However, employees must comply with their agency supplemental regulation regarding outside activities because being paid for the survey participation is considered part-time employment.

OGE sets out basic factors that agency ethics officials should consider in making a determination about whether verbal ethics advice should be documented, and what such documentation should include.

Provides guidance on various restrictions on covered noncareer employee pursuant to Title V of Ethics in Government Act and 5 C.F.R. part 2636; also guidance with respect to determining status as special government employee

OGE provides guidance for determining when a particular matter involving specific parties comes into existence for purposes of the post-government employment restrictions at 18 U.S.C. § 207(a) in situations involving multi-year, multi-phase, multi-contract Government procurement programs. Usually, specific parties are first identified when initial proposals or indications of interest are received by the Government.

2004 Conflict of Interest Prosecution Survey

Employee was prohibited from keeping a prize won at a national association conference because all attendees paid to attend the conference and thus the random drawing was not "open to the public" as used in the gift exclusion at 5 C.F.R. § 2635.203(b)(5).

OGE provides guidance to ethics officials about distinguishing between special Government employees and representatives serving on Federal advisory committees.

OGE provides guidance to ethics officials about distinguishing between special Government employees and representatives serving on Federal advisory committees.

OGE discusses applicability of 18 U.S.C. § 207 to a former senior employee.  OGE discusses 18 U.S.C. § 207(c), "intent to influence," and the special knowledge exception in 18 U.S.C. § 207(j)(4).

OGE describes policies for a program to provide professional development opportunities for executive branch employees who work in the ethics program, as well as for OGE employees who have substantive ethics program duties. This memorandum describes the purpose of the Rotational Assignment Program (RAP) and provides guidelines for its administration.

OGE discusses definitions of "covered noncareer employee" under 5 C.F.R. § 2636.303(a)(4) and 5 C.F.R. § 2636.303(a)(3), as well as Schedule C appointment criteria.

OGE issues final rule amendments (March 2005) that revise the financial disclosure regulations to reflect the statutory increase of the thresholds for reporting of gifts, reimbursements and travel expenses.

The proposed work of a Government panel addressing policy options for tax reform does not constitute a particular matter for purposes of 18 U.S.C. § 208.

An employee who serves as an unpaid board director/trustee for an outside organization did not provide representational services under 18 U.S.C. § 205 by signing a registration statement on behalf of the organization.

OGE discussed the justification and requirements for financial disclosure of assets of a spouse or dependent and reviewed the three-pronged test for non-disclosure of an interest in property held by a spouse or dependent child.

The Office of Legal Counsel issues an opinion concluding that 18 U.S.C. § 207(f) covers representational contacts with Members of Congress.

The Office of Legal Counsel issues an opinion concluding that 18 U.S.C. § 207(f) covers representational contacts with Members of Congress.

OGE’s director must determine that divestiture of an asset is “reasonably necessary” to comply with federal conflict of interest rules or is at the request of a Congressional committee as a condition of confirmation.  The Director may not grant a Certificate of Divestiture merely because divestiture of some property may create cost, tax, or diversification issue.

OGE provides a detailed summary of the provisions governing seeking employment in 5 C.F.R. part 2635, subpart F (implementing 18 U.S.C. § 208 and the broader restriction imposed by section 101(j) of Executive Order 12674).

This memorandum summarizes the ethical requirements apply to employees before they leave Government and while they are still seeking future employment.

OGE offered guidance about 18 U.S.C. § 205(a)(2) to assist a DC Assistant General Counsel with the interpretation of 18 U.S.C. § 205(b)(2). Section 205(a)(2) requires that an employee’s activity be representational, before a specified entity, and in relation to a covered matter in which the U.S. is a party or has a direct and substantial interest.

OGE issues a summary of 18 U.S.C. § 207 that reflects the amendments to the statute made by the E-Government Act of 2002 and the National Defense Authorization Act for Fiscal Year 2004.

This is OGE's 2004 summary of 18 U.S.C. § 207 that reflects the amendments to the statute made by the E-Government Act of 2002 and the National Defense Authorization Act for Fiscal Year 2004.

OGE determined that the Executive Director of an agency was not a "covered noncareer employee" as defined in 5 C.F.R. § 2636.303(a). The Executive Director position was not a policy-making position nor did it involve a close and confidential working relationship with key appointed officials within the meaning of 5 C.F.R. § 213.3301.

OGE discusses the role of agency ethics officials in relation to the designation of advisory committee members as special Government employees (SGEs) or representatives. Many procedures would establish a close working relationship between the two groups to ensure that appropriate member status designations are being made and that SGEs are receiving guidance about ethics laws.

OGE discusses the role of agency ethics officials in relation to the designation of advisory committee members as SGEs or representatives. Many procedures would establish a close working relationship between the two groups to ensure that appropriate member status designations are being made and that SGEs are receiving guidance about ethics laws.

Personnel participating in the Maryland Department of Transportation “Sworn Officer Program,” which offered free commuter service to certain law enforcement personnel in exchange for security-related services, must comply with any prior approval requirements for outside activities. The free transportation is not considered a gift subject to 5 C.F.R. part 2635.

Personnel participating in the Maryland Department of Transportation “Sworn Officer Program,” which offered free commuter service to certain law enforcement personnel in exchange for security-related services, must comply with any prior approval requirements for outside activities. The free transportation is not considered a gift subject to 5 C.F.R. part 2635.

Government employees who use outdoor clothing and gear in the course of their Federal employment may not accept retail discounts from merchants of such clothing and gear. The gift would not have been offered but for the duties associated with the employee’s particular position, thus the offer fell within the general gift prohibits of 5 C.F.R. § 2635.202.

2003 Conflict of Interest Prosecution Survey

Because they continue to meet the definition of “employee” in 5 C.F.R. § 2635.102(h), furloughed employees must comply with OGE and agency-specific rules pertaining to outside employment and activities (18 U.S.C. § 203 & 205), and refrain from representing others before the Federal government or supplementing their salary (18 U.S.C. § 207).

Recusals are required when an employee (1) is prohibited from participating personally and substantially in a matter by 18 U.S.C. § 208; (2) chooses or is directed not to participate in a matter involving specific parties under 5 C.F.R. § 2635.502; or (3) receives an extraordinary payment from a former employer under 5 C.F.R. § 2635.503.

This memorandum reiterates some of the relevant principles set forth in DO-99-018, and identifies some screening arrangement guidelines that agencies should consider. A model screening arrangement is attached.

OGE addressed whether and under what circumstances the head of an agency component may accept an award from a source doing business anywhere in the agency. OGE also discussed lecture awards and when an outside consulting arrangement is consistent with ethical requirements in 5 C.F.R. § 2635.702.

OGE addressed whether and under what circumstances the head of an agency component may accept an award from a source doing business anywhere in the agency. OGE also discussed lecture awards and when an outside consulting arrangement is consistent with ethical requirements in 5 C.F.R. § 2635.702.

OGE indicated it would not approve a proposed supplemental regulation that conditioned the permissibility of an outside activity upon the public disclosure of the activity or of any income earned from the activity.

Financial Disclosure report filers must list all the underlying mutual funds they hold in their retirement plans. Therefore, filers must fully disclose the fund names of all TIAA-CREF funds in which they have invested. All TIAA-CREF funds currently meet the 5 C.F.R. part 2634 definition of Excepted Investment Fund.

To commemorate the 25th anniversary of the beginning of the modern executive branch ethics program, OGE provides a sample message that ethics officials may send to employees to heighten employee awareness and understanding of the ethics program.

The Standards of Conduct contain no regulatory exception that would permit a senior procurement official and his spouse to accept a meal from a company for the purpose of discussing the company’s future business opportunities with the official’s department. He may accept a meal that has a value of $20 or less ($50 per year per source).

18 U.S.C. § 207(a)(1) does not bar a communication or appearance concerning a contract if it has substantially changed.  For example, a contract may no longer be the same contract if there are different terms, there is different confidential information involved, and a significant period of time has passed.

18 U.S.C. § 207(c) bars a communication to or appearance before an employee of the former senior employee’s agency (or an employee detailed to that agency), regardless of the forum.  An employee is not necessarily insulated from an attempt to influence merely because the employee is characterized as an observer.

A special Government employee (SGE) is always prohibited from representing others in connection with particular matters involving specific parties in which the SGE has participated personally and substantially.  The 60-day standard is a threshold for the stricter prohibition in relation to matters pending at the SGE’s agency.

18 U.S.C. § 207 does not cover an individual who interacts with the Government solely on his own behalf, but it may affect an individual who has formed a corporation or partnership if the individual represents the corporation or partnership.

OGE provides information on the procedures for submitting semiannual reports of payments received from non-Federal sources in connection with the attendance of employees at certain meetings or similar functions (31 U.S.C. § 1353).

2002 Conflict of Interest Prosecution Survey

This memorandum explains the financial disclosure filing criteria for SGEs and uses scenarios to further illustrate how the criteria should be implemented.

OGE issues a revised OGE Form 201. This memorandum summarizes the changes to the form.

Performance of a support services contract could involve the intent to influence for purposes of 18 U.S.C. § 207(a)(1).  The restriction can be violated by an employee’s mere appearance without speaking.

OGE updated the OGE/GOVT-1 system of records (covering SF 278 Public Financial Disclosure Reports and other name-retrieved ethics program records) to include three new routine uses of the SF 278 (August 2003). OGE also notified agencies of adjustments to the gifts/travel reimbursements reporting thresholds.

A special Government employee (SGE) serving on an advisory committee is subject to many of the Federal ethics laws and regulations, but a “representative” member of a committee is not.  Some provisions apply differently to SGEs than to “regular” employees or do not apply at all.

This memorandum briefly summarizes some significant features of the revised OMB Circular A-76; explains that DAEO and Alternate DAEO functions are inherently Governmental and must be performed by Government employees; and identifies some common ethics official activities that are inherently Governmental.

This memorandum briefly summarizes some significant features of the revised OMB Circular A-76; explains that DAEO and Alternate DAEO functions are inherently Governmental and must be performed by Government employees; and identifies some common ethics official activities that are inherently Governmental.

OGE provides information on the procedures for submitting semiannual reports of payments received from non-Federal sources in connection with the attendance of employees at certain meetings or similar functions (31 U.S.C. § 1353).

OGE summarizes the restrictions in 18 U.S.C. § 207(a)(1), 18 U.S.C. § 207(a)(2), and 18 U.S.C. § 207(c) and the procurement integrity restrictions in 41 U.S.C. § 423.  Allegations of misconduct ordinarily are investigated by the Inspector General of an individual’s former agency.

The term “diversified” is defined in 5 C.F.R. § 2640.102(a) for purposes of the exemption at 5 C.F.R. § 2640.201(a).  An open-end mutual fund is “diversified” for purposes of the certificate of divestiture regulation and qualifies as "permitted property" if it does not have an objective or practice of investing in particular or limited sectors.

OGE publishes a proposed rule (February 2003) providing interpretive guidance concerning 18 U.S.C. § 207. This memorandum discusses the history of the statute and the structure of the proposed rule.

A particular corporation, owned by a foreign government, is not a “government of a foreign country” under 18 U.S.C. § 207(f)(3) because it does not exercise the functions of a sovereign.

Detailees under the IPA who occupy positions that fit one of the categories in section 13103 of the Ethics in Government Act (or that are of "equal classification" with those positions) are required to file public financial disclosure reports.  Agencies may require other detailees to file confidential financial disclosure reports.

Detailees under the IPA who occupy positions that fit one of the categories in section 13103 of the Ethics in Government Act (or that are of "equal classification" with those positions) are required to file public financial disclosure reports. Agencies may require other detailees to file confidential financial disclosure reports.

Use of the title "Administrative Law Judge," or "U.S. Administrative Law Judge," are references to an ALJ's official position and could be a violation of the Standards of Conduct when used on personal letterhead.  In contrast, the use of "Judge," or "The Honorable" are commonly used honorifics that can be used on personal letterhead.

OGE issues the September 2002 version of the confidential financial disclosure form.

2001 Conflict of Interest Prosecution Survey

A senior employee is still considered a senior employee of his agency for the purposes of 18 U.S.C. § 207(c) while on home leave.  In addition, a senior employee on detail to an agency from his home agency is considered a senior employee of both agencies for the purpose of 18 U.S.C. § 207(c).

Under 18 U.S.C. § 207(a)(2) a matter was actually pending as a particular matter involving specific parties under a former employee's official responsibility before he terminated his position.  A particular matter involving specific parties may be pending in an agency prior to the filing of an actual application for some kind of Federal action.

An agency should analyze whether gift baskets provided by an association to several agency offices may be accepted under the agency's gift acceptance statute.

OGE issues final rule amendments (September 2002) that revise the financial disclosure regulations to reflect the statutory increase of the thresholds for reporting of gifts, reimbursements and travel expenses.

OGE summarizes 18 U.S.C. § 207(j), concurs that a proposed waiver under 18 U.S.C. § 207(j)(5) would permit a former employee to furnish scientific or technological information to his former agency, and provides guidance concerning the scope of the proposed waiver.

Amendments to the financial disclosure regulations allow agencies to grant public filers the additional extensions of time currently granted by the OGE Director, not to exceed 45 days, and to waive the late filing fee for public filers who submit their reports more than 30 days after the due date.

OGE analyzes the unusual and complicated facts related to the Yucca Mountain project and concludes, for purposes of this case, that certain pre-licensing matters should be viewed as part of the same particular matter involving specific parties as the licensing proceedings for purposes of 18 U.S.C. § 207(a).

This memorandum explains that 18 U.S.C. § 205 should rarely prevent a Federal employee from serving with an outside organization where no representational activities are anticipated.

OGE issues a comprehensive summary of 18 U.S.C. § 209, which prohibits the supplementation of a Government employee’s salary by outside sources.

OGE issues a comprehensive summary of 18 U.S.C. § 209, which prohibits the supplementation of a Government employee’s salary by outside sources.

This memorandum provides ethics officials with general guidance on the subject of revocable living trusts and explains the context in which an amendment to the financial disclosure regulations applies.

OLC issues an opinion dealing with the question of whether an individual becomes an officer or employee, for purposes of the conflict of interest restrictions, upon appointment by the President but before beginning duties.

OLC issues an opinion dealing with the question of whether an individual becomes an officer or employee, for purposes of the conflict of interest restrictions, upon appointment by the President but before beginning duties.

OGE reiterates reporting requirements for trustees and executors.  OGE also summarizes reporting requirements for the situation in which an employee, spouse or dependent child has a beneficial interest in a trust or estate.

President Bush delegated his authority under 18 U.S.C. § 208(b) to grant waivers to agency heads, to the Counsel to the President.

OGE provides guidance concerning the reporting of the assets and income of trusts and estates with respect to which a reporting individual serves as trustee, executor, or administrator.

OGE provides guidance concerning the reporting of the assets and income of trusts and estates with respect to which a reporting individual serves as trustee, executor, or administrator.

OGE publishes a final rule amending the regulations in 5 C.F.R. part 2640 that exempt certain financial interests as being too remote or inconsequential to affect the integrity of the services of employees, under 18 U.S.C. § 208(b)(2).

OGE describes required evidence that must be submitted to OGE within three months from a nominee's Senate confirmation date with respect to certain recusals made by nominees under 5 C.F.R. part 2635, subpart E in the nominee's ethics agreement. OGE also summarizes policies on extensions of time to complete compliance with an ethics agreement, including timing considerations when an appointee will be applying for a Certificate of Divestiture.

2000 Conflict of Interest Prosecution Survey

The immediate practical consequence of this OLC opinion is that, in many situations, employees will not be deemed to have a disqualifying financial interest in matters affecting the holdings of a trust in which the employee’s spouse or minor child serves as a trustee.

The immediate practical consequence of this OLC opinion is that, in many situations, employees will not be deemed to have a disqualifying financial interest in matters affecting the holdings of a trust in which the employee’s spouse or minor child serves as a trustee.

OGE analyzes whether certain members of the board of directors of Federal Prison Industries (FPI) are subject to Federal conflict of interest requirements.

Because a proposed book by an administrative judge dealt in significant part with an ongoing or announced policy, program or operation of his agency, he was barred by 5 C.F.R. § 2635.807 from receiving compensation for the book.

OGE discusses some of the ethics issues raised in connection with an employee's proposed involvement in the establishment and management of a nonprofit organization.

OGE addresses issue of whether certain conduct by an attorney in an agency "created a situation in which her impartiality could be questioned" and whether she should have disqualified herself from certain particular matters or sought an authorization to participate, pursuant to 5 C.F.R. § 2635.502.

An administrative judge is barred by 5 C.F.R. § 2635.807 from receiving compensation for writing a pair of proposed books on the subject of compensatory damages in private sector cases and in Federal sector cases.

The bar on use of title and position set forth in 5 C.F.R. § 2635.807(b), like the related bar in 5 C.F.R. § 2635.702, do not apply to activities undertaken as part of an employee's official duties.

OGE responds to a request from a Senate committee to review the requirements of 5 C.F.R. § 2635.502 in order to “ensure that the rule is written and applied in a manner that effectively evaluates a nominee’s conflict of interest and impartiality on matters relating to 'covered relationships.’”

OGE submits a report on improvements to the financial disclosure process for Presidential nominees to the Senate Committee on Governmental Affairs and the House Committee on Government Reform.

OGE addresses whether it is proper for a United States administrative law judge (ALJ) to use the title "Judge" and/or "Judge and Mrs." in personal correspondence.

This memorandum addresses several issues pertaining to ethics agreements of Presidential appointees whose positions require Senate confirmation.

The Office of Legal Counsel issued an opinion about payments to charitable organizations in lieu of honoraria (an exception to honoraria ban) and an opinion about communications under 18 U.S.C. § 207(c). 

Potential PAS appointees hired as advisors or counselors prior to announcement, nomination and confirmation to a PAS position are employees of the United States and are generally subject to all Federal ethics laws and regulations.  They will qualify as special Government employees.

Potential PAS appointees hired as advisors or counselors prior to announcement, nomination and confirmation to a PAS position are employees of the United States and are generally subject to all Federal ethics laws and regulations. They will qualify as special Government employees.

The Office of Legal Counsel issued an opinion about payments to charitable organizations in lieu of honoraria (an exception to honoraria ban) and an opinion about communications under 18 U.S.C. § 207(c).

18 U.S.C. §§ 203 and 205 prohibit an employee from acting as a compensated agent for private clients in prosecuting patent applications before the Patent and Trademark Office of the Department of Commerce.

OGE summarizes the results of the Executive Branch Employee Ethics Survey 2000. The survey had two primary purposes. The first was to assess the effectiveness of the executive branch ethics program, from an employee perspective. The second was to assess executive branch ethical culture.

President George W. Bush issues a memorandum to agency heads asking them to ensure that all personnel within their departments and agencies are familiar with, and will faithfully observe, applicable ethics laws and regulations.

Pursuant to the Presidential Transition Act of 2000, OGE requests recommendations for improvements to the financial disclosure process for Presidential nominees to Senate confirmed positions.

President Clinton revokes Executive Order 12834, which had imposed special post-employment restrictions on senior appointees of his Administration by requiring senior officials and trade negotiators to sign a pledge as a condition of holding a covered position.

This memorandum provides guidance on issues concerning the activities of members of the President-elect's Transition Team. OGE also describes how nominee financial disclosure forms will be processed during the transition.

OGE issues final rule amendments that revise the financial disclosure regulations to reflect the statutory increase of the thresholds for reporting of gifts, reimbursements and travel expenses. OGE also increases the widely attended gathering gift exception ceiling for nonsponsor gifts of free attendance.

A judge of the United States Court of Appeals for the Armed Forces (CAAF) would not qualify as an “eligible person” for a Certificate of Divestiture, pursuant to 26 U.S.C. § 1043(b)(1)(A). CAAF judges are not executive branch employees.

The Office of Legal Counsel (OLC) issue two opinions, one concerning the scope of the exemption at 18 U.S.C. § 207(j)(7) and the other addressing the scope of 18 U.S.C. § 207(d).

OGE concluded that the limitation in the final clause of the exclusion to 18 U.S.C. § 208 contained in 18 U.S.C. § 208(b)(4) involving financial interests by birthright, covers only certain particular matters that involve specific parties.

OGE determined that, although an employee would violate 18 U.S.C. § 205 if he represented taxpayers before the Internal Revenue Service, 18 U.S.C. § 205 does not prohibit an employee from assisting another in preparing their income tax returns.

In O'Neill v. Department of Housing and Urban Development, 220 F.3d 1354 (2000), the court of appeals determined that an employee does not act as "agent" for another person, under 18 U.S.C. § 205, unless the employee has actual or apparent authority to act on behalf of that person in dealings with the Government.

In O'Neill v. Department of Housing and Urban Development, 220 F.3d 1354 (2000), the court of appeals determined that an employee does not act as "agent" for another person, under 18 U.S.C. § 205, unless the employee has actual or apparent authority to act on behalf of that person in dealings with the Government.

OGE issues a proposed rule amending 5 C.F.R. part 2640 by revising some existing exemptions and adding new exemptions.

OLC concluded that 18 U.S.C. § 209 ordinarily does not preclude outside royalty payments to employee-inventors who privately commercialize inventions for which the Government has permitted them to obtain patent rights.

OLC concluded that 18 U.S.C. § 209 ordinarily does not preclude outside royalty payments to employee-inventors who privately commercialize inventions for which the Government has permitted them to obtain patent rights.

OGE publishes an interim rule amending 5 C.F.R. § 2635.807(a), the prohibition on employee receipt of compensation for outside teaching, speaking, and writing.

OGE provides guidance on the distinction between diversified and sector mutual funds for purposes of certain regulatory exemptions, codified in 5 C.F.R. part 2640.

OGE provides guidance on the distinction between diversified and sector mutual funds for purposes of certain regulatory exemptions, codified in 5 C.F.R. part 2640.

The extent to which ethics laws and regulations apply to public-private exchange participants often depends on whether those persons are considered "employees" of the Federal Government.

1999 Conflict of Interest Prosecution Survey

OGE decided that an employee could have accepted a prize he won while attending a trade show on official assignment. The trade show was open to the general public and so was the contest. A test of knowledge as a condition of selecting finalists did not operate as a constraint on who could participate.

OGE issues the March 2000 edition of the SF 278.

OGE is not aware of any statutory authority allowing it to categorically exempt the District of Columbia or its employees from the Federal conflict of interest laws contained in Chapter 11, Title 18 of the United States Code.

An employee is not necessarily precluded from acting in matters before an oversight group because his spouse receives a salary for service as the Executive Director of local nonprofit organizations having interests in matters before the group. Whether participation is permissible or appropriate will require an analysis of the facts in each situation.

OGE decided that the exemption at 18 U.S.C. § 208(b)(4) is limited to circumstances where the employee holds a financial interest by birthright, and even then, the exemption could not operate to exempt imputed financial interests of an organization for which the employee serves as a director.

In Van Ee v. Environmental Protection Agency, the D.C. Circuit concluded that 18 U.S.C. § 205(a)(2) does not prohibit the communications which the plaintiff in the case, a career employee, proposed to make.

OGE letter to an agency clarifying, 1) an agencies' responsibility to furnish OGE with all information necessary for OGE to perform its duties, 2) OGE's authority for interpreting its own regulations, and 3) an agencies' responsibility to report information concerning criminal violations.

Brokerage statements, as well as bank statements, personal spreadsheets, and any other financial materials, are acceptable as attachments in lieu of direct entries on an SF 278 only if they meet the statutory and regulatory reporting requirements.

OGE reissues a summary of 18 U.S.C. § 207. This edition incorporates three changes that were necessary to reflect statutory amendments in 1995 and 1996.

OGE issues a summary of the ethics requirements that are applicable to special Government employees.

OGE issues a summary of the ethics requirements that are applicable to special Government employees.

The prohibition on receipt of compensation for any representational services in 18 U.S.C. § 203 is limited to compensation in exchange for the provision of representational services to a third party, rendered either by the employee or an associate.

The prohibition on receipt of compensation for any representational services in 18 U.S.C. § 203 is limited to compensation in exchange for the provision of representational services to a third party, rendered either by the employee or an associate.

OGE publishes a second paperwork round for a proposed moderately revised version of the SF 278 report form.

A former Government employee receiving a fixed rate of pay may not receive a mid-year pay adjustment if the formula used to make the adjustment is dependent on fees received for representational services rendered by another person in connection with a particular matter in which the United States is a party or has a direct and substantial interest.

A particular matter involving specific parties may begin when an agency identifies issues specifically associated with a potential matter, identifies matters of controversy and considers and plans courses of action.  The fact that an application has not been received by the agency does not mean the matter is not before the agency.

Summary of the various post-employment restrictions that apply to a former Government official.

OGE describes an initiative being undertaken with the National Archives and Records Administration (NARA) to revise and expand the General Records Schedules' (GRS) coverage of ethics program records.

Determining when various stages of a large program become a particular matter involving specific parties and when former officials participated personally and substantially in the various stages.

A prospective employee who has an interest in a contingency fee case in which the United States is a party or has a direct and substantial interest must take steps to avoid the proscription in 18 U.S.C. § 203 before entering Government service.

A prospective employee who has an interest in a contingency fee case in which the United States is a party or has a direct and substantial interest must take steps to avoid the proscription in 18 U.S.C. § 203 before entering Government service.

A former Government employee who is working for a company that provides technical support on a contract in which the former Government employee participated personally and substantially could violate the 18 U.S.C. § 207 restrictions.

OGE issues the October 1999 edition of the OGE Form 201.

OGE summarizes the results of a survey of ethics officials assessing use of the OGE Optional Form 450-A, examining agency efforts to reduce the number of positions required to file confidential reports, and collecting the opinions of ethics officials on whether the confidential financial disclosure system is meeting its intended purpose.

This attachment, DO-99-037A, sets forth general background information on efforts to improve the confidential financial disclosure system, discusses a recent review's scope and methodology, and provides details on OGE's primary findings.

A company's stock that is purchased through an employee stock investment plan will be taxed as ordinary earned income under Internal Revenue Service rules, which makes the stock ineligible for a certificate of divestiture.

Intergovernmental Personnel Act (IPA) assignments must be reviewed to make sure they are consistent with applicable conflict of interest restrictions.

A high-level official's attendance at a meeting should be closely reviewed to determine whether his attendance amounts to personal and substantial participation.  Also, an overall acquisition strategy can be an integral part of the contracting process resulting in two separate programs being considered the same particular matter for 18 U.S.C. § 207(a)(1).

OGE reaffirms the applicability of the exemption at 5 C.F.R. § 2640.203(d) for employees who participate in matters conducted under OMB Circular A-76 procedures.

OGE's amendments to the civil monetary penalties that may be imposed for certain violations of the Ethics in Government Act. affect the executive branchwide financial disclosure and outside employment regulations at 5 C.F.R. parts 2634 and 2636.

An employee may not use or permit the use of his official position or title in connection with private service on the board of directors of a nonprofit or other organization, even if that entity has qualified for participation in the Combined Federal Campaign.

1998 Conflict of Interest Prosecution Survey

OGE publishes a first round paperwork notice for a proposed moderately revised version of the SF 278 report form.

OGE reminds agencies that OGE Optional Form 450-A cannot be used in 2000 by filers at agencies that have adopted the maximum three-year use cycle.

Separate agencies with differing substantive responsibilities may reach different conclusions when determining whether a matter is the same particular matter for purposes of 18 U.S.C. § 207.

OGE issues the April 1999 edition of the OGE Form 450 Confidential Financial Disclosure Report.

The decision in the Sun-Diamond case does not disturb the noncriminal prohibitions on gifts found at 5 U.S.C. § 7353 or the Standards of Ethical Conduct for executive branch employees at 5 C.F.R. part 2635.

The decision in the Sun-Diamond case does not disturb the noncriminal prohibitions on gifts found at 5 U.S.C. § 7353 or the Standards of Ethical Conduct for executive branch employees at 5 C.F.R. part 2635.

The proposed consulting services will not violate 18 U.S.C. § 207(a)(1) or (a)(2).   More facts are needed to determine if the former employee may serve as an expert witness in a class action lawsuit that may include individuals on whose claims the former employee worked as a Government employee.

A dollar-based test to determine whether an employee was "substantially" involved in a particular matter involving specific parties for purposes of the lifetime bar of 18 U.S.C. § 207(a)(1) is not consistent with positions taken by OGE and will lead to incorrect conclusions.

The regulatory exemption at 5 C.F.R. § 2640.203(d) permits an employee to fully participate in particular matters affecting his Government position, salary and benefits, so long as those matters do not affect him individually or specially, and so long as they do not affect his interests beyond those arising from Government employment.

The regulatory exemption at 5 C.F.R. § 2640.203(d) permits an employee to fully participate in particular matters affecting his Government position, salary and benefits, so long as those matters do not affect him individually or specially, and so long as they do not affect his interests beyond those arising from Government employment.

OGE provides a summary, in question and answer format, of the rules and policies that apply to certificates of divestiture in most situations.

OGE provides a summary, in question and answer format, of the rules and policies that apply to certificates of divestiture in most situations.

OGE discusses the obligation to recuse under 18 U.S.C. § 208 or 5 C.F.R. § 2635.502, and, suggests screening arrangements and other procedures that may be used to help ensure that a commitment to recuse is carried out effectively, and encloses a model recusal memorandum.

OGE discusses the obligation to recuse under 18 U.S.C. § 208 or 5 C.F.R. § 2635.502 and suggests screening arrangements and other procedures that may be used to help ensure that a commitment to recuse is carried out effectively.  OGE encloses a model recusal memorandum.

This memorandum examines some commonly encountered factual circumstances that arise under the gift exclusion at 5 C.F.R. § 2635.203(b)(5), specifically concerning prizes from drawings or contests entered while in an official duty status.

This memorandum examines some commonly encountered factual circumstances that arise under the gift exclusion at 5 C.F.R. § 2635.203(b)(5), specifically concerning prizes from drawings or contests entered while in an official duty status.

OGE updates and refines its previous guidance on the circumstances in which an employee has a conflict of interest in matters affecting the sponsor of his defined benefit plan.

OGE updates and refines its previous guidance on the circumstances in which an employee has a conflict of interest in matters affecting the sponsor of his defined benefit plan.

Provisions of the executive branchwide standards of conduct that require the agencies to make "agency determinations" in implementing the regulations are not subject to collective bargaining.

Provisions of the executive branchwide standards of conduct that require the agencies to make "agency determinations" in implementing the regulations are not subject to collective bargaining.

Several statutes and regulations affect a Government employee's ability to engage in a particular outside activity, such as a consulting business.

Certain of the ethics forms that OGE sponsors for executive branchwide use require periodic (usually three year) renewal of approval from the Office of Management and Budget (OMB) under the Paperwork Reduction Act or from the General Services Administration (GSA) under the interagency reports program.

At the time of this opinion, the sale of stock obtained through the exercise of incentive stock options did not result in capital gains under the Internal Revenue code.  OGE could not issue a certificate of divestiture to the employee who owned the stock options.

OGE discusses the application of the widely attended gathering (WAG) exception to a charitable fundraising event, the determination of agency interest, and difference between the sponsor of the event versus a nonsponsor bearing the cost of attendance.

Determining whether two issues are the same particular matter under 18 U.S.C. § 207(a)(1) is a factual question that may require OGE to disclose the identity of the employee to the employing agency.

OGE announces the publication of disposition instructions by the National Archives and Records Administration (NARA) on the management of agency copies of Semiannual Expense Reports for Non-Federally Funded Travel (travel accepted under 31 U.S.C. § 1353) and related records.

OGE sets forth a framework for analyzing discounts issues and addresses the regulatory provisions that have particular relevance to discounts issues.

OGE sets forth a framework for analyzing discounts issues and addresses the regulatory provisions that have particular relevance to discounts issues.

OGE discusses whether the two-year representation bar of 18 U.S.C. § 207(a)(2) applies to a former military officer who seeks to represent a client in connection with a particular matter that was not pending in his agency's office until after he had gone on terminal leave prior but before he had separated from the agency.

The U.S. District Court for the District of Columbia has issued its decision on remand in Sanjour v. Environmental Protection Agency. The decision impacts enforcement of 5 C.F.R. § 2635.807(a), and its prohibition on employee acceptance of travel expenses in connection with teaching, speaking, or writing relating to official duties.

The U.S. District Court for the District of Columbia has issued its decision on remand in Sanjour v. Environmental Protection Agency. The decision impacts enforcement of 5 C.F.R. § 2635.807(a), and its prohibition on employee acceptance of travel expenses in connection with teaching, speaking, or writing relating to official duties.

This attachment, DO-98-031C, is the executive summary of the results of the field office ethics program survey (1998).

This attachment, DO-98-031A, is the field office ethics program survey questionnaire (1998).

OGE publishes the results of its 1998 survey of ethics officials about various facets of their field office ethics programs.

Discusses application of 18 U.S.C. § 205 and 5 C.F.R. § 2635.702(b) to employees who wish to submit letters providing character reference in support of person subject to Federal criminal sentencing; also discusses need for OGE-approved supplemental standards of conduct regulation if agency wants to maintain additional ethics restriction.

Section 1353 of title 31, United States Code, authorizes the acceptance by executive branch agencies of payments for travel, subsistence, and related expenses from non-Federal sources in connection with the attendance of employees at certain meetings or similar functions. The statute provides that the head of each agency shall submit to the Director of the Office of Government Ethics (OGE) semiannual reports of payments of more than $250 accepted under this authority. The next semiannual report should be submitted to OGE not later than November 30, 1998, concerning payments received during the period beginning on April 1, 1998, and ending on September 30, 1998. Agencies are required to submit negative reports.

Employees were precluded from retaining purchase incentives, for personal use, from vendor in connection with official agency purchases.

Guidance on when employees may accept meal at event and proper disposition of prohibited gifts.

Guidance on when free attendance at a reception constitutes a gift and, if so, when various exceptions to the gift prohibitions may apply.

This attachment, DO-98-031B, is the full report of the results of the field office ethics program survey (1998).

OGE reminds agencies to use the OGE Form 202 (recently revised) to report to OGE referrals of potential violations of the criminal conflict of interest laws to the Attorney General.

The Office of Legal Counsel issues an opinion addressing the question of whether 18 U.S.C. § 208 prohibits employees of the executive branch from serving, in an official capacity, as a member of the board of a private voluntary standards organization.

OGE summarizes ethics provisions that are relevant when an employee speaks at a private conference in an official or unofficial capacity, and comments on policy considerations that are relevant when an agency is deciding whether to provide an official speaker.

OGE publishes the remaining installment of proposed minor amendments to the standards, affecting subpart F (Seeking Other Employment) and subpart H (Outside Activities).

OGE announces issuance of rule removing obsolete provisions concerning the former honoraria ban.

OGE announces issuance of rule removing obsolete provisions concerning the former honoraria ban.

OGE publishes proposed minor amendments to subpart B (Gifts From Outside Sources) of the standards of conduct regulation.

OGE discusses whether an employee who serves as trustee is required to report the holdings and income of the trust on the employee's financial disclosure report.

Only "personal and substantial" participation in a particular Government matter is restricted by 5 C.F.R. §§ 2635.402(c) and 2635.604(a), but circumstances may warrant that an employee be disqualified from any participation in certain matters under 5 C.F.R. § 2635.502(a).

OGE denied a request for a Certificate of Divestiture where the stock was acquired through a qualified incentive stock option plan and the sale would not comply with the required holding period.

OGE will not issue a Certificate of Divestiture for a security received as a gift, although securities received through inheritance may be eligible for a Certificate of Divestiture.

Transportation received as part of official duties are accepted by the government, not the individual, and the Standards of Conduct do not apply. The matter must be resolved by the agency, determining if the transportation is a gift (or part of the contract) and whether the agency can accept a gift (generally prohibited without statutory authority).

The OGE poem, "A Different Point of View," summarizes key provisions of the Standards of Ethical Conduct for Employees of the Executive Branch and certain of the conflict of interest statutes in title 18 of the United States Code.

Inclusion of a federal employee organization's name on another organization's letterhead would not constitute representational activity by the Federal employee members of the organization even if the other organization made representations to the Government using the letterhead.

Under current law, the Office of Government Ethics (OGE) is required to submit biennially a report to Congress summarizing the actions taken in the ethics program during the previous two years and providing any other appropriate information. The report covering OGE's activities from January 1, 1996 through December 31, 1997 has just been issued, and a copy is attached.

OGE withdraws its request that agency reviewers add a statement to nominee financial disclosure reports noting that the information on the report has been updated in accordance with required time periods.

Neither the statute, 5 U.S.C. app., §§ 101-111, nor the controlling regulation at 5 C.F.R. part 2634 allowed agencies to require filers to add a certification of no conflict of interest to the SF 278 Public Financial Disclosure Report.

There is no per se ethics violation if a contractor uses a federal employee's resume in an agency procurement process. It is possible that use of that resume, in certain circumstances, could violate conflicts of interest statutes or standards of ethical conduct.

The material in the public financial disclosure report of a nominee must be made current by the nominee or the agency reviewer (pursuant to specific authorization from the nominee) prior to submitting the report to this Office in final form.

A minor clarifying amendment establishes that the agency head's (or his designee's) decision upon review of complaints regarding the designation of employee positions for filing confidential financial disclosure reports is final and conclusive for all purposes.

1997 Conflict of Interest Prosecution Survey

Employee was a senior employee by reason of 18 U.S.C. § 207(c)(2)(A)(i), because she was employed in a position paid under the Executive Schedule, despite continuing to receive pay under the SES. Therefore, her former agency under 18 U.S.C. § 207(c) and EO 12834 is all of the agency, as the component designation under § 207(h) doesn't apply.

Guidelines to help an ADAEO determine whether a government employee may purchase a training script from his agency, and how he may use that script outside of his government responsibilities.

The basic rate of pay that makes an individual subject to "senior employee" restrictions of 18 U.S.C. § 207(c) refers to the employee's actual pay (salary), not the pay scale. The basic rate of pay that makes an individual subject to public financial disclosure requirements, refers to the minimum pay of a particular level on the pay scale.

Under 5 C.F.R. §§ 2635.201 and 2635.203, the government employee was allowed to accept gifts from his wife's employer, because it was not a prohibited source. Employee was not required to disclose the gifts because they were given to his wife totally independent of the employee.

OGE did not create an exception to 18 U.S.C. § 207(c) for a new director position within an agency because that agency did not provide sufficient evidence to show that the imposition of section 207(c) would cause undue hardship within the meaning of section 207(c)(2)(C)(i).

Discusses whether a board of presidentially appointed federal employees who approve free attendance for the board at gatherings, satisfied the procedural requirements when determining that the agency's interest in attending is outweighed by the risk of impropriety.

Employees may fundraise for a professional society or other nonprofit organization, but they may not personally solicit funds from subordinates or from person known to be "prohibited sources."

An agency's proposed waiver of the one-year "cooling-off" period in 18 U.S.C. § 207(c) under 18 U.S.C. § 207(j)(5) was appropriate.

OGE does not have the authority to waive the application of the 14 fundamental principles established by Executive Order 12674 or the implementing regulation at 5 C.F.R. § Part 2635. OGE authorizes a pilot test of electronic filing for confidential financial disclosure system.

1996 Conflict of Interest Prosecution Survey

Personal and substantial participation by a former employee in preparing damage survey reports barred her from communicating with or appearing before her former agency on behalf of her new employer.

Executive branch departments and agencies are authorized to adopt a standardized certificate of no new interests (OGE Optional Form 450-A) in lieu of an annual OGE Form 450, for regular employee annual confidential disclosure filers who can make the required certifications.

In situations where a waiver is sought with respect to service in an official capacity as an officer or director of a private organization, the Office of Government Ethics will provide consultation only with respect to whether the procedures set forth under paragraph (a) of 5 C.F.R. § 2640.301 have been followed, and whether the factors set forth under paragraph (b) of that section have been adequately considered.

In February 1997, OGE conducted a survey to learn more about the experiences, opinions, and needs of agency ethics officials regarding various facets of their agency ethics training programs. Ninety-four ethics officials responded to our survey questionnaire, with many adding valuable written comments. The report on the survey results is attached.

OGE discusses the changes made to 18 U.S.C. § 207 by the Ethics Reform Act of 1989 and the related technical amendments enacted in 1990. Certain provisions of section 207 apply to District of Columbia employees.

Pending the final court order clarifying the reach of the appellate decision in Sanjour v. U.S., OGE issued an interim policy about the prohibition on accepting travel expenses connected with certain unofficial speech.

Pending the final court order clarifying the reach of the appellate decision in Sanjour v. U.S., OGE issued an interim policy about the prohibition on accepting travel expenses connected with certain unofficial speech.

5 C.F.R. § 2635.502 establishes a mechanism for an employee to determine whether "appearances" require his disqualification from an assignment and to seek authorization from an agency designee before he does participate.

The Office of Legal Counsel, Department of Justice, issued a memorandum addressing whether 18 U.S.C. § 208 would prohibit Federal Bureau of Investigation personnel from serving on the boards of directors of non-Federal nonprofit entities in their official capacities.

The Office of Legal Counsel, Department of Justice, issued a memorandum addressing whether 18 U.S.C. § 208 would prohibit Federal Bureau of Investigation personnel from serving on the boards of directors of non-Federal nonprofit entities in their official capacities.

18 U.S.C. § 207 cannot not be the authority upon which broader agency regulatory restrictions on former agency employees practicing before the agency in connection with certain cases are based.

While there is no rule barring spouses from working for the same agency, there are statutory and regulatory restrictions that prevent conflicts of interest from arising in these situations.

Whether military Reservists and National Guard members may use official time and Government equipment at their civilian Federal positions depends upon whether the agency has authorized such use.

An employee may not give more prominence to his Government title and position than to other biographical information that he provides in connection with outside writing.

OGE comments on whether 5 C.F.R. § 2635.502 should preclude a Board member at an agency from participating in a meeting, about a rulemaking, if the Board member's subordinate is discussing employment with a trade association for the industry affected by that rulemaking.

1995 Conflict of Interest Prosecution Survey

In the Spring 1996 edition of the Ethics Newsgram, the Office of Government Ethics (OGE) announced future changes to improve the administration of the ethics agreement compliance system for Presidential appointees confirmed by the Senate. This DAEOgram provides more details on those changes and how they will affect the system at executive branch agencies.

The Standards of Conduct prohibit an employee of the U.S. Postal Service from accepting a Christmas gift of $10 in cash from a customer on his route.

OGE issues final rule describing circumstances under which the prohibitions contained in 18 U.S.C. § 208(a) would be waived.

OGE discusses the ethics regulations that apply in the case of a Federal employee, who is a high-ranking official of a department, and who works for a presidential campaign on issues related to his department's program.

OGE discusses whether an employee's proposed post-employment activities would implicate the restriction of 18 U.S.C. § 207(a)(1).

A "discount" on automobile insurance offered to those who were a GS-11 or above was not a gift within the meaning of the Standards of Conduct. The discount is based on actuarial statistics demonstrating that the cost of providing insurance to those in the discount group is less than the cost of providing insurance to others.

As part of our ongoing efforts to evaluate ethics programs and improve ethics in the Government, the Office of Government Ethics (OGE) recently completed a review of the structure of ethics offices within the executive branch. Accordingly, I would like to share with you the results of this review.

The primary statute applicable to negotiating for future employment by an executive branch official is 18 U.S.C. § 208. The post-employment restrictions of 18 U.S.C. § 207 contains an exemption from the application of its restrictions for representations made on behalf of Indian tribes.

OGE obtained OMB approval for renewal for three years of a revised OGE Form 201 (July 1996 edition) and an unmodified SF 278.

OGE publishes interim rule making technical amendments to various sections of the Standards of Conduct so that they conform with the Hatch Act Reform Amendments of 1993 (HARA). These changes do not purport to provide substantive guidance as to the HARA.

OGE addresses the ethics issues raised by the participation of executive branch employees in a golf tournament that was held simultaneously with an annual conference of Federal Government employees.

OGE published a final rule to revise the widely attended gatherings gift exception at 5 C.F.R. § 2635.204(g). One of the amendments provides that agencies can authorize their employees to accept gifts of free attendance at widely attended gatherings from persons other than the sponsors of the event.

Section 101 (h) and (n) of E.O. 12674 does not conflict with 5 U.S.C. § 3110 (the nepotism statute) or 18 U.S.C. § 208. Spouses could work in the same office, but one spouse could not hire the other spouse to work there, or even recommend the other spouse for promotion.

The amendment to section 205 allows employees to represent certain nonprofit organizations before the Government, and the amendment to section 207 added an exception allowing former high-level officials to represent certain candidates.

The amendment to section 205 allows employees to represent certain nonprofit organizations before the Government, and the amendment to section 207 added an exception allowing former high-level officials to represent certain candidates.

OGE determined that agency supplemental pay combined with pay from the university triggered the threshold to make the employee a "senior employee" subject to 18 U.S.C. § 207(a). [See IPA at 5 U.S.C. §§ 3371-3376]. OGE also discussed whether certain activities were therefore restricted under 18 U.S.C. § 207 and 5 C.F.R. part 2637.

OGE's Director determined that although a full year had passed between the employee's improper retirement and reinstatement, the situation did not qualify the employee for a waiver from 18 U.S.C. § 207 restrictions, and the OGE determined that a waiver should not be used to mitigate the consequences of the previous, improper action.

OGE determined that the former employee was barred from representing an individual before a Federal agency because his involvement in the matter while a government employee, while not time consuming, could be interpreted as "substantial" for purposes of 18 U.S.C. § 207.

By appealing a decision in favor of the agency, the employee took a position contrary to his agency, and the agency claimed this action violated 18 U.S.C. § 205 and the agency's own ethics regulations. OGE determined the individual was not necessarily representing an intervening plaintiff in the suit, nor did the employee violate the current standards of conduct.

Under 5 C.F.R. part 2637, an agency may only submit such a waiver if the former employee's involvement in the matter for the private employer is needed on a continuous and comprehensive basis. The OGE determined, based on the employee's experience and expertise and anticipated work, that such a waiver could be granted.

OGE provides guidance on when to disclose underlying holdings on the OGE Form 450 for mutual funds, pensions, and similar investments.

OGE extends the temporary waiver of the restrictions in 18 U.S.C. § 207(c) and (f) so that it will remain effective through October 31, 1996, or until the effective date of any remedial legislation, whichever occurs earlier. 

OGE asks agencies to respond to survey about the usefulness of a standardized "certificate of no new interests" as an alternative to an annual OGE Form 450.

OGE determined that assets controlled solely by a spouse could be considered financial interests for a government employee that would trigger the appearance of or actual conflicts of interest, and could require divestiture.

The specific policy in dispute was dress code policy, which the OGE said was not abolished when the Standards of Ethical Conduct were passed in February, 1993.

The OGE determined based on information provided, that the former employee could represent private clients before the agency. The OGE found that rules requiring a cooling off period did not apply to the employee.

Enclosed in this envelope is a copy of the Office of Government Ethics' (OGE) Fourth Biennial Report to Congress. This report is required by statute to be submitted every two years by the end of March.

The OGE determined that for purposes of 18 U.S.C. § 207, an organization's study and agency A and B's rule making were part of the same mandate, and thus were part of the same particular matter. The OGE also concluded the employee's participation was personal and substantial.

The ethics laws and regulations do not preclude an employee from serving in a leadership position with a private partisan organization provided the employee does not take actions while serving that violate an ethics provision, such as 18 U.S.C. § 205.

An executive branch employee who has a qualified diversified trust (a blind trust) under the Ethics in Government Act may not instruct the independent trustee of the trust to sell all equity positions and invest in bonds.

The Office of Legal Counsel of DOJ issued an opinion stating that the recent Supreme Court decision in NTEU v. U.S. made the statutory prohibition on honoraria unenforceable.  Other restrictions remain in effect.

The Office of Legal Counsel of DOJ issued an opinion stating that the recent Supreme Court decision in NTEU v. U.S. made the statutory prohibition on honoraria unenforceable. Other restrictions remain in effect.

OGE issues the new OGE Form 450, Confidential Financial Disclosure Report.  This form replaces the SF 450.

OGE responds to an executive branch employee's complaints that the confidential financial disclosure system is arbitrary, dangerous, and intrusive.

1994 Conflict of Interest Prosecution Survey

Section 20 of the Lobbying Disclosure Act of 1995 (Pub. L. 104-65) amended the Ethics in Government Act of 1978 to require new categories of amount or value on public financial disclosure reports for assets, income and liabilities exceeding $ 1 million (except for interests of a spouse or dependent child, unless jointly held with the filer). This applies to all SF 278 reports filed on or after January 1, 1996.

Absent express authority, a member of an executive branch commission may not engage in official fundraising for a private nonprofit organization.

An agency has authority under 5 C.F.R. § 2635.106(b) to take corrective action for ethics violations by its employees. An agency must look to its own regulations for authority to conduct investigations into ethics violations.

The Counsel to President Clinton confirmed that Executive Order 12834 did not apply to employees paid at level 4 of the Senior Executive Service (SES).

Temporary waiver extends to employees whose basic rate of pay on December 28, 1995 was less than that of the rate of basic pay payable for level V of the Executive Schedule and as a direct result of EO 12984 but who would have their basic rate of pay increased to an amount equal to or greater than the rate of basic pay for level V of the ES.

If the rate of basic pay for Senior Executive Service (SES)-type positions is increased, many employees in SES and similar positions will be "Senior Employees" for purposes of the one-year post-employment bar in 18 U.S.C. § 207(c).

OGE answers several questions about the public and confidential financial disclosure systems, such as using official time to complete the forms and public access to completed SF 278s.

An agency's general counsel who has been asked to serve as an uncompensated member of the board of directors of a nonprofit advocacy group musts comply with the restrictions in 5 U.S.C. app. § 502(a)(2).

This memorandum discusses whether there was a violation of 5 C.F.R. part 2635 when an agency employee distributed a flyer inviting employees to an agency Halloween party.

Retracted in March 1997.

If an individual served (while a current Government employee) as a representative in an EEO complaint pursuant to the exception at 18 U.S.C. § 205(d), he should not be deemed to have "participated" in the complaint "as such officer or employee" within the meaning of 18 U.S.C. § 207(a)(1).

OGE issues an interim rule establishing an exemption from 18 U.S.C. § 208 for an employee's interest in his Government salary and his interest in Social Security or veterans' benefits.

OGE updates agencies on initiatives to improve the confidential financial disclosure system.

OGE discusses the issues that arise for executive branch employees participating in privatizing Government functions. Issues arise under the Procurement Integrity Act and under the conflict of interest statutes in Title 18 of the U.S. Code.

OGE discusses the background of the earned income ban, the meaning of "earned income," and several questions related to the honoraria ban in 5 U.S.C. app., § 501(b).

Multiple ethics and non-ethics issue arise when a former Government employee proposes to have a nonprofit organization which he founded enter into an agreement with his former agency to coordinate the agency's anniversary celebration.

The U.S. Court of Appeals for the District of Columbia Circuit sustains a First Amendment challenge to a portion of 5 C.F.R. § 2635.807, the section within the Standards of Conduct entitled "Teaching, speaking, and writing."

An agency has the authority, not subject to review by OGE, to determine that an employee must take leave in order to pursue private employment opportunities if it decides that the employee's disqualification would materially impair his ability to do his Government job.

OGE analyzes whether an employee has a financial interest in a former employer (a law firm) that will be affected directly and predictably by his investigation of a company that is related to another company that was a client of the firm. OGE also addresses appearance concerns.

OGE has authority to issue Certificates of Divestiture under the provisions of section 1043 of the Internal Revenue Code only to "eligible individuals." State employees and resident relatives of Federal employees are not "eligible individuals."

OGE describes proposed changes to the SF 450.

Once an employee has brought alleged fraud to the attention of the appropriate authorities for their investigation, there can be no necessity for ongoing unauthorized use of Government resources by the employee to conduct an independent investigation.

The confidential financial disclosure regulations permitted filers to attach a spreadsheet containing the required information to the SF 450, as long as the information is presented in a clear, concise and understandable manner.

OGE allows agencies to collect follow-on new entrant reports simultaneously once each year for all its term SGEs or for groups of term SGEs such as specific advisory committees rather than on the anniversary of the appointment.

This responds to your letter dated January 13, 1995, in which you requested written advice from this Office on whether you and a member of your staff could continue your representation of a former [agency] employee in a security access eligibility proceeding before [a] Department.

The U.S. Supreme Court held that the honoraria ban in the Ethics in Government Act violates the First Amendment rights of the persons on whose behalf the case was brought. OGE notes that employees continue to be subject to other statutory and regulatory provisions that restrict their ability to accept honoraria under certain circumstances.

OGE updates departments and agencies on supplemental standards regulations. OGE also requests the cooperation of agencies in completing the process of revocation of superseded portions of their old standards of conduct.

OGE addresses issues arising under 18 U.S.C. § 208 when the spouse of the Government employee is a partner in a law firm. The spouse's clients include major institutions, some of which appear before the employee's agency.

OGE updates agencies on its assessment of the need for improving the confidential financial disclosure system.

1993 Conflict of Interest Prosecution Survey

OGE issues the June 1994 edition of the Public Financial Disclosure Form (SF 278) and summarizes the changes to the form.

OGE reminds employees about the ethics rules regarding holiday gifts and celebrations.

The acceptance by an executive branch employee of a "favorable price" based upon a company's incentive program would violate the Standards of Ethical Conduct. Such a favorable price would fall within the definition of a "gift" under the Standards. An employee's eligibility is based upon the employee's official position and acceptance is prohibited.

OGE explains example 5 in the "Use of nonpublic information" section of the Standards of Ethical Conduct, at 5 C.F.R. § 2635.703. Additionally, OGE generally discusses the "teaching, speaking and writing" section of the Standards, at 5 C.F.R. § 2635.807.

SGEs who do not perform the duties of their position for more than 60 days in a calendar year do not file SF 278s. SGEs are not subject to a 60-day threshold service requirement for filing new entrant SF 450s. SGEs should file SF 450s at the time of their initial one-year appointment and upon any reappointment or redesignation.

OGE reminds agencies to provide the Director of OGE with follow-up reports of any indictment, information, or declination of prosecution as well as any disciplinary or corrective action initiated, taken, or to be taken by the agency.

OGE believes it to be expedient to advise employees that the Department of Justice has not issued a definitive ruling on whether the terms "employee" and "employment" as used in 18 U.S.C. § 208 include an independent contractor or consulting situation. Employees should be counseled to seek waivers with this fact in mind.

18 U.S.C. § 205 bars an employee from representing an employee organization before the Government unless it was part of the employee's official duties, or met one of the exceptions in the statute. There is no indication that there is a general exemption from the prohibition for employees when representing employee interest groups.

OGE reminds agencies of the requirement to notify it of referrals to the Attorney General of possible violations of federal conflict of interest statutes and recommends that they use the OGE Form 202 to do so.

OGE issues guidance about designating positions as those which must file a confidential financial disclosure report.

OGE discusses whether a Government employee may participate in an official capacity in a conference sponsored by a private entity.

OGE advises an agency on the application of 18 U.S.C. § 207(a)(2) to a former employee who had official responsibilities relating to the agency's insurance program. OGE discusses whether the restriction would apply to an individual that was processing insurance registration forms.

Follow-up to 94x10(1): The section 2635.502(a) analysis is not required simply because a person with whom the employee has a covered relationship has a financial interest in a matter. Only when a household member has a financial interest in a matter is the employee required by section 2635.502(a) to undertake the reasonable person analysis.

The one-year restriction on certain senior personnel applicable under 18 U.S.C. § 207(c)(1) may be waived by the Director of OGE in certain circumstances pursuant to the authority of 18 U.S.C. § 207(c)(2)(C). Neither the statute nor the implementing regulation provides any authority to grant a waiver to an individual personally.

OGE found that fees for legal or other services, like any other liability, are required to be reported unless they fall within one of the exceptions specifically enumerated in 5 U.S.C. app. § 102(a)(4).

OGE clarifies the reporting periods of public financial reports filed by incumbents.

The U.S. Supreme Court granted the petition for certiorari filed by the Department of Justice asking the Court to review the decision of the Court of Appeals for the District of Columbia Circuit in NTEU v. United States concerning the honoraria ban at 5 U.S.C. app. § 501(b).

Although an employee has a "covered relationship" with the employee's brother under 5 C.F.R. § 2635.502, the employee is not required to obtain authorization before participating in a hearing because the brother is not a party and does not represent a party.

OGE recommends that agencies resolve questions about Federal employees' nonmonetary charity drives at the Federal workplace by referring to the provisions of 5 C.F.R. part 2635, particularly the provisions in subpart G, and the provisions of applicable GSA regulations.

The Standards of Ethical Conduct for Employees of the Executive Branch state that all executive branch employees are responsible for satisfying in good faith their just financial obligations, especially those that are imposed by law. Agencies do not have the authority to act as collection agents on behalf of an employee's creditors.

Determining whether a representational activity is permitted by 18 U.S.C. § 205 requires deciding whether the activity is in the proper discharge of an employee's official duties. It must be determined on a case by case basis if the employee's representation in the proceeding is inconsistent with the faithful performance of the employee's duties.

OGE publishes final rule on February 2, 1994, which grandfathers for up to an additional year certain agency standards of conduct regulations in effect prior to February 3, 1993.

An agency's creating, publishing, and keeping current a list of Department prohibited sources under 5 C.F.R. § 2635.203(d)(5) would present a number of problems. An organization that is a prohibited source with respect to one of the separate components would not necessarily be a prohibited source with respect to another component.

OGE discusses whether a particular agency is considered an agency under the Standards of Ethical Conduct. The agency treated itself as an executive agency for purposes of application of the ethics laws and regulation. As a result, OGE concluded that the Standards apply to the agency's employees.

A Government employee seeking to represent a private party in a Federal court action must take great care to ensure that he or she does not violate 18 U.S.C. § 205 even where the United States is not a named party. Other statutes must also be considered, particularly those that restrict a Government employee from engaging in outside employment.

The Department of Justice determines that it will not seek to enforce the honoraria ban with respect to executive branch employees who receive honoraria between September 28, 1993, and the date on which the Supreme Court issues its decision in NTEU v. United States.

OGE discusses the general categories under which it has granted waivers of the fee for filing the public financial disclosure form late.

OGE discusses the reasoning behind having a supervisor review confidential financial reports. OGE explains that by doing so, agency ethics staff can help employees avoid conflicts of interest. Additionally, confidential information disclosed is strictly protected by the Ethics Reform Act of 1989.

OGE advises on whether an employee can accept a reception in their honor from their former non-governmental employer.  Under 5 C.F.R. § 2635.203, free attendance to a reception can be a prohibited gift if given because of the employee's official position. However, the "widely attended gathering" exception may apply, allowing the employee to attend.

OGE reviews and comments on proposed procedures for handling complaints that administrative law judges at an agency have engaged in misconduct during the hearings and appeals process. OGE comments on supplementing provisions of the Standards of Ethical Conduct and how different conflict of interest laws apply to special Government employees.

OGE discusses the factors to be considered in order to determine whether a Government employee can participate as a speaker in a conference conducted by a non-Governmental entity. OGE also discusses the parameters outlined in 5 C.F.R. § 2635.807(b) for use of Government title in nonofficial speaking engagements.

5 C.F.R. § 2635.803 provides that, when required to do so by agency supplemental regulations, an employee shall obtain prior approval before engaging in an outside activity.  This section applies to uncompensated as well as compensated outside activities.

OGE responds to suggestions to improve the SF 450 form, such as allowing employees to attach standard brokerage statements in lieu of actual form entries; allowing employees to separately identify assets held by the employee, spouse, and dependent children; using the excepted investment fund (EIF) concept; and using different disclosure forms for special Government employees (SGE).

Employee’s may be permitted by their agency to use work hours to complete the SF 450, the information required on the form is targeted at identifying conflicts of interest, and supervisors may review employee SF 450 forms but such information is strictly protected by executive branch principles of confidentiality and the Federal Privacy Act.

Excepted investment funds (EIF) allow for reduced disclosure because these funds are widely held, widely diversified or publicly traded, and not self-directed.  However, in some circumstances, EIF funds may not be as widely diversified and employees may have knowledge of the fund’s holdings, presenting a potential to violate 18 U.S.C. § 208.

The justifications for the submission of an SF 450 financial disclosure form are to detect potential matters which might be expected to present conflicts between an employee’s private financial interests and official responsibilities and to help employees avoid 18 U.S.C. § 208 violations.

The criminal conflict of interest statute, 18 U.S.C. § 208 is a primary justification for public and confidential financial disclosure requirements.  The SF 450 form is limited to matters expected to present conflicts between an employee’s private financial interests and official responsibilities with careful weighing of privacy rights.

OGE publishes a final rule eliminating the disclosure requirement for information about bank accounts and certain other nonconflicting assets on the SF 450.

1992 Conflict of Interest Prosecution Survey

44 agencies notified OGE that they intend to issue agency supplemental regulations.

Waiver determinations set forth in 18 U.S.C. § 208(d)(1) must be balanced against the nondisclosure mandate of SF 450 information set forth in 5 U.S.C. app. § 107(a)(2).  Agencies may withhold from their waiver determinations any portions entitled to exemption from required release pursuant to the Freedom of Information Act (FOIA).

Two recent civil penalty cases brought by the U.S. Department of Justice pursuant to 18 U.S.C. § 216(b) were settled with the defendant in each case making a payment of $5,000 to the United States Treasurer.

The SF 450 form is limited to matters – including disclosure of a spouse’s financial information – which might be expected to present conflicts between an employee’s private financial interests and official responsibilities with careful weighing of privacy rights.

5 C.F.R. §§ 2637.101(c)(8) and 2637.201(e) and CACI., Inc. v. U.S. give weight to an agency’s opinion regarding the application of 18 U.S.C. § 207 to one of its former employees. Formal action is not necessarily required for something to be a "particular matter." Indeed, internal deliberations within an agency may be a "particular matter."

18 U.S.C. § 203 does not restrict a compensation arrangement for former federal employees that is based on the estimated receipts from firm billings for services provided after Government service rather than the actual receivables of the firm (which may include fees for representations made while the partners were still Government employees).

Usually federal compensation creates government employment status; however, commission members are not government employees where the statute establishing the commission states that its members shall not be considered employees.  That the members are federally appointed for a term and counsel on policy does not alone create an employment status.

Under 5 C.F.R. §§ 2635.203 and 2635.204, employees of an agency with a facility located next to a State University, may not accept free borrowing privileges at the University libraries, discounts to University events where the rate is not broadly available to all government employees, or discounted shuttle rates below market value.

Under 5 C.F.R § 2634.406(a)(2), eligibility to serve as a fiduciary of a qualified trust is limited to financial institutions, not more than 10 percent of which are owned or controlled by a single individual.  The regulation fully conforms to 5 U.S.C. app. § 102(f).

No government-wide statute or regulation bars a federal employee from buying into a mutual fund that holds stock in companies doing business with the employee's agency; however, specific agencies may have such rules. 18 U.S.C. § 208(a) bars an employee from acting in a matter having a direct and predictable effect on a company in which he owns stock.

18 U.S.C. § 207(a) prohibits a former government employee from making communications to federal agencies and courts concerning funds to resettle a community when the employee was involved negotiating an related agreement while employed by the government.  Section 207(a) does not bar post-employment communications to Congress or legislative staff.

An employee has a "covered relationship" with the employee's private attorney's partner under 5 C.F.R. § 2635.502, but that relationship does not automatically require recusal where the partner is representing a client before the employee's agency.

The Court of Appeals for the D.C. Circuit upholds the district court injunction against the honoraria ban at 5 U.S.C. app. § 501(b).

To determine if employee may use e-mail for non-government purposes, they must determine if the use is authorized, either by their own agency policies, or policies of the GSA.

OGE eliminates the requirement to disclose assets and income relating to accounts in depository financial institutions (banks, savings and loan associations, credit unions, etc.), money market mutual funds and accounts (money market, not other mutual funds), and U.S. Government obligations (U.S. savings bonds and Treasury bills).

OGE issues the 1993 version of the OGE Form 201, Request to Inspect or Receive Copies of SF 278 Executive Branch Personnel Public Financial Disclosure Report or Other Covered Record.

An agency ethics official should look at several factors to determine whether an entity that is related to a corporation (a prohibited source) is a subsidiary controlled by that corporation for purposes of the Standards of Conduct and the fundraising prohibition in 5 C.F.R. § 2635.808(c).

The statutory language of 18 U.S.C. § 208 makes clear that it applies to members of the Council of the District of Columbia.

18 U.S.C. § 209 and Crandon v. U.S. do not bar payments from a legal fund on behalf of a Federal employee if persons unconnected to the employee's official duties oversee the fund, the donors' identities remain unknown, the money directly pays the legal fees, the donations are not from prohibited sources, and the employee does not solicit the funds.

Under 18 U.S.C. § 208(a) and 5 C.F.R. part 2635, an executive branch employee is not prohibited from retaining reemployment rights with a former private employer; however, the employee may not participate personally and substantially in a particular matter that would affect that former employer, unless the employee has obtained a statutory waiver.

Fundraising issues covered in this opinion include participating in fundraising as part of one's official duties, complying with the Combined Federal Campaign regulations, and using one's official title.

Fundraising issues covered in this opinion include participating in fundraising as part of one's official duties, complying with the Combined Federal Campaign regulations, and using one's official title.

The OGE said such free attendance at meetings would probably be prohibited by 5 C.F.R. § 2635.202, unless allowed as a widely attended gathering, for which the OGE determined this did not qualify. The OGE determined that a blanket determination that meetings of this time are in the agency's interest was inadequate.

Clinton Administration Ethics Pledge--The Attorney General issues a Statement of Covered Activities describing the activities on behalf of a foreign government or foreign political party that will require registration.

18 U.S.C. § 207 doesn't prohibit employee from serving on the board and may fully participate absent an appearance before the government. The OGE also determined that the nonprofit's program is not the same as the agency's program, but the employee should be careful about coordinating between the two.

Questions discussed: (1) if allowing fundraising on official time must be from statute; (2) if fundraising on official time can be done without statutory or regulatory authority; (3) must the determination be by the head of the agency; (4) when allowed to fundraise on behalf of a nonprofit; (5) whether this clause eliminates the need for a waiver.

An employee may receive free admission to attend a widely attended gathering (which must be of mutual interest to a number of parties) of a purely social nature of the agency designee determines the employee's attendance is in the best interest of the agency. Also discussed specific press dinner events.

Individuals appointed to represent a group in an advisory role are not considered federal employees for purposes of the conflict of interest statutes. They are also not required to file financial disclosure forms.

The OGE Director can grant a waiver to 18 U.S.C. § 207(c) restrictions if the restrictions impose undue hardship on the requesting agency, and that granting a waiver would not create the potential for undue influence or unfair advantage. An exemption was never requested of the agency, and is not applied for individuals.

The OGE determined that when a waiver was offered by Agency A to members of an office, and that office was later transferred to Agency B, Agency B had the authority to deny continuation of that waiver.

Discusses rules for divestiture, contemplated sale of asset management company, and states that a divestiture cannot leave the official with a substantive stake in the company which is subject to the future performance of its business affairs, as that would provide an unfair or unintended benefit to the government official.

For purposes of applying the restriction of 18 U.S.C. § 207(c), the fact that the employee holds a position that has been held by persons paid at ES-4 is irrelevant.  The critical factor is not the position, but the employee's ES level, i.e., the employee's basic rate of pay.

The OGE stated that since the honoraria ban was statutorily created by Congress, and did not include certain exceptions for teaching, speaking and writing outside of a federal employees official capacity (though many criticized this lack of exception), the employee was required to return an honoraria he received.

Because the group being solicited were not grouped based on their connection to the agency, even though some in the group would individually be considered prohibited sources, this solicitation would not be considered targeted solicitation under 5 C.F.R. § 2635.808.  Also discusses free admission to event, and fundraising in official capacity.

The Standards of Conduct (5 C.F.R. part 2635) prohibits executive branch employees from personally using public office for private gain, and may not use federal property for other than authorized activities. Decisions as to exceptions to this rule are within the Department's discretion.

OGE discusses concerns about the de minimis exception, and how any risks of unethical behavior were considered and minimized during the process of approval of the exception.