Legal Advisories
The Legal Advisories page contains the DAEOgrams on substantive ethics issues published by OGE from 1992 to 2010, the Advisory Opinions published by OGE from 1979 to 2010, and the Legal Advisories, which OGE began publishing in 2011. On occasion, OGE will add notes to past guidance documents when that guidance is updated or superseded by law, regulation, or subsequent OGE guidance.
12/28/2000
DO-00-048: Presidential Transition (George W. Bush)
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.
11/28/2000
DO-00-045: Increased Gifts and Travel Reimbursements Reporting Thresholds
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.
11/17/2000
00x13: Certificates of Divestiture and Judges on the U.S. Court of Appeals for the Armed Forces
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.
11/17/2000
DO-00-044: Recent Office of Legal Counsel (OLC) Opinions Concerning 18 U.S.C. § 207
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).
10/05/2000
00x12: Interpreting the Limitations Included in the Exemption at 18 U.S.C. § 208(b)(4)
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.
10/04/2000
00x11: Employees Assisting Taxpayers and 18 U.S.C. § 205
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.
09/18/2000
00x10: Recent Court Case Interpreting 18 U.S.C. § 205
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.
09/18/2000
DO-00-034: Recent Court Case Interpreting 18 U.S.C. § 205
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.
09/08/2000
DO-00-033: Proposed Amendments to 5 C.F.R. Part 2640
OGE issues a proposed rule amending 5 C.F.R. part 2640 by revising some existing exemptions and adding new exemptions.
09/07/2000
00x9: Office of Legal Counsel Memorandum Concerning Application of 18 U.S.C. § 209 to Receipt of Outside Royalty Payments by Employee-Inventors
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.
09/07/2000
DO-00-032: Office of Legal Counsel Memorandum Concerning Application of 18 U.S.C. § 209 to Receipt of Outside Royalty Payments by Employee-Inventors
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.
09/07/2000
DO-00-031: Publication of Interim Rule Amending 5 C.F.R. § 2635.807(a)
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.
08/25/2000
DO-00-030: Diversified and Sector Mutual Funds
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 guidance in this advisory regarding real estate funds was amended by
Legal Advisory LA-15-09. The guidance regarding funds invested in internet, computer, and information technology companies was amended by
Legal Advisory LA-19-06.]
08/25/2000
00x8: Diversified and Sector Mutual Funds
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 guidance in this advisory regarding real estate funds was amended by
Legal Advisory LA-15-09. The guidance regarding funds invested in internet, computer, and information technology companies was amended by
Legal Advisory LA-19-06.]
08/22/2000
00x7: Extent to Which Ethics Laws and Regulations Apply to Federal Government-Private Sector Exchange Programs
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.
08/14/2000
DO-00-029: 1999 Conflict of Interest Prosecution Survey
1999 Conflict of Interest Prosecution Survey
07/18/2000
00x6: Application of the Gift Exclusion for Rewards and Prizes at 5 C.F.R. § 2635.203(b)(5)
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.
07/17/2000
DO-00-026: New Edition of the SF 278 Report Form
OGE issues the March 2000 edition of the SF 278.
05/18/2000
00x5: Can OGE Exempt District of Columbia Employees From Criminal Conflict of Interest Laws?
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.
04/11/2000
00x4: Conflict of Interest and Appearance Concerns Raised by Spouse's Employment
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.
04/07/2000
00x3: Exemption at 18 U.S.C. § 208(b)(4) for Financial Interests in a Birthright
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.
03/30/2000
DO-00-015: Van Ee v. Environmental Protection Agency
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.
03/21/2000
00x2: Maintenance of an Effective Agency Ethics Program
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.
02/22/2000
DO-00-007: Use of Brokerage Statements in Lieu of Entries on the SF 278
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.
02/17/2000
DO-00-006: OGE Reissues Summary of Criminal Statute at 18 U.S.C. § 207
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. [Note: Executive Order 12834, referenced in this DAEOgram, has been revoked.]
02/15/2000
DO-00-003: Summary of Ethical Requirements Applicable to Special Government Employees
OGE issues a summary of the ethics requirements that are applicable to special Government employees. [Note: Executive Order 12834, referenced in this DAEOgram, has been revoked.]
02/15/2000
00x1: Summary of Ethical Requirements Applicable to Special Government Employees
OGE issues a summary of the ethics requirements that are applicable to special Government employees. [Note: Executive Order 12834, referenced in this Informal Advisory Memorandum, has been revoked.]