Title 5--ADMINISTRATIVE PERSONNEL
Chapter XVI--OFFICE OF GOVERNMENT ETHICS


of 1978, Public Law 95-521, 92 Stat. 1824 (1978). OGE exercises leadership in the executive branch of the Federal Government to prevent conflicts of interest on the part of...


500, Washington, DC 20005-3917. OGE does not have any regional offices. (b) Web site. Information about OGE and its role in the executive branch ethics program as well...


following offices: (1) The Office of the Director; (2) The Office of General Counsel and Legal Policy; (3) The Office of Government Relations and...


of the Office of Government Ethics Authorization Act of 1996, amending the Ethics in Government Act of 1978, as codified at 5 U.S.C. app. 403(b), authorizes the Office of...


part is to establish guidelines governing the implementation of OGE's gift authority by defining its scope and application, by prescribing the policies, standards and procedures...


Office of Government Ethics may use its statutory authority to solicit, accept and utilize gifts to the agency that aid or facilitate the agency's work. The authority to solicit,...


(a) This part does not apply to gifts to the agency of: (1) Travel and travel-related expenses made pursuant to the authority set forth in 31 U.S.C. 1353; or ...


this part: Administration Division means the Administration Division of the Office of Government Ethics. Agency means the Office of Government Ethics (OGE). ...


(a) The authority to solicit, accept, and utilize gifts in accordance with this part resides with the Director. (b) The Director may delegate this authority. ...


(a) The authorized agency official shall have the authority to solicit, accept, refuse, return, or negotiate the terms of acceptance of a gift. (b) An employee, other...


(a) A gift shall not be solicited or accepted if the authorized agency official determines that such solicitation or acceptance of the gift would...


(a) No gift may be accepted that: (1) Attaches conditions inconsistent with applicable laws or regulations; (2) Is conditioned upon or will require...


(a) The Administration Division shall ensure that gifts are properly accounted for by following appropriate internal controls and accounting procedures. (b) The...


This part contains the regulations of the Office of Government Ethics (OGE) implementing the Freedom of Information Act (FOIA) and Executive Order 12600....


(a) General. The FOIA and this rule apply to all OGE records. However, if another law sets forth procedures for the disclosure of specific types of records, such...


As used in this part, Agency has the meaning given in 5 U.S.C. 551(1) and 5 U.S.C. 552(f). Business information means trade secrets or other commercial...


Identifying Information for the Public Sec. 2604.201 Public reading room facility and Web site. (a)(1) Location of public reading room facility. The Office...


Identifying Information for the Public Sec. 2604.202 Index identifying information for the public. (a) The Office of Government Ethics will maintain and make...


2604.301 Requests for records. (a) Addressing requests. Requests for copies of records may be made in person or by telephone, 202-208-8000, or FAX, 202-208-8037,...


2604.302 Response to requests. (a) Response to initial request. The FOIA Officer is authorized to grant or deny any request for a record and to determine...


Form and content of responses. (a) Form of notice granting a request. After the FOIA Officer has made a determination to grant a request in whole or in part,...


Appeal of denials. (a) Right of appeal. If a request has been denied in whole or in part, the requester may appeal the denial to the General Counsel of the Office...


Time limits. (a)(1) Initial request. Following receipt of a request for records, the FOIA Officer will determine whether to comply with the request and will notify...


(a) Policy on application of exemptions. Section 552(b) of the Freedom of Information Act contains nine exemptions to the mandatory disclosure of records. A...


information. (a) In general. Business information provided to the Office of Government Ethics by a submitter will not be disclosed pursuant to a Freedom of...


be charged--general. (a) Policy. Fees shall be assessed according to the schedule contained in paragraph (b) of this section and the category of requesters...


be charged--categories of requesters. (a) Fees for various requester categories. The paragraphs below state, for each category of requester, the type of fees...


charging fees. (a) In general. Except for requesters seeking records for a commercial use as described in Sec. 2604.502(b), the Office will provide,...


provisions. (a) Notice of anticipated fees in excess of $25.00. Where the Office determines or estimates that the fees to be assessed under this section...


and submission of annual OGE FOIA report. Source: 64 FR 28091, May 25, 1999, unless otherwise noted. On or before February 1 of each year, OGE...


annual OGE FOIA report. (a) The Office of Government Ethics will include in its annual FOIA report the following information for the preceding fiscal year: (1)...


Disclosure Reports Sec. 2604.701 Policy. Fees for the reproduction and mailing of public financial disclosure reports (SF 278s)...


Disclosure Reports Sec. 2604.702 Charges. (a) Duplication. Except as provided in paragraph (c) of this section, copies of public financial...


the Privacy Act of 1974, as amended (5 U.S.C. 552a). It governs access, maintenance, disclosure, and amendment of records contained in OGE's executive...


Access means providing a copy of a record to, or allowing review of the original record by, the data subject or the requester's authorized representative, parent or...


two executive branch Governmentwide systems of records: the OGE/GOVT-1 system of records, comprised of Executive Branch Personnel Public Financial Disclosure Reports and...


Act access and amendment requests regarding records contained in an OGE system of records. (2) Administrative appeals from an Office or agency denial of an...


to ascertain if any OGE system of records contains a record pertaining to him must follow the access procedures set forth at Sec. 2606.201(a)...


the design, development, operation, or maintenance of any system of records, or in maintaining any record covered by the Privacy Act, shall comply with the pertinent...


individual requesting access to records pertaining to him in an OGE Governmentwide system of records should submit a written request, which includes the words ``Privacy...


the following: (a) A statement that there is a record or records as requested or a statement that there is not a record in the system of records; (b) The method...


has been granted by OGE or the other agency concerned are: (1) Examination in person in a designated office during the hours specified by OGE or the other agency; ...


submit a written appeal of the decision by OGE or the other agency to deny an initial request for access to records or a no record response. (i) For records filed directly...


or agency reviewing official determines that access to the records should be granted, the response will state how access will be provided if the records are not included...


be charged: (i) The search and review time expended by OGE to produce a record; (ii) The first copy of the records provided; or (iii) The Office of Government...


concerned will maintain an accounting of disclosures in cases where records about the data subject are disclosed from OGE's system of records except-- (1) When...


record or records that pertain to him in a system of records must submit his request in writing in accordance with the following procedures, unless this requirement is waived by...


the extent possible, OGE or the other agency concerned will acknowledge receipt of a request to amend a record or records within 10 working days. (b)...


written appeal of the initial decision by OGE or an agency denying a request to amend a record in an OGE system of records. (i) For records which are filed directly with...


(a) The OGE Director or agency reviewing official should make a final determination in writing not later than 30 days from the date the appeal...


Scope and purpose. (a) This part sets forth policies and procedures you must follow when you submit a demand or request to an employee of the Office of Government...


This part applies to demands and requests to employees for factual or expert testimony relating to official information, or for production of official records...


The following definitions apply to this part: Demand means a subpoena, or an order or other command of a court or other competent authority, for the...


2608.201 General prohibition. No employee may produce official records and information or provide any testimony relating to official information in response to...


2608.202 Factors OGE will consider. The General Counsel, in his or her sole discretion, may grant an employee permission to testify on matters relating to...


2608.203 Filing requirements for demands or requests for documents or testimony. You must comply with the following requirements whenever you issue demands or...


2608.204 Service of subpoenas or requests. Subpoenas or requests for official records or information or testimony must be served on the General Counsel, Office of...


2608.205 Processing demands or requests. (a) After service of a demand or request to testify, the General Counsel will review the demand or request and, in accordance with...


2608.206 Final determination. The General Counsel makes the final determination on demands and requests to employees for production of official records and information...


2608.207 Restrictions that apply to testimony. (a) The General Counsel may impose conditions or restrictions on the testimony of OGE employees including, for example,...


2608.208 Restrictions that apply to released records. (a) The General Counsel may impose conditions or restrictions on the release of official records and...


2608.209 Procedure when a decision is not made prior to the time a response is required. If a response to a demand or request is required before the General Counsel...


2608.210 Procedure in the event of an adverse ruling. If the court or other competent authority fails to stay the demand or request, the employee upon whom the demand...


Fees. (a) Generally. The General Counsel may condition the production of records or appearance for testimony upon advance payment of a reasonable estimate of the costs...


(a) An employee who discloses official records or information or gives testimony relating to official information, except as expressly authorized by OGE or as...


5 U.S.C. 504, as amended. (b) Adjudicative officer means the official, without regard to whether the official is designated as a hearing examiner, administrative...


expenses to eligible individuals and entities who are parties to certain administrative proceedings (``adversary adjudications'') before the Office of Government Ethics....


or commenced before the Office of Government Ethics on or after October 1, 1989, which is the date the Office became a separate executive agency. Prior to October...


conducted by the Office of Government Ethics. When all other conditions in the Act and in these rules are met, the types of proceedings to which this...


attorney fees and other expenses under the Act, the applicant must be a party to the adversary adjudication for which it seeks an award. The term ``party'' is defined in 5...


award for fees and expenses incurred in connection with a proceeding or in a significant and discrete substantive portion of the proceeding, unless the position of the...


charged by persons engaged in the business of acting as attorneys, agents and expert witnesses, even if the services were made available without charge or at...


warranted by an increase in the cost of living or by special circumstances (such as limited availability of attorneys or agents qualified to handle certain types of proceedings),...


an award because it prevails over another [[Page 484]] agency of the United States that participates in a proceeding before the Office of Government Ethics and...


award of fees and expenses under the Act shall identify the applicant and the proceeding for which an award is sought. Unless the applicant is an individual, the application...


tax-exempt organization or cooperative association, must provide with its application a detailed exhibit showing the net worth of the applicant and any affiliates...


be accompanied by full and itemized documentation of the fees and expenses, including the cost of any study, analysis, engineering report, test, project or similar matter, for...


be filed whenever the applicant has prevailed in the proceeding or in a significant and discrete substantive portion of the proceeding. An application may also be filed when...


the Office's rules and regulations other than this part which limits or terminates the jurisdiction of an adjudicative officer upon the effective date of his or her decision...


an award or other pleading or document related to an application shall be filed and served on all parties to the proceeding in the same manner as other pleadings in the...


an application, counsel representing the Office may file an answer to the application. Agency counsel may request an extension of time for filing. If agency counsel fails...


applicant may file a reply. If the reply is based on any alleged facts not already in the record of the proceeding, the applicant shall include with the reply either...


than the applicant and agency counsel may file comments on an application within 30 days after it is served, or on an answer within 15 days after it is served. A...


on a proposed settlement of the award before final action on the application, either in connection with a settlement of the underlying proceeding, or after the...


an award will be made on the basis of the written record. However, on request of either the applicant or agency counsel, or on his or her own initiative, the...


decision on the application within 30 days after completion of proceedings on the application. The decision shall include written findings and conclusions on the...


decision under this part, either the applicant or agency counsel may seek review of the initial decision on the fee application, or the Director (or his or her designee)...


[Code of Federal Regulations] [Title 5, Volume 3] [Revised as of January 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 5CFR2610.310] [Page 487] TITLE 5--ADMINISTRATIVE PERSONNEL CHAPTER XVI--OFFICE OF GOVERNMENT ETHICS PART 2610_IMPLEMENTATION OF THE EQUAL ACCESS TO JUSTICE ACT--Table of Contents Subpart C_Procedures for Considering Applications Sec. 2610.310 Judicial review. Judicial review of final agency decisions on awards may be sought as provided in 5 U.S.C. 504(c)(2). ...


award shall submit a copy of the Office's final decision granting the award, accompanied by a certification that the applicant will not seek review of the decision in the...


FR 11804, Apr. 7, 1992, unless otherwise noted. The regulation in this part is issued pursuant to the authority of the Ethics in Government Act of 1978, as amended;...


(a) This regulation supplements and implements title I of the Act and section 201(d) of Executive Order 12674 (as modified by Executive Order 12731) with respect to executive...


(a) This regulation is intended to provide uniformity for executive branch financial disclosure systems. However, an agency may, subject to the prior...


I of the Act requires that high-level Federal officials disclose publicly their personal financial interests, to ensure confidence in the integrity of the Federal Government...


For purposes of this part: (a) Act means the Ethics in Government Act of 1978 (Pub. L. 95-521, as amended), as modifed by the Ethics Reform Act of 1989 (Pub. L. 101- 194,...


filing dates, and extensions. Source: 57 FR 11806, Apr. 7, 1992, unless otherwise noted. (a) Incumbents. A public filer as defined in Sec....


The term public filer includes: (a) The President; (b) The Vice President; (c) Each officer or employee in the executive branch, including...


by rule. (a) In general. Any individual or group of individuals described in Sec. 2634.202(e) of this subpart (relating to positions of a confidential...


sixty days or less. (a) In general. Any public filer or nominee who, as determined by the official specified in this paragraph, is not reasonably expected to perform...


of public reporting requirements. (a) General rule. In unusual circumstances, the Director of the Office of Government Ethics may grant a request for a waiver of...


Source: 57 FR 11808, Apr. 7, 1992, unless otherwise noted. (a) In general. Each financial disclosure report filed pursuant to this part, whether public...


income. (1) Each financial disclosure report filed pursuant to this part, whether public or confidential, shall disclose the source, type, and in the case of public...


(a) In general. Except as indicated in Sec. 2634.308(b) of this subpart, each public financial disclosure report filed pursuant to subpart B of this part shall include...


(a) Gifts. Except as indicated in Sec. Sec. 2634.308(b) and 2634.907(a), each financial disclosure report filed pursuant to this part, whether public or confidential,...


(a) In general. Each financial disclosure report filed pursuant to this part, whether public or confidential, shall identify and include a brief description of the filer's...


Each financial disclosure report filed pursuant to this part, whether public or confidential, shall identify the parties to and the date of, and shall briefly describe...


(a) In general. Each financial disclosure report filed pursuant to this part, whether public or confidential, shall identify all positions held at any time by the filer during...


public financial disclosure reports. (a) Incumbents. Each public financial disclosure report filed pursuant to Sec. 2634.201(a) shall include on the standard...


(a) Special disclosure rules. Each report required by the provisions of either subpart B or subpart I of this part shall also include the following information...


(a) In general. (1) Except as otherwise provided in this section, each financial disclosure report shall include the information required by this subpart...


Political campaign funds. Political campaign funds, including campaign receipts and expenditures, need not be included in any report filed under this part. However, if the...


Source: 57 FR 11814, Apr. 7, 1992, unless otherwise noted. (a) Statutory standards governing qualified trusts--(1) Types of qualified trusts and their relationshp...


(a) In general. In any case in which the establishment of a qualified diversified trust is contemplated with respect to a reporting individual...


(a) Definition. A qualified blind trust is a trust in which the filer, his spouse, or his minor or dependent child has a beneficial interest, which is certified pursuant to Sec....


(a) Definition. A qualified diversified trust is any trust in which the filer, his spouse, or his minor or dependent child has a beneficial interest, which is...


(a) Standards. Before a trust may be classified as a qualified blind or a qualified diversified trust, under the provisions of Sec. 2634.403 or Sec. 2634.404 of this...


(a) Standards. (1) The term independent trustee means any entity referred to in paragraph (a)(2) of this section which, under all the facts and circumstances, is determined by...


parties. (a) Restrictions applicable to trustees and other fiduciaries. Any trustee or any other designated fiduciary of a qualified trust shall not knowingly...


qualified trusts. (a) The interested party. In the case of any qualified trust, the Government employee or other interested party shall: (1) Execution of the...


The various model trust documents and Certificates of Independence and Compliance referenced in this subpart, together with the underlying regulatory provisions (and appendixes A, B...


Source: 57 FR 11821, Apr. 7, 1992, unless otherwise noted. (a) Purpose. This subpart establishes the procedures of the Office of Government Ethics...


For purposes of this subpart (unless otherwise indicated): (a) Senior Attorney means the Office of Government Ethics employee designated as the manager of the...


(a) Where the Senior Attorney concludes that violations or apparent violations of the trust restrictions exist and may warrant revocation of trust certification or...


FR 11821, Apr. 7, 1992, unless otherwise noted. (a) The Office of Government Ethics provides, through the Federal Supply Service of the General Services...


as otherwise provided in this section, the reporting individual shall file financial disclosure reports required under this part with the designated agency ethics official or...


(a) Each agency shall make available to the public in accordance with the provisions of this section those public reports filed with the agency by...


confidential reports. (a) Any report filed with an agency under subpart I of this part shall be retained by the agency for a period of six years after receipt....


(a) In general. The designated agency ethics official shall normally serve as the reviewing official for reports submitted to his agency. That responsibility may be delegated, except...


(a) General rule. Each individual described in Sec. 2634.201(c) who is nominated by the President for appointment to a position that requires advice...


To assist employees in avoiding situations in which they might violate applicable financial disclosure laws and regulations: (a) The Director of the Office of Government Ethics...


Source: 57 FR 11824, Apr. 7, 1992, unless otherwise noted. (a) Referral of cases. The head of each agency, each Secretary concerned, or the Director...


parties. (a) The Attorney General may bring a civil action in any appropriate United States district court against any individual who knowingly and...


The Attorney General may bring a civil action against any person who obtains or uses a report filed under this part for any purpose prohibited by section 105(c)(1) of the Act,...


(a) In general. In accordance with section 104(d) of the Act, any reporting individual who is required to file a public financial disclosure report by the provisions of this part...


11825, Apr. 7, 1992, unless otherwise noted. This subpart applies to ethics agreements made by any reporting individual under either subpart B or I of this part,...


(a) Ethics agreement defined. The term ethics agreement shall include, for the purposes of this subpart, any oral or written promise by a reporting individual to undertake...


(a) Nominees to positions requiring the advice and consent of the Senate. (1) In the case of a nominee referred to in Sec. 2634.201(c), the designated agency...


(a) Requisite evidence of action taken. (1) For ethics agreements of nominees to positions requiring the advice and consent of the Senate, evidence of any action taken to...


ethics agreements and actions described in this subpart shall be maintained with the individual's financial disclosure report at the agency and additionally, in the case of...


disclosure reporting. Source: 57 FR 11826, Apr. 7, 1992, unless otherwise noted. (a) The confidential financial reporting system set forth in...


dates, and extensions. (a) Incumbents. A confidential filer who holds a position or office described in Sec. 2634.904 of this subpart and who performs the...


defined. The term confidential filer includes: (a) Each officer or employee in the executive branch whose position is classified at GS-15 or below of the...


requirements. Any individual or class of individuals described in Sec. 2634.904 of this subpart, including special Government employees unless otherwise noted,...


status. The head of each agency, or an officer designated by the head of the agency for that purpose, shall review any complaint by an individual that his...


(a) Other than the reports of confidential filers described in Sec. 2634.904(c), each confidential financial disclosure report filed pursuant to Sec. 2634.903 of...


(a) Incumbents. Each confidential financial disclosure report filed under Sec. 2634.903(a) of this subpart shall include on the standard form prescribed by the Office...


ethics agreements. (a) The provisions of subpart F of this part govern the filing procedures and forms for, and the custody and review of, confidential...


to comply with conflict of interest requirements; general considerations. Source: 55 FR 14408, Apr. 18, 1990, unless otherwise noted. (a) Purpose....


Divestiture. (a) General rule. Pursuant to section 1043, a Certificate of Divestiture with respect to specific property shall be issued by the Director of the...


(a) In general. The categories of permitted property into which rollovers are permitted to be made have been drawn through the rules of this section so as to be neutral...


Public access to Certificates of Divestiture. The Certificates of Divestiture issued pursuant to the provisions of this part shall be available to the public in accordance with...


(a) Public service is a public trust. Each employee has a responsibility to the United States Government and its citizens to place loyalty to the Constitution, laws and...


are used throughout this part. Additional definitions appear in the subparts or sections of subparts to which they apply. For purposes of this part: (a) Agency means...


The provisions of this part, except this section, are not applicable to enlisted members of the uniformed services. Each agency with jurisdiction over enlisted members of...


(a) Details to other agencies. Except as provided in paragraph (d) of this section, an employee on detail, including a uniformed officer on assignment, from his employing agency...


the regulations set forth in this part, an employee shall comply with any supplemental agency regulations issued by his employing agency under this section. (a) An...


(a) Except as provided in Sec. 2635.107, a violation of this part or of supplemental agency regulations may be cause for appropriate corrective or disciplinary action to be taken...


2638.201 and 2638.202(b) of this chapter, each agency has a designated agency ethics official who, on the agency's behalf, is responsible for coordinating and managing...


that prohibit an employee from soliciting or accepting any gift from a prohibited source or given because of the employee's official position unless the item is...


Except as provided in this subpart, an employee shall not, directly or indirectly, solicit or accept a gift: (1) From a prohibited source; or (2) Given because...


the following definitions shall apply: (a) Agency has the meaning set forth in Sec. 2635.102(a). However, for purposes of this subpart, an executive department, as...


the following definitions shall apply: (a) Agency has the meaning set forth in Sec. 2635.102(a). However, for purposes of this subpart, an executive department, as...
...


(a) An employee who has received a gift that cannot be accepted under this subpart shall, unless the gift is accepted by an agency acting under specific statutory authority: ...


that prohibit an employee from giving, donating to, or soliciting contributions for, a gift to an official superior and from accepting a gift from an employee...


as provided in this subpart, an employee may not: (1) Directly or indirectly, give a gift to or make a donation toward a gift for an official superior; or ...


the following definitions shall apply: (a) Gift has the meaning set forth in Sec. 2635.203(b). For purposes of that definition an employee will be deemed to have...


in Sec. 2635.302(a) and (b) do not apply to a gift given or accepted under the circumstances described in paragraph (a) or (b) of this section. A contribution or the...


provisions relating to financial interests. One is a disqualification requirement and the other is a prohibition on acquiring or continuing to hold specific...


(a) Statutory prohibition. An employee is prohibited by criminal statute, 18 U.S.C. 208(a), from participating personally and substantially in an official capacity in any...


An employee shall not acquire or hold any financial interest that he is prohibited from acquiring or holding by statute, by agency regulation issued in accordance with paragraph (a)...


contains two provisions intended to ensure that an employee takes appropriate steps to avoid [[Page 565]] an appearance of loss of impartiality in the performance...


(a) Consideration of appearances by the employee. Where an employee knows that a particular matter involving specific parties is likely to have a direct and...


(a) Disqualification requirement. Except as provided in paragraph (c) of this section, an employee shall be disqualified for two years from participating in...


disqualification requirement that applies to employees when seeking employment with persons whose financial interests would be directly and predictably affected by particular matters...


To ensure that he does not violate 18 U.S.C. 208(a) or the principles of ethical conduct contained in Sec. 2635.101(b), an employee who is seeking employment or who has...


(a) Employment means any form of non-Federal employment or business relationship involving the provision of personal services by the employee, whether to be...


(a) Obligation to disqualify. Unless the employee's participation is authorized in accordance with Sec. 2635.605, the employee shall not participate personally...


seeking employment. (a) Waiver. Where, as defined in Sec. 2635.603(b)(1)(i), an employee is engaged in discussions that constitute employment negotiations...


employment or otherwise after negotiations. (a) Employment or arrangement concerning employment. An employee shall be disqualified from...


to the proper use of official time and authority, and of information and resources to which an employee has access because of his Federal employment. This...


An employee shall not use his public office for his own private gain, for the endorsement of any product, service or enterprise, or for the private gain of friends, relatives,...


employee shall not engage in a financial transaction using nonpublic information, nor allow the improper use of nonpublic information to further his own private interest or...


employee has a duty to protect and conserve Government property and shall not use such property, or allow its use, for other than authorized purposes. (b)...


time. Unless authorized in accordance with law or regulations to use such time for other purposes, an employee shall use official time in an honest effort to perform...


relating to outside employment, outside activities and personal financial obligations of employees that are in addition to the principles and standards set forth in...


An employee shall not engage in outside employment or any other outside activity that conflicts with his official duties. An activity conflicts with an employee's...


When required by agency supplemental regulation issued after February 3, 1993, an employee shall obtain prior approval before engaging in outside employment or...


Presidential appointees and other noncareer employees. (a) Presidential appointees to full-time noncareer positions. A Presidential appointee to a full-time...


employee shall not serve, other than on behalf of the United States, as an expert witness, with or without compensation, in any proceeding before a court or agency of the...


for teaching, speaking or writing. Except as permitted by paragraph (a)(3) of this section, an employee, including a special Government employee, shall not...


engage in fundraising only in accordance with the restrictions in part 950 of this title on the conduct of charitable fundraising in the Federal workplace and in accordance...


satisfy in good faith their obligations as citizens, including all just financial obligations, especially those such as Federal, State, or local taxes that are imposed by law....


of ethical conduct set forth in subparts A through H of this part, there are a number of statutes that establish standards to which an employee's conduct must conform....


solicitation or receipt of bribes (18 U.S.C. 201(b)). (b) The prohibition against solicitation or receipt of illegal gratuities (18 U.S.C....


This part is issued under authority of title VI of the Ethics Reform Act of 1989 (Pub. L. 101-194, as amended), to implement the 15 percent outside earned income limitation at...


The definitions listed below are of general applicability to this part. Additional definitions of narrower applicability appear in the subparts or sections of subparts to which...


(a) Request for an advisory opinion. (1) An employee may request an advisory opinion from an agency ethics official as to whether specific conduct...


other action. (a) Civil action. Except when the employee engages in conduct in good faith reliance upon an advisory opinion issued under Sec. 2636.103 of this...


to Certain Noncareer Employees Sec. 2636.301 General standards. A covered noncareer employee shall not: (a) Receive outside earned income in...


to Certain Noncareer Employees Sec. 2636.302 Relationship to other laws and regulations. The limitations and restrictions contained in this section are...


to Certain Noncareer Employees Sec. 2636.303 Definitions. For purposes of this section: (a) Covered noncareer employee means an employee, other...


to Certain Noncareer Employees Sec. 2636.304 The 15 percent limitation on outside earned income. (a) Limitation applicable to individuals who are...


to Certain Noncareer Employees Sec. 2636.305 Compensation and other restrictions relating to professions involving a fiduciary relationship. ...


to Certain Noncareer Employees Sec. 2636.306 Compensation restriction applicable to service as an officer or member of a board. (a) Applicable...


to Certain Noncareer Employees Sec. 2636.307 Requirement for advance authorization to engage in teaching for compensation. (a) Authorization requirement....


of the Ethics in Government Act of 1978 (the ``Act''), as amended by Public Law 100-598 (Nov. 3, 1988), established the Office of Government Ethics (``OGE'') as a...


defined terms which largely repeat portions of the text of the statute. They are set out here to permit a simplified presentation of statutory requirements in...


as to a particular matter in which the employee personally and substantially participated. (a) Basic prohibition of 18 U.S.C. 207(a). No...


as representative as to a particular matter for which the employee had official responsibility. (a) Basic prohibition of 18 U.S.C. 207(b)(i). No former...


representing as to a matter in which the employee participated personally and substantially. (a) Basic prohibition of 18 U.S.C. 207(b)(ii). No former...


former agency on a particular matter, regardless of prior involvement. (a) Basic prohibition of 18 U.S.C. 207(c). For a period of one year...


whole of a department or agency. (a) Authority. There are two methods by which the application of the one-year ``cooling-off'' prohibition of 18 U.S.C. 207(c) may...


(a) Exemption. The making of communications solely for the purpose of furnishing scientific or technological information pursuant to agency procedures is exempt from...


(a) Applicability. A former Government employee may be exempted from the restrictions on post employment practices if the head of the agency...


(a) Statutory basis. Section 207(h) provides: ``Nothing in this section shall prevent a former officer or employee from giving testimony under oath,...


(a) Scope. Section 207(g) of 18 U.S.C. prohibits a partner of a current Government employee from acting as agent or attorney before the United States in a particular Government...


Act of Congress and public international organizations. For purposes of sections 207 (a), (b) and (c) of title 18 U.S.C.: (a) An official whose powers are...


pursuant to 18 U.S.C. 207(d). (a) Definitions. As used in these regulations, Senior Employee refers to any person specified in or designated pursuant to 18...


procedures. The following basic guidelines for administrative enforcement of restrictions on post employment activities are designed to expedite consultation with the Director...


person who holds a Government position after June 30, 1979, becomes subject to any additional restrictions relating to the holder of that position contained in the amendments...


2637 provides guidance concerning the prior version of 18 U.S.C. 207 (1988) as it continues to apply to individuals who terminated Government service (or a ``Senior''...


Note: Part 2637 provides guidance concerning the prior version of 18 U.S.C. 207 (1988) as it continues to apply to individuals who terminated Government service (or a...


guidance concerning the prior version of 18 U.S.C. 207 (1988) as it continues to apply to individuals who terminated Government service (or a ``Senior'' Government...


(a) Authority. The regulations of this part are issued pursuant to the authority of titles I and IV of the Ethics in Government Act of 1978 (Pub. L. 95-521, as amended)...


of Government Ethics (``the Office'') provides overall direction and leadership concerning executive branch policies related to preventing conflicts of interest. The head of...


[Code of Federal Regulations] [Title 5, Volume 3] [Revised as of January 1, 2004] From the U.S. Government Printing Office via GPO Access [CITE: 5CFR2638.103] [Page 619] TITLE 5--ADMINISTRATIVE PERSONNEL CHAPTER XVI--OFFICE OF GOVERNMENT ETHICS PART 2638_OFFICE OF GOVERNMENT ETHICS AND EXECUTIVE AGENCY ETHICS PROGRAM RESPONSIBILITIES--Table of Contents Subpart A_General Provisions Sec. 2638.103 Agency regulations. Each agency may, subject to the prior approval of the Office of Government Ethics, issue regulations not inconsistent with this part. [[Page 620]] ...


this part: Act means the Ethics in Government Act of 1978 (Pub. L. 95-521, as amended). Agency means any executive department, military department,...


Each agency shall have a designated agency ethics official who is the officer or employee designated by the head of the agency to administer the provisions of title I of the Act...


(a) In general. The head of each agency is responsible for and shall exercise personal leadership in establishing, maintaining, and carrying out the agency's...


ethics official. (a) In general. The designated agency ethics official shall coordinate and manage the agency's ethics program. The program consists generally of: ...


(a) Functions. A designated agency ethics official may, if necessary, delegate to one or more deputy ethics officials any of the duties referred to in Sec. 2638.203, except...


The Director of the Office of Government Ethics has the authority and responsibility to render formal advisory opinions pursuant to Section 402(b)(8) of the Act. This service...


Any person (as defined in Sec. 2638.104) may request an opinion with respect to a situation in which that person is directly involved. A designated...


Formal advisory opinions will be rendered on matters of general applicability or on important matters of first impression concerning the application of the...


(a) A request for a formal advisory opinion should be directed to the Director of the Office of Government Ethics, Suite 500, 1201 New York Avenue...


advisory opinions. (a) Subject to the provisions of paragraph (d) of this section, the Director shall review each request for a formal advisory opinion and take one...


The Director shall provide notice to interested parties identified in a request which will be the subject of a formal advisory opinion that such an opinion will be rendered....


(a) To the extent practicable, the Director shall provide interested parties with an opportunity to submit written comment on a request for a formal advisory opinion. A time...


opinion, (1) Which involves the application of any conflict of interest law embodied in 18 U.S.C. 202-209 to a transaction or activity which does not raise a...


(a) Any formal advisory opinion referred to in Sec. 2638.308(a) or any provisions or finding of a formal advisory opinion involving the application of the...


formal advisory opinions. (a) The Director shall make sufficient deletions in any formal advisory opinion so that unless necessary to the complete understanding...


Each designated agency ethics official shall receive a copy of each published opinion. Copies will also be available to the public from the Office of...


(a) If a designated agency ethics official receives a request for advice from a person and determines that the request may come within the criteria set forth in Sec. 2638.303, he...


the designated agency ethics official issues a written opinion concerning the application of 18 U.S.C. 202-209, he or she shall transmit a copy of that opinion to the Office...


Source: 55 FR 1666, Jan. 18, 1990, unless otherwise noted. The Director of the Office of Government Ethics has authority under subsections 402(b)(9) and 402(f)(1) of...


(a) Notice. Where the Director has information indicating that an agency ethics program is not in full compliance with the requirements set forth in applicable statutes...


Within such time as may be set forth in the order, the agency head shall file a report with the Director detailing the corrective action taken. If corrective action cannot...


If the agency fails to comply with an order issued under Sec. 2638.402(d), the Director shall: (a) Notify the head of the agency of intent to furnish a report...


Employees Sec. 2638.501 In general. Source: 55 FR 1667, Jan. 18, 1990, unless otherwise noted. (a) Authority. The Director of the Office...


Sec. 2638.502 Recommendations and advice. The Director may make recommendations and provide advice to agencies, designated agency ethics officials...


Employees Sec. 2638.503 Agency investigations. (a) Recommendation of investigation. If the Director has reason to believe that an employee is violating or...


Employees Sec. 2638.504 Director's finding. (a) In general. If the Director has reason to believe that an employee is violating or has violated an...


Employees Sec. 2638.505 Director's decision and order. (a) In general. Where the Director has reason to believe that an employee is violating an ethics...


Employees Sec. 2638.506 Director's recommendation. (a) Where the Director has made a finding under Sec. 2638.504(e) or has issued a decision and order under...


FR 1670, Jan. 18, 1990, unless otherwise noted. Agencies are required by section 402(b)(10) of the Act to file such reports as the Director of the Office of...


(a) On or before February 1 of each year, each agency shall file with the Office of Government Ethics a report containing information about the agency's ethics program....


(a) In general. Section 535 of title 28 of the United States Code imposes upon every agency a duty to report to the Attorney General any...


FR 7279, Feb. 14, 2000, unless otherwise noted. Each agency must have an ethics training program to teach employees about ethics laws and rules and to tell them...


For purposes of this subpart: Agency supplemental standards means those regulations published by an agency in concurrence with the Office of Government Ethics under 5...


all employees. Within 90 days from the time an employee begins work for an agency, the agency must do the following: (a) Ethics materials. The agency must...


public filers. (a) Covered employees. Each calendar year, agencies must give verbal ethics training to employees who are required by 5 CFR part 2634 to file...


other employees. (a) Covered employees. Each calendar year, agencies must train the following employees: (1) Employees appointed by the President; ...


ethics training. (a) The designated agency ethics official (or his or her designee) is responsible for directing the agency's ethics training program. The...


Purpose. 18 U.S.C. 208(a) prohibits an officer or employee of the executive branch, of any independent agency of the United States, of the District of Columbia,...


Definitions. For purposes of this part: (a) Diversified means that the fund, trust or plan does not have a stated policy of concentrating its investments in...


Prohibition. (a) Statutory prohibition. Unless permitted by 18 U.S.C. 208(b) (1)- (4), an employee is prohibited by 18 U.S.C. 208(a) from participating personally...


2640.201 Exemptions for interests in mutual funds, unit investment trusts, and employee benefit plans. (a) Diversified mutual funds and unit investment trusts....


2640.202 Exemptions for interests in securities. (a) De minimis exemption for matters involving parties. An employee may participate in any particular matter...


2640.203 Miscellaneous exemptions. (a) Hiring decisions. An employee may participate in a hiring decision involving an applicant who is currently employed by...


2640.204 Prohibited financial interests. None of the exemptions set forth in Sec. Sec. 2640.201, 2640.202, or 2640.203 apply to any financial interest held or acquired by...


2640.205 Employee responsibility. Prior to taking official action in a matter which an employee knows would affect his financial interest or the interest of another...


2640.206 Existing agency exemptions. An employee who, prior to January 17, 1997, acted in an official capacity in a particular matter in which he had a financial...


Waivers issued pursuant to 18 U.S.C. 208(b)(1). (a) Requirements for issuing an individual waiver under 18 U.S.C. 208(b)(1). Pursuant to 18 U.S.C. 208(b)(1), an agency...


Waivers issued pursuant to 18 U.S.C. 208(b)(3). (a) Requirements for issuing an individual waiver under 18 U.S.C. 208(b)(3). Pursuant to 18 U.S.C. 208(b)(3), an agency...


Consultation and notification regarding waivers. When practicable, an official is required to consult formally or informally with the Office of Government Ethics prior to...


Public availability of agency waivers. (a) Availability. A copy of an agency waiver issued pursuant to 18 U.S.C. 208 (b)(1) or (b)(3) shall be made available upon request...


this part: Agency includes any department, independent establishment, commission, administration, authority, board, or bureau of the United States, and includes...


employees of former agency concerning matter, regardless of prior involvement. (a) Basic Prohibition of 18 U.S.C. 207(c). For one year after service in...




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