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Code of Federal Regulations Title 5. Administrative Personnel § 5.2611.102 Definitions

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For purposes of this part,

Director means the Director of OGE, or his or her delegate.

Government ethics laws and regulations include, among other applicable authorities, the provisions related to government ethics or financial disclosure set forth in the following authorities:

(1) Chapter 11 of title 18 of the United States Code;

(2) The Ethics in Government Act of 1978 (Pub. L. 95–521, as amended);

(3) The Representative Louise McIntosh Slaughter Stop Trading on Congressional Knowledge Act (STOCK Act) (Pub. L. 112–105, as amended);

(4) Executive Order 12674 (Apr. 12, 1989)as amended by Executive Order 12731 (Oct. 17, 1990);  and

(5) Subchapter B of Chapter 16 of title 5 of the United States Code.

Guidance document refers to any statement of agency policy or interpretation concerning a statute, regulation, or technical matter within the jurisdiction of the agency that is intended to have general applicability and future effect, but which is not intended to have the force or effect of law in its own right and is not otherwise required by statute to satisfy the rulemaking procedures specified in 5 U.S.C. 553 or 5 U.S.C. 556. The term is not confined to written documents;  guidance may come in a variety of forms, including (but not limited to) letters, memoranda, circulars, bulletins, advisories, and may include video, audio, and web-based formats. The term guidance document does not include:

(1) Rules exempt from rulemaking requirements under 5 U.S.C. 553(a);

(2) Rules of agency organization, procedure, or practice;

(3) Decisions of agency adjudications under 5 U.S.C. 554 or similar statutory provisions;

(4) Internal executive branch legal advice or legal advisory opinions addressed to executive branch officials;

(5) Agency statements of specific applicability, including advisory or legal opinions directed to particular parties about circumstance-specific questions (e.g., informal advisory opinions, case or investigatory letters responding to complaints, warning letters), notices regarding particular locations or facilities (e.g., guidance pertaining to the use, operation, or control of a government facility or property), and correspondence with individual persons or entities (e.g., congressional correspondence), except documents ostensibly directed to a particular party but designed to guide the conduct of the broader regulated public;

(6) Legal briefs, other court filings, or positions taken in litigation or enforcement actions;

(7) Agency statements that do not set forth a policy on a statutory, regulatory, or technical issue or an interpretation of a statute or regulation, including speeches and individual presentations, editorials, media interviews, press materials, or congressional testimony that do not set forth for the first time a new regulatory policy;

(8) Guidance pertaining to military or foreign affairs functions;

(9) Grant solicitations and awards;

(10) Contract solicitations and awards;  or

(11) Purely internal agency policies or guidance directed solely to OGE employees or contractors or to other Federal agencies that are not intended to have substantial future effect on the behavior of regulated parties.

Note 1 to the definition of “guidance document”:  As described in 5 CFR part 2638, OGE issues a number of documents to agency ethics officials and officers and employees of the executive branch concerning the government ethics laws and regulations and ethics program management. These documents are generally exempted from the definition of guidance document pursuant to this definition. In the rare case that a document does constitute a guidance document not otherwise excluded from the definition, the procedures set forth in this part will apply.

OGE means the U.S. Office of Government Ethics, or the organizational unit within the office responsible for conducting the relevant provisions of this part.

Significant guidance document means a guidance document that will be disseminated to regulated entities or the general public and that may reasonably be anticipated:

(1) To lead to an annual effect on the economy of $100 million or more or adversely affect in a material way the U.S. economy, a sector of the U.S. economy, productivity, competition, jobs, the environment, public health or safety, or State, local, or tribal governments or communities;

(2) To create serious inconsistency or otherwise interfere with an action taken or planned by another Federal agency;

(3) To alter materially the budgetary impact of entitlements, grants, user fees, or loan programs or the rights and obligations of recipients thereof;  or

(4) To raise novel legal or policy issues arising out of legal mandates, the President's priorities, or the principles set forth in E.O. 12866, as further amended.

Cite this article: - Code of Federal Regulations Title 5. Administrative Personnel § 5.2611.102 Definitions - last updated October 03, 2022 |

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