Government Ethics
This work enunciates principles and best practices that reflect the emerging law of government ethics and shape its future development. Focused on the legislative and executive branches of government, topics include public employee participation and use of public resources in election campaigns and partisan activities, gifts to public officials, conflicts of interest involving the private activities of public officials, the political uses of public office, post-employment restrictions, and administration and enforcement mechanisms.
Reporter:
Richard Briffault, Columbia University School of Law
Associate Reporters:
Kathleen Clark, Washington University School of Law
Richard W. Painter, University of Minnesota Law School
- Tentative Draft No. 3146 pages, 2021, #1PGETD3E
TABLE OF CONTENTS
Section Page
Project Status at a Glance ........................................................................................ xvii
Foreword .................................................................................................................. xix
Reporters’ Memorandum .......................................................................................... xxi
CHAPTER 5
RESTRICTIONS ON LEAVING OR ENTERING PUBLIC SERVICE
PART A – GENERAL PRINCIPLES
§ 501. Avoidance of Conflict of Interest After Leaving or on Entering Public
Service ...................................................................................................................... 1PART B – SPECIFIC PROVISIONS
§ 514. Restriction on Participation in Particular Matters Concerning Former
Employers, Clients, or Close Business Associates .................................................. 4§ 515. Prohibition on Acceptance of Special Payment by a Former Employer ....... 11
CHAPTER 6
DISCLOSURE
Introductory Note ........................................................................................................ 15
PART A – GENERAL PRINCIPLES
§ 601. Disclosure by High-Ranking Public Servants ................................................... 16
§ 602. Disclosure of Information Concerning Public Servants to the General Public .. 23
PART B – SPECIFIC DISCLOSURES
§ 611. Disclosure of Assets and Income ................................................................... 29
§ 612. Disclosure of Liabilities ................................................................................... 36
§ 613. Disclosure of Outside Positions ...................................................................... 40
§ 614. Disclosure of Outside Employment ................................................................. 43
§ 615. Disclosure of Gifts ........................................................................................... 48
§ 616. Disclosure of Transactions ............................................................................... 52
§ 617. Disclosure of Additional Information ................................................................. 56
CHAPTER 7
ADMINISTRATION AND ENFORCEMENT OF ETHICS PROVISIONS
PART A – GENERAL PRINCIPLES
§ 701. Administration and Enforcement of Ethics Provisions ....................................... 61
§ 702. Independent Agency for Ethics Administration and Enforcement ...................... 63
PART B – SPECIFIC PRINCIPLES
§ 711. Promoting Ethics-Agency Independence ........................................................... 67
§ 712. Ethics-Agency Jurisdiction ................................................................................. 73
§ 713. Ethics-Agency Duties and Powers ..................................................................... 76
§ 714. Penalties, Orders, and Other Dispositions ......................................................... 83
§ 715. Whistleblower Protection .................................................................................... 85
Appendix A. Black Letter of Tentative Draft No. 3 ..................................................... 89
Appendix B. Black Letter of Sections Approved by Membership .......................... 101
Tentative Draft No. 3 contains additional sections of Chapter 5, Restrictions on Leaving or Entering Public Service; Chapter 6, Disclosure, and Chapter 7, Administration and Enforcement of Ethics Provisions. The membership voted to approve this draft at the 2021 Annual Meeting, subject to the discussion at the Meeting and editorial prerogative. This material may be cited as representing the Institute’s position until the official text is published.
- Tentative Draft No. 2Tentative Draft No. 2132 pages, 2018, #1PGETD2
TABLE OF CONTENTS
Section Page
Status at a Glance .................................................................................................... xii
Foreword .................................................................................................................. xiii
Reporters’ Memorandum ......................................................................................... xvii
CHAPTER 2
GIFTS FROM AND FINANCIAL RELATIONSHIPS WITH PROHIBITED SOURCES
PART A
GENERAL PRINCIPLE
§ 201. Restrictions on Gifts, Financial Transactions, and Financial Relationships ...... 1
PART B
SPECIFIC PROVISIONS
§ 211. Definitions ......................................................................................................... 10
§ 211A. Gift Solicited Because of Official Position ....................................................... 13
§ 212. Gift from a Prohibited Source ............................................................................ 14
§ 212A. Solicitation of Charitable Gift from a Prohibited Source .................................. 17
§ 213. Financial Transaction or Financial Relationship with a Prohibited Source ......... 18
§ 214. Gifts and Financial Transactions between Prohibited Sources and Family
Members of a Public Servant ......................................................................................... 26§ 215. Prohibited Sources Who Are Also Family Members or Personal Friends
of Public Servants ........................................................................................................... 30§ 216. Gifts of Complimentary Attendance at Events ...................................................... 35
§ 217. Payments for Travel, Meals, and Lodging ............................................................ 40
§ 218. Other Exceptions .................................................................................................. 45
§ 219. Agency Specific Variations .................................................................................... 50
§ 220. Gifts, Financial Transactions, and Financial Relationships between
Public Servants ................................................................................................................. 50§ 221. Gifts to Legal-Defense Funds for Public Servants; Gifts of Legal Services
to Public Servants ............................................................................................................. 53CHAPTER 5
POST-GOVERNMENT EMPLOYMENT RESTRICTIONS
Introductory Note ............................................................................................................... 59
PART A
GENERAL PRINCIPLES
§ 501. Avoidance of Conflict of Interest On and After Leaving Public Service .............. 60
PART B
SPECIFIC PROVISIONS
§ 511. Seeking Post-Government Employment ............................................................................ 64
§ 512. Restriction on Post-Employment Participation in Particular Matters with
Which the Former Public Servant Was Engaged as a Public Servant ............................... 72§ 513. Restriction on Appearances Before or Communications with Former
Agency or Department ....................................................................................................... 80Appendix A. Black Letter of Tentative Draft No. 2 ....................................................... 89
Appendix B. Other Relevant Black-Letter Text ............................................................ 105
Tentative Draft No. 2 contains Chapter 2, Gifts from and Financial Relationships with Prohibited Sources (§§201, 211-221) and a portion of Chapter 5, Post-Government Employment Restrictions (§§ 501, 511-513). The draft was approved by the membership at the 2018 Annual Meeting, subject to the discussion at the Meeting and the usual editorial prerogative. This material may be cited as representing the Institute’s position until the official text of the entire project is published.
132 pages, 2018, #1PGETD2ETABLE OF CONTENTS
Section Page
Status at a Glance .................................................................................................... xii
Foreword .................................................................................................................. xiii
Reporters’ Memorandum ......................................................................................... xvii
CHAPTER 2
GIFTS FROM AND FINANCIAL RELATIONSHIPS WITH PROHIBITED SOURCES
PART A
GENERAL PRINCIPLE
§ 201. Restrictions on Gifts, Financial Transactions, and Financial Relationships ...... 1
PART B
SPECIFIC PROVISIONS
§ 211. Definitions ......................................................................................................... 10
§ 211A. Gift Solicited Because of Official Position ....................................................... 13
§ 212. Gift from a Prohibited Source ............................................................................ 14
§ 212A. Solicitation of Charitable Gift from a Prohibited Source .................................. 17
§ 213. Financial Transaction or Financial Relationship with a Prohibited Source ......... 18
§ 214. Gifts and Financial Transactions between Prohibited Sources and Family
Members of a Public Servant ......................................................................................... 26§ 215. Prohibited Sources Who Are Also Family Members or Personal Friends
of Public Servants ........................................................................................................... 30§ 216. Gifts of Complimentary Attendance at Events ...................................................... 35
§ 217. Payments for Travel, Meals, and Lodging ............................................................ 40
§ 218. Other Exceptions .................................................................................................. 45
§ 219. Agency Specific Variations .................................................................................... 50
§ 220. Gifts, Financial Transactions, and Financial Relationships between
Public Servants ................................................................................................................. 50§ 221. Gifts to Legal-Defense Funds for Public Servants; Gifts of Legal Services
to Public Servants ............................................................................................................. 53CHAPTER 5
POST-GOVERNMENT EMPLOYMENT RESTRICTIONS
Introductory Note ............................................................................................................... 59
PART A
GENERAL PRINCIPLES
§ 501. Avoidance of Conflict of Interest On and After Leaving Public Service .............. 60
PART B
SPECIFIC PROVISIONS
§ 511. Seeking Post-Government Employment ............................................................................ 64
§ 512. Restriction on Post-Employment Participation in Particular Matters with
Which the Former Public Servant Was Engaged as a Public Servant ............................... 72§ 513. Restriction on Appearances Before or Communications with Former
Agency or Department ....................................................................................................... 80Appendix A. Black Letter of Tentative Draft No. 2 ....................................................... 89
Appendix B. Other Relevant Black-Letter Text ............................................................ 105
Tentative Draft No. 2 contains Chapter 2, Gifts from and Financial Relationships with Prohibited Sources (§§201, 211-221) and a portion of Chapter 5, Post-Government Employment Restrictions (§§ 501, 511-513). The draft was approved by the membership at the 2018 Annual Meeting, subject to the discussion at the Meeting and the usual editorial prerogative. This material may be cited as representing the Institute’s position until the official text of the entire project is published.
- Tentative Draft No. 1Tentative Draft No. 162 pages, 2015, #1PGETD1
TABLE OF CONTENTS
Section Page
Foreword ....................................................................................................................... xi
Reporter’s Memorandum .............................................................................................. xv
CHAPTER 4
THE ELECTION RELATED ACTIVITIES OF PUBLIC SERVANTS
§ 401. Prohibition on the Use of Public Resources in Election Campaigns .................... 1
§ 402. Prohibition on the Use of Public Resources for Communications in
Election Campaigns ........................................................................................................ 6§ 403. Regulation of Publicly Funded Travel Related to Election Campaigns ............... 14
§ 404. Restrictions on Public-Employee Participation in Election Campaigns and
Partisan Activities ........................................................................................................... 21Appendix. Black Letter of Tentative Draft No. 1 ........................................................... 39
This draft contains Chapter 4 which addresses the need to place limits on the ability of government officers and employees to use public resources for their personal or partisan benefit in elections. The draft was approved by the membership at the 2015 Annual Meeting, subject to discussion at the meeting, including a suggestion that the Reporters give due consideration to the issue of off-duty activities of public employees, and to editorial prerogative. This material may be cited as representing the Institute’s position until the official text is published.
62 pages, 2015, #1PGETD1ETABLE OF CONTENTS
Section Page
Foreword ....................................................................................................................... xi
Reporter’s Memorandum .............................................................................................. xv
CHAPTER 4
THE ELECTION RELATED ACTIVITIES OF PUBLIC SERVANTS
§ 401. Prohibition on the Use of Public Resources in Election Campaigns .................... 1
§ 402. Prohibition on the Use of Public Resources for Communications in
Election Campaigns ........................................................................................................ 6§ 403. Regulation of Publicly Funded Travel Related to Election Campaigns ............... 14
§ 404. Restrictions on Public-Employee Participation in Election Campaigns and
Partisan Activities ........................................................................................................... 21Appendix. Black Letter of Tentative Draft No. 1 ........................................................... 39
This draft contains Chapter 4 which addresses the need to place limits on the ability of government officers and employees to use public resources for their personal or partisan benefit in elections. The draft was approved by the membership at the 2015 Annual Meeting, subject to discussion at the meeting, including a suggestion that the Reporters give due consideration to the issue of off-duty activities of public employees, and to editorial prerogative. This material may be cited as representing the Institute’s position until the official text is published.