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
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........................................................................................ 53
CHAPTER 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..................................................................................................... 80
Appendix 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.
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........................................................................................ 53
CHAPTER 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..................................................................................................... 80
Appendix 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.
Foreword
Reporter’s Memorandum
Chapter 4 - The Election Related Activities of Public Servants
§ 401. Prohibition on the Use of Public Resources in Election Campaigns
§ 402. Prohibition on the Use of Public Resources for Communications in Election Campaigns
§ 403. Regulation of Publicly Funded Travel Related to Election Campaigns
§ 404. Restrictions on Public-Employee Participation in Election Campaigns and Partisan Activities
Appendix. Black Letter of Tentative Draft No. 1
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.
Foreword
Reporter’s Memorandum
Chapter 4 - The Election Related Activities of Public Servants
§ 401. Prohibition on the Use of Public Resources in Election Campaigns
§ 402. Prohibition on the Use of Public Resources for Communications in Election Campaigns
§ 403. Regulation of Publicly Funded Travel Related to Election Campaigns
§ 404. Restrictions on Public-Employee Participation in Election Campaigns and Partisan Activities
Appendix. Black Letter of Tentative Draft No. 1
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.