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Principles of the Law,

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.

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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

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  •  
    Tentative Draft No. 4
    Tentative Draft No. 4
    152 pages, 2023, #1PGETD4

    Table of Contents

    Section                                                                                                                                        Page

    Project Status at a Glance............................................................................................................ xiv

    Foreword...................................................................................................................................... xv

    Reporters’ Memorandum............................................................................................................. xvi

    Chapter 1

    Purpose, Scope, and Definitions

    § 101. Purpose................................................................................................................................ 1

    § 102. Scope.................................................................................................................................... 3

    § 103. Definitions............................................................................................................................ 7

    Chapter 3

    Conflicts of Interest and Outside Activities of Public Servants

    Introductory Note.......................................................................................................................... 13

    Part A

    General Principles

    § 301. Public Office for the Public Good, Not Private Gain......................................................... 15

    § 302. Avoiding Financial Conflicts of Interest............................................................................ 15

    § 303. Avoidance of Bias in Government Matters Affecting the Legal Rights of Specific Parties...................................................................................................................................... 19

    Part B

    Specific Provisions

    § 311. Prohibition on Participation in Particular Matters that Involve Financial Conflict of Interest........................................................................................................................................... 23

    § 312. Prohibition on Acquisition or Retention of Certain Financial Interests............................. 40

    § 313. Duty to Avoid Bias in Particular Matters Involving Specific Parties................................ 42

    § 314. Waiver of Financial Conflict-of-Interest and Impartiality Restrictions............................. 55

    § 315. Prohibition on Use and Disclosure of Nonpublic Government Information..................... 60

    § 316. Prohibition on Use of Public Resources for Private Benefit.............................................. 66

    § 317. Prohibition of Nepotism..................................................................................................... 71

    § 318. Appearance on Behalf of a Private Party Before a Government Agency or in a Proceeding Against the Government.................................................................................................... 76

    § 319. Fundraising......................................................................................................................... 84

    Chapter 4

    The Election-Related Activities of Public Servants

    Part A

    General Principle

    § 401. The Use of Public Resources in Election Campaigns........................................................ 89

    Appendix A. Black Letter of Tentative Draft No. 4................................................................ 91

    Appendix B. Black Letter of Sections Approved by Membership....................................... 103

    Tentative Draft No. 4 contains Chapter 1, Purpose, Scope, and Definitions; Chapter 3, Conflicts of Interest and Outside Activities of Public Servants; and § 401 of Chapter 4, Election-Related Activities of Public Servants. The membership voted to approve this draft at the 2023 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.

    152 pages, 2023, #1PGETD4E

    Table of Contents

    Section                                                                                                                                        Page

    Project Status at a Glance............................................................................................................ xiv

    Foreword...................................................................................................................................... xv

    Reporters’ Memorandum............................................................................................................. xvi

    Chapter 1

    Purpose, Scope, and Definitions

    § 101. Purpose................................................................................................................................ 1

    § 102. Scope.................................................................................................................................... 3

    § 103. Definitions............................................................................................................................ 7

    Chapter 3

    Conflicts of Interest and Outside Activities of Public Servants

    Introductory Note.......................................................................................................................... 13

    Part A

    General Principles

    § 301. Public Office for the Public Good, Not Private Gain......................................................... 15

    § 302. Avoiding Financial Conflicts of Interest............................................................................ 15

    § 303. Avoidance of Bias in Government Matters Affecting the Legal Rights of Specific Parties...................................................................................................................................... 19

    Part B

    Specific Provisions

    § 311. Prohibition on Participation in Particular Matters that Involve Financial Conflict of Interest........................................................................................................................................... 23

    § 312. Prohibition on Acquisition or Retention of Certain Financial Interests............................. 40

    § 313. Duty to Avoid Bias in Particular Matters Involving Specific Parties................................ 42

    § 314. Waiver of Financial Conflict-of-Interest and Impartiality Restrictions............................. 55

    § 315. Prohibition on Use and Disclosure of Nonpublic Government Information..................... 60

    § 316. Prohibition on Use of Public Resources for Private Benefit.............................................. 66

    § 317. Prohibition of Nepotism..................................................................................................... 71

    § 318. Appearance on Behalf of a Private Party Before a Government Agency or in a Proceeding Against the Government.................................................................................................... 76

    § 319. Fundraising......................................................................................................................... 84

    Chapter 4

    The Election-Related Activities of Public Servants

    Part A

    General Principle

    § 401. The Use of Public Resources in Election Campaigns........................................................ 89

    Appendix A. Black Letter of Tentative Draft No. 4................................................................ 91

    Appendix B. Black Letter of Sections Approved by Membership....................................... 103

    Tentative Draft No. 4 contains Chapter 1, Purpose, Scope, and Definitions; Chapter 3, Conflicts of Interest and Outside Activities of Public Servants; and § 401 of Chapter 4, Election-Related Activities of Public Servants. The membership voted to approve this draft at the 2023 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. 3
    146 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 ...................................................................................................................... 1

    PART 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. 2
    Tentative Draft No. 2
    132 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 ............................................................................................................. 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.

    132 pages, 2018, #1PGETD2E

    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 ............................................................................................................. 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.

     
  •  
    Tentative Draft No. 1
    Tentative Draft No. 1
    62 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 ........................................................................................................... 21

    Appendix. 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, #1PGETD1E

    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 ........................................................................................................... 21

    Appendix. 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.