Sample Letter Of Warning printable pdf download

TEMPLATE: SAMPLE LETTER OF WARNING

Dear Filer:

Our office reviewed your 20___ Annual Confidential Financial Disclosure Report

(OGE Form 450) covering your financial interests for fiscal year 20___. You disclosed

financial interests, including spousal employment, in DoD-prohibited sources (e.g., L3

Communications and Proctor and Gamble, Inc.). These interests are in companies that

do business with DoD or are likely to do business with DoD. To help you avoid potential

conflicts of interest with respect to your financial interests, we are providing you with

this required annual GUIDANCE/ REMINDER concerning the ethical rules pertaining to

this interest.

RULE: A criminal statute, 18 U.S.C. 208, prohibits you from personal and

substantial participation in a Government assignment or project where you could

directly and predictably affect your financial interests, or those imputed to you, unless

you first obtain a written waiver or qualify for a regulatory exemption. The interests of

the following persons are imputed to you: your spouse and minor children; any general

partners; any organization in which you serve as an officer, director, trustee, general

partner or employee; and any person or organization with which you are negotiating or

have an arrangement concerning prospective employment.

EXEMPTIONS: Ownership of Securities - Normally, you must disqualify yourself

from working on any project or assignment that is likely to affect your financial

interests. However, the law recognizes exemptions for investment interests which may

be too small or indirect to create an actual conflict of interest. They are:

You may participate in a particular matter where the aggregate of your

interests (including those imputed to you) do not exceed $15,000 in all entities involved

in the matter, where the interests are in publically traded, long-term Federal or

municipal securities. E.g., If you were responsible for awarding a contract where

company A and B were parties. If your interest in each company was $8,000, the total

would be more than $15,000 and you would not meet this exception.

You may participation in a particular matter of general applicability –

which may affect a particular class of companies--if you own no more than $25,000.00

of securities in a company that is part of the class affected by the matter.

Sample Letter Of Warning