Ethics Commitments by Executive Branch Appointees

[Federal Register Volume 82, Number 22 (Friday, February 3, 2017)]

[Presidential Documents]

[Pages 9333-9338]

From the Federal Register Online via the Government Publishing Office [www.gpo.gov]

[FR Doc No: 2017-02450]

[[Page 9331]]

Vol. 82

Friday,

No. 22

February 3, 2017

Part IV

The President

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Executive Order 13770--Ethics Commitments by Executive Branch

Appointees

Executive Order 13771--Reducing Regulation and Controlling Regulatory

Costs

Presidential Documents

Federal Register / Vol. 82 , No. 22 / Friday, February 3, 2017 /

Presidential Documents

___________________________________________________________________

Title 3--

The President

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Executive Order 13770 of January 28, 2017

Ethics Commitments by Executive Branch Appointees

By the authority vested in me as President of the

United States by the Constitution and the laws of the

United States of America, including section 301 of

title 3, United States Code, and sections 3301 and 7301

of title 5, United States Code, it is hereby ordered as

follows:

Section 1. Ethics Pledge. Every appointee in every

executive agency appointed on or after January 20,

2017, shall sign, and upon signing shall be

contractually committed to, the following pledge upon

becoming an appointee:

of title 5, United States Code, it is hereby ordered as

follows:

Section 1. Ethics Pledge. Every appointee in every

executive agency appointed on or after January 20,

2017, shall sign, and upon signing shall be

contractually committed to, the following pledge upon

becoming an appointee:

``As a condition, and in consideration, of my

employment in the United States Government in an

appointee position invested with the public trust, I

commit myself to the following obligations, which I

understand are binding on me and are enforceable under

law:

``1. I will not, within 5 years after the

termination of my employment as an appointee in any

executive agency in which I am appointed to serve,

engage in lobbying activities with respect to that

agency.

``2. If, upon my departure from the Government, I

am covered by the post-employment restrictions on

communicating with employees of my former executive

agency set forth in section 207(c) of title 18, United

States Code, I agree that I will abide by those

restrictions.

``3. In addition to abiding by the limitations of

paragraphs 1 and 2, I also agree, upon leaving

Government service, not to engage in lobbying

activities with respect to any covered executive branch

official or non-career Senior Executive Service

appointee for the remainder of the Administration.

``4

n addition to abiding by the limitations of

paragraphs 1 and 2, I also agree, upon leaving

Government service, not to engage in lobbying

activities with respect to any covered executive branch

official or non-career Senior Executive Service

appointee for the remainder of the Administration.

``4. I will not, at any time after the termination

of my employment in the United States Government,

engage in any activity on behalf of any foreign

government or foreign political party which, were it

undertaken on January 20, 2017, would require me to

register under the Foreign Agents Registration Act of

1938, as amended.

``5. I will not accept gifts from registered

lobbyists or lobbying organizations for the duration of

my service as an appointee.

``6. I will not for a period of 2 years from the

date of my appointment participate in any particular

matter involving specific parties that is directly and

substantially related to my former employer or former

clients, including regulations and contracts.

``7. If I was a registered lobbyist within the 2

years before the date of my appointment, in addition to

abiding by the limitations of paragraph 6, I will not

for a period of 2 years after the date of my

appointment participate in any particular matter on

which I lobbied within the 2 years before the date of

my appointment or participate in the specific issue

area in which that particular matter falls.

``8

y the limitations of paragraph 6, I will not

for a period of 2 years after the date of my

appointment participate in any particular matter on

which I lobbied within the 2 years before the date of

my appointment or participate in the specific issue

area in which that particular matter falls.

``8. I agree that any hiring or other employment

decisions I make will be based on the candidate's

qualifications, competence, and experience.

``9. I acknowledge that the Executive Order

entitled 'Ethics Commitments by Executive Branch

Appointees,' issued by the President on January 28,

2017, which I have read before signing this document,

defines certain terms applicable to the foregoing

obligations and sets forth the methods for enforcing

them. I expressly accept the provisions of that

Executive Order as a

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part of this agreement and as binding on me. I

understand that the obligations of this pledge are in

addition to any statutory or other legal restrictions

applicable to me by virtue of Government service.''

Sec. 2. Definitions. As used herein and in the pledge

set forth in section 1 of this order:

(a) ``Administration'' means all terms of office of

the incumbent President serving at the time of the

appointment of an appointee covered by this order.

applicable to me by virtue of Government service.''

Sec. 2. Definitions. As used herein and in the pledge

set forth in section 1 of this order:

(a) ``Administration'' means all terms of office of

the incumbent President serving at the time of the

appointment of an appointee covered by this order.

(b) ``Appointee'' means every full-time, non-career

Presidential or Vice-Presidential appointee, non-career

appointee in the Senior Executive Service (or other

SES-type system), and appointee to a position that has

been excepted from the competitive service by reason of

being of a confidential or policymaking character

(Schedule C and other positions excepted under

comparable criteria) in an executive agency. It does

not include any person appointed as a member of the

Senior Foreign Service or solely as a uniformed service

commissioned officer.

(c) ``Covered executive branch official'' shall

have the definition set forth in the Lobbying

Disclosure Act.

(d) ``Directly and substantially related to my

former employer or former clients'' shall mean matters

in which the appointee's former employer or a former

client is a party or represents a party.

red executive branch official'' shall

have the definition set forth in the Lobbying

Disclosure Act.

(d) ``Directly and substantially related to my

former employer or former clients'' shall mean matters

in which the appointee's former employer or a former

client is a party or represents a party.

(e) ``Executive agency'' and ``agency'' mean

``executive agency'' as defined in section 105 of title

5, United States Code, except that the terms shall

include the Executive Office of the President, the

United States Postal Service, and the Postal Regulatory

Commission, and excludes the Government Accountability

Office. As used in paragraph 1 of the pledge,

``executive agency'' means the entire agency in which

the appointee is appointed to serve, except that:

(1) with respect to those appointees to whom such designations are

applicable under section 207(h) of title 18, United States Code, the term

means an agency or bureau designated by the Director of the Office of

Government Ethics under section 207(h) as a separate department or agency

at the time the appointee ceased to serve in that department or agency; and

(2) an appointee who is detailed from one executive agency to another for

more than 60 days in any calendar year shall be deemed to be an officer or

employee of both agencies during the period such person is detailed.

(f) ``Foreign Agents Registration Act of 1938, as

amended'' means sections 611 through 621 of title 22,

United States Code.

(2) an appointee who is detailed from one executive agency to another for

more than 60 days in any calendar year shall be deemed to be an officer or

employee of both agencies during the period such person is detailed.

(f) ``Foreign Agents Registration Act of 1938, as

amended'' means sections 611 through 621 of title 22,

United States Code.

(g) ``Foreign government'' means the ``government

of a foreign country,'' as defined in section 1(e) of

the Foreign Agents Registration Act of 1938, as

amended, 22 U.S.C. 611(e).

(h) ``Foreign political party'' has the same

meaning as that term has in section 1(f) of the Foreign

Agents Registration Act of 1938, as amended, 22 U.S.C.

611(f).

(i) ``Former client'' is any person for whom the

appointee served personally as agent, attorney, or

consultant within the 2 years prior to the date of his

or her appointment, but excluding instances where the

service provided was limited to a speech or similar

appearance. It does not include clients of the

appointee's former employer to whom the appointee did

not personally provide services.

(j) ``Former employer'' is any person for whom the

appointee has within the 2 years prior to the date of

his or her appointment served as an employee, officer,

director, trustee, or general partner, except that

``former employer'' does not include any executive

agency or other entity of the Federal Government, State

or local government, the District of Columbia, Native

American tribe, or any United States territory or

possession.

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officer,

director, trustee, or general partner, except that

``former employer'' does not include any executive

agency or other entity of the Federal Government, State

or local government, the District of Columbia, Native

American tribe, or any United States territory or

possession.

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(k) ``Gift''

(1) shall have the definition set forth in section 2635.203(b) of title 5,

Code of Federal Regulations;

(2) shall include gifts that are solicited or accepted indirectly as

defined at section 2635.203(f) of title 5, Code of Federal Regulations; and

(3) shall exclude those items excluded by sections 2635.204(b), (c), (e)(1)

& (3), (j), (k), and (l) of title 5, Code of Federal Regulations.

(l) ``Government official'' means any employee of

the executive branch.

(m) ``Lobbied'' shall mean to have acted as a

registered lobbyist.

(n) ``Lobbying activities'' has the same meaning as

that term has in the Lobbying Disclosure Act, except

that the term does not include communicating or

appearing with regard to: a judicial proceeding; a

criminal or civil law enforcement inquiry,

investigation, or proceeding; or any agency process for

rulemaking, adjudication, or licensing, as defined in

and governed by the Administrative Procedure Act, as

amended, 5 U.S.C. 551 et seq.

(o) ``Lobbying Disclosure Act'' means sections 1601

et seq. of title 2, United States Code.

(p) ``Lobbyist'' shall have the definition set

forth in the Lobbying Disclosure Act.

ion, or licensing, as defined in

and governed by the Administrative Procedure Act, as

amended, 5 U.S.C. 551 et seq.

(o) ``Lobbying Disclosure Act'' means sections 1601

et seq. of title 2, United States Code.

(p) ``Lobbyist'' shall have the definition set

forth in the Lobbying Disclosure Act.

(q) ``On behalf of another'' means on behalf of a

person or entity other than the individual signing the

pledge or his or her spouse, child, or parent.

(r) ``Particular matter'' shall have the same

meaning as set forth in section 207 of title 18, United

States Code, and section 2635.402(b)(3) of title 5,

Code of Federal Regulations.

(s) ``Particular matter involving specific

parties'' shall have the same meaning as set forth in

section 2641.201(h) of title 5, Code of Federal

Regulations, except that it shall also include any

meeting or other communication relating to the

performance of one's official duties with a former

employer or former client, unless the communication

applies to a particular matter of general applicability

and participation in the meeting or other event is open

to all interested parties.

(t) ``Participate'' means to participate personally

and substantially.

(u) ``Pledge'' means the ethics pledge set forth in

section 1 of this order.

(v) ``Post-employment restrictions'' shall include

the provisions and exceptions in section 207(c) of

title 18, United States Code, and the implementing

regulations.

te personally

and substantially.

(u) ``Pledge'' means the ethics pledge set forth in

section 1 of this order.

(v) ``Post-employment restrictions'' shall include

the provisions and exceptions in section 207(c) of

title 18, United States Code, and the implementing

regulations.

(w) ``Registered lobbyist or lobbying

organization'' shall mean a lobbyist or an organization

filing a registration pursuant to section 1603(a) of

title 2, United States Code, and in the case of an

organization filing such a registration, ``registered

lobbyist'' shall include each of the lobbyists

identified therein.

(x) Terms that are used herein and in the pledge,

and also used in section 207 of title 18, United States

Code, shall be given the same meaning as they have in

section 207 and any implementing regulations issued or

to be issued by the Office of Government Ethics, except

to the extent those terms are otherwise defined in this

order.

(y) All references to provisions of law and

regulations shall refer to such provisions as in effect

on January 20, 2017.

Sec. 3. Waiver. (a) The President or his designee may

grant to any person a waiver of any restrictions

contained in the pledge signed by such person.

(b) A waiver shall take effect when the

certification is signed by the President or his

designee.

n effect

on January 20, 2017.

Sec. 3. Waiver. (a) The President or his designee may

grant to any person a waiver of any restrictions

contained in the pledge signed by such person.

(b) A waiver shall take effect when the

certification is signed by the President or his

designee.

(c) A copy of the waiver certification shall be

furnished to the person covered by the waiver and

provided to the head of the agency in which that person

is or was appointed to serve.

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Sec. 4. Administration. (a) The head of every executive

agency shall establish for that agency such rules or

procedures (conforming as nearly as practicable to the

agency's general ethics rules and procedures, including

those relating to designated agency ethics officers) as

are necessary or appropriate:

(1) to ensure that every appointee in the agency signs the pledge upon

assuming the appointed office or otherwise becoming an appointee; and

(2) to ensure compliance with this order within the agency.

(b) With respect to the Executive Office of the

President, the duties set forth in section 4(a) shall

be the responsibility of the Counsel to the President

or such other official or officials to whom the

President delegates those duties.

pointee; and

(2) to ensure compliance with this order within the agency.

(b) With respect to the Executive Office of the

President, the duties set forth in section 4(a) shall

be the responsibility of the Counsel to the President

or such other official or officials to whom the

President delegates those duties.

(c) The Director of the Office of Government Ethics

shall:

(1) ensure that the pledge and a copy of this Executive Order are made

available for use by agencies in fulfilling their duties under section

4(a);

(2) in consultation with the Attorney General or Counsel to the President,

when appropriate, assist designated agency ethics officers in providing

advice to current or former appointees regarding the application of the

pledge; and

(3) adopt such rules or procedures (conforming as nearly as practicable to

its generally applicable rules and procedures) as are necessary or

appropriate:

(i) to carry out the foregoing responsibilities;

(ii) to apply the lobbyist gift ban set forth in paragraph 5 of the

pledge to all executive branch employees;

(iii) to authorize limited exceptions to the lobbyist gift ban for

circumstances that do not implicate the purposes of the ban;

(iv) to make clear that no person shall have violated the lobbyist gift

ban if the person properly disposes of a gift as provided by section

2635.206 of title 5, Code of Federal Regulations;

(v) to ensure that existing rules and procedures for Government employees

engaged in negotiations for future employment with private businesses that

are affected by their official actions do not affect the integrity of the

Government's programs and operations; and

(vi) to ensure, in consultation with the Director of the Office of

Personnel Management, that the requirement set forth in paragraph 8 of the

pledge is honored by every employee of the executive branch;

engaged in negotiations for future employment with private businesses that

are affected by their official actions do not affect the integrity of the

Government's programs and operations; and

(vi) to ensure, in consultation with the Director of the Office of

Personnel Management, that the requirement set forth in paragraph 8 of the

pledge is honored by every employee of the executive branch;

(d) An appointee who has signed the pledge is not

required to sign the pledge again upon appointment or

detail to a different office, except that a person who

has ceased to be an appointee, due to termination of

employment in the executive branch or otherwise, shall

sign the pledge prior to thereafter assuming office as

an appointee.

(e) All pledges signed by appointees, and all

waiver certifications with respect thereto, shall be

filed with the head of the appointee's agency for

permanent retention in the appointee's official

personnel folder or equivalent folder.

Sec. 5. Enforcement. (a) The contractual, fiduciary,

and ethical commitments in the pledge provided for

herein are solely enforceable by the United States by

any legally available means, including any or all of

the following: debarment proceedings within any

affected executive agency or civil judicial proceedings

for declaratory, injunctive, or monetary relief.

and ethical commitments in the pledge provided for

herein are solely enforceable by the United States by

any legally available means, including any or all of

the following: debarment proceedings within any

affected executive agency or civil judicial proceedings

for declaratory, injunctive, or monetary relief.

(b) Any former appointee who is determined, after

notice and hearing, by the duly designated authority

within any agency, to have violated his or her pledge

may be barred from engaging in lobbying activities with

respect to that agency for up to 5 years in addition to

the 5-year time period covered by the pledge. The head

of every executive agency shall, in consultation with

the Director of the Office of Government Ethics,

establish

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procedures to implement this subsection, which shall

include (but not be limited to) providing for

factfinding and investigation of possible violations of

this order and for referrals to the Attorney General

for his or her consideration pursuant to subsection

(c).

(c) The Attorney General or his or her designee is

authorized:

(1) upon receiving information regarding the possible breach of any

commitment in a signed pledge, to request any appropriate Federal

investigative authority to conduct such investigations as may be

appropriate; and

for his or her consideration pursuant to subsection

(c).

(c) The Attorney General or his or her designee is

authorized:

(1) upon receiving information regarding the possible breach of any

commitment in a signed pledge, to request any appropriate Federal

investigative authority to conduct such investigations as may be

appropriate; and

(2) upon determining that there is a reasonable basis to believe that a

breach of a commitment has occurred or will occur or continue, if not

enjoined, to commence a civil action on behalf of the United States against

the former officer or employee in any United States District Court with

jurisdiction to consider the matter.

(d) In such civil action, the Attorney General or

his or her designee is authorized to request any and

all relief authorized by law, including but not limited

to:

(1) such temporary restraining orders and preliminary and permanent

injunctions as may be appropriate to restrain future, recurring, or

continuing conduct by the former officer or employee in breach of the

commitments in the pledge he or she signed; and

(2) establishment of a constructive trust for the benefit of the United

States, requiring an accounting and payment to the United States Treasury

of all money and other things of value received by, or payable to, the

former officer or employee arising out of any breach or attempted breach of

the pledge signed by the former officer or employee.

commitments in the pledge he or she signed; and

(2) establishment of a constructive trust for the benefit of the United

States, requiring an accounting and payment to the United States Treasury

of all money and other things of value received by, or payable to, the

former officer or employee arising out of any breach or attempted breach of

the pledge signed by the former officer or employee.

Sec. 6. General Provisions. (a) This order supersedes

Executive Order 13490 of January 21, 2009 (Ethics

Commitments by Executive Branch Personnel), and

therefore Executive Order 13490 is hereby revoked. No

other prior Executive Orders are repealed by this

order. To the extent that this order is inconsistent

with any provision of any prior Executive Order, this

order shall control.

(b) If any provision of this order or the

application of such provision is held to be invalid,

the remainder of this order and other dissimilar

applications of such provision shall not be affected.

(c) The pledge and this order are not intended to,

and do not, create any right or benefit, substantive or

procedural, enforceable at law or in equity by any

party (other than by the United States) against the

United States, its departments, agencies, or entities,

its officers, employees, or agents, or any other

person.

(d) The definitions set forth in this order are

solely applicable to the terms of this order, and are

not otherwise intended to impair or affect existing

law.

nst the

United States, its departments, agencies, or entities,

its officers, employees, or agents, or any other

person.

(d) The definitions set forth in this order are

solely applicable to the terms of this order, and are

not otherwise intended to impair or affect existing

law.

(e) Nothing in this order shall be construed to

impair or otherwise affect:

(1) the authority granted by law to an executive department, agency, or the

head thereof; or

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(2) the functions of the Director of the Office of Management and Budget

relating to budgetary, administrative, or legislative proposals.

(f) This order shall be implemented consistent with

applicable law and subject to the availability of

appropriations.

(Presidential Sig.)

THE WHITE HOUSE,

January 28, 2017.

[FR Doc. 2017-02450

Filed 2-2-17; 11:15 am]

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