Ethics Commitments by Executive Branch Personnel

[Federal Register Volume 86, Number 14 (Monday, January 25, 2021)]

[Presidential Documents]

[Pages 7029-7035]

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

[FR Doc No: 2021-01762]

[[Page 7027]]

Vol. 86

Monday,

No. 14

January 25, 2021

Part III

The President

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Executive Order 13989--Ethics Commitments by Executive Branch Personnel

Executive Order 13990--Protecting Public Health and the Environment and

Restoring Science To Tackle the Climate Crisis

Executive Order 13991--Protecting the Federal Workforce and Requiring

Mask-Wearing

Executive Order 13992--Revocation of Certain Executive Orders

Concerning Federal Regulation

Executive Order 13993--Revision of Civil Immigration Enforcement

Policies and Priorities

Memorandum of January 20, 2021--Preserving and Fortifying Deferred

Action for Childhood Arrivals (DACA)

Memorandum of January 20, 2021--Reinstating Deferred Enforced Departure

for Liberians

Presidential Documents

Federal Register / Vol. 86 , No. 14 / Monday, January 25, 2021 /

Presidential Documents

___________________________________________________________________

Title 3--

The President

[[Page 7029]]

Executive Order 13989 of January 20, 2021

Ethics Commitments by Executive Branch Personnel

By the authority vested in me as President 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:

Ethics Commitments by Executive Branch Personnel

By the authority vested in me as President 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,

2021, shall sign, and upon signing shall be

contractually committed to, the following pledge upon

becoming an appointee:

``I recognize that this pledge is part of a broader

ethics in government plan designed to restore and

maintain public trust in government, and I commit

myself to conduct consistent with that plan. I commit

to decision-making on the merits and exclusively in the

public interest, without regard to private gain or

personal benefit. I commit to conduct that upholds the

independence of law enforcement and precludes improper

interference with investigative or prosecutorial

decisions of the Department of Justice. I commit to

ethical choices of post-Government employment that do

not raise the appearance that I have used my Government

service for private gain, including by using

confidential information acquired and relationships

established for the benefit of future clients.

decisions of the Department of Justice. I commit to

ethical choices of post-Government employment that do

not raise the appearance that I have used my Government

service for private gain, including by using

confidential information acquired and relationships

established for the benefit of future clients.

``Accordingly, as a condition, and in consideration, of

my employment in the United States Government in a

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. Lobbyist Gift Ban. I will not accept gifts from

registered lobbyists or lobbying organizations for the

duration of my service as an appointee.

``2. Revolving Door Ban--All Appointees Entering

Government. 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.

``3. Revolving Door Ban--Lobbyists and Registered

Agents Entering Government. If I was registered under

the Lobbying Disclosure Act, 2 U.S.C. 1601 et seq., or

the Foreign Agents Registration Act (FARA), 22 U.S.C.

611 et seq., within the 2 years before the date of my

appointment, in addition to abiding by the limitations

of paragraph 2, I will not for a period of 2 years

after the date of my appointment:

the Lobbying Disclosure Act, 2 U.S.C. 1601 et seq., or

the Foreign Agents Registration Act (FARA), 22 U.S.C.

611 et seq., within the 2 years before the date of my

appointment, in addition to abiding by the limitations

of paragraph 2, I will not for a period of 2 years

after the date of my appointment:

(a) participate in any particular matter on which I

lobbied, or engaged in registrable activity under FARA,

within the 2 years before the date of my appointment;

(b) participate in the specific issue area in which

that particular matter falls; or

(c) seek or accept employment with any executive

agency with respect to which I lobbied, or engaged in

registrable activity under FARA, within the 2 years

before the date of my appointment.

``4. Revolving Door Ban--Appointees Leaving Government.

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, and

its implementing

[[Page 7030]]

regulations, I agree that I will abide by those

restrictions for a period of 2 years following the end

of my appointment. I will abide by these same

restrictions with respect to communicating with the

senior White House staff.

c) of title 18, United States Code, and

its implementing

[[Page 7030]]

regulations, I agree that I will abide by those

restrictions for a period of 2 years following the end

of my appointment. I will abide by these same

restrictions with respect to communicating with the

senior White House staff.

``5. Revolving Door Ban--Senior and Very Senior

Appointees Leaving Government. If, upon my departure

from the Government, I am covered by the post-

employment restrictions set forth in sections 207(c) or

207(d) of title 18, United States Code, and those

sections' implementing regulations, I agree that, in

addition, for a period of 1 year following the end of

my appointment, I will not materially assist others in

making communications or appearances that I am

prohibited from undertaking myself by (a) holding

myself out as being available to engage in lobbying

activities in support of any such communications or

appearances; or (b) engaging in any such lobbying

activities.

``6. Revolving Door Ban--Appointees Leaving Government

to Lobby. In addition to abiding by the limitations of

paragraph 4, I also agree, upon leaving Government

service, not to lobby any covered executive branch

official or non-career Senior Executive Service

appointee, or engage in any activity on behalf of any

foreign government or foreign political party which,

were it undertaken on January 20, 2021, would require

that I register under FARA, for the remainder of the

Administration or 2 years following the end of my

appointment, whichev

utive Service

appointee, or engage in any activity on behalf of any

foreign government or foreign political party which,

were it undertaken on January 20, 2021, would require

that I register under FARA, for the remainder of the

Administration or 2 years following the end of my

appointment, whichever is later.

``7. Golden Parachute Ban. I have not accepted and will

not accept, including after entering Government, any

salary or other cash payment from my former employer

the eligibility for and payment of which is limited to

individuals accepting a position in the United States

Government. I also have not accepted and will not

accept any non-cash benefit from my former employer

that is provided in lieu of such a prohibited cash

payment.

``8. Employment Qualification Commitment. I agree that

any hiring or other employment decisions I make will be

based on the candidate's qualifications, competence,

and experience.

``9. Assent to Enforcement. I acknowledge that the

Executive Order entitled `Ethics Commitments by

Executive Branch Personnel,' issued by the President on

January 20, 2021, which I have read before signing this

document, defines certain of the 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 part of this agreement and

as binding on me

sident on

January 20, 2021, which I have read before signing this

document, defines certain of the 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 part of this agreement and

as binding on me. I understand that the terms of this

pledge are in addition to any statutory or other legal

restrictions applicable to me by virtue of Federal

Government service.''

Sec. 2. Definitions. For purposes of this order and the

pledge set forth in section 1 of this order:

(a) ``Executive agency'' shall include each

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

5, United States Code, and shall include the Executive

Office of the President; provided, however, that

``executive agency'' shall include the United States

Postal Service and Postal Regulatory Commission, but

shall exclude the Government Accountability Office.

(b) ``Appointee'' shall include 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) ``Gift'':

f 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) ``Gift'':

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

Code of Federal Regulations;

[[Page 7031]]

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

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

(iii) shall exclude those items excluded by sections 2635.204(b), (c),

(e)(1) and (3), and (j) through (l) of title 5, Code of Federal

Regulations.

(d) ``Covered executive branch official'' and

``lobbyist'' shall have the definitions set forth in

section 1602 of title 2, United States Code.

(e) ``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.

(f) ``Lobby'' and ``lobbied'' shall mean to act or

have acted as a registered lobbyist.

(g) ``Lobbying activities'' shall have the

definition set forth in section 1602 of title 2, United

States Code.

gistered

lobbyist'' shall include each of the lobbyists

identified therein.

(f) ``Lobby'' and ``lobbied'' shall mean to act or

have acted as a registered lobbyist.

(g) ``Lobbying activities'' shall have the

definition set forth in section 1602 of title 2, United

States Code.

(h) ``Materially assist'' means to provide

substantive assistance but does not include providing

background or general education on a matter of law or

policy based upon an individual's subject matter

expertise, nor any conduct or assistance permitted

under section 207(j) of title 18, United States Code.

(i) ``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.

(j) ``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.

clude 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.

(k) ``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, any United States territory or

possession, or any international organization in which

the United States is a member state.

(l) ``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 speeches or similar

appearances. It does not include clients of the

appointee's former employer to whom the appointee did

not personally provide services.

(m) ``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.

(n) ``Participate'' means to participate personally

and substantially.

sonally provide services.

(m) ``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.

(n) ``Participate'' means to participate personally

and substantially.

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

the executive branch.

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

the incumbent President serving at the time of the

appointment of an appointee covered by this order.

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

section 1 of this order.

(r) ``Senior White House staff'' means any person

appointed by the President to a position under sections

105(a)(2)(A) or (B) of title 3, United States Code, or

by the Vice President to a position under sections

106(a)(1)(A) or (B) of title 3.

[[Page 7032]]

(s) All references to provisions of law and

regulations shall refer to such provisions as are in

effect on January 20, 2021.

Sec. 3. Waiver. (a) The Director of the Office of

Management and Budget (OMB), in consultation with the

Counsel to the President, may grant to any current or

former appointee a written waiver of any restrictions

contained in the pledge signed by such appointee if,

and to the extent that, the Director of OMB certifies

in writing:

of the Office of

Management and Budget (OMB), in consultation with the

Counsel to the President, may grant to any current or

former appointee a written waiver of any restrictions

contained in the pledge signed by such appointee if,

and to the extent that, the Director of OMB certifies

in writing:

(i) that the literal application of the restriction is inconsistent with

the purposes of the restriction; or

(ii) that it is in the public interest to grant the waiver. Any such

written waiver should reflect the basis for the waiver and, in the case of

a waiver of the restrictions set forth in paragraphs 3(b) and (c) of the

pledge, a discussion of the findings with respect to the factors set forth

in subsection (b) of this section.

(b) A waiver shall take effect when the

certification is signed by the Director of OMB and

shall be made public within 10 days thereafter.

(c) The public interest shall include, but not be

limited to, exigent circumstances relating to national

security, the economy, public health, or the

environment. In determining whether it is in the public

interest to grant a waiver of the restrictions

contained in paragraphs 3(b) and (c) of the pledge, the

responsible official may consider the following

factors:

nt circumstances relating to national

security, the economy, public health, or the

environment. In determining whether it is in the public

interest to grant a waiver of the restrictions

contained in paragraphs 3(b) and (c) of the pledge, the

responsible official may consider the following

factors:

(i) the government's need for the individual's services, including the

existence of special circumstances related to national security, the

economy, public health, or the environment;

(ii) the uniqueness of the individual's qualifications to meet the

government's needs;

(iii) the scope and nature of the individual's prior lobbying activities,

including whether such activities were de minimis or rendered on behalf of

a nonprofit organization; and

(iv) the extent to which the purposes of the restriction may be satisfied

through other limitations on the individual's services, such as those

required by paragraph 3(a) of the pledge.

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

agency shall, in consultation with the Director of the

Office of Government Ethics, establish 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 to ensure:

agency shall, in consultation with the Director of the

Office of Government Ethics, establish 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 to ensure:

(i) that every appointee in the agency signs the pledge upon assuming the

appointed office or otherwise becoming an appointee;

(ii) that compliance with paragraph 3 of the pledge is addressed in a

written ethics agreement with each appointee to whom it applies, which

agreement shall also be approved by the Counsel to the President prior to

the appointee commencing work;

(iii) that spousal employment issues and other conflicts not expressly

addressed by the pledge are addressed in ethics agreements with appointees

or, where no such agreements are required, through ethics counseling; and

(iv) that the agency generally complies with this order.

(b) With respect to the Executive Office of the

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

order shall be the responsibility of the Counsel to the

President.

(c) The Director of the Office of Government Ethics

shall:

(i) ensure that the pledge and a copy of this order are made available for

use by agencies in fulfilling their duties under section 4(a) of this

order;

[[Page 7033]]

(ii) in consultation with the Attorney General or the 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

re that the pledge and a copy of this order are made available for

use by agencies in fulfilling their duties under section 4(a) of this

order;

[[Page 7033]]

(ii) in consultation with the Attorney General or the 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

(iii) in consultation with the Attorney General and the Counsel to the

President, adopt such rules or procedures as are necessary or appropriate:

(A) to carry out the foregoing responsibilities;

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

circumstances that do not implicate the purposes of the ban;

(C) 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;

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

engaged in negotiations for future employment with private businesses that

are affected by the employees' official actions do not affect the integrity

of the Government's programs and operations;

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

Personnel Management, that the requirement set forth in paragraph 6 of the

pledge is honored by every employee of the executive branch;

(iv) in consultation with the Director of OMB, report to the President on

whether full compliance is being achieved with existing laws and

regulations governing executive branch procurement lobbying disclosure.

This report shall include recommendations on steps the executive branch can

take to expand, to the fullest extent practicable, disclosure of both

executive branch procurement lobbying and of lobbying for Presidential

pardons. These recommendations shall include both immediate actions the

executive branch can take and, if necessary, recommendations for

legislation; and

nt lobbying disclosure.

This report shall include recommendations on steps the executive branch can

take to expand, to the fullest extent practicable, disclosure of both

executive branch procurement lobbying and of lobbying for Presidential

pardons. These recommendations shall include both immediate actions the

executive branch can take and, if necessary, recommendations for

legislation; and

(v) provide an annual public report on the administration of the pledge and

this order.

(d) The Director of the Office of Government Ethics

shall, in consultation with the Attorney General, the

Counsel to the President, and the Director of the

Office of Personnel Management, report to the President

on steps the executive branch can take to expand to the

fullest extent practicable the revolving door ban set

forth in paragraph 5 of the pledge to all executive

branch employees who are involved in the procurement

process such that they may not for 2 years after

leaving Government service lobby any Government

official regarding a Government contract that was under

their official responsibility in the last 2 years of

their Government service. This report shall include

both immediate actions the executive branch can take

and, if necessary, recommendations for legislation.

leaving Government service lobby any Government

official regarding a Government contract that was under

their official responsibility in the last 2 years of

their Government service. This report shall include

both immediate actions the executive branch can take

and, if necessary, recommendations for legislation.

(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

pursuant to this section by any legally available

means, including debarment proceedings within any

affected executive agency or judicial civil 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 lobbying any officer or employee of

that agency for up to 5 years in addition to the 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

procedures to implement this subsection, which

procedures shall include (but not be limited to)

providing for fact-finding and investigation of

possible violations

[[Page 7034]]

e head of every

executive agency shall, in consultation with the

Director of the Office of Government Ethics, establish

procedures to implement this subsection, which

procedures shall include (but not be limited to)

providing for fact-finding and investigation of

possible violations

[[Page 7034]]

of this order and for referrals to the Attorney General

for consideration pursuant to subsection (c) of this

order.

(c) The Attorney General is authorized:

(i) 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

(ii) 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 against the former employee in any

United States District Court with jurisdiction to consider the matter.

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

is authorized to request any and all relief authorized

by law, including but not limited to:

(i) such temporary restraining orders and preliminary and permanent

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

continuing conduct by the former employee in breach of the commitments in

the pledge he or she signed; and

tion, the Attorney General

is authorized to request any and all relief authorized

by law, including but not limited to:

(i) such temporary restraining orders and preliminary and permanent

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

continuing conduct by the former employee in breach of the commitments in

the pledge he or she signed; and

(ii) 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 employee arising out of any breach or attempted breach of the pledge

signed by the former employee.

Sec. 6. General Provisions. (a) 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.

(b) Nothing in this order shall be construed to

impair or otherwise affect:

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

the head thereof; or

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

relating to budgetary, administrative, or legislative proposals.

(c) This order shall be implemented consistent with

applicable law and subject to the availability of

appropriations.

[[Page 7035]]

d by law to an executive department or agency, or

the head thereof; or

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

relating to budgetary, administrative, or legislative proposals.

(c) This order shall be implemented consistent with

applicable law and subject to the availability of

appropriations.

[[Page 7035]]

(d) This order is not intended to, and does not,

create any right or benefit, substantive or procedural,

enforceable at law or in equity by any party against

the United States, its departments, agencies, or

entities, its officers, employees, or agents, or any

other person.

(Presidential Sig.)

THE WHITE HOUSE,

January 20, 2021.

[FR Doc. 2021-01762

Filed 1-22-21; 11:15 am]

Billing code 3295-F1-P