Ethics Commitments by Executive Branch Appointees, 9333-9338 [2017-02450]

Agencies

• Executive Office of the President

[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]



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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:

                    ``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. 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. 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

[[Page 9334]]

                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.
                    (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.
                    (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.
                    (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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                    (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.
                    (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.
                    (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.
                    (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.
                    (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;

                    (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.

                    (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

(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.

                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.
                    (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]
Billing code 3295-F7-P