Ethics Commitments by Executive Branch Personnel, 7029-7035 [2021-01762]

Agencies

• Executive Office of the President

[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





-----------------------------------------------------------------------



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:

                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.

                ``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:

                    (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.

                ``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, 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. 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'':

(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.
                    (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.
                    (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.
                    (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:

(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:

(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:

(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

(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

(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.
                    (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]]

                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

(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) 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