[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:
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