Presidential Documents

7029 

Federal Register 

Vol. 86, No. 14 

Monday, January 25, 2021 

Title 3— 

The President 

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 decisionmaking 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 


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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; 


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(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. 


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(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; 


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(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 


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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. 


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(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. 

THE WHITE HOUSE, 

January 20, 2021. 

[FR Doc. 2021–01762 

Filed 1–22–21; 11:15 am] 

Billing code 3295–F1–P 


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