Executive Order 12834 of January 20, 1993
"ETHICS COMMITMENTS BY EXECUTIVE BRANCH APPOINTEES"
By the authority vested in me as President of the United States by the
Constitution and laws cf 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:
Sec. 1. Ethics Pledges. (a) Every senior appointee in
every executive agency appointed on or after January 20, 1993, 5 all
sign, and upon signing shall be contractually committed to, the
following pledge ("senior appointee pledge") upon becoming a
senior appointee:
"As a condition, and in consideration, of my employment in the
United States Government in a senior 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 five years after the termination
of my employment as a senior appointee in any executive
agency In which I am appointed to serve, lobby any officer
or employee of that agency.
"2. In the event that I serve as a senior appointee in the
Executive Office of the President (`EOP'), I also will not,
within five years after I cease to be a senior appointee in
the EOP, lobby any officer or employee of any other executive
agency with respect to which I had personal and substantial
responsibility as a senior appointee in the EOP.
"3. I will not, at any time after the termination of my employ-
ment in the United States Government, engage in any activity on
halfof any foreign government or foreign political party which,
if undertaken on January 20, 1993, would require me to register
under the Foreign Agen's Registration Act of 1938, as amended.
"4. I will not, within five years after termination of my
personal and substantial participation in a trade negotia-
tion, represent, aid or advise any foreign government, foreign
political party or foreign business entity with the intent to
influence a decision of any officer or employee of any execu-
tive agency, in carrying out his or here official duties.
"5. I acknowledge that the Executive order entitled `Ethics
Commitments by Executive Branch Appointees,' issued by the
President on January 20,1993, 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 t is 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."
(b) Every trade negotiator who is not a senior appointee and is
appointed to a position in an executive agency on or after January 20,
1993, shall (prior to personally and substantially participating in a
trade negotiation) sign, and upon signing be contractually committed
to, the following pledge ("trade negotiator pledge"):
"As a condition, and in consideration, of my employment in title
United States Government as a trade negotiator, which is 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. I will not, within five years after termination of my
personal and substantial participation in a trade negotia-
tion, represent, aid or advise any foreign government,
foreign political party or foreign business entity with
the intent to influence a decision of any officer or em-
ployee of any executive agency, in carrying out his or her
official duties.
"2. I acknowledge that the Executive order entitled `Ethics
Commitments by Executive Branch Appointees,' Issued by
the President on January 20, 1993, 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 excessly accept the provisions
of that Executive order as a part of is agreement and as
binding on me. I understand that the terms of this are
in addition to an statutory or other legal restrictions
applicable to me by virtue of Feral Government service."
Sec. 2. Definitions. As used herein and in the pledges:
(a) "Senior appointee" means every full-time, non-career Presidential,
Vice-Presidential or agency head appointee in an executive agency
whose rate of basic pay is not less than the rate for level V of
the Executive Schedule (5 U.S.C. 5316) but does not include any
person appointed as a member of the senior foreign service or
solely as a uniformed service commissioned officer.
(b) "Trade negotiator" means a full-time, non-career Presidential,
Vice-Presidential or agency head appointee (whether or not a
senior appointee) who personally and substantial y participates
in a trade negotiation as an employee of an executive agency.
(c) "lobby" means to knowingly communicate to or appear before
any officer or employee of any executive agency on behalf of
another (except the United States) with the intent to influence
official action, except that the term "lobby" does not include:
(1) communicating or appearing on behalf of and as an officer or
employee of a State or local government or the government of the
District of Columbia, a Native American tribe or a United States
territory or possession;
(2) communicating or appearing with regard to a Judicial proceeding,
or a criminal or civil law enforcement inquiry, investigation or pro-
ceeding(but not with regard to an administrative proceeding) or with
regard to an administrative proceeding to the extent that such com-
munications or appearances are made after the commencement of and
in connection with the conduct or disposition of a Judicial proceeding;
(3) communicating or appearing with regard to any government
grant, contract or similar benefit on behalf of and as an officer
or employee of:
(A) an accredited, degree-granting institution of higher educa-
tion, as defined in section 1201(a) of title 20, United States Code; or
(B) a hospital; a medical, scientific or environmental research
institution; or a charitable or educational institution; provided that
such entity is a not for profit organization exempted from Federal income
taxes under sections 501(a) and 501(c)(3) of title 26, United States Code;
(4) communicating or appearing on behalf of an international organiza-
tion in which the United States participates, if the Secretary of State
certifies in advance that such activity is in the interest of the United
States;
(5) communicating or appearing solely for the purpose of furnishing
scientific or technological information, subject to the procedures and
conditions applicable under section 207(j)(5) of title 18, United States
Code; or
(6) giving testimony under oath, subject to the conditions applicable
under section 207(j)(6) of title 18, United States Code.
(d) "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.
(e) "Administrative proceeding" means any agency process for rule-
making, adjudication or licensing, as defined in and governed by the
Administrative Procedure Act, as amended (5 U.S.C. 551, et seq.).
(f) "Executive agency" and "agency" mean "Executive agency" as
defined in section 105 of title 5, United States Code, except that
the term includes the Executive Office of the President, the United
States Postal Service and the Postal Rate Commission and excludes
the General Accounting Office. As used in paragraph 1 of the senior
appointee pledge, "executive agency" means the entire agency' in
which the senior appointee Is appointed to serve, except that:
(1) with respect to those senior appointees to whom such designa-
tions 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 at the time the senior appointee ceased to serve in that
department or agency; and
(2) a senior appointee who is detailed from one executive agency to
another for more than sixty days in any calendar ear shall be deemed
to an officer or employee of both agencies during the period such person
is detailed.
(g) "Personal and substantial responsibility" "with respect to" an
executive agency, as used in paragraph 2 of the senior appointee
pledge, means ongoing oversight of, or significant ongoing decision-
making involvement in, the agency's budget, major programs or personnel
actions, when acting both personally" and "substantially" (as those terms
are defined for purposes of sections 207(a) and lb) of title 18, United
States Code).
(h) "Personal and substantial participation" and "personally and
substantially participates" mean acting both "personally" and
"substantially" (as those terms are defined for purposes of
sections 207(a) and (b) of title 18, United States Code) as
an employee through decision, approval, disapproval, recommendation,
the rendering of edvice, investigation or other such action.
(i) "Trade negotiatior" means a negotiation that the President deter-
mines to undartake to enter into a trade agreement with one or more
foreign governments, and does not include any action taken before
that determinetion.
(j) "Foreign Agents Registration Act of 1938, as amended" means
sections 611-621 of title 22, United States Code.
(k) "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)).
(l) "Foreign political party" has the same meaning as that term in
section 1(f) of the Foreign Agents Registration Act of 1938, as
amended (22 U.S.C. 611(R).
(m) "Foreign business entity" means a partnership, association,
corporation, organization or other combination of persons organized
under the laws of or having its principal place of business in a
foreign country.
(n) Terms that are used herein and in the pledges, 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 regula-
tions issued or to be issued by the Office of Government Ethics,
except to the extent those terms are otherwise defined in this order.
Sec. 3. Waiver.
(a) The President may grant to any person a
waiver of any restrictions contained in the pledge signed by such
person if, and to the that, the President certifies in writing that
it is in the public interest to grant the waiver.
(b) A waiver shall take effect when the certification is signed by
the President.
(c) The waiver certification shall be published in the Federul Register
identifying the name and executive agency position of the person covered
by the waiver and the reasons for granting it.
(d) A copy of the waiver certification shall be furnished to the person
covered by the waiver and filed with the head of the agency in which
that person is or was appointed to serve.
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 senior appointee in the agency signs the
senior appointee pledge upon assuming the appointed office or
otherwise becoming a senior appointee;
(2) to ensure that every trade negotiator in the agency who is not a
senior appointee signs the trade negotiator pledge prior to personally
and substantially participating in a trade negotiation;
(3) to ensure that no senior appointee or trade negotiator In the agency
personally and substantially participates in a trade negotiation prior to
signing the pledge; and
(4) generally 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), above, shall be the responsibility of the White House
Counsel or such other official or officials to whom the President delegated
those duties.
(c) The Director of the Office of Government Ethics shall:
(1) subject to the prior approval of the White House Counsel, develop
a form of the pledges to be completed by senior appointees and trade
negotiators and see that the pledges and a copy of this Executive order
are made available for use by agencies In fulfilling their duties under
section 4(a) above;
(2) in consultation with the Attorney General or White House Counsel,
when appropriate. assist designated agency ethics officers in providing
advice to current or former senior appointees and trade negotiators
regarding the application of the pledges; and
(3) subject to the prior approval of the White House Counsel, adopt such
rules or procedures (conforming as nearly as practicable to its generally
applicable rules and procedures) as are necessary or appropriate to carry
out the foregoing responsibilities.
(d) In order to promote clarity and fairness in the application of
paragraph 3 of the senior appointee pledge:
(1) the Attorney General shall, within six months afler the
issuance of this order, publish in the Faderal Register a
"Statement of Covered Activities," based on the statute, applic-
able regulations and-published guidelines, and any other material
reflecting the Attorney General's current Interpretation of the
law, describing In sufficient detail to provide adequate guidance the
activities on behalf of a foreign government or foreign political
party which, if undertaken as of January 20, 1993, would require a
person to register as an agent for such foreign government or
political party under the Foreign Agents Registration Act of 1938,
as amended; and
(2) the Attorney General's "Statement of Covered Activities" shall be
presumed to be the definitive statement of the activities In which the
senior appointee agrees not to engage under paragraph 3 of the pledge.
(e) A senior appointee who has signed the senior appointee pledge is
not required to sign the pledge again upon ap ointment to a different
office, except that a person who has ceased to ~e a senior appointee,
due to termination of employment in the executive branch or otherwise,
shall sign the senior appointee pledge prior to thereafter assuming
office as a senior appointee.
(f) A trade negotiator who is not also a senior appointee and who has
once signed the trade negotiator pledge is not required to sign the
pledge again for to parsonally and substantially participating in a
subsequent trade negotiation, except that a person who has ceased
employment in the executive branch shall, after returning to such
employment, be obligated to sign a pledge as provided herein notwith-
standing the signing of any previous pledge.
(g) All pledges signed by senior appointees and trade negotiators,
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 or equivalent folder.
Sec. 5. Enforcement.
(a) The contractual fiduciary and ethical commitments in the pledges
provided for herein are enforceable by any legally available means,
including any or all of the following:
debarment proceedings within any affected executive agency or
judicial civil proceedings for declaratory, injunctive or monetary
relief.
(b) Any former senior appointee or trade negotiator who is determined,
after notice and hearing, by the duly designated authority within any
agency, to have violated his or her pledge not to lobby any officer or
employee of that agency, or not to represent, aid or advise a foreign
entity specified in the pledge with the intent to influence the official
decision of that agency, may be barred from lobbying any officer or em-
ployee of that agency for up to five years in addition to the five-year
time period covered by the pledge.
(1) The head of every executive agency shall, in consultation
with the Director of the Office of Government Ethics, establish
procedures to implement the foregoing subsection, which shall
conform as nearly as practicable to the procedures for debarment
of former employees found to have violated section 207 of title 18,
United States Code (1988 ad.), set forth in section 2637.212 of title
5, Code of Federal Regulations (revised as of January 1,1992).
(2) Any person who is debarred from lobbying following an agency
proceeding pursuant to the foregoing doing subsection may seek
judicial review of the administrative determination, which shall
be subject to established standards for judicial review of comparable
agency actions.
(c) The Attorney General 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 against the former em-
ployee In any United States District Court with jurisdiction to
consider the matter. (d) In such civil action, the Attorney General
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 con- tinuing conduct by the former
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 employee
arising out of any breach or attempted breach of the pledge
signed by the former employee.
Sec. 6. General Provisions.
(a) No 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 provisior. shall not he affected.
(c) Except as expressly provided in section S(b)(2) of this order,
nothing in the pledges or in this order is intended to create any
right or benefit, substantive or procedural, enforceable at law by
a party against the United States, its agencies, its officers, or
any person.
THE WHITE HOUSE,
January 20, 1993.