EXECUTIVE
ORDER
EO 12834
Effective Date: May 28, 1993

Responsible Office: Personnel Division
Subject: ETHICS COMMITMENTS BY EXECUTIVE BRANCH APPOINTEES

				
				
TEXT

By the authority vested in me as President of the United States
by the Constitution and 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 Pledges.  (a) Every senior appointee in every
executive agency appointed on or after January 20, 1993, shall
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 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 
     employment in the United States Government, engage in any
     activity on behalf of any foreign government or foreign
     political party which, if undertaken on January 20, 1993,
     would require me to register under the Foreign Agents
     Registration Act of 1938, as amended.

     "4.  I will not, within five years after termination of my 
     personal and substantial participation in a trade
     negotiation, 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 executive agency, in carrying out
     his or her 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 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."

(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 condition, and in consideration, of my employment in the
     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
     negotiation, represent, aid or advise my foreign government,
     foreign political party or foreign business entity with the
     intent to influence a decision of any officer or employee or
     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 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 services."

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 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 President,
Vice-presidential or agency head appointee (whether or not a
senior appointee) who personally and substantially 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 proceeding (but not with regard to an
administrative proceeding) or with regard to an administrative
proceeding to the extent that such communications 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
education, 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
organization 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
rulemaking, 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
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 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 year
shall be deemed to be 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 (b) 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 advice, investigation or other such action.

(i)  "Trade negotiation" means a negotiation that the President
determines to undertake to enter into a trade agreement with one
or more foreign governments, and does not include any action
taken before that determination.

(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(f).

(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
regulations 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 extent that, 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 Federal
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 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 delegates 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 after the
issuance of this order, publish in the Federal Register a
"Statement of Covered Activities," based on the statue,
applicable 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 appointment
to a different office, except that a person who has ceased to be
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 prior to personally 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 notwithstanding 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 folder
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 proceeding within any affected executive
agency of 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 any officer or employee of that agency,
or not 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 employee 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 ed.),
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 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 employee in any United States 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 continuing 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 dissimiliar applications of such provision shall not be
affected.

(c) Except as expressly provided in section 5(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.

                         /s/William J. Clinton


THE WHITE HOUSE,
January 20, 1993.


	
	
	
			

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