Ethics Pledges and Other Executive Branch Appointee Restrictions Since 1993: Historical Perspective, Current Practices, and Options for Change

September 29, 2017 – February 23, 2021 R44974

Ethics Pledges and Other Executive Branch
Appointee Restrictions Since 1993: Historical
Perspective, Current Practices, and Options for
Change
Updated February 23, 2021
Congressional Research Service
https://crsreports.congress.gov
R44974

link to page 22 Ethics Pledges and Other Executive Branch Employee Restrictions

Summary
On January 20, 2021, President Joe Biden issued Executive Order (E.O.) 13989 on ethics. E.O.
13989 created an ethics pledge for executive branch appointees and provided for the
administration and enforcement of the pledge. President Biden’s executive order shares some
features with previous executive order ethics pledges issued by Presidents Donald Trump, Barack
Obama, and Bil Clinton.
Executive order ethics pledges are one of several tools, along with laws and administrative
guidance, available to influence the interactions and relationships between the public and the
executive branch. The ability of private citizens to contact government officials is protected by
the Constitution. As such, the restrictions placed by executive order ethics pledges, laws, and
administrative guidance are designed to provide transparency and address enforcement of existing
“revolving door” (when federal employees leave government for employment in the private
sector, or vice versa) and lobbying laws.
This report begins with an overview of the relationship between the public and the executive
branch, including the use of laws, executive orders, and other guidance and Administration policy
to regulate interactions. A brief summary of recent executive orders is then provided, including a
side-by-side analysis of ethics pledges from the Clinton, Obama, Trump, and Biden
Administrations (see Appendix). This analysis is followed by observations about the similarities
and differences among the four pledges. These observations focus on
 the revolving door restrictions (18 U.S.C. §207),
 the definition of lobbying used in ethics pledges, and
 the representation of foreign principals by former executive branch officials.
In the context of observations drawn from the ethics pledges, Congress has many options
available to potential y address the relationship and contact between the private sector and
government employees. These include options to
 amend revolving door restrictions,
 amend the Lobbying Disclosure Act of 1995, and
 codify the ethics pledge to make executive order additions to existing laws
permanent.
Additional y, Congress could take no immediate action and maintain current standards.

Congressional Research Service

link to page 33 link to page 33 Ethics Pledges and Other Executive Branch Employee Restrictions

Amber Wilhelm and Mari Lee, Visual Information Specialists, provided the graphics for
this report.................................................................................................................. 29

Congressional Research Service

link to page 22 Ethics Pledges and Other Executive Branch Employee Restrictions

Introduction
On January 20, 2021, President Joe Biden issued Executive Order (E.O.) 13989 on ethics.1 E.O.
13989 created an ethics pledge for executive branch appointees and provided for the
administration and enforcement of the pledge. President Biden’s executive order shares some
features with previous executive order ethics pledges issued by Presidents Donald Trump,2
Barack Obama,3 and Bil Clinton.4
Since the basis of the ethics pledges is to regulate public and executive branch interactions, this
report focuses on the main features of the ethics pledges—lobbying, ethics in government, and
the “revolving door”—to explore the basis and current practices for these interactions.
The report begins with an overview of the relationship between the public and the executive
branch, including the use of laws, executive orders, and other guidance and Administration policy
to regulate interactions. The report then provides a brief summary of executive orders, including a
side-by-side analysis of ethics pledges from the Clinton, Obama, Trump, and Biden
Administrations (see Appendix). This analysis is followed by observations of the similarities and
differences among the four ethics pledges. Final y, options for change are evaluated.
Public and Executive Branch Interactions
The right of citizens to petition the government has long been considered a protected and
fundamental aspect of the citizen-government dynamic.5 Today, interactions between the private
citizens and the executive branch take many forms. Some interactions fit the traditional petition
model, in which private citizens or lobbyists contact and request information or action from
Congress or the executive branch.6
Other interactions are more complicated and can involve private citizens becoming government
employees or government employees leaving the government to take private-sector jobs in the
area they covered for the government. Also cal ed the “revolving door,”7 these movements can
take on many forms, including former federal employees lobbying for a domestic or foreign client
or engaging in policy work, or individuals entering government to engage in regulatory activity.
Some have argued that the revolving door can lead to undue influence by the private sector over

1 Executive Order (E.O.) 13989, “Ethics Committees by Executive Branch Personnel,” 86 Federal Register, 7029,
January 20, 2021.
2 E.O. 13770, “Ethics Commitments by Executive Branch Appointees,” 82 Federal Register 9333, January 28, 2017.
3 E.O. 13490, “Ethics Commitments by Executive Branch Personnel,” 74 Federal Register 4673, January 21, 2009.
4 E.O. 12834, “Ethics Commitments by Executive Branch Personnel,” 58 Federal Register 5911, January 22, 1993.
5 For more information on the right to petition, see Alexander Hamilton, “Federalist 84: Certain General and
Miscellaneous Objections to the Constitution Considered and Answered,” The Federalist Papers, at
https://www.congress.gov/resources/display/content/T he+Federalist+Papers; Stephen A. Higginson, “ A Short History
of the Right to Petition Government for the Redress of Grievances,” The Yale Law Journal, vol. 96, no. 1 (November
1986), pp. 142-166; and Norman B. Smith, “ ‘Shall Make No Law Abridging ... ’: An Analysis of the Neglected, But
Nearly Absolute, Right of Petition,” University of Cincinnati Law Review, vol. 54, no. 4 (1986), pp. 1153-1197.
6 For an overview of lobbying, see CRS Report R44292, The Lobbying Disclosure Act at 20: Analysis and Issues for
Congress, by Jacob R. Straus.
7 For more information on the revolving door, see CRS Report R45946, Executive Branch Service and the “Revolving
Door” in Cabinet Departments: Background and Issues for Congress, by Jacob R. Straus.
Congressional Research Service

1

Ethics Pledges and Other Executive Branch Employee Restrictions

governmental activities or vice versa.8 Others have argued that government employees need to be
restricted with regard to such activities to ensure their “neutral competence” and that they
represent the interests of the government above al else.9
Proponents of the revolving door, however, observe that the promise of future private-sector
employment could potential y improve the quality of candidates applying for government jobs.10
They argue that direct connections to government officials are important, but a close relationship
is not necessarily what drives lobbying. Some believe that government employees contemplating
a move to the private sector wil be friendly to industry interests at the expense of the public
interest. On the other hand, studies have shown that regulators instead may engage in more
aggressive actions against industry and do not favor industry, regardless of their job prospects.11
Another factor observers raise is that the flow of personnel between the public and private sectors
may increase the knowledge base of both sectors.
Regulating interactions between the public and the government may be carried out through law,
executive order, Administration policy—including regulations issued by the Office of
Government Ethics (OGE)12—or a combination of all three. Administration policy has general y
sought to require disclosure of activities or place restrictions on current or former government
employees rather than ban certain activities or contacts. For example, in 2009 the Obama
Administration issued a memorandum outlining rules for executive branch employees’ contact
with lobbyists about American Recovery and Reinvestment Act of 2009 (ARRA) funds.13 This
guidance did not restrict a lobbyist’s ability to contact the government, but it did require agency
employees to log conversations with lobbyists and the agencies to post those logs on an agency
website.14 In most cases, laws, executive orders, and other Administration guidance general y aim
to regulate the relationship between governmental and nongovernmental actors.

8 Several recent academic studies have focused on the revolving door and its potential effect on governance. For
example, see T odd Maske, “A Very Particular Set of Skills: Former Legislator T raits and Revolving Door Lobbying in
Congress,” American Politics Research, November 7, 2016, 10.1177/1532673X16677274; Jordi Blanes I Vidal, Mirko
Draca, and Christian Fons-Rosen, “ Revolving Door Lobbyists,” Am erican Econom ic Review, vol. 102, no. 7 (2012),
pp. 3731-3748; and T imothy M. LaPira and Hershell F. T homas, II I, “ Revolving Door Lobbyists and Interest
Representation,” Interest Groups & Advocacy, vol. 3, no. 1 (2014), pp. 4-29.
9 For example, see Paul Douglas Foote and James Clinger, “T he First Amendment and the Off -Duty Conduct of Public
Employees: T radeoffs Among Civil Liberties, Agency Mission, and Public T rust,” Public Integrity (2017), at
http://dx.doi.org/10.1080/10999922.2017.1300976; and Karam Kang, “ Policy Influence and Private Returns from
Lobbying the Energy Sector,” Review of Economic Studies, vol. 83, no. 1 (2016), pp. 269-305.
10 David Zaring, “Against Being Against the Revolving Door,” University of Illinois Law Review, vol. 2013, no 2
(2013), pp. 507-550.
11 David Zaring, “Against Being Against the Revolving Door,” and Wentong Zheng, “T he Revolving Door,” Notre
Dam e Law Review, vol. 90, no. 3 (2015), pp. 1265 -1308.
12 For more information on the Office of Government Ethics (OGE), see CRS In Focus IF10634, Office of Government
Ethics: A Prim er, by Jacob R. Straus.
13 U.S. President (Obama), “ Memorandum of March 20, 2009: Ensuring Responsible Spending of Recovery Act
Funds,” 74 Federal Register 12531, March 25, 2009. T he American Recovery and Reinvestment Act of 2009 was
enacted as P.L. 111-5, 123 Stat. 115, February 17, 2009.
14 Office of Management and Budget, Pet er R. Orszag, Director, “Updated Guidance Regarding Communications with
Registered Lobbyists About Recovery Act Funds,” M-09-24, Washington, DC, July 34, 2009, p. 1, at
https://obamawhitehouse.archives.gov/sites/default/files/omb/assets/memoranda_fy2009/m09-24.pdf. Each agency was
required to have a Recovery Act website. For example, the Department of Energy website can be found at
http://www.energy.gov/recovery-act/. T he website contains reports on various Recovery Act activities.
Congressional Research Service

2

Ethics Pledges and Other Executive Branch Employee Restrictions

Laws
Several laws address the relationship between governmental and nongovernmental actors. These
include lobbying laws, ethics laws, and revolving door laws. This section provides a brief
overview of these three sets of laws and how they general y apply to executive branch officials.
Lobbying
The first lobbying law was the Legislative Reorganization Act of 1946 (Title III, the Federal
Regulation of Lobbying Act [RLA]). The RLA applied to “any person who shal engage himself
for pay or for any consideration for the purpose of attempting to influence the passage or defeat
of any legislation by the Congress of the United States.”15 The RLA was silent on lobbying efforts
aimed toward the executive branch.16
Over time, the RLA was repealed and replaced by the Lobbying Disclosure Act of 1995 (LDA),
as amended by the Honest Leadership and Open Government Act of 2007 (HLOGA).17 Under the
LDA as amended, individuals register with the Clerk of the House of Representatives and the
Secretary of the Senate and disclose their activities,18 if they are
(1) employed or retained by a client for financial or other compensation, (2) for services
that include more than one lobbying contact[;]19 and his or her lobbying activities for that
client must amount to 20 percent or more of the time that the individual expends on services
to that client over a six-month period.20
Additional y, the LDA refined thresholds and definitions of lobbying activities, changed the
frequency of reporting for registered lobbyists and lobbying firms, required additional
disclosures, created new semiannual reports on campaign contributions, and added disclosure
requirements for coalitions and associations.21

15 P.L. 79-601, §308(a), 60 Stat. 841, August 2, 1946.
16 Robert C. Byrd, “Lobbyists,” The Senate, 1789-1989: Addresses on the History of the United States Senate, edited by
Wendy Wolff, 100th Cong., 1st sess., S.Doc. 100-20 (Washington: GPO, 1991), p. 505 (fn 35). See also, United States v.
Harriss, 347 U.S. 612 (1954).
17 2 U.S.C. §§1601-1614; P.L. 104-65, 109 Stat. 691, December 19, 1995; and P.L. 110-81, 121 Stat. 735, September
14, 2007. Additionally, the LDA was amended in 1998 to make technical corrections, including altering the definition
of executive branch officials covered by the act (P.L. 105-166, 112 Stat. 38, April 8, 1998). For more information on
the Regulation of Lobbying Act of 1946, see CRS Report R44292, The Lobbying Disclosure Act at 20: Analysis and
Issues for Congress, by Jacob R. Straus.
18 For more information on the implementation of the LDA and the role of the Clerk of the House and Secretary of the
Senate, see CRS Report RL34377, Lobbying Registration and Disclosure: The Role of the Clerk of th e House and the
Secretary of the Senate, by Jacob R. Straus.
19 Pursuant to 2 U.S.C. §1602(8), a lobbying contact means “ any oral or written communication (including an
electronic communication) to a covered executive branch official or a covered legislat ive branch official that is made
on behalf of a client with regard to the formulation, modification, or adoption of Federal legislation, ... federal rule,
regulation, executive order, the administration or execution of a Federal program or policy ...; or t he nomination or
confirmation of a person for a position subject to confirmation by the Senate.”
20 William V. Luneburg and A.L. (Lorry) Spitzer, “T he Lobbying Disclosure Act of 1995: Scope of Coverage,” in The
Lobbying Manual: A Com plete Guide to Federal Law Governing Lawyers and Lobbyists, ed. William V. Luneburg and
T homas M. Susman, 3rd ed. (Chicago: ABA Publishing, 2005), p. 37. Pursuant to 2 U.S.C. §1602(7), “ the term
‘lobbying activities’ means lobbying contacts and efforts in support of such contacts, including preparation and
planning activities, research and other background work that is intended, at the time it is performed, for use in contacts,
and coordination with the lobbying activities of others.”
21 For further analysis of HLOGA’s lobbying provision changes see CRS Report R44292, The Lobbying Disclosure Act
at 20: Analysis and Issues for Congress, by Jacob R. Straus.
Congressional Research Service

3

Ethics Pledges and Other Executive Branch Employee Restrictions

Ethics in Government
Starting in at least 1961, a series of executive orders set standards of ethical conduct for executive
branch employees.22 Following the Watergate scandal and President Nixon’s resignation, interest
in a government-wide ethics law increased.23 These efforts culminated with the enactment of the
Ethics in Government Act in 1978.24 Drafted to “preserve and promote the accountability and
integrity of public officials and of the institutions of the Federal Government,”25 the act codified
many of the provisions included in past executive orders. The Ethics in Government Act
 required financial disclosure by high-ranking government officials, including
Members of Congress and senior judicial branch officials;
 amended Title 18 United States Code to set restrictions on postemployment
activities of certain executive branch officers and employees; and
 created the Office of Government Ethics to provide standardized regulations,
review and monitor financial disclosure statements, and educate and inform
executive branch employees of ethics laws and regulations.26
In 1989, the Ethics in Government Act was amended.27 The Ethics Reform Act of 1989 included
“the extension of post-employment ‘revolving door’ restrictions to the legislative branch; ...
limitations on outside earned income for higher-salaried, noncareer employees in al branches;
increased financial disclosure; ... and limitation on gifts and travel.”28
The Revolving Door
Several laws govern the movement of federal employees from the government to the private
sector and vice versa. Most prominently, 18 U.S.C. §207 provides a series of postemployment
restrictions on “representational” activities for executive branch personnel when they leave
government service, including

22 E.O. 10939, “T o Provide a Guide on Ethical Standards to Government Officials,” 26 Federal Register 3951, May 6,
1961. Also, see E.O. 11590, “ Applicability of Executive Order No. 11222 and Executive Order No. 11478 to the
United States Postal Service and of Executive Order No. 11478 to the Postal Rate Commission,” 36 Federal Register
7831, April 23, 1971; and U.S. Government Accountability Office, Action Needed to Make the Executive Branch
Financial Disclosure System Effective, FPCD-77-23, February 28, 1977, p. 1, at http://www.gao.gov/assets/120/
117726.pdf#page=10.
23 U.S. Congress, Senate Committee on the Judiciary, T o Establish Certain Federal Agencies, Effect Certain
Reorganizations of the Federal Government, T o Implement Certain Reforms in the Operation of the Federal
Government and to Preserve and Promote the Integrity of Public Officials and Institutions, and for Other Purposes,
report to accompany S. 555, 95th Cong., 1st sess., June 15, 1977, S.Rept. 95-273 (Washington: GPO, 1977), p. 2.
24 P.L. 95-521, 92 Stat. 1824, October 26, 1978; 5 U.S.C. Appendix, §§101 -505.
25 U.S. Congress, Senate, Committee on Governmental Affairs, Public Officials Integrity Act of 1977, report to
accompany S. 555, 95th Cong., 1st sess., May 16, 1977, S.Rept. 95-170 (Washington: GPO, 1977), p. 1.
26 U.S. President (Carter), “Ethics in Government Act of 1978,” Weekly Compilation of Presidential Documents, vol.
14, no. 43 (October 26, 1978), pp. 1854 -1856; and U.S. Congress, Senate, Committee on Governmental Affairs, Public
Officials Integrity Act of 1977, report to accompany S. 555, 95th Cong., 1st sess., May 16, 1977, S.Rept. 95-170
(Washington: GPO, 1977), pp. 1, 30-31.
27 P.L. 101-194, 103 Stat. 1716, November 30, 1989.
28 U.S. President (George H. W. Bush), “Statement on Signing the Ethics Reform Act of 1989,” Weekly Compilation of
Presidential Docum ents, vol. 25, no. 48 (November 30, 1989), p. 1855. T he Ethics in Government Act of 1978, as
amended, is codified in the appendix of T itle 5 United States Code. Conflict of interest and revolving door provisions
are codified at 18 U.S.C. §207 and financial disclosure requirements for the Executive Branch are codified at 18 U.S.C.
§208.
Congressional Research Service

4

Ethics Pledges and Other Executive Branch Employee Restrictions

 a lifetime ban on “switching sides” on a matter involving specific parties on
which any executive branch employee had worked personal y and substantial y
while with the government;
 a two-year ban on “switching sides” on a somewhat broader range of matters
which were under the employee’s official responsibility;
 a one-year restriction on assisting others on certain trade or treaty negotiations;
 a one-year “cooling off” period for certain “senior” officials, barring
representational communications before their former departments or agencies;
 a two-year “cooling off” period for “very senior” officials, barring
representational communications to and attempts to influence certain other high-
ranking officials in the entire executive branch of government; and
 a one-year ban on certain officials in performing some representational or
advisory activities for foreign governments or foreign political parties.29
Executive Orders
Historical y, Presidents have used a variety of written mechanisms to direct executive branch
agencies and implement policy. The most widely known written statements are executive orders.30
While no formal definition of executive order exists, a widely accepted description was offered in
a 1957 House Government Operations Committee report. It stated,
Executive orders ... are directives or actions by the President. When they are founded on
the authority of the President derived from the Constitution or statute, they may have the
force and effect of law. There is no law or even Executive order which attempts to define
the term “Executive order”.... Executive orders are generally directed to, and govern
actions by, Government officials and agencies.31
Historical y, executive orders have been used for both major matters (e.g., the Louisiana
Purchase, emancipation of the slaves during the Civil War, the annexation of Texas)32 and minor
changes to administrative policy (e.g., mold policies, instructions on agency decisionmaking).33
Since the 1960s, several Presidents have issued executive orders to outline ethical requirements
and provide implementation guidance to executive branch employees. The initial issuance of an
ethics executive order by President John F. Kennedy in 196134 roughly mirrors increased

29 For more information on postemployment laws for federal personnel, see CRS Report R45946, Executive Branch
Service and the “Revolving Door” in Cabinet Departments: Background and Issues for Congress, by Jacob R. Straus.
30 For more information on executive orders see CRS Report RS20846, Executive Orders: Issuance, Modification, and
Revocation, by T odd Garvey.
31 U.S. Congress, House Committee on Government Operations, Executive Orders and Proclamations: A Study of a
Use of Presidential Powers, committee print, 85th Cong., 1st sess., December 1957 (Washington: GPO, 1957), p. 1.
32 Andrew Rudalevige, “T he Presidency and Unilateral Power: A T axonomy,” in The Presidency and the Political
System , ed. Michael Nelson, 10th ed. (Washington, DC: CQ Press, 2014), pp. 483 -484; and Megan Covington,
“Executive Legislation and the Expansion of Presidential Power,” Vanderbilt University Board of Trust: Humanities
and Social Sciences, vol. 8 (Spring 2012), p. 1, at http://ejournals.library.vanderbilt.edu/index.php/vurj/article/
download/3556/1738.
33 Louis Fisher, Constitutional Conflict Between Congress and the President, 4th edition (Lawrence, KS: University of
Kansas Press, 1997), pp. 110-114. Fisher’s book discusses both major and minor uses of executive orders.
34 U.S. President (Kennedy), Executive Order 10939, “To Provide A Guide on Et hical Standards to Government
Officials,” 61 Federal Register 3951, May 5, 1961; and U.S. Congress, House, Committee on the Judiciary, Ethical
Conduct in Governm ent, Message from the President of the United States, 87 th Cong., 1st sess., April 27, 1961, H.Doc.
Congressional Research Service

5

link to page 12 Ethics Pledges and Other Executive Branch Employee Restrictions

congressional interest in ethics, including the adoption of a general Code of Ethics for
Government Service in the 85th Congress (1957-1958);35 investigations of al eged misconduct by
Bobby Baker, secretary to the Senate majority, and by Representative Adam Clayton Powel Jr. in
the 1960s;36 and the creation of the Senate Select Committee on Standards and Conduct (now the
Senate Select Committee on Ethics) in 1964, and the House Committee on Standards of Official
Conduct (now the House Ethics Committee) in 1967.37
As the first ethics executive order, President Kennedy’s 1961 executive order (E.O. 10939)
included provisions for behavior by government employees that would be included in other ethics
executive orders and ultimately be reflected in the Ethics in Government Act of 1978.38 In the
years after President Kennedy’s Administration, other Presidents also issued executive ethics
orders. These executive orders were issued by President Lyndon Johnson,39 President Richard
Nixon,40 President Ronald Reagan,41 and President George H. W. Bush.42 None, however,
contained a pledge that executive branch appointees were required to sign.
Since the enactment of the Ethics in Government Act of 1989, four Presidents have issued ethics
executive orders, each containing an “ethics pledge” that appointees were required to sign upon
taking office. Those orders, discussed in detail below under “Executive Branch Ethics Pledges,”
were issued by Presidents Clinton, Obama, Trump, and Biden.43

87-145 (Washington: GPO, 1961).
35 72 Stat. B12, H.Con.Res. 175. T he standards included in the Code of Ethics for Government Service are still
recognized as continuing ethical guidance in the House and Senate. T hey are, however, not legally binding bec ause the
code was adopted by congressional resolution, not by public law. T he Code of Ethics for Government Service is cited
by many House and Senate investigations. For example, see U.S. Congress, House Committee on Standards of Official
Conduct, Investigation of Certain Allegations Related to Voting on the Medicare Prescription Drug, Im provem ent, and
Modernization Act of 2003, report, 108th Cong., 2nd sess., H.Rept. 108-722 (Washington: GPO, 2004), p. 38.
36 “Ethics and Criminal Prosecutions,” in Guide to Congress, 5th ed., vol. II (Washington: CQ Press, 2000), pp. 943-
988. For more information on the enforcement of congressional rules of conduct, see CRS Report RL30764,
Enforcem ent of Congressional Rules of Conduct: A Historical Overview, by Jacob R. Straus.
37 “Proposed Amendment of Rule XXV of the Standing Rules of the Senate Relative to the Jurisdiction of the
Committee on Rules and Administration,” Congressional Record, vol. 110, part 13 (July 24, 1964), pp. 16929 -16940;
and “Committee on Standards of Official Conduct,” Congressional Record, vol. 113, part 7 (April 13, 1967), pp. 9426-
9448. For more information on the Senate Select Committee on Ethics, see CRS Report RL30650, Senate Select
Com m ittee on Ethics: A Brief History of Its Evolution and Jurisdiction , by Jacob R. Straus. For more information on
the House Commit tee on Standards of Official Conduct , see CRS Report 98-15, House Com m ittee on Ethics: A Brief
History of Its Evolution and Jurisdiction, by Jacob R. Straus.
38 5 U.S.C. Appendix. President Kennedy’s execut ive order included prohibitions on outside employment, use of public
office for private gain, receiving compensation from the private sector for government work, and receiving
compensation for consulting, lectures, or written material. U.S. President (Kenn edy), “ Executive Order 10939: T o
Provide A Guide on Ethical Standards to Government Officials,” 26 Federal Register 3951, May 5, 1961.
39 U.S. President (Lyndon B. Johnson), Executive Order 11222, “Prescribing Standards of Ethical Conduct for
Government Officers and Employees,” 30 Federal Register 6469, May 11, 1965.
40 U.S. President (Nixon), Executive Order 11590, “Applicability of Executive Order No. 11222 and Executive Order
No. 11478 to the United States Postal Service and of Executive Order No. 11478 to the Post Rate Commission,” 36
Federal Register 7831, April 23, 1971.
41 U.S. President (Reagan), Executive Order 12565, “Prescribing a Comprehensive System of Financial Reporting for
Officers and Employees in the Executive Branch,” 51 Federal Register 34437, September 25, 1986.
42 U.S. President (George H. W. Bush), Executive Order 12674, “Principles of Ethical Conduct for Government
Officers and Employees,” 54 Federal Register 15159, April 12, 1989; and U.S. President (George H. W. Bush),
Executive Order 12731, “Principles of Ethical Conduct for Government Officers and Employees,” 55 Federal Register
42547, October 17, 1990.
43 E.O. 12834, “Ethics Commitments by Executive Branch Appointees,” 58 Federal Register 5911, January 22, 1993;
Congressional Research Service

6

Ethics Pledges and Other Executive Branch Employee Restrictions

Other Guidance and Policy
In addition to executive orders, the President can direct executive branch action by issuing a
memorandum or guidance. Often issued through the Office of Management and Budget (OMB),
this guidance can provide additional direction to executive branch employees on a wide range of
subjects. In the context of ethics and lobbying, guidance has been utilized to regulate contact
between lobbyists and executive branch employees for certain programs.44
For example, President George W. Bush issued a memorandum on January 20, 2001, his first day
in office, instructing the heads of executive agencies and departments to “ensure that al
personnel within your departments and agencies are familiar with, and faithfully observe,
applicable ethics law and regulations.... ”45 The memorandum also included a restatement of
provisions from the Standards of Ethical Conduct for Employees of the Executive Branch, a
publication issued by the Office of Government Ethics and in regulations at 5 C.F.R. Part 2635.46
Similarly, during the Obama Administration, Treasury Department and OMB guidance provided
instructions to federal employees about their interactions with lobbyists on two acts: the
Emergency Economic Stabilization Act of 2008 (EESA)47 and the American Recovery and
Reinvestment Act of 2009 (ARRA).48 For EESA, guidance was designed to combat potential
lobbyist influence on the disbursement of EESA funds, to remove politics from funding decisions,
to offer certification to Congress that each investment decision was based “only on investment
criteria and the facts of the case,” and to provide transparency to the investment process.49 For the
ARRA, al communications between nongovernmental entities and government officials about
ARRA funds were required to be documented and posted to an agency-specific ARRA website.50
Memoranda and guidance such as these are not discussed further in this report, which focuses on
executive order ethics pledges.

E.O. 13490, “Ethics Commitments by Executive Branch Personnel,” 74 Federal Register 4673, January 21, 2009; and
E.O. 13770, “Ethics Commitments by Executive Branch Appointees,” 82 Federal Register 9333, January 28, 2017.
44 Since a ban on communication between lobbyists and government employees might be a violation of First
Amendment rights t o speech and petition the government. Daniel T . Ostas, “ T he Law and Ethics of K Street: Lobbying,
the First Amendment, and the Duty to Create Just Laws,” Business Ethics Quarterly, vol. 17, no. 1 (January 2007), pp.
35-37; and Vincent R. Johnson, “ Regulating Lobbying: Law, Ethics, and Public Policy,” Cornell Journal of Law and
Public Policy, vol. 16, no. 1 (Fall 2006), pp. 5-10, at http://scholarship.law.cornell.edu/cgi/viewcontent.cgi?article=
1103&context=cjlpp. For example, see Office of Management and Budget, Peter R. Orszag, Director, Updated
Guidance Regarding Communications with Registered Lobbyists About Recovery Act Funds, M -09-24, Washington,
DC, July 24, 2009, p. 1, at https://obamawhitehouse.archives.gov/sites/default/files/omb/assets/memoranda_fy2009/
m09-24.pdf. [Hereinafter, Orszag Guidance].
45 U.S. President (George W. Bush), “Memorandum on Standards of Official Conduct,” Public Papers of the
Presidents of the United States: George W. Bush, Book 1 (Washington: GPO, 2003), pp. 211-212.
46 For the most recent version of the Standards of Ethical Conduct for Employees of the Executive Branch, see Office
of Government Ethics, “Standards of Ethical Conduct for Employees of the Executive Branch,” January 1, 2017, at
https://www.oge.gov/Web/oge.nsf/0/5438912F316A0D26852585B6005A1599/$FILE/
SOC%20as%20of%2081%20FR%2081641%20FINAL.pdf .
47 P.L. 110-343, 122 Stat. 3765, October 3, 2008.
48 P.L. 111-5, 123 Stat. 115, February 17, 2009.
49 U.S. Department of the T reasury, Communications with Registered Lobbyists and Other Persons About Emergency
Economic Stabilization Act Funds, Washington, DC, 2009; U.S. Department of the Treasury, “ Treasury Secretary
Opens T erm Opens [sic] With New Rules T o Bolster T ransparency, Limit Lobbyist Influence in Federal Investment
Decisions,” press release, January 27, 2009.
50 Orszag Guidance, p. 1.
Congressional Research Service

7

Ethics Pledges and Other Executive Branch Employee Restrictions

Executive Branch Ethics Pledges
Since the Ethics in Government Act of 1978 was enacted,51 four Presidents have issued an
executive order creating an ethics pledge for Administration appointees.52 They are President
Clinton (1993), President Obama (2009), President Trump (2017), and President Biden (2021).
This section provides a brief summary of each ethics pledge.
Clinton Administration Ethics Pledge
On January 22, 1993, President Clinton issued Executive Order 12834, “Ethics Commitments by
Executive Branch Appointees.”53 Contemporary news reports of the ethics pledge cited campaign
promises “to curb influence peddling by former government officials.”54 The ethics pledge
included a five-year ban for former federal officials on lobbying any officer or employee of the
agency in which they served, a five-year ban on lobbying the Executive Office of the President
(EOP) by former EOP employees, a lifetime ban on representing a foreign agent under the
Foreign Agents Registration Act (FARA), and a five-year ban for former government officials
who participated in a trade negotiation to advise or represent a foreign government.55 On
December 28, 2000, President Clinton revoked this executive order.56
Obama Administration Ethics Pledge
On January 21, 2009, President Obama issued Executive Order 13490, “Ethics Commitments by
Executive Branch Personnel.”57 The executive order created an ethics pledge for al executive
branch appointments made on or after January 20, 2009, including a ban on accepting gifts from

51 P.L. 95-521, 92 Stat. 1824, October 26, 1978; U.S.C. Appendix §§101-505.
52 President Jimmy Carter likely required certain presidential appointments to sign “a statement of personal affiliations
and a letter of commitment to the President.” T his included commitments to “avoid employmen t for 2 years following
government service that would result in financial gain because of that service.” U.S. President (Carter), “Personal
Statements of Cabinet and Cabinet -Level Officers,” Weekly Com pilation of Presidential Docum ents, vol. 13, no. 9
(February 25, 1977), pp. 262-263. Additionally, President Carter reported to Congress that he “ obtained a commitment
from these officials to adhere to tighter restrictions after leaving government, in order to curb the ‘revolving door’
practice that has too often permitted former officials to exploit their government contacts for private gain.” U.S.
President (Carter), “Ethics in Government: The President’s Message to the Congress Urging Enactment of the Proposed
Ethics in Government Act of 1977 and Special Pro secutor Legislation,” Weekly Com pilation of Presidential
Docum ents, vol. 13, no. 19 (May 3, 1977), pp. 647 -650. Research into the ethics code in coordination with the Carter
Library could not locate any signed ethics agreements.
53 E.O. 12834, “Ethics Commitments by Executive Branch Appointees,” 58 Federal Register 5911, January 22, 1993.
54 “Clinton Announces New Ethics Standards,” CQ Almanac 1992, at https://library.cqpress.com/cqalmanac/
document.php?id=cqal92-1106991. See also, Mitchell Locin, “ Clinton Lays Down the Law on Ethics Rules,” Chicago
Tribune, December 10, 1992, at http://articles.chicagotribune.com/1992-12-10/news/9204220361_1_lobbying-special-
interests-appointees.
55 E.O. 12834, §1(a)(1)-(4).
56 E.O. 13184, “Revocation of Executive Order 12834,” 66 Federal Register 697, December 28, 2000. See also, Cheryl
K. Chumley, “Clinton Revokes Ethics Order He Authored in 1993,” CNSNews.com, July 7, 2008, at
http://www.cnsnews.com/news/article/clinton-revokes-ethics-order-he-authored-1993. T he revocation of the executive
order could have allowed Clinton Administration officials covered by the five-year ban in the ethics pledge to lobby the
incoming Administration following the statutory ban imposed by the Ethics in Government Act of 1978, as amended
(18 U.S.C. §207). See also, John Mintz, “ Clinton Reverses 5-Year Ban on Lobbying by Appointees,” The Washington
Post, December 29, 2000, at https://www.washingtonpost.com/archive/politics/2000/12/29/clinton-reverses-5-year-ban-
on-lobbying-by-appointees/e5a0571f-5c54-4988-adc6-5571a7557e83/?utm_term=.e8416ec1204c.
57 E.O. 13490, “Ethics Commitments by Executive Branch Personnel,” 74 Federal Register 4673, January 21, 2009.
Congressional Research Service

8

Ethics Pledges and Other Executive Branch Employee Restrictions

registered lobbyists, a two-year ban on working on particular issues involving a former employer,
and a ban on lobbying the Administration after leaving government service. Additional y, the E.O.
defined terms included in the pledge; al owed the Director of OMB, in consultation with the
counsel to the President, to issue ethics pledge waivers; instructed the heads of executive agenc ies
to consult with the Director of the Office of Government Ethics to establish rules of procedure for
the administration of the ethics pledge; and authorized the Attorney General to enforce the
executive order. In a press release summarizing the executive order, the Obama White House
explained the ethics pledge and the importance of following ethics and lobbying rules:
The American people ... deserve more than simply an assurance that those coming to
Washington will serve their interests. They deserve to know that there are rules on the
books to keep it that way. In the Executive Order on Ethics Commitments by Executive
Branch Personnel, the President, first, prohibits executive branch employees from
accepting gifts from lobbyists. Second, he closes the revolving door that allows
government officials to move to and from private sector jobs in ways that give that sector
undue influence over government. Third, he requires that government hiring be based upon
qualifications, competence and experience, not political connections. He has ordered every
one of his appointees to sign a pledge abiding by these tough new rules as a downpayment
on the change he has promised to bring to Washington.58
Trump Administration Ethics Pledge
On January 28, 2017, President Trump issued Executive Order 13770, “Ethics Commitments by
Executive Branch Appointees.”59 The executive order revoked President Obama’s executive order
(E.O. 13490) and created a new ethics pledge that shared many features with earlier orders.
Specifical y, the E.O. required al appointees to observe a two-year ban on “particular matters”
related to former employers, a two-year ban for former lobbyists on involvement in matters on
which he or she had lobbied, and a five-year ban on lobbying the government for appointees who
leave government service. Additional y, the ethics pledge defined relevant terms, provided for a
waiver process,60 and outlined the pledge’s administration and enforcement. On January 19, 2021,
President Trump revoked this order (E.O. 13983).61

58 T he White House, “ Statement from the Press Secretary on the President’s signing of two Executive Orders and three
Memoranda,” press release, January 21, 2009. “Revolving door” regulations refer to restrictions placed on the types of
jobs current federal employees may take when they leave federal service. For more information on the revolving door,
see CRS Report R45946, Executive Branch Service and the “Revolving Door” in Cabinet Departm ents: Background
and Issues for Congress, by Jacob R. Straus.
59 E.O. 13770, “Ethics Commitments by Executive Branch Appointees,” 82 Federal Register 9333, January 28, 2017.
60 For a discussion of ethics waivers, see CRS Insight IN10721, Office of Government Ethics: Role in Collecting and
Making Ethics Waivers Public, by Jacob R. Straus.
61 E.O. 13983, “Revocation of Executive Order 13770,” 86 Federal Register 6835, January 19, 2021. E.O. 13983
states, “[e]mployees and former employees subject to the commitments in Executive Order 13770 will not be subject to
those commitments after noon January 20, 2021.” For journalistic analysis of the revocation, for example, see Brian
Slodysko, “T rump Frees Former Aides from Ethics Pledge, Lobbying Ban,” AP News, January 20, 2021, at
https://apnews.com/article/donald-trump-lobbying-e911209abab83899eadd18b5776f6095; and Andrew Solender,
“T rump Revokes Lobbying Ban He Signed at the Beginning of His Presidency,” Forbes.com, January 20, 2021, at
https://www.forbes.com/sites/andrewsolender/2021/01/20/trump-revokes-lobbying-ban-he-signed-at-the-beginning-of-
his-presidency/?sh=6a1dbb5f44b9.
Congressional Research Service

9

link to page 22 Ethics Pledges and Other Executive Branch Employee Restrictions

Biden Administration Ethics Pledge
On January 20, 2021, President Biden issued Executive Order 13989, “Ethics Commitments by
Executive Branch Personnel.”62 The executive order created a new ethics pledge that shares many
features with those previously issued by Presidents Clinton, Obama, and Trump. The E.O.
requires al appointees to commit to “conduct consistent with” the pledge and to “decision-
making on the merits and exclusively in the public interest, without regard to private gain or
personal benefit.”63 The pledge includes a ban on al employees from accepting gifts from
lobbyists, extends revolving door prohibitions from one to two years, places restrictions on the
activities of executive branch personnel formerly registered as lobbyists or foreign agents, places
postemployment restrictions on officials leaving government, and prohibits “golden parachute”
payments from private-sector firms as a reward for entering government service. Further, the E.O.
defines relevant terms, provides for a waiver process, and outlines the administration and
enforcement of the order.
Observations
In many ways, President Biden’s ethics pledge shares features with those issued by President
Clinton, President Obama, and President Trump. For example, al four provided for restrictions,
in addition to those imposed by law, on the activities of certain appointees as they enter and exit
government service. The four ethics pledges, however, also have several differences. President
Clinton’s and President Biden’s ethics pledges contain provisions prohibiting pledge signers from
becoming foreign agents, and President Clinton’s pledge prohibited signers from engaging in
trade negotiations following government employment. President Obama’s and President Biden’s
ethics pledges contain a lobbyist gift ban, and President Clinton’s and President Trump’s contain
a five-year lobbying ban. The Appendix includes a ful side-by-side comparison of President
Clinton’s, President Obama’s, President Trump’s, and President Biden’s executive order ethics
pledges.
Even though some provisions of the ethics pledges are similar, each pledge also provides the
Administration’s interpretation of the relationship between government employees and lobbyists,
as wel as how employees entering and exiting government service should behave vis-a-vis the
Administration. The following section provides observations about the major similarities and
differences among President Clinton’s, President Obama’s, President Trump’s, and President
Biden’s ethics pledges in three areas: the “revolving door” (i.e., employees entering and exiting
government service), the definition of lobbying, and representation of foreign principals.
The “Revolving Door”
Each ethics pledge puts additional restrictions on appointees entering and exiting government
service.64 These include general restrictions for al appointees and specific restrictions for senior
and very senior appointees, former or future lobbyists, and former or future foreign agents.

62 E.O. 13989, “Ethics Commitments by Executive Branch Personnel,” 86 Federal Register 7029, January 25, 2021.
63 E.O. 13989, §1.
64 Each ethics pledge defines “appointee” in a slightly different manner, but generally refers to full-time, non-career
Presidential or Vice-Presidential appointees, non-career appointees in the Senior Executive Service, and appointees to
positions that have been excepted from the competitive service by reason of being confidential or policymaking in
character. See E.O. 12834 §2(a), E.O. 13490 §2(b), E.O. 137 70 §2(b), and E.O. 13989, §2(b) for each pledge’s specific
definition.
Congressional Research Service

10

link to page 15 link to page 15

Ethics Pledges and Other Executive Branch Employee Restrictions

Figure 1 summarizes the executive order restrictions for appointees entering and exiting
government service.
Figure 1. Ethics Pledge Restrictions on Appointees Entering and Exiting
Government Since 1993

Source: CRS analysis of E.O. 12834, E.O. 13490, E.O. 13770, and E.O. 13989.
As Figure 1 shows, three of the four ethics pledges included provisions for appointees entering
government service and al four addressed employees exiting the government. For appointees
entering government service, the Obama, Trump, and Biden Administrations’ ethics pledges
include a two-year ban for appointees entering government from being involved with their
previous employer on “any particular matter involving specific parties that is directly and
substantial y related to” former employers or clients.65 Additional y, President Obama, President
Trump, and President Biden each included additional restrictions on lobbyists entering
government service. Each pledge prohibited registered lobbyists from being involved in “any

65 E.O. 13490 §1(2); E.O. 13770 §1(6); E.O. 13989, §1 (2).
Congressional Research Service

11

link to page 17 Ethics Pledges and Other Executive Branch Employee Restrictions

particular matter on which” he or she lobbied in the two years prior to appointment.66 President
Biden’s ethics pledge also prohibits registered foreign agents under the Foreign Agents
Registration Act (FARA) from participating in “any particular matter” on which they worked in
the two years prior to their appointment.67 President Clinton’s ethics pledge did not contain a
provision on appointees entering government service.
For appointees exiting government service, al four ethics pledges contained provisions restricting
future activities. President Clinton’s ethics pledge included a lifetime ban on representing a
foreign principal, as defined by FARA,68 and a five-year ban on lobbying executive agencies that
the appointee had a “personal and substantial responsibility” over.69 President Biden’s ethics
pledge includes a ban on lobbying or representing a foreign principal “for the remainder of the
Administration or 2 years following the end” of appointees’ political appointment, “whichever is
later.”70 Additional y, President Clinton’s ethics pledge also restricted former executive branch
trade negotiators from representing a foreign principal for five years after the end of his or her
government service.71
President Obama’s, President Trump’s, and President Biden’s ethics pledges each included
language to extend statutory “cooling off” periods from one year to two years for those exiting
the executive branch.72 Additional y, the Obama, Trump, and Biden ethics pledges included
Administration-long bans on leaving the government to lobby certain executive branch officials.73
President Trump’s ethics pledge also included a five-year ban for senior appointees from
lobbying any executive agency in which the appointee served,74 and an agreement not to “engage
in any activity on behalf of any foreign government or foreign political party that would require
registration under FARA.”75 President Biden’s ethics pledge also includes a provision prohibiting
senior and very senior appointees from “material y assist[ing] others in making communications
or appearances that [the appointee would be] ... prohibited from undertaking.”76
As Figure 2 shows, the four ethics pledges share several components. For example, al four ethics
pledges included some version of a ban on leaving the Administration to become a lobbyist.
President Clinton, President Trump, and President Biden included a ban on former appointees

66 E.O. 13490 §1(3); E.O. 13770 §1(7). President Obama’s ethics pledge also contained a provision that prohibited a
registered lobbyist from seeking or accepting “employment with any executive agency” that he or she “lobbied within
the 2 years before the dat e” of appointment. E.O. 13490, §3(c).
67 E.O. 13989, §1(3).
68 E.O. 12834 §1(a)(3). For more information on the Foreign Agents Registration Act, see CRS In Focus IF10499,
Foreign Agents Registration Act: An Overview, by Jacob R. Straus; and CRS Report R46435, Foreign Agents
Registration Act (FARA): Background and Issues for Congress, by Jacob R. Straus. Foreign principals include (1) a
government of a foreign country and a foreign political party; (2) a person outside of the United States, unless “ it is
established that such person is an individual and a citizen of and domiciled within the United States,” or “ is not an
individual and is organized under or created by the law of the United States ... and has its principal place of business
within the United States”; or (3) “a partnership, association, corporation, organization, or other combination of persons
organized under the law or having its principal place of business in a foreign country.”
69 E.O. 12834 §1(a).
70 E.O. 13989, §1(6).
71 E.O. 12834 §1(a)(4) and E.O. 12834 §1(b)(1).
72 E.O. 13490 §1(4) and E.O. 13770 §1(2). Statutory “cooling off” periods are codified at 18 U.S.C. §207. For more
information on the revolving door and cooling-off provisions, see CRS Report R45946, Executive Branch Service and
the “Revolving Door” in Cabinet Departments: Background and Issues for Congress, by Jacob R. Straus.
73 E.O. 13490 §1(5) and E.O. 13770 §1(3).
74 E.O. 13770 §1(1).
75 E.O. 13770 §1(4).
76 E.O. 13989, §1(5).
Congressional Research Service

12

Ethics Pledges and Other Executive Branch Employee Restrictions

becoming a foreign agent, and President Clinton included a ban on participating in trade
negotiations after leaving government service.
Figure 2. Ethics Pledge Components that Apply to Appointees

Source: CRS Analysis of E.O. 12834, E.O. 13490, E.O. 13770, and E.O. 13989.
Definition of Lobbying: Lobbying Contact v. Lobbying Activities
Al four executive order ethics pledges include additional restrictions on lobbyists. While the
concept behind the additional restrictions appears to be similar—prohibiting individuals from
lobbying on particular matters they worked on in the public or private sector—the language used
to define the types of behavior is different. The Lobbying Disclosure Act (LDA) defines a
lobbyist as
any individual who is employed or retained by a client for financial or other compensation
for services that include more than one lobbying contact, other than an individual whose
lobbying activities constitute less than 20 percent of the time engaged in the services
provided by such individual to that client over a 3-month period.77
Additional y, the LDA further defines lobbying contacts and lobbying activities. A lobbying
contact is
any oral or written communication (including an electronic communication) to a covered
executive branch official or a covered legislative branch official that is made on behalf of
a client with regard to-
(i) the formulation, modification, or adoption of Federal legislation (including legislative
proposals);
(ii) the formulation, modification, or adoption of a Federal rule, regulation, Executive
order, or any other program, policy, or position of the United States Government;
(iii) the administration or execution of a Federal program or policy (including the
negotiation, award, or administration of a Federal contract, grant, loan, permit, or license);
or
(iv) the nomination or confirmation of a person for a position subject to confirmation by
the Senate.78
Lobbying activity
means lobbying contacts and efforts in support of such contacts, including preparation and
planning activities, research and other background work that is intended, at the time it is
performed, for use in contacts, and coordination with the lobbying activities of others.79

77 2 U.S.C. §1602(10).
78 2 U.S.C. §1602(8).
79 2 U.S.C. §1602(7).
Congressional Research Service

13

Ethics Pledges and Other Executive Branch Employee Restrictions

For the purpose of their ethics pledges, President Clinton and President Obama both defined
lobbying as “knowingly communicat[ing] to or appear[ing] before any officer or employee of any
executive agency on behalf of another with the intent to influence official action.”80 President
Biden defines lobbying using only the definition in the LDA.81 These definitions of lobbying
approximate, or mirror, the overal LDA definition of lobbying and lobbying contact.82 Thus,
former appointees are restricted from making contacts with covered officials after their
governmental service.
President Trump’s ethics pledge arguably used a broader definition of lobbying than his
predecessors’. It prohibited former appointees from engaging “in lobbying activities with respect
to any covered executive branch official or non-career Senior Executive Service appointee for the
remainder of the Administration.”83 President Trump’s executive order defined lobbying activities
using LDA’s definition, but provided exemptions for communication or appearances in regard to
“a judicial proceeding; a criminal or civil law enforcement inquiry, investigation, or proceeding;
or any agency process for rulemaking, adjudication, or licensing.”84
The difference between lobbying contacts and lobbying activities is nuanced. General y, lobbying
contacts require an individual to engage in oral or written communication with a covered
official.85 While there are exemptions to these communications (e.g., communications made by a
media organization representative in gathering and disseminating news), in order to be considered
a registered lobbyist, contact must occur between an individual being paid to represent others and
a covered official.
Lobbying activities, on the other hand, include both lobbying contacts and the support of those
contacts by people who do not communicate directly with a covered official. Therefore, using
lobbying activities to define lobbying is arguably more expansive than using lobbying contacts
because individuals who never cal or meet with covered officials (but assist federal y registered
lobbyists in preparing for those communications) would likely fal under President Trump’s ethics
pledge lobbying ban. Individuals supporting registered lobbyists, but not making contact with
covered officials, were not specifical y included in President Clinton’s, President Obama’s, or
President Biden’s ethics pledge.
President Biden’s ethics pledge does provide that senior and very senior appointees leaving
government have an additional one year restriction above and beyond that required by 18 U.S.C.
§207(c) and (d). The senior or very senior appointee pledges that “I wil not material y assist
others in making communication or appearances that I am prohibited from undertaking myself by

80 E.O. 12834 §2(c).
81 E.O. 13989, §2(e)-(f).
82 President Clinton’s ethics pledge predates the Lobbying Disclosure Act (LDA), which was enacted in 1995. T he
definition that President Clinton used in the ethics pledge is similar to the definition ultimately included in the LDA.
For more information on the LDA, see CRS Report R44292, The Lobbying Disclosure Act at 20: Analysis and Issues
for Congress, by Jacob R. Straus.
83 E.O. 13770 §1(3).
84 E.O. 13770 §2(n).
85 Covered executive branch officials includes “the President; the Vice President; any officer or employee, or any other
individual functioning in the capacity of such an officer or employee, in the Executive Office of the President; any
officer or employee serving in a position in level I, II, III, IV, or V of the Executive Schedule, as designate d by statute
or Executive order; any member of the uniformed services whose pay grade is at or above O –7 under section 201 of
title 37; and any officer or employee serving in a position of a confidential, policy -determining, policy-making, or
policy-advocating character described in section 7511(b)(2)(B) of title 5.” 2 U.S.C. §1602(3).
Congressional Research Service

14

Ethics Pledges and Other Executive Branch Employee Restrictions

(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.”86
A shift between lobbying contact and lobbying activities to define lobbying now potential y
includes the activities of a group of individuals often referred to as “shadow lobbyists.” A
“shadow lobbyist” is an individual who engages in some lobbying activities but does not
necessarily strictly meet al of the requirements for registration as a lobbyist: makes more than
one lobbying contact per quarter, is compensated for making contacts with covered officials, and
spends more than 20% of his or her time on lobbying activities. As described by political scientis t
Timothy LaPira, a shadow lobbyist is
... any professional who is paid to challenge or defend the policy status quo, to subsidize
[sic] policymakers with information, or to closely monitor intricate policy and political
developments that are not readily available to the public—or those who offer expertise,
knowledge, and access in support of these activities—yet who do not register as lobbyists.87
Restricting former appointees from engaging in certain types of lobbying activities potential y
would extend to individuals who provide “strategic consulting” to lobbying firms or take
postgovernment employment in a position that might support registered lobbyists. Traditional y,
individuals who support registered lobbyists have not been included in registration and disclosure
requirements because they do not make lobbying contacts. Using lobbying activities as the
threshold for postemployment restrictions under the ethics pledge could include those individuals
who are not directly attempting to influence government decisionmaking.
Representing Foreign Principals
President Clinton’s, President Trump’s, and President Biden’s ethics pledges each contained
restrictions on former appointees leaving government to represent a foreign principal. For al
three of the ethics pledges, the restriction was a prohibition on engaging in activity that would
require registration under the Foreign Agents Registration Act (FARA).88 President Clinton’s
ethics pledge contained a lifetime ban on “activity on behalf of any foreign government or foreign
political party” that would require registration under FARA.89 President Trump’s ethics pledge
contained an agreement not to “engage in any activity on behalf of any foreign government or
foreign political party which ... would require registration under FARA.”90 President Biden’s
ethics pledge includes a ban “for the remainder of the Administration, or 2 years following the
end of my appointment, whichever is later,” from engaging “in any activity on behalf of any
foreign government or foreign political party which ... would require” registration under FARA.91
President Obama’s ethics pledge did not specifical y address foreign agents.

86 E.O. 13989, §1(5).
87 T imothy M. LaPira, “Lobbying in the Shadows: How Private Interests Hide from Public Scrutiny and Why T hat
Matters,” in Interest Group Politics, ed. Allan J. Cigler, Burdett A Loomis, and Anthony J. Nownes, 9th ed.
(Washington, DC: CQ Press, 2015), p. 225.
88 For more information on the Foreign Agents Registration Act, see 22 U.S.C. §§611 -621); and CRS In Focus
IF10499, Foreign Agents Registration Act: An Overview, by Jacob R. Straus; and CRS Report R46435, Foreign Agents
Registration Act (FARA): Background and Issues for Congress, by Jacob R. Straus.
89 E.O. 12834 §1(a)(3).
90 E.O. 13770 §1(4).
91 E.O. 13989, §1(6).
Congressional Research Service

15

link to page 8 Ethics Pledges and Other Executive Branch Employee Restrictions

Options for Change
Should Congress wish to consider writing into law elements included in the pledges, several
options are potential y available. These include codifying ethics pledge provisions; amending
revolving door restrictions; amending the Lobbying Disclosure Act (LDA), the Foreign Agents
Registration Act (FARA), or both; or taking no immediate action. These options each have
advantages and disadvantages for the future relationships between lobbyists and governmental
decisionmakers. CRS takes no position on any of the options identified in this report.
Codify Ethics Pledge Provisions
Should Congress want to make al or part of the executive branch ethics pledges permanent, it
could choose to codify the additional restrictions placed on executive branch appointees by
President Clinton’s, President Obama’s, or President Trump’s ethics pledges. This might include
codifying additional revolving door restrictions as discussed above; incorporating individual
provisions (e.g., a lobbying gift ban or restrictions on trade negotiations by former appointees); or
adding specific definitions, waivers, or disclosure concepts to federal law. Codifying either the
entire ethics pledge(s) or individual sections would have the effect of making those changes
permanent, and not subject to being revoked by a future executive order. This could al ow for
permanent changes to existing ethics and conflict-of-interest provisions.92
Amend Revolving-Door Statutes
Should action to incorporate ethics-pledge revolving-door restrictions be desired, several options
might exist. These could include extending the “cooling-off” period to two years or more, placing
a blanket ban on taking certain positions for compensation, and placing a ban on taking certain
types of nongovernmental positions.
As mentioned above under “The Revolving Door,” current statutory “cooling off” periods for
executive branch officials range from a lifetime ban on “switching sides”; to a two-year period for
“very senior” officials, and a one-year period for “senior” officials, for certain activities; and a
one-year restriction on al “senior” or “very senior” employees representing a foreign government
or political party.93 One option might be to extend the cooling-off period to two years or more.
This would match language in al four ethics pledges. Extending the cooling-off period for former
appointees to two years, however, could possibly be seen as an unreasonable restriction on
postemployment. Alternatively, Congress could reduce or eliminate the cooling-off period.
Having a shorter cooling-off period, or eliminating it altogether, might arguably increase the
talent pool available both inside and outside the government.

92 Several measures have been introduced in recent years that would codify aspects of the executive order ethic pledges.
A search of Congress.gov returns a sampling of measures. T hey include H.R. 2500 (115th Congress), which would have
permanently extended ethics pledge postemployment, revolving-door restrictions; instituted a lifetime ban on
reorientation of foreign principals for certain former federal employees; and created new restrictions on involvement by
federal officials in particular matters relating to previous employment (was referred to the House Judiciary Committee
but did not receive further consideration); H.R. 1 (116th Congress), which would have codified the lobbyist gift ban,
extended “cooling off” periods, limited lobbyists entering government from cert ain activities, and extended
post employment restrictions (H.R. 1 passed the House on March 8, 2019, but did not receive further consideration in
the Senate); and H.R. 1 (117th Congress), which as introduced generally mirrors the language from H.R. 1 in the 116th
Congress.
93 18 U.S.C. §207. For more information on the revolving door, see CRS Report R45946, Executive Branch Service and
the “Revolving Door” in Cabinet Departments: Background and Issues for Congress, by Jacob R. Straus.
Congressional Research Service

16

Ethics Pledges and Other Executive Branch Employee Restrictions

Instead of, or in addition to, addressing cooling-off periods, Congress could enact a blanket
restriction on the acceptance of certain types of outside employment for the length of an
Administration. For example, an individual appointed by the President might be prohibited from
accepting certain outside employment until the end of the President’s Administration or until the
next intervening election (i.e., the President’s bid for reelection). Such a policy might encourage
executive branch appointees to serve for the length of the President’s term before seeking outside
employment.
Several disadvantages to creating such postemployment restrictions on appointees potential y
exist. First, if the restriction covered only the acceptance of private compensation, fees, or other
remuneration, it is possible that an appointee could leave the Administration to take an
uncompensated position with any private entity. These positions might be advisory in nature and
could carry the promise of future compensation after the end of the former appointee’s restricted
time.
Amend the Lobbying Disclosure Act and/or Foreign Agent
Registration Act
If the goal of Congress is to restrict former appointees from becoming registered lobbyists under
the LDA or FARA, Congress could amend the LDA or FARA to institute provisions similar to
executive branch lobbying restrictions found in President Obama’s, President Trump’s, or
President Biden’s ethics pledges. Under the LDA, lobbyists must file quarterly disclosure reports
with information on their activities and covered officials contacted. Similar requirements exist
under FARA for individuals who are representing a foreign principal.94 Additional y, the LDA, as
amended by the Honest Leadership and Open Government Act (HLOGA) of 2007, requires
federal y registered lobbyists to file semiannual reports on certain campaign and presidential
library contributions.95 The disclosure requirements might be further amended to cover program-
specific disbursement information.
Take No Immediate Action
Congress might determine that the current lobbying registration and disclosure provisions, and
executive orders, are adequate. Instead of amending the LDA or FARA, or issuing additional or
amending existing executive orders, Congress or the President could continue to utilize existing
law, or the President could issue executive orders to restrict the activities of current or former
Administration officials. Changes within the statutory mission of the implanting officials might
be made on an as-needed basis through changes to LDA guidance documents issued by the Clerk
of the House and Secretary of the Senate,96 FARA guidance issued by the Department of Justice,97
through executive order, or through the issuance of memoranda by the Administration.

94 For more information on FARA, see CRS Report R46435, Foreign Agents Registration Act (FARA): Background
and Issues for Congress, by Jacob R. Straus.
95 2 U.S.C. §1604.
96 For more information on the role of the Clerk of the House and the Secretary of the Senate in administering the
lobbying registration and disclosure system, see CRS Report RL34377, Lobbying Registration and Disclosure: The
Role of the Clerk of the House and the Secretary of the Senate, by Jacob R. Straus.
97 U.S. Department of Justice, National Security Divisions, Foreign Agents Registration Act Unit, “Frequently Asked
Questions,” Foreign Agents Registrat ion Act, at https://www.fara.gov/faq.html; and U.S. Department of Justice,
National Security Divisions, Foreign Agents Registration Act Unit, “Advisory Opinion Summaries,” at
https://www.fara.gov/advisory.html.
Congressional Research Service

17

link to page 22 link to page 22 Ethics Pledges and Other Executive Branch Employee Restrictions

Appendix. Side-by-Side Analysis of Executive
Order Ethics Pledges
To provide a comparison of the executive order ethics pledges signed by President Clinton,
President Obama, President Trump, and President Biden, Table A-1 provides a side-by-side
analysis of the four ethics pledges, including who was covered, the restrictions placed on covered
employees, and the administration and enforcement provisions. In evaluating the four ethics
pledges, similar categories were observed. These serve as the main headers of Table A-1. These
include who is covered by the ethics pledge; definitions; wavier provisions; administration;
enforcement; and other general provisions, if any.
Table A-1. Side-By-Side Analysis of Ethics Pledge Executive Orders (E.O.)
President Clinton
President Obama
President Trump
President Biden
Issue
(E.O. 12834)
(E.O. 13490)
(E.O. 13770)
(E.O. 13989)
Who
“Every senior
“Every appointee in
“Every appointee in
“Every appointee in
appointee in every
every executive
every executive
every executive
executive agency
agency appointed
branch agency
agency appointed
appointed on or
on or after January
appointed on or
on or after January
after January 20,
20, 2009” [§1]
after January 20,
20, 2021” [§1]
1993” [§1(a)]
2017” [§1]
Prohibition
Gift Ban
—
“Wil not accept
“Wil not accept
“Wil not accept
gifts from registered
gifts from registered
gifts from registered
lobbyists or
lobbyists or
lobbyists or
lobbying
lobbying
lobbying
organizations for
organizations for
organizations for
the duration of . .
the duration of . .
the duration of . .
service as an
service as an
service as an
appointee” [§1(1)]
appointee” [§1(5)]
appointee” [§1(1)]
Revolving Door
Al Appointees
—
“Wil not for a
“Wil not for a
“Wil not for a
Entering
period of 2 years
period of 2 years
period of 2 years
Government
from the date of . .
from the date of , ,
from the date of . .
appointment
appointment
appointment
participate in any
participate in any
participate in any
particular matter
particular matter
particular matter
involving specific
involving specific
involving specific
parties that is
parties that is
parties that is
directly and
directly and
directly and
substantial y related
substantial y related
substantial y related
to my former
to my former
to my former
employer or former
employer or former
employer or former
clients, including
clients, including
clients, including
regulations and
regulations and
regulations and
contracts” [§1(2)]
contracts” [§1(6)]
contracts” [§1(2)]
Lobbyists and
—
“If [appointee] was
“If I was a
“If I was a
Registered Agents
a registered lobbyist
registered lobbyist
registered lobbyist
Entering
within the 2 years
within the 2 years
under the Lobbying
Government
before the date of . .
before the date of
Disclosure Act . . or
appointment . . wil
my appointment, in
the Foreign Agents
not for a period of
addition to abiding
Registration Act . .
Congressional Research Service

18

Ethics Pledges and Other Executive Branch Employee Restrictions

President Clinton
President Obama
President Trump
President Biden
Issue
(E.O. 12834)
(E.O. 13490)
(E.O. 13770)
(E.O. 13989)
2 years after the
by the limitations of
within the 2 years
date of . .
paragraph 6
before the date of
appointment
[restrictions for al
my appointment, in
(a) participate in any appointees], I wil
addition to abiding
particular matter on
not for a period of
by the limitations of
which I lobbied
2 years after the
paragraph 2
within the 2 years
date of my
[Revolving Door
before the date of
appointment
Ban—Al
my appointment;
participate in any
Appointees Entering
(b) participate in the particular matter on
Government], I wil
specific issue area in
which I lobbied
not for a period of
which that
within the 2 years
2 years after the
particular matter
before the date of
date of my
fal s; or
my appointment or
appointment
(c) seek or accept
participate in the
(a) participate in any
employment with
specific issue area in
particular matter on
any executive
which that
which I lobbied, or
agency that I
particular matter
engaged in
lobbied within the 2
fal s” [§1(7)]
registrable activity
years before the
under FARA, within
date of my
2 years before the
appointment”
date of my
[§1(3)]
appointment;
(b) participate in the
specific issue area in
which that
particular matter
fal s; 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”
[§1(3)]
Appointees Leaving
—
“If, upon my
“If, upon my
“If, upon my
Government
departure from the
departure from the
departure from the
Government, I am
Government, I am
Government, I am
covered by the
covered by the
covered by the
post-employment
post-employment
post-employment
restrictions on
restrictions on
restrictions on
communicating with
communicating with
communicating with
employees of my
employees of my
employees of my
former executive
former executive
former executive
agency set forth in
agency set forth in
agency set forth in
section 207(c) of
section 207(c) of
section 207(c) of
title 18, United
title 18, United
title 18, United
States Code, I agree
States Code, I agree
States Code, and its
that I wil abide by
that I wil abide by
implementing
those restrictions
those restrictions”
regulations, I agree
for a period 2 years
[§1(2)]
that I wil abide by
fol owing the end of
those restrictions
Congressional Research Service

19

Ethics Pledges and Other Executive Branch Employee Restrictions

President Clinton
President Obama
President Trump
President Biden
Issue
(E.O. 12834)
(E.O. 13490)
(E.O. 13770)
(E.O. 13989)
my appointment”
for a period of 2
[§1(4)]
years fol owing the
end of my
appointment.”
“I wil abide by
these same
restrictions with
respect to
communicating with
senior White House
staff” [§1(4)]
Senior and Very
—
—
—
“If, upon my
Senior Appointees
departure from the
Leaving
Government, I am
Government
covered by the
post-employment
restrictions set
forth in . . [18
U.S.C. §207(c) or
207(d)], and those
sections’
implementing
regulations, I agree
that, in addition, for
a period of 1 year
fol owing the end of
my appointment, I
wil not material y
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.”
[§1(5)]
Leaving
“Wil not, within
“Agree, upon
“I wil not, within 5
“Agree, upon
Government to
five years after the
leaving Government
years after the
leaving Government
Lobby
termination of my
service, not to
termination of my
service, not to
employment as a
lobby any covered
employment as an
lobby any covered
senior appointee in
executive branch
appointee in any
executive branch
any executive
official or non-
executive agency in
official or non-
agency in which I
career Senior
which I am
career Senior
am appointed to
Executive Service
appointed to serve,
Executive Service
serve, lobby any
appointee for the
engage in lobbying
appointee, or
officer or employee
remainder of the
activities with
engage in any
activity on behalf of
Congressional Research Service

20

Ethics Pledges and Other Executive Branch Employee Restrictions

President Clinton
President Obama
President Trump
President Biden
Issue
(E.O. 12834)
(E.O. 13490)
(E.O. 13770)
(E.O. 13989)
of that agency”
Administration”
respect to that
any foreign
[§1(a)(1)]
[§1(5)]
agency” [§1(1)]
government or
For senior
“I also agree, upon
foreign political
appointees in the
leaving Government
party which, were it
EOP, “wil not,
service, not to
undertaken on
within five years
engage in lobbying
January 20, 2021,
after . . cease to be
activities with
would require that I
a senior appointee
respect to any
register under
in the EOP, lobby
covered executive
FARA, for the
any officer or
branch official or
remainder of the
employee of any
non-career Senior
Administration or 2
other executive
Executive Service
years fol owing the
agency with respect
appointee for the
end of my
to which . . personal
remainder of the
appointment,
and substantial
Administration”
whichever is later”
responsibility as a
[§1(3)]
[§1(6)]
senior appointee in
the EOP” existed
[§1(a)(2)]
Golden Parachute
—
—
—
“I have not
Ban
accepted and wil
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 wil not accept
any non-cash benefit
from my former
employer that is
provided in lieu of
such a prohibited
cash payment.”
[§1(7)]
Hiring on
—
“Any hiring or
“Any hiring or
“Any hiring or
Qualifications
other employment
other employment
other employment
decision I make wil
decisions I make wil
decisions I make wil
be based on the
be based on the
be based on the
candidate’s
candidate’s
candidate’s
qualifications,
qualifications,
qualifications,
competence, and
competence, and
competence, and
experience” [§1(6)]
experience” [§1(8)]
experience” [§1(8)]
Congressional Research Service

21

Ethics Pledges and Other Executive Branch Employee Restrictions

President Clinton
President Obama
President Trump
President Biden
Issue
(E.O. 12834)
(E.O. 13490)
(E.O. 13770)
(E.O. 13989)
Foreign Representation and Trade
Foreign Principal
“Wil not, at any
—
“Wil not, at any
[Included in §1(6),
time after the
time after the
restrictions on
termination of my
termination of my
leaving the
employment in the
employment in the
government to
United States
United States
lobby]
Government,
Government,
engage in any
engage in any
activity on behalf of
activity on behalf of
any foreign
any foreign
government or
government or
foreign political
foreign political
party which . .
party which, were it
would require ...
undertaken on
[registration] under
January 20, 2017,
the Foreign Agents
would require . .
Registration Act of
[registration] under
1938, as amended”
the Foreign Agents
[§1(a)(3)]
Registration Act of
1938, as amended”
[§1(4)]
Trade Negotiation
“Wil not, within
—
—
—
five years after
termination of . .
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” [§1(a)(4)]
Congressional Research Service

22

Ethics Pledges and Other Executive Branch Employee Restrictions

President Clinton
President Obama
President Trump
President Biden
Issue
(E.O. 12834)
(E.O. 13490)
(E.O. 13770)
(E.O. 13989)
Non-Senior
Trade negotiators,
—
—
—
Appointee Trade
who are not senior
Negotiations Pledge
appointees,
appointed on or
after January 30,
1993

“As a condition of
employment in the
United States
Government as a
trade negotiator . .
wil 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. . ”
[§1(b)(1)]
Definitions

Defined terms:
Defined terms:
Defined terms:
Defined terms:

senior

executive

administration, 
executive
appointee,
agency,

agency,

appointee,

trade

appointee,



covered

appointee,
negotiator,

gift,
executive

gift,

lobby,

branch official,

registered

covered

on behalf of
lobbyist or

directly and
executive
another,
lobbying
substantial y
branch official,

organization,
related,

administrative

lobbyist,
proceeding,

lobby,

executive

registered

agency,

executive

particular
lobbyist or
agency,
matter,

foreign
lobbying

personal and

former
government,
organization,
substantial
employer,

foreign political

lobby and
responsibility,

party,
lobbied,

former client,

personal and




participate,

former client,

lobbying
substantial

activities,

former
participation,

postemployme
nt restrictions,
employer,

material y

trade

gift,
assist,
negotiation,

administration,  lobbied,
Congressional Research Service

23

Ethics Pledges and Other Executive Branch Employee Restrictions

President Clinton
President Obama
President Trump
President Biden
Issue
(E.O. 12834)
(E.O. 13490)
(E.O. 13770)
(E.O. 13989)

foreign

government

lobbying

particular
government,
official, and
activities,
matter,
foreign political

pledge [§2]

Lobbying

particular
party, and
Disclosure Act,
matter

foreign

involving

Foreign Agent
business entity
Registration
specific parties,
[§2]
Act,

former

employer,

lobbyist,



on behalf of

former client,
another,

directly and

substantial y

particular
matter,
related to my
former

participate,
employer or

pledge,
former clients,

postemployme

participate,
nt restrictions,

government
and
official,

registered

administration,
lobbyist or
lobbying

pledge, and
organization

senior White
[§4]
House staff
[§2]
Waivers

“President may
“The Director of
“President or his
“The Director of
grant to any person
the Office of
designee may grant
the Office of
a waiver of any
Management and
to any person a
Management and
restrictions
Budget [OMB], or
waiver of any
Budget [OMB], in
contained in the
his or her designee,
restrictions
consultation with
pledge signed by
in consultation with
contained in the
the Counsel to the
such person if, and
the Counsel to the
pledge signed by
President, may grant
to the extent that,
President, or his or
such person” [§3(a)] to any current or
the president
her designee, may
“A waiver shal take
former appointee a
certifies in writing
grant to any current
effect when the
written waiver . . if,
that it is in the
or former
certification is
and to the extent
public interest to
appointee a written
signed by the
that, the Director
grant the waiver”
waiver of any
President or his
of OMB certifies in
[§3(a)];
restrictions
designee” [§3(b)]
writing:
“A waiver shal take
contained in the
“A copy of the
(i) that the literal
effect when the
pledge signed by
waiver certification
application of the
certification is
such appointee if,
shal be furnished to
restriction is
signed by the
and to the extent
the person covered
inconsistent with
President” [§3(b)];
that, the Director
by the waiver and
the purposes of the
and
of [OMB], or his or
restriction; or (i )
her designee,
provided to the
“The waiver
that it is in the
certifies in writing
head of the agency
certification shal be
public interest to
(i) that the literal
in which that
published in the
grant the waiver”
application of the
person is or was
Federal Register,
restriction is
appointed to serve”
“A wavier shal take
identifying the name
inconsistent with
[§3(c)]
effect when the
and executive
the purposes of the
certification is
agency position of
restriction, or (i )
signed by the
the person covered
that it is in the
Director of OMB
Congressional Research Service

24

Ethics Pledges and Other Executive Branch Employee Restrictions

President Clinton
President Obama
President Trump
President Biden
Issue
(E.O. 12834)
(E.O. 13490)
(E.O. 13770)
(E.O. 13989)
by the waiver and
public interest to
and shal be made
the reasons for
grant the waiver. A
public within 10
granting it” [§3(c)]
waiver shal take
days” [§3(a)-(b)]]
effect when the
The public interest
certification is
“shal include, but
signed by the
not be limited to,
Director of the
exigent
[OMB] or his or her
circumstances
designee [§3(a)]
relating to national
security, the
economy, public
health, or the
environment,” using
listed factors [§3(c)]
Administration
General
Attorney General
“Al pledges signed
“Al pledges signed
“Al pledges signed
shal publish within
by appointees, and
by appointees, and
by appointees, and
six months a
al waiver
al waiver
al waiver
“Statement of
certifications with
certifications with
certifications . . shal
Covered Activities,”
respect thereto,
respect thereto,
be filed with the
in the Federal
shal be filed with
shal be filed with
head of the
Register” [§4(d)]
the head of the
the head of the
appointee’s agency

appointee’s agency
appointee’s agency
for permanent
for permanent
for permanent
retention in the
“Al pledges signed
retention in the
retention in the
appointee’s official
by senior
appointee’s official
appointee’s official
personnel folder or
appointees and
personnel folder or
personnel folder or
equivalent folder”
trade negotiators,
equivalent folder”
equivalent folder”
[§4(e)]
and al waiver
[§4(e)]
[§4(e)]
certifications with
respect thereto,
shal be filed with
the head of the
appointee’s agency
for permanent
retention in the
appointee’s official
personnel folder or
equivalent folder”
[§4(g)]
Agency Rules
“The head of every
“Head of every
“The head of every
“The head of every
executive agency
executive agency
executive agency
executive agency
shal establish for
shal , in consultation
shal establish for
shal , in consultation
that agency such
with the Director of that agency such
with the Director of
rules or procedures
the Office of
rules or procedures
the Office of
. . as are necessary
Government Ethics
. . as are necessary
Government Ethics
or appropriate”
[OGE], establish
or appropriate”
[OGE], establish
[§4(a)]
such rules or
[§4(a)]
such rules or
procedures . . as are
procedures . . as are
necessary or
necessary or
appropriate to
appropriate” [§4(a)]
ensure that every
appointee in the
agency signs the
pledge upon
assuming the
Congressional Research Service

25

Ethics Pledges and Other Executive Branch Employee Restrictions

President Clinton
President Obama
President Trump
President Biden
Issue
(E.O. 12834)
(E.O. 13490)
(E.O. 13770)
(E.O. 13989)
appointed office or
otherwise becoming
an appointee”
[§4(a)]
White House Rules
“White House
Counsel to the
“Counsel to the
Counsel to the
Counsel or such
President or his or
President or other
President issues
other official or
her designee issues
such official or
rules or procedures
officials with whom
rules or procedures
officials to whom
for the Executive
the President
for the Executive
the President
Office of the
delegates those
Office of the
delegates those
President [§4(b)]
duties” sets rules or
President [§4(b)]
duties” issues rules
procedures for the
or procedures for
Executive Office of
the Executive Office
the President
of the President
[§4(b)]
[§4(b)]
Office of
Director of the
Director of the
Director of the
Director of the
Government Ethics
Office of
Office of
Office of
Office of
Government Ethics
Government Ethics
Government Ethics
Government Ethics
shal :
shal :
shal :
shal :
“subject to prior
“ensure that the
“ensure that the
“ensure that the
approval of the
pledge and a copy of pledge and a copy
pledge and a copy
White House
this order are made
of this Executive
of this order are
Counsel, develop a
available for use by
Order are made
made available for
form of the pledges
agencies in fulfil ing
available for use by
use by agencies”
to be completed by
their duties”
agencies” [§4(c)(1)]
[§4(c)(i)]
senior appointees
[§4(c)(1)]
“in consultation
“in consultation
and trade
“in consultation
with the Attorney
with the Attorney
negotiators and see
with the Attorney
General or Counsel
General or the
that the pledges and General or Counsel to the President,
Counsel to the
a copy of this
to the President or
when appropriate,
President, when
executive order are
their designees . .
assist designated
appropriate, assist
made available by
assist designated
agency ethics
designated agency
agencies” [§4(c)(1)]; agency ethics
officers in providing
ethics officers in
“in consultation
officers in providing
advice to current or
providing advice to
with the Attorney
advice to current or
former appointees
current or former
General or White
former appointees
regarding the
appointees
House Counsel,
regarding the
application of the
regarding the
when appropriate,
application of the
pledge” [§4(c)(2)]
application of the
assist designated
pledge” [§4(c)(2)]
“adopt such rules
pledge [§4(c)(i )
agency ethics
“in consultation
or procedures . . as
“in consultation
officers in providing
with the Attorney
are necessary or
with the Attorney
advice to current or
General and the
appropriate”
General and the
former senior
Counsel to the
[§4(c)(3)]
Counsel to the
appointees and
President or their
President, adopt
trade negotiators
designees, adopt
such rules or
regarding the
such rules or
procedures as are
application of the
procedures as are
necessary or
pledges” [§4(c)(2)];
necessary or
appropriate”
and
appropriate”
[§4(c)(i i)]
“subject to the
[§4(c)(3)]
“in consultation
prior approval of
“in consultation
with the Director of
the White House
with the Attorney
OMB, report to the
Counsel, adopt such General, the
President on
rules or procedures
Counsel to the
whether ful
as are necessary or
President, and the
compliance is being
appropriate to carry
Congressional Research Service

26

Ethics Pledges and Other Executive Branch Employee Restrictions

President Clinton
President Obama
President Trump
President Biden
Issue
(E.O. 12834)
(E.O. 13490)
(E.O. 13770)
(E.O. 13989)
out the foregoing
Director of the
achieved with
responsibilities”
Office of Personnel
existing laws and
[§4(c)(3)]
Management, report
regulations
to the President on
governing executive
steps the executive
branch lobbying
branch can take to
disclosure”
expand to the
[§4(c)(iv)]
ful est extent
“provide an annual
practicable the
public report on the
revolving door ban
administration of
. . to al executive
the pledge and this
branch employees
order” [§4(c)(v)]
who are involved in
the procurement
“in consultation
process” [§4(d)]
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
ful est extent
practicable the
revolving door ban
. . [in] paragraph 5
. . to al 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” [§4(d)]
Re-signing
“A senior appointee
—
“An appointee who
—
Requirements
who has signed the
has signed the
senior appointee
pledge is not
pledge is not
required to sign the
required to sign the
pledge again upon
pledge again upon
appointment or
appointment to a
detail to a different
different office,
office, except that a
except that a
person who has
person who has
ceased to be an
ceased to be a
appointee, due to
Congressional Research Service

27

Ethics Pledges and Other Executive Branch Employee Restrictions

President Clinton
President Obama
President Trump
President Biden
Issue
(E.O. 12834)
(E.O. 13490)
(E.O. 13770)
(E.O. 13989)
senior appointee,
termination of
due to termination
employment in the
of employment in
executive branch or
the executive
otherwise, shal sign
branch or
the pledge prior to
otherwise, shal sign
thereafter assuming
the senior
office as an
appointee pledge
appointee” [§4(d)]
prior to thereafter
assuming office as a
senior appointee”
[§4(e)]
Trade Negotiations
Non-senior trade
—
—
—
negotiators only re-
sign if they leave
and reenter
government [§4(f)]
Enforcement
Instructions
Enforceable by “any
Enforceable by “any
Enforceable by “any
Enforceable by “any
legal y available
legal y available
legal y available
legal y available
means, including any means, including
means, including
means, including
or al of the
debarment
debarment
debarment
fol owing:
proceedings within
proceedings within
proceedings within
debarment
any affected
any affected
any affected
proceedings within
executive agency or
executive agency or
executive agency or
any affected
judicial civil
judicial civil
judicial civil
executive agency or
proceedings for
proceedings for
proceedings for
judicial civil
declaratory,
declaratory,
declaratory,
proceedings for
injunctive, or
injunctive, or
injunctive, or
declaratory,
monetary relief”
monetary relief”
monetary relief”
injunctive or
[§5(a)]
[§5(a)]
[§5(a)]
monetary relief”
[§5(a)]
Rules for Former
“Any former senior
Former appointee
Former appointee
Former appointee
Appointees
appointee or trade
“who is determined,
“who is determined,
“who is determined,
negotiator who is
after notice and
after notice and
after notice and
determined, after
hearing, by the duly
hearing by the duly
hearing, by the duly
notice and hearing
designated authority designated authority designated authority
. . to have violated
within any agency,
within any agency,
within any agency,
his or her pledge
to have violated his
to have violated his
to have violated his
not to lobby any
or her pledge may
or her pledge may
or her pledge may
officer or employee
be barred from
be barred from
be barred from
of that agency, or
lobbying any officer
engaging in lobbying
lobbying any officer
not to represent,
or employee of that
activities with
or employee of that
aid or advise a
agency for up to 5
respect to that
agency for up to 5
foreign entity
years in addition to
agency for up to 5
years in addition to
specified in the
the time period
years in addition to
the time period
pledge with the
covered by the
the 5-year time
covered by the
intent to influence
pledge” [§5(b]
period covered by
pledge” [§5(b)]
the official decision
“The Attorney
the pledge” [§5(b)]
“Head of every
of that agency, may
General or his or
“Head of every
executive agency
be barred from
her designee is
executive agency
shal , in consultation
lobbying any officer
authorized:”
shal , in consultation
with the Director of
or employee of that
with the Director of [OGE], establish
agency for up to five
[OGE], establish
procedures to
Congressional Research Service

28

Ethics Pledges and Other Executive Branch Employee Restrictions

President Clinton
President Obama
President Trump
President Biden
Issue
(E.O. 12834)
(E.O. 13490)
(E.O. 13770)
(E.O. 13989)
years in addition to
(1) to request an
procedure to
implement”
the five-year time
investigation from
implement”
enforcement [§5(b)]
period covered by
“any appropriate
enforcement [§5(b)] “The Attorney
the pledge” [§5(b)]
Federal investigative
“The Attorney
General is
authority” and
General or his or
authorized;”
(2) “to commence a
her designee is
civil action against
(1) to request “any
authorized:”
the former
appropriate Federal
employee in any
(1) to request an
investigative
United States
investigation from
authority to
District Court with
“any appropriate
conduct such
jurisdiction to
Federal investigative
investigations” and
consider the
authority” and
(2) “upon
matter” [§5(c)]
(2) “to commence a
determining that
“The Attorney
civil action on behalf there is a
General or his or
of the United States
reasonable basis to
her designee is
against the former
believe that a
authorized to
officer or
breach of a
request any and al
employee” if “there
commitment has
relief authorized by
is a reasonable basis
occurred or wil
law” [§5(d)]
to believe that a
occur, if not
breach of a
enjoined, to
commitment has
commence a civil
occurred or wil
action against the
occur or continue
former employee”
[to occur]” [§5(c)]
in the appropriate
district court [§5(c)]
Other
Repealed by E.O.
Repealed by E.O.
Repealed E.O.
—
13184 (December
13770 (January 28,
13490 [§6[a)]
28, 2000),
2017),
Repealed by E.O.
66 FR 697
82 FR 9333
13983
86 FR 6835
Source: CRS Analysis of E.O. 12834, E.O. 13490, E.O. 13770, and E.O. 13989.

Author Information

Jacob R. Straus

Specialist on the Congress

Acknowledgments
Amber Wilhelm and Mari Lee, Visual Information Specialists, provided the graphics for this report.
Congressional Research Service

29

Ethics Pledges and Other Executive Branch Employee Restrictions

Disclaimer
This document was prepared by the Congressional Research Service (CRS). CRS serves as nonpartisan
shared staff to congressional committees and Members of Congress. It operates solely at the behest of and
under the direction of Congress. Information in a CRS Report should n ot be relied upon for purposes other
than public understanding of information that has been provided by CRS to Members of Congress in
connection with CRS’s institutional role. CRS Reports, as a work of the United States Government, are not
subject to copyright protection in the United States. Any CRS Report may be reproduced and distributed in
its entirety without permission from CRS. However, as a CRS Report may include copyrighted images or
material from a third party, you may need to obtain the permission of the copyright holder if you wish to
copy or otherwise use copyrighted material.

Congressional Research Service
R44974 · VERSION 4 · UPDATED
30

Download PDF

Download EPUB

Revision History

Feb. 23, 2021

HTML · PDF

Sep. 29, 2017

HTML · PDF

Metadata

Report Type: CRS Report

Source: CRSReports.Congress.gov, EveryCRSReport.com

Raw Metadata: JSON