{ "id": "IN10721", "type": "CRS Insight", "typeId": "INSIGHTS", "number": "IN10721", "active": false, "source": "EveryCRSReport.com", "versions": [ { "source": "EveryCRSReport.com", "id": 462046, "date": "2017-06-19", "retrieved": "2019-05-03T16:24:29.992534", "title": "Office of Government Ethics: Role in Collecting and Making Ethics Waivers Public", "summary": "On April 28, 2017, the Office of Government Ethics (OGE) issued a program advisory (PA-17-02) to request data on the issuance of certain waivers and authorizations from executive branch agencies, including the Executive Office of the President (EOP). OGE requested documentation for all waivers given to executive branch appointees between May 1, 2016, and April 30, 2017, under five authorities: Executive Order (E.O.) 13770, E.O. 13490, 18 U.S.C. \u00a7208(b)(1), 5 C.F.R. \u00a72635.502(d), and 5 C.F.R. \u00a72635.503(c). The data were due to OGE by June 1, 2017. One hundred thirty five of 136 executive branch agencies, and also the EOP and the Office of the Vice President, either provided OGE data or released data on their websites.\nOGE Authority\nPursuant to the Ethics in Government Act, OGE is vested with providing \u201coverall direction of executive branch policies related to preventing conflicts of interest.\u201d In this role, OGE works to ensure that conflicts of interest are mitigated and that the integrity of the executive branch and its employees is maintained. Additionally, OGE periodically issues regulations (5 C.F.R. \u00a7\u00a72600-2699) and is required to interpret and provide guidance for E.O. 13770, President Trump\u2019s ethics pledge.\nWaiver Provisions\nOGE requested data on waivers issued under five authorities. These authorities are as follows: \nExecutive Order 13770 was issued by President Donald J. Trump on January 28, 2017. E.O. 13770 revoked and replaced a similar order issued by President Obama, creating a new ethics pledge for executive branch appointments made on or after January 20, 2017. The President or his designee can issue waivers to E.O. 13770. On May 31, 2017, the White House released a list of waiver certifications for the White House Office, a component of the EOP.\nExecutive Order 13490 was issued by President Barack Obama on January 21, 2009. E.O. 13490 created an ethics pledge for all executive branch appointments made on or after January 20, 2009. The Director of the Office of Management and Budget (OMB), in consultation with the Counsel to the President, could issue waivers to E.O. 13490. Waivers issued under E.O. 13490 were posted by OGE to its website.\n18 U.S.C. \u00a7208(b)(1) is the waiver provision of 18 U.S.C. \u00a7208, \u201cthe basic criminal conflict of interest statute,\u201d which \u201cprohibits an executive branch employee from participating personally and substantially in a particular Government matter that will affect his own financial interests.\u201d\n5 C.F.R. \u00a72635.502(d) is the waiver provision of 5 C.F.R. \u00a72635.502. It allows an agency to authorize an employee to participate in a particular matter \u201cwhere an employee\u2019s participation ... would not violate 18 U.S.C. \u00a7208(a), but would raise a question in the mind of a reasonable person about his impartiality.\u201d\n5 C.F.R. \u00a72635.503(c) is the waiver provision of 5 C.F.R. \u00a72635.503. It covers employees who receive \u201cextraordinary payments\u201d from former employers\u2014payments in excess of $10,000 from a former employer prior to the employee entering federal service. That employee would then be barred \u201cfrom participating for two years in matters in which that former employer is a party or represents a party.\u201d\nFor a legal analysis of ethics issues for individuals entering government, see CRS Report RL31822, Entering the Executive Branch of Government: Potential Conflicts of Interest with Previous Employments and Affiliations, coordinated by Cynthia Brown.\nWaiver Data\nOn June 7, 2017, OGE released data on the number of waivers issued by executive branch agencies between May 1, 2016, and April 30, 2017. OGE reported that 135 of 136 executive branch agencies responded to the data request (the Harry S. Truman Scholarship Foundation reportedly did not respond). Additionally, the White House posted E.O. 13770 waiver information on its website for the EOP and the Office of the Vice President. Of the 136 total responding agencies, 126 agencies reported that they did not provide any waivers, and 10 agencies issued at least one waiver. Table 1 reports the agencies that issued waivers and the number of each type of wavier issued. Data for the White House may not be readily comparable across administrations, given that the data span the end of the Obama Administration and the beginning of the Trump Administration, and also cover different time durations.\nTable 1. Executive Branch Ethics Waivers Issued Between May 1, 2016, and April 30, 2017\nAgency\nE.O. 13770\nE.O. 13490\n18 U.S.C. \u00a7208(b)(1)\n5 C.F.R. \u00a72635.503(c)\n5 C.F.R. \u00a72635.502(d)\n\nDepartment of Health and Human Services\n1\n0\n1\n0\n4\n\nDepartment of Homeland Security\n1\n0\n0\n0\n1\n\nDepartment of Justicea\n0\n4\n1\n0\n13\n\nDepartment of State\n1\n1\n1\n0\n6\n\nDepartment of the Treasury\n2\n0\n0\n0\n3\n\nPeace Corps\n0\n0\n0\n0\n2\n\nSecurities and Exchange Commission\n0\n0\n0\n0\n2\n\nWhite House Total\n8\n0\n5\n1\n2\n\nWhite House (Obama)\nN/A\n0\n1\n0\n0\n\nWhite House, including Office of the Vice President (Trump)b\n8\nN/A\n4\n1\n2\n\nTotal\n13\n5\n8\n1\n33\n\nSource: CRS analysis of Office of Government Ethics (OGE), \u201cCertain Waivers and Authorizations issued between May 1, 2016-April 30, 2017\u201d; and U.S. President (Trump), \u201cWaiver Certification for WHO/OVP Employees.\u201d\nNotes: Waivers provided by President Obama\u2019s White House include only those issued between May 1, 2016, and January 20, 2017. Consequently, this table does not provide a complete list of waivers issued by President Obama to White House staff. For a full list of Obama White House waivers granted pursuant to E.O. 13490, see OGE\u2019s page on Executive Branch Agency Ethics Pledge Waivers.\nOne authorization/waiver issued by the Department of Justice was issued for two people. \nThe White House also reported that waivers to E.O. 13770, paragraph 6, were provided to all EOP appointees, all White House Office (WHO) employees, and all former Jones Day employees working in the executive branch. Paragraph 6 reads, \u201cI will not for a period of 2 years from the date of my appointment participate in any particular matter involving specific parties that is directly and substantially related to my former employer or former clients, including regulations and contacts.\u201d \nTo access copies of specific waivers, see OGE\u2019s web page for instructions.\nFor more information on OGE, see CRS In Focus IF10634, Office of Government Ethics: A Primer, by Jacob R. Straus.", "type": "CRS Insight", "typeId": "INSIGHTS", "active": false, "formats": [ { "format": "HTML", "encoding": "utf-8", "url": "https://www.crs.gov/Reports/IN10721", "sha1": "ee367ecd13f57116091eaaee2b65eec4de4328d0", "filename": "files/20170619_IN10721_ee367ecd13f57116091eaaee2b65eec4de4328d0.html", "images": {} } ], "topics": [ { "source": "IBCList", "id": 4876, "name": "Government Ethics & Lobbying" } ] } ], "topics": [ "American Law", "CRS Insights" ] }