United States Office of Government Ethics, Preventing Conflicts of Interest in the Executive Branch

Certain Waivers and Authorizations issued between May 1, 2016 - April 30, 2017
June 2, 2017

Page Last Updated: 09/13/2017

On September 13, 2017, OGE issued a report on the results of its evaluation of certain waivers and authorizations issued by executive branch agencies, as reported to OGE in response to OGE Program Advisory PA-17-02. Read the report here.

Background

On April 28, 2017, OGE issued a directive (PA-17-02) requiring agencies to submit information and records related to certain waivers and authorizations issued to a specified class of appointees during the period from May 1, 2016 through April 30, 2017. The documents and information subject to this directive are necessary for the performance of the duties of OGE's Director and in furtherance of OGE's mission with respect to the executive branch ethics program.

The deadline for submitting responsive documents and information was Thursday, June 1, 2017, with respect to all appointees who were stationed in the United States when the waiver or authorization was issued or approved. The deadline for submitting responsive documents and information was Tuesday, August 1, 2017, with respect to all appointees who were stationed outside the United States when the waiver or authorization was issued or approved.

OGE will update this page periodically to reflect future submissions.

The table below provides the name of each agency that was required to respond to the directive. The table also indicates the date of each agency’s response and lists what responsive documents were  submitted.

Instructions for how to obtain responsive documents

By law, OGE is required to process requests for the responsive documents according to the release requirements associated with each type of document.

  • To file a request, complete the OGE Form 201. In Box 5, enter the following description: “All 18 U.S.C. § 208(b)(1) waivers related to PA-17-02.” Then email a PDF copy of the completed form to 201Forms@oge.gov. If you would like to receive OGE’s response via email, please be sure to include your email address in the body of your email. (If you are unable send the form by email, you may send it to OGE via Regular Mail at U.S. Office of Government Ethics, 1201 New York Avenue, NW, Suite 500, Washington DC 20005-3917.)
  • To obtain the remaining responsive documents (waivers issued under Executive Order 13770, and authorizations issued under 5 C.F.R. § 2635.502(d) and 5 C.F.R. § 2635.503(c)), click here or visit OGE’s Electronic Reading Room where the documents have been released under the Freedom of Information Act.
  • Responsive documents released by the White House Office were posted online on Wednesday afternoon. They can be accessed by clicking here. (Note that the names in the far left column are hyperlinked to the waivers and authorizations.)
  • You can also view waivers issued under Executive Order 13490 here.

Agency Responses

Agency

Response Date

Responsive Record(s)

Access Board

5/19/2017

No responsive records

Administrative Conference of the United States

5/25/2017

No responsive records

Advisory Council on Historic Preservation

5/24/2017

No responsive records

African Development Foundation

5/17/2017

No responsive records

American Battle Monuments Commission

5/18/2017

No responsive records

Appalachian Regional Commission

5/22/2017

No responsive records

Appraisal Subcommittee

5/24/2017

No responsive records

Arctic Research Commission

5/31/2017

No responsive records

Armed Forces Retirement Home

6/2/2017

No responsive records

Armed Services Board Of Contract Appeals

5/19/2017

No responsive records

Barry Goldwater Scholarship & Excellence In Education Foundation

5/31/2017

No responsive records

Broadcasting Board Of Governors

6/1/2017

No responsive records

Central Intelligence Agency

5/4/2017

No responsive records

Chemical Safety And Hazard Investigation Board

5/31/2017

No responsive records

Commission For The Preservation Of America's Heritage Abroad

5/31/2017

No responsive records

Commission of Fine Arts

5/24/2017

No responsive records

Commission On Civil Rights

5/31/2017

No responsive records

Commission on Evidence-Based Policymaking

5/31/2017

No responsive records

Committee For Purchase From People Blind Or Severely Disabled (operating as U.S. AbilityOne Commission)

6/1/2017

No responsive records

Commodity Futures Trading Commission

5/22/2017

No responsive records

Consumer Financial Protection Bureau

5/30/2017

No responsive records

Consumer Product Safety Commission

5/18/2017

No responsive records

Corporation for National and Community Service

5/18/2017

No responsive records

Council of Economic Advisors (EOP)

5/31/2017

No responsive records

Council of Inspectors General on Integrity and Efficiency

5/25/2017

No responsive records

Council On Environmental Quality (EOP)

6/1/2017

No responsive records

Court Services & Offender Supervision Agency For DC

5/24/2017

No responsive records

Defense Commissary Agency

5/31/2017

No responsive records

Defense Contract Audit Agency

5/31/2017

No responsive records

Defense Finance And Accounting Service

5/31/2017

No responsive records

Defense Information Systems Agency

5/31/2017

No responsive records

Defense Intelligence Agency

5/30/2017

No responsive records

Defense Logistics Agency

5/31/2017

No responsive records

Defense Nuclear Facilities Safety Board

5/25/2017

No responsive records

Defense Security Service

5/1/2017

No responsive records

Defense Threat Reduction Agency

5/11/2017

No responsive records

Denali Commission

6/1/2017

No responsive records

Department Of Agriculture

5/23/2017

No responsive records

Department Of Commerce

5/30/2017

No responsive records

Department Of Defense

5/31/2017

No responsive records

Department Of Defense/Office Of The Inspector General

5/25/2017

No responsive records

Department of Education

5/30/2017

No responsive records

Department Of Energy

5/1/2017

No responsive records

Department of Health And Human Services

5/31/2017

Responsive Records (1 Waiver issued under Executive Order 13770; 1 Waiver issued under 18 U.S.C. § 208(b)(1); 4 Authorizations issued under 5 C.F.R. § 2635.502(d))

Department Of Homeland Security

6/1/2017

Responsive Records (1 Waiver issued under Executive Order 13770; 1 Authorization issued under 5 C.F.R. § 2635.502(d))

Department Of Housing And Urban Development

5/25/2017

No responsive records

Department Of Justice

6/1/2017

Responsive Records (4 Waivers issued under Executive Order 13490; 1 Waiver issued under 18 U.S.C. § 208(b)(1); 13* Authorizations issued under 5 C.F.R. § 2635.502(d)) *One authorization was issued to two people.

Department Of Labor

5/30/2017

No responsive records

Department of State

5/31/2017

Responsive Records (1 Waiver issued under Executive Order 13770; 1 Waiver issued under Executive Order 13490; 1 Waiver issued under 18 U.S.C. § 208(b)(1); 6 Authorizations issued under 5 C.F.R. § 2635.502(d))

Department Of The Air Force

5/5/2017

No responsive records

Department Of The Army

5/17/2017

No responsive records

Department Of The Interior

5/19/2017

No responsive records

Department Of The Navy

5/30/2017

No responsive records

Department Of The Treasury

6/1/2017

Responsive Records (2 Waivers issued under Executive Order 13770; 
3 Authorizations issued under 5 C.F.R. § 2635.502(d))

Department Of Transportation

6/1/2017

No responsive records

Department Of Veterans Affairs

5/22/2017

No responsive records

Election Assistance Commission

5/31/2017

No responsive records

Environmental Protection Agency

5/18/2017

No responsive records

Equal Employment Opportunity Commission

5/4/2017

No responsive records

Export-Import Bank Of The United States

5/30/2017

No responsive records

Farm Credit Administration

5/4/2017

No responsive records

Federal Communications Commission

5/8/2017

No responsive records

Federal Deposit Insurance Corporation

5/17/2017

No responsive records

Federal Election Commission

5/25/2017

No responsive records

Federal Energy Regulatory Commission

5/30/2017

No responsive records

Federal Housing Finance Agency

5/22/2017

No responsive records

Federal Labor Relations Authority

5/18/2017

No responsive records

Federal Maritime Commission

5/30/2017

No responsive records

Federal Mediation And Conciliation Service

5/3/2017

No responsive records

Federal Mine Safety And Health Review Commission

5/19/2017

No responsive records

Federal Reserve System Board Of Governors

5/18/2017

No responsive records

Federal Retirement Thrift Investment Board

5/30/2017

No responsive records

Federal Trade Commission

5/2/2017

No responsive records

General Services Administration

5/31/2017

No responsive records

Gulf Coast Ecosystem Restoration Council

5/17/2017

No responsive records

Harry S. Truman Scholarship Foundation

6/21/2017

 No responsive records

Institute of Museum and Library Services

5/19/2017

No responsive records

Interagency Council on Homelessness

5/31/2017

No responsive records

Inter-American Foundation

5/19/2017

No responsive records

International Boundary And Water Commission

5/25/2017

No responsive records

International Joint Commission

6/1/2017

No responsive records

International Trade Commission

5/16/2017

No responsive records

James Madison Memorial Fellowship Foundation

6/1/2017

No responsive records

Japan-U.S. Friendship Commission

5/30/2017

No responsive records

Marine Mammal Commission

5/30/2017

No responsive records

Merit Systems Protection Board

5/19/2017

No responsive records

Millennium Challenge Corporation

5/31/2017

No responsive records

Morris K. Udall Foundation

5/2/2017

No responsive records

National Aeronautics And Space Administration

6/1/2017

No responsive records

National Archives And Records Administration

5/1/2017

No responsive records

National Capital Planning Commission

5/30/2017

No responsive records

National Credit Union Administration

6/1/2017

No responsive records

National Endowment For The Arts

5/24/2017

No responsive records

National Endowment For The Humanities

5/11/2017

No responsive records

National Geospatial-Intelligence Agency

5/30/2017

No responsive records

National Labor Relations Board

5/5/2017

No responsive records

National Mediation Board

5/19/2017

No responsive records

National Science Foundation

5/19/2017

No responsive records

National Security Agency

5/31/2017

No responsive records

National Security Council (EOP)

6/1/2017

No responsive records

National Transportation Safety Board

5/30/2017

No responsive records

Northern Border Regional Commission

6/1/2017

No responsive records

Nuclear Regulatory Commission

5/22/2017

No responsive records

Nuclear Waste Technical Review Board

5/24/2017

No responsive records

Occupational Safety And Health Review Commission

5/31/2017

No responsive records

Office Of Administration (EOP)

5/26/207

No responsive records

Office of Government Ethics

5/23/2017

No responsive records

Office Of Management And Budget (EOP)

5/26/2017

No responsive records

Office Of National Drug Control Policy (EOP)

5/18/2017

No responsive records

Office of Navajo and Hopi Indian Relocation

5/16/2017

No responsive records

Office of Personnel Management

5/10/2017

No responsive records

Office Of Science & Technology Policy (EOP)

5/1/2017

No responsive records

Office Of Special Counsel

5/19/2017

No responsive records

Office Of The Director Of National Intelligence

5/4/2017

No responsive records

Office Of The US Trade Representative

5/1/2017

No responsive records

Office Of The Vice President

5/31/2017

Responsive Records (https://www.whitehouse.gov/sites/whitehouse.gov/files/Waiver%20Chart%205-31-17.pdf)

Overseas Private Investment Corporation

5/17/2017

No responsive records

Peace Corps

6/1/2017

Responsive Records (2 Authorizations issued under 5 C.F.R. § 2635.502(d))

Pension Benefit Guaranty Corporation

5/31/2017

No responsive records

Postal Regulatory Commission

5/31/2017

No responsive records

Postal Service

5/30/2017

No responsive records

Presidio Trust

5/19/2017

No responsive records

Privacy and Civil Liberties Oversight Board

5/1/2017

No responsive records

Railroad Retirement Board

5/1/2017

No responsive records

Securities And Exchange Commission

5/31/2017

Responsive Records (2 Authorizations issued under 5 C.F.R. § 2635.502(d))

Selective Service System

5/30/2017

No responsive records

Small Business Administration

5/1/2017

No responsive records

Social Security Administration

5/30/2017

No responsive records

Special Inspector General For Afghanistan Reconstruction

5/18/2017

No responsive records

Surface Transportation Board

5/23/2017

No responsive records

Tennessee Valley Authority

5/19/2017

No responsive records

U.S. Agency for International Development

5/31/2017

No responsive records

U.S. Trade and Development Agency

5/4/2017

No responsive records

Uniformed Services University of the Health Sciences

5/31/2017

No responsive records

Vietnam Education Foundation

5/30/2017

No responsive records

White House Office (Trump)

5/31/2017

Responsive Records (https://www.whitehouse.gov/sites/whitehouse.gov/files/Waiver%20Chart%205-31-17.pdf)

White House Office (Obama)

 

Responsive Record* (1 Waiver issued under 18 U.S.C. § 208(b)(1) )  *Response reflects records that were previously submitted to OGE

 

What are waivers and authorizations and why are they issued?

Waivers issued or approved under 18 U.S.C. § 208(b)(1)

18 U.S.C. § 208 requires an employee to be disqualified ("recused") from a particular matter if it would have a direct and predictable effect on the employee's own financial interests or on certain financial interests that are treated as the employee's own, such as those of the employee's spouse or a prospective employer. There are a number of ways to deal with a financial conflict of interest under 18 U.S.C. § 208, including a waiver. An authorized official may grant an individual waiver to the employee. In general, an agency will consider granting a waiver only if an exemption does not remedy the conflict of interest and neither recusal nor divestiture are reasonable options. For example, recusal may not be a reasonable option if the work cannot be readily assigned to another employee, and divestiture may not be a reasonable option if the conflicting property is in a trust or limited partnership. OGE has published guidance concerning waivers in Subpart C of 5 C.F.R. part 2640.

Authorizations issued or approved under 5 C.F.R. § 2635.502(d) and 5 C.F.R. § 2635.503(c)

There may be circumstances in which an employee should not perform official duties in order to avoid an appearance of loss of impartiality. Subpart E of the Standards of Conduct contains two disqualification provisions, 5 C.F.R. §§ 2635.502(d) and .503(c) addressing such  appearance issues and providing procedures by which an employee may be authorized to participate in such matters when it serves the employing agency's interests.

Ethics Pledge Waivers

Two recent executive orders require certain political appointees to sign an ethics pledge imposing restrictions related to lobbying activities. Both executive orders allow for waivers of these restrictions to be issued in appropriate circumstances, as described below.

Waivers issued or approved under Executive Order 13770

Under section 3 of Executive Order 13770, (a) The President or his designee may grant to any person a waiver of any restrictions contained in the pledge signed by such person. (b) A waiver shall take effect when the certification is signed by the President or his designee. (c) A copy of the waiver certification shall be furnished to the person covered by the waiver and provided to the head of the agency in which that person is or was appointed to serve.

Waivers issued or approved under Executive Order 13490

Under section 3 of Executive Order 13490, the Director of the Office of Management and Budget, or his or her designee, in consultation with the Counsel to the President or his or her designee, may grant to any current or former appointee a written waiver of any restrictions contained in the pledge signed by such appointee if, and to the extent that, the Director of the Office of Management and Budget, or his or her designee, certifies in writing (i) that the literal application of the restriction is inconsistent with the purposes of the restriction, or (ii) that it is in the public interest to grant the waiver. A waiver shall take effect when the certification is signed by the Director of the Office of Management and Budget or his or her designee. (The authority to grant waivers was delegated to Designated Agency Ethics Officials, per DO-09-008)

(b) The public interest shall include, but not be limited to, exigent circumstances relating to national security or to the economy. De minimis contact with an executive agency shall be cause for a waiver of the restrictions contained in paragraph 3 of the pledge.