OGE Seal
About OGE
Electronic Freedom of Information

Guide to FOIA & Public Records

This Guide describes the public information and official records of the U.S. Office of Government Ethics (OGE or Office). It also explains how you can seek access to various agency records, or copies of them. This guidance has been updated through January 9, 2002 and has been prepared in accordance with the Electronic Freedom of Information Act (FOIA) Amendments of 1996.

Description of OGE

The Office of Government Ethics is the supervising ethics office for the executive branch of the Federal Government. OGE provides advice and guidance to departments and agencies and their employees on Government ethics matters. The Office answers thousands of telephone calls every year on ethics issues and writes answers to dozens of questions. Each year, OGE publishes through the Government Printing Office some 20-30 of its more significant advisory letters in a redacted form (with identities deleted) for the guidance of agencies and the public. In addition, the Office writes regulations on financial disclosure, standards of ethical conduct, outside employment, financial interests, ethics training and post-Government employment restrictions. OGE also provides ethics training and produces educational brochures, videos and posters for the executive branch (see appendix 1). The Office provides desk officer assistance to departments and agency ethics offices and periodically reviews ethics programs throughout the executive branch. The Office has various organizational units, including an education and program services division, a financial disclosure division, a program review division, a legal office and an administration and management information resources office. See the OGE Overview brochure (see appendix 2).

Means of Access to OGE Records

One primary means of access to OGE records is through Freedom of Information Act (FOIA) requests, as described below. In addition, OGE and the agencies maintain a separate public disclosure system for Standard Form (SF) 278 Public Financial Disclosure Reports filed by high-level executive branch officials. The reports of Presidential appointees subject to Senate confirmation, designated agency ethics officials, and certain other officials are available from OGE directly by filing the appropriate access form, OGE Form 201. SF 278 reports of those officials and all other public filers are also available from the officials' own employing departments and agencies throughout the executive branch. These records are available, not under the FOIA, but the Ethics in Government Act of 1978 (5 U.S.C. appendix, § 105), subject to certain restrictions on use (including a general prohibition on commercial use, except for dissemination to the general public by news and communications media). The Ethics Act access procedures also apply to certain other "covered records" as explained on the OGE Form 201 access form, including certificates of divestiture and some qualified trust documents. Under a separate procedure requiring a simple request, OGE also makes available semiannual agency reports of gifts of travel from non-Federal sources under a special statutory provision, 31 U.S.C. § 1353. Moreover, OGE makes many information resources available online and by publications offered for sale.

OGE's Web Site & Other Information Resources

OGE now provides much important Government ethics information online on its Internet World Wide Web site, address: http://www.usoge.gov. OGE's published advisory letters mentioned above, guidance memoranda to agency ethics officials for the past several years, regulatory issuances, forms, and educational materials are all available without charge for viewing and downloading on OGE's Web site. In addition, OGE has available an ethics CD-ROM which is updated twice a year (see appendix 3). These materials are accessible electronically without the need to file a FOIA request. OGE also has an Ethics Information Center for ethics training and reference materials for use by department and agency ethics officials (see appendix 4).

Obtaining Records Through FOIA Requests

The Freedom of Information Act, 5 U.S.C. § 552, allows persons to request copies of records not normally prepared for public distribution or otherwise publicly available. The FOIA applies to existing records only and does not require agencies to create new records to comply with a request. It also does not require agencies to collect information they do not have or to do research or analyze data for a requester. Moreover, FOIA requests must be specific enough to permit an OGE employee who is familiar with the subject matter to locate records in a reasonable period of time.

Under the FOIA, certain records may be withheld in whole or in part from the requester if they fall within one of nine FOIA exemptions or certain exclusions. In some cases, OGE is able to provide copies of all of the records requested. However, in other instances, a portion or all of the information requested is sensitive and is therefore withheld as permitted under the FOIA. The five FOIA exemptions OGE most often relies upon for withholding information are:

Exemption 3: Protects information that is prohibited from disclosure by other laws, such as the limitation on access to SF 278 report information except pursuant to an appropriate Ethics Act request (see section 105 of the Ethics Act) and the confidentiality provision for OGE Form 450 Confidential Financial Disclosure Reports (see section 107 of the Ethics Act).

Exemption 4: Protects trade secrets and privileged or confidential commercial or financial information.

Exemption 5: Protects certain interagency and intra-agency predecisional deliberative communications.

Exemption 6: Protects information about individuals when disclosure would constitute a clearly unwarranted invasion of personal privacy.

Exemption 7: Protects records or information compiled for law enforcement purposes, if certain interests would be harmed by release, including when disclosure could reasonably be expected to interfere with enforcement proceedings or to constitute an unwarranted invasion of personal privacy.

In the event that OGE relies on one or more FOIA exemptions to deny a requester access to records, the response letter will so inform the requester. The letter will also notify the requester of the right to administratively appeal the initial denial determination to the OGE General Counsel.

How to Make an FOIA Request:

FOIA requests to OGE should generally be in writing (unless made in person) and include the requester's name, address and, preferably, telephone number. The request should reasonably describe the records being sought. OGE can respond to a request for specific records that are releasable to the public quicker than a request for "all information" on a particular subject. Also, any fees for a more specific and limited request are likely to be lower. A request should also contain a statement concerning willingness to pay fees, including any limitations. Unless otherwise stated, filing of a request is deemed to constitute an agreement by the requester to pay all fees up to $25.00.

OGE does not have a FOIA backlog and usually responds to requests within the 20 working days provided under the law. In appropriate circumstances, expedited processing can be requested. Each year, OGE receives an average of five or six dozen FOIA requests, including several administrative appeals.

The address for filing of a FOIA request with OGE is: OGE FOIA Officer, Office of Government Ethics, Suite 500, 1201 New York Avenue, NW., Washington, DC 20005-3917. OGE will also accept FOIA requests sent to its FAX number at 202-482-9237, but does not accept requests submitted via Internet E-mail.

Fees

FOIA requesters may have to pay fees covering some or all of the costs of processing their requests, unless the fees are waived or reduced. Requesters may want to include in their request letters the maximum dollar amount they are willing to pay (unless otherwise stated, filing of a request is deemed an agreement to pay all applicable fees up to $25.00). If the fees exceed the maximum amount stated, OGE will contact the requester before filling the request. Requesters are generally billed for fees after their requests have been processed (payment must be made before records are provided). However, if total fees are expected to exceed $250.00, or in the case of past nonpayment, OGE may require payment before processing the request. The fees for the various categories of requesters are as follows:

1. Commercial Use Requesters:

  • Search and review time: the salary rate of the employee(s) making the search or review plus 16% (or for homogeneous staff searches, $11.00 per hour for clerical staff and $22.00 per hour for professional staff).
  • Duplication: $0.15 per page.
  • Computer Charges: actual direct cost.
  • Electronic Forms/Formats: direct cost for form/format requested, plus any reproduction fees.
  • Special services such as certifications: actual direct cost.
  • Unproductive searches (no records or exempt records found): will be charged for in accordance with above noted rates.

    2. Educational and Noncommercial Scientific Institutions and News Media:

      Duplication charges at the same rates listed above, with no charge for first 100 pages of duplication (no search or review charges).

    3. All Other FOIA Requesters, Including Members of the Public:

      Search and duplication charges at rates listed above, with no charge for the first two hours of search time and the first 100 pages of duplication (no review charges).

    4. Ethics Act Requests for SF 278s & Other Covered Records:

      Duplication: $0.03 a page, plus mailing costs (no search or review charges).

Requesters should not send payment in with their requests, but rather wait until billed. They will be billed if the total processing charges exceed $10.00, unless the fees are waived (or reduced) pursuant to OGE's FOIA regulations. OGE does not accept credit card payments or cash. Instead, payment must be made by check or money order payable to the Treasury of the United States.

OGE's Annual FOIA Report

Copies of OGE's annual FOIA reports (starting with calendar year 1996) are available on this Office's Web site or by request from the OGE FOIA Officer at the above address (see appendix 5).

OGE also has available a general FOIA reading room facility, which is available by advance appointment by calling OGE at 202-482-9300. More specific information on FOIA exemptions, fees and other aspects of our FOIA program are contained in OGE's FOIA and Ethics Act fee regulations, codified at 5 C.F.R. part 2604 (see appendix 6).

Major Information and Record Locator Systems

Information on major OGE information systems maintained by OGE can be obtained by using OGE's Government Information Locator Service (GILS) site (see appendix 7). This information may be useful in narrowing a request.

FOIA Litigation

The FOIA provides a requester the right to bring a lawsuit against the agency in an appropriate Federal district court (in OGE's case in Washington, DC, or where the requester resides or does business) if a request is, after initial request and administrative appeal, denied in whole or in part or if the agency's FOIA determinations are otherwise reviewable. Thus far, OGE has been involved as a party in two FOIA lawsuits. In both cases OGE's FOIA determinations were upheld. See Judicial Watch, Inc. v. Clinton, 76 F.3d 1232 (D.C. Cir. 1996), affirming 880 F. Supp. 1 (D.D.C. 1995) (secondary FOIA count -- OGE's partial withholding of documents and determination that some documents were personal, not agency, records found to have been proper); and Schwarz v. OGE, No. 96-0594 (D.C. Cir., per curiam Order filed Oct. 23, 1996), affirming No. 96CV00528 (D.D.C., Memorandum & Order filed Mar. 18, 1996) (case dismissed -- OGE had no responsive records). From time to time, OGE also advises and assists the Justice Department and other agencies in FOIA litigation concerning ethics records of other agencies.


List of Appendixes

1. Forms, Publications and Other Ethics Documents, Videos and Software, Computer and Web-based Ethics Training, (PDF Files - see Note below)

2. Brochure: U.S. Office of Government Ethics (PDF File - see Note below)

3. Flyer: OGE's Ethics CD-ROM (PDF File - see Note below)

4. Flyer: OGE's Ethics Information Center (PDF File - see Note below)

5. OGE's Annual FOIA Reports (for calendar years 1996, Jan. - Sept. 1997 and fiscal years 1998, 1999 and 2000).

6. OGE's FOIA and Ethics Act fee regulations (5 C.F.R. part 2604).

7. OGE's Listing of Government Information Locator Service (GILS) Materials (information & record locator systems).


Annual FOIA Reports


Links to Other Official Documents


Note: The above documents are available from this Web site in Adobe Acrobat's PDF file format. To view and print the files will require the use of Adobe's Acrobat Viewing software. This software may be obtained free from Adobe's Web site. Instructions for using this software and technical support for this software is provided by Adobe. OGE does not supply any support for this product.