U.S. Office of Government Ethics Fiscal Year 2008 Annual Freedom
of Information Act Report [01/22/09]
I. Basic Information Regarding Report
1. OGE’s contact person for
questions about this OGE Annual FOIA Report for Fiscal Year 2008 (10/01/07-09/30/08):
William E. Gressman, OGE FOIA Officer, Office of Government Ethics, Suite 500,
1201 New York Avenue, NW., Washington, DC 20005-3917, Tel: 202-482-9245; TDD:
202-482-9293; FAX: 202-482-9237; E-mail: usoge@oge.gov.
2. The electronic link for
access to this Report in the FOIA section of OGE’s Internet Website is: http://www.usoge.gov.
3. A copy of this Report in paper form
can be obtained by downloading it from OGE’s Website (see Section I.2. above)
or by requesting a copy from OGE’s contact person (see Section I.1. above).
II. MAKING
A FOIA REQUEST
1. As a small agency, OGE handles all
FOIA requests at the agency level by submission to its contact person (see
Section I.1. above); OGE does not have any separate agency components that
receive FOIA requests, and this Report just shows information for OGE overall.
2. After searching, OGE at times does
not locate any responsive records. Moreover, some requests are not granted in
full or in part because access is sought to records containing exempt personal
information, including personal financial information, or records constituting
predecisional deliberative process material. OGE does not have general
categories of the agency’s records to which the FOIA exemptions apply.
III. Acronyms,
Definitions, AND EXEMPTIONS
1. The following agency-specific acronyms are used
in this Report.
a. FOIA – Freedom of
Information Act (5 U.S.C.
§ 552).
b. FY – Fiscal Year.
c. OGE – Office of Government
Ethics.
d. PA – Privacy Act (5 U.S.C. § 552a).
2. The following definitions of terms are used in
this Report:
a. Administrative Appeal – a
request to a federal agency asking that it review at a higher administrative
level a FOIA determination made by the agency at the initial request level.
b. Average Number – the number
obtained by dividing the sum of a group of numbers by the quantity of numbers
in the group. For example, of 3, 7, and 14, the average number is 8.
c. Backlog – the number of requests
or administrative appeals that are pending at an agency at the end of the
fiscal year that are beyond the statutory time period for a response.
d. Component – for agencies
that process requests on a decentralized basis, a “component” is an entity,
also sometimes referred to as an Office, Division, Bureau, Center, or
Directorate, within the agency that processes FOIA requests. The FOIA now
requires that agencies include in their Annual FOIA Report data for both the
agency overall and for each principal component of the agency. As
noted, as a small agency, OGE does not have any FOIA components, and so the
information provided in this report is just for OGE overall.
e. Consultation – the procedure
whereby the agency responding to a FOIA request first forwards a record to
another agency for its review because that other agency has an interest in the
document. Once the agency in receipt of the consultation finishes its review
of the record, it responds back to the agency that forwarded it. That agency,
in turn, will then respond to the FOIA requester.
f. Exemption 3 Statute – a
federal statute that exempts information from disclosure and which the agency
relies on to withhold information under subsection (b)(3) of the FOIA.
g. FOIA Request – a FOIA
request is generally a request to a federal agency for access to records concerning
another person (i.e., a “third-party” request), or concerning an organization,
or a particular topic of interest. FOIA requests also include requests made by
requesters seeking records concerning themselves (i.e., “first-party” requests)
when those requesters are not subject to the Privacy Act, such as non-U.S. citizens.
Moreover, because all first-party requesters should be afforded the benefit of
both the access provisions of the FOIA as well as those of the Privacy Act,
FOIA requests also include any first-party requests where an agency determines
that it must search beyond its Privacy Act “systems of records” or where a
Privacy Act exemption applies, and the agency looks to FOIA to afford the
greatest possible access. All requests which require the agency to utilize the
FOIA in responding to the requester are included in this Report. Additionally, a FOIA request
includes records referred to the agency for processing and direct response to
the requester. It does not, however, include records for which the agency has
received a consultation from another agency. (Consultations are reported
separately in Section XII of this Report.)
h. Full Grant – an OGE decision
to disclose all records in full in response to a FOIA request.
i. Full Denial – an OGE
decision not to release any records in response to a FOIA request because the
records are exempt in their entireties under one or more of the FOIA exemptions,
or because of a procedural reason, such as when no records could be located.
j. Median Number – the middle,
not average, number. For example, of 3, 7, and 14, the median number is 7.
k. Multi-Track Processing – a
system in which simple requests requiring relatively minimal review are placed
in one processing track and more voluminous and complex requests are placed in
one or more other tracks. Requests granted expedited processing are placed in
yet another track. Requests in each track are processed on a first in/first
out basis.
i. Expedited
Processing – an agency will process a FOIA request on an expedited basis
when a requester satisfies the requirements for expedited processing as set
forth in the statute and in agency regulations.
ii. Simple Request
– a FOIA request that an agency using multi-track processing places in its
fastest (non-expedited) track based on the low volume and/or simplicity of the records
requested.
iii. Complex Request
– a FOIA request that an agency using multi-track processing places in a slower
track based on the high volume and/or complexity of the records requested.
l. Partial Grant/Partial Denial
– in response to a FOIA request, an agency decision to disclose portions of the
records and to withhold other portions that are exempt under the FOIA, or to
otherwise deny a portion of the request for a procedural reason.
m. Pending Request or Pending
Administrative Appeal – a request or administrative appeal for which an
agency has not taken final action in all respects.
n. Perfected Request – a
request for records which reasonably describes such records and is made in
accordance with published rules stating the time, place, fees (if any) and procedures
to be followed.
o. Processed Request or Processed
Administrative Appeal – a request or administrative appeal for which an
agency has taken final action in all respects.
p. Range in Number of Days –
the lowest and highest number of days to process requests or administrative
appeals.
q. Time Limits – the time
period in the statute for an agency to respond to a FOIA request (ordinarily
twenty working days from receipt of a perfected FOIA request).
3. The following are concise
descriptions of the nine FOIA exemptions:
a. Exemption 1: classified
national defense and foreign relations information
b. Exemption 2: internal
agency rules and practices
c. Exemption 3: information
that is prohibited from disclosure by another federal law
d. Exemption 4: trade secrets
and other confidential business information
e. Exemption 5: inter-agency
or intra-agency communications that are protected by legal privileges
f. Exemption 6: information
involving matters of personal privacy
g. Exemption 7: records or
information compiled for law enforcement purposes, to the extent that the
production of those records (A) could reasonably be expected to interfere with
enforcement proceedings, (B) would deprive a person of a right to a fair trial
or an impartial adjudication, (C) could reasonably be expected to constitute an
unwarranted invasion of personal privacy, (D) could reasonably be expected to
disclose the identity of a confidential source, (E) would disclose techniques
and procedures for law enforcement investigations or prosecutions, or would
disclose guidelines for law enforcement investigations or prosecutions, or (F)
could reasonably be expected to endanger the life or physical safety of any
individual
h. Exemption 8: information
relating to the supervision of financial institutions
i. Exemption 9: geological information on wells
IV. Exemption
3 Statutes
A. Exemption 3 Statutes Relied upon to Withhold Information
|
Statute |
Type of Information Withheld |
Case Citation |
Total Number of Times Relied upon by Agency |
|
None |
N/A |
N/A |
N/A |
V. FOIA REQUESTS
A. Received, Processed and Pending FOIA
Requests
|
|
Number of Requests Pending as of Start of Fiscal Year |
Number of Requests Received in Fiscal Year |
Number of Requests Processed in Fiscal Year |
Number of Requests Pending as of End of Fiscal Year |
|
OGE OVERALL |
1 |
44 |
42 |
3 |
B.(1) Disposition of FOIA Requests -- All Processed Requests
|
|
Number of Full Grants |
Number of Partial Grants/Partial Denials |
Number of Full Denials Based on Exemptions |
Number of Full Denials Based on Reasons Other Than Exemptions (see + chart below) |
Total |
|
OGE OVERALL |
8 |
6 |
0 |
28 |
42 |
|
+ Full Denials -- Other Reasons |
No Records |
All Records Referred to Another Component or Agency |
Request Withdrawn |
Fee-Related Reason |
Records not Reasonably Described |
Improper FOIA Request for Other Reason |
Not Agency Record |
Duplicate Request |
Other
*Explain in Chart Below |
|
OGE OVERALL |
24 |
2 |
0 |
0 |
2 |
0 |
0 |
0 |
0 |
B.(2) Disposition of FOIA Requests -- “Other” Reasons for “Full Denials Based on Reasons Other than Exemptions” from Section V.B.(1) Chart
|
|
* Description of “Other” Reasons for Denials from Chart B.(1) & Number of Times Those Reasons Were Relied Upon |
TOTAL |
|
OGE OVERALL |
N/A |
N/A |
|
B.(3) Disposition of FOIA Requests -- Number of Times Exemptions Applied
|
|
Ex. 1 |
Ex. 2 |
Ex. 3 |
Ex. 4 |
Ex. 5 |
Ex. 6 |
Ex. 7(A) |
Ex. 7(B) |
Ex. 7(C) |
Ex. 7(D) |
Ex. 7(E) |
Ex. 7(F) |
Ex. 8 |
Ex. 9 |
|
OGE OVERALL |
0 |
0 |
0 |
1 |
0 |
3 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS
OF FOIA REQUESTS
A. Received, Processed and Pending Administrative Appeals
|
Number of Appeals Pending as of the Start of Fiscal Year |
Numbers of Appeals Received in Fiscal Year |
Number of Appeals Processed in Fiscal Year |
Number of Appeals Pending as of End of Fiscal Year |
|
0 |
0 |
0 |
0 |
B. Disposition of Administrative Appeals -- All Processed Appeals
|
Number Affirmed on Appeal |
Number Partially Affirmed & Partially Reversed/Remanded on Appeal |
Number Completely Reversed/Remanded on Appeal |
Number of Appeals Closed for Other Reasons |
TOTAL |
|
0 |
0 |
0 |
0 |
0 |
C.(1) Reasons for Denial on Appeal -- Number of Times Exemptions Applied
|
Ex. 1 |
Ex. 2 |
Ex. 3 |
Ex. 4 |
Ex. 5 |
Ex. 6 |
Ex. 7(A) |
Ex. 7(B) |
Ex. 7(C) |
Ex. 7(D) |
Ex. 7(E) |
Ex. 7(F) |
Ex. 8 |
Ex. 9 |
|
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
C.(2) Reasons for Denial on Appeal -- Reasons Other Than Exemptions
|
No Records |
Records Referred at Initial Request Level |
Request Withdrawn |
Fee-Related Reason |
Records not Reasonably Described |
Improper Request for Other Reasons |
Not Agency Record |
Duplicate Request or Appeal |
Request in Litigation |
Appeal Based Solely on Denial of Request for Expedited Processing |
Other
*Explain in Chart Below |
|
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
C.(3) Reasons for Denial on Appeal -- “Other” Reasons from Section VI.C.(2) Chart
|
* Description of “Other” Reasons for Denials from Chart C.(1) & Number of Times Those Reasons Were Relied Upon |
TOTAL |
|
N/A |
N/A |
C.(4) Response Time for Administrative Appeals
|
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
|
N/A |
N/A |
N/A |
N/A |
C.(5) Ten Oldest Pending Administrative Appeals
|
|
10th Oldest Appeal |
9th |
8th |
7th |
6th |
5th |
4th |
3rd |
2nd |
Oldest Appeal |
|
Date of Receipt of Ten Oldest Appeals |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
|
Number of Days Pending |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND
PENDING REQUESTS
A. Processed Requests -- Response Time for All Processed Perfected Requests
|
|
SIMPLE |
COMPLEX |
EXPEDITED PROCESSING |
|||||||||
|
|
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
|
OGE OVERALL |
12.5 |
11.0 |
1 |
30 |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
B. Processed Requests -- Response Time for Perfected Requests in Which Information Was Granted
|
|
SIMPLE |
COMPLEX |
EXPEDITED PROCESSING |
|||||||||
|
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
|
|
OGE OVERALL |
14.0 |
10.0 |
1 |
30 |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
C. Processed Requests -- Response Time in Day Increments
Simple Requests
|
|
1-20 Days |
21-40 Days |
41-60 Days |
61-80 Days |
81-100 Days |
101-120 Days |
121-140 Days |
141-160 Days |
161-180 Days |
181-200 Days |
201-300 Days |
301-400 Days |
401+ Days |
TOTAL |
|
OGE OVERALL |
41 |
1 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
42 |
Complex Requests
|
|
1-20 Days |
21-40 Days |
41-60 Days |
61-80 Days |
81-100 Days |
101-120 Days |
121-140 Days |
141-160 Days |
161-180 Days |
181-200 Days |
201-300 Days |
301-400 Days |
401+ Days |
TOTAL |
|
OGE OVERALL |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
Requests Granted Expedited Processing
|
|
1-20 Days |
21-40 Days |
41-60 Days |
61-80 Days |
81-100 Days |
101-120 Days |
121-140 Days |
141-160 Days |
161-180 Days |
181-200 Days |
201-300 Days |
301-400 Days |
401+ Days |
TOTAL |
|
OGE OVERALL |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
D. Pending Requests -- All Pending Perfected Requests
|
|
SIMPLE |
COMPLEX |
EXPEDITED PROCESSING |
||||||
|
Number Pending |
Median Number of Days |
Average Number of Days |
Number Pending |
Median Number of Days |
Average Number of Days |
Number Pending |
Median Number of Days |
Average Number of Days |
|
|
OGE OVERALL |
3 |
6.0 |
5.3 |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
E. Ten Oldest Pending Perfected Requests
|
OGE OVERALL
Rec’d Date:
Number of Days: |
10th Oldest Request and Number of Days Pending |
9th |
8th |
7th |
6th |
5th |
4th |
3rd |
2nd |
Oldest Request and Number of Days Pending |
|
N/A
N/A |
N/A
N/A |
N/A
N/A |
N/A
N/A |
N/A
N/A |
N/A
N/A |
N/A
N/A |
09/24/08
4 |
09/22/08
6 |
09/22/08
6 |
VIII. REQUESTS FOR EXEPEDITED PROCESSING AND REQUESTS
FOR FEE WAIVER
A. Requests for Expedited Processing
|
|
Number Granted |
Number Denied |
Median Number of Days to Adjudicate |
Average Number of Days to Adjudicate |
Number Adjudicated Within Ten Calendar Days |
|
OGE OVERALL |
N/A |
N/A |
N/A |
N/A |
N/A |
B. Requests for Fee Waiver
|
|
Number Granted |
Number Denied |
Median Number of Days to Adjudicate |
Average Number of Days to Adjudicate |
|
OGE OVERALL |
N/A |
N/A |
N/A |
N/A |
IX. FOIA PERSONNEL AND COSTS
|
|
PERSONNEL |
COSTS |
||||
|
Number of “Full-Time FOIA Employees” |
Number of Equivalent “Full-Time FOIA Employees” |
Total Number of “Full-Time FOIA Staff” |
Processing Costs |
Litigation-Related Costs |
Total Costs |
|
|
OGE OVERALL |
0 |
0.6 |
0.6 |
$65,000 |
$0 |
$65,000 |
X. FEES COLLECTED FOR PROCESSING REQUESTS
|
|
Total Amount of Fees Collected |
Percentage of Total Costs |
|
OGE OVERALL |
$0 |
0% |
XI. FOIA REGULATIONS
OGE’s FOIA regulations, including the fee schedule, are codified at 5 C.F.R. part 2604 [LINK].
XI. BACKLOGS, CONSULTATIONS, AND COMPARISONS
A. Backlogs of FOIA Requests and Administrative Appeals
|
|
Number of Backlogged Requests as of End of Fiscal Year |
Number of Backlogged Appeals as of End of Fiscal Year |
|
OGE OVERALL |
0 |
0 |
B. Consultations on FOIA Requests -- Received, Processed, and Pending Consultations
|
|
Number of Consultations Received from Other Agencies that Were Pending at OGE as of Start of the Fiscal Year |
Number of Consultations Received from Other Agencies During the Fiscal Year |
Number of Consultations Received from Other Agencies that Were Processed by OGE During the Fiscal Year |
Number of Consultations Received from Other Agencies that Were Pending at OGE as of End of the Fiscal Year |
|
OGE OVERALL |
0 |
0 |
0 |
0 |
E. Consultations on FOIA Requests -- Ten Oldest Consultations Received from Other Agencies and Pending at OGE
|
OGE Overall
Rec’d Date:
Number of Days: |
10th Oldest Consultation and Number of Days Pending |
9th |
8th |
7th |
6th |
5th |
4th |
3rd |
2nd |
Oldest Consultation and Number of Days Pending |
|
N/A
N/A |
N/A
N/A |
N/A
N/A |
N/A
N/A |
N/A
N/A |
N/A
N/A |
N/A
N/A |
N/A
N/A |
N/A
N/A |
N/A
N/A |
D. Comparison of Numbers of Requests from Previous and Current Annual Report -- Requests Received, Processed, and Backlogged
|
|
NUMBER OF REQUESTS RECEIVED |
NUMBER OF REQUESTS PROCESSED |
||
|
Number Received During Fiscal Year from Last Year’s Annual Report |
Number Received During Fiscal Year from Current Annual Report |
Number Processed During Fiscal Year from Last Year’s Annual Report s |
Number Processed During Fiscal Year from Current Annual Report |
|
|
OGE OVERALL |
40 |
44 |
40 |
42 |
|
|
Number of Backlogged Requests as of End of Fiscal Year from Previous Annual Report |
Number of Backlogged Appeals as of End of Fiscal Year from Current Annual Report |
|
OGE OVERALL |
0 |
0 |
|
|
NUMBER OF APPEALS RECEIVED |
NUMBER OF APPEALS PROCESSED |
||
|
Number Received During Fiscal Year from Last Year’s Annual Report |
Number Received During Fiscal Year from Current Annual Report |
Number Processed During Fiscal Year from Last Year’s Annual Report s |
Number Processed During Fiscal Year from Current Annual Report |
|
|
OGE OVERALL |
1 |
0 |
1 |
0 |
|
|
Number of Backlogged Appeals as of End of Fiscal Year from Previous Annual Report |
Number of Backlogged Appeals as of End of Fiscal Year from Current Annual Report |
|
OGE OVERALL |
0 |
0 |
F. Discussion of Other FOIA Activities (Optional)
OGE has continued to fully comply with the FOIA & implementing E.O./DOJ guidance.