OGIS Procedures

1. What are OGIS's general responsibilities?
2. Who can be an OGIS customer?
3. How does OGIS review agencies' FOIA policies and procedures and agencies' compliance with the FOIA?
4. When does OGIS get involved in FOIA disputes?
5. How does a customer make a request for OGIS assistance?
6. What happens after a customer contacts OGIS?
7. How can OGIS use facilitation to help a customer?
8. How will OGIS provide mediation?
9. Advisory Opinions
10. What guidelines will OGIS follow when conducting alternative dispute resolution (ADR) proceedings?
11. What additional responsibilities may OGIS take on?
12. How do I contact OGIS?

1. What are OGIS's general responsibilities?
   
   OGIS was established as the FOIA Ombudsman and works with executive branch agencies and requesters to promote compliance with the FOIA. Pursuant to 5 U.S.C. § 552(h), OGIS is charged with:

   1. Reviewing agencies' FOIA policies and procedures;
   2. Reviewing agency compliance with the FOIA;
   3. Recommending to Congress and the President ways to improve the FOIA;
   4. Providing facilitation and mediation services to FOIA requesters and agencies to resolve disputes; and
   5. Issuing advisory opinions, at the Office's discretion, when mediation does not resolve disputes.
   
   

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2. Who can be an OGIS customer?
   
   OGIS can provide assistance to both Federal agencies and requesters.

   
   

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3. How does OGIS review agencies' FOIA policies and procedures and agencies' compliance with the FOIA?
   
   
   1. In developing and issuing recommendations for improvements to the FOIA pursuant to 5 U.S.C. §552 (2)(C), OGIS may:
      (1) Conduct a detailed analysis of Federal agencies' FOIA Annual Reports and Chief FOIA Officer Reports to identify strengths and weaknesses in agencies' FOIA policies and procedures;
      (2) Gather relevant data through OGIS's role as FOIA Ombudsman; and
      (3) Conduct studies, surveys, and other research related to agencies' FOIA practices as necessary in the preparation of the Office's reports to Congress and the President.
   2. OGIS will submit a report to Congress and the President at least annually that will make recommendations for improvements to the FOIA based on the information gathered under subpara. a.
   3. OGIS will use the expertise gathered under subpara. a, and the recommendations made to Congress and the President under subpara. b, to work collaboratively with the Department of Justice's Office of Information Policy (OIP), the government's FOIA policy office, to:
      (1) Improve compliance with the FOIA and develop best practices and policies in FOIA administration;
      (2) Coordinate, support, and participate in training and informational programs to promote best practices in the FOIA process among Federal agencies and requesters; and
      (3) Promote openness and transparency in government.

    

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4. When does OGIS get involved in FOIA disputes?

   1. OGIS respects agencies' existing administrative process and will work cooperatively with that process. Whenever practical, OGIS encourages the requester to exhaust his/her remedies within the agency before opening a case.
   2. OGIS will encourage requesters to first work with the FOIA Public Liaisons within the agencies to resolve disputes. OGIS may work with the requester and the FOIA Public Liaison to facilitate communication and try to reach amicable resolutions.
   3. OGIS may get involved at any stage of the process.
      (1) Before FOIA requester exhausts remedies within the agency: In some cases, it may be more practical for OGIS to get involved earlier in the process, before a FOIA requester has exhausted remedies within the agency. This may include situations where the initial FOIA request or appeal is delayed for some time, or if the agency is attempting to work with a requester to narrow the scope of the FOIA request.
      (2) After FOIA requester exhausts remedies within the agency: This may include attempting to make contact with FOIA specialists and other appropriate agency staff, working through the appeal process, and/or working with FOIA Public Liaisons to resolve disputes.

    

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5. How does a customer make a request for OGIS assistance?
   
   A customer can submit a request for assistance to OGIS by U.S. mail, e-mail, or fax. The following information should be included in a request for assistance:

   1. A description of what the customer wants OGIS to do for him/her;
   2. A statement of the nature of the dispute (such as denial or delay);
   3. Copies of all correspondence between the requester and agency;
   4. A list of the agencies involved;
   5. Customer's contact information; and
   6. A signed and dated customer authorization for OGIS to exchange information and records with other Federal agencies pertaining to the requester's FOIA and/or Privacy Act request/administrative appeal. The authorization should state:
      
      
      In accordance with the Privacy Act of 1974 as amended, I hereby authorize the Office of Government Information Services to make inquiries on my behalf, including the right to review all documentation that OGIS deems necessary in connection with my request for assistance regarding the Freedom of Information Act and/or Privacy Act request/administrative appeal that I have referenced above. I understand that any documents I provide to OGIS may be copied and forwarded to officials of the referenced agency as a part of the mediation/resolution process. I also authorize any Federal department, agency or component to release to OGIS information and records related to my Freedom of Information Act and/or Privacy Act request/administrative appeal.
      
      
      If the customer is a Federal agency and is asking for assistance with a specific FOIA request, the agency should ask the FOIA requester to sign the authorization and then submit it with the agency's request for assistance.

    

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6. What happens after a customer contacts OGIS?
   
   

   1. OGIS will review the request for assistance and any enclosures/attachments submitted, enter the request into a case tracking system, and assign a case number.
   2. OGIS will acknowledge receipt to the customer, contact the customer within four days of receipt to confirm receipt, and begin fact-finding, which may include consulting with the customer and the agencies or FOIA requester involved in the case to clarify the issues raised and devise a procedural resolution.
   3. OGIS will publish, on a weekly basis, a case log, which will report to the public the case number, date of receipt, a description of the nature of the issue, a description of the status of the case, and the closing date for each case. OGIS will also publish on its web site any research conducted in reviewing agencies' FOIA policies and procedures.

    

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7. How can OGIS use facilitation to help a customer?
   
   Facilitation is a less-structured form of mediation in which the OGIS staff (rather than an outside mediator) will work with the parties to understand each other's positions, interests and needs and to find common ground to resolve disputes.

   1. OGIS can assist a customer through facilitation by:
      (1) Helping a requester narrow the scope of his/her search and/or FOIA request;
      (2) Encouraging agencies to reconsider determinations to withhold requested agency records;
      (3) Obtaining more detailed information regarding the processing of a FOIA request and/or an administrative appeal, or regarding the nature of the exempt information;
      (4) Obtaining information related to an agency practice/policy/procedure; and
      (5) Assisting agencies in working with requesters.
   2. In situations where facilitation does not resolve the dispute OGIS may:
      (1) Narrow issues for mediation.
      (2) Issue informal opinions if OGIS determines that issues raised in a case require illumination in order to improve the FOIA process.

    

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8. How will OGIS provide mediation?

   1. OGIS can arrange mediation to resolve FOIA disputes at any time, if both parties agree. OGIS may also encourage FOIA requesters and agencies to participate in mediation after the FOIA request and appeals process have been exhausted and after OGIS facilitation has been unsuccessful at resolving the dispute.
   2. OGIS will coordinate, support, and participate in training and informational programs for Federal agencies and requesters on using alternative dispute resolution methods, including mediation, for FOIA disputes.
   3. OGIS will conduct any meditation proceedings in accordance with the requirements set forth in the Administrative Dispute Resolution Act of 1996, 5 U.S.C. §§571-84.

    

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9. Advisory Opinions

   1. b. OGIS has not issued any advisory opinions to date, and is currently drafting procedures for issuing advisory opinions. OGIS's advisory opinion procedures will be posted online in the near future.

    

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10. What guidelines will OGIS follow when conducting alternative dispute resolution (ADR) proceedings?

    1. In order to ensure that OGIS can effectively and impartially work to facilitate resolutions of FOIA disputes through ADR, OGIS will be guided by the provisions of the Administrative Dispute Resolution Act of 1996 (ADRA), 5 U.S.C. §§ 571-84, including the confidentiality provision. In the interest of promoting open and candid dialogue with all parties involved in a dispute, OGIS, at its discretion, may grant an express request to speak to the Office in confidence.
    2. OGIS is committed to conducting proceedings in a manner that promotes openness and transparency. Notwithstanding the requirements of the ADRA and requirements protecting materials reflecting Office deliberations, OGIS will endeavor to make available as much information as lawfully possible.

     

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11. What additional responsibilities may OGIS take on?
    
    OGIS shall conduct informational programs on the FOIA process and the Office's role within the FOIA process for requesters, Federal agencies, members of Congress, and other interested parties.
    
    OGIS shall undertake such other responsibilities as may be assigned by the Archivist of the United States to carry out the functions of the Office.

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12. How do I contact OGIS?
    
    Office of Government Information Services (OGIS)
    National Archives and Records Administration
    {OGIS} 8601 Adelphi Road
    College Park, MD 20740-6001
    
    E-mail: ogis@nara.gov
    Fax: 202-741-5769
    Phone: 1-877-684-6448

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