FROM:     Daniel D. Dunning
          Deputy Director for Administration and
          Information Management

SUBJECT:  New Edition of the OGE Form 201 (Request to Inspect or
          Receive Copies of SF 278 Executive Branch Personnel
          Public Financial Disclosure Reports or Other Covered
          Records)

    In December 2002, the U.S. Office of Government Ethics (OGE) obtained from the Office of Management and Budget (OMB) renewed approval for three years under the Paperwork Reduction Act for a revised version of the OGE Form 201. The 12/02 edition of the OGE Form 201 should be used in lieu of 10/99 edition. Although OMB approved the revised form in 2002, OGE has waited until the routine use language of the Privacy Act Statement was finalized and OGE’s new phone and fax numbers were operational, before updating the form with these recent changes and posting the revised form on OGE’s Website.

Modifications contained in the 12/02 edition

    OGE added the address, phone number, and fax number in the form header; pluralized the references to SF 278 reports and other covered records in the form title; updated the edition date; moved the form number and edition date to the end of the form title; and moved the OMB control number to the lower right-hand corner of the first page of the form.

     In part I of the form, OGE added: more space for requesters to enter their name, address, and organization; received date and filled date blocks; a type of applicant block; a date field in the applicant’s signature block; and a block for the applicant to indicate whether they would like to pick up the requested records or have OGE mail the records to them. Furthermore, OGE removed the word “Optional” in the office telephone number block.

    In part II of the form (Notice of Action), OGE removed the “Other. Explanation:” block and added a signature and date block for persons picking up the requested records. Under part II.C (Public Burden Information) OGE updated the OGE paperwork contact official to reflect OGE organizational changes and replaced the phrase “upper right-hand corner” with “lower right-hand corner” to reflect the new location of the OMB control number.

    In addition, OGE modified the Privacy Act Statement in part II of the form to reflect recent updates in the OGE/GOVT-1 system of records notice (covering SF 278 Public Financial Disclosure Reports and other name-retrieved ethics program records).

    Finally, in part III of the form, OGE added reference on “other covered records” to two additional types of records that requesters may obtain by submitting the OGE Form 201. These types of “covered records” are: cover letters for OGE-approved gifts reporting waiver requests and cover letters for OGE-approved public reporting waiver requests for certain less than 130-day special Government employees.

Availability 

    The new edition is available as a viewable and downloadable PDF document through the Forms, Publications & Other Ethics Documents section of OGE’s Website at www.usoge.gov. For now, OGE accepts filing of a completed OGE Form 201 by mail, FAX, or in person, but does not permit E-mail or Internet online transmission.

    OGE will continue to permit departments and agencies to use the copy of the OGE Form 201 available on OGE’s Web site or to develop and utilize their own electronic versions of the OGE form, provided that they precisely duplicate the original to the extent possible. Agencies can also develop their own access forms, provided all the information required by the Ethics Act and OGE regulations are placed on such forms, along with the appropriate Privacy Act and paperwork notices with any attendant clearances being obtained by the agencies therefor.