Ethics code and recusal process materials (Small Business Administration)

Josh Keefe filed this request with the Small Business Administration of the United States of America.
Tracking # SBA-2017-001489
Status
Completed

Communications

From: Josh Keefe

To Whom It May Concern:

This is a request under the Freedom of Information Act. I hereby request the following records:

I am requesting the most up-to-date ethics code, training materials and agency-wide rules/publications/guidance on the recusal process for situations involving actual, potential or perceived conflicts of interest. I am looking to see what the standards and processes are for recusal at your agency.

The requested documents will be made available to the general public, and this request is not being made for commercial purposes.

In the event that there are fees, I would be grateful if you would inform me of the total charges in advance of fulfilling my request. I would prefer the request filled electronically, by e-mail attachment if available or CD-ROM if not.

Thank you in advance for your anticipated cooperation in this matter. I look forward to receiving your response to this request within 20 business days, as the statute requires.

Sincerely,

Josh Keefe

From: foia@sba.gov

This message is to confirm your request submission to the FOIAonline application: View Request. Request information is as follows: (https://foiaonline.regulations.gov:443/foia/action/public/view/request?objectId=090004d28160090b)
* Tracking Number: SBA-2017-001489
* Requester Name: Josh Keefe
* Date Submitted: 09/26/2017
* Request Status: Submitted
* Description: I am requesting the most up-to-date ethics code, training materials and agency-wide rules/publications/guidance on the recusal process for situations involving actual, potential or perceived conflicts of interest. I am looking to see what the standards and processes are for recusal at your agency. The requested documents will be made available to the general public, and this request is not being made for commercial purposes. In the event that there are fees, I would be grateful if you would inform me of the total charges in advance of fulfilling my request. I would prefer the request filled electronically, by e-mail attachment if available or CD-ROM if not. Thank you in advance for your anticipated cooperation in this matter. I look forward to receiving your response to this request within 20 business days, as the statute requires.

From: Small Business Administration

Mr. Keefe,
Yesterday I received a copy of your FOIA request (below) from our FOIA Office. I apologize for the confusion concerning its processing and, because of our delay in responding, I would like to expedite the process from this point forward. In order to do so, I would like to ask you a few questions in order to clarify your request. However, your request did not include a phone number.

Would you please give me a call today or Monday at 816-426-4844.

Thank you.

Robert L. Gangwere
Designated Agency Ethics Official
U.S. Small Business Administration

From: Small Business Administration

Mr. Keefe,
Yesterday I received a copy of your FOIA request (below) from our FOIA Office. I apologize for the confusion concerning its processing and, because of our delay in responding, I would like to expedite the process from this point forward. In order to do so, I would like to ask you a few questions in order to clarify your request. However, your request did not include a phone number.

Would you please give me a call today or Monday at 816-426-4844.

Thank you.

Robert L. Gangwere
Designated Agency Ethics Official
U.S. Small Business Administration

From: Small Business Administration

Dear Mr. Keefe:

This e-mail is in response to your Freedom of Information Act (FOIA) request dated September 26, 2017. You have requested "the most up-to-date ethics code, training materials and agency-wide rules/publications/guidance on the recusal process for situations involving actual, potential or perceived conflicts of interest. I am looking to see what the standards and processes are for recusal at your agency."

As a follow-up to your request, we talked on the phone yesterday, October 30, 2017, and I mentioned what is available online, via the U.S. Office of Government Ethics' website at www.oge.gov<http://www.oge.gov>, specifically conflict of interest criminal statutes found at Title 18 of the U.S. Code, government-wide ethics regulations found at 5 CFR Part 2635, SBA ethics agreements, and OGE training materials on conflicts of interest), all of which SBA uses as part of our Ethics Program. In addition, I explained that SBA does not have supplemental agency ethics regulations (pursuant to 5 CFR § 2635.105) and we do not have standard operating procedures regarding conflicts of interest or the duty to recuse. However, all of our employees are responsible for fully complying with relevant provisions of Subparts D & E of 5 CFR Part 2635. We also discussed what SBA has in the way of training materials and guidance, as well as the Administrator's Recusal Agreement (which has already been made public on several occasions), and those materials are attached to this response. Since our e-mail system will not allow me to send you all of the documents attached to one e-mail, I'll immediately send the remaining documents to you by follow-up e-mails.

This response is provided to you without charge because our cost of processing your FOIA request was less than $25. See Standard Operating Procedure (SOP) 40 03 3, "Disclosure of Information" (August 4, 2004), ¶ 3-1.a(4).

If you are not satisfied with this response, you may appeal this decision to the Chief, Freedom of Information/Privacy Acts Office, U.S. Small Business Administration, 409 Third St., SW, Washington, DC 20416. You must submit an appeal within 90 calendar days of the date of this correspondence. The appeal should contain a copy of this correspondence, a description of the information requested and denied, the name and title of the SBA official or employee who denied the request, the reason for the denial, and any other facts you deem appropriate.

The 2007 FOIA amendments created the Office of Government Information Services (OGIS) to offer mediation services to resolve disputes between FOIA requesters and Federal agencies as a non-exclusive alternative to litigation. Using OGIS services does not affect your right to pursue litigation. You may contact OGIS in any of the following ways:

Office of Government Information Services
National Archives and Records Administration
8601 Adelphi Road - OGIS
College Park, MD 20740-6001
E-mail: ogis@nara.gov
Telephone: 202-741-5770
Toll-free: 1-877-684-6448

Please note that using OGIS services does not affect the timing of filing an appeal with the SBA's FOI/PA Officer.

If you have any questions about this response, you may contact our FOI/PA Office at 202-401-8203, by fax at 202-205-7059, by email at FOIA@sba.gov@@http://FOIA@sba.gov/@@, or by mail at Freedom of Information/ Privacy Acts Office, U.S. Small Business Administration, 409 Third St., SW, Washington, DC 20416.

Sincerely,

Robert L. Gangwere
Designated Agency Ethics Official
(816) 426-4844

From: Small Business Administration

Mr. Keefe,

Here are the remaining documents.

Robert Gangwere

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