As the Attorney General emphasized in his FOIA Guidelines, "[a]pplication of the proper disclosure standard is only one part of ensuring transparency. Open government requires not just a presumption of disclosure, but also an effective system for responding to FOIA requests." It is essential that agencies effectively manage their FOIA program.
Describe here the steps your agency has taken to ensure that your management of your FOIA program is effective and efficient. To do so, answer the questions below and then include any additional information that you would like to describe how your agency ensures that your FOIA system is efficient and effective.
Personnel:
During Sunshine Week 2012 OPM announced the creation of a new job series entitled the Government Information Series, to address the work performed by FOIA and Privacy Act professionals. Creation of this distinct job series was a key element in recognizing the professional nature of their work.
- Has your agency converted all of its FOIA professionals to the new Government Information Specialist job series?
No. However, overall it is estimated that at least 85% of FOIA professionals throughout HHS have been converted to the Government Information Specialist series.
- If not, what proportion of personnel has been converted to the new job series?
Within the Office of the Secretary, ACF, CDC, CMS, NIH, OASH, OIG, OASH, and SAMHSA, all FOIA professionals have been converted. Within IHS, two FOIA specialists title and job series changed, but not the FOIA Officer, because the FOIA Officer is also the Director, Division of Regulatory Affairs, and the FOIA Officer cannot devote 100% of his time on the FOIA. Within the FDA, approximately 95% of eligible individuals have been converted. Within HRSA, approximately 65% of the FOIA staff has been converted.
- If not, what is your plan to ensure that all FOIA professionals’ position descriptions are converted?
Within the FDA, the FOIA office is working with the Human Resources (HR) office to convert the final two employees. Within the HRSA, the FOIA office is working with HR to develop the necessary documentation.
Processing Procedures:
- For Fiscal Year 2013 did your agency maintain an average of ten or less calendar days to adjudicate requests for expedited processing? If not, describe the steps your agency will take to ensure that requests for expedited processing are adjudicated within ten calendar days or less.
No. However, overall there were 474 requests for expedited processing and 197 requests were adjudicated within 10 days or less. All OpDivs will ensure that the intake processing procedures have been adjusted to ensure all incoming requests seeking expedited processing are addressed on an average of 10 or less calendar days.
- Has your agency taken any steps to make the handling of consultations and referrals more efficient and effective, such as entering into agreements with other agencies or components on how to handle certain categories or types of records involving shared equities so as to avoid the need for a consultation or referral altogether, or otherwise implementing procedures that speed up or eliminate the need for consultations. If so, please describe those steps.
Yes. Although the Office of the Secretary and all OpDivs receives a very small amount of requests for consultations and/or referrals, they are handled within a timely manner and directed to the appropriate OpDiv or StaffDiv for further review and processing. The consultations and/or referrals are immediately entered in a FOIA tracking system, assigned a tracking number, all documents are reviewed for further release determination and are either sent back to the referring agency or the records are sent directly to the FOIA requester.
Requester Services:
- Do you use e-mail or other electronic means to communicate with requesters when feasible?
Yes. The Office of the Secretary and all OpDivs utilize e-mail and other electronic means with the requesters. The types of documents which are usually sent and provided electronically are acknowledgement letters, response letters, and other correspondence via email or on compact-disc (CD). If response records are voluminous in nature, the records are usually provided on CD, instead of in paper format.
- Does your agency notify requesters of the mediation services offered by the Office of Government Information Services (OGIS) at NARA?
Yes. The Office of the Secretary and CMS, are the primary offices that process FOIA appeals and response letters for all FOIA appeals and includes information regarding mediation services offered by OGIS within each appeal letter.
- Describe any other steps your agency has undertaken to ensure that your FOIA system operates efficiently and effectively, such as conducting self-assessments to find greater efficiencies, improving search processes, eliminating redundancy, etc.
During the reporting period, the Office of the Secretary purchased and began using a new FOIA tracking system, which allowed request letters, responsive records, and other correspondence to be imported, stored, and retrieved directed to any FOIA request or appeal. The FOIA tracking system also has the capability to send records to any HHS OpDivs, StaffDivs, and other internal or external contacts outside of HHS. As a result, the FOIA tracking system has allowed for greater and improved processing to all pending FOIA requests and appeals.
Within the ACF, the FOIA Officer reports weekly on progress in closing backlogged requests and on timely responses, reviews all outstanding cases independently every week, and with the FOIA team on a periodic basis.
Within the CDC, a FOIA assessment was performed and several actions are being taken to increase and improve automation, leverage e-Discovery tools for searches, and achieve a higher degree of electronic document management throughout the FOIA response life-cycle. CDC FOIA Office has realized improvements as a result of the assessment and subsequent actions.
The CMS FOIA Officer prescribes to a plan of continuous improvement opportunity. As such, headquarters FOIA analysts conduct routine meetings to discuss FOIA implementation and process improvements, to include self-assessments to find greater efficiencies, improve search processes, and eliminate redundancies. Additionally, CMS conducts interactive monthly conference calls with regional FOIA coordinators, management officials, and Medicare Administrative Contractors, to discuss changes in disclosure policy, tracking system updates, and enhancements to increase efficiencies.
The FDA uses an electronic tracking and document storage system, AIMS (Agency Information Management System), to assign requests to components for processing and to store released records. AIMS have been used since January of 2006. Prior to that time, requests and copies of responsive records were retained by the agency in hard copy, and transmitted through interoffice mail.
- In June 2012, FDA’s online FOIA request submission form went live. In FY2013, 48.4% of all FDA FOIA requests were submitted through the online form, which reduces certain administrative functions, such as data entry, sending acknowledgement letters through the mail, and scanning of request letters for assignment to components. Because online requesters must provide an email address, FDA is able to release records electronically via email.
- The administrative tracking, assignment and billing functions are centralized in DFOI, as are denials, fee waivers, requests for expedited processing, and appeals.
- Components triage requests on receipt into the appropriate queue, and generally use multi track processing which capitalizes on the efficiencies of responding to simple requests quickly, while larger, more complex requests (which require more search and review time) are answered on a first in-, first-out, basis within each queue and track. Note that a request can be in more than one queue, so partial response can be made for simpler parts of a request. In addition, a request can be moved to a different queue if consultation with a requester indicates that the request is simpler or more complex than first determined by FDA.
- FDA has posted on its website contact names and telephone numbers for requesters to easily contact FOIA staff.
- As noted above, the Agency uses an electronic repository for storage of released records. This speeds processing when such records are requested again.
- FDA uses Adobe and/or Redax software to redact records electronically. The Agency continues to utilize technology, through the use of e-mail release of requested records, or burning larger documents to a CD Rom, rather than in hard copy.
- FDA has a substantial internet presence, with databases, records, and other resources available to the public.
The HRSA FOIA office is always considering better ways to refine and tweak our new FOIA SWIFT system. Because HRSA has a small staff, self-assessments are part and partial of every weekly staff meeting.
Within the HIS FOIA office, it has requested to train other staff within its division in order to be able to assist us with the FOIA program case load. Over the last year, IHS has had two part-time students/clerks help with logging in new cases, sending out acknowledgement letters and the request for materials to the appropriate program office. However, these clerks do not assist with the review and redactions of responsive materials; but rather this allows the FOIA staff to focus on the actual processing of each case.
The NIH FOIA office has a very efficient and effective system for responding to requests. FOIA processing at NIH is decentralized. In addition to the central NIH FOIA Office, each NIH Institute and Center (IC) and several NIH Office of the Director components has its own FOIA Requester Service Center staffed by a FOIA Professional with release authority. By having processing located directly at the IC level, the FOIA professionals have greater knowledge of the location of requested files, which decreases search time. Because the FOIA professionals and the Program Staff are colleagues within the same organizational component, there is greater cooperation regarding reviewing any proposed redactions which decreases review time.
- To assist with this effort, in addition to processing records that fall within the Office of the Director, the NIH FOIA Officer and her staff have prepared model letters for acknowledging requests and conducting submitter notice, model guidance documents for submitter notice, and model final response letters. This reduces processing time for FOIA professionals and ensures consistency across NIH. Redaction guides for frequently requested documents such as awarded research grant applications and contract documents also have been developed and provided by the NIH FOIA Office. Both the model letters and the processing guides are available for download from the NIH FOIA website accessible by NIH staff and can be linked to from the NIH FOIA Tracking System, which is also maintained by the NIH FOIA Office. These resources are reviewed quarterly and revised as necessary. As noted above, the NIH FOIA Officer holds quarterly meetings with all the NIH FOIA professionals where processing guidance and best practices are shared.
The OASH FOIA office continues to educate and train agency personnel in conducting adequate and proper searches. The OASH are also communicating with our program offices to ensure complete understanding of the request in an effort to conduct more accurate records searches.
Within the OMHA, it has undertaken the following steps to ensure that the FOIA system operates efficiently and effectively:
- Improved search processes by determining points of contacts for particular items customarily requested under FOIA in order to improve search processes, streamline consultations, and eliminate redundancy
- Maintain a tracking sheet to inventory FOIA requests and to record activities relating to the request in order to analyze possible recurring issues with the FOIA system
- Create and maintain FOIA requests and responses on the agency’s Network Drive
Within the SAMHSA, it has been very intentional in upgrading its FOIA Tracking System. This now allows additional SAMHSA staff to collaborate with the FOIA Office to ensure greater efficiency and effectiveness in handling FOIA requests.
- Introduction
- Section I: Steps Taken to Apply the Presumption of Openness
- Section II: Steps Taken to Ensure that Your Agency Has an Effective System in Place for Responding to Requests
- Section III: Steps Taken to Increase Proactive Disclosures
- Section IV: Steps Taken to Greater Utilize Technology
- Section V: Steps Taken to Improve Timeliness in Responding to Requests and Reduce Backlogs
