E.O. 13392, "Improving Agency Disclosure of Information"
Department of Transportation’s Updated Status Report
August 2008
Deficiency Area #1
1. FOIA Improvement Plan area to which the deficient milestone relates.
Affirmative disclosure under subsection (a)(2) and proactive disclosure of information.
2. Deficient milestone and the original target date from the FOIA Improvement Plan.
Conduct a review of the Department’s policies and procedures as they relate to making public information available. Educate the OAs about the requirements of 5 U.S.C. 552 regarding public documents.
a. Review of OAs’ policies and practices relating to making records described in 5 U.S.C. 552(a)(2) available -- due 3/31/07.
b. Review of OAs’ policies and practices regarding proactive posting with a focus on discovering best practices – due 3/31/07.
c. Report to the Chief FOIA Officer -- 4/15/07.
d. Letter from Chief FOIA Officer to OAs regarding findings – 5/15/07.
e. Posting the Chief FOIA Officer’s letter on website – 5/31/07.
f. Review of progress – 11/30/07.
g. Chief FOIA Officer report progress to OAs – 12/31/07.
h. Letter to OAs posted on website – 1/15/08.
3. Steps taken to correct the deficiency and the dates by which the steps were completed.
As reported in the Department’s Annual FOIA Report, in January 2008 a strategy had been developed for accomplishing this objective.
8/08 update: Our strategy shifted in response to the Attorney General’s recommendation that agencies complete a review and certification of their reading rooms.
In August 2008, reviews were conducted of all DOT electronic reading rooms.
4. Future remedial steps and the dates by which the steps will be completed.
8/08 update: The actions associated with this area have been overtaken by events (i.e., the Attorney General’s recommendation that agencies complete a review and certification of their reading rooms). All components of the DOT are actively working on making their electronic FOIA reading rooms compliant by October 31, 2008. Review, monitoring, and updating of all of DOT’s electronic reading rooms will continue throughout FY 09.
Deficiency Area #2
1. FOIA Improvement Plan area to which the deficient milestone relates.
Multi-track processing
2. Deficient milestone and the original target date from the FOIA Improvement Plan.
a. Implement a pilot test using multi-tracking best practices in at least one Departmental component by 3/31/07.
b. Evaluate the pilot test by 9/30/07.
c. Expand multi-tracking best practices, as appropriate, in other Departmental components by 3/31/08.
3. Steps taken to correct the deficiency and the dates by which the steps were completed.
As reported in the Department’s Annual FOIA Report, the initial steps of (a) reviewing multi-track processes within the Department and (b) reviewing multi-track processes within selected Federal agencies were completed. However, the remaining milestones were put on a temporary hold due to competing demands on the Departmental FOIA Officer’s time.
8/08 update: Discussions have occurred with several of DOT’s components regarding pilot testing multi-track processing (beyond simple/complex). All parties agreed that it would be best to get the new reporting requirements associated with the 2007 FOIA Amendments under control before dealing with this issue. A new pilot test and evaluation will now occur later in FY 09.
4. Future remedial steps and the dates by which the steps will be completed.
We anticipate final action on this goal to be completed by the end of FY 09.
Deficiency Area #3
1. FOIA Improvement Plan area to which the deficient milestone relates.
Expedited processing
2. Deficient milestone and the original target date from the FOIA Improvement Plan.
Establish a baseline measurement, then institute expedited processing-related improvement goals by 10/1/07.
3. Steps taken to correct the deficiency and the dates by which the steps were completed.
As reported in the Department’s Annual FOIA Report, establishment of a baseline measurement and institution of improvement goals was placed on a temporary hold due to competing demands on the Departmental FOIA Officer’s time. Implementation of these milestones will now be accomplished in concert with implementation of the expedited processing-related requirements of the 2007 FOIA Amendments. Departmental guidance has been provided to the FOIA offices.
4. Future remedial steps and the dates by which the steps will be completed.
8/08 update: Full implementation and measurement will begin on 10/1/08. Pursuant to the 2007 FOIA amendments, we will begin to measure the time taken to adjudicate each request for expedited processing, as well as the time it takes to respond to those requests.
Deficiency Area #4
Department-wide, there were 28 cases (4 cases in FAA and 24 cases in OST) pending from previous fiscal years that were not closed according to schedule.
1. FOIA Improvement Plan area to which the deficient milestone relates.
Backlog reduction
2. Deficient milestone and the original target date from the FOIA Improvement Plan.
a. During this reporting period, FAA was scheduled to close out requests from previous fiscal years as follows:
(i) FY 2000 – 22 close-out
(ii) FY 2001 – 40 close-outs
(iii) FY 2002 – 75 close-outs
(iv) FY 2003 – 105 close-outs
(v) FY 2004 – 75 close-outs
b. During this reporting period, OST was scheduled to close out requests from previous fiscal years as follows:
(i) FY 2002 – 2 close-outs
(ii) FY 2003 – 6 close-outs
(iii) FY 2004 – 38 close-outs
(iv) FY 2005 – 51 close-outs
3. Steps taken to correct the deficiency and the dates by which the steps were completed.
8/08 update: The FAA’s oldest case (from FY 01) has been closed out, and 22 of the 24 OST cases have been closed.
4. Future remedial steps and the dates by which the steps will be completed.
8/08 update: One of the remaining three FAA cases is expected to be closed out by 9/30/08, and the remaining two cases are expected to be closed out by 12/31/08. Of the two remaining OST cases, one will be closed out by 8/31/08 and the other by 9/30/08.
Deficiency Area #5
1. FOIA Improvement Plan area to which the deficient milestone relates.
Training
2. Deficient milestone and the original target date from the FOIA Improvement Plan.
a. Training on FOIA fees by 3/31/07.
b. Training on Exemption 4 and submitter notices by 6/30/07.
c. Training on Exemption 3 and the proper application of DOT’s exemption 3 statutes by 12/30/07.
3. Steps taken to correct the deficiency and the dates by which the steps were completed.
These three scheduled training classes were not provided due to competing demands on the Departmental FOIA Officer’s time.
4. Future remedial steps and the dates by which the steps will be completed.
As reported in the Department’s Annual FOIA Report, we anticipate providing these three training sessions, as well as others, as necessary, by the end of FY09. The Departmental FOIA attorney will assist in the development of the training sessions and help ensure that they are completed as scheduled.
8/1/08 update: Training sessions will be provided during FY 2009 as follows:
1st quarter of FY 09 - FOIA Electronic Reading Rooms
2nd quarter of FY 09 – FOIA Fees
3rd quarter of FY 09 – Exemption 4 and submitter notices
4th quarter of FY 09 – Exemption 3 statutes
Deficiency Area #6
1. FOIA Improvement Plan area to which the deficient milestone relates.
Recycling of improvement information gleaned from FOIA Requester Service Centers and FOIA Public Liaisons
2. Deficient milestone and the original target date from the FOIA Improvement Plan.
a. Departmental FOIA Officer to meet with the FOIA Requester Service Centers by 3/31/07.
b. Chief FOIA Officer to meet with the Public Liaisons by 3/31/07.
c. Chief FOIA Officer and Departmental FOIA Office to discuss improvements to the process by 4/30/07.
d. Implement improvements by 5/31/07.
3. Steps taken to correct the deficiency and the dates by which the steps were completed.
As reported in the Department’s Annual FOIA Report, the deadlines for the milestones shown above were revised to 4/30/08, 4/30/08, 5/31/08, and 6/30/08, respectively.
8/08 update: The milestones were all met by their revised deadlines.
4. Future remedial steps and the dates by which the steps will be completed.
No further remedial action required.
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