(One improvement area, "Use of Information Technology,” modified in part, on October 30, 2007, as indicated below.)
A. NATURE OF OIP'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Records search process
-- Use of multi-track processing
-- Consultation process
-- Customer relations/Communications
-- Recruitment
-- Use of information technology
-- FOIA Web pages/Reading room records Backlog reduction
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Records search process
-- Consultation process
-- Customer relations/Communications
-- Recruitment
-- Use of information technology
-- FOIA Web pages/Reading room records
-- Backlog reduction
E. IMPROVEMENT AREA PLANS7
1. Records search process
Goal: To decrease the amount of time required for the retrieval of records from the Federal Records Center (FRC). Target completion: 8-1-06.
Steps
Consult with Department archival staff and Department Records Manager about process required to have member of the IR Staff designated as point of contact for FRC searches. To be completed by 7-1-06.
Using process outlined by archival staff and/or Records Manager, designate IR Staff as point of contact for FRC searches and begin retrieving records from FRC ourselves. To be completed by 8-1-06.
Goal: To create "search" button on Office of Public Affairs' Web site so that analysts can conduct a search of press releases for responsive records, dramatically decreasing amount of time needed to search for a press release that is responsive to a request. Target completion: 12-1-06.
Steps
Explore with appropriate Justice Management Division computer staff the steps necessary to provide a "search button" to allow search of Office of Public Affairs press releases. To be completed by 9-1-06.
Implement searching of Office of Public Affairs press releases electronically. To be completed by 12-1-06.
Goal: To decrease the amount of time it takes to retrieve records from covered offices. Target completion: 1-1-07.
Steps
Obtain records indices for covered offices which are maintained by the Departmental Executive Secretariat and scan them into the OIP directory in a form that will allow analysts to search the indices electronically, which is much quicker and more accurate than manually reviewing paper indices. To be completed by 1-1-07.
Provide periodic reports to FOIA contacts in covered offices detailing the number of pending searches to encourage them to monitor their progress toward reducing outstanding searches. The report will include the name of each requester, the subject of each request, and the length of time the request has been pending. To be completed by 8-1-06 (and continuing thereafter).8
2. Consultation process
Goal: To encourage timely attention to consultations on the part of the entities with whom we are consulting. Target completion: 10-1-06
Steps
Initiate use of form to be sent with all consultations to be completed and returned (in self-addressed stamped envelope) by the receiving entity. The form will ask for the entity's case number and contact person for that specific consultation. This will facilitate follow-up on the status of a consult by OIP analysts. To be completed by 9-1-06.
Initiate follow-up calls by analyst to the agency-specified contact for long-pending consultations. If agency still does not respond to consultations, the Deputy Chief will send a list of pending consultations to the head of that FOIA office for response. To be completed by 10-1-06.
3. Customer relations/Communications
Goal: To ensure that requesters who call the FOIA Requester Service Center receive the information they seek in a timely and efficient manner. Target completion: 12-1-06.
Steps
Train individual(s) who answer FOIA Requester Service Center calls on how to determine status of a request, when to send a requester to the analyst for more detailed information, and when the FOIA Public Liaison is to handle the call. To be completed by 12-1-06.
Create a log to be used by FOIA Requester Service Center personnel; each time such personnel speak with a requester, a note is made in the log which will include the date, the name of the requester, the information requested, and the result of the conversation. This log will be reviewed by the FOIA Public Liaison to determine whether improvements in handling telephone calls can be made and to determine whether there are trends that may show other changes in the FOIA process that need to be made. To be completed by 12-1-06.
Goal: To improve communications with requesters as emphasized in Executive Order 13,392. Target completion: 10-1-06.
Steps
Initiate training for new analysts regarding the importance of treating FOIA requesters with courtesy and respect. To be completed by 7-1-06.
Institute use of acknowledgment letter to requesters upon receipt of a referral from another agency or component to let requester know that the documents have been received by OIP and are being processed. To be completed by 10-1-06.
4. Recruitment
Goal: To hire and maintain a highly qualified staff of analysts so that requests will be processed accurately in the shortest time possible. Target completion: 7-1-07.
Steps
Explore with Department Personnel Office use of Federal Career Intern Program and, if option is available to OIP, institute it. To be completed by 12-1-06.
Explore option of providing student loan relief to candidates as a recruitment and retention tool and, if option is available to OIP, institute it. To be completed by 12-1-06.
Explore with OPM (along with other agencies) the possibility of creating a professional series for FOIA Specialists with an appropriate grade structure to represent more fully the work performed by FOIA professionals. To be completed by 7-1-07.
5. Use of information technology9
Goal:To purchase electronic FOIA processing system to include updated tracking and redacting functions as well as the ability to receive requests electronically. Target completion: 12-31-07.
Steps
Draft directions for staff on using scanner and Adobe Acrobat software for redacting. To be completed by 9-1-06.
Train staff and implement use of scanner and Adobe Acrobat software for redacting documents. To be completed by 10-1-06.
Goal: To purchase electronic FOIA processing system to include updated tracking and redacting functions as well as the ability to receive requests electronically. Target completion: 12-31-07.
Steps
Continue to discuss needs with appropriate IT personnel in Department. To be completed by 8-1-06.
Draft formal requirements for new system. To be completed by 9-1-06.
Contact vendor concerning possible pilot test program and to request proposal for pilot test program. To be completed by 9-15-06.
Discuss budgetary requirements with appropriate officials. To be completed by 10-1-06.
Obtain formal proposal for pilot program from vendor. To be completed by 11-1-06.
Install pilot program. To be completed by 1-1-07.
Complete evaluation of feasibility study/market assessment. To be completed by 6-1-07.
Begin development of statement of work according to appropriate acquisition rules and regulations. To be completed by 7-1-07.
Meet with representatives of other components and Enterprise Solutions Staff to develop joint business requirements. To be completed by 9-1-07.
Consolidate partnering components' business requirements with Enterprise Solutions Staff as part of compilation of Statement of Work. To be completed by 10-1-07.
Complete review of Statement of Work, in preparation for release to vendors for vendors response, submission of vendor proposals and ultimate award of contract. To be completed by 12-31-07.
(The milestones in italics are modified and reflect the greatly expanded nature of this goal.)
Goal: To increase efficiency in handling FOIA litigation support and coordination with other FOIA offices through integration of scanning copier into office computer network. Target completion: 12-31-07.
Steps
Meet with vendor representative to discuss software solution. To be completed by 9-1-06.
Seek approval from appropriate IT officials for software purchase. To be completed by 12-1-06.
Install dataport in order to connect copier to network. To be completed by 2-1-07.
Coordinate with Justice Management Division (JMD) on security requirements for approval of software solution. To be completed by 4-1-07.
Security testing by JMD of both hardware and software. To be completed by 8-16-07.
On-site security evaluation of existing hardware and dataport. To be completed by 9-1-07.
Purchase software. To be completed by 10-1-07.
Begin software and hardware installation, on-site security check, and product testing. To be completed by 10-15-07.
Request training from vendor with goal of full integration of scanning copier into office computer network. To be completed by 12-31-07.
(The milestones in italics are modified to reflect the unforseen security requirements of this goal.)
6. FOIA Web pages/Reading room records
Goal: To improve OIP's and covered offices' FOIA Web pages in order to provide more information to the public. Target completion: 9-30-06 (and continuing thereafter).
Steps
Refine and update process for locating and posting subsection (a)(2) reading room documents. To be completed by 9-1-06.
Review OIP's and covered offices' FOIA Web pages quarterly to ensure that information is current and relevant documents are posted. To be completed by 9-30-06, 12-31-06, 3-31-07, 6-30-07, 9-30-07, 12-31-07, 3-31-08, 6-30-08, 9-30-08, 12-31-08.
Examine ways to improve OIP's and covered offices' FOIA Web pages to make them more user-friendly. To be completed by 9-30-06.
7. Backlog reduction
Goal: To reduce the existing backlog of pending initial FOIA requests by a substantial percentage each year (i.e., 10% by 1-15-07, 15% by 1-15-08, and 20% by 12-31-08, as measured by number of requests pending), by periodically and consistently focusing on the existing backlog. Target completion: 1-15-07, 1-15-08, 12-31-08.
Steps
On a quarterly basis, IR Staff Chief will review existing backlog together with other staff members in order to determine the number of cases pending for more than the twenty days provided by statute. To be completed by 8-15-06, 10-15-06, 1-15-07, 4-15-07, 7-15-07, 10-15-07, 1-15-08, 4-15-08, 7-15-08, 10-15-08.
On a quarterly basis, IR Staff Chief along with the Deputy Chief will review the workload of each analyst to determine whether cases need to be redistributed and to consider, together with the Deputy Director, the possible reallocation of resources where needed. To be completed by 8-15-06, 10-15-06, 1-15-07, 4-15-07, 7-15-07, 10-15-07, 1-15-08, 4-15-08, 7-15-08, 10-15-08.
On a quarterly basis, entire Initial Request Staff will meet to address further means of backlog reduction. To be completed by 8-15-06, 10-15-06, 1-15-07, 4-15-07, 7-15-07, 10-15-07, 1-15-08, 4-15-08, 7-15-08, 10-15-08.
Goal: To close the ten oldest FOIA requests pending each year. Target completion: 12-31-06, 12-31-07, 12-31-08, 12-31-09.
Steps
Review the ten oldest FOIA requests and determine what steps need to be taken to complete the processing of these requests. To be completed by 7-1-06.
Implement the steps we have determined need to be taken to complete the processing of these requests. To be completed by 7-15-06.
Close these requests. To be completed by 12-31-06.
Review the ten oldest FOIA requests that are pending as of January 1, 2007 and determine what steps need to be taken to complete the processing of these requests. To be completed by 2-1-07.
Implement the steps we have determined need to be taken to complete the processing of these requests. To be completed by 2-15-07.
Close these requests. To be completed by 12-31-07.
During calendar years 2008 and 2009, continue the process described in the preceding steps. To be completed by 12-31-08, 12-31-09.10
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
Areas anticipated to be completed by 12-31-07
Areas anticipated to be completed after 12-31-07
A. NATURE OF THE ANTITRUST DIVISION'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Electronic FOIA/Clarity of FOIA requests and responses
-- Acknowledgment letters
-- Backlog reduction
-- Politeness/courtesy
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Electronic FOIA/Clarity of FOIA requests and responses
-- Acknowledgment letters
-- Backlog reduction
-- Politeness/courtesy
E. IMPROVEMENT AREA PLANS
1. Electronic FOIA/Clarity of FOIA requests and responses
Goal: To permit the use of e-mails to submit FOIA requests and to provide to FOIA requesters information that will foster clarity of e-mailed and written requests and the Unit's questions about and responses to FOIA requests. Target completion: 10-31-07.
Steps
Create an e-mail box for FOIA requests submitted electronically and post it on the Division's FOIA Web site. To be completed by 10-31-06.
While making it clear that the FOIA does not require that specific information is required to submit a FOIA request, advise requesters that submission of the information set forth below as well as information the requesters considers useful, is likely to shorten the length of time to search for and process responsive information. To be completed by 6-30-07.
-- Current home or office address(es), telephone and fax number(s);
-- Specific types of documents sought, e.g., internal memoranda, information submitted by third parties, the nature of documents sought or that the request is for all documents concerning a particular investigation or case;
-- The name of the company or companies about whom information is sought and, if available, the case number and/or Division file number and NACIS or SIC code;
-- If seeking information about an individual, the requester must include a waiver of privacy signed by the party and/or the party's attorney granting permission to release the records sought;
-- If the requester is seeking expedited treatment of the request, he or she should include the reasons why such treatment is necessary and/or appropriate; and
-- Remind the requester that submitting a request is considered an agreement to pay all fees up to $25. Create hyper-links to section (b) of the FOIA, OIP's Freedom of Information Act Guide & Privacy Act Overview, and Your Right to Federal Records to assist requesters in understanding the FOIA. To be completed by 3-31-07.
Begin to receive requests electronically. To be completed by 10-31-07.
2. Acknowledgment letters
Goal: To ensure that timely and complete acknowledgment letters are provided to requesters. Target completion: 9-30-06.
Steps
Re-review current acknowledgment exemplars to determine what changes, if any, are needed. To be completed by 9-30-06.
Include paralegal specialist name, telephone number, and e-mail address. To be completed by 6-30-06.
Assign one paralegal specialist to track timeliness of acknowledgment letters. To be completed by 6-30-06.
3. Backlog reduction
Goal: To reduce the existing backlog of pending initial FOIA requests by a substantial percentage each year (i.e., a minimum of 10% for Fiscal Year 2006, and 20% per fiscal year thereafter, as measured by number of requests pending) by periodically and consistently focusing on the existing backlog. Target completion: 9-30-06, 9-30-07, 9-30-08 (and continuing thereafter).
Steps
Review backlog of pending requests to ensure that each has been placed in the appropriate track of the multi-track system already in use: Track One for expedited requests, Track Two for ordinary requests and Track Three for voluminous requests. To be completed by 8-15-06, 10-15-06 (and quarterly thereafter).
Implement policy requiring each paralegal specialist to alternate processing Tracks Two and Three. To be completed by 10-31-06.
Review conformity with already existing policy requiring each paralegal specialist to contact requesters before processing the request to determine (a) whether the requester is interested in pursuing the request and (b) whether the requester is willing to narrow the scope of the request. To be completed by 10-31-06.
Assign tasks related to final review of processed records to the Assistant Chief. The complement of tasks will be developed as their usefulness becomes apparent. This step should substantially reduce the time required for final review by the Unit Chief. To be completed by 6-30-06.
4. Politeness/courtesy
Goal: To ensure that all callers are treated politely. Target completion: 12-31-06 (and continuing thereafter).
Steps
Ensure that all staff, including new staff, attend a special staff discussion on the need to treat requesters and other callers politely, discussing particular ways of improving customer-friendly behavior and how to resolve difficult situations. To be completed by 7-31-06.
Counsel staff on an individual basis, as needed. To be completed by 7-15-06 (and continuing thereafter).
Assign the staff of the FOIA Requester Service Center to log the name and telephone number(s) of each person calling for information about FOIA requests, the name of the person responsible for responding to the call, and the date on which the call was answered. To be completed by 6-30-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Acknowledgment letters
-- Politeness/courtesy
Areas anticipated to be completed by 12-31-07
-- Electronic FOIA/Clarity of FOIA requests and responses
Areas anticipated to be completed after 12-31-07
-- Backlog reduction
A. NATURE OF ATF'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Records search process
-- Customer relations
-- FOIA Web site
-- Information technology
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Records search process
-- Acknowledging requests and release of information
-- FOIA Web site
E. IMPROVEMENT AREA PLANS
1. Records search process
Goal: To further streamline the amount of time needed to make an initial determination of the status for a request for criminal investigations. Target completion: 10-31-06.
Steps
Meet with ATF Intelligence and Information Division to determine ability for Disclosure Specialists to view all investigations electronically, regardless of the status of the investigation. To be completed by 7-31-06.
Contact ATF Information Services Division and make the appropriate requests for increases electronic access levels for Disclosure Specialists. To be completed by 10-31-06.
2. Acknowledging requests and release of information
Goal: Release information electronically, when possible. Target completion: 10-31-06.
Steps
When a requester provides an e-mail address, the Disclosure Division will respond via e-mail notifying that ATF has received the request. Acknowledgment letters will continue to be sent out in addition to the e-mail. To be completed by 7-31-06.
Complete an internal study to determine the types of information that are able to be released electronically, and determine the "size limit" of attachments that can be transmitted electronically. To be completed by 9-30-06.
Respond responding electronically to requests that are "granted in full," when able to do so. To be completed by 10-31-06.
3. ATF's FOIA Web site
Goal: Improve the design and information disseminated on the ATF FOIA Web site. Target completion: 9-30-06 (and reviewed quarterly thereafter).
Steps
Conduct a comprehensive review of the ATF Web site and determine what pages should be linked from our FOIA Web site to have one area where all publicly available information can be accessed. To be completed by 9-30-06 (and quarterly thereafter).
Prepare a "Frequently Asked Questions" section on ATF's FOIA Web site. To be completed by 9-30-06.
Meet with ATF's Information Services Division and Firearms Services Division to determine the feasibility of making the entire Federal Firearms and Explosives listings available for download from the ATF Web site. To be completed by 9-30-06.
If it is determined that ATF has the capacity to make these files available for download from our Web site, provide information on how to access the files on the FOIA site. To be completed by 9-30-06.
4. Backlog reduction
Goal: Reduce the existing backlog of pending FOIA requests by 10% each year, by focusing on the backlog of requests assigned to each Disclosure Specialist. Target completion: 1-15-07, 1-15-08, 12-31-08.
Steps
On a quarterly basis, the Disclosure Chief will review the current caseload of each Disclosure Specialist and determine the number of cases pending for more than the twenty days provided by statute. To be completed by 8-15-06, 10-15-06, 1-15-07, 4-15-07, 7-15-07, 10-15-07, 1-15-08, 4-15-08, 7-15-08, 10-15-08.
On a quarterly basis, the Disclosure Division Chief will review each case pending over twenty days and determine if reassigning the requests would facilitate a reduction in the backlog of requests. To be completed by 8-15-06, 10-15-06, 1-15-07, 4-15-07, 7-15-07, 10-15-07, 1-15-08, 4-15-08, 7-15-08, 10-15-08.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Records search process
-- Acknowledging requests and release of information
-- ATF's FOIA Web site
Areas anticipated to be completed by 12-31-07
-- None
Areas anticipated to be completed after 12-31-07
-- Backlog reduction
A. NATURE OF CIVIL DIVISION'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- FOIA Web site function and content
-- Electronic receipt/response for FOIA requests
-- Acknowledgment letter responses
-- Communications with requesters
-- Customer service
-- Expedited processing
-- Staffing/Position descriptions
-- Cross-training
-- Docket control system
-- E-FOIA publication requirements
-- Multi-track processing
-- FOIA Requester Service Center complaints
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- FOIA Web site function and content
-- Electronic receipt/response for FOIA requests
-- Acknowledgment letter responses
-- Communications with requesters
-- Customer service
-- Staffing/Position descriptions
-- Cross-training
-- Docket control system
-- E-FOIA publication requirements
-- Multi-track processing
-- FOIA Requester Service Center complaints
E. IMPROVEMENT AREA PLANS
1. FOIA Web site function and content
Goal: Maintain fully operating FOIA Web site with current information. Target completion: 10-15-06 (and continuing thereafter).
Steps
Review the Civil Division Web site. This involves clicking on each link to ensure that it is working properly. To be completed by 8-1-06, 12-1-06, 3-1-07, 6-1-07, 9-1-07, 12-1-07 (and quarterly thereafter).
Correct any dead or out-of-date links identified during regular reviews. To be completed by 10-1-06, 1-1-07, 4-1-07, 7-1-07, 10-1-07, 1-1-08 (and quarterly thereafter).
Review and update Web site features in light of current software. Apply new or revised software options to improve the Web site in either form or function. Milestone is for review and request for modification by the Information Technology staff. To be completed by 10-15-06, 6-15-07, 10-15-07, 6-15-08 (and continuing thereafter).
2. Electronic receipt/response for FOIA requests
Goal: Consider receiving and responding to FOIA requests electronically via the Internet. Target completion: 7-15-07.
Steps
Review existing agency regulations regarding receipt of and responses to request to determine if regulations permit such processing and if it would be workable to receive requests by e-mail. To be completed by 9-15-06.
If permitted by regulations, create test protocol for receipt of electronic requests and responses. To be completed by 11-15-06.
Publish electronic protocol for trial period on FOIA Web site. To be completed by 2-15-07.
Accept electronic FOIA requests for review. To be completed by 4-15-07.
Review and or modify trial implementation of electronic receipt and response of FOIA requests to determine if protocol is workable to be made permanent. To be completed by 7-15-07.
3. Acknowledgment letter responses
Goal: Review adequacy and timing of request acknowledgment letters. Target completion: 12-15-06.
Steps
Review current timing, drafting, and content of acknowledgment letters. Determine if requests requiring longer than statutory time period are being acknowledged. To be completed by 9-1-06.
Determine if changes should be implemented to processing of acknowledgment letter production. Specifically to determine how to trigger acknowledgment letter production for requests over twenty days old. To be completed by 11-15-06.
Implement processing changes to content of acknowledgment letters. To be completed by 12-15-06.
4. Communications with requesters
Goal: Improve communication with requesters by providing phone numbers and e-mail address for contact with the FOIA Requester Service Center. Target completion: 10-15-06.
Steps
Determine best process to improve requester access to FOIA Requester Service Center personnel including analysis of access by e-mail and telephone. To be completed by 9-15-06.
Implement best process to improve requester access to FOIA Requester Service Center. To be completed by 10-15-06.
5. Customer service
Goal: Review the Executive Order and train personnel to improve customer service. Target completion: 9-1-06 (and continuing thereafter).
Steps
Read the Executive Order with all FOIA-related staff to ensure that everyone understands the Executive Order and discuss customer service. To be completed by 7-1-06.
Have FOIA staff attend OIP customer-service training. To be completed by 7-11-06.
Review customer-service objectives with staff. This is an ongoing matter that requires regular attention. To be completed by 9-1-06, 12-1-06, 6-1-07, 12-1-07 (and continuing thereafter).
6. Staffing/Position descriptions
Goal: Update position descriptions for FOIA staff to accurately reflect job duties. Target completion: 11-15-06.
Steps
Review current position descriptions within the FOIA Unit to determine if they are accurate. To be completed by 9-1-06.
Revise position descriptions to accurately reflect title, duties and activities of the FOIA Specialist and Attorney-in-Charge. To be completed by 10-15-06.
Submit the revised position descriptions for review within the Civil Division. To be completed by 11-15-06.
7. Cross-training
Goal: Cross-train back-up personnel. Target completion: 3-1-06.
Steps
Identify at least one individual within the Civil Division who can be cross-trained to handle FOIA requests. To be completed by 10-1-06.
Provide formal training for the individual by attendance at OIP training seminar for access professionals and informal on-the-job training in the FOIA Unit. To be completed by 3-1-07.
8. Docket control system
Goal: Review automated docket and control system to ensure that all necessary information is being maintained. Target completion: 11-15-06.
Steps
Review current automated docket and control system to determine if it is adequate to maintain control and management of administrative FOIA requests. To be completed by 9-15-06.
Review current reporting capabilities of automated control system in light of current reporting requirements. To be completed by 10-15-06.
Request in-house information technology staff modify automated control system to meet management and reporting requirements. To be completed by 11-15-06.
9. E-FOIA publication requirements
Goal: Review E-FOIA publication requirements and post additional records on the Internet as required. Target completion: 12-31-06 (and continuing thereafter).
Steps
Review E-FOIA amendments to determine if we are meeting publication requirements for frequently requested records. To be completed by 10-1-06.
Locate specific Civil Division records that meet the E-FOIA publication requirements and submit those records to be placed on the Web site. To be completed by 12-15-06.
Test Internet access to the published records. To be completed by 12-31-06, 9-1-07, 9-1-07, 3-1-08.
10. Multi-track processing
Goal: Analyze and determine reliability of multi-track processing for complicated requests.Target completion: 12-1-06.
Steps
Review with staff the potential applicability of multi-track processing for voluminous or complicated requests. Determine if implementation would be beneficial for request processing in the Civil Division. To be completed by 10-1-06.
Implement or decline to implement multi-track processing within the Civil Division. To be completed by 12-1-06.
11. FOIA Requester Service Center complaints
Goal: Review, respond to, and resolve complaints to the FOIA Requester Service Center. Target completion: 9-15-06 (and continuing thereafter).
Steps
Review all complaints or inquiries received by the FOIA Requester Service Center. To be completed by 9-15-06, 12-1-06, 3-1-07, 6-1-07, 9-1-07, 12-01-07, 3-1-08 (and continuing thereafter).
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- FOIA Web site function and content
-- Acknowledgment letter responses
-- Communications with requesters
-- Customer service
-- Staffing/Position descriptions
-- Docket control system
-- E-FOIA publication requirements
-- Multi-track processing
-- FOIA Requester Service Center complaints
Areas anticipated to be completed by 12-31-07
-- Electronic receipt/response for FOIA requests
-- Cross-training
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF CIVIL RIGHTS DIVISION'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Increase in staff to replace early retirees in CRT's 2005 downsizing
-- Funding to develop electronic FOIA processing/Purchase of related (new) equipment
-- Improvements in timeliness for the 15% segment of workload with a substantially higher level of processing time
-- Affirmative disclosure compliance under subsection (a)(2)/Proactive disclosure
-- Web site/Electronic reading room enhancement
-- Interactions with the public and other offices for priority on courtesy
-- Acknowledgment letter form
-- System of consultations
-- Plan for any needed training of FOIA staff and program staff
-- Multi-track processing
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Increase in staff to replace early retirees in CRT's 2005 downsizing
-- Funding to develop electronic FOIA processing/Purchase of related (new) equipment
-- Improvements in timeliness for the 15% segment of workload with a substantially higher level of processing time
-- Affirmative disclosure compliance under subsection (a)(2)/Proactive disclosure
-- Web site/Electronic reading room enhancement
-- Interactions with the public and other offices for priority on courtesy
-- Plan for any needed training of FOIA staff and program staff
E. IMPROVEMENT AREA PLANS
1. Increase in staff with strengths in areas chosen for improvement
Goal: Place a GS-13 FOIA Specialist on staff. Target completion: 6-30-06.
Steps
Have new employee cleared by security and trained. To be completed by 6-20-06.
Transition to full workload. To be completed by 6-30-06.
2. Funding to develop electronic FOIA processing/Purchase related (new) equipment
Goal: To bring CRT's need for electronic equipment into discussion for upcoming budget plans. Target completion: 2-1-07.
Discuss needs with appropriate Information Technology personnel in Division and determine costs for such equipment. Contact Budget Staff to determine the budgetary limits already imposed for Fiscal Year 2006 and review the proposed budget possibilities. Submit proposal of upgrade for Fiscal Year 2007 to CRT Executive Officer. To be completed by 11-1-06.
Determine funding available for Fiscal Year 2007, and determine office needs, and contact staff to begin procurement process according to appropriate rules and regulations for Fiscal Year 2007. Study of competing systems and recommendation of new FOIA electronic system. To be completed by 2-1-07.
3. Improvements in timeliness for the 15% segment of workload with a substantially higher level of processing time
Goal: To reduce the turnaround time for complex FOIA/PA requests. Target completion: 10-1-07.
Steps
Develop information on the primary obstacles to a shorter turnaround by reviewing files of the requests closed in the "complex" category. To be completed by 9-1-06.
Analyze information to develop specific strategies on all "complex" requests. To be completed by 11-1-06.
Reduce the Fiscal Year 2005 median time by thirty days for the 15% complex category. To be completed by 2-1-07.
Reduce the Fiscal Year 2005 median time by thirty additional days and determine future target percentages for reduction and target dates for achievement at that time. To be completed by 10-1-07.
4. Affirmative disclosure compliance under subsection (a)(2)/Proactive disclosure Web site/Electronic reading room enhancement (combined)
Goal: To provide additional documents/information to the public and other CRT customers via CRT's Electronic Reading Room. Target completion: 12-1-07 (and continuing thereafter).
Review current Web site and procedures for locating subsection (a)(2) reading room materials. To be completed by 10-1-06.
Conduct periodic review of Web site and Administrative Section contacts to ensure that information is updated with the most currently available materials. Provide notice to Division components about the requirements to place subsection (a)(2) information on the Web site. To be completed by 10-1-06, 1-1-06, 4-1-07 (and quarterly thereafter).
Enhance the accessibility of the Electronic Reading Room via improved, more aesthetic design; clarify Web site and make it user-friendly, with links to other Department of Justice or applicable Web sites. To be completed by 10-1-07.
Post records related to historical CRT cases. To be completed by 12-1-07.
5. Customer service and inter-office relations/Communications
Goal: To provide prompt and courteous service regarding general procedure, status inquiries and information about CRT's programs to the public and other components/offices. Target completion: 1-15-07.
Steps
Confirm that all staff who answer telephones know how to determine the status of a request and when to send the requester to an analyst for more detailed information. Train all staff on the importance of treating requesters with courtesy and respect as well as specific instruction on the basics of workplace etiquette. To be completed by 7-1-06.
Ensure that present procedures are followed regarding all exchanges with the public so that there is adequate record of the information provided and the nature of the inquiry. To be completed by 10-1-06.
Additional periodic monitoring and training to underscore the emphasis in this area via the Executive Order. To be completed by 1-15-07.
6. Plan for any needed FOIA training of FOIA staff and Division staff
Goal: To plan for any needed legal training of FOIA staff and program staff. Target completion: 1-15-07.
Survey staff determine last date on classes taken and need for FOIA and Privacy Act legal and Information Technology training. To be completed by 10-1-06.
Research Office of Legal Education and outside sources for 2007-2008 courses offered to fulfill any training needs assessed. To be completed by 1-15-07.
Register staff for all available training for the 2007-2008 period. To be completed by 1-15-07.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Increase in staff with strengths in areas chosen for improvement
Areas anticipated to be completed by 12-31-07
-- Funding to develop electronic FOIA processing/Purchase related (new) equipment
-- Improvement in timeliness for the 15% segment of workload with a substantially higher level of processing time
-- Affirmative disclosure compliance under subsection (a)(2)/Proactive disclosure Web site/Electronic reading room enhancement
-- Customer service and inter-office relations/Communications
-- Plan for any needed FOIA training of FOIA staff and Division staff
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF CRS'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Affirmative disclosure under subsection (a)(2)
-- FOIA manual
-- Electronic FOIA (receiving/responding to requests electronically)
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Affirmative disclosure under subsection (a)(2)
-- FOIA manual
-- Electronic FOIA
E. IMPROVEMENT AREA PLANS
1. Affirmative disclosure under subsection (a)(2)
Goal: To make sure that CRS has posted on its Web site all policy statements, and other documents and materials that should be posted there. Target completion: 12-31-06 (and continuing thereafter).
Steps
CRS will review its Web site and determine what additional information should be included, in order to improve in this area. To be completed by 9-1-06 (and continuing thereafter).
This review process will involve the CRS Webmaster/IT Manager to make sure that CRS is in compliance with this affirmative disclosure requirement. To the extent additional documents are appropriate for inclusion on the CRS Web site, those documents will be placed on the CRS Web site. To be completed by 12-31-06 (and continuing thereafter).
2. FOIA manual
Goal: To develop a FOIA manual that will be current and up-to-date. Target completion: 12-31-07.
Steps
CRS will work closely with another Department component to develop a FOIA manual. To be completed by 12-31-07.
3. Electronic FOIA
Goal: To determine if CRS has a legitimate need for an Electronic FOIA system for receiving and responding to FOIA requests in light of having received only two FOIA requests during Fiscal Year 2005. Target completion: 12-31-07.
Steps
CRS's Director/Deputy Director and the IT Manager/Webmaster will consult regarding the feasibility of doing with the CRS FOIA Officer within the next sixty days. To be completed by 8-18-06.
CRS will explore the feasibility of the establishment of Electronic FOIA with CRS's National Director. To be completed by 12-31-06.
Once a decision is made by the Director on accepting FOIA requests through the Internet, CRS will implement such a system. To be completed by 12-31-07.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Affirmative disclosure under subsection (a)(2)
Areas anticipated to be completed by 12-31-07
-- FOIA manual
-- Electronic FOIA
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF THE CRIMINAL DIVISION'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Backlog reduction
-- Purchase of new equipment
-- Consultation/concurrence process
-- Customer-service policy
-- Automatic tracking capabilities
-- Web site
-- Training
-- Declassification process
-- Electronic processing
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Backlog reduction
-- Purchase of new equipment
-- Consultation/concurrence process
-- Customer-service policy
-- Automatic tracking capabilities
-- Web site
-- Training
-- Declassification process
E. IMPROVEMENT AREA PLANS
1. Backlog reduction
Goal: To reduce our backlog from 875 pending requests to approximately 525. Target completion: 12-31-08.
Steps
Complete the hiring process of one new specialist and one new attorney through aggressive personnel-replacement efforts aimed at achieving a stable workforce. To be completed by 10-1-06, 11-30-06 (and continuing thereafter).
Explore with Department Personnel Office the use of contractors. To be completed by 12-31-06.
If the use of contractors is an option for the Criminal Division, institute it. To be completed by 12-31-07.
Hold quarterly meetings of all supervisors with analysts to discuss workload and any problems being encountered. To be completed by 8-15-06 (and quarterly thereafter).
Achieve backlog reduction in proportionate amounts over these time periods. To be completed by 1-15-07, 1-15-08, 12-31-08.
2. Purchase of new equipment
Goal: To update photocopier and shredder and thereby increase productivity. Target completion: 9-30-06.
Steps
Receive new copier and shredder from our Administrative Officer. To be completed by 8-31-06.
Integrate into existing systems. To be completed by 9-30-06.
3. Consultation/concurrence process
Goal: Improve our follow-up on consultations and concurrences to decrease processing time, thereby reducing our backlog. Target completion: 12-31-07.
Steps
Initiate follow-up calls by analyst to the section/component/agency after thirty days. To be completed by 7-31-06.
Explore with IT specialists the possibility of adding a field to our tracking system that will automatically generate reminder memorandums to the sections/components/agencies similar to a system we already have in effect for searches. To be completed by 12-31-06.
Assign one analyst to concentrate on reducing our backlog of consultations and referrals, thus contributing to measurable backlog-reduction results. To be completed by 12-31-07 (assuming contract workers or additional staffing are approved).
4. Customer-service policy
Goal: To ensure that all requesters contacting the Criminal Division's FOIA Requester Service Center are treated with courtesy and professionalism and that all of their questions are answered efficiently. Target completion: 7-15-06.
Steps
Initiate in-house training for all employees, especially those involved in the operation of the service center. To be completed by 7-15-06.
5. Automatic tracking
Goal: To enable our system to be able to report all of our tracks accurately for the annual FOIA report and other reporting purposes. Target completion: 8-31-07.
Steps
Explore with our computer professionals the possibility of adding a new field to track simple requests as well as complex ones. To be completed by 8-31-07.
6. Web site
Goal: Ensure that subsection (a)(2) materials are posted in a timely manner and the prompt removal of out-of-date material, with Unit Chief taking responsibility for full subsection (a)(2) compliance. Target completion: 12-31-06 (and continuing thereafter).
Steps
Review Web page and remove outdated material. To be completed by 9-30-06 (and quarterly thereafter).
Develop a better system to obtain subsection (a)(2) material from the sections in a timely manner so that it can be posted on our Web site. To be completed by 12-31-06 (with reviews quarterly thereafter to ensure that current materials are promptly posted).
7. Training
Goal: Update our in-house training materials. Target completion: 9-30-06.
Steps
Discuss with senior analyst areas in need of updating. To be completed by 7-31-06.
A senior analyst will review and update all in-house training materials and guidance, with supervisory review by Chief and Deputy Chief. To be completed by 9-30-06.
8. Declassification process
Goal: To shorten the length of time it takes to receive classified material back from the Declassification Officer, in order to reduce overall processing time of requests involving classified materials. Target completion: 8-31-06.
Steps
Have the Director of the Office of Enforcement Operations contact the Declassification Officer by e-mail or memorandum to express our concerns. To be completed by 7-31-06.
As our Declassification Officer will be moving to the new National Security Division, request that this responsibility be delegated to a new individual in the Criminal Division. To be completed by 8-31-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Purchase of new equipment
-- Customer-service policy
-- Web site
-- Training
-- Declassification process
Areas anticipated to be completed by 12-31-07
-- Consultation/concurrence process
-- Automated tracking
Areas anticipated to be completed after 12-31-07
-- Backlog reduction
A. NATURE OF DEA'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Affirmative disclosure under subsection (a)(2)
-- Proactive disclosure of information
-- Automated tracking capabilities
-- Electronic FOIA
-- Multi-track processing
-- Backlog reduction/elimination
-- Customer relations/Communications
-- Systems of handling referrals/consultations
-- Troubleshooting of any existing problem
-- Politeness/courtesy
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Affirmative disclosure under subsection (a)(2)
-- Proactive disclosure of information
-- Automated tracking capabilities
-- Electronic FOIA
-- Multi-track processing
-- Backlog reduction/elimination
-- Customer relations/Communications
-- Systems of handling referrals/consultations
E. IMPROVEMENT AREA PLANS
1. Affirmative disclosure under subsection (a)(2); Proactive disclosure of information
Goal: To improve customer satisfaction with accessible information without the necessity of the FOIA process. (These two areas were grouped together because the steps required to reach the goal follow the same path.) Target completion: 6-7-07.
Steps
Identify scanning resources. To be completed by 7-30-06.
Identify relevant or pertinent documents to post on the Web site which would include contracts, drug trends, ARCOS information, policy statements, and agency opinions on DEA's Web site. To be completed by 8-30-06.
Agency approval of identified material. To be completed by 9-30-06.
25% of identified material scanned/posted on the Web. To be completed by 10-30-06.
50% of identified material scanned/posted on the Web. To be completed by 12-30-06.
75% of identified material scanned/posted on the Web. To be completed by 3-7-07.
100% of identified material scanned/posted on the Web. To be completed by 6-7-07.
2. Automated tracking capabilities; Electronic FOIA; Multi-track processing
Goal: To increase efficiency in tracking and redacting functions as well as the ability to receive/send requests electronically. (These two areas are grouped together because the steps required to reach the goal follow the same path.) Target completion: 3-31-08.
Steps
Define and document requirements for the E-FOIA application to include a multi-track system for several predetermined requests, i.e., expedited treatment, "no records," third parties, and referrals/consultations. To be completed by 9-30-06.
Tracking and data collection. At this juncture, the collection process will be completed manually and possibly with the assistance of DEA's current system. With this process, DEA will evaluate alternative Computer-off-the-Shelf (COTS) products versus the review of internal development/enhancements to DEA's current application and create an e-mail address and account for the receipt of FOIA/PA requests online. To be completed by 12-31-06.
Analysis of data/feedback. Review data collected to rank alternative tools; seek price quotes and funding. To be completed by 3-31-07.
Proceed with acquisition phase. To be completed by 6-30-07.
Proceed with spiral development and testing. To be completed by 9-30-07, 12-31-07.
Implement new system. To be completed by 3-30-08.
3. Backlog reduction/elimination
Goal: To reduce the existing backlog of pending FOIA requests by a proportional ratio of a percentage each year to include a quarterly reduction of 2% of existing pending cases more than twenty days old. This will be completed by periodically and consistently focusing on the existing backlog. Target completion: 12-31-06 (and continuing thereafter).
Steps
Forward status letter to requesters who have requests that are over 100 days old. To be completed by 7-30-06.
On a quarterly basis, SARO Unit Chief along with Team Leaders will review backlog together in order to determine the number of cases pending for more than twenty days. To be completed by 10-1-06, 1-1-07, 4-1-07, 7-1-07, 10-1-07, 1-1-08, 4-1-08, 7-1-08, 10-1-08, 1-1-09, 4-1-09, 7-1-09, 10-1-09.
On a quarterly basis, SARO Unit Chief along with Team Leaders will review the workload of each analyst to determine whether cases need to be redistributed and to consider, together with the Section Chief, the possible reallocation of resources where needed. To be completed by 10-1-06, 1-1-07, 4-1-07, 7-1-07, 10-1-07, 1-1-08, 4-1-08, 7-1-08, 10-1-08, 1-1-09, 4-1-09, 7-1-09, 10-1-09.
4. Customer relations/Communications
Goal: To ensure that requesters have a direct point of contact (FOIA Specialist) with whom to discuss their FOIA requests. Target completion: 7-1-06.
Steps
Implementation of a follow-up letter to original acknowledgment to contain a direct point of contact of individual handling that particular FOIA request. To be completed by 7-1-06.
Goal: To ensure that requesters have the capability to submit requests to DEA electronically. Target completion: 9-1-07.
Steps
Coordinate with IT personnel for purchase of equipment/resources. To be completed by 7-01-07.
Implementation of equipment and Internet capabilities. To be completed by 9-1-07.
5. System of handling referrals/consultations
Goal: To ensure that appropriate documents are forwarded to DEA for review/consultation purposes. Target completion: 9-30-06.
Steps
Identifying agencies/components. To be completed by 7-30-06.
Update/reinstate current memorandum of understandings between DEA and various components. To be completed by 9-30-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Backlog reduction/elimination
-- Customer relations/Communications
-- System of handling referrals/consultations
Areas anticipated to be completed by 12-31-07
-- Affirmative disclosure under subsection (a)(2); Proactive disclosure of information
Areas anticipated to be completed after 12-31-07
-- Automated tracking capabilities; Electronic FOIA; Multi-track processing
A. NATURE OF ENRD'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Processing complex FOIA requests
-- Recordkeeping process
-- Backlog reduction
-- Personnel
-- Politeness/courtesy
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Processing complex FOIA requests
-- Recordkeeping process
-- Backlog reduction
-- Personnel
-- Politeness/courtesy
E. IMPROVEMENT AREA PLANS
1. Processing complex FOIA requests
Goal: To initiate informal Executive Office and LPS reviewing attorney consultation prior to sending out complex FOIA requests to section contacts. This should cut down on processing time by ensuring proper routing of FOIA requests. Target completion: 7-31-06 (and continuing thereafter).
Steps
The Executive Office can help LPS determine the sections that are best suited to respond to the FOIA request. The Executive Office has the ability to quickly run case management reports to identify the universe of potential cases or matters responsive to the request and to determine the ENRD attorney assigned to those cases. ENRD will continue this process, and examine its effectiveness with the new paralegal, when his or her tenure begins. To be completed by 7-31-06 (and continuing thereafter).
For complex FOIA requests, the reviewing attorney in LPS can help to identify ways in which the request can be clarified or narrowed. ENRD will continue to use this review process and assess its effectiveness with new staff. To be completed by 7-31-06 (and continuing thereafter).
As a result of this administrative change, the LPS FOIA paralegals will generally send out the section memorandum, rather than the LPS administrative assistant. To be completed by 7-31-06 (and continuing thereafter).
2. Recordkeeping process
Goal: To ensure that the ENRD's part of the Department's annual FOIA report is accurate by establishing a system by which attorneys are "billing" time they spend on FOIA matters directly to the cases that are the subject of the FOIA request, which in turn means that the true number of hours spent on FOIA matters is accurately recorded. Target completion: 7-31-06.
Steps
LPS will draft and disseminate a memorandum to all ENRD members who deal with FOIA matters. To be completed by 7-31-06.
LPS will draft a revised time sheet that will be included in all FOIA section e-mails. To be completed by 7-31-06.
LPS will add a time sheet to the initial Section Response Memo so that FOIA processors from the very beginning of the FOIA process can log their FOIA time in accordance with ENRD time-reporting policies. This time sheet will include the FOIA "DJ number," definitions of search and review time, separate places to fill in search and review time logged, and a statement about how to "bill" time to the FOIA. To be completed by 7-31-06.
3. Backlog reduction
Goal: To reduce total FOIA processing by reducing the time a FOIA request is in LPS, thus enabling reduction of the ENRD FOIA backlog. This may occur: (1) between the time when LPS receives documents from the sections and when LPS considers the appropriate exemptions and redactions, (2) between the time the paralegal has reviewed the documents and the attorney reviewer looks at the documents, and (3) between the time the attorney has completed his or her review of documents and the time the LPS response is sent to the requester. Target completion: 7-31-06.
Steps
Establish the procedure by which the paralegal can review the documents when they first come in, assess how long it will take to review them, and schedule blocks of time in the same or following week to review the documents. This will help the paralegals immediately identify any problems or questions and ask for clarification from the appropriate sections. ENRD will review and reaffirm this procedure when the new paralegal joins the staff. To be completed by 7-31-06.
Establish the procedure by which the paralegal can set up an appointment with the reviewing attorney. To be completed by 7-31-06.
Establish the procedure by which paralegals and the Section Chief can meet more often to assess the status of all pending FOIAs and the paralegals can keep the Chief apprised of all pending FOIA requests. To be completed by 7-31-06.
Goal: To reduce ENRD's backlog by 10% each year by meeting on a quarterly basis to evaluate the backlog. Target completion: 8-15-06 (and continuing thereafter).
Steps
On a quarterly basis, LPS FOIA paralegals will review backlog to determine the number of cases pending for more than the twenty days provided by statute. To be completed by 8-15-06, 10-15-06, 1-15-07, 4-15-07, 7-15-07 (and quarterly thereafter).
On a quarterly basis, LPS FOIA paralegals will present the backlog to the LPS Chief to discuss further means of backlog reduction (e.g., reallocation of time or resources, setting of new goals). To be completed by 8-15-06, 10-15-06, 1-15-07, 4-15-07, 7-15-07 (and quarterly thereafter).
4. Personnel
Goal: Convene all ENRD FOIA staff (including all section FOIA processors and FOIA managers) on an annual basis (or more often, when necessary), in order to relay any new FOIA procedures or guidance to all FOIA staff and to brainstorm about improvements that can be made to the ENRD FOIA process. Target completion: 7-31-07 (and continuing thereafter).
Steps
Hold annual meeting each January. To be completed by 1-15-07, 1-15-08, 1-15-09.
Arrange an overlap between the tenure of the departing senior paralegal to ensure that the new staff member can learn from the departing paralegal's experience and expertise. To be completed by 7-31-07, 7-31-08 (and continuing thereafter).
5. Politeness/courtesy
Goal: Ensure that all new LPS paralegals recognize the importance of ENRD's customary practice of dealing courteously and appropriately with our requesters throughout the FOIA response process. Target completion: 7-31-06.
Steps
Incorporate the Executive Order into LPS new paralegal training in order to emphasize the importance of courtesy when communicating with requesters and backlog reduction through the ENRD FOIA process. To be completed by 7-31-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Processing complex FOIA requests
-- Recordkeeping process
-- Backlog reduction
-- Politeness/courtesy
Areas anticipated to be completed by 12-31-07
-- Personnel
Areas anticipated to be completed after 12-31-07
None
B. AREAS SELECTED FOR REVIEW
-- Electronic improvements
-- Staffing
-- Training
-- Maintenance and recovery of files from field offices
-- Accountability measures
-- Communications with requesters
-- Web site improvements
-- Backlog reduction
-- Customer satisfaction
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
Process all FOIA requests with an emphasis on customer service to the requester and teamwork with other agencies' FOIA components. (Improve customer satisfaction.)
Comply with statutory requirements and goals for timeliness and responsiveness, including a zero backlog of pending FOIA requests at the end of each fiscal year. (Increase efficiency and reduce backlogs.)
Review FOIA requests for frequent inquiries. If certain types of requests recur frequently, EOIR can investigate ways to make such information available to the public, within federal privacy guidelines. (Monitor and expand public access to recurring information.)
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Improve customer satisfaction-- Designate and train FOIA Public Liaison and intake personnel-- Increase efficiency and reduce backlogs
-- Create tracking mechanism to capture public comments
-- Review and revise acknowledgment letters-- Review internal tracking system-- Monitor and expand public access to recurring information
-- Evaluate current staffing levels and where possible increase staffing levels
-- Centralize filing of FOIA records and evaluate the feasibility of expanding bar coding to manage files
-- Increase efficiency through additional training at headquarters and in field offices/immigration courts
-- Improve response time for the field/immigration courts
-- Increase efficiency through improved coordination with DHS FOIA personnel
-- Reduce response times for expedited requests-- Web site review
-- Maximize affirmative disclosure under subsection (a)(2) through more efficient use of electronic reading rooms
E. IMPROVEMENT AREA PLANS
1. Improve customer satisfaction
Goal: Improve customer satisfaction by training the FOIA Public Liaison and intake personnel to answer telephone calls. Target completion: 6-30-06 (and continuing thereafter).
Steps
Clarify the responsibilities of the staff within the FOIA Requester Service Center. To be completed by 6-30-06.
Provide training to assigned individuals on a bi-annual basis in order to ensure that all of EOIR staff follow EOIR's customary practice. To be completed by 6-30-06, 1-15-07, 6-30-07, 1-15-08 (and continuing thereafter).
Goal: Improve customer satisfaction by creating a tracking mechanism to capture public comments. Target completion: 10-1-06 (and continuing thereafter).
Steps
Evaluate current system. To be completed by 7-1-06.
Meet with FOIA staff and design form. To be completed by 7-15-06, 8-1-06 (and continuing thereafter).
Implement tracking. To be completed by 8-15-06.
Review on a quarterly basis, and incorporate suggestions that arise from the calls. To be completed by 10-1-06, 3-31-07, 6-30-07, 10-1-07, 3-31-08, 6-30-08 (and quarterly thereafter).
Goal: Improve customer satisfaction by reviewing and revising acknowledgment letters to ensure that the public is aware of the new public information officers. All FOIA letters will be reviewed and wherever possible templates will be updated to include the telephone number to the FOIA Requester Service Center and proper listing of responders. Target completion: 6-30-06 (and continuing thereafter).
Steps
Review letters. To be completed by 7-1-06.
Requests changes by IRM staff. To be completed by 8-15-06.
Monitor IRM progress with monthly reports on progress. To be completed by 9-15-06, 10-15-06, 11-15-06, 12-15-06 (and continuing thereafter).
Annual review to be completed at the end of each fiscal year. To be completed by 9-30-06, 9-30-07, 9-30-08 (and continuing thereafter).
2. Increase efficiency and reduce backlogs
Goal: To reduce the existing backlog of pending initial FOIA requests by a substantial percentage each year (i.e., 25% by 1-15-07, 30% by 1-15-08, and 35% by 12-31-08, as measured by number of requests pending), by periodically and consistently focusing on the existing backlog. Target completion: 1-15-07, 1-15-08, 12-31-08.
Steps
On a quarterly basis, review existing backlog together with other staff members in order to determine the number of cases pending for more than the twenty days provided by statute. To be completed by 8-15-06, 10-15-06, 1-15-07, 4-15-07 (and quarterly thereafter).
On a quarterly basis, review workload of each analyst to determine whether cases need to be redistributed and to consider the possible reallocation of resources where needed. To be completed by 8-15-06, 10-15-06, 1-15-06, 4-15-07 (and quarterly thereafter).
On a quarterly basis, address further means of backlog reduction. To be completed by 8-15-06, 10-15-06, 1-15-07, 4-15-07 (and quarterly thereafter).
Goal: Establish a list of desired status reports to be produced on a regular schedule. Target completion: 10-1-06 (and continuing thereafter).
Steps
Establish a list of desired status reports. To be completed by 6-15-06.
Begin providing the list on a quarterly basis. To be completed by 6-30-06, 9-30-06, 12-31-06 (and quarterly thereafter).
Begin issuing reports that will be provided quarterly each year. To be completed by 10-1-06, 3-31-07, 6-30-07, 10-1-07, 3-31-08, 6-30-08 (and quarterly thereafter).
Goal: Work with the IRM staff to modify the tracking system to allow the FOIA staff to run reports directly. Target completion: 9-15-06 (and continuing thereafter).
Steps
Create list of necessary changes. To be completed by 6-15-06.
Submit a request for changes. To be completed by 6-30-06.
Monitor progress by the IRM staff on a monthly basis until the end of 2006, then move to quarterly reports. To be completed by 9-15-06, 10-15-06, 11-15-06, 12-15-06, 3-31-07, 6-30-07, 10-1-07 (and quarterly thereafter).
Goal: Evaluate current staffing levels and production and, where possible, increase staffing levels. Target completion: 8-30-06 (and continuing thereafter).
Steps
Hire additional FOIA Clerk and revise intake functions. To be completed by 8-30-06.
Revise PWP for clerk. To be completed by 8-30-06.
Goal: Revise FOIA personnel positions to include advancement opportunities and encourage longevity due to the creation of additional grades and job series. Target completion: 10-1-06.
Steps
Review of PWP initiated. To be completed by 6-15-06.
Complete revisions to PWPs and initiate job search for new FOIA specialist. To be completed by 8-15-06.
Develop new job series for the FOIA personnel. To be completed by 10-1-06.
Goal: Add contractor/additional FOIA specialist. Target completion: 11-30-06.
Steps
Request new personnel. To be completed by 7-30-06.
Take contract employee on board until an additional permanent FOIA Specialist can be hired. To be completed by 10-1-06.
Meet with Human Resources to develop job description. To be completed by 7-15-06.
Post FOIA Specialist job. To be completed by 8-1-06.
Interview for new FOIA Specialist job. To be completed by 10-1-06.
Hire new personnel. To be completed by 11-30-06.
Goal: Seek assistance of detail employees. Target completion: 9-30-06.
Steps
Request issued and detail employee transferred for ninety days to FOIA unit during second quarter of Fiscal Year 2006; we will review the status of the detail. To be completed by 6-30-06.
Obtain an extension if possible. To be completed by 8-30-06.
Evaluate possibility of conversion to permanent staff. To be completed by 8-1-06.
If possible add position in Fiscal Year 2007 budget. To be completed by 8-10-06.
Review and implement alternatives if not funded. To be completed by 9-30-06.
Goal: Centralize filing of FOIA records and evaluate the feasibility of expanding bar coding to manage files. Target completion: 11-30-06.
Steps
Consolidate FOIA files in one location. To be completed by 11-30-06.
Evaluate bar coding potential by reviewing technical constraints with IRM staff. To be completed by 6-30-06.
Evaluate costs of bar coding and report to the General Counsel. To be completed by 7-30-06.
To be completed by 8-15-06.
If not included, add to Fiscal Year 2007 issues. To be completed by 11-30-06.
Goal: Increase efficiency through additional training at headquarters and in field offices/immigration courts. Target completion: 6-15-07 (and continuing thereafter).
Steps
Review current information available to field offices about FOIA requirements. To be completed by 12-31-06.
Survey field offices. To be completed by 12-30-06.
Initiate e-mail update. To be completed by 3-31-06.
Provide a quarterly update on FOIA facts by e-mail to field office personnel. To be completed by 6-15-07, 10-15-07, 1-15-08, 3-15-08 (and quarterly thereafter).
Provide training to Court Administrators as part of orientations at headquarters. To be completed 9-30-06 (and continuing thereafter).
Goal: Improve response time for the field office/immigration courts. Target completion: 10-1-06 (and continuing thereafter).
Steps
Review and monitor of immigration court response times. To be completed by 7-1-06 (and continuing thereafter).
Explore options at field offices which may lead to a reduction in the number of overall requests through quarterly reports. To be completed by 10-1-06, 3-31-07, 6-30-07, 10-1-07, 3-31-08, 6-30-08 (and continuing thereafter).
Goal: Include FOIA compliance in court-evaluation reviews. Structurally, once data from the first two steps are collected, the FOIA Requester Service Center should work with the Office of the Chief Immigration Judge (OCIJ) to include FOIA compliance as part of the court-evaluation process. If courts understand that their compliance will be monitored they will be more likely to respond timely. Target completion: 10-1-06 (and continuing thereafter).
Steps
Contact OCIJ to discuss issue. To be completed by 6-30-06.
Meet with OCIJ. To be completed by 7-15-06.
Meet with Court Evaluation Unit. To be completed by 8-1-06.
Draft implementation plan. To be completed by 9-15-06.
Include question in fiscal year court evaluations. To be completed by 10-1-06, 3-31-07, 6-30-07, 10-1-07, 3-31-08, 6-30-08 (and continuing thereafter).
Goal: Increase efficiency by improving channels with DHS FOIA personnel through politeness and courtesy. Specifically, we will maximize the use of formal or informal agreements governing treatment of one another's records with DHS. This will allow EOIR to conserve scarce administrative resources. See, e.g., 28 C.F.R. § 16.4(h) (2005) (Justice Department regulation concerning such agreements). As noted above, requesters often seek information from EOIR that is in the possession of DHS or from DHS that is a record compiled by EOIR (such as a transcript). To the greatest extent practicable, EOIR will work with DHS to maximize informal agreements. Target completion: 9-30-07 (and continuing thereafter).
Steps
Contact FOIA personnel at DHS. To be completed by 6-15-06.
Place all necessary issues on DHS/EOIR General Counsel liaison meeting agenda. To be completed by 8-15-06.
Develop informal agreement or MOU as necessary. To be completed by 1-1-07.
Review annually. To be completed by 9-30-07, 9-30-08 (and continuing thereafter).
Goal: Reduce response times for expedited requests. In the annual report of Fiscal Year 2005, the median request time for expedited requests exceeded the median number of days for a non expedited request. EOIR has evaluated this issue and intends to reduce the expedited request period. Target completion: 9-30-06 (and continuing thereafter).
Steps
By the end of Fiscal Year 2006, the median number of days to process expedited requests reduced to be considerably less than the overall median. To be completed by 9-30-06.
Subject to available resources, additional targets to reduce the time will be set and implemented on an annual basis. To be completed by 9-30-06, 9-30-07, 9-30-08 (and continuing thereafter).
3. Monitor and expand public access to recurring information
Goal: Web site review. Consistent with the Strategic Plan adopted by EOIR, maintenance of electronic communication with the public is an essential function of the FOIA Requester Service Center. To meet these long-term goals EOIR is committed to regular review of its Web-based information. Target completion: 3-31-07 (and continuing thereafter).
Steps
Develop mechanism to send and receive information between headquarters and field offices. To be completed by 3-31-07.
Provide quarterly notice to headquarters, components, and field offices about the requirements to place frequently requested information on the EOIR Web site. To be completed by 9-30-06, 12-31-06 (and quarterly thereafter).
Provide information to headquarters and field office personnel about a point of contact. To be completed by 9-30-06.
Send quarterly reminders to EOIR personnel. To be completed by 3-31-07, 6-30-07 (and quarterly thereafter).
Link answers to the American Immigration Lawyers Association's quarterly meetings regarding FOIA issues to the FOIA Web pages. To be completed by 12-31-06, 3-31-07 (and quarterly thereafter).
Goal: Maximize affirmative disclosure under subsection (a)(2), through the prompt use of EOIR's electronic reading rooms. Target completion: 9-15-06 (and continuing thereafter).
Steps
Regularly review electronic reading rooms to enure that all possible information is listed. To be completed by 9-15-06 (and continuing thereafter).
Clarify and distinguish EOIR from Department of Homeland Security to reduce misdirected requests. To be completed by 9-15-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Improve customer satisfaction
Areas anticipated to be completed by 12-31-07
-- Monitor and expand public access to recurring information
Areas anticipated to be completed after 12-31-07
-- Increase efficiency and reduce backlog
A. NATURE OF EOUSA'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Customer relations/Communications
-- FOIA Web pages/Reading room records
-- Backlog reduction
-- Annual report
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREA PLANS
-- Customer service
-- Backlog reduction/Efficiency
-- Public access to information
-- Annual report
E. IMPROVEMENT AREA PLANS
1. Customer service
Goal: To enhance use of automated FOIA/PA forms. Target completion: 12-31-06.
Steps
Review current FOIA/PA forms to check accuracy, improve readability, improve codes, and facilitate staff usage. To be completed by 6-30-06.
Make any needed forms upgrades to assist staff in responding to public FOIA/PA requests. The revised forms provide clear guidance and more information to both the requester and USAOs. This will reduce appeals, litigation, correspondence, and many phone calls from both the requesters and USAOs, thus allowing the staff more time to focus on processing records. To be completed by 7-30-06.
Review and make any needed changes. To be completed by 12-31-06.
Train intake personnel by reviewing existing procedures with that personnel. Target completion: 9-30-06 (and continuing thereafter).
Steps
Training of intake staff. To be completed by 9-30-06 (and continuing thereafter).
Goal: Revise intake procedures to target sending an acknowledgment letter to the requester within five days of receipt of the request. Target completion: 8-30-06.
Steps
Eliminate one step at the intake stage in an effort to reduce response time. To be completed by 6-30-06.
Review and evaluate. To be completed by 8-30-06.
2. Backlog reduction/Efficiency
Goal: Direct the USAOs to respond in a more timely manner. Target completion: 12-31-06.
Steps
Identify and address fee issues at initial stage to eliminate unnecessary processing. To be completed by 10-30-06.
Make any necessary changes or revisions. To be completed by 12-31-06.
Goal: Set up a database that will periodically provide notices to the USAOs of all their pending requests. Target completion: 6-30-07.
Steps
Meet with our technology staff to discuss a plan. To be completed by 6-30-06.
Implement database if feasible. To be completed by 1-31-07.
Review and determine effectiveness. To be completed by 6-30-07.
Goal: To reduce the existing backlog of pending requests by substantial percentages, by periodically and consistently focusing on existing backlogs. Target completion: 9-1-07.
Steps
Reduce the backlog by 33%. To be completed by 9-30-06.
To reduce the backlog by 50%. To be completed by 2-28-07.
To reduce the backlog by 75%. To be completed by 9-1-07.
Goal: Provide training to all new FOIA contacts in the USAOs as they arrive. Send out notices to the new contacts informing them that we can provide individual training at EOUSA or where feasible. Provide guidance by telecommunication devices, training manuals, or travel to our office. Target completion: 3-31-07 (and continuing thereafter).
Steps
Meet with one of the USAOs that has a large backlog and new FOIA Contacts. We will evaluate their internal case tracking system and provide advice on search procedures. In addition, we will give guidance on how to respond to our requests for records. To be completed by 6-30-06.
Continue to work closely with the FOIA Contacts, providing guidance as needed. To be completed by 9-30-06, 12-31-06, 3-31-07 (and quarterly thereafter).
Review the manual and make necessary revisions. To be completed by 12-31-06.
Continue our bi-annual FOIA Contacts Seminar by working with the National Advocacy Training Center to set a date for our next seminar. To be completed by 3-31-07 (and continuing thereafter).
Goal: Ensure that in-house records are processed in a timely manner. Target completion: 12-31-06.
Steps
Run reports of outstanding in-house requests and conduct reviews with processors regularly to determine their workload status and readjust workload as necessary; concentrating on difficulties faced with processing the records received from the various offices. To be completed by 9-15-06, 10-15-06, 11-15-06, 12-15-06.
Reassess whether the procedure is useful. To be completed by 12-31-06.
3. Public access to information
Goal: Enhance public Web access to EOUSA's procedures and resources. Maintenance of electronic communication with the public is an essential function for the FOIA Staff. In an effort to meet these goals, the EOUSA FOIA Staff will regularly review its Web-based information and make useful updates. Target completion: 8-30-06 (and continuing thereafter).
Steps
Review www.usdoj.gov/usao/reading_room/guidefoia.html ("FOIA Guidance") to check for items in need of substantive revision, items in need of updating (such as hyperlinks and related regulations), etc. To be completed by 8-30-06, 12-30-06, 3-30-06 (and quarterly thereafter).
Make any needed Web site corrections or revisions to assist public. To be completed by 9-30-06, 12-30-06, 3-30-06 (and quarterly thereafter).
Goal: Ensure completeness of electronic reading room resources. Target completion: 12-31-06 (and continuing thereafter).
Steps
Review http://www.usdoj.gov/usao/reading_room/foiamanuals.html ("Electronic Reading Room") to check for additional items warranting affirmative posting pursuant to subsection (a)(2) (e.g., annual reports, policies, and manuals), and/or warranting proactive posting (e.g., database information that due to its nature would be of interest to the general public, subject to appropriate redactions). To be completed by 11-30-06.
Make any needed Web site corrections or revisions to assist public. To be completed by 12-31-06 (and continuing thereafter).
Goal: Update Major Information Systems (MIS) per FOIA requirements. Target completion: 12-31-06, 3-31-06, 6-30-06 (and quarterly thereafter).
Steps
Review http://www.usdoj.gov/usao/reading_room/indexfoia.html (MIS) for compliance with E-FOIA Amendments and coordination with related Privacy Act systems of records. To be completed by 11-30-06.
Make any needed changes. To be completed by 12-31-06.
4. Annual report
Goal: Create a computer-generated annual report submission. Over the past several years we have been able to pull reports from our database, but all reports were run separately and information was manually pulled from these reports and then compared for accuracy. We determined that it would be less time consuming if we could create an automated program that would pull from all the individual reports and plug in all the information required in the annual report. Target completion: 12-31-06.
Steps
Review annual report data and work closely with our Case Management Staff to develop the program. (We have submitted our request to Case Management and expect to have a trial program operational in July 2006.) To be completed by 7-31-06.
To have a final product. To be completed by 12-31-06.
Continue to update our database in order to reflect any changes or additions needed to the annual report. To be completed by 12-31-07, 12-31-08 (and continuing thereafter).
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Customer service
-- Public access to information
-- Annual report
Areas anticipated to be completed by 12-31-07
-- Backlog reduction/Efficiency
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF EOUST'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Affirmative disclosure under subsection (a)(2)
-- Proactive disclosure of information to reduce the need for FOIA requests
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Disclosure/FOIA reading room Web site
-- Automated systems
-- Processing procedures and times
-- FOIA personnel
-- Referrals and consultations
-- Customer service
-- Recycling of improvement information from FOIA Requester Service Center
-- Staff training
E. IMPROVEMENT AREA PLANS
1. Disclosure/FOIA reading room Web site
Goal: EOUST will make affirmative disclosures through the FOIA reading room Web site,
as required under 5 U.S.C.
Steps
Conduct a quarterly review of the FOIA reading room Web site and check for accuracy. To be completed by 8-1-06, 11-1-06, 2-1-07, 5-1-07, 8-1-07, 11-1-07 (and quarterly thereafter).
Ensure that FOIA reading room links are working properly. To be completed by 8-1-06, 11-1-06, 2-1-07, 5-1-07, 8-1-07, 11-1-07 (and quarterly thereafter).
Review additional information to disclose/post to reduce FOIA requests. To be completed by 8-1-06, 11-1-06, 2-1-07, 5-1-07, 8-1-07, 11-1-07 (and quarterly thereafter).
Determine further improvement(s) that can be made to the FOIA Web site. To be completed by 8-15-06, 11-15-06, 2-15-07, 5-15-07, 8-15-07, 11-15-07 (and quarterly thereafter).
Make recommendations to senior management for any necessary changes to the FOIA Web site. To be completed by 9-1-06, 12-1-06, 3-1-07, 6-1-07, 9-30-07, 12-31-07 (and quarterly thereafter).
If approval is granted by senior management, coordinate with IT staff to make appropriate changes to the FOIA Web site. To be completed by 9-30-06, 12-31-06, 3-31-07, 6-30-07, 9-30-07, 12-31-07 (and quarterly thereafter).
2. Automated systems
Goal: EOUST will investigate the availability of a suitable copy machine with scanning and Bates-stamping capabilities for processing FOIA requests and determine the cost. Secondarily, EOUST will investigate the availability of a suitable automated FOIA tracking system and determine the cost. Target completion: 6-30-07.
Steps
Investigate the availability of a suitable copy machine with scanning and Bates-stamping capabilities and the costs for purchase and installation. To be completed by 6-30-07.
Based on the outcome of the investigation, consult with senior management regarding the purchase of new scanning and Bates-stamping equipment consistent with budget restraints. To be completed by 3-31-07.
As a second priority, investigate automated FOIA tracking systems and determine the suitability and cost for purchase or internal development of an appropriate system. To be completed by 3-31-07.
Based on the outcome of the investigation on automated FOIA tracking systems, report the findings to senior management. To be completed by 6-30-07.
3. Processing procedures and times
Goal: EOUST will make improvements in processing procedures and times. Greater efficiency will be achieved with delegation to the FOIA Privacy/Counsel to sign designated final letters to requesters. Target completion: 9-30-06 (and continuing thereafter).
Steps
Request a revised delegation to sign final letters to requesters that advise of "no responsive documents." To be completed by 7-31-06.
Implement using a processing time form for each request to record each staff person's processing time in order to calculate FOIA fees accurately and efficiently. To be completed by 7-31-06.
Review the expedited processing procedures. To be completed by 7-31-06.
Develop a form response for expedited processing requests. To be completed by 9-30-06.
Hold quarterly staff meetings to identify case-by-case problems with processing procedures and consider possible remedies. To be completed by 9-30-06, 12-31-06, 3-31-07, 6-30-07, 9-30-07, 12-31-07 (and quarterly thereafter).
4. FOIA personnel
Goal: EOUST will evaluate the number and complexity of FOIA requests to determine if OGC needs to plan for an increased allocation of staff for FOIA work. EOUST will investigate and evaluate the option of contracting out FOIA work. Target completion: 1-31-07.
Steps
Evaluate the number and complexity of FOIA requests over the past several fiscal years. To be completed by 11-30-06.
Meet with the General Counsel regarding the analysis of the number and complexity of FOIA requests. To be completed by 1-31-07.
Investigate contracting out FOIA work. To be completed by 12-31-06.
Meet with the General Counsel regarding whether time- and cost-saving measures can be achieved by contracting out FOIA work. To be completed by 1-31-07.
5. Referrals and consultations
Goal: EOUST will streamline its procedures for handling referrals and consultations. Target completion: 12-31-06.
Steps
Develop and implement a form referral letter. To be completed by 8-31-06.
Develop a form consultation letter. To be completed by 8-31-06.
Develop a tracking system for follow-up on consultations. To be completed by 12-31-06.
Send a letter to follow-up on consultations after thirty days, if necessary. To be completed by 12-31-06 (and continuing thereafter).
Call to follow up on consultations sixty days after the initial consultation request, if necessary. To be completed by 12-31-06 (and continuing thereafter).
6. Customer service
Goal: EOUST will improve communications with requesters, both by phone and in letters, and will be polite and courteous in dealing with requesters. Target completion: 8-1-06.
Steps
Review the overall adequacy and timing of acknowledgment letters. To be completed by 8-1-06.
Develop an acknowledgment letter with the requester's FOIA number and the FOIA Requester Service Center's contact information for status inquiries. To be completed by 8-1-06.
Implement sending a newly revised acknowledgment letter to each requester within five business days from receipt of each request. To be completed by 8-1-06.
7. Recycling of improvement information gleaned from FOIA Requester Service Center
Goal: Establish a formal process to document and make use of requester-provided information regarding improvements to our FOIA process. Target completion: 9-30-06 (and continuing thereafter).
Steps
Develop a FOIA Requester Service Center phone log to create a record for inquiries, comments, and follow-up calls. To be completed by 7-31-06.
Implement using a FOIA Requester Service Center phone log to track inquiries, comments, and follow-up calls. To be completed by 8-1-06.
Hold quarterly staff meetings to discuss, capture, and make use of FOIA customer-service issues and improvement information obtained from the FOIA Requester Service Center calls. To be completed by 9-30-06, 12-31-06, 3-31-07, 6-30-07, 9-30-07, 12-31-07 (and quarterly thereafter).
8. Staff training
Goal: EOUST will investigate suitable formal FOIA training and will conduct in-house training for FOIA staff. Target completion: 9-30-06 (and continuing thereafter).
Steps
Investigate suitable formal FOIA training. To be completed by 8-1-06, 8-1-07.
Attend annual formal FOIA training. To be completed by 12-31-06, 12-31-07 (and continuing thereafter).
Coordinate and conduct in-house training for FOIA staff on Executive Order 13,392, FOIA exemption distinctions, other FOIA issues, customer service, and REDAX software. (Customer-service training also will include improvement information gleaned from the FOIA Requester Service Center calls.) To be completed by 9-30-06, 9-30-07.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Disclosure/FOIA reading room Web site
-- Processing procedures and times
-- Referrals and consultations
-- Customer service
-- Recycling of improvement information gleaned from FOIA Requester Service Center
-- Staff training
Areas anticipated to be completed by 12-31-07
-- Automated systems
-- FOIA personnel
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF FBI'S FOIA/PA OPERATIONS
B. AREAS SELECTED FOR REVIEW
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- FBI record system:-- Adequacy of automated indices; increase search accuracy, decrease search time-- Human resources:
-- Impact of using manual indices; increase search accuracy, decrease search time
-- Impact of paper files; reduce lost files, reduce manual movement of files, increase use of scanning
-- Records compliance; reduce missing serials, reduce lost files, capture e-mails
-- File series classifications; reduce use of "catch-all" series, increase specificity of subject matter within files-- Maintain number of employees-- FOIA/PA process design/Processing policies:
-- Increase skill level of employees
-- Improve level and quality of effort of employees-- Review one-stop or multi-step sub-processes for efficiency-- Improve customer's ability to determine the status of a FOIA request
-- Review level of automation; in order to reduce the amount of manual movement, increase processing speed, increase OCR capability, increase use of pre-processed requests, speed retrieval of scanned records, possibility of one-touch scanning, and volume/speed of delivery
-- Review current processing policies to determine effectiveness of multiple tracks, parallel processing, interim releases, and negotiation
-- Review current metric collection to ensure they accurately measure speed and accuracy, compile annual reports, measure meaningful work, and are acquired with minimum manual effort
-- Complete large complex requests in a more timely manner
-- Improve the FBI's FOIA/PA Web site reading room
-- Improve methods for submission of requests
E. IMPROVEMENT AREA PLANS
1. FBI record system
Goal: Develop Central Record Complex. (This will improve receipt/search, record-retrieval, and delivery sub-processes by greatly minimizing lost files and manual movement of files.) Target completion: 12-31-08.
Steps
Participate in and finish all aspects of plan for Central Record Complex in Winchester, VA. To be completed by 6-30-06.
Complete Phase I of move of FOIA/PA employees to Winchester, VA. To be completed by 9-30-06.
Complete Phase II of move of FOIA/PA employees to Winchester, VA. To be completed by 9-30-07.
Complete Phase III of move of FOIA/PA employees to Winchester, VA. To be completed by 12-31-08.
Goal: Dispose of or transfer files to NARA per approved schedule. (This will improve receipt/search and record-retrieval sub-processes by increasing search accuracy, decreasing search time, and reducing lost files, missing serials, and manual movement of files.) Target completion: 12-31-06.
Steps
Review over five million pages for transfer NARA or destruction, inventory, and remove out-of-service files at one HQ Division and three major field offices. To be completed by 12-31-06.
Goal: Review file classifications. (This will improve receipt/search and record-retrieval sub-processes by making file series classifications more specific and eliminating the use of "catch-all" file series.) Target completion: 9-30-06.
Steps
Eliminate general file series and implement new series for administrative records. To be completed by 9-30-06.
Goal: Emphasize compliance with recordkeeping requirements. (This will improve receipt/search and record-retrieval sub-processes by reducing missing serials and lost files, as well as proper recordkeeping for e-mails.) Target completion: 9-30-06.
Steps
Increase Director emphasis on the need for recordkeeping compliance, with new RMD video on recordkeeping standards and compliance. To be completed by 9-30-06.
Goal: Development of FBI Sentinel Project, including a FBI Records Management Application, electronic case files, and new search capabilities. (This will impact receipt/search and record-retrieval sub-processes by increasing search accuracy, by decreasing search time, and by reducing lost files, missing serials, and manual movement of files.) Target completion: 12-31-07.
Steps
Participate in Sentinel planning and Business Process Review. To be completed by 12-31-06.
Complete FOIA/PA automated processing system integration with electronic case file and new search capabilities. To be completed by 12-31-07.
Complete FBI Records Management Application. To be completed by 12-31-07.
2. Human resources
Goal: Fill vacant employee positions. (This will improve ability to process requests more quickly.) Target completion: 9-30-07.
Steps
Fill sixty vacant positions. To be completed by 9-30-06.
Fill remaining vacancies. To be completed by 9-30-07.
Goal: Increase employee education level. (This will improve quality and consistency of processing.) Target completion: 6-30-06.
Steps
Require bachelors degree or equivalent experience for entry-level positions. To be completed by 6-30-06.
Goal: Develop and implement formal, in-house training programs. (This will improve quality and consistency of processing, and ability to process requests more quickly.) Target completion: 12-31-06.
Steps
Develop and implement formal training programs for search skills, declassification, FOIA/PA redaction, and automated processing. To be completed by 12-31-06.
Goal: Develop individual production metrics. (This will improve ability to process requests more quickly.) Target completion: 7-31-06.
Steps
Implement automated individual production metrics for FOIA/PA declassification review teams. To be completed by 7-31-06.
Goal: Develop and measure individual quality metrics. (This will improve quality and consistency of processing.) Target completion: 12-31-06.
Steps
Complete implementation of spot-check program for the entire FOIA/PA process. To be completed by 12-31-06.
3. FOIA process policies and design
Goal: Improve existing process through focus on use of IT enhancements to the existing automated processing system. (This will improve ability to process requests more quickly.) Target completion: 7-15-06.
Steps
Establish a FOIA/PA Process Board and an IT Change-Management Board. To be completed by 7-15-06.
Goal: Develop within the automated processing system OCR capability parallel with scanned images to identify duplicate documents. (This will improve quality and consistency of processing.) Target completion: 12-31-06
Steps
Submit proposal before the IT Change-Management Board. To be completed by 7-1-06.
Develop prototype process for testing. To be completed by 10-31-06.
Implement OCR capability. To be completed by 12-31-06.
Goal: Develop within the automated processing system enhanced recognition of similar requests. (This will improve quality and consistency of processing, and thus ability to process requests more quickly.) Target completion: 3-31-07.
Steps
Submit proposal before the IT Change-Management Board. To be completed by 7-1-06.
Develop prototype for testing. To be completed by 12-31-06.
Implement enhanced recognition of similar requests. To be completed by 3-31-07.
Goal: Review current processing policies to determine effectiveness of multiple tracks, parallel processing, interim releases, focus on old requests, and negotiation. (This will improve ability to process requests more quickly.) Target completion: 9-30-06.
Steps
Review all current processes at the bi-monthly at the FOIA/PA Process Board. To be completed by 9-30-06.
Goal: Review current metric collections to ensure that they accurately measure speed and accuracy, compile annual reports, measure meaningful work, and are acquired with minimum manual effort. (This will improve quality and consistency of processing, and thus ability to process requests more quickly.) Target completion: 9-30-06.
Steps
Review all current processes at the bi-monthly at the FOIA/PA Process Board. To be completed by 9-30-06.
Goal: Continue emphasis on completing requests over two years old. (This will improve ability to process requests more quickly.) Target completion: 8-15-07.
Steps
Identify, develop, and implement processing plans for all requests between August 15, 2002 and August 15, 2003. To be completed by 8-15-06.
Complete all requests older than August 15, 2002. To be completed by 12-31-06.
Complete all requests older than August 15, 2003. To be completed by 4-15-07.
Complete all requests older than August 15, 2005. To be completed by 8-15-07.
Goal: Decrease by 10% from Fiscal Year 2005 the median processing time for requests in the small (0-500 pages) and medium (501-1500 pages) queues. Target completion: 9-30-06.
Steps
Reduce the median processing time for small requests from 161 days to 145 days. To be completed by 9-30-06.
Reduce the median processing time for medium requests from 521 days to 469 days. To be completed by 9-30-06.
Goal: Decrease by 20% from Fiscal Year 2005 the median pending time for all requests. Target completion: 9-30-06.
Steps
Reduce median pending time for all requests from 286 days to 229 days. To be completed by 9-30-06.
4. Improvements in customer ability to determine the status of a request
Goal: Review FOIA Requester Service Center logs. Target completion: 1-15-07, 1-15-08, 10-31-08.
Steps
Review public input from FOIA Requester Service Center at bi-monthly FOIA/PA Process Board meetings. To be completed by 1-15-07, 1-15-08, 10-31-08.
Goal: Review politeness/courtesy goals for interactions with requesters.Target completion: 6-30-06.
Steps
Have all FOIA/PA employees review politeness/courtesy goals for interactions with customers. To be completed by 6-30-06.
Goal: Determine feasibility of automatic generation of status letters as requests move through FOIA/PA sub-processes. Target completion: 12-31-06.
Steps
Discuss feasibility of automatic generation of status letters at the bi-monthly FOIA/PA Process Board. To be completed by 7-1-06.
Develop prototype process for testing. To be completed by 10-31-06.
Implement automatic generation of status letters. To be completed by 12-31-06.
5. Improvements to the FBI's FOIA Web site reading room
Goal: Improve Web site usability. Target completion: 12-31-06.
Steps
Review Web site navigation, layout with ITOD. To be completed by 7-1-06.
Review Web site navigation, layout with ITOD. To be completed by 12-31-06.
Goal: Update the FBI's general reading room and its FOIA/PA Web site's electronic reading room. Target completion: 12-31-06.
Steps
Review reading room and electronic reading room materials that "begin with A to C." To be completed by 7-1-06.
Delete seldom-visited items (if not required to be posted under subsection (a)(2)) and add more recent/topical requests. To be completed by 12-31-06.
6. Improvements to methods for submission of requests
Goal: Review current methods (letter, fax, and Web site) for submission of requests to determine if other media are desired. Target completion: 12-31-06.
Steps
Review effectiveness of all existing methods for submission of FOIA/PA requests at the bi-monthly FOIA/PA Process Board. To be completed by 12-31-06.
7. Expedited processing
Goal: Review current procedures regarding the handling of expedited treatment requests, and implement practices necessary to ensure compliance with Department practices. Target completion: 8-31-06.
Steps
Review procedures for immediate handling of requests for expedited treatment. To be completed by 7-31-06.
Create a mechanism that will ensure compliance with Department procedures for handling of expedited treatment requests, most particularly prompt notification to requesters of all action taken on such requests. To be completed by 8-31-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Improvements to the FBI's FOIA Web site reading room
-- Improvements to methods for submission of requests
-- Expedited processing
Areas anticipated to be completed by 12-31-07
-- Human resources
-- FOIA process policies and design
Areas anticipated to be completed after 12-31-07
-- FBI record system
-- Improvements in customer ability to determine the status of a request
A. NATURE OF BOP'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Technology
-- Communication with requesters
-- Staffing
-- Training
-- Feedback
-- Perpetual auditing
-- Multi-track processing
-- Troubleshooting of request tracking
-- FOIA Web site
-- Affirmative disclosure
-- Proactive disclosure
-- Expedited processing
-- Recycling information gleaned from FOIA Requester Service Center
-- Referrals/Consultations
-- Centralization/decentralization structure
-- Backlog-reduction project
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- FOIA Web site
-- Affirmative disclosure
-- Proactive disclosure
-- Expedited processing procedures
-- Recycle improvement information gleaned from FOIA Requester Service Centers
-- Referrals/Consultations
-- Centralization/decentralization structure
-- Backlog-reduction project
E. IMPROVEMENT AREA PLANS
1. Public Web site
Goal: Ensure that information on the public Web site is consistently up-to-date and accurate. Target completion: 11-1-06 (and continuing thereafter).
Steps
Review Web site to determine if (1) information is easily located; (2) information is presented in a clear and precise manner; and (3) information is accurate and current. To be completed by 9-30-06, 12-31-06, 3-31-07, 6-30-07 (and quarterly thereafter).
Immediately correct or modify Web site information as determined necessary. To be completed by 11-1-06.
2. Affirmative disclosure
Goal: Establishing and implementing periodic review of subsection (a)(2) by ensuring continuous statutory compliance with posting frequently requested records, policy statement, staff manual and instructions to staff, and final agency opinions on the Web site. Target completion: 7-31-06 (and continuing thereafter).
Steps
Review current disclosure list. To be completed by 9-1-06.
Appoint subsection (a)(2) liaison in FOIA Office. To be completed by 7-31-06.
Train appropriate staff on subsection (a)(2) requirements. To be completed by 7-31-06.
Conduct quarterly review to ensure compliance with subsection (a)(2). To be completed by 6-30-06, 9-30-06, 12-31-06, 3-31-06, 6-30-07 (and quarterly thereafter).
3. Proactive disclosure of information
Goal: Reduce the number of requests filed by increasing dissemination of records that can be made available to the public without the necessity of a FOIA request. Target completion: 6-30-07 (and continuing thereafter).
Steps
Review current frequently requested records list. To be completed by 10-1-06.
Modify Web site to reflect changes identified by bi-annual review. To be completed by 4-1-07.
Conduct quarterly review of frequently requested records. To be completed by 9-30-06, 12-31-06, 3-31-07, 6-30-07 (and quarterly thereafter).
4. Expedited processing procedures
Goal: Ensure compliance with time limits related to expedited processing. At the close of Fiscal Year 2008, compliance with time limits for expedited processing should be no less than 80%. Target completion: 6-30-07.
Steps
Appoint Central Office expedited processing liaison. To be completed by 10-1-06.
Review/establish procedure for immediate identification of request for expedited treatment. To be completed by 12-31-06.
Provide training to all field staff on the proper procedures and requirements for expedited processing. To be completed by 6-30-07.
5. Recycling of improvement information gleaned from FOIA Requester Service Center
Goal: Cull, compile, and use suggestions, concerns, and ideas received via the FOIA Requester Service Center, with a goal of recorded assistance showing no less than 90% of appropriate customer-service standards (random review rated as acceptable/unacceptable/ exemplary by supervisory staff). 12-31-06 (and continuing thereafter).
Steps
Investigate the implementation of taping requester-provided information for the making of generic improvements. To be completed by 12-31-06.
Log suggestions and ideas culled from service center. To be completed by 12-31-06, 3-31-07, 6-30-07, 9-30-07 (and quarterly thereafter).
Share the logs with appropriate FOIA staff quarterly. To be completed by 12-31-06, 3-31-07, 6-30-07, 9-30-07 (and quarterly thereafter).
6. Referrals/Consultations
Goal: Improve system of handling incoming referrals and consultations, with a goal of a 40% decrease in processing time by December 2007. Target completion: 11-30-06.
Steps
Develop practice of attempting release via consultation before referral. To be completed by 10-1-06.
Develop procedures to ensure referrals and consultations are made as expeditiously as possible. To be completed by 11-30-06.
7. Centralization/decentralization structure
Goal: Review BOP FOIA administration to determine effectiveness of FOIA administration structure in relation to centralization/decentralization. Target completion: 9-1-07.
Steps
Identify detailed workflow. To be completed by 10-30-06.
Identify record-location and record-retrieval methods. To be completed by 3-1-07.
Evaluate pros and cons of centralization/decentralization of staffing. To be completed by 9-1-07.
8. Backlog-reduction project
Goal: Reduce the number of requests pending for more than twenty days to no more than 5% (in three staged intervals, i.e., 15%, 10%, and then 5%) of the total number of requests received for the fiscal year. Target completion: 3-1-08.
Steps
Review and cull backlog list. To be completed by 10-1-06.
15% goal. To be completed by 3-1-07.
10% goal. To be completed by 10-1-07.
5% goal. To be completed by 3-1-08.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Public Web site
-- Affirmative disclosures
-- Recycling of improvement information gleaned from FOIA Requester Service Center
-- Referrals/Consultations
Areas anticipated to be completed by 12-31-07
-- Proactive disclosure of information
-- Expedited processing procedures
-- Centralization/decentralization structure
Areas anticipated to be completed after 12-31-07
-- Backlog-reduction project
A. NATURE OF FCSC'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Customer service
-- FOIA Web site improvement
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Customer service
-- FOIA Web site improvement
E. IMPROVEMENT AREA PLANS
1. Customer service
Goal: Provide training and orientation to the FCSC FOIA staff to ensure our continued professional delivery of customer service. Target completion: 7-31-06.
Steps
Provide training to the FCSC FOIA staff on the customer-service requirements highlighted in the Executive Order. To be completed by 7-31-06.
2. FOIA Web site improvement
Goal: Improve the FCSC FOIA Web site in order to provide more information to the public more promptly pertaining to current decisions on individual claims. Target completion: 9-30-06 (and continuing thereafter).
Steps
Refine and update process for locating and posting subsection (a)(2) reading room documents. To be completed by 9-1-06.
Review the FCSC FOIA Web site quarterly to ensure that information is current and relevant documents are posted. To be completed by 9-30-06, 12-31-06, 3-31-07, 6-30-07, 9-30-07, 12-31-07, 3-31-08, 6-30-08, 9-30-08, 12-31-08.
Examine ways to improve the FCSC FOIA Web site to make it more user-friendly. To be completed by 9-30-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Customer service
-- FOIA Web site improvement
Areas anticipated to be completed by 12-31-07
None
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF USNCB'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Customer relations/Communications
-- Multi-track processing
-- Response letters
-- FOIA Web pages/Reading room record
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Customer relations/Communications
-- Multi-track processing
-- Response letters
-- FOIA Web pages/Reading room records
E. IMPROVEMENT AREA PLANS
1. Customer relations/Communications
Goal: Ensure that our FOIA operation is citizen-centered and results-oriented. Target completion: 8-1-06.
Steps
Review the performance of the USNCB's answers to calls to the FOIA Requester Service Center in order to make improvements in how to determine the status of a request and when the requester should be referred to the FOIA Public Liaison for a more detailed account of his request, if one is needed. To be completed by 6-30-06.
Create a log to record calls to the FOIA Requester Service Center, take notes of what is being requested, and take notes on what the results were. To be completed by 7-15-06.
Review of this log to record calls to the FOIA Requester Service Center log to monitor improvements in this area. To be completed by 8-1-06 (and quarterly thereafter).
2. Multi-track processing
Goal: Increase efficiency in processing FOIA requests and eliminate any potential backlog. Target completion: 8-1-06.
Steps
Segregate all requests into three groups: (1) simple; (2) complex; and (3) expedited. To be completed by 7-1-06.
Assign all simple requests to additional component personnel for processing. Such requests will include the "no records" requests, or easily obtainable existing materials. This step will permit the primary FOIA Specialist to concentrate on processing more complex and expedited requests, thus creating a shorter response time. To be completed by 7-1-06.
Assign FOIA-related tasks (such as retrieval of responsive records and photocopying of records) to additional component personnel. This step will permit the primary FOIA Specialist to concentrate on processing requests, thus creating a shorter response time. To be completed by 8-1-06.
3. Response letters
Goal: To better communicate the results of our search for responsive records and to explain the disposition of those records. Since most FOIA requesters appeal the USNCB's decision to withhold records totally, explain the denial of those records in a more comprehensive and effective manner. This should decrease the number of appeals and litigation caused by misunderstanding. Target completion: 12-1-06.
Steps
Segregate all records into four categories (referred, partial denial, total denial, and total grant) and explain in greater detail the reason for the totally denied records. To be completed by 11-1-06 (and continuing thereafter).
Document and cover in the response letter everything that was done with the request, from inception until completion thereof. To be completed by 12-1-06 (and continuing thereafter).
4. FOIA Web site/Reading room records
Goal: Redesign the USNCB Web site to better serve the needs of its customers, and to structure the Web site in a manner that will be customer-friendly and easy to navigate to retrieve desired information. Target completion: 11-20-06.
Steps
Review Web page template in accordance with Department of Justice polices and guidance. To be completed by 10-30-06.
Insert current Web site information into template and save. To be completed by 11-15-06.
Review the USNCB Web site quarterly to ensure that information is current and relevant documents are posted for technical issues. To be completed by 7-1-06 (and quarterly thereafter).
Obtain approval from the Department of Justice Web Content Manager to publish Web pages. To be completed by 11-20-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Customer relations/Communications
-- Multi-track processing
-- Response letters
-- FOIA Web pages/Reading room records
Areas anticipated to be completed by 12-31-07
None
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF JMD'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- FOIA Web pages/Reading room records
-- Use of information technology
-- Backlog reduction
-- Customer relations/Communications
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- FOIA Web pages/Reading room records
-- Use of information technology
-- Backlog reduction
-- Customer relations/Communications
E. IMPROVEMENT AREA PLANS
1. FOIA Web pages/Reading room records
Goal: To improve JMD FOIA Web pages to provide updated information to the public in a more user-friendly format. Target completion: 9-30-06.
Steps
Remove obsolete records. To be completed by 9-30-06.
Update and consolidate into one page or cross-reference links. To be completed by 9-30-06.
2. Use of information technology
Goal: To increase efficiency by using better information technology to track and process FOIA requests. Target completion: 12-31-08.
Steps
Input FOIA tracking sheets electronically so that the annual report statistics for the JMD offices will be automated. To be completed by 9-31-06.
Continue to monitor the Department's progress in implementing a Departmentwide IT solution. To be completed by 12-31-07.
If no Departmentwide IT solution is in place at the time that the Mail Referral Unit contract is modified, consider adjusting our contract requirements to include an automated system for processing FOIA requests. To be completed by 12-31-08.
3. Backlog reduction
Goal: To reduce the backlog, focus primarily on the oldest FOIA requests. Target completion: 3-31-07.
Steps
Identify FOIA requests pending for more than 100 days. To be completed by 6-30-06.
Consider whether reassigning and prioritizing work is possible to alleviate delay. To be completed by 7-31-06.
Provide in-house training to PSS on FOIA legal issues. To be completed by 9-30-06.
Check status of those requests identified and re-examine any requests not yet resolved. To be completed by 10-31-06.
Quality control -- review a representative number of referrals and "no record" decisions to ensure that the appropriate components are receiving referrals and that decisions are accurate, and provide feedback to staff. To be completed by 12-31-06.
Review and update model letters and make them available to staff processing FOIA requests. To be completed by 3-31-07.
4. Customer relations/Communications
Goal: Provide better customer service to FOIA requesters. Target completion: 7-31-06.
Steps
Educate staffs via memorandum and briefing regarding Executive Order requirements. To be completed by 7-31-06.
Goal: Improve forms of communications with FOIA requesters. Target completion: 3-31-07.
Steps
Review selected model letters to ensure that all useful and relevant information is provided to requesters. To be completed by 12-31-06.
Review and update remaining model letters and make them available to staff processing FOIA requests. To be completed by 3-31-07.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- FOIA Web pages/Reading room records
Areas anticipated to be completed by 12-31-07
-- Customer relations/Communications
-- Backlog reduction
Areas anticipated to be completed after 12-31-07
-- Use of information technology
A. NATURE OF NDIC'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- FOIA Web site
-- Acknowledgment letters
-- Checklist and worksheet maintained by FOIA personnel
-- Internal search process
-- Documentation
-- Processing of information located in searches
-- Completion of response letter
-- Weekly FOIA spreadsheet submitted to executive management
-- Chain-of-command review process of the information to be submitted to requester
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- FOIA Web site
-- Acknowledgment letters
-- Checklist and worksheet maintained by FOIA personnel
-- Customer Service/Requester communications
-- Weekly FOIA spreadsheet submitted to executive management
-- Chain-of-command review process of the information to be submitted to requester
E. IMPROVEMENT AREA PLANS
1. FOIA Web site
Goal: Update the NDIC Web site to ensure that information is current and that additional information has been added as appropriate. Target completion: 10-15-06.
Steps
Ensure that newly identified frequently requested documents are added to the FOIA Web site. To be completed by 9-15-06 (and quarterly thereafter).
Review the Department of Justice and other federal FOIA Web sites looking for potential enhancements to the NDIC Web site. To be completed by 9-15-06 (and quarterly thereafter).
Implement any enhancements identified in review process. To be completed by 10-15-06 (and continuing thereafter).
2. Acknowledgment letters
Goal: Send acknowledgment letters to requesters more quickly. Target completion: 7-1-06 (and continuing thereafter).
Steps
Institute system in which acknowledgment letters are signed off by the first-line supervisor. To be completed by 7-1-06.
Institute system by which acknowledgment letters are placed in mail within two working days of receipt of request. To be completed by 7-1-06.
3. Checklist and worksheet
Goal: Create a permanent FOIA checklist/worksheet. Target completion: 8-1-06.
Steps
Institute a system in which all applicable information (including signing of all check list responses, documentation of all hours, and a brief synopsis of the basis for the FOIA response) is recorded on a FOIA checklist/worksheet. To be completed by 8-1-06.
Update the checklist as organizational changes occur. To be completed by 8-1-06 (and continuing thereafter).
Customer service/Requester communications
Goal: Ensure that all conversations with FOIA requesters, other agencies, and NDIC personnel take place in a courteous and professional manner and are properly documented. Target completion: 7-31-06.
Steps
Institute a system in which memorandums to file, e-mails, and other applicable documentation gathered or generated by the FOIA personnel are kept in an organized manner in the applicable FOIA file folder. To be completed by 7-1-06.
Train NDIC FOIA staff on customer service and Executive Order. To be completed by 7-31-06.
5. Weekly FOIA spreadsheet
Goal: Keep NDIC management aware of the status of FOIA requests. Target completion: 8-1-06.
Steps
Institute a system in which the weekly FOIA spreadsheet is completed in an accurate and timely manner no later than the close of business every Tuesday and submitted to management by noon the next day. To be completed by 8-1-06.
6. Chain-of-command review process
Goal: To minimize delays in placing response letters in the mail. Target completion: 9-1-06.
Steps
Institute a system in which the FOIA file contains a brief synopsis of the basis for the response. To be completed by 8-1-06.
Institute a system in which first-line supervisors will sign "no records" responses, instead of going up two more levels in the chain of command. To be completed by 9-1-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- FOIA Web site
-- Acknowledgment letters
-- Checklist and worksheet maintained by FOIA personnel
-- Customer service/Requester communications
-- Weekly FOIA spreadsheet submitted to executive management
-- Chain-of-command review process of the information to be submitted to requester
Areas anticipated to be completed by 12-31-07
None
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF COPS' FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Backlog
-- FOIA Web pages
-- Electronic initial requests and case tracking
-- Proactive disclosure
-- Referral process
-- Customer service
-- Training
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Proactive disclosure
-- Referral process
-- Customer service
-- Training
E. IMPROVEMENT AREA PLANS
1. Proactive disclosure
Goal: Increase the amount and type of information that is currently available in the electronic reading room. This is the type of information that is beyond the scope of the required disclosures contained under subsection (a)(2). Target completion: 8-15-06.
Steps
The FOIA Officer will determine the specific documents that will be made available to the public via the COPS Web site. To be completed by 7-15-06.
The FOIA Officer will conduct meetings with the COPS Web site administrator to schedule the establishing of additional links to the COPS Web site, which will access the newly added material. To be completed by 7-30-06.
The additional agency documents will be available for public access via the COPS Web site. To be completed by 8-15-06.
Once implementation has been completed, an annual review will be conducted by the COPS FOIA unit to identify additional information that may be posted on the agency Web site and to remove information that is no longer available. To be completed by 8-15-06 (and continuing thereafter).
2. Referral process
Goal: Reduce delays in response to requesters by streamlining the referral process. Target completion: 7-30-06.
Steps
The FOIA Officer will update the COPS FOIA Manual to reflect the changes in procedures in handling referrals, so that referrals are sent out to the appropriate agency as soon as the records are located. To be completed by 7-15-06.
Implement the new procedure regarding referrals. To be completed by 7-30-06.
3. Customer service
Goal: Improve customer service by ensuring consistency in the processing of FOIA requests. Target completion: 6-30-06.
Steps
The COPS Assistant General Counsel will identify the Legal Division attorney who will serve as the permanent designated back-up FOIA Officer. This attorney will perform all FOIA-related duties in the absence of the regular FOIA Officer. This attorney will also be responsible for duties associated with the FOIA Requester Service Center. To be completed by 6-30-06.
4. Training
Goal: Improve customer service by educating COPS Legal Division staff on the requirements established in the Executive Order. Target completion: 7-31-06.
Steps
The COPS FOIA Officer will identify all Legal Division staff that is involved with the agency's FOIA program. To be completed by 7-14-06.
The COPS FOIA Officer will conduct training on the customer service requirements of the Executive Order. The FOIA Officer will also gather suggestions and recommendations from these employees on how to continue to improve our customer service processes. To be completed by 7-31-06.
This training will be conducted by the COPS FOIA Officer to all staff involved with the COPS FOIA program, on an annual basis. To be completed by 8-15-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Proactive disclosure
-- Referral process
-- Customer service
-- Training
Areas anticipated to be completed by 12-31-07
None
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF OFDT'S FOIA OPERATIONS.
B. AREAS SELECTED FOR REVIEW
-- Affirmative disclosure under subsection (a)(2)
-- Proactive disclosure of information
-- Overall FOIA Web site improvement
-- Improvement of component's FOIA manual
-- Automated tracking capabilities
-- Electronic FOIA -- automated processing
-- Electronic FOIA
-- Contracting out/Hiring of contract employees
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Affirmative disclosure under subsection (a)(2)
-- Proactive disclosure of information
-- Overall FOIA Web site improvement
-- Automated tracking capabilities
-- Electronic FOIA -- automated processing
-- Electronic FOIA
-- Contracting out/Hiring of contract employees
E. IMPROVEMENT AREA PLANS
1. Affirmative disclosure
Goal: Institute an initiative to ensure full implementation of the requirements of subsection (a)(2) for all records subject to public disclosure (including any such records pertaining to detention trends, procurement, program review, and budget) in an easy-to-access format on the OFDT Web site. Target completion: 9-15-06 (and continuing thereafter).
Steps
Identification of records subject to subsection (a)(2) public disclosure on OFDT's FOIA Web site. To be completed by 7-15-06.
Formatting and coding of records to be posted to OFDT's FOIA Web site. To be completed by 8-31-06.
Posting to OFDT Web site of records subject to subsection (a)(2) public disclosure. To be completed by 9-15-06.
Review OFDT FOIA Web page quarterly to ensure that information is current and relevant documents are posted. To be completed by 9-15-06, 12-15-06, 3-15-07, 6-15-07, 9-15-07, 12-15-07, 3-15-08, 6-15-08, 9-15-08, 12-15-08.
2. Proactive disclosure
Goal: Even if a detention record is not one is required to be posted under subsection (a)(2), if the record increases public awareness of the OFDT mission, we will seek to make it available on the Web site. Target completion: 12-31-06.
Steps
Identification of records suitable for proactive disclosure on OFDT's FOIA Web site. To be completed by 7-15-06.
Formatting and coding of records suitable for proactive disclosure on OFDT's FOIA Web site. To be completed by 12-1-06.
Posting to OFDT Web site of records suitable for proactive disclosure. To be completed by 12-31-06.
3. Overall FOIA Web site improvement
Goal: Improve the OFDT FOIA Web site by making it more prominent and user-friendly. Specifically, expand the information contained on the page to include not only basic information regarding how to make a FOIA request, but also information regarding the types of records available from OFDT. Furthermore, OFDT will provide links to certain key detention records. OFDT is planning to utilize an eye-catching design that will encourage further exploration of the FOIA Web site and, ultimately, a better understanding of the workings of OFDT. Target completion: 7-31-07.
Steps
Consultation with OFDT's Webmaster regarding new FOIA Web site design. To be completed by 10-31-06.
Selection of layout for new FOIA Web site. To be completed by 4-1-07.
Deployment of new FOIA Web site. To be completed by 7-31-07.
4. Automated tracking capabilities
Goal: Improve FOIA operations by implementing an automated system which, among others things, has the capability to track FOIA requests. OFDT already has met with and exchanged information regarding possible software purchases from several vendors. Target completion: 12-31-07.
Steps
Contact vendors regarding system-specific requirements and price quotations for FOIA software. To be completed by 12-31-06.
Preparation and full processing (including interviewing of vendors) of a request for purchase of FOIA software. To be completed by 6-30-07.
FOIA software installed and implemented, including any customizations needed to fit OFDT specifications. To be completed by 12-31-07.
5. Electronic FOIA -- automated processing
Goal: Implement an automated system which transforms the manual labor of processing a hard-copy FOIA request to an automated system using menus and icons. To the extent that the records being requested are stored electronically, the system will retrieve the record, redact it, and deliver it to the requester. Because it is anticipated that the electronic processing of FOIA requests will be a part of a comprehensive Web-based FOIA application which includes the tracking of the request, the precise steps and time milestones involved in achieving this goal are identical to those listed with regard to Automated Tracking Capabilities, above. Target completion: 12-31-07.
Steps
Contact vendors regarding system-specific requirements and price quotations for FOIA software. To be completed by 12-31-06.
Preparation and full processing (including interviewing of vendors) of a request for purchase of FOIA software. To be completed by 6-30-07.
FOIA software installed and implemented, including any customizations needed to fit OFDT specifications. To be completed by 12-31-07.
6. Electronic FOIA
Goal: Implement an automated system which prepares and delivers the requested documents to the requesters. Because it is anticipated that the electronic FOIA will be a part of a comprehensive Web-based FOIA application that includes the tracking and processing of the request, the precise steps and time milestones involved in achieving this goal are identical to those listed with regard to Automated Tracking Capabilities and Electronic FOIA -- Automated Processing, above. Target completion: 12-31-07.
Steps
Contact vendors regarding system-specific requirements and price quotations for FOIA software. To be completed by 12-31-06.
Preparation and full processing (including interviewing of vendors) of a request for purchase of FOIA software. To be completed by 6-30-07.
FOIA software installed and implemented, including any customizations needed to fit OFDT specifications. To be completed by 12-31-07.
7. Contracting out/Hiring of contract employees
Goal: Because there currently is only one staff member assigned to process FOIA requests at OFDT and that staff member also serves as legal counsel to the office, OFDT proposes to hire one contract employee to assist in OFDT's FOIA operations. Target completion: 7-31-07.
Steps
Identification of requirements for contract employees to assist in OFDT FOIA operations. To be completed by 12-31-06.
Issuance of task order for hiring of contract employee to assist in OFDT FOIA operations. To be completed by 6-30-07.
Hiring of contract employee to assist in OFDT FOIA operations. To be completed by 7-31-07.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Affirmative disclosure under subsection (a)(2)
-- Proactive disclosure of information
Areas anticipated to be completed by 12-31-07
-- Overall FOIA Web site improvement
-- Automated tracking capabilities
-- Electronic FOIA -- automated processing
-- Electronic FOIA
-- Contracting out/Hiring of contract employees
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF OIG'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- FOIA Web site
-- Automated tracking process
-- Electronic FOIA
-- Customer communications
-- Referral/consultation process
-- Backlog reduction
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- FOIA Web site
-- Automated tracking process
-- Electronic FOIA
-- Customer communications
-- Referral/consultation process
E. IMPROVEMENT AREA PLANS
1. FOIA Web site
Goal: Make additions to the Web site to allow requesters the option of sending requests either by e-mail or fax. Target completion: 11-15-06.
Steps
Work with the HelpDesk to establish a link sending requesters to an e-mail address and post fax number on the Web page. To be completed by 11-15-06.
Work with the HelpDesk to posting a request fax number on our contact page. To be completed by 11-15-06.
2. Automated tracking process
Goal: Track requests in the FOIA tracking system by name or other detailed information. Target completion: 9-30-06.
Steps
Create a "memo" section in the FOIA tracking system with detailed information to assist in tracking requests. To be completed by 9-30-06.
3. Electronic FOIA
Goal: To give requesters the option to file their requests electronically. Target completion: 1-15-07.
Steps
Create an e-mail address strictly for FOIA requests with the capability of replying to the requesters. To be completed by 1-15-07.
4. Customer communications
Goal: Improve communications with requesters. Target completion: 7-1-06.
Steps
Revise our acknowledgment letters to include a telephone number so requesters have that information to call for the status of their requests. To be completed by 7-1-06.
5. Referral/consultation process
Goal: Maintain a better system when dealing with referrals/consultations to ensure the proper handling of requests. Target completion: 10-15-06.
Steps
Create a separate system to track referrals and consultations. To be completed by 9-30-06.
Implement the new system to track referrals and consultations. To be completed by 10-15-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- FOIA Web site
-- Automated tracking process
-- Customer communications
-- Referral/consultation process
Areas anticipated to be completed by 12-31-07
-- Electronic FOIA
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF OIPR'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Proactive disclosure of information
-- Electronic FOIA -- automated processing
-- System of handling referrals and consultations
-- Recycle improvement information gleaned from FOIA Requester Service Center
-- Backlog reduction
-- Customer service
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- System of handling referrals and consultations
-- Recycle improvement information gleaned from FOIA Requester Service Center
-- Backlog reduction
-- Customer service
E. IMPROVEMENT AREA PLANS
1. System of handling referrals and consultations
Goal: Install a "tickler" system to track and update the status of pending referrals and consultations. Target completion: 10-1-06.
Steps
Capture data from the comments feature in the tracking system to determine the status of pending referrals and consultations. To be completed by 8-1-06.
Create and implement use of a spreadsheet regarding the status of pending referrals and consultations. To be completed by 9-1-06.
Utilize the spreadsheet to follow up with other components and agencies to ensure more immediate resolutions to referrals and consultations. To be completed by 10-1-06 (and continuing thereafter)
2. Recycle improvement information gleaned from FOIA Requester Service Center
Goal: Implement a regular review of access community comments to ensure customer satisfaction, and implement any initiatives that will further enhance the process. Target completion: 9-30-06.
Steps
Continue to log calls from requesters. To be completed by 9-30-06 (and continuing thereafter).
Review FOIA Requester Service Center call logs in order to address requester concerns or suggestions for improvement. To be completed by 9-30-06 (and quarterly thereafter).
3. Backlog reduction/elimination
Goal: Reduce backlog of ten requests by two requests quarterly.Target completion: 9-30-06 (and quarterly thereafter).
Steps
Contact other components and agencies wherever applicable regarding pending consultations in order to ensure the more timely processing of requests involving such consultations, thus minimizing our backlog. To be completed by 9-30-06 (and quarterly thereafter).
4. Customer service
Goal: Consistently exhibit polite and courteous interaction with the requester community. Target completion: 7-31-06.
Steps
Review the customer-service requirements of the Executive Order and gather suggestions and recommendations regarding process improvements. To be completed by 7-31-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- System of handling referrals and consultations
-- Recycle improvement information gleaned from FOIA Requester Service Center
-- Backlog reduction
-- Customer service
Areas anticipated to be completed by 12-31-07
None
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF OJP'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Electronic FOIA -- receiving requests electronically
-- In-house training
-- Proactive disclosure of information
-- Backlog reduction/elimination
-- Timeliness
-- Plan for increased staffing
-- System of handling referrals and consultations
-- Communications with requesters
-- Response time from OJP bureaus and offices
-- Politeness/courtesy
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Backlog reduction/elimination
-- Plan for increased staffing
-- Communications with requesters
-- Response time from OJP bureaus and offices
-- Politeness/courtesy
E. IMPROVEMENT AREA PLANS
1. Backlog reduction/elimination
Goal: Respond to all requests that were filed during Calendar Years 2004 and 2005. Target completion: 12-31-06.
Steps
Part-time law student interns will be assigned to assist in the processing of older requests from 2004 and 2005. To be completed by 12-31-06.
Discuss with subject matter experts on highly technical documents that originated within outside companies, not federal agencies, and to provide contact name(s) and telephone number(s) to the FOIA Officer in order to expedite the consultation process. To be completed by 8-1-06 (and continuing thereafter).
Upon receipt of a FOIA request for voluminous or technical-related documents, the FOIA Officer will meet with the Senior Counsel and the appropriate subject-matter expert in the OJP bureau to identify options for the requester to narrow the request, and immediately contact the requester to discuss those options. To be completed by 7-1-06 (and continuing thereafter).
Revise statement of work for a temporary FOIA paralegal. To be completed by 9-1-06.
Goal: Reduce the processing time for FOIA requests to twenty days as provided by the statute. Target completion: 12-31-06.
Steps
The Senior Counsel will monitor the OJP FOIA statistics to determine whether full-time resources are needed due to an increase interest by the public for highly technical documents. To be completed by 9-1-06.
Utilize part-time law student interns to assist with processing requests still pending from Calender Years 2004 and 2005. To be completed by 12-31-06.
Monitor FOIA requests for same documents and work with IT staff to post documents in the FOIA reading room and notify the public by way of OJP's bureaus' Web pages. To be completed by 12-31-06.
Update FOIA Web site. To be completed by 12-31-06.
2. Improving communications with requesters
Goal: To inform requesters on the status of their requests if the due date is approaching and the request has not yet been processed, and to contact requester(s) immediately to clarify any unclear requests. Target completion: 9-1-06.
Steps
Train contractors and law student interns to identify unclear requests, prepare letters to requesters seeking clarification, and/or contact the requester by e-mail or telephone to clarify the request. To be completed by 9-1-06.
Create a log and utilize access database to track FOIA callers by name, the time of the call, the information requested, and the result of the call. To be completed by 9-1-06.
3. Improve response time from the OJP bureaus and offices
Goal: To receive responses from the OJP bureaus and offices within five days of receipt of the OGC search letter. Target completion: 9-1-06.
Steps
To provide clear and helpful information to OJP bureaus and offices when questions arise during their searches. To be completed by 7-1-06 (and continuing thereafter).
Create a tracking system to monitor which bureaus and offices are delinquent in responding, inform the General Counsel and senior counsel on delinquent bureaus and offices, and meet to discuss any issues the bureaus and offices may have with searching for documents. To be completed by 9-1-06 (and continuing thereafter).
4. Politeness/courtesy
Goal: Ensure that all telephone calls from requesters are responded to courteously and within twenty-four hours. Target completion: 9-1-06.
Steps
Train FOIA Requester Service Center staff on how to access the FOIA tracking database, determine the status of a request, and when to refer the caller to the FOIA Officer or the Senior Counsel. To be completed by 9-1-06.
Create a log and utilize access database to track FOIA callers by name, the time of the call, the information requested, and the result of the call. To be completed by 9-1-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Backlog reduction/elimination
-- Plan for increased staffing
-- Communications with requesters
-- Response time from OJP bureaus and offices
-- Politeness/courtesy
Areas anticipated to be completed by 12-31-07
None
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF OLC'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Backlog reduction
-- Additional staff
-- Customer relations
-- Communications with requesters
-- Training
-- Acknowledgment letters
-- Tracking capabilities
-- Web site improvement
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Acknowledgment letters
-- Tracking capabilities
-- Backlog reduction
E. IMPROVEMENT AREA PLANS
1. Acknowledgment letters
Goal: For requests involving a large quantity of records, implement a practice of informing requesters via acknowledgment letter that the request was received and that it might take longer than the twenty days to process it. This letter would be used only if we determine that a request would encompass a large quantity of documents that would take extra time to process. Target completion: 8-1-06.
Steps
Obtain from the Office of Information and Privacy a sample copy of the type of acknowledgment letter that OIP sends to requesters. To be completed by 6-15-06.
Revise the OIP sample letter to conform to the FOIA practice of OLC, then implement use of the revised letter. To be completed by 8-1-06.
2. Tracking capabilities
Goal: Improve FOIA request status tracking to enable the FOIA Requester Service Center to respond appropriately to requester status calls. Target completion: 8-1-06.
Steps
Move the log we are currently using to a shared drive on the computer so that it will be available to the two individuals monitoring the FOIA Requester Service Center calls. To be completed by 7-15-06.
Enhance the status log so that requests can be logged in when received, logged out after the response is sent, and so appropriate tracking and status information can be included in the log. To be completed by 8-1-06.
For requests involving voluminous amounts of records and numerous consultations, contact the attorney(s) involved on a bi-monthly basis to determine the current status of the request. This will be noted on the log. We will include the date the letter was sent out and the action that we took on the request. To be completed by 8-1-06.
3. Backlog reduction
Goal: In order to reduce the backlog and minimize future backlogs, OLC will increase the staff working on FOIA requests, especially the complex-laden and time-consuming ones. Target completion: 7-31-06.
Steps
A recently hired attorney will be trained to perform FOIA duties and then will be assigned such duties as one of his areas of responsibility. To be completed by 7-31-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Acknowledgment letters
-- Tracking capabilities
-- Backlog reduction
Areas anticipated to be completed by 12-31-07
None
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF OPA'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- FOIA Web site improvement/Proactive disclosure of information
-- Electronic FOIA -- receiving/responding to requests electronically
-- Customer relations and communication/Politeness and courtesy
-- Timeliness
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- FOIA Web site improvement/Proactive disclosure of information
-- Electronic FOIA -- receiving/responding to requests electronically
-- Customer relations and communication/Politeness and courtesy
-- Timeliness
E. IMPROVEMENT AREAS PLANS
1. FOIA Web site improvement/Proactive disclosure of information
Goal: Provide up-to-date and accurate information to the Web site user. Target completion: 9-30-06.
Steps
Update Web site information. To be completed by 9-30-06.
Establish external Web site links to off-site information available through other government agencies and public resources. To be completed by 9-30-06.
OPA will conduct a quarterly review and evaluation of all FOIA operations and will update the Web site information as appropriate. To be completed by 9-30-06 (and quarterly thereafter).
2. Electronic FOIA -- receiving/responding to requests electronically
Goal: Receive and respond to requests electronically. Target completion: 12-31-06.
Steps
Establish an e-mail account for receiving electronic FOIA requests through a link on OPA's Web site. To be completed by 9-30-06.
Develop a standardized method of acknowledging the electronic FOIA requests. To be completed by 9-30-06.
Post publicly available information on the Web site to ensure that anyone accessing the e-mail box will be able to ascertain that the FOIA request is the appropriate avenue for obtaining information. To be completed by 12-31-06.
3. Customer service
Goal: Provide training and orientation to FOIA operation personnel to ensure our continued professional delivery of customer service. Target completion: 10-31-06.
Steps
Provide training to the FOIA staff on the customer-service requirements highlighted in the Executive Order. To be completed by 7-31-06.
Prepare an information paper for the staff to ensure OPA's goals for customer service, politeness, and courtesy are available for review by staff. To be completed by 10-31-06.
All personnel will be provided an orientation as to who the FOIA Officer and FOIA Public Liaison staff members are, how the FOIA works, the information OPA has available to the public both in response to FOIA requests and in response to general requests for records, as well as where this information can be located. To be completed by 10-31-06 (and continuing thereafter).
4. Timeliness
Goal: Improve the timeliness of responses to the very small number of FOIA requests that are not responded to within the statutory time-frame. Target completion: 9-30-06.
Steps
Implement a system in which the initial notification to the requester is prepared within five workdays and mailed out within seven workdays. Additionally, electronic notification will be utilized whenever possible to ensure that the initial notification is accomplished in a timely manner. To be completed by 9-30-06.
Ensuring that files that are housed off-site are obtained in a timely manner, and redirect staff as necessary when voluminous files are being reviewed. To be completed by 9-30-06 (and continuing thereafter).
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- FOIA Web site improvement/Proactive disclosure of information
-- Electronic FOIA -- receiving/responding to requests electronically
-- Customer relations and communication/Politeness and courtesy
-- Timeliness
Areas anticipated to be completed by 12-31-07
None
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF OPR'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Affirmative disclosure under subsection (a)(2)
-- Proactive disclosure of information
-- Improvements to OPR's Web site
-- Automated tracking capabilities
-- Expedited processing
-- Backlog reduction
-- Politeness/courtesy
-- Communications with requesters
-- System of handling referrals
-- System of handling consultations
-- Training
-- Personnel changes
-- Purchase of new equipment and systems
-- Recycle improvement information gleaned from FOIA Requester Service Center
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Affirmative disclosure of subsection (a)(2)material
-- Proactive disclosure of information
-- Automated tracking capabilities
-- Review of expedited processing
-- Backlog reduction review and analysis of complex requests
-- Politeness/courtesy
-- Communications with requesters
E. IMPROVEMENT AREA PLANS
1. Affirmative disclosure of subsection (a)(2) material
Goal: Institute an initiative to ensure fill implementation of the requirements of subsection (a)(2). Target completion: 9-30-06 (and quarterly thereafter).
Steps
On a quarterly basis, conduct a review of OPR documents to identify additional documents that meet the criteria of subsection (a)(2) material. To be completed by 9-30-06, 12-31-06, 3-31-07, 6-30-07, 9-30-07, 12-31-07, 3-31-08, 6-30-08, 9-30-08, 12-31-08.
2. Proactive disclosure of information
Goal: Provide the public with access to information pertaining to or utilized by OPR in carrying out its responsibilities. Target completion: 12-31-06 (and semi-annually thereafter).
Steps
On a semi-annual basis, conduct a review of OPR documents to identify and establish links on OPR's Web site to regulations and documents utilized by OPR in carrying out its responsibilities. To be completed by 12-31-06, 6-30-07, 12-31-07, 6-30-08, 12-31-08.
3. Automated tracking capabilities
Goal: Add an additional field to OPR's FOIA tracking system and establish computer link for FOIA Requester Service Center personnel to ensure that information concerning the status of requests is readily available for requester inquiries. Target completion: 7-31-06.
Steps
Add an additional field to OPR's FOIA tracking system and establish a computer link to OPR's FOIA tracking system for FOIA Requester Service Center personnel that will provide the necessary status information to FOIA requesters. To be completed by 7-31-06.
4. Conduct review of expedited processing
Goal: Ensure that OPR is properly handling requests for expedited processing. Target completion: 12-31-06, 12-31-07, 12-31-08.
Steps
Conduct a review of the three most recent fiscal years' worth of requests for expedited processing. To be completed by 12-31-06.
On an annual basis, conduct a review of the fiscal year's requests for expedited processing. To be completed by 12-31-07, 12-31-08.
5. Backlog-reduction review and analysis of complex requests
Goal: Conduct a study of three years' worth of data for requests in the complex processing track to analyze areas to improve processing time. Target completion: 12-31-06.
Steps
Begin data collection to study three years' worth of complex requests. To be completed by 10-31-06.
Prepare report analyzing the results of the study. To be completed by 12-31-06.
6. Politeness/courtesy
Goal: Provide training for FOIA Requester Service Center personnel to ensure that calls from FOIA requesters and the public are handled accurately and in a professional and courteous manner. Target completion: 12-31-06, 12-31-07, 12-31-08.
Steps
Create and establish FOIA call database for use in evaluating and documenting calls from FOIA requesters and the public. To be completed by 6-30-06.
Conduct FOIA Requester Service Center training. To be completed by 7-31-06.
On semi-annual basis, review complaints received by FOIA Public Liaison and obtain feedback from FOIA Requester Service Center personnel. To be completed by 12-31-06, 6-30-07, 12-31-07, 6-30-08, 12-31-08.
7. Improve communications with requesters
Goal: Implement the inclusion of the FOIA request number and OPR's telephone number in all correspondence. Target completion: 7-1-06.
Steps
Incorporate into all OPR correspondence both the FOIA tracking number and OPR's telephone number. To be completed by 7-1-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Affirmative disclosure of subsection (a)(2) material
-- Proactive disclosure of information
-- Automated tracking capabilities
-- Review of expedited processing
-- Backlog-reduction review and analysis of complex requests
-- Politeness/courtesy
-- Communications with requesters
Areas anticipated to be completed by 12-31-07
None
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF OSG'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Customer service
-- FOIA Web site improvement
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Customer service
-- FOIA Web site improvement
E. IMPROVEMENT AREA PLANS
1. Customer service
Goal: Provide training and orientation to the OSG FOIA staff to ensure our continued professional delivery of customer service. Target completion: 7-31-06.
Steps
Provide training to the FOIA staff on the customer-service requirements highlighted in the Executive Order and the Department of Justice implementing guidance. To be completed by 7-31-06.
2. FOIA Web site improvement
Goal: Improve OSG's FOIA Web page in order to provide more information to the public. Target completion: 9-30-06 (and continuing thereafter).
Steps
Refine and update process for locating and posting subsection (a)(2) reading room documents. To be completed by 9-1-06.
Review OSG's FOIA Web site quarterly to ensure that information is current and that relevant documents are posted. To be completed by 9-30-06, 12-31-06, 3-31-07, 6-30-07, 9-30-07, 12-31-07, 3-31-08, 6-30-08, 9-30-08, 12-31-08.
Examine ways to improve OSG's FOIA Web site to make it more user-friendly. To be completed by 9-30-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Customer service
-- FOIA Web site improvement
Areas anticipated to be completed by 12-31-07
None
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF OVW'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Automated tracking capabilities
-- Backlog reduction/elimination
-- Forms of communication with requesters
-- FOIA Web site improvement
-- Acknowledgment letters
-- Additional training
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- FOIA Web site improvement
-- Acknowledgment letters
-- Additional training
E. IMPROVEMENT AREA PLANS
1. Overall FOIA Web site improvement
Goal: Make OVW information easier to find so that people can get what they need from the Web site rather than have to submit a FOIA request for the information. Target completion: 7-31-06.
Steps
Provide information that is revised and updated by the OVW staff to the IT staff for posting on a new test site. To be completed by 7-15-06.
Set imminent date for new site to go live. To be completed by 7-31-06.
2. Acknowledgment letters
Goal: Develop FOIA acknowledgment postcards to send in response to all FOIA requests to acknowledge receipt and provide an estimated time-frame for response (if appropriate). Target completion: 10-31-06.
Steps
Contact communications contractor to obtain an estimate for the development of these postcards. To be completed by 7-31-06.
Receive samples of postcards for review. To be completed by 8-7-06.
Submit content for postcards to contractor. To be completed by 8-31-06.
Send postcard design to printer. To be completed by 9-30-06.
Receive completed postcards from printer and begin use. To be completed by 10-31-06.
3. Additional training
Goal: Provide FOIA training to two additional staff members in order to develop and enhance understanding of the FOIA process. Target completion: 8-31-06.
Steps
Identify training opportunities offered by the National Advocacy Center. To be completed by 6-30-06.
Select candidates for the training. To be completed by 6-30-06.
Send selected staff to training. To be completed by 8-31-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- FOIA Web site improvement
-- Acknowledgment letters
-- Additional training
Areas anticipated to be completed by 12-31-07
None
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF PRAO'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Affirmative disclosure under subsection (a)(2)
-- Proactive disclosure of information
-- FOIA Web site improvement
-- Automated tracking capabilities
-- Electronic FOIA
-- Expedited processing
-- Politeness/courtesy
-- Forms of communication with requesters
-- Acknowledgment letters
-- Training
-- In-house training on "safeguarding label"/FOIA exemption distinctions
-- Improvement of agency FOIA Reference Guide
-- Electronic FOIA -- receiving/responding to requests electronically
-- Multi-track processing
-- Troubleshooting of any existing problems (even minor ones) with existing request tracking
-- Case-by-case problem identification
-- Backlog reduction/elimination
-- System of handling referrals
-- System of handling consultations
-- Process by which necessary cooperation is obtained from agency "program personnel"
-- Improvement ideas from field office personnel (where applicable)
-- Increased staffing (where applicable)
-- Changes to personnel practices (job series, grades, etc.) needed
-- Contracting out/Hiring of contract employees
-- Purchase of new equipment needed
-- Centralization/decentralization
-- Recycling of improvement information gleaned from FOIA Requester Service Centers
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
-- Affirmative disclosure under subsection (a)(2). Due to the limited volume of FOIA requests, PRAO does not have frequently requested records.
-- Proactive disclosure of information. PRAO has reviewed its records and concluded that it does not have any publicly available information suitable for posting on the Web.
-- Expedited processing. PRAO reviewed its practice related to expedited processing and determined that the office is fully compliant with the law and sound policy in this area.
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Electronic FOIA
-- Politeness/courtesy
-- Training
-- In-house training on "safeguarding label"/FOIA exemption distinctions
E. IMPROVEMENT AREA PLANS
1. Electronic FOIA -- automated processing
Goal: Establish the capability to process FOIA request records electronically. Target completion: 12-31-06.
Steps
Complete conversion of existing records to electronic format. To be completed by 12-31-06.
Implement capture of incoming documents in electronic format. To be completed by 12-31-06.
2. Politeness/courtesy
Goal: PRAO recognizes the importance of politeness and courtesy when dealing with FOIA requesters, and while PRAO believes prior communications have met this standard, PRAO will endeavor to excel in this important aspect of the "customer-service" policy of the Executive Order. Target completion: 7-31-06.
Steps
Train FOIA staff on the courtesy and customer-service requirements highlighted in the Executive Order. To be completed by 7-31-06.
3. Additional training
Goal: Ensure that PRAO is taking full advantage of the governmentwide FOIA training that is available. Target completion: 8-31-06.
Steps
PRAO's FOIA staff will attend "The Freedom of Information Act for Attorneys and Access Professionals" training provided by the Office of Information and Privacy. To be completed by 8-31-06.
Additional training and FOIA seminars will be taken as appropriate. To be completed by 8-31-06 (and continuing thereafter).
4. In-house training on "safeguarding label"/FOIA exemption distinctions
Goal: Increase staff awareness of the appropriate use of "safeguarding labels" and its relationship to FOIA-processing decisions. Target completion: 7-31-06.
Steps
Train all staff on the importance of using appropriate "safeguarding labels," as distinct from FOIA exemptions. To be completed by 7-31-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Electronic FOIA
-- Politeness/courtesy
-- Training
-- In-house training on "safeguarding label"/FOIA exemption distinctions
Areas anticipated to be completed by 12-31-07
None
Areas anticipated to be completed after 12-31-07
None
B. AREAS SELECTED FOR REVIEW
-- Timeliness
-- Manner of processing complex FOIA requests
-- Training
-- Customer service
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Manner of processing complex FOIA requests
-- Training
-- Customer service
E. IMPROVEMENT AREA PLANS
1. Processing of complex requests
Goal: With respect to complex requests, the Tax Division will cut its response time by six percent within approximately one year, and by another six percent within the next year. Target completion: 6-30-07, 6-30-08.
Steps
Implement a system in which we eliminate one level of review for certain types of form documents that are usually processed in the same fashion each time a request is received for them. To be completed by 9-30-06.
Implement a system in which we focus on the timeliness of responses. To be completed by 9-30-06.
Achieve response-time reduction. To be completed by 6-30-07, 6-30-08.
Goal: Process complex requests within 20-24 median days. Target completion: 6-30-08.
Steps
Set time limits for processing complex requests. To be completed by 9-30-06.
Implement a system in which we review whether time limits that are specifically set for the processing of complex requests are met on a case-by-case basis. To be completed by 9-30-06.
Focus on backlog reduction. To be completed by 6-30-07, 6-30-08.
2. Training
Goal: Provide FOIA training to new paralegal specialist. Target completion: 7-20-06.
Steps
New paralegal specialist will attend the two-day Office of Information and Privacy basic training program on the FOIA scheduled for July 18-20, 2006 in Washington, D.C. To be completed by 7-20-06.
3. Customer service
Goal: Train FOIA Requester Service Center staff on how to respond to service center calls. Target completion: 7-30-06.
Steps
Develop and provide training to FOIA Requester Service Center staff. To be completed by 7-30-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Training
-- Customer service
Areas anticipated to be completed by 12-31-07
None
Areas anticipated to be completed after 12-31-07
-- Manner of processing complex FOIA requests
A. NATURE OF USMS'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Customer service (including the following)-- Reducing backlog and improving efficiency (including the following)
Automated tracking capabilities for status of requests
Electronic receipt of request
Timeliness and completeness of responses to request for expedited processing
Courtesy and politeness in responding to requesters' inquiries
Written communications with requesters
Improvements and suggestions made by requesters
-- Electronic access and affirmative disclosure (including the following) Automated processing of requests
Improvements to multi-track processing
Search for records procedures
Improvements to referral and consultation procedures, correspondence, and tracking
Improvements to training and cooperation from component program personnel
FOIA-specific training and information technology training for personnel where additional personnel are needed
Improvements to USMS FOIA Web site and electronic reading room
Posting of frequently requested material
Programs having material to disclose without a request
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Customer service (including the following)-- Reducing backlog and improving efficiency (including the following)
Automated tracking capabilities for status of requests
Electronic receipt and response to request
Timeliness and completeness of responses to request for expedited processing
Courtesy and politeness in responding to requesters' inquiries
Written communications with requesters
Tracking suggestions made by requesters
-- Electronic access and affirmative disclosure (including the following) Automated processing
Improvements to multi-track processing
Search for records procedures
Referral and consultations procedures
Information technology training for personnel
Training and cooperation of program personnel
Additional FOIA personnel
Posting material without request
Ensuring proper subsection (a)(2) postings in the electronic reading room
Creating links to and posting of USMS program and Department of Justice material
E. IMPROVEMENT AREA PLANS
1. Customer service
Goal: Improve automated tracking of status of requests and responses to requesters. Target completion: 7-31-06.
Steps
Add a page to USMS's automated case tracking for tracking FOIA status queries and responses. To be completed by 7-31-06.
Review tracking system with FOIA staff to determine whether fields provide sufficient information regarding nature of request, status of search for records, and request processing and change fields where appropriate. To be completed by 7-31-06.
Assign staff to receive and log in requests. To be completed by 6-30-06.
Post USMS FOIA e-mail request availability on USMS Internet Web site. To be completed by 6-30-06.
Respond electronically where appropriate. To be completed by 7-1-06.
Review responses to requests for expedited processing for timeliness and completeness. To be completed by 7-31-06.
Goal: Ensure that FOIA personnel receive training on courtesy and customer service. Target completion: 9-15-06.
Steps
Train FOIA staff on the courtesy and customer-service requirements highlighted in the Executive Order. To be completed by 7-31-06.
Determine external training opportunities. To be completed by 6-30-06.
Discuss problems/suggestions monthly. To be completed by 7-31-06.
Track requester suggestions quarterly. To be completed by 9-15-06 (and quarterly thereafter).
Goal: Improve written communications with requesters. Target completion: 7-31-06.
Steps
Ensure that FOIA Requester Service Center and FOIA Public Liaison contact information are on all correspondence. To be completed by 6-30-06.
Use Web site to inform requesters of types of information that facilitate search for records. To be completed by 7-31-06.
When requests are for records not maintained by USMS, ensure that requesters receive acknowledgment letters informing them that the records are not maintained by USMS. To be completed by 7-31-06.
2. Reducing backlog and improving efficiency
Goal: Determine automated processing system to be implemented. Target completion: 9-30-07.
Steps
Arrange to examine existing automated processing systems within the Department. To be completed by 12-31-06.
Contact and arrange for vender demonstrations of automated systems. To be completed by 3-31-07.
Determine appropriations for budget. To be completed by 9-30-07.
Goal: Enhance efficiency and effectiveness of the multi-track processing system. Target completion: 9-30-06.
Steps
Examine how requests are categorized within tracks. To be completed by 7-30-06.
Establish specific guidelines for the FOIA staff regarding delineating the types of requests that fall into each track. To be completed by 7-30-06.
Review requests in each track for compliance with guidelines. To be completed by 9-30-06.
Goal: Reduce median processing time for each track by twenty-five percent. Target completion: 9-30-07 (and continuing thereafter).
Steps
Set quarterly goals and track the actual backlog for each reporting period. To be completed by 9-30-06 (and quarterly thereafter).
Establish and implement bi-weekly review of oldest pending requests. To be completed by 9-30-06 (and bi-weekly thereafter).
Achieve response-time reduction. To be completed by 9-30-07.
Goal: Improve handling of consultations and referrals. Target completion: 12-31-06.
Steps
Examine referrals upon receipt to see if it is in litigation and assign where appropriate to reduce backlog. To be completed by 7-1-06.
Review records and make agreements with other components to process consultation records where appropriate. To be completed by 12-31-06.
Institute a system to ensure that referrals are processed in order by date of receipt. To be completed by 7-31-06.
Establish routine correspondence to track status of consultations. To be completed by 7-1-06.
Goal: Improve cooperation and FOIA training of program personnel. Target completion: 9-30-06.
Steps
Institute a system for the sending via e-mail quarterly reminders, including to FOIA Public Liaison and system managers, regarding FOIA/PA requirements and responsibilities. To be completed by 9-30-06 (and quarterly thereafter).
Communicate with FOIA Public Liaison as appropriate regarding complex/voluminous requests. To be completed by 9-30-06 (and continuing thereafter).
Establish a regular response to staff personnel and supervisors for jobs well done. To be completed by 6-30-06 (and continuing thereafter)
Standardize search/consultation letters within USMS to include a reminder about labels versus FOIA exemptions. To be completed by 7-31-06.
Goal: Improve search procedures. Target completion: 7-1-06.
Steps
Establish the use of a request-tracking tickler system to flag due dates for search responses. To be completed by 7-1-06.
Establish the practice of e-mailing searches of FOIA requests to FOIA Public Liaison, flagging e-mail for importance, and tracking time limits. To be completed by 7-1-06.
Goal: Ensure receipt of FOIA and information technology training by FOIA personnel. Target completion: 7-31-07.
Steps
Provide annual FOIA/PA training opportunity for all. To be completed by 7-31-07.
Investigate and provide database and other automated applications and technology training. To be completed by 7-31-07.
Recommend purchase of new technology for scanning/storing of records. To be completed by 4-1-07.
Goal: Review FOIA operations and recommend additonal staffing where appropriate. Target completion: 2-1-07.
Steps
Investigate feasibility of hiring contractors for FOIA pre-processing tasks such as sending search request to program and field offices, scanning, and referring documents. To be completed by 2-1-07.
Based on feasibility investigation, recommend additional FOIA staffing in budget. To be completed by 2-1-07.
3. Electronic access and affirmative disclosure
Goal: Take initiative to ensure full implementation of the requirements of subsection (a)(2). Target completion: 9-15-06.
Steps
Update postings of staff manuals and instructions in electronic reading room. To be completed by 9-1-06.
Process USMS policy documents, awarded contracts, and other records of common interest for application of any applicable FOIA exemptions. To be completed by 9-1-06.
Submit processed material to the appropriate USMS program office for review and meet with program managers to ensure full posting. To be completed by 9-15-06.
Goal: Improve FOIA Web site. Target completion: 10-31-06.
Steps
Link to Department of Justice FOIA material, forms, and references. To be completed by 7-31-06.
Review Web site for other program materials for which we receive FOIA requests, but which are not on the public Web site (e.g., information technology, budget). To be completed by 9-30-06.
Establish links to program materials where appropriate. To be completed by 10-31-06.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Customer service
-- Electronic access and affirmative disclosure
Areas anticipated to be completed by 12-31-07
-- Reducing backlog and improving efficiency
Areas anticipated to be completed after 12-31-07
None
A. NATURE OF USPC'S FOIA OPERATIONS
B. AREAS SELECTED FOR REVIEW
-- Recruitment
-- Technology improvements
-- Improving multi-track processing
-- Customer relations/Communications
-- Referral/consultation process
-- Written customer communications
-- Training
-- Improving recordkeeping
-- Backlog reduction
-- FOIA Web page/Reading room records
C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW
D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN
-- Recruitment
-- Technology improvements
-- Improving multi-track processing
-- Customer relations/Communications
-- Written customer communications
-- Training
-- Improved recordkeeping
-- Backlog reduction
E. IMPROVEMENT AREA PLANS
1. Recruitment
Goal: Hire additional personnel through contracts and or student personnel. Target completion: 9-30-06.
Steps
Explore with Personnel Office the hiring of former employees on a contract basis. To be completed by 9-30-06.
Explore with Personnel Office the recruitment of student interns. To be completed by 9-30-06.
Goal: Hire a FOIA Officer at a higher pay grade. Target completion: 8-31-06.
Steps
Using revised position description, hire a FOIA Officer at an increased grade level. To be completed by 08-31-06.
2. Technology improvements
Goal: Explore improvement to software to allow for clearer statistical reports and to make system more user-friendly. Target completion: 10-15-06.
Steps
Rewrite software program to generate clearer statistical reports. To be completed by 9-30-06.
Meet with IT staff to consider improvements to program to make it more user-friendly. To be completed by 9-30-06.
Implement improvements. To be completed by 10-15-06.
3. Improving multi-track processing
Goal: Create an additional track to improve efficiency and reduce backlog. Target completion: 6-30-07.
Steps
Develop three separate categories for requests. To be completed by 12-31-06.
Separate requests into three categories and create filing system for pending requests by category. To be completed by 3-30-07.
Implement new three-track multi-track processing system. To be completed by 6-30-07.
4. Customer relations/Communications
Goal: Communicate with requesters on a more frequent basis and improve quality of telephone interactions. Target completion: 12-31-06.
Steps
Provide general training to staff on courtesy issues in responding to telephone inquiries. To be completed by 7-31-06.
Provide training to FOIA Requester Service Center staff members on communicating with FOIA requesters. To be completed by 7-1-06.
Implement a system in which we verify with requester that pending FOIA request is still needed in light of routine document disclosure provided prior to parole hearings. To be completed by 12-31-06.
Consider accepting FOIA requests electronically. To be completed by 12-31-06.
5. Improve written communications with requesters
Goal: Issue new model letters to be used on a regular basis. Target completion: 3-1-07.
Steps
Review all model letters for revision of outdated language. To be completed by 9-1-06.
Draft new model letters for routine requests. To be completed by 12-1-06.
Implement use of new model letters in responding to requests. To be completed by 3-1-07.
6. Training
Goal: Provide training to FOIA processors and conduct quarterly meetings with staff. Target completion: 1-31-07.
Steps
Update training manual. To be completed by 1-31-07.
Schedule quarterly training for FOIA processors. To be completed by 1-31-07 (and quarterly thereafter).
Hold quarterly meetings with FOIA staff to discuss changes or needed areas of improvement. To be completed by 1-31-07 (and quarterly thereafter).
7. Recordkeeping
Goal: Implement a schedule for disposal of old records and preparing for new records. Target completion: 6-30-07.
Steps
Review process for keeping copies of records. To be completed by 12-31-06.
Consider alternative for organizing pending requests and draft schedule for removal of old records. To be completed by 12-31-06.
Implement new schedule for organizing requests and record removal. To be completed by 6-30-07.
8. Backlog reduction
Goal: Reduce the number of backlogged requests by fifty percent. Target completion: 6-30-07.
Steps
Hire additional personnel, including a new FOIA Officer. To be completed by 9-30-06.
Improve multi-track system. To be completed by 6-30-07.
Target and process the oldest FOIA requests by obtaining file from other USPC sections. To be completed by 1-31-07.
F. IMPROVEMENT TIME PERIODS
Areas anticipated to be completed by 12-31-06
-- Recruitment
-- Technology improvements
-- Customer relations/Communications
Areas anticipated to be completed by 12-31-07
-- Improving multi-track processing
-- Written customer communications
-- Training
-- Improve recordkeeping
-- Backlog reduction
Areas anticipated to be completed after 12-31-07
None
Attachments (3)
1 In order to further facilitate the Executive Order's governmentwide implementation, the Department created and maintains a list of the Chief FOIA Officers of all federal agencies, a copy of which is attached as Attachment A.
2 A copy of this listing is attached as Attachment B. The Department of Justice is comprised of forty separate components. For purposes of FOIA administration, eight leadership offices are handled as a group, yielding a total of thirty-three separate offices. A thirty-fourth FOIA Requester Service Center has been established within the Justice Management Division in connection with the special FOIA Mail Referral Unit that is contained within that component.
3 This includes all agency activity under the FOIA as well as action on first-party requests for access to records made under the Privacy Act of 1974, 5 U.S.C. § 552a (2000); in the case of the latter, such a first-party access request is treated as one made under both the FOIA and the Privacy Act.
4 These additional seven covered offices are the Office of the Attorney General, the Office of the Deputy Attorney General, the Office of the Associate Attorney General, the Office of Legal Policy, the Office of Legislative Affairs, the Office of Intergovernmental and Public Liaison, and the Office of Public Affairs.
5 There currently is one vacant FOIA Specialist position on the IR Staff; OIP expects to be able to fill this vacancy very soon.
6 The Office of Information and Privacy's Deputy Director acts on initial requests independently of OIP's Director, who decides administrative appeals taken from denials of such requests for the Department. See 28 C.F.R. § 16.9(a) (2005); see also note 7, below. Thus, OIP maintains separation between its initial request-level actions and its higher-level review of those actions on administrative appeal.
7 An additional function of the Office of Information and Privacy is to adjudicate the approximately 3000 administrative appeals that are filed by requesters each year from denials of FOIA and Privacy Act requests by the Department's forty components. This area of FOIA administration, too, is part of the Department's plan. Accord FOIA Post, "Executive Order 13,392 Implementation Guidance" (posted 4/27/06) (Part IV, Q&A # 7). During the past year, OIP began a process of adjustment in this area due to the retirement of the one of its two directors who had held primary responsibility for administrative appeal adjudication over the past twenty-five years. As a result of this, and due also to a major difficulty encountered in the FBI's shift to a new administrative appeal-related recordkeeping system that was adopted by the FBI at approximately the same time, the Department experienced a substantial increase in its backlog of pending administrative appeals during the first half of Fiscal Year 2006. This area has been carefully reviewed and further adjustments have now been developed and instituted to address it. Already, a supervisory change instituted by OIP to overcome the administrative difficulty that arose at the FBI has yielded a faster and more efficient flow of administrative appeal adjudications involving that major component. Going forward, OIP's goal is to apply its recently restructured administrative appeal adjudication processes toward the goal of reducing its backlog of pending appeals by 25%, 30%, and 35% during roughly the next three calendar years (i.e., by 1-15-07, 1-15-08, and 12-31-08, respectively), a goal that also includes completion of the ten oldest appeals pending (at a minimum) during each of these three time periods.
8 OIP also plans to continue routine communication with the FOIA contacts in its seven covered offices regarding outstanding FOIA searches, with special emphasis on requests for which expedited processing has been granted.
9 Part of this plan will involve OIP overseeing the further development of Web-based processes by which Department of Justice components may receive FOIA requests electronically, something which OIP will be doing with an eye toward implementation with respect to its own aggregated group of initial requests as well as those received by other components. As may be noted throughout the Department's plan, several individual components already are providing a basis for moving forward comprehensively in this regard.
10 It should be noted that certain steps described within the previously discussed improvement areas (i.e., improving the records search process and hiring new staff) also constitute steps pertinent to this backlog-reduction improvement area.
11 These requests involved such subjects as the assassination of Dr. Martin Luther King, Jr.; the Freedom Riders; the desegregation of schools in Arkansas, Alabama, Mississippi, and other jurisdictions; the deaths of Viola Liuzzo, Medgar Evers, Andrew Goodwin, Michael Schwerner, and James Cheney; Birmingham Bombings; Kent State; Orangeburg, SC Campus killings and Mississippi State; the People's Park; the Wilmington 10; the killing of Fred Hampton of the Black Panthers; FBI surreptitious entries. Later years brought requests for records involving the Civil Rights Division's prosecution of the killing of Alan Berg; the Rodney King matter; the Philadelphia Police Department and the MOVE organization; as well as an intense requester interest in the Division's guidance on Disability Rights.
14 Under an upcoming reorganization, the Office of Intelligence Policy and Review will become subsumed within a newly created National Security Division of the Department. This reorganization, which will consolidate OIPR with two sections of the Criminal Division, was announced by the Department on March 13, 2006, and it is expected to take effect soon.
15 The FOIA Officer position currently is vacant.
16 Pursuant to its independent grant of statutory authority, the United States Parole Commission administers the FOIA independently in certain respects. See 28 C.F.R. § 16.207(b) (2005).
17 One additional component of the Department, the Office of Dispute Resolution, is so small that it received only four FOIA requests during the last fiscal year, which it handled with ready dispatch. Although it is not discussed above, this Department of Justice component likewise plans to ensure that it will be conforming to Executive Order 13,392's principles in all aspects of its limited FOIA activity.
18 Under the Executive Order, a further report of implementation results will be made on February 1, 2008.
19 A listing of Department of Justice components, with names and telephone numbers of principal component FOIA personnel, is attached for convenient reference as Attachment C.