OIP launched the Best Practices Workshop Series in the spring of 2014 as a part of the Second Open Government National Action Plan's commitment to modernizing FOIA and improving internal agency FOIA processes. Each workshop focuses on a specific FOIA topic, with a panel of representatives sharing experiences, lessons, and strategies for success in these areas. Through these workshops, agencies can continue to learn from one another and leverage the successes of their own organizations for the overall benefit of FOIA administration across the government.
Best practices highlighted at past events, as well as additional resources regarding the event and topic, are available below.
Technology and FOIA - April 20, 2020
Event Recap - Virtual Best Practices Workshop Focused on Technology and FOIA
Presentation Slides
Name | Organization | |
Event Panelists | Michael Sarich | Veterans Health Administration |
Eric Stein | Department of State |
Best Practices
- Leadership support - Senior-level agency support of records management and FOIA programs makes a difference to ensure that the needs of internal and external stakeholders are met. A strong partnership with agency Chief Information Officers can be very important to the success of transparency programs. FOIA program goals can also be aligned with leadership goals through efforts, such as Sunshine Week messages, that can raise the profile of the FOIA program and help set the tone for success.
- Records management - Understand your agency’s records management policies and engage with records management staff. Technology supports record management functions such as the capture, storage, search, duplication, and timely destruction of records, all of which are foundational to the FOIA program's success.
- Understand IT needs - Identify records and FOIA IT requirements by engaging stakeholders in program and FOIA offices. Understanding IT needs focuses the discussion on how to get from the current IT state to the desired future state. Working with the IT community to develop written requirements ensures common understanding of the relevant parties' needs.
- IT Staff Integration - Integrating IT staff within FOIA programs and/or developing an established relationship with the IT component of the agency provides agencies with greater leverage over how their case management and other IT solutions operate.
- IT and FOIA Interoperability - To the extent feasible, ensure IT solutions and FOIA case management tools are interoperable. In some cases, agencies use a variety of FOIA solutions that are not well connected. For instance, an agency may search for records in one place, aggregate them in another place, and process them in yet another place, which may cause inefficiencies. One size does not fit all, so it is important to review your FOIA program's requirements and avoid disjointed FOIA processes.
- Cost Savings - Consider cost savings through shared services. For example, other components within an agency or external agencies may be leveraging IT solutions that could be used for FOIA, and it may be possible to establish agreements with those entities to achieve cost savings.
- Posting Released Records – Collaborating with IT staff can help with posting more released records online. In turn, this can assist FOIA programs with the requirement to post frequently requested records and with directing requesters to already available information.
- Agency Recordkeeping Systems – Agencies can also account for the public release of records and disposition of records as they establish new agency recordkeeping systems. Understanding the disposition of records in record-keeping systems is important for FOIA professionals because it may influence whether information could become available in a more automated way, allowing agencies to work toward making more proactive disclosures.
- Leverage Budget Cycle - Leverage the budget cycle to request resources needed for FOIA programs. IT requirements are often associated with solutions that require funding. Accordingly, familiarity with the budget cycle, and using it to advocate for your IT needs, is critical.
- Network with FOIA Professionals - Network with fellow FOIA professionals to candidly share challenges and methods to overcome those challenges. While agencies sometimes work in silos, there is value in sharing approaches and solutions across agencies in furtherance of our common mission to provide records to the public that shed light on the operation of the federal government.
Additional Resources
- OIP Guidance: The Importance of Good Communication with FOIA Requesters 2.0: Improving Both the Means and Content of Requester Communications (November 22, 2013)
- Sunshine Week Meeting of the IT Working Group Focuses on Leveraging Technology for FOIA Administration (April 1, 2016)
- FOIA IT Working Group has an engaging discussion on the importance of identifying the right technology tools and the collaboration and leadership support needed to acquire and fully utilize them.
- Sunshine Week Meeting of the FOIA IT Working Group (February 23, 2016)
- Serving as a forum for agency FOIA and technology professionals, the FOIA IT Working Group will hear presentations on the changing landscape of federal technology tools and the application of new tools for FOIA processing
- Discussing Using Technology to Improve FOIA Processes at Best Practices Panel (December 18, 2014)
- Successes in FOIA Administration: Part IV – Greater Utilization of Technology (May 29, 2014)
- Discussions from the FOIA IT Working Group: Improving Agency FOIA Websites (August 12, 2013)
- Discussions from the FOIA IT Working Group (March 15, 2013)
- OIP Guidance: Guidance for Further Improvement from 2012 Chief FOIA Officer Report Review and Assessment (August 7, 2012)
- Utilizing Advanced Technology/Establishing Multiple Processing Tracks/Closing Ten Oldest
Reducing Backlogs and Improving Timeliness – August 21, 2018
Event Recap - DOJ’s August Best Practices Workshop Focuses on Backlog Reduction
Name | Organization | |
Event Panelists | Eric Stein | Department of State |
Joseph Schaaf | Department of Justice |
Best Practices
- Trying new approaches – Agencies should continually examine their processes looking for new approaches that might be more efficient. While every new idea or approach might not be successful, a lot can be learned even through those efforts that are ultimately unsuccessful. Agencies should not be afraid to try something new to help assess what does or does not work best for their FOIA programs.
- Identifying and focusing on your core needs – Identifying the core needs of an agency’s FOIA program is a very important first step in devising a successful strategy for improving backlogs and timeliness. For example, a FOIA office typically needs a strong intake process followed by efficient search and review processes to effectively handle FOIA requests. Some agencies may have other more unique needs based on the nature and location of their records. A successful strategy for improving FOIA administration focuses on these core needs and looks to see how they can be improved either through additional resources or new procedures and protocols.
- Developing an agile process that accounts for the unexpected – While having established protocols and a management strategy is very helpful, agencies should be agile in their approaches and adapt their plans to account for their real-time needs. FOIA offices always face the likelihood of unexpected challenges occurring that could derail backlog reduction efforts. Agencies account for these challenges occurring in their plans and remain flexible and resilient to overcome them. For example, if a FOIA office is flooded with new requests due to a hot topic it should reexamine how it can best absorb this new, unexpected demand while maintaining an overall strong and efficient FOIA process.
- Developing strong intake processes – The intake process is the front line of an agency’s battle to reduce backlogs and improve timeliness. There are a number of items an agency must determine right when it receives a request that are critical to its effective and efficient response to the requester. For example, during intake the FOIA Office will need to determine if the request is perfected, if unusual circumstances exist, whether expedited processing has been requested, and the initial track designation for the request. More importantly, during intake the FOIA Office will often triage the requests based on complexity and the next steps needed for processing the request. The triaging of requests on the front-end is essential to maintaining an efficient FOIA process. Additionally, during intake, an agency can reach out to the requester to clarify or negotiate the scope of the request to more efficiently conduct the search and review process. Lack of a robust intake process can lead to logjams throughout the agency’s FOIA process.
- Communicating regularly & building relationships with program offices – As mentioned in other Best Practices discussions, and emphasized by OIP, good communication with requesters is key to any successful FOIA operation. Building a strong rapport with requesters helps ensure that they fully understand the FOIA process and that they are confident that the agency is working to locate and process their records as expediently as possible. Similarly, it is important for the agency FOIA Office to build relationships and get “buy-in” from its program offices. As the Department of Justice has declared, "FOIA is everyone's responsibility." Fostering relationships between FOIA staff and other programmatic office staff within an agency can help prioritize FOIA and improve overall timeliness. This can also lead to collaborations between offices on how efficiencies can be gained when searching for records, identifying proactive disclosures, or better utilizing technology.
- Implementing robust training for FOIA professionals – Ensuring that FOIA professionals have adequate training to understand the legal requirements of the FOIA and the agency’s unique FOIA processes and policies is fundamental to any successful FOIA administration. If FOIA professionals are unaware of, or do not understand, the requirements of the law they will not be in a position to properly and efficiently process requests. Agencies should ensure that their FOIA professionals are regularly trained on both agency-specific FOIA policies and procedures and the current state of FOIA law and government-wide FOIA policy issued by DOJ.
- Leveraging technology – While available resources can often limit the types of technology available to agencies, it is important that agencies examine what technologies could improve their FOIA programs and determine if they can acquire those tools. There are ranges of technological solutions that can significantly improve an agency’s FOIA administration. For example, having the proper FOIA case management system can be very helpful to FOIA managers tracking the flow of FOIA requests through their agency in real-time to assess progress and resource allocation. Advanced tools that assist with search and de-duplication can also be significant in achieving efficiencies. FOIA offices should team-up with their agency IT specialists to see what is possible in terms of leveraging technology to improve their FOIA administration.
Additional Resources
- OIP Guidance: Guidance for Further Improvement Based on 2018 Chief FOIA Officer Report Review and Assessment (July 19, 2018)
- Strategically Managing Backlogs/Closing Ten Oldest Consultations/Posting Raw Data
- Guidance for Further Improvement Based on 2017 Chief FOIA Officer Report Review and Assessment (June 15, 2017)
- Reducing Age of Backlog & Improving Processing Times/Updating FOIA Reference Guides/Posting Raw Data
- Guidance for Further Improvement Based on 2016 Chief FOIA Officer Report Review and Assessment (May 9, 2016)
- Closing Ten Oldest/Posting Quarterly Reports/Conducting Self-Assessments
- OIP Guidance: Guidance for Further Improvement from 2015 Chief FOIA Officer Report Review and Assessment (July 23, 2015)
- Continued Focus on Substantive Training/Electronic Communication with Requesters/Improving Timeliness & Reducing Backlogs
- A New Suite of FOIA Training Resources for all Federal Employees (March 3, 2015)
- OIP Guidance: Discussion Using Technology to Improve FOIA Processes at Best Practices Panel (December, 18, 2014)
- OIP Guidance: New Guidance for Reducing Backlogs and Improving Timeliness (August 15, 2014)
- OIP Guidance: Guidance for Further Improvement from 2013 Chief FOIA Officer Report Review and Assessment (August 13, 2013)
- Focus on Quality Training/Processing “Simple Track” Requests within Twenty Days/Closing Ten Oldest
- OIP Guidance: Guidance for Further Improvement from 2012 Chief FOIA Officer Report Review and Assessment (August 7, 2012)
- Focus on Quality Training/Processing “Simple Track” Requests within Twenty Days/Closing Ten Oldest
- Summary of Agency Chief FOIA Officer Reports with Findings and OIP Guidance for Improvement (July 29, 2010)
- Applying Presumption of Openness/Maximizing IT/Incorporating Best Practices for Increased Efficiency/Increasing Proactive Disclosures/Maximizing Electronic Record-Keeping/Reducing the Number & Age of Requests/Engaging Chief FOIA Officers
Best Practices for Self-Assessments and Improving FOIA Processes - August 23, 2017
Name | Organization | |
Event Panelists | Melanie Pustay | Department of Justice |
Lindsay Roberts | Department of Justice | |
Best Practices
- Agencies should regularly conduct self-assessments of their FOIA programs – Conducting self-assessments can assist all agencies in reviewing and improving their FOIA administration. Self-assessments can give agencies an opportunity to, for example, review aspects of their FOIA program to streamline processing procedures, identify new ways to use technology, and determine whether to reallocate resources to facilitate continued progress towards agency processing goals. Agencies can also examine other aspects of FOIA administration through self-assessments, such as procedures for identifying records for proactive disclosure. Self-assessments may also reveal best practices or areas where FOIA guidance and best practices can be more effectively implemented.
- OIP’s new Self-Assessment Toolkit is a significant resource for agencies to use when conducting a self-assessment – The FOIA Self-Assessment Toolkit consists of 13 modules, each focusing on a distinct aspect of the FOIA process, such as Initial Mail Intake, Adjudicating Requests for Expedited Processing, Searching for Responsive Records, Requester Services, FOIA Reporting, and FOIA Websites. Each module contains various milestones to help agencies evaluate their FOIA program and identify areas for improvement. At the end of each module, OIP offers best practices and guidance covering the topic.
Additional Resources
- FOIA Self-Assessment Toolkit
- OIP Guidance for Further Improvement Based on 2016 Chief FOIA Officer Report Review and Assessment (May 9, 2016)
Collaborating for Results: Agencies & Requesters Working Together Throughout the FOIA Process - June 15, 2017
Name | Organization | |
Event Panelists | Carmen L. Mallon | Department of Justice |
Alina M. Semo |
Office of Government Information Services |
|
Sean Moulton | Projecct on Government Oversight | |
Best Practices
- Inform, educate, and work collaboratively with requesters throughout the FOIA process – Requesters have varying degrees of experience with FOIA, ranging from the novice to the expert level. FOIA professionals can help meet the needs of these diverse constituencies by engaging with requesters at the front-end of the process and keeping the line of communication open. To this end, agencies should develop protocols on requester communication that fulfill both the statutory requirements of FOIA, as well as requester services goals (e.g., promptly responding to phone call and e-mail inquiries). Panelists also emphasized that agencies can manage requesters’ expectations by explaining agency procedures and the types of records maintained. Agencies may also provide samples of responsive documents and interim releases. Through these discussions, agencies can work with requesters to clarify their requests for faster processing.
- Build trust with requesters and agency personnel by emphasizing mutual benefit – Panelists stressed that trust is key whether FOIA professionals are interacting with requesters or program officers within agencies. FOIA professionals may find that appealing to a person’s self-interest can help lay the foundation for a productive relationship. For example, FOIA staff might explain to a requester that simplifying a request allows staff to search more efficiently and that benefits the requester by moving the request to a faster processing track. When working with non-FOIA personnel to obtain responsive records, reminding employees that they have the support of the FOIA staff, who will conduct a careful review of the records and apply exemptions as appropriate before releasing anything to the requester, helps builds trust within the agency to facilitate faster processing.
- Use simple and specific language when communicating with requesters – Both requesters and FOIA professionals benefit from using plain language. Requesters can improve the likelihood of receiving useful information by keeping requests tailored and only providing the information that the agency needs to process the request. Meanwhile, FOIA professionals can help to reduce confusion by structuring response letters into simple paragraphs that clearly explain the rationale for the agency’s decisions.
- Seek input from requester community – Agencies should consider reaching out to their requester community and civil society organizations periodically. This is an opportunity to help requesters better understand the agency’s FOIA process. The requester community may also have tips for the agency on how to engage effectively with requesters throughout the FOIA process.
Additional Resources
- Implementation Checklist and Sample Language for OIP Guidance on New Requirements for FOIA Response Letters and Notices Extending the FOIA’s Time Limits Due to Unusual Circumstances (August 16, 2016)
- Limitations on Use of “Still-Interested” Inquiries (July 2, 2015)
- Assigning Tracking Numbers and Providing Status Information for Requests (updated July 8, 2015)
- The Importance of Good Communication with FOIA Requesters 2.0: Improving Both the Means and Content of Requester Communications (November 22, 2013)
- OIP Guidance: The Importance of Good Communication with FOIA Requesters (March 1, 2010)
FOIA Training Programs - May 25, 2016
Name | Organization | |
Event Panelists | Bobak Talebian | Department of Justice |
James Hogan | Department of Defense | |
Alexis Graves | Department of Agriculture | |
Best Practices
- Reinforcing the message that FOIA is everyone's responsibility – While substantive training for agency FOIA professionals is key to the success of any FOIA program, it is critical that agencies are mindful of the maxim that “FOIA is everyone's responsibility.” As a result, agencies should be sure to provide training to any agency personnel who are relied upon by FOIA professionals to support the work of the FOIA program. Agencies should ensure that both senior executives and records custodians in the program offices have a proper understanding of their unique roles and responsibilities in implementing this important law.
- Being creative and thinking outside the box when it comes to how you provide training – Keeping training fun and interesting through new formats can help ensure that your employees are not only engaged, but that they are also retaining the material. Different training formats such as online training modules, an "Ask a FOIA Officer" column, hands-on workshops, or even a regular FOIA comic strip can all enhance an agency's existing FOIA training program. Also, agencies should look to make every moment a training opportunity. Training does not have to be limited to the traditional settings and can be provided through newsletters, short FOIA briefings, video-teleconferences, and even as part of regularly held staff meetings.
- Tailoring your FOIA training for the specific needs of your personnel – Evaluate your FOIA program to determine what aspects of the law should be focused on and what would benefit your personnel the most. Ask your staff for suggestions as well. Agency personnel can be in the best position to inform their agency of the type and form of training they most need and so open lines of communication can be key to designing an effective training program.
- Rewarding and incentivizing FOIA training – Understanding the requirements of the FOIA is fundamental to any successful FOIA program. Accordingly, it is very important that agencies not only ensure there are robust training resources available to their personnel, but that personnel are also taking advantage of these resources. Agencies should explore different ways for incentivizing FOIA training to ensure that personnel have a sound understanding of their obligations under the law.
Additional Resources
- OIP's FOIA Training Page
- Guidance for Further Improvement Based on 2015 Chief FOIA Officer Report Review and Assessment (July 23, 2015)
- A New Suite of FOIA Training Resources for all Federal Employees (March 3, 2015)
Best Practices from the Requester’s Perspective – April 25, 2016
Name | Organization | |
Event Panelists | Tom Sussman | American Bar Association |
Sean Moulton | Project on Government Oversight | |
Best Practices
- Regularly communicating with requesters and working with them throughout the process – The most important tool for a FOIA analyst can often be the telephone. Taking the time to discuss with requesters aspects of their requests such as search, scope, the estimated date of completion, or any fees that are at issue can provide them with a better understanding of the process. By keeping the lines of communication open agencies can establish trust with the requester. Additionally, by providing updates to the requester and regularly communicating, the agency can often alleviate concerns requesters might have with the handling of their request. This type of communication can also be mutually beneficial as agencies and requesters can work together to find the most efficient and effective way of getting the requester the records he or she seeks.
- Making contact early on with requesters to discuss procedural issues – Explaining the process to requesters at the onset of the request can often serve as a springboard for fruitful discussions on, for example, the scope of the records sought. Topics that may benefit from early discussions include the scope of the request, the need for consultations or submitter-notice, or any fee issues. In having these discussions, agencies can present requesters with options moving forward which can often lead to faster processing.
- Using technology to improve how requests are made – Having a strong FOIA web presence and electronic means by which to receive requests are important resources for the requester community. Agencies can actively collaborate with their information technology personnel to strengthen their websites and explore different means for facilitating the electronic submission of requests, such as through e-mail or a portal.
- Training and educating agency personnel to facilitate communications with requesters – Understanding your agency's organization and the records it maintains can be just as important as knowing the requirements of the FOIA. This level of understanding can be very helpful when explaining the process to requesters. Accordingly, FOIA professionals should ensure they have a good understanding of their agency's records in order to communicate effectively with requesters about the handling of their requests.
Additional Resources
- Limitations on Use of "Still-Interested" Inquiries (July 2, 2015)
- A New Suite of FOIA Training Resources for all Federal Employees (March 3, 2015)
- OIP Guidance: Assigning Tracking Numbers and Providing Status Information for Requests (Updated Guidance) (July 8, 2014)
- OIP Guidance: The Importance of Good Communication with FOIA Requesters 2.0: Improving Both the Means and Content of Requester Communications (November 22, 2013)
- OIP Guidance: Referrals, Consultations, and Coordination: Procedures for Processing Records When Another Agency or Entity Has an Interest in Them (December 05, 2011)
- OIP Guidance: The Importance of Good Communication with FOIA Requesters (March 1, 2010)
Reducing Backlogs and Improving Timeliness - December 8, 2015
Event Recap - Best Practices Workshops Continue with Discussions on Small Agencies and Backlog Reduction
Name | Organization | |
Event Panelists | Sean O'Neill | Department of Justice |
Chris Morris | Department of Energy | |
Sabrina Burroughs | Department of Homeland Security | |
Catrina Pavlik Keenan | Department of Homeland Security | |
Best Practices
- Leveraging technology – Using advanced tools like e-Discovery applications can often enable agencies to conduct searches and review responsive records in a fraction of the time it would have taken without such technology. Acquiring these tools is only half the battle though; there are a number of best practices that must be learned to fully utilize these tools when agencies do have them. Using a good case management system with sophisticated report generating capabilities can also be key to an agency's success. Some case management systems offer functionality that automates FOIA intake and correspondence procedures and provides redaction tools. Such new functionality could also be of help to agencies working to reduce backlogs.
- Utilizing Active case management techniques – While employing efficient processing tools can be a significant factor in helping an agency's backlog reduction efforts, reducing backlogs also requires active management of an agency’s FOIA workload. Agencies that succeed in reducing their backlogs often rely heavily on FOIA managers who take an ongoing, proactive, role in managing their FOIA workloads. By regularly reviewing FOIA data, including monitoring incoming requests and establishing metrics and goals to keep pace, agencies can better understand their specific challenges and needs and take steps to address them. Active case management allows agencies to identify system inefficiencies and FOIA trends such as spikes in incoming requests or an influx of requests on particular topics. Regular meetings with staff to review case logs can also be very helpful.
- Getting employee buy-in and developing quality staff – At the core of any agency’s success in FOIA administration will always be the buy-in and quality of its FOIA professionals who are on the front lines doing the hard work of processing often voluminous and complicated records on a wide variety of topics. To achieve higher productivity and gain efficiencies FOIA managers should be heavily involved in the day-to-day work of these employees, setting appropriate goals and recognizing employee contributions. Getting buy-in from FOIA professionals as to the important work that they are doing for the mission of their agency can be crucial in setting the right tone for achieving backlog reduction and improving timeliness overall. A clear vision and mission statement facilitated by employee engagement can be very helpful in this regard. FOIA managers should also ensure that their FOIA staffs have adequate resources and training available to them to be able to fulfill their jobs appropriately and efficiently.
- Building relationships amongst program offices – As the Department of Justice has declared, "FOIA is everyone's responsibility." Fostering relationships between FOIA staff and other programmatic office staff within an agency can help prioritize FOIA and improve overall timeliness. This can also lead to collaborations between offices on how efficiencies can be gained when searching for records, identifying proactive disclosures, or better utilizing technology.
Additional Resources
- OIP Guidance: Guidance for Further Improvement from 2015 Chief FOIA Officer Report Review and Assessment (July 23, 2015)
- OIP Guidance: A New Suite of FOIA Training Resources for all Federal Employees (March 3, 2015)
- OIP Guidance: Discussion Using Technology to Improve FOIA Processes at Best Practices Panel (December, 18, 2014)
- OIP Guidance: New Guidance for Reducing Backlogs and Improving Timeliness (August 15, 2014)
- OIP Guidance: Guidance for Further Improvement from 2013 Chief FOIA Officer Report Review and Assessment (August 13, 2013)
- OIP Guidance: President Obama’s FOIA Memorandum and Attorney General Holder’s FOIA Guidelines – Creating a “New Era of Open Government” (April 17, 2009)
- OIP Guidance: Guidance for Further Improvement from 2012 Chief FOIA Officer Report Review and Assessment (August 7, 2012)
- Summary of Agency Chief FOIA Officer Reports with Findings and OIP Guidance for Improvement (July 29, 2010)
Best Practices for Small Agencies - August 26, 2015
Event Recap - Best Practices Workshops Continue with Discussions on Small Agencies and Backlog Reduction
Name | Organization | |
Event Panelists | Jennifer Matis | Office of Government Ethics |
Linda Hale | Federal Maritime Commission | |
Jeffrey Pienta | Farm Credit Administration | |
Carmen Banerjee | Department of Justice | |
Best Practices
- Collaborating with agency personnel, including non-FOIA personnel – As the Department of Justice has declared, "FOIA is everyone's responsibility," and collaboration among agency personnel can be the key to success, particularly at a small agency. The unique expertise of an agency's personnel in their programmatic areas, particularly with technology, can often be helpful in overcoming the challenges of implementing the FOIA. Given the more "close-knit" nature of some smaller agencies, they are sometimes better able to foster this important level of collaboration, which can be key to their success in administering the FOIA. Working with agency personnel outside of those with specific FOIA duties can help improve many aspects of an agency’s FOIA administration, including increased proactive disclosures of information and the efficient processing of requests.
- Using multi-track processing – Multi-track processing can help agencies respond to requesters more quickly. Use of a multi-track system provides a mechanism for the agency to process "simple" requests in a different queue from "complex" requests, which in turn helps achieve increased productivity in the processing of requests overall. Additionally, the establishment of multiple processing tracks allows agencies to offer requesters the option of tailoring their request so that it fits within the "simple" track that can be processed more quickly.
- Communicating with requesters – As mentioned in other Best Practices discussions, and emphasized by OIP, good communication with requesters is key to any successful FOIA operation. Small agencies are sometimes better positioned to take advantage of more personalized communications with their requesters and this can be a very valuable technique. Building a strong rapport with requesters helps ensure that they fully understand the FOIA process and that they are confident that the agency is working to locate and process their records as expediently as possible.
- Conducting internal reviews of FOIA practices and procedures – Regular internal reviews of an agency's FOIA operations can be very helpful particularly as small agencies continue to face competing priorities for their resources. These internal reviews also enable small agencies to find ways to further improve their FOIA processes in order to reduce processing times, improve communication with requesters, and increase the number of requests processed.
- Utilizing a FOIA tracking system or database – Having the right FOIA tracking system or database can be very helpful for an agency's management of its FOIA responsibilities. Depending on the volume of requests received and processing needs, agencies should utilize the technology or system that best allows them to manage their FOIA processing needs and satisfy their reporting obligations. A tracking system or database can also improve administrative efficiencies by automating certain aspects of FOIA intake and helping the agency proactively track important ticklers such as the number of days a request has been in the queue and significant deadlines.
Additional Resources
- Proactive Disclosures of Non-Exempt Agency Information: Making Information Available Without the Need to File a FOIA Request (March 16, 2015)
- A New Suite of FOIA Training Resources for all Federal Employees (March 3, 2015)
- OIP Guidance: Guidance for Further Improvement from 2013 Chief FOIA Officer Report Review and Assessment (August 13, 2013)
- OIP Guidance: Guidance for Further Improvement from 2012 Chief FOIA Officer Report Review and Assessment (August 7, 2012)
- The Importance of Good Communication with FOIA Requesters 2.0: Improving Both the Means and Content of Requester Communications (November 22, 2013)
- OIP Guidance: The Importance of Good Communication with FOIA Requesters (March 1, 2010)
Customer Service and Dispute Resolution - February 18, 2015
Event Recap - Best Practices Workshop Discusses FOIA Customer Service
Name | Organization | |
Event Panelists | Carmen L. Mallon | Department of Justice |
Dennis Argall | Federal Bureau of Investigation | |
Paul Jacobsmeyer | Department of Defense | |
Carrie McGuire | National Archives & Records Administration | |
Best Practices
- Communicating with the requesters throughout the life of a request – Maintaining open communication with requesters is critical for providing good customer service. This can include promptly acknowledging receipt of a request, explaining the FOIA process to requesters who are unfamiliar with it, and ensuring that requesters can easily contact the agency to ask questions and inquire about the status of their requests. Open communication also includes a range of actions, such as providing a sample of records responsive to a request to help the requester understand the type of material the agency has located and utilizing interim responses whenever possible to provide material on a rolling basis.
- Proactively communicating with requesters – Several panelists found success in proactive efforts to communicate with requesters. For example, reaching out to requesters who have (sometimes unknowingly) made broad or complex requests can help clarify questions the agency has while at the same time provide requesters the opportunity to reformulate their requests so that records can be more readily located and processed more efficiently. Proactive outreach to provide the status of a request can also be beneficial, particularly for requests that have been pending for any significant length of time. By actively communicating with requesters in such situations, the agency not only is providing good customer service, but the communication itself can lead to further discussions about ways to help requesters obtain responsive records as efficiently as possible.
- Memorializing discussions with the requester – Agencies should make it as easy as possible for requesters to clarify or reformulate their requests. Documenting discussions with requesters, especially when the requester agrees to amend his or her request, is critical to ensure that the agency and the requester mutually understand what was discussed. Agencies should promptly follow-up substantive phone discussions with an e-mail or letter that summarizes what was discussed and that includes contact information in case the requester has additional questions or concerns.
- Using Multi-track processing to improve customer service – Multi-track processing can help agencies provide good customer service in two ways. Utilization of a multi-track system provides a mechanism for the agency to process "simple" requests in a different queue from "complex" requests, which in turn can allow for improved timeliness for the "simple" track requests. Additionally, by establishing multiple processing tracks, agencies can more readily offer requesters the option of tailoring their request so that it fits within the "simple" track and can be processed more quickly.
Additional Resources
- OIP Guidance: Assigning Tracking Numbers and Providing Status Information for Requests (Updated Guidance) (July 8, 2014)
- OIP Guidance: The Importance of Good Communication with FOIA Requesters 2.0: Improving Both the Means and Content of Requester Communications (November 22, 2013)
- OIP Guidance: Guidance for Further Improvement from 2012 Chief FOIA Officer Report Review and Assessment (August 7, 2012)
- OIP Guidance: Notifying Requesters of the Mediation Services Offered by OGIS (July 9, 2010)
- OIP Guidance: The Importance of Good Communication with FOIA Requesters (March 1, 2010)
- OIP Guidance: President Obama’s FOIA Memorandum and Attorney General Holder’s FOIA Guidelines – Creating a “New Era of Open Government” (April 17, 2009)
Implementing Technology to Improve FOIA Processing – December 9, 2014
Event Recap - Discussing Using Technology to Improve FOIA Processes at Best Practices Panel
Name | Organization | |
Event Panelists | Douglas Hibbard | Department of Justice |
Michael Norman | Department of Homeland Security | |
Joan Fina | Commodity Futures Trading Commission | |
Best Practices
- Leveraging all available agency resources – Technology tools may have various uses and even those not specifically designed for FOIA can help create efficiencies in the FOIA process. By leveraging tools already available at an agency, FOIA professionals can potentially implement, and realize the benefits of, new technologies faster than if looking outside the agency.
- Actively collaborating with technology professionals – Collaborating and working with an agency’s technology professionals can help identify available tools that can be leveraged for an agency's FOIA office. Such collaborations can also help set clear expectations for what is needed in technology tools as well as help both FOIA and technology professionals understand their role in the process of using and supporting the use of such tools. These collaborations do not necessarily have to be confined to within an agency, as professionals from across the government may be able to offer additional best practices, tools, or other assistance when seeking to implement new technologies for FOIA administration.
- Examining different uses of technology for benefits throughout the entire FOIA process – While many agencies have focused on finding tools that help with the searchability and processing of responsive documents, there are a number of other tools or uses of technology that can also be very helpful for an agencies' FOIA administration. For example, within agencies the use of improved networks and online platforms to move responsive records between offices, to collaborate on FOIA processing, to facilitate teleworking and to track workflow metrics can all be useful for finding efficiencies. Electronic communication with requesters, including the sending of responsive records in electronic formats, should be the default for agencies: Not only is this more customer friendly, but it is a much more efficient method of communication for both agencies and requesters.
- Continually evaluating the effectiveness of tools – Flexible approaches to technology implementation are needed, as not every tool will work for every agency and existing tools may no longer be effective. By regularly evaluating tools, agencies can assess their effectiveness, identify best practices for their use, and work to identify opportunities for the incorporation of new tools.
- Utilize advanced document review tools – The use of advanced document review software can create efficiencies in agencies' administration of the FOIA by effectively conducting searches, automatically de-duplicating, and streamlining the review of responsive records, thereby reducing time spent on these tasks by FOIA professionals.
Additional Resources
- Discussions from the FOIA IT Working Group (FOIA Post) (March 15, 2013)
- Identifying Efficiencies When Leveraging Digital Tools for FOIA Processing (FOIA Post) (March 14, 2013)
- FOIA Requester Roundtable Wrap-Up (FOIA Post) (May 1, 2012)
Best Practices from the Requester’s Perspective – October 28, 2014
Event Recap - Best Practices Panel Highlights Importance of Customer Service and Good Communication
Name | Organization | |
Event Panelists | Amy Bennett | OpenTheGovernment.org |
Josh Gerstein | Politico | |
Elizabeth Hempowicz | Project on Government Oversight | |
Best Practices
- Maintaining frequent and substantive communications with requesters – Providing requesters with an available point of contact who can discuss the status and processing of requests, including items such as how a search is being conducted, the scope of the request, response times, and any fee issues or other procedural requirements. Agency points of contacts can also proactively reach out to requesters to efficiently and effectively work through any potential processing issues. By empowering the requester with up-to-date information regarding their request they will be able to more effectively work with the agency for their mutual benefit.
- Explaining the type of records agencies maintain – Explaining to requesters the types of information an agency maintains can help them to make better, more tailored requests which will benefit both the requester and the agency. This type of communication also provides an opportunity to discuss with requesters the scope of their request and to help make sure that search and processing efforts are not being expended for records that may not actually be of interest to the requester.
- Maintaining up-to-date contact information – Ensuring that requesters are informed when the point of contact for their request changes, as well as making sure that contact information located online is updated.
- Make records posted online findable and accessible – Posting records online in obvious subject matter locations where potential requesters are most likely to look for them. By doing so and also posting records in formats that are most accessible, the public can more efficiently locate records already available online so that there is no need for a request to be made in the first place.
Additional Resources
- OIP Guidance: Assigning Tracking Numbers and Providing Status Information for Requests (Updated Guidance) (July 8, 2014)
- OIP Guidance: The Importance of Good Communication with FOIA Requesters 2.0: Improving Both the Means and Content of Requester Communications (November 22, 2013)
- OIP Guidance: Using Metadata in FOIA Documents Posted Online to Lay the Foundation for Building a Government-Wide FOIA Library (March 12, 2013)
- OIP Guidance: Referrals, Consultations, and Coordination: Procedures for Processing Records When Another Agency or Entity Has an Interest in Them (December 05, 2011)
- OIP Guidance: Notifying Requesters of the Mediation Services Offered by OGIS (July 9, 2010)
- OIP Guidance: The Importance of Good Communication with FOIA Requesters (March 1, 2010)
- OIP Guidance: President Obama’s FOIA Memorandum and Attorney General Holder’s FOIA Guidelines – Creating a “New Era of Open Government” (April 17, 2009)
Proactive Disclosures & Making Online Information More Useful – July 17, 2014
Event Recap - Discussing Proactive Disclosures and Online Information
Name | Organization | |
Event Panelists | Vanessa Brinkmann | Department of Justice |
Erie Meyer | Office of Science & Technology Policy | |
Karen Finnegan | Department of State | |
Martin Michalosky | Consumer Financial Protection Bureau | |
Mark Graff | Nuclear Regulatory Commission |
Best Practices
- Engaging with programmatic offices – By actively engaging with record creators at an agency, FOIA offices can identify potential proactive disclosures with more ease, and can work with those offices to make the posting of the material more efficient.
- Making online information usable, not just accessible – In addition to making more information available online, agencies can further foster transparency by making online information more usable by, for example, posting material in open formats, creating topical websites, or offering more advanced search features.
- Utilizing available expertise outside of the FOIA office – Just as engaging with programmatic offices can help FOIA professionals locate potential proactive disclosures, leveraging available expertise from inside an agency (such as a Chief Information Officer) or from across the government (such Project Open Data or the 18F innovation lab) can help agencies unlock proactive disclosures that may be waiting at their agency.
- Collaborating with stakeholders outside of agencies – Working with the public and interested agency stakeholders can allow FOIA offices to focus their efforts on particular types of proactive disclosures or identify useful formats for posting that information.
Additional Resources
- Department of Justice Guide to the Freedom of Information Act – Proactive Disclosures Chapter
- OIP Co-Hosts Proactive Disclosure Workshop with the White House Open Government Team (FOIA Post) (October 17, 2014)
- OIP Guidance: Guidance for Further Improvement Based on 2014 Chief FOIA Officer Report Review and Assessment (August 26, 2014)
- OIP Guidance: Using Metadata in FOIA Documents Posted Online to Lay the Foundation for Building a Government-Wide FOIA Library (March 12, 2013)
Reducing Backlogs & Improving Timeliness - May 20, 2014
Event Recap - Best Practices Workshop Held Today
Name | Organization | |
Event Panelists | Michael Marquis | Department of Health and Human Services |
Thomas Cioppa | U.S. Citizenship & Immigration Services | |
Richard Frank | Department of Defense | |
Lisa Babcock | Small Business Administration | |
Cindy Cafaro | Department of the Interior |
Best Practices
- Obtaining leadership support – Agency managers can increase awareness and accountability by making it a priority for their agency to reduce backlogs and improve timeliness. Having this level of support from leadership makes it easier for FOIA managers to obtain any additional resources or personnel that might be necessary. Getting buy-in from agency program offices is also key. In this respect, FOIA professionals can regularly meet with leaders in their agencies to update them on their agency's FOIA administration. These regular engagements with agency leaders can help spread management responsibilities for FOIA and improve consistency.
- Routinely reviewing processing metrics – Before you can fix a problem, you must understand it. Regular review of FOIA data helps agencies understand their specific challenges and needs by allowing them to identify system inefficiencies and FOIA trends such as spikes in incoming requests or an influx of requests on particular topics. This information will in turn allow the agency to better utilize “Intelligent Case Management” strategies aimed at achieving overall efficiencies. Such routine reviews will also help put agencies in a good position to ensure that their ten oldest requests, appeals, and consultations are worked on throughout the year and that they are on course to be closed by the end of the fiscal year.
- Ensuring accountability – Setting goals for processing staff and maintaining accountability is also key for any agency's effort to reduce backlogs and improve timeliness. Motivating staff and rewarding personnel for achieving certain metrics can be particularly helpful towards an agency's efforts in this area.
- Engaging with FOIA staff – Staff training and engagement is another key element to success in reducing backlogs and improving timeliness. When FOIA professionals are properly trained they can process requests more efficiently. Regular training can be extremely helpful but it is also important to target that training to the needs of the agency's staff. Agencies can target their FOIA training efforts by, for example, surveying their FOIA professionals on the types of training that would be helpful. Encouragement and proper support of FOIA staff is also very important. Some agencies are successfully utilizing telework arrangements as part of their FOIA program as well as offering incentives and other types of support to improve staff engagement.
- Utilizing multi-track processing – Multi-track processing can be a particularly useful tool for agencies to ensure good workflow in their FOIA processing. By utilizing multi-track processing agencies can help ensure that requests are placed in the right track so that simple requests do not get stuck behind far more complicated ones. Some agencies have gone beyond just the traditional three tracks (simple, complex, and expedited) and have created new tracks that improve the flow of their processing efforts. The use of multi-track processing can also be useful when discussing the scope of a request with the requester. In certain cases, the requester may be interested in narrowing the scope of a request to fit in a quicker track, which is a win for both the agency and the requester.
- Timely focus on 10 oldest requests – The 10 oldest pending requests at an agency are most often also some of the agency's most complex to process. Agencies can avoid allowing these requests to cause logjams that will impede efforts to reduce backlog by focusing on them in the first quarter of the fiscal year.
Additional Resources
- OIP Guidance: Reducing Backlogs and Improving Timeliness (August 15, 2014)
- OIP Guidance: Guidance for Further Improvement Based on 2013 Chief FOIA Officer Report Review and Assessment (August 13, 2013)
- OIP Guidance:Guidance for Further Improvement from 2012 Chief FOIA Officer Report Review and Assessment (August 7, 2012)
- OIP Guidance: Closing the Ten Oldest Pending Requests and Consultations (April 04, 2012)
- Memorandum from the Acting Associate Attorney General and the Counsel to the President to Agency General Counsels and Chief FOIA Officers of Executive Departments and Agencies regarding the Freedom of Information Act (June 11, 2012)
- Summary of Agency Chief FOIA Officer Reports with Findings and OIP Guidance for Improvement (July 29, 2010)