June 1, 2007

ATTORNEY GENERAL'S REPORT TO THE PRESIDENT
PURSUANT TO EXECUTIVE ORDER 13,392, ENTITLED
"IMPROVING AGENCY DISCLOSURE OF INFORMATION"

Introduction

On December 14, 2005, the President issued Executive Order 13,392 on "Improving Agency Disclosure of Information."  In the Order, the President stated that "[t]he effective functioning of our constitutional democracy depends upon the participation in public life of a citizenry that is well informed," and that "the Freedom of Information Act (FOIA) has provided an important means through which the public can obtain information regarding the activities of Federal agencies."  Accordingly, the President established the policy that agency FOIA operations shall be "citizen-centered" and be "both results-oriented and produce results."  As the President stated, "[a] citizen-centered and results-oriented approach will improve service and performance, thereby strengthening compliance with the FOIA, and will help avoid disputes and related litigation."

In the Executive Order, the President directed the head of each Executive Branch agency to designate a senior official (at the Assistant Secretary level or equivalent) to serve as that agency's Chief FOIA Officer.  So as to ensure a citizen-centered approach to responding to FOIA requests, the Order also directed each agency to establish one or more FOIA Requester Service Centers and to designate one or more FOIA Public Liaisons.  The Service Centers would "serve as the first place that a FOIA requester can contact to seek information concerning the status of the person's FOIA request and appropriate information about the agency's FOIA response."  The Liaisons would "serve as supervisory officials to whom a FOIA requester can raise concerns about the service the FOIA requester has received from the Center."  In addition, the Liaisons would "seek to ensure a service-oriented response to FOIA requests and FOIA-related inquiries," and would "assist, as appropriate, in reducing delays, increasing transparency and understanding of the status of requests, and resolving disputes." 

In addition, the Executive Order directed each agency to conduct a review of its FOIA operations and, based on this review, to develop and issue a FOIA Improvement Plan (approved by the head of the agency) "to ensure that the agency's administration of the FOIA is in accordance with applicable law and the policies set forth" in the Order.  These agency-specific plans, which would "address the agency's implementation of the FOIA during fiscal years 2006 and 2007," were to include "specific activities that the agency will implement to eliminate or reduce the agency's FOIA backlog, including (as applicable) changes that will make the processing of FOIA requests more streamlined and effective, as well as increased reliance on the dissemination of records that can be made available to the public through a website or other means that do not require the public to make a request for the records under the FOIA."  Moreover, each agency's plan also needed to include "concrete milestones, with specific timetables and outcomes to be achieved," by which the agency "shall measure and evaluate the agency's success in the implementation of the plan."

A core element of Executive Order 13,392, in support of its "citizen-centered" and "results-oriented" policies, is the Order's emphasis on transparency and accountability.  Under the Order, each agency was required by June 14, 2006, to submit to the Attorney General and the Director of the Office of Management and Budget (OMB), and to post on its website, a report that summarized the results of the agency's review of its FOIA operations and enclosed a copy of the agency's FOIA Improvement Plan.  In addition to being able to review each agency's report on its website, anyone interested in reviewing all of the Executive Branch's reports can do so quickly and easily, by going to the Justice Department's website, which has all of the agency reports (as well as a listing of the Chief FOIA Officers for all the agencies).

Moreover, the Executive Order directed each agency to report periodically on the agency's progress in implementing its Improvement Plan.  These agency progress reports are to be included as part of the agencies' annual FOIA reports for FY06 and FY07, which under the FOIA are to be submitted to the Department of Justice by February 1, 2007 and 2008, respectively.  As with the agency FOIA Improvement Plans, each agency's annual FOIA report is posted on the agency's website, and the Justice Department posts on its website the annual FOIA reports for all of the agencies.  

Thus, the public is able to track, for itself, the progress that agencies have made in meeting the goals that they established for improving their FOIA operations.  In fact, the Executive Order directed each agency in its FOIA report, and in a separate report to the President's Management Council (PMC), to identify any agency deficiencies in meeting the milestones that the agency had established in its FOIA Improvement Plan.  The Order also required the agency to explain "the reasons for the agency's failure to meet the milestone" and to outline "the steps that the agency has already taken, and will be taking, to address the deficiency."

Finally, the Executive Order directed the Attorney General to submit periodic reports to the President regarding the implementation of the Executive Order.  The Attorney General submitted the first of these reports to the President on October 16, 2006.  That report, which is posted on the Justice Department's website, summarized the initial phase of the Executive Branch's implementation of the Order, with a focus on the reviews and FOIA Improvement Plans that the agencies had developed and issued.

This is the second report of the Attorney General.  In accordance with the Executive Order, this report is based on the annual FOIA reports for FY06 that the agencies submitted earlier this year, and it provides "an update on the agencies' implementation of the FOIA and of their plans" for improving their FOIA operations.

This report describes the initial progress that agencies have made in the first months of implementing their FOIA Improvement Plans, as reported in their FY06 Annual Reports.¹  An Overall Assessment is provided in Section I of the report.  A more detailed discussion of agency activities is provided in Section II.  Section III provides a discussion of the areas where agencies have encountered difficulties in meeting their early milestones or goals, which also includes a discussion of agency reporting to the PMC, under Section 3(c) of the Executive Order.  Finally, recommendations are included in Section IV of the report.

In addition, to aid in the review of agencies' progress in implementing the Executive Order, the Department of Justice, in coordination with OMB, has focused on the progress has been made by 25 key agencies (including all 15 Cabinet departments).² The progress that each of these agencies has made is outlined in the charts found in Attachment B.  For each agency, a color has been assigned to the progress the agency has reported in its Annual FOIA Report.  For agencies that reported success in timely achieving the milestones that they established for themselves during the reporting period, the color green was assigned.  If the entire goal was reached during this reporting period, a check mark also was assigned.  For agencies that reported achieving progress, but not success, in timely meeting a milestone, the color yellow was assigned.  For agencies that did not report progress, the color red was assigned.

I. Overall Assessment of Agency Activities

Agencies Have Made Diligent and Measurable Progress.  Overall, Federal agencies made diligent and measurable progress in implementing the Executive Order during this first reporting period, which represents only a little more than seven months of activity under the FOIA Improvement Plans.

More Than Half of Agencies Successfully Met All of Their Milestones and Goals On Time.  A full 54 agencies, more than half, reported successes in timely achieving all their milestones and goals for this reporting period.

Moreover, in a number of these cases, agencies did not simply meet but instead exceeded their milestone or goal, either by reaching it ahead of schedule or by exceeding the benchmark for success.

Of the 25 key agencies, 11 reported success in timely achieving all their milestones for this reporting period. A full 22 of the key agencies, nearly 90 percent, reported meaningful progress in FOIA administration. Only three of the key agencies reported one or more milestones for which they failed to achieve progress.

Although 38 of the 92 total agencies reported having failed to meet some of their milestones by the plan's timetable, many still made some progress toward meeting the missed milestone or goal. In fact, in many cases, the agency subsequently met the milestone or goal at a time later than originally planned.

Agencies Reported Positive Achievements in FOIA Administration.  The achievements noted below illustrate that the Executive Order is having a positive impact on the administration of the FOIA.  Many agencies have already realized meaningful backlog reductions.  Agencies have also made significant progress in increasing their proactive disclosures of records and improving their FOIA websites.  Moreover, agencies have made great strides in seeking out technological solutions to improving FOIA administration overall.  Lastly, agencies have improved their ability to track the status of FOIA requests and have focused on improving customer service.  In all of these areas, positive outcomes have been achieved.

Each agency devised an Improvement Plan that suited its own particular FOIA situation, as is reflected in the range of areas agencies have focused on to improve, as well as the manner in which they have selected to achieve the improvements.  Although there undoubtedly were deficiencies in meeting some milestones and goals, agencies were encouraged by both the Department of Justice and OMB to be aggressive in setting their goals.  The fact that some agencies, for some improvement areas, were not able to achieve all that they had aimed for is in part a reflection of the fact that agencies set high goals for themselves.  As is discussed below, agencies also encountered difficulties, such as a shortage of staff and the need for greater IT assistance which had an impact on their ability to meet their goals. 

Additional Time is Needed to Fully Implement the Executive Order.  Finally, because the Executive Order was written to cover the first two years of the effort to reform the government's FOIA practices, it is in the intermediate phase of implementation.  During the next six months, agencies will be working on achieving the goals they set out for the next implementing period as well as satisfying any milestones or goals that were moved into this period.  To encourage agencies to continue on the positive path they have taken, and to ensure accountability for taking remedial steps so that any deficiencies are turned into successes, the conclusion of this report proposes a series of recommendations.

II. Agency Progress in Meeting Plan Milestones and Goals

Across the government, agencies have reported meaningful improvements in FOIA administration, spanning a wide range of activity areas.  This first reporting period constitutes slightly more than six months of activity under the Executive Order ³ and as such, represents just the beginning of improvement plan activities that will span a two-year time period.  As mentioned above, the Department of Justice has created a chart for each of the 25 key agencies.  Each chart lists the agency's goals that relate to milestones falling within the reporting period for the FY06 annual FOIA report (i.e., from June 2006 through the report's due date, February 1, 2007).  For each improvement area where success was achieved, the milestone is marked in green.  As the attached charts demonstrate, although agencies experienced some difficulties in meeting all of their planned milestones, agencies made quite significant progress towards meeting their FOIA Improvement Plan goals. 

In the October 16, 2006 report, the Department of Justice highlighted six general categories of improvement areas that were chosen by agencies in their implementation of the Executive Order. During this first period of implementation activity, these six areas continue to stand out as areas in which agencies have made real progress in improving the operation of the FOIA across the government:

1. Backlog Reduction: Agencies Reduced FOIA Backlogs Despite Increased Requests.

Backlog Reduction is the Single Most Significant Improvement Area Addressed by Agencies.  Perhaps the single most significant improvement area addressed by agencies in implementing Executive Order 13,392 is the challenge of eliminating or reducing FOIA backlogs where and when they exist.  The agencies that have such backlogs of pending FOIA requests by and large are the biggest ones, especially those agencies that regularly deal with complex records containing especially sensitive types of information.

The number of requests pending at the end of each fiscal year (FY) is reported by each agency in its annual FOIA report.  Although this statistic is based on figures as of September 30 – and so represents just a little over three months of Executive Order implementation activity – it serves as a critical starting point for evaluating agency progress in this area.  The Department analyzed the FY06 annual FOIA reports for all 92 agencies to determine how agencies have fared in terms of the number of requests that were pending as of the end of this fiscal year compared to the last fiscal year.

First, we determined that 32 out of 92 agencies reported an increase in the number of pending requests.  Of those 32, half (16) experienced an increase in the number of in-coming requests and so a corresponding increase in the number pending at the end of the fiscal year is not unexpected. 

Agencies with Backlogs and Increases in Incoming Requests Faced Compounding Challenges.  For agencies with backlogs and increases in incoming requests in particular, the challenge of reducing their backlogs was compounded.  Moreover, as mentioned above, agencies began implementation of their FOIA Improvement Plans mid-June 2006, and so they had only approximately one quarter of a year to begin work on their backlog reduction goals before having to report at the end of the fiscal year.  Nevertheless, for FY06, 41 agencies reported a decrease in the number of requests pending at the end of the fiscal year.

For those agencies experiencing an increase in the number of incoming requests, the increase was quite significant for some agencies.  Compared with 2005, in 2006:

• The Department of Veterans Affairs (VA) received 23,811 more requests,
• The Department of Agriculture (USDA) received 7,555 more requests, and
• The Department of Defense (DOD) received 1,387 more requests.

Although there is still much work to be done in this crucial area, the news is encouraging.

Agencies Have Continued to Make Progress in Backlog Reduction. In terms of Executive Order implementation, the first reporting period extended three to four months beyond the end of the fiscal year, and so additional progress has been made on backlog reduction since that time. For example, although the Department of State (State) had an increase in its backlog at the end of FY06, it reported an almost ten percent reduction in its backlog since that time. This is despite the fact that the number of incoming requests at State reached an all-time high in FY06. The Department of Education also significantly exceeded its ten percent backlog reduction goal; reducing its backlog by nearly 50 percent.

The VA likewise realized a 50 percent reduction in the number of backlogged cases during the time period between September and November 2006.

The Department of Justice, which overall had a ten percent decrease in the number of pending requests for the fiscal year – despite receiving almost 2,000 additional requests – had components, such as the Office of Information and Privacy (OIP), that reached and then greatly surpassed their backlog reduction goals for the Executive Order reporting period.⁴  The backlog reduction goal set by OIP was to reduce the backlog of pending initial requests by ten percent by January 15, 2007.  By the end of the Fiscal Year (September 30, 2006), OIP had decreased its backlog by 13 percent.  In the succeeding months, OIP continued to reduce its backlog of initial requests by another nine percent, for a total reduction of 22 percent in the number of pending initial requests.  Moreover, as part of this backlog reduction effort, OIP closed its ten oldest pending FOIA cases.  OIP also exceeded its parallel backlog reduction goal for adjudicating administrative appeals.  The backlog reduction goal set for administrative appeals was a 25 percent reduction in pending appeals.  OIP far surpassed that goal and has decreased its backlog of pending appeals by 39 percent, including the ten oldest appeals. 

The Environmental Protection Agency (EPA) achieved its FOIA backlog reduction goals a year ahead of the milestone set in its FOIA Improvement Plan and has continued to reduce its backlog to historic lows. The National Aeronautics and Space Administration (NASA) reduced its backlog of pending requests from the triple digits into double digits.

The Social Security Administration (SSA) likewise exceeded its five percent goal of reducing its existing backlog.

The Internal Revenue Service (IRS), part of the Department of the Treasury (Treasury), exceeded its five percent backlog reduction goal, achieving a decrease of 11 percent.

The Department of Labor likewise exceeded its goal of closing administrative appeals during calendar year 2006, achieving a 66 percent increase in the number of closed appeals.

Several other agencies achieved significant backlog reduction, but at levels which did not necessarily meet the more aggressive goals they had set for themselves. For example, Department of Transportation (DOT) closed 254 FOIA requests that had been pending from previous fiscal years; but was three requests short of meeting its goal.

Remarkably, the Department of Health and Human Services (HHS) closed 35,177 more requests in FY06 than were closed in the preceding fiscal year, and yet because of an increase in incoming requests, its overall backlog did not decrease.

Many Agencies Have Made Foundational Steps for Future Backlog Reduction Activities.  Many agencies identified a series of steps to be taken to reduce their backlogs, including foundational steps that were necessary to bring about reductions in the backlog, and those agencies were successful in accomplishing those steps.  For example, DOD had three objectives in its overall backlog reduction goal; to determine the level of staffing necessary to reduce backlogs, to fund additional FOIA personnel, and to concentrate on a series of initiatives to reduce its FOIA backlog by ten percent annually beginning in FY08.  DOD met its milestones in these areas and so is well on its way to achieving backlog reduction.  Many other agencies likewise completed their initial steps toward backlog reduction, including HUD, Department of Energy (DOE), and Department of Homeland Security (DHS).

Agencies Still Face Challenges in Eliminating Backlogs.  These examples of success are very encouraging.  However, one should not underestimate the challenges that some agencies face in eliminating their backlogs.  The number of requests agencies receive, and how complex those requests are, are not under the control of agencies, nor are the number of offices that must be searched in order to appropriately respond to a request.  All of these factors can determine how long it can take an agency to respond to a request.

2. Proactive Disclosures: Agencies Anticipating the Needs of Requesters and Increasing the Amount of Government Documents Posted On-line.

Agencies Saw Significant Improvement in Proactive Disclosures. In an effort to reduce the need to file requests, and consistent with the Executive Order's focus on the issue, the area of improving proactive disclosures of information, i.e., making information available to the public on the agency's own initiative, saw significant improvement.

For example, the Central Intelligence Agency (CIA) has eliminated what was previously a two-year lag time in posting documents on its website. Posting of documents is now done in approximately one month's time and the CIA is now current in its posting of documents. The Office of Personnel Management (OPM) has reorganized its website and information on it is more readily accessible. This includes over 5000 files posted during the 2006 calendar year, including information related to pandemic influenza policy for federal agencies. OPM also posted other information of interest to the public, such as budget and human resources documents.

"At the beginning of Fiscal Year 2006 we were approximately two years behind in posting documents on our web site; it now takes us only one month and we have adopted that as our standard."

CIA, 2006
Annual FOIA Report

Some Agencies Have Made Foundational Steps for Future Affirmative Disclosure Activities. Some agencies completed initial steps toward making increased affirmative disclosures of information. For example, the General Services Administration (GSA) completed its milestones of implementing a tracking system and meeting with contract employees, which are part of its plan to improve affirmative and proactive disclosures. Similarly, the Small Business Administration (SBA) completed a review of records and consulted with relevant program offices.

3. FOIA Websites: Agencies Using the Internet to Inform the Public.

Agencies Recognize the Importance of Updating their Websites.  Agencies have now widely recognized the importance of both refining and maintaining their sites on the World Wide Web that they use for purposes of FOIA administration.  Seventeen of the 25 key agencies reported improvements in this vital area of FOIA administration. 

For example, the National Science Foundation (NSF) reviewed and improved its FOIA Web page, as did, among others, the Nuclear Regulatory Commission (NRC), EPA, SBA, and the CIA.  State hosted a focus group with FOIA requesters to help the agency identify areas on its FOIA website that could be improved.  State reported that holding this focus group meeting gave agency personnel important insight into the requester's perspective and that suggestions it received for improving its website were very helpful and are now being reviewed by the agency.

4. Use of Technology/Automation: Agencies Enhancing FOIA Response Times Using Existing Information Technology.

Agencies Have Embraced IT to Improve FOIA Operations.  As noted in the October 2006 report, agencies have widely embraced the subject area of technology and automation as a vital means of improving their FOIA operations.  This has consistently been viewed as the improvement area that holds the most promise for agencies in improving both the speed and the quality of their responses to FOIA requests.  Half of the 25 key agencies reported significant improvements in employing technology.

For example, DHS met all of its milestones in this improvement area, which included identifying a web-based case management program with electronic tracking capabilities.  The NRC completed testing of onscreen redaction software.  NASA acquired desktop scanners and procured FOIA redaction software for each of its FOIA Requester Service Centers.  DOD assessed FOIA software use and applicability and established a team to conduct a feasibility study to create an agency-wide electronic network.  The Department of Education expanded the number of releases that are electronically transmitted. 

The U.S. Agency for International Development (USAID) purchased and installed a sophisticated automated FOIA processing program which provides improved tracking capabilities, on-line redacting, and better reporting capabilities.  The program also allows requesters to submit and track their requests within the system.  The FOIA team's IT hardware also was upgraded to facilitate use of the automated program.

5.  FOIA Request Status Tracking: Enhancing Agencies Accountability to be Responsive to Requesters.

Agencies Have Met Milestones in Tracking the Status of Requests.  One of the key features of the Executive Order is its emphasis on the importance of all agencies having the ability to efficiently track the status of FOIA requests, both for increasing efficiency within the agency and in order to be better able to promptly respond to inquiries made by FOIA requesters about the status of their requests.  For this first Executive Order reporting period, many of the key agencies met milestones in this area. 

For example, the SBA deployed a web-based tracking system for FOIA inquiries, updated its user access list, and made on-line training slides available to all users.  OPM replaced an outdated FOIA tracking system with a newer, streamlined system.  Likewise, HUD selected a new automated tracking system, replacing an antiquated one.  The CIA has improved its ability to track the progress of cases, and case managers can now better coordinate with one another. 

DOT has fully implemented an automated FOIA database tracking system for its Pipeline and Hazardous Materials Safety Administration.  Its Office of the Secretary is currently pilot testing a new database.  GSA now employs an agency-wide tracking system that allows it to track requests through a central database.  This, in turn, will allow the agency to review tracking reports.  NSF has purchased a scanner and enhanced its electronic processing capabilities, and has also identified and reviewed FOIA logging and tracking systems. It has also received product demonstrations for two FOIA tracking and management systems.

6.  Customer Service: Improving Service to the Public.

Agencies Have Reported Strong Progress in Improving Customer Service.  In accordance with the Executive Order's directive that FOIA requesters be treated courteously and with strong customer-service values, agencies reported strong progress in this improvement area.

For example, several Department of Justice components conducted training on this topic, provided specific points of contact to requesters, and improved their correspondence with requesters. The Department of Commerce has established a List Serv to provide better communication among Department FOIA personnel.  The Department of the Interior (DOI) has created a FOIA intranet site and a FOIA newsletter for its personnel.   State developed a decision tree and checklist to provide a consistent approach to acknowledgment letters.  It also established an "e-card" acknowledgment for requests received through its FOIA website.

"USAID was successful in sending acknowledgement letters for simple requests within two days 97% of the time. Many letters (79 %) were sent within one day. This was possible since USAID has an electronic mailbox that requesters can use to submit requests. Allowing requesters to submit their requests electronically provides spontaneity and improved communications."

USAID, 2006
Annual FOIA Report

DOT developed a "FOIA 101" training course which was well received by participants throughout the Department. DOE and DHS both hosted meetings with requesters to seek their views on how the FOIA program could be improved.

Finally, as noted above, State held a focus group meeting that gave agency personnel important insight into the requester's perspective. The Department reported that the suggestions that were received for improving its website were very helpful and are now being reviewed by the agency.

III. Challenges Faced by Agencies in Meeting Certain Plan Milestones and Goals

The Executive Order required that agency annual FOIA reports specifically identify and explain the reasons for any failure to meet a milestone or goal in the agency's FOIA Improvement Plan. These "deficiencies" were also required to be reported to the PMC. For this initial reporting period, 54 agencies met all of their milestones and goals established in their FOIA Improvement Plans and had no deficiencies.

A. Agency Deficiencies

Thirty-seven agencies reported deficiencies of some kind.  As part of the requirements imposed by the Executive Order, for any failure to meet a plan milestone or goal, the agency is required to explain why it had not met the milestone or goal, and it was also required to outline the steps it has taken or will be taking to address the deficiency.  For many agencies, the deficiency was corrected during the reporting period and so has now been cured.  For the 25 agencies whose progress is depicted on the attached charts, those deficiencies that have been cured are represented by the color yellow with an up arrow.  Other agencies have made some progress in addressing their deficiencies and they are indicated on the chart by the plain color yellow.  For any agency that had a deficiency that was not at least partially corrected, the color assigned is red.  For the 25 key agencies, there are only three agencies which reported deficiencies for which no remedial action had been taken as of the date of the reporting period.

The explanations for the deficiencies generally fall into five causative categories.  Those categories are resource limitations, competing priorities, IT difficulties, milestone reassessment, and complexity problems.  Each of these five causative categories is discussed below.

Staffing and Other Unanticipated Limitations 

This was the most commonly cited reason for failure to meet a milestone or goal.  These limitations arose in three related areas, staffing issues (47 milestones from 15 agencies), funding problems (nine milestones from two agencies), and facility-related factors (four milestones from two agencies).  Only two agencies specifically reported funding difficulties.  DOI was unable to meet its goal of developing electronic templates and posting them on the Web, and the National Capital Planning Commission was unable to meet its goal of digitally converting historic documents, both due to constraints arising from operating under a continuing resolution. 

Similarly, two agencies encountered facility-related limitations that affected their ability to carry out milestones and goals.  DOI was unable to meet its backlog reduction goal because of an office relocation.  Flooding in the building caused one component of the Department of Justice to fail to meet its backlog reduction milestone on time, and the delay in construction of a new facility caused another component to fail to meet its goal of centralizing the filing of its records. 

Difficulties encountered with staffing was a very common reason given for a deficiency.  Indeed, 15 agencies identified this as a causative category.  For example, a component of the Department of Justice was unable to meet a backlog reduction goal because five employees left the office.  USAID also was unable to meet a backlog reduction goal because the contractor obtained to supplement direct-hire staffing unexpectedly withdrew from the contract.

Competing Priorities

The second most frequently cited cause for a deficiency was the existence of competing priorities.  Seventeen agencies reported this as the cause of at least one deficiency.  Competing priorities came both from other FOIA responsibilities, or from non-FOIA tasks performed by FOIA personnel.  For example, HHS and the National Mediation Board reported that certain milestones were not met due to unforeseen litigation obligations.   The American Battle Monuments Commission (ABMC) reported that it was unable to draft and post a new FOIA Reference Guide on its Web on schedule (milestones were subsequently met) because of competing non-FOIA obligations faced by its managing official.  As the agency's report explained, these non-FOIA duties included: "responding to public inquiries regarding the war dead honored at ABMC memorial cemeteries worldwide and facilitating public visitation to those sites."  Also, Treasury reported that its FOIA staff was reassigned to other duties. 

IT Difficulties

Several improvements in FOIA processing were delayed due to IT-related problems or because planned technological improvements were more complicated than anticipated.  The improvement areas of automated processing, website development, and tracking capabilities had the majority of deficiencies related to this causative concern.  For example, the CIA hoped to deploy an automated declassification system, but software complications delayed the achievement of that goal. 

Milestone Reassessment

Some agencies failed to meet certain milestones because the agency re-evaluated the benefit to be derived from what was originally planned.  For example, the U.S. Postal Service delayed a training goal because it determined that two presentations rather than one would be more beneficial.  Conversely, the National Credit Union Administration (NCUA) determined with respect to its goal of distributing an agency handbook with its acknowledgment letters, the distribution "would not be helpful to requesters, and therefore, would not further the goals of Executive Order 13,392."  NCUA further stated that "[s]taff concluded that an actual requester will already have access to this information as evidenced by having submitted a request and providing the Handbook would be wasteful."

Complexity Issues

Agencies identified both task complexity and coordination complexity as a reason for failure to meet certain milestones.  For example, the Federal Aviation Administration, within DOT, had planned to close 37 requests pending from previous years, but due to the large volume of documents and the difficulty in duplicating audiotapes, it found the task more complex than anticipated.  Similarly, difficulties for DOE in coordinating personnel in its many field offices took more time than anticipated and caused DOE to have a deficiency.  Notably, HHS's goal of reducing its current backlog by five percent was delayed.  This occurred despite HHS's progress in closing 35,000 more requests than were closed in the previous year.  The increase in incoming requests for the fiscal year overtook that progress and so the backlog grew rather than declined.

B. Agency Reporting of Deficiencies to the President's Management Council

In Section 3(c) of the Executive Order, you directed each agency in its annual FOIA report, and in a separate report to the PMC, to identify any agency deficiencies in meeting the milestones that the agency had established in its FOIA Improvement Plan.  The Order also required the agency to explain "the reasons for the agency's failure to meet the milestone" and to outline "the steps that the agency has already taken, and will be taking, to address the deficiency."

In the recent annual reports, 38 agencies reported deficiencies in meeting at least one of their milestones for this first reporting period.  The agencies also explained the reasons for the deficiencies and outlined their corrective actions. 

Remedial Steps Taken.  Fourteen agencies took remedial action and were able to complete all of their deficient milestones within the reporting period.  Some agencies were able to complete some of their deficient milestones within the reporting period.  For example, DOT promptly corrected existing miscommunication and conflicting practices that existed among their components to remedy deficiencies in two of their improvement areas.  Thirty agencies identified some measure of remedial action to cure their deficiencies at a later date.  For example, the Office of the Director of National Intelligence is hiring personnel to work on specific milestone areas.

Deficiencies Reported.  Moreover, the agencies reported these deficiencies to the PMC.  A few agencies did not make clear the specific steps they planned to take to address their deficient milestones, beyond setting new dates for completion.  The Chair of the PMC received a briefing on these deficiencies by staff from the Department of Justice and OMB, and he discussed the most serious deficiencies with the agency representatives for the respective agencies.  In addition, one of the recommendations in this report (Recommendation #1, below) is for each agency with deficiencies to submit to the PMC, by August 1, 2007, an updated status report describing the progress that the agency has made in correcting its deficiencies, including any further corrective action that the agency has taken or will be taking.

IV. Recommendations

The Department of Justice, in coordination with OMB, continues to work with agencies to improve individual agency implementation of Executive Order 13,392 in the furtherance of the principles behind the Order's policy direction.  In accordance with the Executive Order, the Department, in its October 2006 report, recommended holding a follow-up meeting of Chief FOIA Officers, streamlining FOIA correspondence, and, significantly, increasing the use of advanced technology and automation to improve agency FOIA operations.  These recommendations were offered to aid in the successful implementation of the Executive Order during its first reporting period and were carried out with great success.  During this initial reporting period, agencies continued to demonstrate a strengthened commitment to the Executive Order's implementation and to act with commendable responsiveness. 

At this point, the agencies are focusing on continuing to successfully implement their FOIA Improvement Plans and ensure that any deficiencies identified in the initial reporting period are appropriately addressed and remedied.  The second implementation time period for measuring agency success continues until February 1, 2008.  Therefore, the following eight months are integral to Executive Order 13,392's success as agencies must continue to work toward the completion of their milestones which fall within this time period and, at the same time, take appropriate action to address any concerns raised during the initial reporting period.  The following recommendations pertain to these concurrent areas of agency responsibility and look forward beyond the end of the Executive Order's implementation period to ensure its policies continue to improve FOIA practice.

1. Updated Status Report by Agencies That Reported Deficiencies.  By August 1, 2007, each agency that reported a deficiency in meeting one or more milestones in its FOIA Improvement Plan (this includes, for example, those agencies with red or yellow progress in the charts in Attachment B) shall submit to the PMC an updated status report that describes the progress that the agency has made in correcting the deficiency(ies), including any further corrective action that the agency has taken or will be taking.  Additional guidance on this reporting item will be forthcoming. 

2.  Backlog Reduction Goals for FY08, FY09, and FY10.  By November 1, 2007, each agency that has a backlog of FOIA requests/appeals at the end of FY07 should formally establish, and post on its website, backlog-reduction goals for the agency for FY08, FY09, and FY10. The goals should be expressed in both (1) the numbers of requests/appeals that the agency plans to process during each fiscal year and (2) the number of requests/appeals that the agency estimates will be pending at the end of each fiscal year.

3.  Follow-up Meeting of Chief FOIA Officers.  As consistently noted by the Department, a salient feature of Executive Order 13,392 is the establishment of the new position of "Chief FOIA Officer" within each agency, a person who is primarily responsible and accountable for both FOIA administration and the Executive Order's implementation.  After the October 16 report, the Department of Justice and OMB conducted a second meeting for all Chief FOIA Officers on November 9, 2006.  The Department now recommends a third such gathering to communicate and emphasize the importance of agency implementation activities in the coming months.

4.  Continuation of Governmentwide Technology Initiative.  Agencies have continued to embrace the area of advanced technology and automation as a means of improving their FOIA operations.  On April 24, 2007, the Department of Justice held its first "Interagency Working Group" to address "Electronic FOIA Processing Issues."  At this gathering, agencies shared practices and explored approaches for maximizing the opportunities that technology offers for providing agencies with cost-effective ways to process FOIA requests on a more efficient and timely basis.  The Department recommends conducting follow-up meetings to continue to explore these opportunities with the aim of further helping to reduce existing backlogs and improve processing times in general.

5. Specialized Training.  The issuance of Executive Order 13,392 provided an incentive for agency personnel to take part in governmentwide FOIA training, as well as to conduct their own training sessions.  In order to continue this major element of FOIA administration, the Department recommends holding two governmentwide training sessions, in coordination with OMB.  The first session would be a follow-up seminar for agencies' FOIA Public Liaisons, who are an integral feature of an agency's successful implementation of Executive Order policy.  This seminar will ensure that these supervisory officials continue to understand their many responsibilities in both FOIA administration and Executive Order implementation.  Most importantly, the Department will address the FOIA Public Liaison's duty to resolve disputes, with particular emphasis on enhancing their role in resolving any disputes between requesters and the agency. 

The second training session will concentrate on FOIA website improvement and will include Web content managers.  In addition to meeting the specific obligations of the 1996 FOIA amendments, the Executive Order calls on agencies to further use these sites for broader FOIA administration.  The Department recommends holding a governmentwide training session to focus on the required elements of each agency's FOIA website.  This session would also be designed to demonstrate how the improvement of an agency's FOIA website can help it successfully reach its milestones in many Executive Order improvement areas, including backlog reduction and customer service.

V. Conclusion

In sum, the agencies of the Executive Branch continue to implement Executive Order 13,392 in a vigorous manner. Overall, they have made diligent and meaningful progress in meeting the milestones they set for this reporting period. In these first months of implementing their FOIA Improvement Plans, agencies have reported meaningful improvement in the areas of backlog reduction, affirmative and proactive disclosure, and requester services. Additionally, agencies have improved their websites and have embraced the subject area of technology and automation to improve FOIA administration.

All agencies face challenges in achieving improvements in FOIA administration. The Executive Order was designed to work over a two-year period, and it needs that time to be fully effective. During the next reporting period, agencies will be asked to take a close look at any area where they were not as successful as they planned to be, and to take concrete, transparent steps to address those deficiencies. The recommendations contained in this report are designed both to hold agencies accountable for their progress under the Executive Order, and to provide needed assistance to agencies to help them achieve their goals.

The progress made by agencies to date has been steady and promising, and the administration of the Freedom of Information Act throughout the government has been significantly improved as a result of the Executive Order. That improvement is on track to continue during the next year. The further recommendations in this report are designed to continue these critical efforts beyond 2008 and into the next decade. The Department of Justice looks forward to providing continued leadership and guidance in these efforts, and to submitting another such report to the President by June 1, 2008.

Attachment A

Background

The October 16, 2006 Attorney General report describes in detail the history of the FOIA and the development of Executive Order 13,392.  See Attorney General's Report to the President on Executive Order 13,392, available at http://www.usdoj.gov/oip/04_7.html.  It also describes the many steps taken by the Department of Justice and OMB to assist agencies in implementing this important Presidential initiative.  See id.   Notably, since the issuance of the Executive Order, agencies have established FOIA Requester Service Centers and designated FOIA Public Liaisons.  They have also conducted comprehensive reviews of their FOIA operations and developed FOIA Improvement Plans which set out specific goals in a wide range of improvement areas with concrete milestones and benchmarks to be achieved.  Those plans took effect June 14, 2006.

The Department of Justice and OMB have now held two conferences for agency Chief FOIA Officers and have also conducted a special training conference for FOIA Public Liaisons.  The Department of Justice has worked with agencies, both in formal training sessions and in one-on-one conversations, providing guidance on proper Executive Order implementation.    Importantly, the Department also provided extensive written guidance to all agencies concerning a wide range of issues connected with the Executive Order's implementation, including instructions for creating the new Section XII of their annual FOIA reports.  

As the lead Executive Order implementation agency, the Department of Justice completed its own 2006 annual report on January 19, 2007, two weeks in advance of the February 1 deadline, and posted it on the Department's FOIA website to serve as a model for all other agencies.  Agencies then submitted their annual FOIA reports to the Office of Information and Privacy at the Department of Justice, which worked with each agency to ensure that their reports met the technical requirements of the FOIA and the Executive Order.  Once this process was completed, the reports were then posted on the Department's FOIA website for public review.  To date, all agencies have submitted their annual FOIA reports to the Department for review.

Attachment B: Progress Charts of Key Agencies

Legend1
	For agencies that reported timely achieving their milestones for this reporting period, the color green was assigned.
	For agencies that reported achieving progress, but not success, in meeting a milestone, the color yellow was assigned.
	For some agencies assigned the color yellow, an arrow up also was assigned to indicate that the agency achieved its milestone after the target date.
	For some agencies assigned the color yellow, an arrow down also was assigned to indicate that the agency did not provide a sufficient plan to address the failure to meet the milestone.
	For agencies that did not report progress, the color red was assigned.
	For some agencies assigned the color green or the color yellow with an up-arrow, a check mark was placed in the "Goal Completed" column to indicate that the agency completed the entire goal associated with the milestone. For goals still in progress, the column is blank.

SAMPLE DEPARTMNET CHART

	Improvement Area1	Progress2	Goal Completed3
FOIA OPERATIONS Chief FOIA Officer: Public Liaison: FOIA Requester Service Center:	Improvement Area Goal. Goal.
	Improvement Area Goal. Goal.

DEPARTMENT OF AGRICULTURE

	Improvement Area	Progress	Goal Completed
FOIA OPERATIONS Chief FOIA Officer: Mr. Boyd K. Rutherford Public Liaison: 25 (HQ) FOIA Requester Service Center: 25 (HQ)	AGRICULTURAL MARKETING SERVICE (AMS)
	Backlog Reduction To reduce the existing backlog of pending FOIA requests by 10% each year, by focusing on the backlog requests assigned to each program area.
	FOIA Training To encourage FOIA staff to take FOIA training yearly.
	ANIMAL AND PLANT HEALTH INSPECTION SERVICE (APHIS)
	Proactive Disclosure of Information APHIS FOIA continues to determine and appropriate make available frequently requested records. However, it is our goal to be proactive vs. reactive in making such documents available. For example, we have a pending lawsuit as a result of not making Animal Care Annual Reports available in a timely fashion. Currently, we have already reviewed and posted the vast majority of the 2005 (CY) reports.
	Automated Tracking Capabilities Purchase and implement the use of an automated tracking system.
	Backlog reduction/elimination Employ detailees from periods of 60 – 120 days to assist in case processing and, thus backlog reduction. Also, detailees will perform clerical duties, which will allow the specialists more time to analyze documents. The APHIS Administrator has placed great emphasis on the FOIA backlog reduction. FOIA backlog reduction is one of the 20 FY06 APHIS Operating Plan Initiatives. As part of the FOIA backlog reduction initiative, APHIS FOIA is expected to close the amount of FOIA requests received plus an additional 20%. APHIS FOIA averages a receipt of approximately 1,000 request per year, thus, in theory if the goal is met every year for the next five years, the backlog will be depleted.
	Records search process (cooperation from agency personnel) Initiate FOIA awareness-level training for all agency staff, to include FOIA mandated timelines and scope of requests.
	ASSISTANT SECRETARY FOR CIVIL RIGHTS (ASCR)
	Improvement of Agency’s FOIA Reference Guide ASCR will review the contents of the FOIA Reference Guide posted on the website to ensure that the information is current
	Electronic FOIA – Automated Tracking and Processing ASCR will research the available electronic FOIA tracking systems and redaction tools.
	Overall FOIA Website Improvement ASCR will review the contents of the FOIA website and make changes as necessary.
	Increased Staffing ASCR will provide assistance to FOIA Specialist for clerical duties and redaction assistance when available.
	Purchase of New Equipment ASCR will look into the feasibility of acquiring a scanner or color copier to assist the FOIA specialist in the redaction process.
	DEPARTMENTAL ADMINISTRATION (DA)
	Backlog Reduction The actual backlog (number of actual backlog requests) will be reduced by 20% by June 1, 2007, and by 40% by June 1, 2008. (Actual backlog requests existing on those dates.) In addition, no request will be greater than 3 months old by June 1, 2008
	FOIA Website Improvement DA will develop a new FOIA website, which will include FOIA submission, Reading Rooms, and contact information.
	Improvement of agency’s FOIA Guide DA will develop a DA FOIA Instruction/Manual to implement the USDA Departmental Regulation, and will make it part of the standard operating procedures to include a reference to the online Guide in all acknowledged letters.
	Acknowledgment Letters DA will increase communication with requesters, using follow-up letters, emails, or telephone calls, to keep the requester better informed. Communication with DA FOIA requestors (acknowledgement, follow-up, and Final letters, emails, and telephone calls, will all contain reference to the various means of communication available to all requestors.
	FARM SERVICE AGENCY (FSA)
	Training of FOIA staff and program staff Training of FOIA staff will help eliminate the inconsistency in processing requests that are made to several CO or other STO offices for similar information.
	FOIA Website Improvement National FOIA Office will work with FSA’s Webmaster to improve existing FOIA website, which will include FOIA’s link to FSA’s System of Records, additional affirmative disclosures under subsection (a)(2), and contact information. Because FSA has changed servers and server applications, the FOIA website needs updating and improvement for the public.
	Improvement of the Agency’s FOIA Guide FSA will review and amend the FSA FOIA Guide/Manual, 2-INFO, to include USDA Departmental Regulation, and provide guidance in processing Agency records due to new requirements mandated by court determinations and OGC recommendations following their review of Agency administrative appeal.
	Development of automated tracking capabilities The main National FOIA Office and KCAO FOIA Office both log onto database programs (ACCESS) to track FOIA requests. Some STOs and COs do not have electronic tracking and only track requests on paper. FSA does not have a computerized redacting program. Because the FSA FOIA program is decentralized, it takes about three months to obtain the data required for the annual FOIA report. The data are collected from the COs and forwarded to the STO FOIA Offices for submission to the National Office. It is challenging to get the necessary information from COs for such reasons previously cited. Without a central FOIA tracking system, it is extremely difficult to obtain Agency-wide statistical data in a timely manner. FSA needs to implement an Agency-wide database or, at the very least, a centralized database for use by STOs KCAO and the National FOIA Offices to track all requests, handle public inquires regarding status of their requests and prepare a more accurate annual FOIA report.
	FOOD AND NUTRITION SERVICE (FNS)
	Backlog reduction The actual backlog will be reduced by 90% by December 31, 2007, and by 95% by July 1, 2008.
	FOIA Website Improvement FNS will update the FOIA website, which will include FOIA submission, Reading Rooms, and contact information.
	FOOD SAFETY AND INSPECTION SERVICE (FSIS)
	Improvement of Agency’s FOIA Reference Guide FSIS will revise the FOIA Directive to align it with EO 13392. The Directive will outline the role and responsibility of the ECIMS Director/Public Liaison Officer, Deputy Director, and FOIA staff and be posted on the Agency’s Web site along with other FOIA reference guides.
	Automated Tracking Capabilities To enhance FSIS’ existing automated system (E-FOIA) to produce various staff reports to improve case tracking; to assist with Agency’s submission of the Annual FOIA Report; and generate meaningful reports in compliance with Agency FOIA program requirements.
	Backlog Reduction/Elimination To reduce/eliminate FSIS’ current backlog of 147 cases on a monthly basis by 10 cases and quarterly by 15 cases.
	Recycling of Improvement Information Gleaned from FOIA Requester Service Centers FSIS will provide a customer-feedback feature on its Web site.
	FOREIGN AGRICULTURAL SERVICE (FAS)
	Proactive disclosure of information Encourage FAS program areas to increase the amount of information available electronically via the FAS Website.
	Forms of communications with requesters Encourage FAS program areas to increase communication with FOIA requesters about their requests.
	Process by which necessary cooperation is obtained from agency personnel Reinforce employees’ understanding of FOIA legal requirements to ensure continued compliance.
	FOREST SERVICE
	Establish criteria to identify types of records that should be posted on the web Develop and disseminate criteria to agency personnel.
	Revise its FOIA Reference Guide currently found on the web Review, make revisions, and post updated Reference Guide.
	Procure a new electronic tracking/redacting system with enhanced features Secure funds, install/configure system, and train staff at HQ and regional offices.
	Develop and use prompt responses to notify requesters of receipt of request, of issues related to unperfected request, or date appeal was sent to OGC for review
	Develop and use prompt responses to notify requesters of determinations on requests for expedited review
	Reduce or eliminate the backlog
	Improve FOIA Website Review HQ and regional offices’ websites and update as required.
	On a case-by-case basis, identify and share common problems and the solutions to those problems Set agenda item and set aside time at FOIA Coordinators conference to discuss problem areas, etc.
	Provide training needed (formal and/or on-the-job) Provide training for FOIA coordinators and record sessions.
	GRAIN INSPECTION, PACKERS AND STOCKYARDS ADMINISTRATION (GIPSA)
	Improvement of Agency’s FOIA Reference Guide and Directive Provide current and up to date information regarding GIPSA’s FOIA program on the GIPSA website and Agency directive due to the Agency reorganization.
	Proactive Disclosure of Information Consider posting additional records to GIPSA’s website, such as P&SP registrant lists and other frequently requested records.
	NATIONAL RESOURCES CONSERVATION SERVICE (NRCS)
	Affirmative disclosure under subsection (a)(2) Disclosure is already on website but would like to provide monthly updates.
	Proactive disclosure of information Make public information readily available.
	Overall FOIA website improvement Monthly monitoring that the information provided on website is current.
	Improvement of agency’s FOIA reference guide Provide updates as necessary and yearly monitoring.
	Automated tracking capabilities Develop uniform national and state office tracking system.
	Electronic FOIA—automated processing Research agency need and budget allocations to determine if automated processing is feasiable at this time.
	Multi-track processing To develop and implement once need has been assessed by state and national offices.
	Troubleshooting of any existing problems (even minor ones) with existing request tracking Coordinating with state and field offices to develop a uniform process to manage problems with request tracking.
	Expedited processing Develop uniform national and state office tracking system.
	Backlog/reduction elimination To reduce backlog or eliminate it though state and field office training and coordination/training to program personnel.
	Forms of communication with requesters Continue providing excellent communication via email, fax, and letters, and telephone calls.
	Process by which necessary cooperation is obtained from agency “program personnel” To make program personnel aware of the time limits under FOIA and stress document search importance.
	Additional training needed To provide training to all regional FOIA officers and program personnel.
	Contracting out/hiring of contract employees To assist with overload at national level and provide assistance to state FOIA personnel.
Recycling of improvement information gleaned from FOIA Requester Service Centers To assess how agency is providing FOIA services.
OFFICE OF BUDGET AND PROGRAM ANALYSIS (OBPA)
Electronic FOIA-Automated processing To set up an electronic tracking document that can be reviewed at any time by the FOIA Service Center and the Public Liaison.
Politeness/Courtesy OBPA’s goal is to have our FOIA office be thought of as efficient, helpful and friendly by all requesters.
OFFICE OF THE CHIEF INFORMATION OFFICERS (OCIO)
Automated request tracking and monitoring capabilities Work with OCE to utilize their ECCM software to pilot and administer automated request tracking and monitoring capabilities.
OFFICE OF THE INSPECTOR GENERAL
Backlog reduction Have a manageable backlog, with a goal of its elimination.
OFFICE OF THE SECRETARY (OSEC)
Electronic Tracking System Purchase new equipment that includes an electronic tracking system and electronic redaction capabilities to improve response time in responding to FOIA requests and preparing the annual report.
Revise USDA FOIA Regulations OSEC will revise the USDA FOIA regulations.
Receive Electronic FOIA Requests Develop an electronic FOIA format to facilitate the public’s ability to submit electronic FOIA requests to USDA.
FOIA Website Improvement OSEC will update the USDA FOIA website to link to the other agency FOIA websites.
RESEARCH, EDUCATION, AND ECONOMICS (REE)
Overall FOIA web site improvement To improve REE’s FOIA web site in order to provide more information to the public and to make it more user friendly.
Customer relations/communications To improve customer relations and communications.
Recycling of improvement information gleaned from FOIA Requester Service Center Establish a formal process to document and make use of requester-provided information regarding improvements to our FOIA process.
RISK MANAGEMENT AGENCY (RMA)
Proactive disclosure of information Establish a link from the RMA Reading Room on the Internet site to the Summary of Business that give aggregate data on producers, crops, insurance policies, and other information commonly requested under FOIA. The number of requests for producer and crop insurance related requests will decrease.
Forms of communication for the requester RMA FOIA Officer will inform all FOIA requesters that they can contact the FOIA Officer through several communication procedures: postal mail, couriers (e.g., FEDEX, UPS, etc), telephone, facsimile, email, and through the website. The forms of communication for requesting information will be posted on the website. Requests will be received in a variety of forms most conducive to the requester’s needs.
Automated tracking capabilities RMA will enhance its existing automated tracking system; parts will be accessible to RMA Staff Office Personnel.
Politeness/courtesy Inculcate courteous service throughout the FOIA process. No complaints pertaining to poor or discourteous service to the USDA FOIA Officer and/or the Agency Public Liaison should be received.
Electronic FOIA – receiving/responding to requests electronically RMA will establish a request template on the website to accept e-mail requests. RMA will emphasize to requesters that electronic communications is the most efficient and fastest means for processing their requests. The number and percentage of e-FOIA transactions should increase yearly and allow requesters to make better choices on how they want to respond.
Acknowledgment letters To ensure that acknowledgment letters and interim responses are timely and provide any clarification that is needed.
Improvement of agency’s FOIA guide RMA will develop a RMA FOIA Guide to implement the USDA Departmental Regulation, and will make it part of the standard operating procedures.
RURAL DEVELOPMENT
Politeness/courtesy Maintain a minimum number of complaints from requesters.
Form of communication with requesters Establish a FOIA e-mail box for enhanced communication with FOIA Coordinators.
Additional training needed (formal and/or on-the-job) Complete the FOIA training presentation and have it loaded into the agency’s website when approved. Continue to hold teleconferences.

DEPARTMENT OF COMMERCE

	Improvement Area	Progress	Goal Completed
FOIA OPERATIONS Chief FOIA Officer: Mr. Otto J. Wolff Public Liaison: 15 FOIA Requester Service Center: 15	Additional Training Increase awareness of FOIA processing procedures and statutory requirements through web training. Goal completion date: 2007.
	Improvement of FOIA Reference Guide Enhance assistance provided to potential FOIA requesters by improving the online reference guide.
	Contracting Out/Hiring Contact Employees Determine suitability of contractors to facilitate FOIA processing.
	Customer Relations/Communications Enhance customer satisfaction by adopting use of acknowledgment letters.
	Enhance communication among FOIA personnel by establishing a List Serv.
	Backlog Reduction Close 10 oldest FOIA requests pending each year, per bureau for FY 07 and FY 08. Decrease existing backlog of pending FOIA requests by a % each year.

DEPARTMENT OF DEFENSE

	Improvement Area	Progress	Goal Completed
FOIA OPERATIONS Chief FOIA Officer: Mr. Michael Donley Public Liaison: 17 FOIA Requester Service Center: 17	Organizational Structure and Manning Optimal organizational placement of FOIA Offices - Provide guidance to DoD Components on the optimal organizational placement of FOIA Offices. The survey revealed that DoD FOIA Offices are placed within a variety of different organizational elements. In some instances, FOIA Offices are within a functional organization like IT systems and services that are unrelated to the FOIA mission. This occurs at all levels of DoD. The goal is to determine where the FOIA Offices are currently placed and to establish consistent standards within the Department to maximize the effectiveness of all FOIA Offices. The intent is to raise the visibility and level of importance of the FOIA Office to more effectively garner senior leader support.
	Standardized job series and GS levels for FOIA personnel - The review revealed a multitude of job series for DoD FOIA personnel that may be affecting their job advancement opportunities and professional training and development. Additionally, the review suggests that there are DoD civilian personnel performing critical FOIA functions at improperly low grade levels. One objective is to establish a standard job series for FOIA personnel within DoD and work towards the establishment of an Office of Personnel Management (OPM) career field for FOIA personnel across all Federal Agencies. Another objective is to standardize grade levels of DoD FOIA personnel. To support these goals, a standardization of position descriptions within DoD is warranted.
	Establish standards within DoD for contracting FOIA functions - The review has shown that contractors currently support FOIA Offices within some DoD Components. The objective is to establish standards within DoD on what FOIA functions are inherently governmental, thus exempt from outsourcing.
	Training Develop DoD FOIA resident training program - According to the survey, only 76.7% of FOIA personnel have received any FOIA training. Additionally, comments provided by the survey respondents indicate their senior leaders and staff attorneys lack an understanding of the requirements of the FOIA. The goal is to develop plans for resident training to include a FOIA Officer Certification Program. Funding sources for this training development will also be addressed.
	Develop a DoD FOIA online training capability within a newly created DFOIPO Website – A comprehensive online DoD FOIA training capability designed to reinforce resident training will keep DoD FOIA personnel current as well as provide a starting point for incoming personnel. The product, to be contracted, would provide basic and advanced training as well as to serve as an additional vehicle for DoD FOIA personnel to receive guidance from DFOIPO on policy matters and to get technical responses to specific policy or procedural questions.
	Technology Analyze FOIA software for expanded use in streamlining DoD FOIA processes – Provide guidance to Components on options available for FOIA software and electronic redaction solutions and improve the FOIA-IT funding/procurement process. The survey revealed that only 19% of FOIA Offices within DoD are currently utilizing FOIA software suites or redaction modules. The goal is to make all DoD components aware of electronic options available to them and encourage their purchase and use if FOIA workload warrants the expense. Additionally, DoD Components report difficulty purchasing FOIA software, thus requiring review and improvement of current IT budget/procurement processes that support FOIA operations.
	Standardize DoD FOIA Websites to enable better public access – Develop a DFOIPO Website as a platform for online training, promulgation of policy and procedures, other FOIA network communications, and customer service feedback. Develop and implement a policy for standardizing DoD Component Websites. Currently, DoD FOIA Websites are inconsistent in fulfilling the requirements set forth in the 1996 Electronic Freedom of Information Act amendments. The goal is to implement policy across DoD, to standardize DoD FOIA Websites, and to enable better public access.
	Conduct a feasibility study for a DoD wide electronic network to expedite FOIA processing – There is no existing IT network that links DFOIPO with all DoD Components and their FOIA Offices capable of transmitting both unclassified and classified materials responsive to FOIA requests. Additionally, there is no existing network for DoD FOIA Offices to refer classified FOIA requests to all other Federal Agencies with equities in the materials. Throughout DoD and the other Federal Agencies there are some FOIA Offices equipped with classified SIPRNET email systems that serve the purpose, but these capabilities are rare. In most situations, classified FOIA cases are either hand-carried or mailed, an inefficient and time-consuming process. The long-term intent is an electronic document control system that will serve FOIA applications on a DoD enterprise network. The pace of developing such a DoD enterprise network will be driven by many considerations to include cost, technology, and applications other than FOIA.
	Resources/Backlog Determine manpower required to reduce backlogs in FOIA Offices that have backlogs over 50 requests – One of the key points of the survey was the correlation between FOIA Offices with backlog over 50 requests and FOIA Offices believed to have adequate manpower resources. Since the survey indicated backlog and resource concerns within DoD appear to be concentrated within FOIA Offices and backlogs over 50, these specific offices must be identified for further analysis and targeting of potential manpower resource allocations.
	Fund additional FOIA personnel staffing required to reduce backlogs in FY 08 and beyond – The DoD Review for EO 13392 has clearly revealed FOIA personnel shortages in FOIA Offices with backlogs. In the absence of specific appropriations from Congress for FOIA, budgeting for additional FOIA personnel within DoD must be included in the FY 08 (and beyond) planning cycle. Accordingly, DFOIPO and the OSD FOIA Office requested additional resources for FY 08 budget. To comply with the provisions of the EO, specific budgeting for FOIA resources must also be accomplished by DoD Components for their FOIA Offices with backlogs over 50.

DEPARTMENT OF EDUCATION

	Improvement Area	Progress	Goal Completed
FOIA OPERATIONS Chief FOIA Officer: Mr. Michell Clark Public Liaison: 4 FOIA Requester Service Center: 202-245-6651	Overall Website Improvement Implement web enhancements as a result of a review of its current structure.
	Electronic FOIA – Automated Processing Improve the automation of FOIA submissions and tracking process by utilizing the full functionality of FOIAXpress. Use specialized CDs to respond electronically to requesters.
	Multi-Track Processing Establish three tracks for processing FOIA requests.
	Backlog Reduction/Elimination1 Reduce the backlog of pending requests (480 as of June 2, 2006). In addition, the Department will implement a “10-Oldest” Backlog Reduction Effort.
	Improvement Ideas from Field Office Personnel Implement FOIAXpress in Office for Civil Rights Regional Offices.
	Training and Guidance Develop a strategic outreach training/guidance program for all ED employees.

DEPARTMENT OF ENERGY

	Improvement Area	Progress	Goal Completed
FOIA OPERATIONS Chief FOIA Officer: Ms. Ingrid A.C. Kolb Public Liaison: 22 FOIA Requester Service Center: 22	Training Develop and implement a FOIA training program to ensure that DOE employees are aware and knowledgeable about the requirements of the FOIA and their responsibilities under the statute. The training program will be available to all DOE employees, but will be targeted to those individuals with FOIA responsibilities.
	Processing of Requests Develop standard procedures and instructions for processing FOIA requests to create consistency and timely processing of requests throughout the agency.
	Communications with Requesters Improve communications with requesters by developing more consistent responses and creating opportunities for dialogue with requesters about the FOIA program.
	Backlog Reduction Implement an initiative to reduce the number of pending FOIA cases over 1 year old by 50% by June 2007.
	Receiving Electronic FOIA Requests Develop a standard electronic FOIA form to facilitate the public’s ability to submit FOIA requests to the Department, and will develop guidance for FOIA Officers to inform the public about records at each of the DOE locations through the DOE FOIA web sites.
	Overall Web Improvement Provide information to the public on DOE FOIA Web sites in a consistent manner.

DEPARTMENT OF HEALTH AND HUMAN SERVICES

	Improvement Area	Progress	Goal Completed
FOIA OPERATIONS Chief FOIA Officer: Ms. Suzanne C. DeFrancis Public Liaison: 13 FOIA Requester Service Center: 13	Reduce Backlog1 The majority of the Department’s FOIA requests are received by a handful of FRSCs – OS, FDA, NIH, CDC, and CMS. In particular, these agencies will focus on implementing strategies to substantially reduce their request backlog. By concentrating on staffing resources, verifying older FOIA requests, and internal accountability, the goal is to reduce the current Department backlog by 5% in CY 2006.
	Improve Processing Reduce steps or time needed to perform various procedures. Potential strategies include greater utilization of electronic processing and development of standardized response letters. Specifically, the Department will streamline certain routine processes and increase utilization of electronic processing/tracking capabilities.
	Improve Resources FRSCs will better allocate staff resources as well as increase FOIA knowledge. The Department will do so by revising staff guidance, training staff, and concentrating on staffing resources.
	Improve Public Awareness The Department is seeking to provide a greater emphasis on customer service in its FOIA system. Through updating public guidance and increasing use of the Web, HHS seeks to better inform the public about FOIA and its processes as well as improve access to agency records.

DEPARTMENT OF HOMELAND SECURITY

	Improvement Area	Progress	Goal Completed
FOIA OPERATIONS Chief FOIA Officer: Mr. Hugo Teufel III Public Liaison: 19 FOIA Requester Service Center: 19	Backlog Reduction1 Backlog eliminated by December 31, 2007.
	Education and Training Improve DHS employee FOIA training and customer service by December 31, 2007.
	Technology Improvements to Enhance FOIA Processing and Information Delivery Identify, implement and encourage Department-wide use of FOIA tracking and processing technology by December 31, 2007. Enhance component web sites to improve customer service.

DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT

	Improvement Area	Progress	Goal Completed
FOIA OPERATIONS Chief FOIA Officer: Mr. Keith A. Nelson Public Liaison: 11 FOIA Requester Service Center: 80	Affirmative and Proactive Disclosure of Information Improve the quantity and quality of information that is affirmatively and proactively made available to the public, without the necessity of a FOIA request.
	Overall Website Improvement Improve organization of, enhance presentation of, and expand the number of documents made available on FOIA website. Establish links to program areas where posted documents can be obtained.
	Improvement of HUD’s FOIA Reference Guide Post index of all major information systems on the FOIA website. Make complete summary of categories and types of information available from HUD, both within and outside of the FOIA process.
	Automated Tracking Capabilities Update automated tracking system and improve its functionality.
	Backlog Reduction1 Reduce existing backlog of over 500 pending Headquarters FOIA requests that exceed the statutory 20-day period of response.
	Politeness/Courtesy