DOJ E.O. 13,392 FOIA Improvement Plan

U.S. DEPARTMENT OF JUSTICE
FREEDOM OF INFORMATION ACT IMPROVEMENT PLAN
UNDER EXECUTIVE ORDER 13,392
JUNE 14, 2006

INTRODUCTION

On December 14, 2005, the President issued Executive Order 13,392, entitled "Improving Agency Disclosure of Information" (published at 70 Fed. Reg. 75,373). The Department of Justice has taken many steps to guide the implementation of this Executive Order throughout the Executive Branch in its governmentwide guidance capacity. See FOIA Post, "Executive Order 13,392 Implementation Guidance" (posted 4/27/06); accord Exec. Order No. 13,392, Sec. 4(b); see also id. at Sec. 3(b)(i). For its own part, the Department of Justice promptly conducted a Departmentwide meeting on the new Executive Order on December 15, 2005, it designated its third-ranking official as its Chief FOIA Officer,¹ and it established thirty-four FOIA Requester Service Centers (with corresponding FOIA Public Liaisons designated for each one) in compliance with Section 2 of Executive Order 13,392.²

Pursuant to Section 3(a) of the Executive Order, the Department of Justice conducted a comprehensive review of its operations under the Freedom of Information Act (FOIA), 5 U.S.C. § 552 (2000 & Supp. III 2003) -- which largely are handled on a decentralized, component-by-component basis -- and the results of this review are set forth below.³ Further, pursuant to Section 3(b) of the Executive Order, and in accordance with the standard reporting and planning format that the Department has prescribed for use by all agencies, see FOIA Post, "Executive Order 13,392 Implementation Guidance" (posted 4/27/06), the following plan for the improvement of FOIA administration throughout the Department of Justice is hereby established, effective as of this date.

OFFICE OF INFORMATION AND PRIVACY (OIP)

(One improvement area, "Use of Information Technology,” modified in part, on October 30, 2007, as indicated below.)

A. NATURE OF OIP'S FOIA OPERATIONS

The Office of Information and Privacy processes Freedom of Information Act/Privacy Act (FOIA/PA) requests for records maintained by eight senior leadership offices in the Department of Justice including OIP.⁴ In Fiscal Year 2005, OIP received 972 requests and completed the processing of 1045 requests. These requests are processed by OIP's Initial Request Staff (IR Staff), which consists of ten FOIA specialists,⁵ the Chief, Deputy Chief, and Senior Counsel. The Deputy Director of OIP is the official denial authority and oversees the IR Staff.⁶ Many of the FOIA requests processed by OIP are for classified or highly sensitive records that require multiple consultations and especially careful handling.

B. AREAS SELECTED FOR REVIEW

OIP reviewed the following potential improvement areas:

-- Records search process
-- Use of multi-track processing
-- Consultation process
-- Customer relations/Communications
-- Recruitment
-- Use of information technology
-- FOIA Web pages/Reading room records Backlog reduction

C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW

After an extensive review of the areas identified in Part B, above, OIP determined that although the processing of FOIA requests is working exceptionally well, there nevertheless is room for improvement. One of the first areas we carefully reviewed was the amount of time taken to search for responsive records. Responsive records often are located off-site at the Federal Records Center (FRC), requiring the analyst to go through the Department's archival staff to obtain the records, which can be a very time-consuming process. We determined that we could decrease the length of time it takes to retrieve records from the FRC if our analysts could work directly with the FRC. Furthermore, it has been our experience that some FOIA requests can be satisfied by providing a press release or related fact sheet from the Department's Web site; however, it currently is not possible to search the press releases using key words. We determined that adding a search feature to the Office of Public Affairs Web site would make such searches readily possible and may, in fact, even reduce the number of requests we receive. Finally, we found that retrieving records from our seven covered offices can at times be a lengthy process. We determined that obtaining record indices from these offices and scanning them into our electronic system would allow us to search them much more efficiently. Furthermore, when we are unable to search for responsive records ourselves, we will continue to provide reports to the FOIA contacts in our seven covered offices, advising them of any outstanding searches and encouraging them to complete the searches as quickly as possible.

We also examined our multi-track processing system to see if it could be improved. OIP currently uses a three-track system in processing its FOIA requests. Requests that meet the standards for expedition are placed in the expedited track; requests with few or no records and no consultations are placed in the simple track; and requests with many records and/or consultations are placed in the complex track. Within each track, requests are processed on a first in/first out basis. We considered adding more tracks to our system but decided that would make our process more cumbersome and would not speed up the processing of our requests.

Our review showed that consultations with other components and agencies often add considerably to the processing time for requests. In most cases in which consultations with multiple components and/or agencies are required, OIP consults with them concurrently rather than sequentially. The task facing OIP then is to develop procedures designed to encourage timely attention to these requests on the part of the agencies and components with which we consult. We decided to initiate the use of a form that will be sent with each consultation asking that the receiving agency provide us with the name and phone number of a contact person who will be handling our consultation. We will thereafter follow up with calls to the contact person if the consultation takes an excessive amount of time.

In the area of customer relations/communications with requesters, we believe that OIP does an excellent job. We regularly acknowledge our requests within twenty working days, and these letters always include the name and phone number of a contact person that the requester can call with questions. Furthermore, OIP frequently receives letters that are not proper FOIA requests. We respond to these letters nonetheless and explain to the requester why his request is not proper and, if appropriate, refer the requester to the correct state or local governmental entity. Additionally, if a FOIA request is sent to OIP but seeks records that OIP does not maintain, we explain the type of records OIP maintains and direct the requester to the appropriate office, if known. We very often provide the requester with a copy of the Department of Justice Freedom of Information Act Reference Guide, which provides guidance on making FOIA/PA requests to the Department and includes a list of Department components, the records they maintain, and all FOIA contacts. Additionally, we typically enclose with our letter a copy of Your Right to Federal Records, which provides information about the FOIA and the Privacy Act. In many situations, when the request is misdirected, we call the requester to let him know promptly where his request should be sent, and if he asks us to do so we will forward the request for him. Further, we call requesters whenever possible if their requests are not clear. Once again, while we believe that we do an excellent job with our customer relations, we are aware that there is always room for improvement in this area. Therefore, we decided to have a training session with our new analysts to further emphasize the importance of treating FOIA requesters with courtesy and respect. We will also be training the individuals who answer the FOIA Requester Service Center telephone calls on customer relations matters, and we will create a tracking system so that we can review the types of calls we are receiving and evaluate the results of those calls.

OIP is very much aware that the quality of its staff has a direct bearing on the efficient and accurate processing of requests and that in the past we have had difficulty filling our staff positions with highly qualified individuals through use of the traditional hiring process. Accordingly, in the last two years we have used the Student Career Experience Program (SCEP) to hire students who can be converted to permanent employees upon graduation and the completion of a required number of work hours. Through this program, we have been able to attract bright individuals, who often are pursuing post-graduate degrees, who may join the Initial Request Staff on a permanent basis upon graduation, thus in some instances providing the Office with permanent FOIA professionals who can produce high-quality work product and bring continuity to our staff. As a side benefit, this program includes law students who may very well join OIP or another component of the Department upon graduation, thus providing the Department with attorneys who are knowledgeable about the FOIA. We will also be pursuing other programs such as the Federal Career Intern Program, which is similar to the SCEP but not limited to students, to help us hire quality staff. Finally, we will pursue the use of student loan relief as a recruitment and retention tool and will explore with OPM and other agencies the creation of a professional series for FOIA Specialists with appropriate grade structure to represent more fully the important work performed by FOIA professionals.

Next we evaluated OIP's information technology capabilities and readily determined that our system is out of date. Our current system does not provide us with the tools we need to process FOIA requests most quickly, to index and track the documents reviewed, or to accurately report on our progress. We have decided that we need an updated system that will allow us to receive and process requests electronically, including indexing and organizing documents electronically. Such a system will provide us with the tools we need to most efficiently track the status of our requests and compile our annual report. This area in particular holds great promise for improving FOIA processing overall.

OIP also reviewed its FOIA Web page and those of its seven covered offices. OIP's Web page provides a wealth of information about the FOIA, including links to the Department of Justice Freedom of Information Act Reference Guide, which explains how to make FOIA and Privacy Act requests to the Department and lists the addresses to be used in making such requests; Your Right to Federal Records, which provides general information about the FOIA and the Privacy Act; the Freedom of Information Act Guide & Privacy Act Overview, which is prepared biennially by OIP and provides a wealth of information about the two Acts; FOIA Post, an on-line publication on various issues relating to access to information; and other useful materials. It also provides a link to the Department's FOIA Web page, which in turn, provides links to the FOIA pages of every other federal agency. The seven other offices' Web pages include links to the Department's FOIA page and all have electronic reading rooms. The FOIA's affirmative disclosure provisions create an ongoing obligation to make certain records available to the public. We decided to update our process for locating and posting reading room records to ensure that we are consistently meeting this obligation and to review these Web sites on a quarterly basis.

Finally, we reviewed the number of cases that have been pending for more than the twenty days provided by statute. Although all of these cases have been assigned to analysts who are actively working on them, we decided to work to decrease our backlog of pending initial requests by focusing, on a quarterly basis, on that backlog and determining how to complete the processing of these pending requests more expeditiously. We also will implement a "ten oldest cases" initiative under which we will make a special effort to ensure that the ten oldest cases are closed each year. If the ten oldest cases are closed prior to the end of the year, we will focus in turn on closing the next ten oldest cases. But in any event, our goal in this regard is to close, at a minimum, the ten oldest cases each year. This initiative, of course, is in addition to our regular processing and closing of cases, as well as our overall goal, as specified below, of reducing existing backlogs by substantial percentages each year.

D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN

-- Records search process
-- Consultation process
-- Customer relations/Communications
-- Recruitment
-- Use of information technology
-- FOIA Web pages/Reading room records
-- Backlog reduction

E. IMPROVEMENT AREA PLANS⁷

1. Records search process

Goal: To decrease the amount of time required for the retrieval of records from the Federal Records Center (FRC). Target completion: 8-1-06.

Steps

• Consult with Department archival staff and Department Records Manager about process required to have member of the IR Staff designated as point of contact for FRC searches. To be completed by 7-1-06.
• Using process outlined by archival staff and/or Records Manager, designate IR Staff as point of contact for FRC searches and begin retrieving records from FRC ourselves. To be completed by 8-1-06.

Goal: To create "search" button on Office of Public Affairs' Web site so that analysts can conduct a search of press releases for responsive records, dramatically decreasing amount of time needed to search for a press release that is responsive to a request. Target completion: 12-1-06.

Steps

• Explore with appropriate Justice Management Division computer staff the steps necessary to provide a "search button" to allow search of Office of Public Affairs press releases. To be completed by 9-1-06.

• Implement searching of Office of Public Affairs press releases electronically. To be completed by 12-1-06.

Goal: To decrease the amount of time it takes to retrieve records from covered offices. Target completion: 1-1-07.

Steps

• Obtain records indices for covered offices which are maintained by the Departmental Executive Secretariat and scan them into the OIP directory in a form that will allow analysts to search the indices electronically, which is much quicker and more accurate than manually reviewing paper indices. To be completed by 1-1-07.

• Provide periodic reports to FOIA contacts in covered offices detailing the number of pending searches to encourage them to monitor their progress toward reducing outstanding searches. The report will include the name of each requester, the subject of each request, and the length of time the request has been pending. To be completed by 8-1-06 (and continuing thereafter).⁸

2. Consultation process

Goal: To encourage timely attention to consultations on the part of the entities with whom we are consulting. Target completion: 10-1-06

Steps

• Initiate use of form to be sent with all consultations to be completed and returned (in self-addressed stamped envelope) by the receiving entity. The form will ask for the entity's case number and contact person for that specific consultation. This will facilitate follow-up on the status of a consult by OIP analysts. To be completed by 9-1-06.

• Initiate follow-up calls by analyst to the agency-specified contact for long-pending consultations. If agency still does not respond to consultations, the Deputy Chief will send a list of pending consultations to the head of that FOIA office for response. To be completed by 10-1-06.

3. Customer relations/Communications

Goal: To ensure that requesters who call the FOIA Requester Service Center receive the information they seek in a timely and efficient manner. Target completion: 12-1-06.

Steps

• Train individual(s) who answer FOIA Requester Service Center calls on how to determine status of a request, when to send a requester to the analyst for more detailed information, and when the FOIA Public Liaison is to handle the call. To be completed by 12-1-06.

• Create a log to be used by FOIA Requester Service Center personnel; each time such personnel speak with a requester, a note is made in the log which will include the date, the name of the requester, the information requested, and the result of the conversation. This log will be reviewed by the FOIA Public Liaison to determine whether improvements in handling telephone calls can be made and to determine whether there are trends that may show other changes in the FOIA process that need to be made. To be completed by 12-1-06.

Goal: To improve communications with requesters as emphasized in Executive Order 13,392. Target completion: 10-1-06.

Steps

• Initiate training for new analysts regarding the importance of treating FOIA requesters with courtesy and respect. To be completed by 7-1-06.

• Institute use of acknowledgment letter to requesters upon receipt of a referral from another agency or component to let requester know that the documents have been received by OIP and are being processed. To be completed by 10-1-06.

4. Recruitment

Goal: To hire and maintain a highly qualified staff of analysts so that requests will be processed accurately in the shortest time possible. Target completion: 7-1-07.

Steps

• Explore with Department Personnel Office use of Federal Career Intern Program and, if option is available to OIP, institute it. To be completed by 12-1-06.

• Explore option of providing student loan relief to candidates as a recruitment and retention tool and, if option is available to OIP, institute it. To be completed by 12-1-06.

• Explore with OPM (along with other agencies) the possibility of creating a professional series for FOIA Specialists with an appropriate grade structure to represent more fully the work performed by FOIA professionals. To be completed by 7-1-07.

5. Use of information technology⁹

Goal:To purchase electronic FOIA processing system to include updated tracking and redacting functions as well as the ability to receive requests electronically. Target completion: 12-31-07.

Steps

• Draft directions for staff on using scanner and Adobe Acrobat software for redacting. To be completed by 9-1-06.

• Train staff and implement use of scanner and Adobe Acrobat software for redacting documents. To be completed by 10-1-06.

Goal: To purchase electronic FOIA processing system to include updated tracking and redacting functions as well as the ability to receive requests electronically. Target completion: 12-31-07.

Steps

• Continue to discuss needs with appropriate IT personnel in Department. To be completed by 8-1-06.

• Draft formal requirements for new system. To be completed by 9-1-06.

• Contact vendor concerning possible pilot test program and to request proposal for pilot test program. To be completed by 9-15-06.

• Discuss budgetary requirements with appropriate officials. To be completed by 10-1-06.

• Obtain formal proposal for pilot program from vendor. To be completed by 11-1-06.

• Install pilot program. To be completed by 1-1-07.

• Complete evaluation of feasibility study/market assessment. To be completed by 6-1-07.

• Begin development of statement of work according to appropriate acquisition rules and regulations. To be completed by 7-1-07.

• Meet with representatives of other components and Enterprise Solutions Staff to develop joint business requirements. To be completed by 9-1-07.

• Consolidate partnering components' business requirements with Enterprise Solutions Staff as part of compilation of Statement of Work. To be completed by 10-1-07.

• Complete review of Statement of Work, in preparation for release to vendors for vendors response, submission of vendor proposals and ultimate award of contract. To be completed by 12-31-07.

(The milestones in italics are modified and reflect the greatly expanded nature of this goal.)

Goal: To increase efficiency in handling FOIA litigation support and coordination with other FOIA offices through integration of scanning copier into office computer network. Target completion: 12-31-07.

Steps

• Meet with vendor representative to discuss software solution. To be completed by 9-1-06.

• Seek approval from appropriate IT officials for software purchase. To be completed by 12-1-06.

• Install dataport in order to connect copier to network. To be completed by 2-1-07.

• Coordinate with Justice Management Division (JMD) on security requirements for approval of software solution. To be completed by 4-1-07.

• Security testing by JMD of both hardware and software. To be completed by 8-16-07.

• On-site security evaluation of existing hardware and dataport. To be completed by 9-1-07.

• Purchase software. To be completed by 10-1-07.

• Begin software and hardware installation, on-site security check, and product testing. To be completed by 10-15-07.

• Request training from vendor with goal of full integration of scanning copier into office computer network. To be completed by 12-31-07.

(The milestones in italics are modified to reflect the unforseen security requirements of this goal.)

6. FOIA Web pages/Reading room records

Goal: To improve OIP's and covered offices' FOIA Web pages in order to provide more information to the public. Target completion: 9-30-06 (and continuing thereafter).

Steps

• Refine and update process for locating and posting subsection (a)(2) reading room documents. To be completed by 9-1-06.

• Review OIP's and covered offices' FOIA Web pages quarterly to ensure that information is current and relevant documents are posted. To be completed by 9-30-06, 12-31-06, 3-31-07, 6-30-07, 9-30-07, 12-31-07, 3-31-08, 6-30-08, 9-30-08, 12-31-08.

• Examine ways to improve OIP's and covered offices' FOIA Web pages to make them more user-friendly. To be completed by 9-30-06.

7. Backlog reduction

Goal: To reduce the existing backlog of pending initial FOIA requests by a substantial percentage each year (i.e., 10% by 1-15-07, 15% by 1-15-08, and 20% by 12-31-08, as measured by number of requests pending), by periodically and consistently focusing on the existing backlog. Target completion: 1-15-07, 1-15-08, 12-31-08.

Steps

• On a quarterly basis, IR Staff Chief will review existing backlog together with other staff members in order to determine the number of cases pending for more than the twenty days provided by statute. To be completed by 8-15-06, 10-15-06, 1-15-07, 4-15-07, 7-15-07, 10-15-07, 1-15-08, 4-15-08, 7-15-08, 10-15-08.

• On a quarterly basis, IR Staff Chief along with the Deputy Chief will review the workload of each analyst to determine whether cases need to be redistributed and to consider, together with the Deputy Director, the possible reallocation of resources where needed. To be completed by 8-15-06, 10-15-06, 1-15-07, 4-15-07, 7-15-07, 10-15-07, 1-15-08, 4-15-08, 7-15-08, 10-15-08.

• On a quarterly basis, entire Initial Request Staff will meet to address further means of backlog reduction. To be completed by 8-15-06, 10-15-06, 1-15-07, 4-15-07, 7-15-07, 10-15-07, 1-15-08, 4-15-08, 7-15-08, 10-15-08.

Goal: To close the ten oldest FOIA requests pending each year. Target completion: 12-31-06, 12-31-07, 12-31-08, 12-31-09.

Steps

• Review the ten oldest FOIA requests and determine what steps need to be taken to complete the processing of these requests. To be completed by 7-1-06.

• Implement the steps we have determined need to be taken to complete the processing of these requests. To be completed by 7-15-06.

• Close these requests. To be completed by 12-31-06.

• Review the ten oldest FOIA requests that are pending as of January 1, 2007 and determine what steps need to be taken to complete the processing of these requests. To be completed by 2-1-07.

• Implement the steps we have determined need to be taken to complete the processing of these requests. To be completed by 2-15-07.

• Close these requests. To be completed by 12-31-07.

• During calendar years 2008 and 2009, continue the process described in the preceding steps. To be completed by 12-31-08, 12-31-09.¹⁰

F. IMPROVEMENT TIME PERIODS

Areas anticipated to be completed by 12-31-06

-- Consultation process

-- Customer relations/Communications

-- FOIA Web pages/Reading room records

Areas anticipated to be completed by 12-31-07

-- Records search process

-- Recruitment

-- Use of information technology

Areas anticipated to be completed after 12-31-07

-- Backlog reduction

ANTITRUST DIVISION

A. NATURE OF THE ANTITRUST DIVISION'S FOIA OPERATIONS

The Antitrust Division (Division) enforces the nation's civil and criminal competition laws. Its Freedom of Information Act (FOIA) Unit processes requests for information about enforcement matters and matters relating to the internal workings of the Division. The FOIA staff consists of four paralegal specialists (one of whom serves as the Unit's Assistant Chief), a legal assistant, one student and the chief of the Unit. FOIA requests are processed by the paralegals and reviewed by the Chief and Assistant Chief. Many of the requests seek a limited amount of information, but others ask for all information about long-term, complex investigations consisting of a substantial volume of records, some of which are highly sensitive.

B. AREAS SELECTED FOR REVIEW

The Antitrust Division reviewed the following potential improvement areas:

-- Electronic FOIA/Clarity of FOIA requests and responses
-- Acknowledgment letters
-- Backlog reduction
-- Politeness/courtesy

C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW

Our review of the Unit's service to those seeking information under the FOIA demonstrates that our processing procedures and treatment of requesters is excellent in most areas. Indeed, the Unit has received letters expressing appreciation of our work on requesters' behalves. The Division's Web site contains information the FOIA requires be published, but, in addition, a large amount of the posted information published by the Division is at its discretion and it is regularly monitored to ensure timeliness. The Unit's correspondence is carefully reviewed to provide information responsive to the information sought and the questions posed by requesters. Our review revealed four areas, several overlapping, that could be improved by revising our current practices.

It became apparent that a better understanding of the information FOIA requesters are seeking could substantially reduce the amount of time needed to search for responsive information. Though it has always been our practice to contact requesters if the information they provide does not lead us to the records requested, we concluded that providing additional information and the kinds of information the requester could provide, if available to them, could reduce search and overall processing time, probably reducing processing fees. While there is a great deal of information about the FOIA on the Internet, many FOIA requesters are unaware of its existence and the assistance it can provide. Accordingly, we determined that providing hyper-links to some of these sources could be of substantial assistance to those seeking information from the Division.

It has been our experience that requesters who submit FOIA requests by mail often provide information that is more specific and clear than do requesters who submit requests by e-mail, perhaps because e-mail messages are perceived to be a less formal means of communication. For this reason, we have not formally permitted the e-mail submission of FOIA requests. On the other hand, when processing the few requests we receive by e-mail, it is apparent that corresponding with requesters electronically can be a faster, more efficient and customer-friendly method of processing some, if not all, FOIA requests. Accordingly, if sufficient information is provided to requesters, as addressed above, encouraging the use of e-mails may substantially help improve the responses to requests.

Our review of acknowledgment letters sent to requesters revealed that not all letters provided the information necessary to correct deficiencies in requests and seek additional information from the requester as needed. It has become clear that carefully crafted acknowledgment letters can avoid problems such as the scope-of-request and/or fee misunderstandings that may arise during processing.

Because antitrust investigations and cases of crimes can be lengthy and involve many parties, the number of documents responsive to any particular request can be voluminous, requiring a substantial amount of time to search for and review the information sought. Processing requests seeking a limited amount of information can also be time consuming if locating the records is difficult or requires numerous inquiries of Division staff. As a result of these difficulties, the Division's FOIA backlog is a matter of concern.

Finally, all FOIA staff have been trained to treat FOIA callers, and others seeking information, with the respect and courtesy to which they are entitled. The Unit's legal assistant and student answer calls to the Division's FOIA Requester Service Center and forward them to a paralegal or the Chief. Although courtesy and politeness have been discussed at staff meetings and individuals have been counseled as necessary, developing more detailed instructions about providing courteous, customer-friendly service can improve our service to the customers. To that end, additional training will be provided to the staff at special training sessions and in staff meetings, as necessary.

D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN

-- Electronic FOIA/Clarity of FOIA requests and responses
-- Acknowledgment letters
-- Backlog reduction
-- Politeness/courtesy

E. IMPROVEMENT AREA PLANS

1. Electronic FOIA/Clarity of FOIA requests and responses

Goal: To permit the use of e-mails to submit FOIA requests and to provide to FOIA requesters information that will foster clarity of e-mailed and written requests and the Unit's questions about and responses to FOIA requests. Target completion: 10-31-07.

Steps

• Create an e-mail box for FOIA requests submitted electronically and post it on the Division's FOIA Web site. To be completed by 10-31-06.

• While making it clear that the FOIA does not require that specific information is required to submit a FOIA request, advise requesters that submission of the information set forth below as well as information the requesters considers useful, is likely to shorten the length of time to search for and process responsive information. To be completed by 6-30-07.

-- Current home or office address(es), telephone and fax number(s);
-- Specific types of documents sought, e.g., internal memoranda, information submitted by third parties, the nature of documents sought or that the request is for all documents concerning a particular investigation or case;
-- The name of the company or companies about whom information is sought and, if available, the case number and/or Division file number and NACIS or SIC code;
-- If seeking information about an individual, the requester must include a waiver of privacy signed by the party and/or the party's attorney granting permission to release the records sought;
-- If the requester is seeking expedited treatment of the request, he or she should include the reasons why such treatment is necessary and/or appropriate; and
-- Remind the requester that submitting a request is considered an agreement to pay all fees up to $25.

• Create hyper-links to section (b) of the FOIA, OIP's Freedom of Information Act Guide & Privacy Act Overview, and Your Right to Federal Records to assist requesters in understanding the FOIA. To be completed by 3-31-07.

• Begin to receive requests electronically. To be completed by 10-31-07.

2. Acknowledgment letters

Goal: To ensure that timely and complete acknowledgment letters are provided to requesters. Target completion: 9-30-06.

Steps

• Re-review current acknowledgment exemplars to determine what changes, if any, are needed. To be completed by 9-30-06.

• Include paralegal specialist name, telephone number, and e-mail address. To be completed by 6-30-06.

• Assign one paralegal specialist to track timeliness of acknowledgment letters. To be completed by 6-30-06.

3. Backlog reduction

Goal: To reduce the existing backlog of pending initial FOIA requests by a substantial percentage each year (i.e., a minimum of 10% for Fiscal Year 2006, and 20% per fiscal year thereafter, as measured by number of requests pending) by periodically and consistently focusing on the existing backlog. Target completion: 9-30-06, 9-30-07, 9-30-08 (and continuing thereafter).

Steps

• Review backlog of pending requests to ensure that each has been placed in the appropriate track of the multi-track system already in use: Track One for expedited requests, Track Two for ordinary requests and Track Three for voluminous requests. To be completed by 8-15-06, 10-15-06 (and quarterly thereafter).

• Implement policy requiring each paralegal specialist to alternate processing Tracks Two and Three. To be completed by 10-31-06.

• Review conformity with already existing policy requiring each paralegal specialist to contact requesters before processing the request to determine (a) whether the requester is interested in pursuing the request and (b) whether the requester is willing to narrow the scope of the request. To be completed by 10-31-06.

• Assign tasks related to final review of processed records to the Assistant Chief. The complement of tasks will be developed as their usefulness becomes apparent. This step should substantially reduce the time required for final review by the Unit Chief. To be completed by 6-30-06.

4. Politeness/courtesy

Goal: To ensure that all callers are treated politely. Target completion: 12-31-06 (and continuing thereafter).

Steps

• Ensure that all staff, including new staff, attend a special staff discussion on the need to treat requesters and other callers politely, discussing particular ways of improving customer-friendly behavior and how to resolve difficult situations. To be completed by 7-31-06.

• Counsel staff on an individual basis, as needed. To be completed by 7-15-06 (and continuing thereafter).

• Assign the staff of the FOIA Requester Service Center to log the name and telephone number(s) of each person calling for information about FOIA requests, the name of the person responsible for responding to the call, and the date on which the call was answered. To be completed by 6-30-06.

F. IMPROVEMENT TIME PERIODS

Areas anticipated to be completed by 12-31-06

-- Acknowledgment letters
-- Politeness/courtesy

Areas anticipated to be completed by 12-31-07

-- Electronic FOIA/Clarity of FOIA requests and responses

Areas anticipated to be completed after 12-31-07

-- Backlog reduction

BUREAU OF ALCOHOL, TOBACCO, FIREARMS & EXPLOSIVES (ATF)

A. NATURE OF ATF'S FOIA OPERATIONS

The Bureau of Alcohol, Tobacco, Firearms, and Explosives' Disclosure Division is responsible for processing all Freedom of Information Act (FOIA) and Privacy Act requests submitted to the ATF. In Fiscal Year 2005, ATF received 1650 requests and processed 1719 requests, reviewing over 44,000 documents. ATF completes over ninety percent of all requests within twenty working days. The Disclosure Division is comprised of a Division Chief, Team Leader, a Senior Disclosure Specialist, and five Disclosure Specialists. The majority of the FOIA requests seek records of ATF's criminal or regulatory enforcement investigations. The remainder of requests are generally for firearms and explosives statistics, contracts, and lists of Federal Firearms and Explosive Licensees.

B. AREAS SELECTED FOR REVIEW

ATF reviewed the following potential improvement areas:

-- Records search process
-- Customer relations
-- FOIA Web site
-- Information technology

C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW

A review of the operations of all aspects of ATF's FOIA processing procedure identified a few areas for improvement. Though ATF is able to respond to requests within the twenty day time limit, conducting a search and receiving the responsive records in a more timely fashion could make our on-time percentage even greater. For the majority of the requests, searches are conducted outside of ATF Headquarters, where the Disclosure Division is located. Responsive records can be located at any of the twenty-three ATF Field Divisions, over 300 Field Offices, four ATF Laboratories or several other ATF facilities. Determining whether an ATF investigation is closed, the amount and type of documents responsive to a request in order to determine fees has always been one of the most time-consuming aspects in the process of satisfying a request. In recent years, the Disclosure Division has been able to streamline this process, by giving Disclosure Specialists read-only access to the database where all criminal and regulatory reports are maintained. By having access to this system, the Specialist can not only determine if an investigation is closed, but can also look at the records to make a determination if any fees will be required to process the request. In many instances, a request can be completed simply by querying the database, where previously a search would have been required of a Field Division or Field Office, delaying a response time by a week or more. The one instance where Disclosure Specialists do not have read-only access, is when a case contains grand jury material. In such cases, the Disclosure Specialist's eventual access to the relevant records is delayed somewhat. We will be working with our Information Services Division to determine if there is a way to provide our Disclosure Specialists more timely read-only access to such records.

Another area that was reviewed and improvements can be made is in how ATF releases information in response to FOIA requests. Currently, responsive documents will only be sent by mail to a requester. With advances in technology, however, many requests, such as for listings of Federal Firearms and Explosives Licensees are now being downloaded onto a CD-Rom and mailed. We are looking into the possibility of responding to requests for this kind of data, as well as other requests that are "granted in full," by e-mail. This would not only streamline ATF's process of responding to requests even further, it would provide a cost savings to the government as well. We have just begun scanning of photographs responsive to requests, and providing the pictures on a CD-Rom. This has greatly reduced the response time where photographs are responsive to a request, as photo reproduction can be a time-intensive effort.

ATF's FOIA Web site is one area where much improvement can be made. We are looking at ways to provide the entire Federal Firearms and Explosive Licensee listings, as mentioned above, available for download directly from our Web site. Recent changes in the law have prohibited the release of certain data and information that was once available through FOIA. The ATF FOIA Web site will be adding a "Frequently Asked Questions" link, which will provide answers to questions without the need of having to call the Disclosure Division or submit a request. Links will also be added to direct a person to another part of ATF's Web site, where additional publications, press releases, etc., can be located.

By virtue of the fact that ATF responds to the overwhelming majority of its requests within twenty working days, we believe ATF does an excellent job in the area of customer relations and communications. Each Disclosure Specialist has been trained and is able to process any request that is received. Communicating with requesters is a priority in the Disclosure Division, and requesters are sent acknowledgment letters within five working days of the receipt of the request, and a phone number and reference number, as well as the ATF Web site is provided. There are two areas which are being looked into that will further improve our relationships with our customers. The first area is when an e-mail address is provided by a requester, ATF will respond with an acknowledgment via e-mail by the following business day. A phone number and name of the Specialist handling the request will also be provided, and an acknowledgment letter will also follow in the mail. The second area we are looking into is to, if possible, answer a request by sending the information electronically to the requester.

We reviewed the information technology utilized in the Disclosure Division to determine if additional resources or technology would increase our response time or improve customer relations. Over the years, ATF has experimented with scanning records and making redactions electronically. This was found to increase the amount of time taken to process a request rather than making redactions to paper documents. We also realized that documents would have to be sent in paper for prisoners making requests for their criminal investigations, and a paper copy would needed to be kept in the file in the event of possible litigation. Thus, we have determined that the IT capabilities that we currently use, to include providing information on CD-Rom, is sufficient to support the Disclosure Division's ability to effectively process requests under the FOIA.

We considered ways by which to reduce the backlog of requests not completed within the twenty-day time-frame was also reviewed. The backlog of requests does not represent a significant burden to ATF's FOIA operations, and ATF has reduced the number of pending requests over the last two years. In an effort to reduce the backlog even further, the Disclosure Chief will, on a quarterly basis, review all requests in the backlog and determine, based on case load of each Specialist, if reassigning requests would increase response time. It is hoped that such a review will result in the backlog of requests being reduced to only those instances where the voluminous nature of the documents being reviewed for release makes the twenty-day time-frame impracticable.

D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN

-- Records search process
-- Acknowledging requests and release of information
-- FOIA Web site

E. IMPROVEMENT AREA PLANS

1. Records search process

Goal: To further streamline the amount of time needed to make an initial determination of the status for a request for criminal investigations. Target completion: 10-31-06.

Steps

• Meet with ATF Intelligence and Information Division to determine ability for Disclosure Specialists to view all investigations electronically, regardless of the status of the investigation. To be completed by 7-31-06.

• Contact ATF Information Services Division and make the appropriate requests for increases electronic access levels for Disclosure Specialists. To be completed by 10-31-06.

2. Acknowledging requests and release of information

Goal: Release information electronically, when possible. Target completion: 10-31-06.

Steps

• When a requester provides an e-mail address, the Disclosure Division will respond via e-mail notifying that ATF has received the request. Acknowledgment letters will continue to be sent out in addition to the e-mail. To be completed by 7-31-06.

• Complete an internal study to determine the types of information that are able to be released electronically, and determine the "size limit" of attachments that can be transmitted electronically. To be completed by 9-30-06.

• Respond responding electronically to requests that are "granted in full," when able to do so. To be completed by 10-31-06.

3. ATF's FOIA Web site

Goal: Improve the design and information disseminated on the ATF FOIA Web site. Target completion: 9-30-06 (and reviewed quarterly thereafter).

Steps

• Conduct a comprehensive review of the ATF Web site and determine what pages should be linked from our FOIA Web site to have one area where all publicly available information can be accessed. To be completed by 9-30-06 (and quarterly thereafter).

• Prepare a "Frequently Asked Questions" section on ATF's FOIA Web site. To be completed by 9-30-06.

• Meet with ATF's Information Services Division and Firearms Services Division to determine the feasibility of making the entire Federal Firearms and Explosives listings available for download from the ATF Web site. To be completed by 9-30-06.

• If it is determined that ATF has the capacity to make these files available for download from our Web site, provide information on how to access the files on the FOIA site. To be completed by 9-30-06.

4. Backlog reduction

Goal: Reduce the existing backlog of pending FOIA requests by 10% each year, by focusing on the backlog of requests assigned to each Disclosure Specialist. Target completion: 1-15-07, 1-15-08, 12-31-08.

Steps

• On a quarterly basis, the Disclosure Chief will review the current caseload of each Disclosure Specialist and determine the number of cases pending for more than the twenty days provided by statute. To be completed by 8-15-06, 10-15-06, 1-15-07, 4-15-07, 7-15-07, 10-15-07, 1-15-08, 4-15-08, 7-15-08, 10-15-08.

• On a quarterly basis, the Disclosure Division Chief will review each case pending over twenty days and determine if reassigning the requests would facilitate a reduction in the backlog of requests. To be completed by 8-15-06, 10-15-06, 1-15-07, 4-15-07, 7-15-07, 10-15-07, 1-15-08, 4-15-08, 7-15-08, 10-15-08.

F. IMPROVEMENT TIME PERIODS

Areas anticipated to be completed by 12-31-06

-- Records search process
-- Acknowledging requests and release of information
-- ATF's FOIA Web site

Areas anticipated to be completed by 12-31-07

-- None

Areas anticipated to be completed after 12-31-07

-- Backlog reduction

CIVIL DIVISION

A. NATURE OF CIVIL DIVISION'S FOIA OPERATIONS

The Civil Division maintains a centralized FOIA Unit, which consists of an Attorney-in-Charge, a Paralegal Specialist, and an administrative support person. The office is well developed and operates with experienced staff that processed 467 requests during Fiscal Year 2005 with the median number of days taken to process a request of ten days. We generally do not operate with a significant backlog.

In addition to administrative request processing, the office processes delegations of FOIA litigation cases to the United States Attorneys' Offices, supports litigation when the Civil Division is sued, as well as providing advice to Departmental attorneys and agency counsel. The office also prepares an annual report of FOIA litigation activity for inclusion in the Department of Justice annual report on the FOIA. In response to Executive Order 13,392 the operations of the FOIA Unit were reviewed and the following areas were selected for review.

B. AREAS SELECTED FOR REVIEW

The Civil Division reviewed the following potential improvement areas:

-- FOIA Web site function and content
-- Electronic receipt/response for FOIA requests
-- Acknowledgment letter responses
-- Communications with requesters
-- Customer service
-- Expedited processing
-- Staffing/Position descriptions
-- Cross-training
-- Docket control system
-- E-FOIA publication requirements
-- Multi-track processing
-- FOIA Requester Service Center complaints

C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW

After a thorough review of the items listed in Part B, above, the Civil Division determined that although FOIA processing was being accomplished in a timely and appropriate manner overall, improvements could be made. Our first area of review was the FOIA Web site. With the increased use by the public of the Internet it is necessary to ensure that the Web site is current and fully functioning. We determined that certain links on the Web site were either out dated or not fully functioning.

Another area of review was electronic processing of requests. Again in light of increasing use of the internet by the public we believe that it would be both useful and effective to utilize e-mail to receive and respond to requests. This type of processing holds significant potential for increased efficiency but also poses control concerns. While reviewing our processing we also reviewed the adequacy of acknowledgment letters provided to requesters. Our review indicated that although we generally respond to requests within the statutory time period, we did have cases in which we exceeded the time period without providing the appropriate acknowledgment.

In the area of customer communications, we determined that communications with requesters required improvement and it was suggested by our staff that efforts be made to improve requester access by providing contact information including e-mail address and phone numbers for the FOIA Requester Service Center in all written and electronic communications. We also identified a lack of knowledge of the Executive Order 13,392 and the necessity to address customer service. While we did not identify any specific deficiencies in customer service we felt that the area was important and required renewed attention.

Personnel was also an area we identified for improvement. The current position descriptions do not accurately reflect the duties and activities of the staff. Additionally, cross-training was also an area of interest that we believed should be focused on to meet the personnel needs of the FOIA in the current budget any setting.

Our analysis of our docket control system indicated that we need to improve data capture and reporting to insure that we can meet control and reporting requirements. We believe there may be opportunities to modify the system to provide more information to better manage FOIA request processing. Also, we found that our Web site did not currently include all of the records that the E-FOIA publications requirements indicate should be made available electronically. We determined that we needed to publish additional records on the Internet.

We also considered multi-track processing for complicated requests. We found that although we are a relatively small centralized office there may be some advantages to multi-track processing for certain large or complicated requests involving review by several sections within the Division. This issue was addressed in the past but should be reviewed again to determine if it would improve processing capability.

Finally, with the increased focus on customer service and the creation of the FOIA Requester Service Centers we determined that we needed to review, respond to, and resolve any and all complaints to the FOIA Requester Service Center. This aspect of our FOIA operations is one of first impression and requires thorough review to determine the level of activity and the appropriate for response.

D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN

-- FOIA Web site function and content
-- Electronic receipt/response for FOIA requests
-- Acknowledgment letter responses
-- Communications with requesters
-- Customer service
-- Staffing/Position descriptions
-- Cross-training
-- Docket control system
-- E-FOIA publication requirements
-- Multi-track processing
-- FOIA Requester Service Center complaints

E. IMPROVEMENT AREA PLANS

1. FOIA Web site function and content

Goal: Maintain fully operating FOIA Web site with current information. Target completion: 10-15-06 (and continuing thereafter).

Steps

• Review the Civil Division Web site. This involves clicking on each link to ensure that it is working properly. To be completed by 8-1-06, 12-1-06, 3-1-07, 6-1-07, 9-1-07, 12-1-07 (and quarterly thereafter).

• Correct any dead or out-of-date links identified during regular reviews. To be completed by 10-1-06, 1-1-07, 4-1-07, 7-1-07, 10-1-07, 1-1-08 (and quarterly thereafter).

• Review and update Web site features in light of current software. Apply new or revised software options to improve the Web site in either form or function. Milestone is for review and request for modification by the Information Technology staff. To be completed by 10-15-06, 6-15-07, 10-15-07, 6-15-08 (and continuing thereafter).

2. Electronic receipt/response for FOIA requests

Goal: Consider receiving and responding to FOIA requests electronically via the Internet. Target completion: 7-15-07.

Steps

• Review existing agency regulations regarding receipt of and responses to request to determine if regulations permit such processing and if it would be workable to receive requests by e-mail. To be completed by 9-15-06.

• If permitted by regulations, create test protocol for receipt of electronic requests and responses. To be completed by 11-15-06.

• Publish electronic protocol for trial period on FOIA Web site. To be completed by 2-15-07.

• Accept electronic FOIA requests for review. To be completed by 4-15-07.

• Review and or modify trial implementation of electronic receipt and response of FOIA requests to determine if protocol is workable to be made permanent. To be completed by 7-15-07.

3. Acknowledgment letter responses

Goal: Review adequacy and timing of request acknowledgment letters. Target completion: 12-15-06.

Steps

• Review current timing, drafting, and content of acknowledgment letters. Determine if requests requiring longer than statutory time period are being acknowledged. To be completed by 9-1-06.

• Determine if changes should be implemented to processing of acknowledgment letter production. Specifically to determine how to trigger acknowledgment letter production for requests over twenty days old. To be completed by 11-15-06.

• Implement processing changes to content of acknowledgment letters. To be completed by 12-15-06.

4. Communications with requesters

Goal: Improve communication with requesters by providing phone numbers and e-mail address for contact with the FOIA Requester Service Center. Target completion: 10-15-06.

Steps

• Determine best process to improve requester access to FOIA Requester Service Center personnel including analysis of access by e-mail and telephone. To be completed by 9-15-06.

• Implement best process to improve requester access to FOIA Requester Service Center. To be completed by 10-15-06.

5. Customer service

Goal: Review the Executive Order and train personnel to improve customer service. Target completion: 9-1-06 (and continuing thereafter).

Steps

• Read the Executive Order with all FOIA-related staff to ensure that everyone understands the Executive Order and discuss customer service. To be completed by 7-1-06.

• Have FOIA staff attend OIP customer-service training. To be completed by 7-11-06.

• Review customer-service objectives with staff. This is an ongoing matter that requires regular attention. To be completed by 9-1-06, 12-1-06, 6-1-07, 12-1-07 (and continuing thereafter).

6. Staffing/Position descriptions

Goal: Update position descriptions for FOIA staff to accurately reflect job duties. Target completion: 11-15-06.

Steps

• Review current position descriptions within the FOIA Unit to determine if they are accurate. To be completed by 9-1-06.

• Revise position descriptions to accurately reflect title, duties and activities of the FOIA Specialist and Attorney-in-Charge. To be completed by 10-15-06.

• Submit the revised position descriptions for review within the Civil Division. To be completed by 11-15-06.

7. Cross-training

Goal: Cross-train back-up personnel. Target completion: 3-1-06.

Steps

• Identify at least one individual within the Civil Division who can be cross-trained to handle FOIA requests. To be completed by 10-1-06.

• Provide formal training for the individual by attendance at OIP training seminar for access professionals and informal on-the-job training in the FOIA Unit. To be completed by 3-1-07.

8. Docket control system

Goal: Review automated docket and control system to ensure that all necessary information is being maintained. Target completion: 11-15-06.

Steps

• Review current automated docket and control system to determine if it is adequate to maintain control and management of administrative FOIA requests. To be completed by 9-15-06.

• Review current reporting capabilities of automated control system in light of current reporting requirements. To be completed by 10-15-06.

• Request in-house information technology staff modify automated control system to meet management and reporting requirements. To be completed by 11-15-06.

9. E-FOIA publication requirements

Goal: Review E-FOIA publication requirements and post additional records on the Internet as required. Target completion: 12-31-06 (and continuing thereafter).

Steps

• Review E-FOIA amendments to determine if we are meeting publication requirements for frequently requested records. To be completed by 10-1-06.

• Locate specific Civil Division records that meet the E-FOIA publication requirements and submit those records to be placed on the Web site. To be completed by 12-15-06.

• Test Internet access to the published records. To be completed by 12-31-06, 9-1-07, 9-1-07, 3-1-08.

10. Multi-track processing

Goal: Analyze and determine reliability of multi-track processing for complicated requests.Target completion: 12-1-06.

Steps

• Review with staff the potential applicability of multi-track processing for voluminous or complicated requests. Determine if implementation would be beneficial for request processing in the Civil Division. To be completed by 10-1-06.

• Implement or decline to implement multi-track processing within the Civil Division. To be completed by 12-1-06.

11. FOIA Requester Service Center complaints

Goal: Review, respond to, and resolve complaints to the FOIA Requester Service Center. Target completion: 9-15-06 (and continuing thereafter).

Steps

• Review all complaints or inquiries received by the FOIA Requester Service Center. To be completed by 9-15-06, 12-1-06, 3-1-07, 6-1-07, 9-1-07, 12-01-07, 3-1-08 (and continuing thereafter).

F. IMPROVEMENT TIME PERIODS

Areas anticipated to be completed by 12-31-06

-- FOIA Web site function and content
-- Acknowledgment letter responses
-- Communications with requesters
-- Customer service
-- Staffing/Position descriptions
-- Docket control system
-- E-FOIA publication requirements
-- Multi-track processing
-- FOIA Requester Service Center complaints

Areas anticipated to be completed by 12-31-07

-- Electronic receipt/response for FOIA requests
-- Cross-training

Areas anticipated to be completed after 12-31-07

None

CIVIL RIGHTS DIVISION (CRT)

A. NATURE OF CIVIL RIGHTS DIVISION'S FOIA OPERATIONS

Since the Civil Rights Division itself is centralized in the Washington, D.C. area, its Freedom of Information Branch is also located in the D.C. metropolitan area within the Division's Administrative Management Section. The FOIA Branch consists of two attorneys, six paralegals, and two legal technicians. The Branch receives FOIA requests for twelve program areas including its: Appellate, Coordination and Review, Criminal, Disability Rights, Educational Opportunities, Employment Litigation, Housing and Civil Enforcement, Office of Special Counsel for Immigration Related Unfair Employment Practices, Special Litigation (involving the rights of institutionalized persons among other matters), and Voting Sections. Requests for records from the Criminal, Disability Rights, and Voting Sections, and the Office Special Counsel, represent the majority of the workload. Records in the Civil Rights Division files contain records of other components such as the Federal Bureau of Investigation, and the Criminal Division as well as other federal agencies such as Housing and Urban Development, the Department of Labor, and the Equal Employment Opportunity Commission which, when processed, require consultation with the components and agencies for a consistent, coordinated response.

The Civil Rights Division's backlog of thirty FOIA/PA requests as of May 1, 2006, was the lowest it has been at any time in the last 29.5 years in spite of a continued stable average of incoming requests (602 received in Fiscal Year 2005). This achievement occurred because of CRT's increase of and upgrading/professionalizing of staff, automated tracking, greatly improved referral handling, and contracting during CRT's highest-volume processing years -- 1996 with a workload of 1388 FOIA/PA requests and the following years. In 1985, the Division had a smaller staff and a backlog of what would have been the equivalent of a year and a half of accumulated requests involving tens of thousands of pages of documents related to many of the Civil Rights Division's historic cases.¹¹ The backlog of requests consisted of numerous very high profile matters for which there were hundreds of unprocessed requests spread over an eight-year period of delay. Requesters included prisoners, alleged victims of civil rights violations, subject police officers -- targets of investigations of civil rights violations, historians, news media, and a variety of nonprofit, public interest-type organizations. The Branch's production was nearly immobilized at that time by its staff focused almost entirely on responding to court orders in litigation because of lawsuits that had been filed primarily on the basis of delay. Besides all the structural changes listed above, the Division focused on eliminating approximately 5-6 separate bottlenecks and began a month-to-month drive to close more requests each month than it received.

B. AREAS SELECTED FOR REVIEW

The Civil Rights Division reviewed the following potential improvement areas:

-- Increase in staff to replace early retirees in CRT's 2005 downsizing
-- Funding to develop electronic FOIA processing/Purchase of related (new) equipment
-- Improvements in timeliness for the 15% segment of workload with a substantially higher level of processing time
-- Affirmative disclosure compliance under subsection (a)(2)/Proactive disclosure
-- Web site/Electronic reading room enhancement
-- Interactions with the public and other offices for priority on courtesy
-- Acknowledgment letter form
-- System of consultations
-- Plan for any needed training of FOIA staff and program staff
-- Multi-track processing

C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW

In reviewing the Executive Order and the prime areas for attention, the Civil Rights Division is pleased to be very close to obtaining the ideal of no backlog. In conducting a review, several problems areas still exist that will prove to be difficult to resolve. That is, the Civil Rights Division's upper-level management have a significant number of requests for which repeated efforts to obtain consultation have been unsuccessful. Recent staffing changes may allow improvement in this area if there is someone assigned to handle requests that involve records related to the upper-level management of the Division.

The Division itself does very well in keeping the backlog at a low pending level with 85% of its requests being processed within a median time of eight days. All requests are acknowledged within a twenty-day time period. In reviewing this area, however, it is clear that the Civil Rights Division can improve the turnaround time for its 15% of requests that are not processed until after the twenty day statutory period has expired. More resources can be placed into reducing the turnaround in the area of greatest delay, such as the gathering of records in numerous sections, and a more structured approach in processing requests involving problem issues, which requests account for the 15% of the more-delayed responses.

In reviewing the selected areas, it is clear that CRT has been doing and currently does an excellent job in the area of customer relations and communications with requesters. The Division acknowledges all of the FOIA requests within the twenty-working-day deadline and forwards a letter including an address and phone number for the requester to call with questions. This office also responds to letters that are not proper FOIA requests and explains to the requester why the request is not proper, and if appropriate, refers the requester to another federal agency or state or local entity. CRT will also call requesters if their requests are not clear to attempt to define and clarify the scope of the request. Further, CRT has developed the use of an acknowledgment letter to requesters upon receipt of referral from another agency to let the requester know that the documents have been received and are being processed. The requester is provided a case number and given the address and telephone number to contact if there are any questions.

CRT has had a long-term policy of requiring that a staff member personally answer all telephone calls. CRT resisted the Departmentwide effort to make all incoming calls go to a voice mail as a cost-saving measure. Accordingly, front-line telephone staff have always been required to cover the telephones and the work schedules are staggered so that the telephones have coverage throughout the work day. This office will give confirming instructions to the staff in order to continue this office's emphasis on the importance of customer service and treating requesters with courtesy and respect at all times by promptly responding to requester questions on Civil Rights Division subject-matter areas and status inquiries.

Furthermore, CRT began the process of selecting a new FOIA Specialist with knowledge on electronic FOIA processing. In April 2006, CRT began reviewing applications and interviewing in order to hire the best-qualified person. In order to hire the most appropriate personnel, CRT recruited applicants from agencies/components with electronic systems that are advanced beyond CRT's current technology.

This office reviewed its current electronic capacity for tracking FOIA/PA requests and views its tracking systems to be generally adequate but behind the present state of technological development of the Department's FOIA operations. CRT could benefit from an updated system that will allow for the more professional appearance of the electronic processing as well as the greater efficiency and time-savings that may be possible by a move towards a paperless process.

CRT also reviewed its FOIA Electronic Reading Room. CRT can add to the available materials by placing old CRT landmark cases on the Web as well as seeking out any subsection (a)(2) materials for which CRT is responsible for making available to the public. CRT will search out and develop means for locating applicable materials and conducting a regular review of the Web site for currency.

In reviewing the acknowledgment form letter, the office's system of consultations, and multi-track processing, CRT will not focus on these areas for future improvements other than the incorporation of the system of consultations into the effort to reduce the turnaround time on "complex" requests as explained above and below. CRT has determined there is no further need for modifications in its multi-track system, nor for any change to be made in its acknowledgment form.

D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN

-- Increase in staff to replace early retirees in CRT's 2005 downsizing
-- Funding to develop electronic FOIA processing/Purchase of related (new) equipment
-- Improvements in timeliness for the 15% segment of workload with a substantially higher level of processing time
-- Affirmative disclosure compliance under subsection (a)(2)/Proactive disclosure
-- Web site/Electronic reading room enhancement
-- Interactions with the public and other offices for priority on courtesy
-- Plan for any needed training of FOIA staff and program staff

E. IMPROVEMENT AREA PLANS

1. Increase in staff with strengths in areas chosen for improvement

Goal: Place a GS-13 FOIA Specialist on staff. Target completion: 6-30-06.

Steps

• Have new employee cleared by security and trained. To be completed by 6-20-06.

• Transition to full workload. To be completed by 6-30-06.

2. Funding to develop electronic FOIA processing/Purchase related (new) equipment

Goal: To bring CRT's need for electronic equipment into discussion for upcoming budget plans. Target completion: 2-1-07.

• Discuss needs with appropriate Information Technology personnel in Division and determine costs for such equipment. Contact Budget Staff to determine the budgetary limits already imposed for Fiscal Year 2006 and review the proposed budget possibilities. Submit proposal of upgrade for Fiscal Year 2007 to CRT Executive Officer. To be completed by 11-1-06.

• Determine funding available for Fiscal Year 2007, and determine office needs, and contact staff to begin procurement process according to appropriate rules and regulations for Fiscal Year 2007. Study of competing systems and recommendation of new FOIA electronic system. To be completed by 2-1-07.

3. Improvements in timeliness for the 15% segment of workload with a substantially higher level of processing time

Goal: To reduce the turnaround time for complex FOIA/PA requests. Target completion: 10-1-07.

Steps

• Develop information on the primary obstacles to a shorter turnaround by reviewing files of the requests closed in the "complex" category. To be completed by 9-1-06.

• Analyze information to develop specific strategies on all "complex" requests. To be completed by 11-1-06.

• Reduce the Fiscal Year 2005 median time by thirty days for the 15% complex category. To be completed by 2-1-07.

• Reduce the Fiscal Year 2005 median time by thirty additional days and determine future target percentages for reduction and target dates for achievement at that time. To be completed by 10-1-07.

4. Affirmative disclosure compliance under subsection (a)(2)/Proactive disclosure Web site/Electronic reading room enhancement (combined)

Goal: To provide additional documents/information to the public and other CRT customers via CRT's Electronic Reading Room. Target completion: 12-1-07 (and continuing thereafter).

• Review current Web site and procedures for locating subsection (a)(2) reading room materials. To be completed by 10-1-06.

• Conduct periodic review of Web site and Administrative Section contacts to ensure that information is updated with the most currently available materials. Provide notice to Division components about the requirements to place subsection (a)(2) information on the Web site. To be completed by 10-1-06, 1-1-06, 4-1-07 (and quarterly thereafter).

• Enhance the accessibility of the Electronic Reading Room via improved, more aesthetic design; clarify Web site and make it user-friendly, with links to other Department of Justice or applicable Web sites. To be completed by 10-1-07.

• Post records related to historical CRT cases. To be completed by 12-1-07.

5. Customer service and inter-office relations/Communications

Goal: To provide prompt and courteous service regarding general procedure, status inquiries and information about CRT's programs to the public and other components/offices. Target completion: 1-15-07.

Steps

• Confirm that all staff who answer telephones know how to determine the status of a request and when to send the requester to an analyst for more detailed information. Train all staff on the importance of treating requesters with courtesy and respect as well as specific instruction on the basics of workplace etiquette. To be completed by 7-1-06.

• Ensure that present procedures are followed regarding all exchanges with the public so that there is adequate record of the information provided and the nature of the inquiry. To be completed by 10-1-06.

• Additional periodic monitoring and training to underscore the emphasis in this area via the Executive Order. To be completed by 1-15-07.

6. Plan for any needed FOIA training of FOIA staff and Division staff

Goal: To plan for any needed legal training of FOIA staff and program staff. Target completion: 1-15-07.

• Survey staff determine last date on classes taken and need for FOIA and Privacy Act legal and Information Technology training. To be completed by 10-1-06.

• Research Office of Legal Education and outside sources for 2007-2008 courses offered to fulfill any training needs assessed. To be completed by 1-15-07.

• Register staff for all available training for the 2007-2008 period. To be completed by 1-15-07.

F. IMPROVEMENT TIME PERIODS

Areas anticipated to be completed by 12-31-06

-- Increase in staff with strengths in areas chosen for improvement

Areas anticipated to be completed by 12-31-07

-- Funding to develop electronic FOIA processing/Purchase related (new) equipment
-- Improvement in timeliness for the 15% segment of workload with a substantially higher level of processing time
-- Affirmative disclosure compliance under subsection (a)(2)/Proactive disclosure Web site/Electronic reading room enhancement
-- Customer service and inter-office relations/Communications
-- Plan for any needed FOIA training of FOIA staff and Division staff

Areas anticipated to be completed after 12-31-07

None

COMMUNITY RELATIONS SERVICE (CRS)

A. NATURE OF CRS'S FOIA OPERATIONS

The Community Relations Service is a small agency of approximately fifty-six employees nationwide. In the FY 2005 FOIA Annual Report submitted by CRS, the number of requests received during that fiscal year was two; the number of requests processed during that fiscal year was two; and the number of requests pending as of the end of preceding fiscal year was zero. Over the past several years the number of FOIA requests received by CRS has ranged from two to approximately eight. During these years, CRS has not had a backlog, the FOIA requests have been responded to within twenty days, and most of the requests received by CRS have been for personal records of the requester that are not maintained by CRS. The standard response on these type requests is "no records." CRS maintains no records of individuals except for agency employees.

Should CRS Regional Offices receive a FOIA request, the Regional Office staff has been instructed to contact CRS Headquarters immediately, fax the request to Headquarters so that the processing of the request can begin immediately. If the Regional Office has the records requested, those records are copied in full and express mailed to the FOIA Officer at CRS Headquarters for a review and response to requester within twenty calendar days. Because of the small number of FOIA requests received annually by CRS, the current response/disclosure system is working fine.

B. AREAS SELECTED FOR REVIEW

The Community Relations Service reviewed the following improvement areas:

-- Affirmative disclosure under subsection (a)(2)
-- FOIA manual
-- Electronic FOIA (receiving/responding to requests electronically)

C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW

After an extensive review of the items identified in Part B, above, CRS determined that the processing of FOIA requests is working fine, in that CRS is receiving on average of only between two to eight FOIA requests per fiscal year, and responses are submitted to requesters in much less than twenty days. However, CRS is in the process of determining if any additional policy statements should be posted on the Web site; whether a FOIA manual can be developed within the next few months; and whether an electronic FOIA process by the internet for receiving and responding to FOIA requests is necessary in light of the fact, only two FOIA requests were received by CRS in FY 2005.

D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN

-- Affirmative disclosure under subsection (a)(2)
-- FOIA manual
-- Electronic FOIA

E. IMPROVEMENT AREA PLANS

1. Affirmative disclosure under subsection (a)(2)

Goal: To make sure that CRS has posted on its Web site all policy statements, and other documents and materials that should be posted there. Target completion: 12-31-06 (and continuing thereafter).

Steps

• CRS will review its Web site and determine what additional information should be included, in order to improve in this area. To be completed by 9-1-06 (and continuing thereafter).

• This review process will involve the CRS Webmaster/IT Manager to make sure that CRS is in compliance with this affirmative disclosure requirement. To the extent additional documents are appropriate for inclusion on the CRS Web site, those documents will be placed on the CRS Web site. To be completed by 12-31-06 (and continuing thereafter).

2. FOIA manual

Goal: To develop a FOIA manual that will be current and up-to-date. Target completion: 12-31-07.

Steps

• CRS will work closely with another Department component to develop a FOIA manual. To be completed by 12-31-07.

3. Electronic FOIA

Goal: To determine if CRS has a legitimate need for an Electronic FOIA system for receiving and responding to FOIA requests in light of having received only two FOIA requests during Fiscal Year 2005. Target completion: 12-31-07.

Steps

• CRS's Director/Deputy Director and the IT Manager/Webmaster will consult regarding the feasibility of doing with the CRS FOIA Officer within the next sixty days. To be completed by 8-18-06.

• CRS will explore the feasibility of the establishment of Electronic FOIA with CRS's National Director. To be completed by 12-31-06.

• Once a decision is made by the Director on accepting FOIA requests through the Internet, CRS will implement such a system. To be completed by 12-31-07.

F. IMPROVEMENT TIME PERIODS

Areas anticipated to be completed by 12-31-06

-- Affirmative disclosure under subsection (a)(2)

Areas anticipated to be completed by 12-31-07

-- FOIA manual
-- Electronic FOIA

Areas anticipated to be completed after 12-31-07

None

CRIMINAL DIVISION

A. NATURE OF THE CRIMINAL DIVISION'S FOIA OPERATIONS

The Criminal Division's FOIA/PA Unit currently operates with fourteen full-time personnel, one part-time employee, and one stay-in-school student. The Unit is comprised of a Chief, Deputy Chief, two Supervisory Team Leaders, seven FOIA Specialists, and four support staff. The Criminal Division receives approximately 1500 requests annually and we completed 1292 requests during FY 2005. Our backlog is currently 875, up from 673 in FY 2003, 768 in FY 2004, and 869 in FY 2005. Based on these figures, our most urgent area where improvement is needed is backlog reduction. Historically, the biggest obstacle facing the Criminal Division FOIA/PA Unit has been the lack of adequate personnel to handle the volume and complexity of requests received.

B. AREAS SELECTED FOR REVIEW

The Criminal Division reviewed the following potential improvement areas:

-- Backlog reduction
-- Purchase of new equipment
-- Consultation/concurrence process
-- Customer-service policy
-- Automatic tracking capabilities
-- Web site
-- Training
-- Declassification process
-- Electronic processing

C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW

The first area reviewed by the Criminal Division was backlog reduction. As discussed above, this is the most serious problem facing the Criminal Division. We decided that the first step we had to take was to expeditiously hire two employees, one analyst, and one attorney in order to replace two members of the staff who had recently retired. The announcements for these jobs have closed and we are redoubling our efforts most expeditiously to receive from our personnel office resumes of the most highly qualified candidates so that we can begin the interview and selection process. With our current staff, we are concerned that it might be possible only to maintain our backlog, not to reduce it. We are planing to discuss the possibility of hiring contract workers again with the Director of our parent office (Office of Enforcement Operations) and our Administrative Office. To ensure that those analysts currently working on requests are handling them as expeditiously as possible, the Deputy Chief will meet quarterly with each analyst to discuss workload and any problems that they might be encountering and to discuss possible resolutions, under the careful supervision of the Unit Chief.

The second area selected for review was the possible purchase of new equipment needed. It was decided that the Unit needed a more modern photocopy machine and a new shredder. Having a more modern and more efficient copier would significantly improve productivity. We requested purchases of each of these products and they both have been approved. We should be receiving both in the near future.

The third area selected for review was the consultation and concurrence (i.e., review within the Criminal Division) process. If we do not receive a timely response to our consultations (outside of the Criminal Division) or concurrences (within the Criminal Division) our response is significantly delayed. We decided that we needed to improve our follow-up on consultations and concurrences by contacting the sections or agencies every thirty days. We will explore the possibility with our IT professionals of adding a field to our automatic case-tracking system (CATS) to generate automatic reminder memorandums similar to those we already are using for delinquent record searches. We also discussed the fact that the Criminal Division needs to improve its responses to consultations from other agencies and components. If we can increase our staffing, we will assign one analyst to work on and hopefully eliminate our backlog of consultations. This in turn will help decrease our overall backlog.

The fourth area selected for review was our customer-service policy. The Criminal Division believes that it is doing an excellent job in this area, in many cases going beyond the call of duty to assist requesters in directing their requests to the proper entity, whether it be federal or state, often including information on state FOIA laws for their assistance. However, one can always find some room for improvement. We have maintained a customer-service center since our inception where our customers can call and check the status of their requests or ask other questions. Politeness and courtesy have always been our standard policy in dealing with even the most difficult requesters. However, in light of the Executive Order we will conduct an in-house training session with an emphasis on courtesy and helpfulness, especially for those individuals involved with the FOIA Requester Service Center.

The fifth area selected for review was our automated tracking capabilities. Our current system is capable of only reporting two tracks (expedited; and complex, which covers everything else). This does not accurately reflect our multi-track system of simple or small "short hits" and more complex projects. We will explore the possibility of adding a field to track simple requests with Management Information Systems. This would also make our annual report figures more accurate.

The sixth area selected for review was our Web site. Although basically functional, our Web site has been neglected for several years due to lack of adequate personnel staffing. We need to post subsection (a)(2) materials in a more timely manner. Out-of-date material needs to be removed, although there are still requests for some of our more popular older manuals and reports especially those of historical significance. We will explore the possibility of hiring a contractor to work on the Web site, but we will not rely on that possibility unless it comes to pass. We also note that most, if not all, subsection (a)(2) material and other records of current interest are already posted by the individual sections of the Criminal Division on their Web sites.

The seventh area selected for review was supervisory training. All personnel currently attend the biennial FOIA Guide seminar and several employees have attended additional FOIA training at the Department's South Carolina facility. Requests for some additional training were not approved due to budget/travel restrictions. We reviewed our in-house training materials and concluded that they were in need of updating. We decided to assign a senior analyst to update this material. With two new employees starting within the year and the possibility of additional hires, meeting this goal will improve and accelerate the training process.

The eighth area reviewed was our declassification process. As in the case of concurrences and consultations, if our records are not declassified in a timely manner, the entire processing time is significantly delayed. We found that records being sent over to our Declassification Officer were taking an inordinate time to be returned and in some cases had not been returned in over a year. Also, our Declassification Officer is the Chief of a section that soon is moving to the new National Security Division.¹² We have requested that the Director of our parent office address these concerns directly with the Declassification Officer together with our Unit Chief, and we will request that senior officials within the Criminal Division designate a new declassification authority so that the process will not be interrupted during the transition.

The final area reviewed by the Criminal Division was electronic processing. The Criminal Division has looked at several electronic processing systems in the past but is not familiar with the more current products available. Although, electronic processing would be highly desirable for the Unit, we do not anticipate receiving either the funds or personnel to select, implement, and test a new system so we are not including it in our plan.

D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN

-- Backlog reduction
-- Purchase of new equipment
-- Consultation/concurrence process
-- Customer-service policy
-- Automatic tracking capabilities
-- Web site
-- Training
-- Declassification process

E. IMPROVEMENT AREA PLANS

1. Backlog reduction

Goal: To reduce our backlog from 875 pending requests to approximately 525. Target completion: 12-31-08.

Steps

• Complete the hiring process of one new specialist and one new attorney through aggressive personnel-replacement efforts aimed at achieving a stable workforce. To be completed by 10-1-06, 11-30-06 (and continuing thereafter).

• Explore with Department Personnel Office the use of contractors. To be completed by 12-31-06.

• If the use of contractors is an option for the Criminal Division, institute it. To be completed by 12-31-07.

• Hold quarterly meetings of all supervisors with analysts to discuss workload and any problems being encountered. To be completed by 8-15-06 (and quarterly thereafter).

• Achieve backlog reduction in proportionate amounts over these time periods. To be completed by 1-15-07, 1-15-08, 12-31-08.

2. Purchase of new equipment

Goal: To update photocopier and shredder and thereby increase productivity. Target completion: 9-30-06.

Steps

• Receive new copier and shredder from our Administrative Officer. To be completed by 8-31-06.

• Integrate into existing systems. To be completed by 9-30-06.

3. Consultation/concurrence process

Goal: Improve our follow-up on consultations and concurrences to decrease processing time, thereby reducing our backlog. Target completion: 12-31-07.

Steps

• Initiate follow-up calls by analyst to the section/component/agency after thirty days. To be completed by 7-31-06.

• Explore with IT specialists the possibility of adding a field to our tracking system that will automatically generate reminder memorandums to the sections/components/agencies similar to a system we already have in effect for searches. To be completed by 12-31-06.

• Assign one analyst to concentrate on reducing our backlog of consultations and referrals, thus contributing to measurable backlog-reduction results. To be completed by 12-31-07 (assuming contract workers or additional staffing are approved).

4. Customer-service policy

Goal: To ensure that all requesters contacting the Criminal Division's FOIA Requester Service Center are treated with courtesy and professionalism and that all of their questions are answered efficiently. Target completion: 7-15-06.

Steps

• Initiate in-house training for all employees, especially those involved in the operation of the service center. To be completed by 7-15-06.

5. Automatic tracking

Goal: To enable our system to be able to report all of our tracks accurately for the annual FOIA report and other reporting purposes. Target completion: 8-31-07.

Steps

• Explore with our computer professionals the possibility of adding a new field to track simple requests as well as complex ones. To be completed by 8-31-07.

6. Web site

Goal: Ensure that subsection (a)(2) materials are posted in a timely manner and the prompt removal of out-of-date material, with Unit Chief taking responsibility for full subsection (a)(2) compliance. Target completion: 12-31-06 (and continuing thereafter).

Steps

• Review Web page and remove outdated material. To be completed by 9-30-06 (and quarterly thereafter).

• Develop a better system to obtain subsection (a)(2) material from the sections in a timely manner so that it can be posted on our Web site. To be completed by 12-31-06 (with reviews quarterly thereafter to ensure that current materials are promptly posted).

7. Training

Goal: Update our in-house training materials. Target completion: 9-30-06.

Steps

• Discuss with senior analyst areas in need of updating. To be completed by 7-31-06.

• A senior analyst will review and update all in-house training materials and guidance, with supervisory review by Chief and Deputy Chief. To be completed by 9-30-06.

8. Declassification process

Goal: To shorten the length of time it takes to receive classified material back from the Declassification Officer, in order to reduce overall processing time of requests involving classified materials. Target completion: 8-31-06.

Steps

• Have the Director of the Office of Enforcement Operations contact the Declassification Officer by e-mail or memorandum to express our concerns. To be completed by 7-31-06.

• As our Declassification Officer will be moving to the new National Security Division, request that this responsibility be delegated to a new individual in the Criminal Division. To be completed by 8-31-06.

F. IMPROVEMENT TIME PERIODS

Areas anticipated to be completed by 12-31-06

-- Purchase of new equipment
-- Customer-service policy
-- Web site
-- Training
-- Declassification process

Areas anticipated to be completed by 12-31-07

-- Consultation/concurrence process
-- Automated tracking

Areas anticipated to be completed after 12-31-07

-- Backlog reduction

DRUG ENFORCEMENT ADMINISTRATION (DEA)

A. NATURE OF DEA'S FOIA OPERATIONS

The Drug Enforcement Administration's Freedom of Information (FOI)/Records Management Section, Operations Unit (SARO) is responsible for responding to all Freedom of Information Act/Privacy Act requests for records maintained by DEA. In Fiscal Year 2005, SARO received 1642 requests and completed the processing of 1569 requests. SARO has a staff of twenty-four (currently including five vacancies) government employees to gather, compile, sanitize, and review DEA records pursuant to the FOIA. SARO coordinates with the Department of Justice regarding resolution of administrative appeals from requesters of DEA information. SARO works closely with the Office of Chief Counsel (CC) in responding to litigated FOIA/PA requests

B. AREAS SELECTED FOR REVIEW

DEA reviewed the following potential improvement areas:

-- Affirmative disclosure under subsection (a)(2)
-- Proactive disclosure of information
-- Automated tracking capabilities
-- Electronic FOIA
-- Multi-track processing
-- Backlog reduction/elimination
-- Customer relations/Communications
-- Systems of handling referrals/consultations
-- Troubleshooting of any existing problem
-- Politeness/courtesy

C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW

At the completion of a systematic review of items identified in Part B, above, DEA has determined that several areas are in need of improvement, and others which have been already been identified, will be implemented in the near future. In the area of politeness/courtesy, DEA implemented five new performance rating elements for all grade levels and job series for Calendar Year (CY) 2005. One of those elements dealt directly with the customer-service aspect, which specifically states "demonstrates understanding of and appreciation for customers needs; effectively partners with customers to identify issues and potential resolution; provides a range of recommended options; establishes effective feedback methods. Provides information, products, and/or assistance that is complete and correct; ensures that the customer understands the information provided or obtains service and/or product needs. Is professional when assisting others; deals with difficult or demanding customers politely." The FOI/Records Management Section, Operations Unit tailored this element to give it a greater importance in accordance to Executive Order 13,392 and these new criteria will become effective on July 1, 2006.

In the area of Web site improvement, DEA has been in the forefront of providing access to the public of its internal agency operations and best practices. This is shown through the specific areas which are posted on DEA's Web site, www.usdoj.gov/dea, i.e., financial information, employment opportunities, statistical information and enforcement operations. The need for improvement in this area would be the placement of additional information on the current FOIA Web site to include contracts, drug trends, ARCOS information, policy statements, and agency opinions.

In the area of troubleshooting of any problems with the existing tracking/review of FOIA request had been identified prior to Executive Order 13,392. In CY 2005, SARO reorganized existing personnel to form a new team within SARO. This team was named the Initial Review Team (IRT). Personnel allocated to this team consisted of one Supervisory FOIA Specialist, three FOIA Specialists, one FOIA Assistant and one clerical support staff. The IRT is responsible for reviewing initial FOIA/PA requests under a "Two-Tiered System." The Supervisory FOIA Specialist is the initial reviewer of incoming requests. This is considered the first-tier review. In the second tier, the Supervisory FOIA Specialist directs a group of researchers (FOIA Specialists) in conducting a follow-up review of FOIA/PA requests in addition to locating and retrieving responsive documents.

In the area of customer relations/communications, DEA acknowledges requests within twenty working days after receipt. However, it was determined that an additional letter was needed to provide a direct point of contact of an individual handling a request.

In the area of referrals/consultations, the review revealed there are many differences, with some conflicting, between various agency (including DEA) expectations, policies, and procedures when it comes to seeking or receiving referrals and consultations.

D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN

-- Affirmative disclosure under subsection (a)(2)
-- Proactive disclosure of information
-- Automated tracking capabilities
-- Electronic FOIA
-- Multi-track processing
-- Backlog reduction/elimination
-- Customer relations/Communications
-- Systems of handling referrals/consultations

E. IMPROVEMENT AREA PLANS

1. Affirmative disclosure under subsection (a)(2); Proactive disclosure of information

Goal: To improve customer satisfaction with accessible information without the necessity of the FOIA process. (These two areas were grouped together because the steps required to reach the goal follow the same path.) Target completion: 6-7-07.

Steps

• Identify scanning resources. To be completed by 7-30-06.

• Identify relevant or pertinent documents to post on the Web site which would include contracts, drug trends, ARCOS information, policy statements, and agency opinions on DEA's Web site. To be completed by 8-30-06.

• Agency approval of identified material. To be completed by 9-30-06.

• 25% of identified material scanned/posted on the Web. To be completed by 10-30-06.

• 50% of identified material scanned/posted on the Web. To be completed by 12-30-06.

• 75% of identified material scanned/posted on the Web. To be completed by 3-7-07.

• 100% of identified material scanned/posted on the Web. To be completed by 6-7-07.

2. Automated tracking capabilities; Electronic FOIA; Multi-track processing

Goal: To increase efficiency in tracking and redacting functions as well as the ability to receive/send requests electronically. (These two areas are grouped together because the steps required to reach the goal follow the same path.) Target completion: 3-31-08.

Steps

• Define and document requirements for the E-FOIA application to include a multi-track system for several predetermined requests, i.e., expedited treatment, "no records," third parties, and referrals/consultations. To be completed by 9-30-06.

• Tracking and data collection. At this juncture, the collection process will be completed manually and possibly with the assistance of DEA's current system. With this process, DEA will evaluate alternative Computer-off-the-Shelf (COTS) products versus the review of internal development/enhancements to DEA's current application and create an e-mail address and account for the receipt of FOIA/PA requests online. To be completed by 12-31-06.

• Analysis of data/feedback. Review data collected to rank alternative tools; seek price quotes and funding. To be completed by 3-31-07.

• Proceed with acquisition phase. To be completed by 6-30-07.

• Proceed with spiral development and testing. To be completed by 9-30-07, 12-31-07.

• Implement new system. To be completed by 3-30-08.

3. Backlog reduction/elimination

Goal: To reduce the existing backlog of pending FOIA requests by a proportional ratio of a percentage each year to include a quarterly reduction of 2% of existing pending cases more than twenty days old. This will be completed by periodically and consistently focusing on the existing backlog. Target completion: 12-31-06 (and continuing thereafter).

Steps

• Forward status letter to requesters who have requests that are over 100 days old. To be completed by 7-30-06.

• On a quarterly basis, SARO Unit Chief along with Team Leaders will review backlog together in order to determine the number of cases pending for more than twenty days. To be completed by 10-1-06, 1-1-07, 4-1-07, 7-1-07, 10-1-07, 1-1-08, 4-1-08, 7-1-08, 10-1-08, 1-1-09, 4-1-09, 7-1-09, 10-1-09.

• On a quarterly basis, SARO Unit Chief along with Team Leaders will review the workload of each analyst to determine whether cases need to be redistributed and to consider, together with the Section Chief, the possible reallocation of resources where needed. To be completed by 10-1-06, 1-1-07, 4-1-07, 7-1-07, 10-1-07, 1-1-08, 4-1-08, 7-1-08, 10-1-08, 1-1-09, 4-1-09, 7-1-09, 10-1-09.

4. Customer relations/Communications

Goal: To ensure that requesters have a direct point of contact (FOIA Specialist) with whom to discuss their FOIA requests. Target completion: 7-1-06.

Steps

• Implementation of a follow-up letter to original acknowledgment to contain a direct point of contact of individual handling that particular FOIA request. To be completed by 7-1-06.

Goal: To ensure that requesters have the capability to submit requests to DEA electronically. Target completion: 9-1-07.

Steps

• Coordinate with IT personnel for purchase of equipment/resources. To be completed by 7-01-07.

• Implementation of equipment and Internet capabilities. To be completed by 9-1-07.

5. System of handling referrals/consultations

Goal: To ensure that appropriate documents are forwarded to DEA for review/consultation purposes. Target completion: 9-30-06.

Steps

• Identifying agencies/components. To be completed by 7-30-06.

• Update/reinstate current memorandum of understandings between DEA and various components. To be completed by 9-30-06.

F. IMPROVEMENT TIME PERIODS

Areas anticipated to be completed by 12-31-06

-- Backlog reduction/elimination
-- Customer relations/Communications
-- System of handling referrals/consultations

Areas anticipated to be completed by 12-31-07

-- Affirmative disclosure under subsection (a)(2); Proactive disclosure of information

Areas anticipated to be completed after 12-31-07

-- Automated tracking capabilities; Electronic FOIA; Multi-track processing

ENVIRONMENT AND NATURAL RESOURCES DIVISION (ENRD)

A. NATURE OF ENRD'S FOIA OPERATIONS

All Freedom of Information Act requests submitted to the Environment and Natural Resource Division are processed by one of two FOIA paralegals in ENRD's Law and Policy Section (LPS). Both paralegals work in ENRD for two years, with the two-year terms staggered so that the pair includes a senior paralegal who has one year of experience and a rising junior paralegal. Each junior paralegal begins his or her tenure by attending both the Beginning and Advanced FOIA training sessions conducted by the Office of Information and Privacy. The junior paralegal also receives in-house guidance and training from the senior paralegal and the LPS FOIA reviewing attorneys, all of whom are well versed in FOIA law and the ENRD FOIA administrative procedures.

The ENRD FOIA paralegals devote a substantial amount of their time and resources to processing FOIA requests. Dealing effectively and efficiently with our FOIA requesters is a priority in ENRD. As of June 5, 2006, ENRD is operating with a backlog of forty-two requests. In response to each FOIA request, the paralegal sends out a personalized acknowledgment letter that includes his or her contact phone number. The paralegals are readily available to discuss FOIA requests with the requesters either by telephone or by e-mail (and both of these contact options are publicly available on the ENRD Web site). In practice, the paralegals speak with approximately 50-60% of the FOIA requesters about a wide variety of issues, including requests for clarification, fee issues, and processing status. When a FOIA matter is concluded, the ENRD response letter also contains LPS contact information that the requester can use to ask follow-up questions.

B. AREAS SELECTED FOR REVIEW

ENRD reviewed the following potential improvement areas:

-- Processing complex FOIA requests
-- Recordkeeping process
-- Backlog reduction
-- Personnel
-- Politeness/courtesy

C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW

In March 2006, the ENRD FOIA processors and FOIA managers met to discuss the Executive Order and to begin their review by brainstorming possible ENRD FOIA improvements. The two primary suggestions voiced by the Division's FOIA staff at the meeting are reflected in improvements one and two in the list below. Some of the FOIA managers wanted to make sure that all of the FOIA requests were properly routed to their sections before they began their reviews. The keepers of the case management system were interested in reminding attorneys and support staff how to correctly "bill" FOIA hours for the purposes of the annual FOIA report. The remaining three improvements were developed by the Law and Policy Section. The improvements and strategies are reflected below.

D. AREAS CHOSEN AS IMPROVEMENT AREAS FOR PLAN

-- Processing complex FOIA requests
-- Recordkeeping process
-- Backlog reduction
-- Personnel
-- Politeness/courtesy

E. IMPROVEMENT AREA PLANS

1. Processing complex FOIA requests

Goal: To initiate informal Executive Office and LPS reviewing attorney consultation prior to sending out complex FOIA requests to section contacts. This should cut down on processing time by ensuring proper routing of FOIA requests. Target completion: 7-31-06 (and continuing thereafter).

Steps

• The Executive Office can help LPS determine the sections that are best suited to respond to the FOIA request. The Executive Office has the ability to quickly run case management reports to identify the universe of potential cases or matters responsive to the request and to determine the ENRD attorney assigned to those cases. ENRD will continue this process, and examine its effectiveness with the new paralegal, when his or her tenure begins. To be completed by 7-31-06 (and continuing thereafter).

• For complex FOIA requests, the reviewing attorney in LPS can help to identify ways in which the request can be clarified or narrowed. ENRD will continue to use this review process and assess its effectiveness with new staff. To be completed by 7-31-06 (and continuing thereafter).

• As a result of this administrative change, the LPS FOIA paralegals will generally send out the section memorandum, rather than the LPS administrative assistant. To be completed by 7-31-06 (and continuing thereafter).

2. Recordkeeping process

Goal: To ensure that the ENRD's part of the Department's annual FOIA report is accurate by establishing a system by which attorneys are "billing" time they spend on FOIA matters directly to the cases that are the subject of the FOIA request, which in turn means that the true number of hours spent on FOIA matters is accurately recorded. Target completion: 7-31-06.

Steps

• LPS will draft and disseminate a memorandum to all ENRD members who deal with FOIA matters. To be completed by 7-31-06.

• LPS will draft a revised time sheet that will be included in all FOIA section e-mails. To be completed by 7-31-06.

• LPS will add a time sheet to the initial Section Response Memo so that FOIA processors from the very beginning of the FOIA process can log their FOIA time in accordance with ENRD time-reporting policies. This time sheet will include the FOIA "DJ number," definitions of search and review time, separate places to fill in search and review time logged, and a statement about how to "bill" time to the FOIA. To be completed by 7-31-06.

3. Backlog reduction

Goal: To reduce total FOIA processing by reducing the time a FOIA request is in LPS, thus enabling reduction of the ENRD FOIA backlog. This may occur: (1) between the time when LPS receives documents from the sections and when LPS considers the appropriate exemptions and redactions, (2) between the time the paralegal has reviewed the documents and the attorney reviewer looks at the documents, and (3) between the time the attorney has completed his or her review of documents and the time the LPS response is sent to the requester. Target completion: 7-31-06.

Steps

• Establish the procedure by which the paralegal can review the documents when they first come in, assess how long it will take to review them, and schedule blocks of time in the same or following week to review the documents. This will help the paralegals immediately identify any problems or questions and ask for clarification from the appropriate sections. ENRD will review and reaffirm this procedure when the new paralegal joins the staff. To be completed by 7-31-06.

• Establish the procedure by which the paralegal can set up an appointment with the reviewing attorney. To be completed by 7-31-06.

• Establish the procedure by which paralegals and the Section Chief can meet more often to assess the status of all pending FOIAs and the paralegals can keep the Chief apprised of all pending FOIA requests. To be completed by 7-31-06.

Goal: To reduce ENRD's backlog by 10% each year by meeting on a quarterly basis to evaluate the backlog. Target completion: 8-15-06 (and continuing thereafter).

Steps

• On a quarterly basis, LPS FOIA paralegals will review backlog to determine the number of cases pending for more than the twenty days provided by statute. To be completed by 8-15-06, 10-15-06, 1-15-07, 4-15-07, 7-15-07 (and quarterly thereafter).

• On a quarterly basis, LPS FOIA paralegals will present the backlog to the LPS Chief to discuss further means of backlog reduction (e.g., reallocation of time or resources, setting of new goals). To be completed by 8-15-06, 10-15-06, 1-15-07, 4-15-07, 7-15-07 (and quarterly thereafter).

4. Personnel

Goal: Convene all ENRD FOIA staff (including all section FOIA processors and FOIA managers) on an annual basis (or more often, when necessary), in order to relay any new FOIA procedures or guidance to all FOIA staff and to brainstorm about improvements that can be made to the ENRD FOIA process. Target completion: 7-31-07 (and continuing thereafter).

Steps

• Hold annual meeting each January. To be completed by 1-15-07, 1-15-08, 1-15-09.

• Arrange an overlap between the tenure of the departing senior paralegal to ensure that the new staff member can learn from the departing paralegal's experience and expertise. To be completed by 7-31-07, 7-31-08 (and continuing thereafter).

5. Politeness/courtesy

Goal: Ensure that all new LPS paralegals recognize the importance of ENRD's customary practice of dealing courteously and appropriately with our requesters throughout the FOIA response process. Target completion: 7-31-06.

Steps

• Incorporate the Executive Order into LPS new paralegal training in order to emphasize the importance of courtesy when communicating with requesters and backlog reduction through the ENRD FOIA process. To be completed by 7-31-06.

F. IMPROVEMENT TIME PERIODS

Areas anticipated to be completed by 12-31-06

-- Processing complex FOIA requests
-- Recordkeeping process
-- Backlog reduction
-- Politeness/courtesy

Areas anticipated to be completed by 12-31-07

-- Personnel

Areas anticipated to be completed after 12-31-07

None

EXECUTIVE OFFICE FOR IMMIGRATION REVIEW (EOIR)

The Executive Office for Immigration Review has a centralized FOIA Requester Service Center, which is housed in the Office of the General Counsel (OGC). Two Senior Associate General counsels provide legal and technical support to the Service Center. The Center handles requests from the three components of EOIR located at headquarters: The Board of Immigration Appeals (BIA); the Office of the Chief Immigration Judge (OCIJ); and the Office of the Chief Administrative Hearing Officer, and from the fifty-three Immigration Courts located throughout the United States. The primary request for records is in the nature of first-party requests of parties who have appeared before the Immigration Courts.

During the last five years the number of requests has doubled. (In Fiscal Year 2001 the Center received 4993 requests and processed 4988 requests. In contrast, in Fiscal Year 2005 the Center received 10,160 and processed 9870 requests.) A direct result of the increase has been the emergence of a backlog. (In 2001, EOIR had twenty-five pending cases, while in 2005 that number had risen to 1731.)

Currently the Center is staffed with four FOIA Specialists (three full-time and one part-time), an administrative assistant, four contractors, one detailee, and a student. This staffing figure has increased but remains substantially lower than other components with similar numbers of requests.

Prior to the creation of the Department of Homeland Security (DHS), the former Immigration and Naturalization Service (INS) was housed in the Department of Justice. During that time, EOIR and INS had a joint-use form (G-639, Freedom of Information Act/Privacy Act Request) for FOIA requests. We also worked cooperatively with INS to ensure that misdirected requests would be expeditiously processed by the appropriate component. With the creation of DHS, EOIR has worked to clarify which requests are properly filed with us and which must be referred to DHS. This is not always an easy task, as court proceedings and documents filed in court are often in the records of both EOIR and DHS. As a major objective in FY 2006, EOIR has reminded others that it is not part of DHS. We have discouraged the use of the G-639 form and have met with members of the nongovernmental organization community to facilitate communication to stakeholders.

EOIR has also been reviewing staffing levels in relation to workload. We are evaluating methods to obtain greater efficiency in the overall FOIA process.

B. AREAS SELECTED FOR REVIEW

EOIR reviewed the following potential improvement areas:

-- Electronic improvements
-- Staffing
-- Training
-- Maintenance and recovery of files from field offices
-- Accountability measures
-- Communications with requesters
-- Web site improvements
-- Backlog reduction
-- Customer satisfaction

C. NARRATIVE STATEMENT SUMMARIZING RESULTS OF REVIEW

In accordance with the Executive Order, EOIR engaged in a thorough review of its FOIA processes. We evaluated our Strategic Plan and the operations of our FOIA Requester Service Center. We looked at electronic improvements, but did not include them in our plan because competing priorities make it unlikely that significant changes can be made within the existing Executive Order time-frame. We looked at staffing in our FOIA Requester Service Center and a FOIA Public Liaison officer was named and front-line telephone officers were assigned. In addition, we reviewed the need for internal and external training, the maintenance of files and recovery of the files from field offices, and accountability measures that could be introduced through electronic tracking and field reviews. We also looked at our existing FOIA letters, and presence on the Intranet and Internet, to find ways to be more effective in our communication. As a result of the review, and consistent with our strategic plan, we have grouped our responses into three areas: (1) customer satisfaction; (2) efficiency and reduce backlogs; and (3) public access to recurring information. A plan of action was created and the targets which we will be working toward are described in the enclosed document.

EOIR initiated its review by analyzing the number of receipts for a five-year time period to ascertain why our backlog had grown from fifty cases to over 1700. We realized that the numbers of requests was increasing at a faster rate than the number of personnel processing those requests, which had remained relatively constant. In addition, we looked at the Strategic Plan for the component which incorporates the following goals for the FOIA.

• Process all FOIA requests with an emphasis on customer service to the requester and teamwork with other agencies' FOIA components. (Improve customer satisfaction.)

• Comply with statutory requirements and goals for timeliness and responsiveness, including a zero backlog of pending FOIA requests at the end of each fiscal year. (Increase efficiency and reduce backlogs.)

• Review FOIA requests for frequent inquiries. If certain types of requests recur frequently, EOIR can investigate ways to make such information available to the public, within federal privacy guidelines. (Monitor and expand public access to recurring information.)

Balancing the long- and short-term goals of the agency with the existing resources EOIR has committed to improve customer satisfaction by training the FOIA public liaison officer and intake personnel; creating tracking mechanisms to capture public comments; and reviewing and revising acknowledgment letters. In addition, EOIR will increase efficiency and reduce backlogs by reviewing internal tracking systems; evaluating current staffi

U.S. DEPARTMENT OF JUSTICE FREEDOM OF INFORMATION ACT IMPROVEMENT PLAN UNDER EXECUTIVE ORDER 13,392 JUNE 14, 2006

INTRODUCTION

OFFICE OF INFORMATION AND PRIVACY (OIP)

ANTITRUST DIVISION

BUREAU OF ALCOHOL, TOBACCO, FIREARMS & EXPLOSIVES (ATF)

CIVIL DIVISION

CIVIL RIGHTS DIVISION (CRT)

COMMUNITY RELATIONS SERVICE (CRS)

CRIMINAL DIVISION

DRUG ENFORCEMENT ADMINISTRATION (DEA)

ENVIRONMENT AND NATURAL RESOURCES DIVISION (ENRD)

EXECUTIVE OFFICE FOR IMMIGRATION REVIEW (EOIR)

U.S. DEPARTMENT OF JUSTICE
FREEDOM OF INFORMATION ACT IMPROVEMENT PLAN
UNDER EXECUTIVE ORDER 13,392
JUNE 14, 2006