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Guidelines for 2015 Chief FOIA Officer Reports

Guidelines for 2015 Chief FOIA Officer Reports

President Obama’s FOIA Memorandum and Attorney General Holder’s FOIA Guidelines

On his first full day in office, President Obama demonstrated his commitment to the ideals of transparency and openness by issuing a Memorandum to the heads of all Executive Branch Departments and agencies stressing the important role that the FOIA plays in our democracy.  In accordance with the President’s memorandum, on March 19, 2009, Attorney General Holder issued new FOIA guidelines which called on all agencies to reaffirm the government’s “commitment to accountability and transparency.”  Among other things, the Attorney General strongly encouraged agencies to make discretionary disclosures of information and he stressed the importance of proactive disclosures and timely responses to FOIA requests.  Agencies were instructed to greater utilize technology and to take steps to ensure that they have an effective system for responding to requests.  Significantly, in his FOIA Guidelines the Attorney General emphasized that "[e]ach agency must be fully accountable for its administration of the FOIA."

Agency Accountability

The Attorney General has highlighted the key role played by each agency’s Chief FOIA Officer and emphasized that “[i]mproving FOIA performance requires the[ir] active participation.” Accordingly, the Attorney General directed agency Chief FOIA Officers to review "all aspects of their agencies' FOIA administration" and to report each year to the Department of Justice on the steps taken "to improve FOIA operations and facilitate information disclosure."

Since its introduction in 2010, agencies have highlighted in their Chief FOIA Officer Reports  a wide range of initiatives, big and small, that have been undertaken to improve transparency in keeping with the Attorney General’s FOIA Guidelines.  Since 2011, OIP has prepared a comprehensive annual assessment of agency compliance with the Attorney General’s FOIA Guidelines, which combines pertinent details outlined by agencies in their Chief FOIA Officer Reports  with data from their Annual FOIA Reports.  These assessments are accompanied by a summary of agency Chief FOIA Officer Reports, which describe the various initiatives undertaken by agencies.  Additionally, each year OIP compiles and posts a collection of success stories from the Chief FOIA Officer Reports of key agencies.  OIP will once again prepare and release an assessment after the submission of the 2015 Chief FOIA Officer Reports.

In addition to the summary and assessment, based on its review of agency Chief FOIA Officer Reports, OIP issues guidance each year on steps that can be taken by agencies to achieve greater transparency in the years ahead.  Over the last five years, these guidance articles have addressed the importance of:

  • utilizing advanced technology to process requests,
  • focusing on quality FOIA training,
  • closing the ten oldest pending requests and appeals pending at each agency every year,
  • utilizing multitrack processing,
  • improving processing times for simple track requests,
  • converting agency FOIA professionals to the Government Information Specialist job series, and
  • adding distinct steps to agency FOIA processes to more readily identify discretionary releases and proactive disclosures.

Topics to be Addressed and Format of 2015 Chief FOIA Officer Reports

In accordance with the Attorney General’s FOIA Guidelines, OIP is charged with the responsibility of providing guidance to agencies on the timing and content of agency Chief FOIA Officer Reports to the Attorney General.  The guidelines for the 2015 reports are set out below.  As was done the last five years, agencies should address the five key areas discussed below in their 2015 Chief FOIA Officer Reports, specifically: 1) the steps taken to apply the presumption of openness; 2) the steps taken to ensure that the agency has an efficient and effective system in place for responding to requests; 3) the steps taken to increase proactive disclosures; 4) the steps taken to improve use of technology; and 5) the steps taken to reduce any backlogs of pending FOIA requests and to improve timeliness in responding to requests.

While the overall topics to be addressed in the reports remain the same, for 2015 OIP has once again modified and updated the questions that are asked.  As agencies continue to make improvements in their FOIA operations it is important that the Chief FOIA Officer Reports reflect the more advanced steps agencies are taking to apply the Attorney General's FOIA Guidelines.  At the same time, it is also important that the Chief FOIA Officer Reports address those areas where agencies need to improve.  In the course of planning for these guidelines OIP met with representatives of civil society and has taken their input into account.

Simplified Reporting Standards for Small-Volume Agencies

For 2015, OIP is making a significant change from prior years' Chief FOIA Officer Reports by creating separate reporting requirements for agencies that receive a lower volume of FOIA requests.  By providing these agencies with separate reporting requirements, OIP can more easily address the different circumstances and challenges faced by those agencies with smaller-volume FOIA workloads, while continuing to focus in depth on those agencies which receive a higher volume of FOIA requests, i.e., more than 1,000 a year.  For those high-volume agencies, the reporting guidelines are more comprehensive. 

Accordingly, in order to better account for the differences in FOIA administration across the government, the reporting guidelines below provide two sets of questions. The first set, which appear on the left side of the charts below are designed for those twenty-nine agencies that received more than 1,000 requests during Fiscal Year 2013.  Those twenty-nine agencies, which are listed below, must complete all of these questions to satisfy the requirements for their 2015 Chief FOIA Officer Reports.

Department of Agriculture Central Intelligence Agency
Department of Commerce Environmental Protection Agency
Department of Defense Equal Employment Opportunity Commission
Department of Education Federal Trade Commission
Department of Energy General Services Administration
Department of Health and Human Services National Archives and Records Administration
Department of Homeland Security National Labor Relations Board
Department of Housing and Urban Development Office of Personnel Management
Department of Justice Pension Benefit Guaranty Corporation
Department of Labor Securities and Exchange Commission
Department of the State Small Business Administration
Department of the Interior Social Security Administration
Department of the Treasury U.S. Consumer Product Safety Commission
Department of Transportation U.S. Postal Service
Department of Veterans Affairs  

 

The remaining seventy-one agencies that received less than 1,000 requests during Fiscal Year 2013 are required to respond to the second set of questions that are presented on the right side of the charts below.  These smaller volume agencies may, if they choose, opt to answer any of the questions required of the larger agencies.  However, at minimum, they are required to answer the questions presented in the right side of the charts below. 

As in previous years, the 2015 Chief FOIA Officer Reports should provide an overall picture of each agency’s activities undertaken pursuant to Attorney General Holder’s FOIA Guidelines.  Thus, even for those agencies that process requests on a decentralized basis, by component, the Chief FOIA Officer Report should not be broken down by component.  Instead, it should be organized by the five key topical areas.  Then, within the discussion of each key area, data and examples from the agency’s various components can be provided.  That approach makes it easier to get a picture of how the agency as a whole is addressing all the aspects of the Attorney General’s FOIA Guidelines.

The Guidelines below are set up so that they can serve as a template for agencies to follow in preparing their 2015 Chief FOIA Officer Reports.  For some areas, depending on the agency’s answer, there might be a need to provide a plan for future action to address an area in need of improvement.

Deadlines for Submitting 2015 Chief FOIA Officer Reports

The twenty-nine high-volume agencies noted above must submit their 2015 Chief FOIA Officer Reports to OIP for review no later than January 16, 2015.

All other agencies must submit their 2015 Chief FOIA Officer Reports to OIP for review no later than February 6, 2015.

The drafts should be submitted by email to DOJ.OIP.FOIA@usdoj.gov.  Please use the following text for the subject line of the email: Draft [insert agency name] Chief FOIA Officer Report.

After the reports are reviewed and cleared by OIP, they should be posted on each agency’s website. OIP, in turn, will make all the Chief FOIA Officer Reports available to the public on the Department of Justice’s website.  For 2015, agency Chief FOIA Officer Reports should be posted in final form by no later than March 16, 2015.

If you have any questions regarding your 2015 Chief FOIA Officer Report, you can contact OIP’s FOIA Compliance Team at 202-514-3642, or by using the e-mail noted above.

Time Frame for Report

Unless otherwise noted, agency 2015 Chief FOIA Officer Report should address agency activities that have occurred since the filing of last year’s Report, which was March 17, 2014, up until the filing of the 2015 Report (March 15, 2015). Thus, the general reporting period for the Chief FOIA Officer Reports is March 2014 to March 2015.

Content of 2015 Chief FOIA Officer Reports

Name and Title of your Agency's Chief FOIA Officer:

Section I: Steps Taken to Apply the Presumption of Openness

The guiding principle underlying the President's FOIA Memorandum and the Attorney General's FOIA Guidelines is the presumption of openness.

Please answer the following questions in order to describe the steps your agency has taken to ensure that the presumption of openness is being applied to all decisions involving the FOIA.  You may also include any additional information that illustrates how your agency is working to apply the presumption of openness.

FOIA Training:

Agencies Receiving More Than 1,000 Requests

All Other Agencies

1. Did your agency conduct FOIA training during the reporting period for FOIA professionals?

  • Training can include holding an agency-wide FOIA conference, holding a seminar on a particular FOIA topic, or provided training to FOIA or agency staff during a staff meeting, among other types of training. However, the training provided should be substantive and should cover the application of the law and policy. 

2. If yes, please provide a brief description of the type of training conducted and the topics covered.

3. Did your FOIA professionals attend any FOIA training or conference during the reporting period such as that provided by the Department of Justice?

  • Such training or events can include offerings from OIP, your own agency or another agency or organization.

4. Provide an estimate of the percentage of your FOIA professionals and staff with FOIA responsibilities who attended substantive FOIA training during this reporting period.

5. In the 2014 Chief FOIA Officer Report Guidelines, OIP asked agencies to provide a plan for ensuring that core, substantive FOIA training is offered to all agency FOIA professionals at least once each year.  Please provide the status of your agency’s implementation of this plan.

  • Include any successes or challenges your agency has seen in implementing your plan.

 

1. Did your FOIA professionals or the personnel at your agency who have FOIA responsibilities attend any FOIA training or conference during the reporting period such as that provided by the Department of Justice?

  • Such training or events can include offerings from OIP, your own agency or another agency or organization.

2. Provide an estimate of the percentage of your FOIA professionals and staff with FOIA responsibilities who attended substantive FOIA training during this reporting period.

3. In the 2014 Chief FOIA Officer Report Guidelines, OIP asked agencies to provide a plan for ensuring that core, substantive FOIA training is offered to all agency FOIA professionals at least once each year.  Please provide the status of your agency’s implementation of this plan.

  • Include any successes or challenges your agency has seen in implementing your plan.

 

 

Outreach:

Agencies Receiving More Than 1,000 Requests

All Other Agencies

6. Did your FOIA professionals engage in any outreach or dialogue with the requester community or open government groups regarding your administration of the FOIA?

  • This question addresses outreach that is conducted outside of the individual request or appeal process.  For example, outreach activities can include engaging with frequent requesters by holding meetings or events which include them, conducting surveys or otherwise soliciting requester feedback, or participating in any other requester initiative coordinated by your agency or by others, such as OIP.

7. If you did not conduct any outreach during the reporting period, please describe why?

 

Not required, but agencies may answer the questions for this section if they have information they would like to include

 

Discretionary Releases:

Agencies Receiving More Than 1,000 Requests

All Other Agencies

8. Does your agency have a distinct process or system in place to review records for discretionary release?

  • If so, please briefly describe this process.
  • If your agency is decentralized, please specify whether all components of your agency have such a process or system in place?

9. During the reporting period, did your agency make any discretionary releases of information?

10. What exemption(s) would have covered the material released as a matter of discretion?  For a discussion of the exemptions that allow for discretionary releases, please see OIP’s guidance on implementing the President’s and Attorney General’s FOIA Memoranda.

11. Provide a narrative description, as well as some specific examples, of the types of information that your agency released as a matter of discretion during the reporting year.  

12. If your agency was not able to make any discretionary releases of information, please explain why.

4. Does your agency have a distinct process or system in place to review records for discretionary release?

  • If so, please briefly describe this process.
  • If your agency is decentralized, please specify whether all components of your agency have such a process or system in place?

5. During the reporting period, did your agency make any discretionary releases of information?

6. What exemption(s) would have covered the material released as a matter of discretion?  For a discussion of the exemptions that allow for discretionary releases, please see OIP’s guidance on implementing the President’s and Attorney General’s FOIA Memoranda. 

7. Provide a narrative description, as well as some specific examples, of the types of information that your agency released as a matter of discretion during the reporting year.   

8. If your agency was not able to make any discretionary releases of information, please explain why.

 

Other Initiatives:

Agencies Receiving More Than 1,000 Requests

All Other Agencies

13. Describe any efforts your agency has undertaken to inform non-FOIA professionals of their obligations under the FOIA?

  • Efforts can include training for non-FOIA professionals, distributing memoranda on the FOIA, announcements on FOIA matters, etc.

14. If there are any other initiatives undertaken by your agency to ensure that the presumption of openness is being applied, please describe them here.

  • If any of these initiatives are online, please provide links in your description.

9. If there are any other initiatives undertaken by your agency to ensure that the presumption of openness is being applied, please describe them here.

  • If any of these initiatives are online, please provide links in your description.

 

Section II: Steps Taken to Ensure that Your Agency Has an Effective System in Place for Responding to Requests

As the Attorney General emphasized in his FOIA Guidelines, "[a]pplication of the proper disclosure standard is only one part of ensuring transparency. Open government requires not just a presumption of disclosure, but also an effective system for responding to FOIA requests."  It is essential that agencies effectively manage their FOIA program.

Please answer the following questions to describe the steps your agency has taken to ensure that your management of your FOIA program is effective and efficient.  You should also include any additional information that that describes your agency's efforts in this area.

Personnel:

Agencies Receiving More Than 1,000 Requests

All Other Agencies

1. In the 2014 Chief FOIA Officer Report Guidelines, OIP asked agencies about the status of converting all eligible FOIA professionals to the new Government Information Series.  If your agency reported that its staff was eligible for conversion but had not yet converted all professionals to the new series, what is the current proportion of personnel that have been converted? 

2. If your agency has not converted all of its eligible employees yet, what is your plan to ensure that all FOIA professionals’ position descriptions are converted?

Not required, but agencies may answer the questions for this section if they have information they would like to include

 

Processing Procedures:

Agencies Receiving More Than 1,000 Requests

All Other Agencies

3. For Fiscal Year 2014, what was the average number of days your agency reported for adjudicating requests for expedited processing?  Please see Section VIII.A. of your agency's Fiscal Year 2014 Annual FOIA Report.

  • Please note here if your agency did not adjudicate any requests for expedited processing during Fiscal Year 2014.

4. If your agency's average number of days to adjudicate requests for expedited processing was above ten calendar days, please describe the steps your agency will take to ensure that requests for expedited processing are adjudicated within ten calendar days or less.

5. If your agency has a decentralized FOIA process, has your agency taken steps to make the routing of misdirected requests within your agency more efficient? If so, please describe those steps.

6. If your agency is already handling the routing of misdirected requests in an efficient manner, please note that here and describe your process for these requests.

1. For Fiscal Year 2014, what was the average number of days your agency reported for adjudicating requests for expedited processing?  Please see Section VIII.A. of your agency's Fiscal Year 2014 Annual FOIA Report.

  • Please note here if your agency did not adjudicate any requests for expedited processing during Fiscal Year 2014.

2. If your agency's average number of days to adjudicate requests for expedited processing was above ten calendar days, please describe the steps your agency will take to ensure that requests for expedited processing are adjudicated within ten calendar days or less.

 

 

Requester Services:

Agencies Receiving More Than 1,000 Requests

All Other Agencies

7. Does your agency notify requesters of the mediation services offered by the Office of Government Information Services (OGIS) at the National Archives and Records Administration?  See OIP Guidance, “Notifying Requesters of the Mediation Services Offered by OGIS." (July 9, 2010)  

8. When assessing fees, does your agency provide a breakdown of how FOIA fees were calculated and assessed to the FOIA requester?  For example, does your agency explain the amount of fees attributable to search, review, and duplication?   See OIP Guidance, “The Importance of Good Communication with FOIA Requesters 2.0:  Improving Both the Means and the Content of Requester Communications.” (Nov. 22, 2013)   

9. If estimated fees estimates are particularly high, does your agency provide an explanation for the estimate to the requester?  See id.

3. Does your agency notify requesters of the mediation services offered by the Office of Government Information Services (OGIS) at the National Archives and Records Administration?  See OIP Guidance, “Notifying Requesters of the Mediation Services Offered by OGIS." (July 9, 2010)  

4. When assessing fees, does your agency provide a breakdown of how FOIA fees were calculated and assessed to the FOIA requester?  For example, does your agency explain the amount of fees attributable to search, review, and duplication?  See OIP Guidance, “The Importance of Good Communication with FOIA Requesters 2.0:  Improving Both the Means and the Content of Requester Communications.” (Nov. 22, 2013)

5. If estimated fees estimates are particularly high, does your agency provide an explanation for the estimate to the requester?  See id.

 

Other Initiatives:

Agencies Receiving More Than 1,000 Requests

All Other Agencies

10. If there are any other steps your agency has undertaken to ensure that your FOIA system operates efficiently and effectively, such as conducting self-assessments to find greater efficiencies, improving search processes, eliminating redundancy, etc., please describe them here.

6. If there are any other steps your agency has undertaken to ensure that your FOIA system operates efficiently and effectively, such as conducting self-assessments to find greater efficiencies, improving search processes, eliminating redundancy, etc., please describe them here.

 

Section III: Steps Taken to Increase Proactive Disclosures

Both the President and Attorney General focused on the need for agencies to work proactively to post information online without waiting for individual requests to be received.

Please answer the following questions to describe the steps your agency has taken to increase the amount of material that is available on your agency websites.  In addition to the questions below, you should also describe any additional steps taken by your agency to make and improve proactive disclosures of information.

Posting Material:

Agencies Receiving More Than 1,000 Requests

All Other Agencies

1. Does your agency have a distinct process or system in place to identify records for proactive disclosure? If so, please describe your agency’s process or system.

2. Does your process or system involve any collaboration with agency staff outside the FOIA office?  If so, describe this interaction.

3. Describe your agency’s process or system for identifying “frequently requested” records that should be posted online.

4. Provide examples of material that your agency has proactively disclosed during the past reporting year, including links to the posted material.

1. Does your agency have a distinct process or system in place to identify records for proactive disclosure? If so, please describe your agency’s process or system.

2. Does your process or system involve any collaboration with agency staff outside the FOIA office? If so, describe this interaction.

3. Describe your agency’s process or system for identifying “frequently requested” records that should be posted online.

4. Provide examples of material that your agency has proactively disclosed during the past reporting year, including links to the posted material.

 

Other Initiatives:

Agencies Receiving More Than 1,000 Requests

All Other Agencies

5. If there are any other steps your agency has taken to increase proactive disclosures, please describe them here.

5. If there are any other steps your agency has taken to increase proactive disclosures, please describe them here.

 

Section IV: Steps Taken to Greater Utilize Technology

A key component of the President's FOIA Memorandum was the direction to "use modern technology to inform citizens about what is known and done by their Government."  In addition to using the internet to make proactive disclosures, agencies should also be exploring ways to utilize technology in responding to requests. 

Please answer the following questions to describe how your agency is utilizing technology to improve its FOIA administration and the public's access to information.  You should also include any additional information that that describes your agency's efforts in this area.

Online Tracking of FOIA Requests and Appeals:

Agencies Receiving More Than 1,000 Requests

All Other Agencies

1. Can a member of the public track the status of his or her request or appeal electronically?

2. If yes, how is this tracking feature provided to the public? For example, is it being done through the regular posting of status logs, an online portal, or through another medium?

3. If your agency does provide online tracking, please describe the information that is provided to the requester through this feature.  For example, some online tracking features may tell the requester whether the request is "open" or "closed," while others will provide further details throughout the course of the processing, such as "search commenced" or "documents currently in review."

4. If your agency does provide online tracking for requesters, does this feature also provide an estimated date of completion?

5. If your agency does not provide online tracking of requests or appeals, is your agency taking steps to establish this capability?  If not, please explain why?

Not required, but agencies may answer the questions for this section if they have information they would like to include

 

Making Material Posted Online More Useful:

Agencies Receiving More Than 1,000 Requests

All Other Agencies

6. Beyond posting new material, is your agency taking steps to make the posted information more useful to the public, especially to the community of individuals who regularly access your agency’s website?

  • Steps can include soliciting feedback on the content and presentation of posted material, improving search capabilities on your agency website, posting material in open formats, making information available through mobile applications, providing explanatory material, etc.

7. If yes, please provide examples of such improvements.

  • If your agency is already posting material in its most useful format, please describe these efforts.

8. Have your agency’s FOIA professionals interacted with other agency staff (such as technology specialists or public affairs or communications professionals) in order to identify if there are any new ways to post agency information online?

9. Did your agency use any means to publicize or highlight important proactive disclosures for public awareness? If yes, please describe those efforts. 

  • For example, this can be done through social media or with the offering of e-mail subscription services.

10. Has your agency encountered challenges that make it difficult to post records you otherwise would like to post?

11. If so, please briefly explain what those challenges are.

1. Beyond posting new material, is your agency taking steps to make the posted information more useful to the public, especially to the community of individuals who regularly access your agency’s website?

  • Steps can include soliciting feedback on the content and presentation of posted material, improving search capabilities on your agency website, posting material in open formats, making information available through mobile applications, providing explanatory material, etc.

2. If yes, please provide examples of such improvements.

  • If your agency is already posting material in its most useful format, please describe these efforts.

3. Has your agency encountered challenges that make it difficult to post records you otherwise would like to post?

4. If so, please briefly explain what those challenges are. 

 

Use of Technology to Facilitate Processing of Requests:

Agencies Receiving More Than 1,000 Requests

All Other Agencies

12. Beyond using technology to redact documents, is your agency taking steps to utilize more advanced technology to facilitate overall FOIA efficiency, such as improving record search capabilities, utilizing document sharing platforms for consultations and referrals, or employing software that can sort and de-duplicate documents?  If yes, describe the technological improvements being made.

13. Are there additional tools that could be utilized by your agency to create further efficiencies?

Not required, but agencies may answer the questions for this section if they have information they would like to include

 

Other Initiatives:

Agencies Receiving More Than 1,000 Requests

All Other Agencies

14. Did your agency successfully post all four quarterly reports for Fiscal Year 2014?

  • Please see OIP’s guidance for posting of quarterly reports to ensure that your agency is following all required steps (including using the correct file type and URL structure) so that your quarterly reports are properly appearing on FOIA.gov.  (If your reports are posted to your website, but not appearing of FOIA.gov, please contact OIP in order to resolve the issue.)

15. If your agency did not successfully post all quarterly reports, with information appearing on FOIA.gov, please explain why and provide your agency’s plan for ensuring that such reporting is successful in Fiscal Year 2015.

16. Do your agency's FOIA professionals use e-mail or other electronic means to communicate with requesters whenever feasible?  See OIP Guidance, “The Importance of Good Communication with FOIA Requesters 2.0:  Improving Both the Means and the Content of Requester Communications.” (Nov. 22, 2013)   If yes, what are the different types of electronic means are utilized by your agency to communicate with requesters? 

17. If your agency does not communicate electronically with requesters as a default, are there any limitations or restrictions for the use of such means? If yes, does your agency inform requesters about such limitations?  See id.

5. Did your agency successfully post all four quarterly reports for Fiscal Year 2014?

  • Please see OIP’s guidance for posting of quarterly reports to ensure that your agency is following all required steps (including using the correct file type and URL structure) so that your quarterly reports are properly appearing on FOIA.gov.  (If your reports are posted to your website but not appearing of FOIA.gov, please contact OIP in order to resolve the issue.)

6. If your agency did not successfully post all quarterly reports, with information appearing on FOIA.gov, please explain why and provide your agency’s plan for ensuring that such reporting is successful in Fiscal Year 2015.

7. Do your agency's FOIA professionals use e-mail or other electronic means to communicate with requesters whenever feasible?  See OIP Guidance, “The Importance of Good Communication with FOIA Requesters 2.0:  Improving Both the Means and the Content of Requester Communications.” (Nov. 22, 2013)   If yes, what are the different types of electronic means are utilized by your agency to communicate with requesters? 

8. If your agency does not communicate electronically with requesters as a default, are there any limitations or restrictions for the use of such means? If yes, does your agency inform requesters about such limitations?  See id.

 

 

Section V: Steps Taken to Improve Timeliness in Responding to Requests and Reducing Backlogs

The President and the Attorney General have emphasized the importance of improving timeliness in responding to requests.  This section your Chief FOIA Officer Report addresses both time limits and backlog reduction.  Backlog reduction is measured both in terms of numbers of backlogged requests or appeals and by looking at whether agencies closed their ten oldest requests, appeals, and consultations. For the figures required in this Section, please use the numbers contained in the specified sections of your agency’s 2014 Annual FOIA Report and, when applicable, your agency’s 2013 Annual FOIA Report.

Simple Track:  Section VII.A of your agency’s Annual FOIA Report, entitled “FOIA Requests – Response Time for All Processed Requests,” includes figures that show your agency's average response times for processed requests. For agencies utilizing a multi-track system to process requests, there is a category for “simple” requests, which are those requests that are placed in the agency’s fastest (non-expedited) track, based on the low volume and/or simplicity of the records requested.

Agencies Receiving More Than 1,000 Requests

All Other Agencies

1. Does your agency utilize a separate track for simple requests?

2. If so, for your agency overall in Fiscal Year 2014, was the average number of days to process simple requests twenty working days or fewer?

3. Please provide the percentage of requests processed by your agency in Fiscal Year 2014 that were placed in your simple track.

4. If your agency does not track simple requests separately, was the average number of days to process all non-expedited requests twenty working days or fewer?

1. Does your agency utilize a separate track for simple requests?

2. If so, for your agency overall in Fiscal Year 2014, was the average number of days to process simple requests twenty working days or fewer?

3. Please provide the percentage of requests processed by your agency in Fiscal Year 2014 that were placed in your simple track.

4. If your agency does not track simple requests separately, was the average number of days to process all non-expedited requests twenty working days or fewer?

 

Backlogs:  Section XII.A of your agency’s Annual FOIA Report, entitled “Backlogs of FOIA Requests and Administrative Appeals” shows the numbers of any backlogged requests or appeals from the fiscal year.  You should refer to these numbers from your Annual FOIA Reports for both Fiscal Year 2013 and Fiscal Year 2014 when completing this section of your Chief FOIA Officer Report.

Agencies Receiving More Than 1,000 Requests

All Other Agencies

BACKLOGGED REQUESTS

5. If your agency had a backlog of requests at the close of Fiscal Year 2014, did that backlog decrease as compared with the backlog reported at the end of Fiscal Year 2013?

  • If not, explain why and describe the causes that contributed to your agency not being able reduce its backlog.  When doing so, please also indicate if any of the following were contributing factors:
    • An increase in the number of incoming requests
    • A loss of staff
    • An increase in the complexity of the requests received

6. If you had a request backlog please report the percentage of requests that make up the backlog out of the total number of requests received by your agency in Fiscal Year 2014.

  • To calculate your agency’s percentage, you must divide the number of backlogged requests reported in Section XII.A. of your Fiscal Year 2014 Annual FOIA Report by the number of requests received in Fiscal Year 2014, which can be found in Section V.A. of your Annual FOIA Report.  Once divided, you can multiply that number by 100 to get the percentage.

BACKLOGGED APPEALS

7. If your agency had a backlog of appeals at the close of Fiscal Year 2014, did that backlog decrease as compared with the backlog reported at the end of Fiscal Year 2013?

  • If not, explain why and describe the causes that contributed to your agency not being able reduce backlog.  When doing so, please also indicate if any of the following were contributing factors:
    • An increase in the number of incoming appeal
    • A loss of staff
    • An increase in the complexity of the appeals received

8. If you had an appeal backlog please report the percentage of appeals that make up the backlog out of the total number of appeals received by your agency in Fiscal Year 2014. If your agency did not receive any appeals in Fiscal Year 2014 and/or has no appeal backlog, please answer with "N/A."

  • To calculate your agency’s percentage, you must divide the number of backlogged appeals reported in Section XII.A. of your Fiscal Year 2014 Annual FOIA Report by the number of appeals received in Fiscal Year 2014, which can be found in Section V.A. of your Annual FOIA Report.  Once divided, you can multiply that number by 100 to get the percentage.

 

BACKLOGGED REQUESTS

5. If your agency had a backlog of requests at the close of Fiscal Year 2014, did that backlog decrease as compared with the backlog reported at the end of Fiscal Year 2013?

  • If not, explain why and describe the causes that contributed to your agency not being able reduce its backlog.  When doing so, please also indicate if any of the following were contributing factors:
    • An increase in the number of incoming requests
    • A loss of staff
    • An increase in the complexity of the requests received

6. If you had a request backlog please report the percentage of requests that make up the backlog out of the total number of requests received by your agency in Fiscal Year 2014. If your agency did not receive any requests in Fiscal Year 2014 and/or has no request backlog, please answer with "N/A."

  • To calculate your agency’s percentage, you must divide the number of backlogged requests reported in Section XII.A. of your Fiscal Year 2014 Annual FOIA Report by the number of requests received in Fiscal Year 2014, which can be found in Section V.A. of your Annual FOIA Report.  Once divided, you can multiply that number by 100 to get the percentage.

BACKLOGGED APPEALS

7. If your agency had a backlog of appeals at the close of Fiscal Year 2014, did that backlog decrease as compared with the backlog reported at the end of Fiscal Year 2013?

  • If not, explain why and describe the causes that contributed to your agency not being able reduce backlog.  When doing so, please also indicate if any of the following were contributing factors:
    • An increase in the number of incoming appeal
    • A loss of staff
    • An increase in the complexity of the appeals received

8. If you had an appeal backlog please report the percentage of appeals that make up the backlog out of the total number of appeals received by your agency in Fiscal Year 2014. If your agency did not receive any appeals in Fiscal Year 2014 and/or has no appeal backlog, please answer with "N/A."

  • To calculate your agency’s percentage, you must divide the number of backlogged appeals reported in Section XII.A. of your Fiscal Year 2014 Annual FOIA Report by the number of appeals received in Fiscal Year 2014, which can be found in Section VI.A. of your Annual FOIA Report.  Once divided, you can multiply that number by 100 to get the percentage.

 

Backlog Reduction Plans:

Agencies Receiving More Than 1,000 Requests

All Other Agencies

9. In the 2014 guidelines for Chief FOIA Officer Reports, any agency with a backlog of over 1000 requests in Fiscal Year 2013 was asked to provide a plan for achieving backlog reduction in the year ahead.  Did you agency implement a backlog reduction plan last year?  If so, describe your agency’s efforts in implementing this plan and note if your agency was able to achieve backlog reduction in Fiscal Year 2014? 

10. If your agency had a backlog of more than 1,000 requests in Fiscal Year 2014, what is your agency’s plan to reduce this backlog during Fiscal Year 2015?

Not required, but agencies may answer the questions for this section if they have information they would like to include

 

Status of Ten Oldest Requests, Appeals, and Consultations:  Section VII.E, entitled “Pending Requests – Ten Oldest Pending Requests,” Section VI.C.(5), entitled “Ten Oldest Pending Administrative Appeals,” and Section XII.C., entitled "Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency," show the ten oldest pending requests, appeals, and consultations.  You should refer to these numbers from your Annual FOIA Reports for both Fiscal Year 2013 and Fiscal Year 2014 when completing this section of your Chief FOIA Officer Report.

Agencies Receiving More Than 1,000 Requests

All Other Agencies

TEN OLDEST REQUESTS

11. In Fiscal Year 2014, did your agency close the ten oldest requests that were reported pending in your Fiscal Year 2013 Annual FOIA Report?

12. If no, please provide the number of these requests your agency was able to close by the end of the fiscal year, as listed in Section VII.E of your Fiscal Year 2013 Annual FOIA Report.  If you had less than ten total oldest requests to close, please indicate that. 

  • For example, if you only had seven requests listed as part of your "ten oldest" in Section VII.E. and you closed six of them, you should note that you closed six out of seven “oldest” requests. 

13. Of the requests your agency was able to close from your ten oldest, please indicate how many of these were closed because the request was withdrawn by the requester.  If any were closed because the request was withdrawn, did you provide any interim responses prior to the withdrawal?

TEN OLDEST APPEALS

14. In Fiscal Year 2014, did your agency close the ten oldest appeals that were reported pending in your Fiscal Year 2013 Annual FOIA Report?

15. If no, please provide the number of these appeals your agency was able to close by the end of the fiscal year, as listed in Section VII.C.(5) of your Fiscal Year 2013 Annual FOIA Report.  If you had less than ten total oldest appeals to close, please indicate that. 

  • For example, if you only had seven appeals listed as part of your "ten oldest" in Section VII.C.(5) and you closed six of them, you should note that you closed six out of seven “oldest” appeals. 

TEN OLDEST CONSULTATIONS

16. In Fiscal Year 2014, did your agency close the ten oldest consultations that were reported pending in your Fiscal Year 2013 Annual FOIA Report?

17. If no, please provide the number of these consultations your agency was able to close by the end of the fiscal year, as listed in Section XII.C. of your Fiscal Year 2013 Annual FOIA Report.  If you had less than ten total oldest consultations to close, please indicate that. 

  • For example, if you only had seven consultations listed as part of your "ten oldest" in Section XII.C. and you closed six of them, you should note that you closed six out of seven “oldest” consultations. 

TEN OLDEST REQUESTS

9. In Fiscal Year 2014, did your agency close the ten oldest requests that were reported pending in your Fiscal Year 2013 Annual FOIA Report?

10. If no, please provide the number of these requests your agency was able to close by the end of the fiscal year, as listed in Section VII.E of your Fiscal Year 2013 Annual FOIA Report.  If you had less than ten total oldest requests to close, please indicate that. 

  • For example, if you only had seven requests listed as part of your "ten oldest" in Section VII.E. and you closed six of them, you should note that you closed six out of seven “oldest” requests. 

11. Of the requests your agency was able to close from your ten oldest, please indicate how many of these were closed because the request was withdrawn by the requester.  If any were closed because the request was withdrawn, did you provide any interim responses prior to the withdrawal?

TEN OLDEST APPEALS

12. In Fiscal Year 2014, did your agency close the ten oldest appeals that were reported pending in your Fiscal Year 2013 Annual FOIA Report?

13. If no, please provide the number of these appeals your agency was able to close by the end of the fiscal year, as listed in Section VII.C.(5) of your Fiscal Year 2013 Annual FOIA Report.  If you had less than ten total oldest appeals to close, please indicate that. 

  • For example, if you only had seven appeals listed as part of your "ten oldest" in Section VII.C.(5) and you closed six of them, you should note that you closed six out of seven “oldest” appeals. 

TEN OLDEST CONSULTATIONS

14. In Fiscal Year 2014, did your agency close the ten oldest consultations that were reported pending in your Fiscal Year 2013 Annual FOIA Report?

15. If no, please provide the number of these consultations your agency was able to close by the end of the fiscal year, as listed in Section XII.C. of your Fiscal Year 2013 Annual FOIA Report.  If you had less than ten total oldest consultations to close, please indicate that. 

  • For example, if you only had seven consultations listed as part of your "ten oldest" in Section XII.C. and you closed six of them, you should note that you closed six out of seven “oldest” consultations.  

 

Additional Information on Ten Oldest Requests, Appeals, and Consultations & Plans: 

Agencies Receiving More Than 1,000 Requests

All Other Agencies

18. Briefly explain any obstacles your agency faced in closing its ten oldest requests, appeals, and consultations from Fiscal Year 2013.

19. If your agency was unable to close any of its ten oldest requests because you were waiting to hear back from other agencies on consultations you sent, please provide the date the request was initially received by your agency, the date when your agency sent the consultation, and the date when you last contacted the agency where the consultation was pending.

20. If your agency did not close its ten oldest pending requests, appeals, or consultations, please provide a plan describing how your agency intends to close those “ten oldest” requests, appeals, and consultations during Fiscal Year 2015.

16. Briefly explain any obstacles your agency faced in closing its ten oldest requests, appeals, and consultations from Fiscal Year 2013.

17. If your agency was unable to close any of its ten oldest requests  because you were waiting to hear back from other agencies on consultations you sent, please provide the date the request was initially received by your agency, the date when your agency sent the consultation, and the date when you last contacted the agency where the consultation was pending.

18. If your agency did not close its ten oldest pending requests, appeals, or consultations, please provide a plan describing how your agency intends to close those “ten oldest” requests, appeals, and consultations during Fiscal Year 2015. 

 

Interim Responses:

Agencies Receiving More Than 1,000 Requests

All Other Agencies

21. Does your agency have a system in place to provide interim responses to requesters when appropriate?  See OIP Guidance, “The Importance of Good Communication with FOIA Requesters.” (Mar. 1, 2010)

22. If your agency had a backlog in Fiscal Year 2014, please provide an estimate of the number or percentage of cases in the backlog where a substantive, interim response was provided during the fiscal year, even though the request was not finally closed.

Not required, but agencies may answer the questions for this section if they have information they would like to include

 

Use of the FOIA’s Law Enforcement Exclusions

Agencies Receiving More Than 1,000 Requests

All Other Agencies

Did your agency invoke a statutory exclusion, 5 U.S.C. § 552(c)(1), (2), (3), during Fiscal Year 2014?

If so, please provide the total number of times exclusions were invoked.

Did your agency invoke a statutory exclusion, 5 U.S.C. § 552(c)(1), (2), (3), during Fiscal Year 2014?

If so, please provide the total number of times exclusions were invoked.

 

Success Story

Agencies Receiving More Than 1,000 Requests

All Other Agencies

Out of all the activities undertaken by your agency since March 2014 to increase transparency and improve FOIA administration, please briefly describe here at least one success story that you would like to highlight as emblematic of your agency’s efforts. The success story can come from any one of the five key areas.  As noted above, these agency success stories will be highlighted during Sunshine Week by OIP. To facilitate this process, all agencies should use bullets to describe their success story and limit their text to a half page. The success story is designed to be a quick summary of key achievements. A complete description of all your efforts will be contained in the body of your Chief FOIA Officer Report.

Not required, but agencies may answer the questions for this section if they have information they would like to include
Updated July 22, 2021