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Best Practices Workshop Series

OIP launched the Best Practices Workshop Series in the spring of 2014 as a part of the Second Open Government National Action Plan's commitment to modernizing FOIA and improving internal agency FOIA processes. Each workshop focuses on a specific FOIA topic, with a panel of representatives sharing experiences, lessons, and strategies for success in these areas. Through these workshops, agencies can continue to learn from one another and leverage the successes of their own organizations for the overall benefit of FOIA administration across the government.

Best practices highlighted at past events, as well as additional resources regarding the event and topic, are available below.

FOIA Administration During the COVID-19 Pandemic – March 30, 2021

Event Recap - Virtual Best Practices Workshops Focus on FOIA Administration During the COVID-19 Pandemic 

 

Name

Organization

Event Moderators

Michael Sarich

Eric Stein

Department of Veterans Affairs

Department of State

 Event Panelists

Danielle Adams

Michael Bell

Cindy Cafaro

Gorka Garcia-Malene

Ryan Law

Gregory Smith

Bruno Viana

Nick Wittenberg

Jimmy Wolfrey

Consumer Financial Protection Bureau

Department of Transportation

Department of the Interior

Department of Health and Human Services

Department of the Treasury 

Department of Education

Department of Health and Human Services

Office of Science and Technology Policy

Department of Homeland Security

Best Practices

  • Continuous Engagement with Staff – Putting people first impacts the way we work.  Ensure staff are physically and emotionally well by engaging on a regular basis to maintain a sense of collaboration and community in a virtual environment.  Meet as a group on a weekly or bi-weekly basis to review what team members are working on and to address any challenges.  Ensure that everyone has the support, tools, and equipment they needed to do their work.  Leadership should make efforts to be transparent with staff so they have an opportunity to provide input and understand any upcoming changes to workplace policies in advance.
  • Rethink and Reevaluate Aspects of the FOIA Process as Circumstances Evolve – The pandemic created unique challenges for many agencies related to processing classified and paper records, intake of mailed requests, and electronic means of releasing large volumes of records, among others.  Successful agencies reevaluated and adapted various aspects of their FOIA administration as the work environment and access to resources changed during the pandemic.  Collaboration with and learning from other teams within and outside the agency enabled many FOIA offices to establish sound policies and procedures to address the needs of requesters and staff.  Agencies have also found that agile and flexible policies and procedures designed to address the challenges presented by the pandemic enabled staff to achieve the organization's strategic goals. 
  • Diversify FOIA Processing and Technology Skill Sets Through Recruitment and Training – The telework-heavy environment necessitated by the pandemic has contributed to new recruitment strategies for some FOIA Offices.  While some agencies were previously limited to a specific geographic area, they now recruit nationwide.  In order to meet new demands on FOIA processing due to the pandemic, FOIA offices have found ways to maximize the processing power they have available by shifting duties between staff, training staff on new technologies, ensuring every member of the FOIA team is proficient in all aspects of the FOIA process, and formalizing FOIA skills by adding them to certain job descriptions.  Additionally, staff detail opportunities can provide professional growth opportunities for employees to gain or expand technology skills sets and apply that new expertise to FOIA administration upon their return. 
  • Strengthen Communication with Requesters - Early on in the pandemic, many agencies posted notices on their FOIA homepages encouraging the public to submit electronic requests and advising of potential delays for requests sent via fax or postal mail.  Agencies also had success in meeting the needs of requesters by explaining challenges with the processing of certain records and working with requesters directly to narrow their request to process available documents as quickly as possible.
  • Lean Into and Lean on New and Existing Technology Resources Within and Outside Your Agency – Technology has enabled agencies to maintain connections within the FOIA office, across the agency, with requesters, and the wider FOIA community during the pandemic.  While agencies may have varied access to technological resources, agencies can draw from the collective expertise of the Chief FOIA Officer Council Committees (Technology Committee and Committee on Cross-Agency Collaboration and Innovation) while working to resolve some of the challenges the pandemic has created or exacerbated.  Leveraging Agency Annual Report and Quarterly Report data can help build buy-in for acquiring new technology and changes in processing methods.  When considering and acquiring new FOIA technologies, involve your agency's IT experts in the process as they bring a complementary perspective and can aid FOIA offices in finding the right fit based on needs.    

Additional Resources

FOIA Administration During the COVID-19 Pandemic, Intelligence Community – March 11, 2021

Event Recap – Virtual Best Practices Workshops Focus on FOIA Administration During the COVID-19 Pandemic

 

Name

Organization
Event Moderators

Bobak Talebian

Alina Semo

Office of Information Policy

Office of Government Information Services

Event Panelists

Eric Stein

Brent Evitt

Ron Mapp*

Sally Nicholson

Michael Seidel

Department of State

Defense Intelligence Agency

National Security Agency

Office of the Director of National Intelligence

Federal Bureau of Investigation

*Due to technical difficulties was unable to speak

Best Practices 

  • Take care of your employees – Employee safety remains a top priority.  Flexibility is key to balancing the health, safety, and well-being of staff while continuing our important missions.  Reducing in-person staff as needed and seeking volunteers when tasks must be done at the office may assist your agency FOIA program to run more smoothly.  Some agencies also benefitted from making available multiple employee shifts and other strategic workforce arrangements. 
  • Ensure eligible employees are telework-ready – Agencies with telework-ready employees enjoyed the smoothest transition to a work-from-home posture when agencies made strategic operation decisions last spring.  Moving forward, ensuring that each newly-on-boarded employee has completed telework training and signed necessary paperwork will help leaders and employees to prepare for unexpected emergencies before they occur.  If resources are available, agencies may choose to ensure employees have access to adequate equipment (such as virtual private network (VPN), necessary hardware like laptops, second monitors, printers, and mobile phones) to handle assigned FOIA tasks.  Of course, telework is not feasible for classified work, but to the extent agencies have work that can be done remotely, ensuring staff is telework ready from the start is very important.
  • Increase agency efforts to communicate with the public – As mentioned in other Best Practices discussions, and as emphasized by OIP, good communication with requesters is key to any successful FOIA operation.  Modify your agency's acknowledgment letters and prepare website updates to inform the public as soon as possible after a disruption in operations arises.  Continually evaluate the impacts on your program and update these notices accordingly.  Additionally, agencies can actively look to identify requests with similar themes or overlapping records and work with requesters to tailor their requests in a way where all these requests can be processed more efficiently.  Agencies have also found a great deal of success in communicating directly with requesters on the scope of their requests and making more targeted requests that can be processed much more quickly.  Interim responses are also another best practice that agencies have found to be mutually beneficial.
  • Focus on what is within your agency's control – While many challenges can be out of anyone's control, agencies should focus on what we can control.  For example, prioritize to ensure that every request or appeal is accurately logged and acknowledged—even if your agency is unable to process it immediately.  Moreover, continually reexamine how resources can be used for the most effective operations of your FOIA program.  For example, while certain areas of your work could be limited work on other areas that are not, such as ensuring accurate classification markings are listed on released records, refocusing on employee training, or other efforts on the release of special collections or proactive disclosures.  Also, as noted above, continue communicating with requesters both through standard notices and directly.

Additional Resources

Technology and FOIA - April 20, 2020

Event Recap - Virtual Best Practices Workshop Focused on Technology and FOIA 
Presentation Slides

  Name Organization
Event Panelists Michael Sarich Veterans Health Administration
  Eric Stein Department of State

Best Practices

See Report of the Technology Committee of the Chief FOIA Officer Council – Best Practices and Recommendations

  • Leadership support - Senior-level agency support of records management and FOIA programs makes a difference to ensure that the needs of internal and external stakeholders are met.  A strong partnership with agency Chief Information Officers can be very important to the success of transparency programs.  FOIA program goals can also be aligned with leadership goals through efforts, such as Sunshine Week messages, that can raise the profile of the FOIA program and help set the tone for success.
  • Records management - Understand your agency’s records management policies and engage with records management staff.  Technology supports record management functions such as the capture, storage, search, duplication, and timely destruction of records, all of which are foundational to the FOIA program's success.
  • Understand IT needs - Identify records and FOIA IT requirements by engaging stakeholders in program and FOIA offices.  Understanding IT needs focuses the discussion on how to get from the current IT state to the desired future state.  Working with the IT community to develop written requirements ensures common understanding of the relevant parties' needs.
  • IT Staff Integration - Integrating IT staff within FOIA programs and/or developing an established relationship with the IT component of the agency provides agencies with greater leverage over how their case management and other IT solutions operate.  
  • IT and FOIA Interoperability - To the extent feasible, ensure IT solutions and FOIA case management tools are interoperable.  In some cases, agencies use a variety of FOIA solutions that are not well connected.  For instance, an agency may search for records in one place, aggregate them in another place, and process them in yet another place, which may cause inefficiencies.  One size does not fit all, so it is important to review your FOIA program's requirements and avoid disjointed FOIA processes. 
  • Cost Savings - Consider cost savings through shared services.  For example, other components within an agency or external agencies may be leveraging IT solutions that could be used for FOIA, and it may be possible to establish agreements with those entities to achieve cost savings.
  • Posting Released Records Collaborating with IT staff can help with posting more released records online.  In turn, this can assist FOIA programs with the requirement to post frequently requested records and with directing requesters to already available information. 
  • Agency Recordkeeping Systems – Agencies can also account for the public release of records and disposition of records as they establish new agency recordkeeping systems.  Understanding the disposition of records in record-keeping systems is important for FOIA professionals because it may influence whether information could become available in a more automated way, allowing agencies to work toward making more proactive disclosures.
  • Leverage Budget Cycle - Leverage the budget cycle to request resources needed for FOIA programs.  IT requirements are often associated with solutions that require funding.  Accordingly, familiarity with the budget cycle, and using it to advocate for your IT needs, is critical.
  • Network with FOIA Professionals - Network with fellow FOIA professionals to candidly share challenges and methods to overcome those challenges.  While agencies sometimes work in silos, there is value in sharing approaches and solutions across agencies in furtherance of our common mission to provide records to the public that shed light on the operation of the federal government.

Additional Resources

FOIA Administrative Appeals - May 29, 2019

  Name Organization
Event Panelists Jim Hogan Department of Defense
  Sean O'Neill Department of Justice
  Shari Suzuki Department of Homeland Security

Best Practices

  • Communication is key – Understanding how the initial request processing office (or component offices) process initial FOIA requests best prepares administrative appeals teams to respond efficiently and accurately to FOIA appeals.  For agencies with decentralized processing, consider using component liaisons if you do not already.  These points-of-contact can facilitate efficient communication regarding specific FOIA appeals issues and can generally keep lines of communication open between the appeals staff and agency components.  Additionally, just as you would communicate with a requester on an initial request if you are seeking clarification, continue to communicate with a requester who has submitted an appeal.  Often, these conversations are productive and provide valuable information that you would otherwise not receive.  Before speaking to a requester, be cognizant of setting realistic expectations for requesters based on what the initial processing office can and cannot do.  Finally, if you must remand a FOIA appeal back to the initial processing office, provide clear guidance on what steps they need to take.  This will facilitate an efficient and smooth reprocessing. 
  • Facilitate strong working relationships with initial processing offices – Agencies with decentralized FOIA processing should strive to create or improve upon existing working relationships with component offices.  Centralized agencies should similarly strive to maintain strong working relationships with the initial processing staff.  Strong professional relationships help to build mutual respect and this in turn facilitates meaningful discussions and helps to hold component and client offices accountable for their actions during the FOIA appeals process.
  • Focus on your human capital – The strength of your FOIA appeals team will often come down to the people you recruit, hire, train, advance, and retain.  Consider how your hiring process helps you identify candidates most likely to succeed in the role, as well as steps you can take to retain quality employees.    
  • Leverage technology – To run a successful administrative appeals program, take a look at the technology you are using.  Is your software useful and does it facilitate an effective workflow?  Overall, does it help you to efficiently administer your program?  If not, work to find solutions or consider different tools.
  • Pay attention to the numbers – Understanding key statistics and metrics related to your appeal program is pivotal to managing the appeals backlog and the overall productivity of staff.  Use these metrics to plan realistic goals for your appeals team.  The focus should be on both quality and productivity, while also accounting for any nuances or complexities involved in processing different types of appeals.  Similar to processing initial requests, use multi-track processing to actively manage appeals queues and better manage your workflow.
  • Maintain knowledge of current case law– As with all FOIA professionals, an agency’s administrative appeals staff must be very knowledgeable about developments in FOIA law.  To assist agencies with this, in addition to the Department of Justice Guide to the FOIA, OIP posts new FOIA case decisions on its FOIA Resources page.  You can subscribe to weekly case update e-mails here.  Additionally, OIP regularly holds training events for government employees.

Additional Resources

Reducing Backlogs and Improving Timeliness – August 21, 2018

Event Recap - DOJ’s August Best Practices Workshop Focuses on Backlog Reduction

  Name Organization
Event Panelists Eric Stein Department of State
  Joseph Schaaf Department of Justice

Best Practices 

  • Trying new approaches – Agencies should continually examine their processes looking for new approaches that might be more efficient.  While every new idea or approach might not be successful, a lot can be learned even through those efforts that are ultimately unsuccessful.  Agencies should not be afraid to try something new to help assess what does or does not work best for their FOIA programs.
  • Identifying and focusing on your core needs –  Identifying the core needs of an agency’s FOIA program is a very important first step in devising a successful strategy for improving backlogs and timeliness.  For example, a FOIA office typically needs a strong intake process followed by efficient search and review processes to effectively handle FOIA requests.  Some agencies may have other more unique needs based on the nature and location of their records.  A successful strategy for improving FOIA administration focuses on these core needs and looks to see how they can be improved either through additional resources or new procedures and protocols.
  • Developing an agile process that accounts for the unexpected – While having established protocols and a management strategy is very helpful, agencies should be agile in their approaches and adapt their plans to account for their real-time needs.  FOIA offices always face the likelihood of unexpected challenges occurring that could derail backlog reduction efforts.  Agencies account for these challenges occurring in their plans and remain flexible and resilient to overcome them.  For example, if a FOIA office is flooded with new requests due to a hot topic it should reexamine how it can best absorb this new, unexpected demand while maintaining an overall strong and efficient FOIA process. 
  • Developing strong intake processes – The intake process is the front line of an agency’s battle to reduce backlogs and improve timeliness.  There are a number of items an agency must determine right when it receives a request that are critical to its effective and efficient response to the requester.  For example, during intake the FOIA Office will need to determine if the request is perfected, if unusual circumstances exist, whether expedited processing has been requested, and the initial track designation for the request.  More importantly, during intake the FOIA Office will often triage the requests based on complexity and the next steps needed for processing the request.  The triaging of requests on the front-end is essential to maintaining an efficient FOIA process.  Additionally, during intake, an agency can reach out to the requester to clarify or negotiate the scope of the request to more efficiently conduct the search and review process.  Lack of a robust intake process can lead to logjams throughout the agency’s FOIA process.
  • Communicating regularly & building relationships with program offices – As mentioned in other Best Practices discussions, and emphasized by OIP, good communication with requesters is key to any successful FOIA operation.  Building a strong rapport with requesters helps ensure that they fully understand the FOIA process and that they are confident that the agency is working to locate and process their records as expediently as possible.  Similarly, it is important for the agency FOIA Office to build relationships and get “buy-in” from its program offices.  As the Department of Justice has declared, "FOIA is everyone's responsibility."  Fostering relationships between FOIA staff and other programmatic office staff within an agency can help prioritize FOIA and improve overall timeliness.  This can also lead to collaborations between offices on how efficiencies can be gained when searching for records, identifying proactive disclosures, or better utilizing technology.
  • Implementing robust training for FOIA professionals – Ensuring that FOIA professionals have adequate training to understand the legal requirements of the FOIA and the agency’s unique FOIA processes and policies is fundamental to any successful FOIA administration.  If FOIA professionals are unaware of, or do not understand, the requirements of the law they will not be in a position to properly and efficiently process requests.  Agencies should ensure that their FOIA professionals are regularly trained on both agency-specific FOIA policies and procedures and the current state of FOIA law and government-wide FOIA policy issued by DOJ.
  • Leveraging technology – While available resources can often limit the types of technology available to agencies, it is important that agencies examine what technologies could improve their FOIA programs and determine if they can acquire those tools.  There are ranges of technological solutions that can significantly improve an agency’s FOIA administration.  For example, having the proper FOIA case management system can be very helpful to FOIA managers tracking the flow of FOIA requests through their agency in real-time to assess progress and resource allocation.  Advanced tools that assist with search and de-duplication can also be significant in achieving efficiencies.  FOIA offices should team-up with their agency IT specialists to see what is possible in terms of leveraging technology to improve their FOIA administration.

Additional Resources

Best Practices for Self-Assessments and Improving FOIA Processes - August 23, 2017

  Name Organization
Event Panelists Melanie Pustay Department of Justice
  Lindsay Roberts Department of Justice 

Best Practices 

  • Agencies should regularly conduct self-assessments of their FOIA programs – Conducting self-assessments can assist all agencies in reviewing and improving their FOIA administration.   Self-assessments can give agencies an opportunity to, for example, review aspects of their FOIA program to streamline processing procedures, identify new ways to use technology, and determine whether to reallocate resources to facilitate continued progress towards agency processing goals.  Agencies can also examine other aspects of FOIA administration through self-assessments, such as procedures for identifying records for proactive disclosure.  Self-assessments may also reveal best practices or areas where FOIA guidance and best practices can be more effectively implemented.
  • OIP’s new Self-Assessment Toolkit is a significant resource for agencies to use when conducting a self-assessment – The FOIA Self-Assessment Toolkit consists of 13 modules, each focusing on a distinct aspect of the FOIA process, such as Initial Mail Intake, Adjudicating Requests for Expedited Processing, Searching for Responsive Records, Requester Services, FOIA Reporting, and FOIA Websites. Each module contains various milestones to help agencies evaluate their FOIA program and identify areas for improvement. At the end of each module, OIP offers best practices and guidance covering the topic.

Additional Resources

Collaborating for Results: Agencies & Requesters Working Together Throughout the FOIA Process - June 15, 2017

  Name Organization
Event Panelists Carmen L. Mallon Department of Justice
  Alina M. Semo Office of Government Information Services
  Sean Moulton Projecct on Government Oversight

Best Practices

  • Inform, educate, and work collaboratively with requesters throughout the FOIA process – Requesters have varying degrees of experience with FOIA, ranging  from the novice to the expert level.  FOIA professionals can help meet the needs of these diverse constituencies by engaging with requesters at the front-end of the process and keeping the line of communication open.  To this end, agencies should develop protocols on requester communication that fulfill both the statutory requirements of FOIA, as well as requester services goals (e.g., promptly responding to phone call and e-mail inquiries).  Panelists also emphasized that agencies can manage requesters’ expectations by explaining agency procedures and the types of records maintained.  Agencies may also provide samples of responsive documents and interim releases.  Through these discussions, agencies can work with requesters to clarify their requests for faster processing.
  • Build trust with requesters and agency personnel by emphasizing mutual benefit – Panelists stressed that trust is key whether FOIA professionals are interacting with requesters or program officers within agencies.  FOIA professionals may find that appealing to a person’s self-interest can help lay the foundation for a productive relationship.  For example, FOIA staff might explain to a requester that simplifying a request allows staff to search more efficiently and that benefits the requester by moving the request to a faster processing track.  When working with non-FOIA personnel to obtain responsive records, reminding employees that they have the support of the FOIA staff, who will conduct a careful review of the records and apply exemptions as appropriate before releasing anything to the requester, helps builds trust within the agency to facilitate faster processing.
  • Use simple and specific language when communicating with requesters – Both requesters and FOIA professionals benefit from using plain language. Requesters can improve the likelihood of receiving useful information by keeping requests tailored and only providing the information that the agency needs to process the request.  Meanwhile, FOIA professionals can help to reduce confusion by structuring response letters into simple paragraphs that clearly explain the rationale for the agency’s decisions.
  • Seek input from requester community – Agencies should consider reaching out to their requester community and civil society organizations periodically. This is an opportunity to help requesters better understand the agency’s FOIA process.  The requester community may also have tips for the agency on  how to engage effectively with requesters throughout the FOIA process.

Additional Resources

FOIA Training Programs - May 25, 2016

Event Recap - Wrapping up the Fiscal Year with Recaps from Workshops on Best Practices from the Requester’s Perspective and Best Practices for FOIA Training Programs

  Name Organization
Event Panelists Bobak Talebian Department of Justice
  James Hogan Department of Defense
  Alexis Graves Department of Agriculture

Best Practices

  • Reinforcing the message that FOIA is everyone's responsibility – While substantive training for agency FOIA professionals is key to the success of any FOIA program, it is critical that agencies are mindful of the maxim that “FOIA is everyone's responsibility.” As a result, agencies should be sure to provide training to any agency personnel who are relied upon by FOIA professionals to support the work of the FOIA program. Agencies should ensure that both senior executives and records custodians in the program offices have a proper understanding of their unique roles and responsibilities in implementing this important law.
  • Being creative and thinking outside the box when it comes to how you provide training – Keeping training fun and interesting through new formats can help ensure that your employees are not only engaged, but that they are also retaining the material. Different training formats such as online training modules, an "Ask a FOIA Officer" column, hands-on workshops, or even a regular FOIA comic strip can all enhance an agency's existing FOIA training program. Also, agencies should look to make every moment a training opportunity. Training does not have to be limited to the traditional settings and can be provided through newsletters, short FOIA briefings, video-teleconferences, and even as part of regularly held staff meetings.
  • Tailoring your FOIA training for the specific needs of your personnel – Evaluate your FOIA program to determine what aspects of the law should be focused on and what would benefit your personnel the most. Ask your staff for suggestions as well. Agency personnel can be in the best position to inform their agency of the type and form of training they most need and so open lines of communication can be key to designing an effective training program.
  • Rewarding and incentivizing FOIA training – Understanding the requirements of the FOIA is fundamental to any successful FOIA program. Accordingly, it is very important that agencies not only ensure there are robust training resources available to their personnel, but that personnel are also taking advantage of these resources. Agencies should explore different ways for incentivizing FOIA training to ensure that personnel have a sound understanding of their obligations under the law.

Additional Resources

Best Practices from the Requester’s Perspective – April 25, 2016

Event Recap - Wrapping up the Fiscal Year with Recaps from Workshops on Best Practices from the Requester’s Perspective and Best Practices for FOIA Training Programs

  Name Organization
Event Panelists Tom Sussman American Bar Association
  Sean Moulton Project on Government Oversight

Best Practices

  • Regularly communicating with requesters and working with them throughout the process – The most important tool for a FOIA analyst can often be the telephone. Taking the time to discuss with requesters aspects of their requests such as search, scope, the estimated date of completion, or any fees that are at issue can provide them with a better understanding of the process. By keeping the lines of communication open agencies can establish trust with the requester. Additionally, by providing updates to the requester and regularly communicating, the agency can often alleviate concerns requesters might have with the handling of their request. This type of communication can also be mutually beneficial as agencies and requesters can work together to find the most efficient and effective way of getting the requester the records he or she seeks.
  • Making contact early on with requesters to discuss procedural issues – Explaining the process to requesters at the onset of the request can often serve as a springboard for fruitful discussions on, for example, the scope of the records sought. Topics that may benefit from early discussions include the scope of the request, the need for consultations or submitter-notice, or any fee issues. In having these discussions, agencies can present requesters with options moving forward which can often lead to faster processing. 
  • Using technology to improve how requests are made – Having a strong FOIA web presence and electronic means by which to receive requests are important resources for the requester community. Agencies can actively collaborate with their information technology personnel to strengthen their websites and explore different means for facilitating the electronic submission of requests, such as through e-mail or a portal. 
  • Training and educating agency personnel to facilitate communications with requesters – Understanding your agency's organization and the records it maintains can be just as important as knowing the requirements of the FOIA. This level of understanding can be very helpful when explaining the process to requesters. Accordingly, FOIA professionals should ensure they have a good understanding of their agency's records in order to communicate effectively with requesters about the handling of their requests. 

Additional Resources

Reducing Backlogs and Improving Timeliness - December 8, 2015

Event Recap - Best Practices Workshops Continue with Discussions on Small Agencies and Backlog Reduction

  Name Organization
Event Panelists Sean O'Neill Department of Justice
  Chris Morris Department of Energy
  Sabrina Burroughs Department of Homeland Security
  Catrina Pavlik Keenan Department of Homeland Security

Best Practices

  • Leveraging technology – Using advanced tools like e-Discovery applications can often enable agencies to conduct searches and review responsive records in a fraction of the time it would have taken without such technology.  Acquiring these tools is only half the battle though; there are a number of best practices that must be learned to fully utilize these tools when agencies do have them.  Using a good case management system with sophisticated report generating capabilities can also be key to an agency's success.  Some case management systems offer functionality that automates FOIA intake and correspondence procedures and provides redaction tools.  Such new functionality could also be of help to agencies working to reduce backlogs. 
  • Utilizing Active case management techniques – While employing efficient processing tools can be a significant factor in helping an agency's backlog reduction efforts, reducing backlogs also requires active management of an agency’s FOIA workload.  Agencies that succeed in reducing their backlogs often rely heavily on FOIA managers who take an ongoing, proactive, role in managing their FOIA workloads.  By regularly reviewing FOIA data, including monitoring incoming requests and establishing metrics and goals to keep pace, agencies can better understand their specific challenges and needs and take steps to address them.  Active case management allows agencies to identify system inefficiencies and FOIA trends such as spikes in incoming requests or an influx of requests on particular topics.   Regular meetings with staff to review case logs can also be very helpful. 
  • Getting employee buy-in and developing quality staff – At the core of any agency’s success in FOIA administration will always be the buy-in and quality of its FOIA professionals who are on the front lines doing the hard work of processing often voluminous and complicated records on a wide variety of topics.  To achieve higher productivity and gain efficiencies FOIA managers should be heavily involved in the day-to-day work of these employees, setting appropriate goals and recognizing employee contributions.    Getting buy-in from FOIA professionals as to the important work that they are doing for the mission of their agency can be crucial in setting the right tone for achieving backlog reduction and improving timeliness overall.  A clear vision and mission statement facilitated by employee engagement can be very helpful in this regard.  FOIA managers should also ensure that their FOIA staffs have adequate resources and training available to them to be able to fulfill their jobs appropriately and efficiently.    
  • Building relationships amongst program offices – As the Department of Justice has declared, "FOIA is everyone's responsibility."  Fostering relationships between FOIA staff and other programmatic office staff within an agency can help prioritize FOIA and improve overall timeliness.  This can also lead to collaborations between offices on how efficiencies can be gained when searching for records, identifying proactive disclosures, or better utilizing technology.

Additional Resources

Best Practices for Small Agencies - August 26, 2015

Event Recap - Best Practices Workshops Continue with Discussions on Small Agencies and Backlog Reduction

  Name Organization
Event Panelists Jennifer Matis Office of Government Ethics
  Linda Hale Federal Maritime Commission
  Jeffrey Pienta Farm Credit Administration
  Carmen Banerjee Department of Justice

Best Practices

  • Collaborating with agency personnel, including non-FOIA personnel – As the Department of Justice has declared, "FOIA is everyone's responsibility," and collaboration among agency personnel can be the key to success, particularly at a small agency.  The unique expertise of an agency's personnel in their programmatic areas, particularly with technology, can often be helpful in overcoming the challenges of implementing the FOIA.  Given the more "close-knit" nature of some smaller agencies, they are sometimes better able to foster this important level of collaboration, which can be key to their success in administering the FOIA.  Working with agency personnel outside of those with specific FOIA duties can help improve many aspects of an agency’s FOIA administration, including increased proactive disclosures of information and the efficient processing of requests.
  • Using multi-track processing – Multi-track processing can help agencies respond to requesters more quickly.  Use of a multi-track system provides a mechanism for the agency to process "simple" requests in a different queue from "complex" requests, which in turn helps achieve increased productivity in the processing of requests overall.  Additionally, the establishment of multiple processing tracks allows agencies to offer requesters the option of tailoring their request so that it fits within the "simple" track that can be processed more quickly.
  • Communicating with requesters – As mentioned in other Best Practices discussions, and emphasized by OIP, good communication with requesters is key to any successful FOIA operation.  Small agencies are sometimes better positioned to take advantage of more personalized communications with their requesters and this can be a very valuable technique.    Building a strong rapport with requesters helps ensure that they fully understand the FOIA process and that they are confident that the agency is working to locate and process their records as expediently as possible. 
  • Conducting internal reviews of FOIA practices and procedures – Regular internal reviews of an agency's FOIA operations can be very helpful particularly as small agencies continue to face competing priorities for their resources.  These internal reviews also enable small agencies to find ways to further improve their FOIA processes in order to reduce processing times, improve communication with requesters, and increase the number of requests processed.
  • Utilizing a FOIA tracking system or database – Having the right FOIA tracking system or database can be very helpful for an agency's management of its FOIA responsibilities.  Depending on the volume of requests received and processing needs, agencies should utilize the technology or system that best allows them to manage their FOIA processing needs and satisfy their reporting obligations.   A tracking system or database can also improve administrative efficiencies by automating certain aspects of FOIA intake and helping the agency proactively track important ticklers such as the number of days a request has been in the queue and significant deadlines.

Additional Resources

Customer Service and Dispute Resolution - February 18, 2015

Event Recap - Best Practices Workshop Discusses FOIA Customer Service

  Name Organization
Event Panelists Carmen L. Mallon Department of Justice
  Dennis Argall Federal Bureau of Investigation
  Paul Jacobsmeyer Department of Defense
  Carrie McGuire National Archives & Records Administration

Best Practices

  • Communicating with the requesters throughout the life of a request – Maintaining open communication with requesters is critical for providing good customer service. This can include promptly acknowledging receipt of a request, explaining the FOIA process to requesters who are unfamiliar with it, and ensuring that requesters can easily contact the agency to ask questions and inquire about the status of their requests.  Open communication also includes a range of actions, such as providing a sample of records responsive to a request to help the requester understand the type of material the agency has located and utilizing interim responses whenever possible to provide material on a rolling basis.     
  • Proactively communicating with requesters – Several panelists found success in proactive efforts to communicate with requesters.  For example, reaching out to requesters who have (sometimes unknowingly) made broad or complex requests can help clarify questions the agency has while at the same time provide  requesters the opportunity to reformulate their requests so that records can be more readily located and processed more efficiently.  Proactive outreach to provide the status of a request can also be beneficial, particularly for requests that have been pending for any significant length of time.  By actively communicating with requesters in such situations, the agency not only is providing good customer service, but the communication itself can lead to further discussions about ways to help  requesters obtain  responsive records as efficiently as possible.
  • Memorializing discussions with the requester – Agencies should make it as easy as possible for requesters to clarify or reformulate their requests.  Documenting discussions with requesters, especially when the requester agrees to amend his or her request, is critical to ensure that the agency and the requester mutually understand what was discussed.  Agencies should promptly follow-up substantive phone discussions with an e-mail or letter that summarizes what was discussed and that includes contact information in case the requester has additional questions or concerns.
  • Using Multi-track processing to improve customer service – Multi-track processing can help agencies provide good customer service in two ways.  Utilization of a multi-track system provides a mechanism for the agency to process "simple" requests in a different queue from "complex" requests, which in turn can allow for improved timeliness for the "simple" track requests.  Additionally, by establishing multiple processing tracks, agencies can more readily offer requesters the option of tailoring their request so that it fits within the "simple" track and can be processed more quickly.

Additional Resources

Implementing Technology to Improve FOIA Processing – December 9, 2014

Event Recap - Discussing Using Technology to Improve FOIA Processes at Best Practices Panel

  Name Organization
Event Panelists Douglas Hibbard Department of Justice
  Michael Norman Department of Homeland Security
  Joan Fina Commodity Futures Trading Commission

Best Practices

  • Leveraging all available agency resources Technology tools may have various uses and even those not specifically designed for FOIA can help create efficiencies in the FOIA process. By leveraging tools already available at an agency, FOIA professionals can potentially implement, and realize the benefits of, new technologies faster than if looking outside the agency.
  • Actively collaborating with technology professionals – Collaborating and working with an agency’s technology professionals can help identify available tools that can be leveraged for an agency's FOIA office.  Such collaborations can also help set clear expectations for what is needed in technology tools as well as help both FOIA and technology professionals understand their role in the process of using and supporting the use of such tools. These collaborations do not necessarily have to be confined to within an agency, as professionals from across the government may be able to offer additional best practices, tools, or other assistance when seeking to implement new technologies for FOIA administration.
  • Examining different uses of technology for benefits throughout the entire FOIA process – While many agencies have focused on finding tools that help with the searchability and processing of responsive documents, there are a number of other tools or uses of technology that can also be very helpful for an agencies' FOIA administration. For example, within agencies the use of improved networks and online platforms to move responsive records between offices, to collaborate on FOIA processing, to facilitate teleworking and to track workflow metrics can all be useful for finding efficiencies.  Electronic communication with requesters, including the sending of responsive records in electronic formats, should be the default for agencies:  Not only is this more customer friendly, but it is a much more efficient method of communication for both agencies and requesters.
  • Continually evaluating the effectiveness of tools – Flexible approaches to technology implementation are needed, as not every tool will work for every agency and existing tools may no longer be effective. By regularly evaluating tools, agencies can assess their effectiveness, identify best practices for their use, and work to identify opportunities for the incorporation of new tools.
  • Utilize advanced document review tools – The use of advanced document review software can create efficiencies in agencies' administration of the FOIA by effectively conducting searches, automatically de-duplicating, and streamlining the review of responsive records, thereby reducing time spent on these tasks by FOIA professionals.

Additional Resources

Best Practices from the Requester’s Perspective – October 28, 2014

Event Recap - Best Practices Panel Highlights Importance of Customer Service and Good Communication

  Name Organization
Event Panelists Amy Bennett OpenTheGovernment.org
  Josh Gerstein Politico
  Elizabeth Hempowicz Project on Government Oversight


Best Practices

  • Maintaining frequent and substantive communications with requesters – Providing requesters with an available point of contact who can discuss the status and processing of requests, including items such as how a search is being conducted, the scope of the request, response times, and any fee issues or other procedural requirements.  Agency points of contacts can also proactively reach out to requesters to efficiently and effectively work through any potential processing issues.  By empowering the requester with up-to-date information regarding their request they will be able to more effectively work with the agency for their mutual benefit.  
  • Explaining the type of records agencies maintain –  Explaining to requesters the types of information an agency maintains can help them to make better, more tailored requests which will benefit both the requester and the agency.  This type of communication also provides an opportunity to discuss with requesters the scope of their request and to help make sure that search and processing efforts are not being expended for records that may not actually be of interest to the requester. 
  • Maintaining up-to-date contact information – Ensuring that requesters are informed when the point of contact for their request changes, as well as making sure that contact information located online is updated. 
  • Make records posted online findable and accessible – Posting records online in obvious subject matter locations where potential requesters are most likely to look for them.  By doing so and also posting records in formats that are most accessible, the public can more efficiently locate records already available online so that there is no need for a request to be made in the first place. 

Additional Resources

Proactive Disclosures & Making Online Information More Useful – July 17, 2014

 Event Recap - Discussing Proactive Disclosures and Online Information

  Name Organization
Event Panelists Vanessa Brinkmann Department of Justice
  Erie Meyer Office of Science & Technology Policy
  Karen Finnegan Department of State
  Martin Michalosky Consumer Financial Protection Bureau
  Mark Graff Nuclear Regulatory Commission

Best Practices

  • Engaging with programmatic offices – By actively engaging with record creators at an agency, FOIA offices can identify potential proactive disclosures with more ease, and can work with those offices to make the posting of the material more efficient.
  • Making online information usable, not just accessible – In addition to making more information available online, agencies can further foster transparency by making online information more usable by, for example, posting material in open formats, creating topical websites, or offering more advanced search features.
  • Utilizing available expertise outside of the FOIA office – Just as engaging with programmatic offices can help FOIA professionals locate potential proactive disclosures, leveraging available expertise from inside an agency (such as a Chief Information Officer) or from across the government (such Project Open Data or the 18F innovation lab) can help agencies unlock proactive disclosures that may be waiting at their agency.
  • Collaborating with stakeholders outside of agencies – Working with the public and interested agency stakeholders can allow FOIA offices to focus their efforts on particular types of proactive disclosures or identify useful formats for posting that information.

Additional Resources

Reducing Backlogs & Improving Timeliness - May 20, 2014

 Event Recap - Best Practices Workshop Held Today

  Name Organization
Event Panelists Michael Marquis Department of Health and Human Services
  Thomas Cioppa U.S. Citizenship & Immigration Services
  Richard Frank Department of Defense
  Lisa Babcock Small Business Administration
  Cindy Cafaro Department of the Interior

Best Practices

  • Obtaining leadership support – Agency managers can increase awareness and accountability by making it a priority for their agency to reduce backlogs and improve timeliness.  Having this level of support from leadership makes it easier for FOIA managers to obtain any additional resources or personnel that might be necessary.  Getting buy-in from agency program offices is also key.  In this respect, FOIA professionals can regularly meet with leaders in their agencies to update them on their agency's FOIA administration.  These regular engagements with agency leaders can help spread management responsibilities for FOIA and improve consistency. 
  • Routinely reviewing processing metrics – Before you can fix a problem, you must understand it. Regular review of FOIA data helps agencies understand their specific challenges and needs by allowing them to identify system inefficiencies and FOIA trends such as spikes in incoming requests or an influx of requests on particular topics. This information will in turn allow the agency to better utilize “Intelligent Case Management” strategies aimed at achieving overall efficiencies.  Such routine reviews will also help put agencies in a good position to ensure that their ten oldest requests, appeals, and consultations are worked on throughout the year and that they are on course to be closed by the end of the fiscal year.
  • Ensuring accountability – Setting goals for processing staff and maintaining accountability is also key for any agency's effort to reduce backlogs and improve timeliness.  Motivating staff and rewarding personnel for achieving certain metrics can be particularly helpful towards an agency's efforts in this area. 
  • Engaging with FOIA staff – Staff training and engagement is another key element to success in reducing backlogs and improving timeliness.  When FOIA professionals are properly trained they can process requests more efficiently.  Regular training can be extremely helpful but it is also important to target that training to the needs of the agency's staff.  Agencies can target their FOIA training efforts by, for example, surveying their FOIA professionals on the types of training that would be helpful.  Encouragement and proper support of FOIA staff is also very important.  Some agencies are successfully utilizing telework arrangements as part of their FOIA program as well as offering incentives and other types of support to improve staff engagement.
  • Utilizing multi-track processing – Multi-track processing can be a particularly useful tool for agencies to ensure good workflow in their FOIA processing.  By utilizing multi-track processing agencies can help ensure that requests are placed in the right track so that simple requests do not get stuck behind far more complicated ones.  Some agencies have gone beyond just the traditional three tracks (simple, complex, and expedited) and have created new tracks that improve the flow of their processing efforts.  The use of multi-track processing can also be useful when discussing the scope of a request with the requester.  In certain cases, the requester may be interested in narrowing the scope of a request to fit in a quicker track, which is a win for both the agency and the requester.  
  • Timely focus on 10 oldest requests – The 10 oldest pending requests at an agency are most often also some of the agency's most complex to process.  Agencies can avoid allowing these requests to cause logjams that will impede efforts to reduce backlog by focusing on them in the first quarter of the fiscal year.

Additional Resources

Updated December 22, 2022