Section IV: Steps Taken to Greater Utilize Technology

A key component of FOIA administration is using technology to make information more accessible. 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.

1. Has your agency identified any best practices to leverage 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 please describe the best practices, the types of technology used and the impact on your agency’s processing.

HHS FOIA Offices continue their efforts to acquire and implement technological improvements that will enable their staffs to process FOIA requests more efficiently. Some examples of best practices are listed below.

  • CMS is exploring the use of tools to convert records from .pst files to PDF files faster and more efficiently. CMS has been working with the FOIA software contractor to enhance the ability to gather written correspondence records in a “single batch download.” This allows both the incoming and response letters for large groups of responsive correspondence records to be downloaded automatically into a zip file thereby reducing agency staff time to gather records. CMS also added collaboration website modifications and “red flag warning notices” to allow the FOIA office to share voluminous records internally and also protect sensitive Personally Identifiable Information (PII) and/or Protected Health Information (PHI). Further, CMS implemented a feature on the collaboration site that allows the FOIA office to set up specific folders designated for records gathering and disclosure analysis collaboration, which can be restricted to only a few specified agency staff subject matter experts and the FOIA analysts, resulting in enhanced collaboration across the agency to gather and review records, and therefore improved processing time for voluminous and complex cases.
  • CDC provides program offices with file share space to upload responsive records to centralize the receipt of responsive records from all interested parties related to the request. Additionally, CDC consolidates responsive records from multiple persons and centers, based on the request number, and de-duplicates them within the FOIAXpress Advanced Document Review system. CDC also searches the enterprise email system (MS Exchange Server) based on parameters defined within the request that include the target mailboxes, date range of search and keywords specific to the request. CDC has initiated a public file share system for the delivery of documents directly to requesters as well as additional federal partners in consultation to fulfil requests. Finally, CDC is implementing the FOIAXpress Public Access Link to enhance the experience of the public in submitting their requests. This system also allows the communications of the ongoing status of the requests as well as provides the location by which the final request documents are delivered to the individual.
  • FDA has accepted FOIA requests through an online portal beginning June 2012; 76% of all incoming requests were received through the online portal in FY2017. FDA uses an electronic database to log and track all FOIA requests, and maintains searchable electronic copies of all released records. FDA routinely releases records, where appropriate, by email or other electronic means, and uses Adobe to redact records electronically. FDA uses Sharepoint and shared drives to allow collaborative internal FOIA review. FDA has sampled software to de-duplicate and sort records, and uses Adobe portfolio to assist in the review of email records.
  • IHS has developed an Access Database to create greater efficiency in processing and tracking FOIA requests.

2. Did your agency successfully post all four quarterly reports for Fiscal Year 2017?

Yes.

3. 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 2018.

Not applicable; please see our response to Question 2 above.

4. The FOIA Improvement Act of 2016 requires all agencies to post the raw statistical data used to compile their Annual FOIA Reports. Please provide the link to this posting for your agency’s Fiscal Year 2016 Annual FOIA Report and, if available, for your agency’s Fiscal Year 2017 Annual FOIA Report.

https://www.hhs.gov/foia/reports/annual-reports/index.html

https://www.hhs.gov/foia/reports/quarterly/index.html

5. If there are any other steps your agency has taken to improve use of technology in FOIA, please describe them here.

Throughout HHS, FOIA offices are using de-duplication software capable of accurately eliminating duplicate records, particularly duplicate email records, as well as electronic discovery software products to increase the efficiency of processing large volumes of FOIA records. Additionally, FOIA offices are reviewing conversion software products that can automatically convert email data into PDF format. Budget limitations are the primary factor which limits the ability of HHS FOIA offices to obtain these tools. However, the FOIA Offices continue to modify and update the FOIA Access Databases to create greater efficiency and processing of FOIA requests.

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