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

DOJ's FOIA Guidelines emphasize that "[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 the 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.

1. For Fiscal Year 2020, 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 2020 Annual FOIA Report.

The average number of days was 6.06

2. If your agency's average number of days to adjudicate requests for expedited processing was above ten calendar days, according to Section VIII.A. of your agency's Fiscal Year 2020 Annual FOIA Report, please describe the steps your agency will take to ensure that requests for expedited processing are adjudicated within ten calendar days or less.

N/A

3. During the reporting period, did your agency conduct a self-assessment of its FOIA program? If so, please describe the methods used, such as reviewing Annual Report or raw data, using active workflows and track management, reviewing and updating processing procedures, etc.

Note: In September 2017, OIP released a FOIA Self-Assessment Toolkit as a resource for agencies conducting a self-assessment of their FOIA program. The Toolkit is available on OIP's website for all agencies to use.

HHS OS used a consultant to conduct a review of the OS FOIA program. The review covered workflow, processes, and personnel allocation. OS also continually assesses process throughout the year and makes adjustments as new information arrives.

FDA routinely reviews its FOIA policies and processes to ensure that requests are being processed in the most efficient and accurate manner. Components within FDA have conducted, and are continuing to conduct, self-assessments.

ACL conducts a self-assessment as part of the annual data reporting. ACL FOIA Officer utilizes ACL's FOIA tracker, annual report data, prior year's Chief FOIA Officer Report, and information gathered through the year from bi-weekly FOIA staff meetings. Based on the self-assessment, ACL moved to a multi-track system to process requests. ACL acquired a new system to increase efficiency and improve processes for accepting, tracking, closing, and reporting requests. The development process for the new system involved reviewing and updating templates and process around communication with requesters.

HRSA uses weekly, monthly, quarterly, and annual reports to monitor and evaluate our performance. We use the information to compare the current numbers with those on the same date in prior years. The quarterly reports are collected government-wide to track the progress of federal agencies in responding to FOIA requests. The responding agencies also post their quarterly reports on their websites.

The NIH FOIA program collaborated with NIH IT to develop more efficient workflow for the loading of records onto FOIAXpress. When that workflow yielded limited results, the NIH FOIA Work Group, in collaboration with CIT, assessed various alternative platforms that could more effectively manage large requests. That market analysis identified a Deloitte platform as the best candidate. At that point, the NIH FOIA Officer secured enough funding to acquire the Deloitte platform and rolled it out in December of 2020.

4. Standard Operating Procedures (SOPs): Having SOPs can improve the consistency and quality of an agency's FOIA process. In addition, describing an agency's standard practices for handling FOIA requests on agency FOIA websites can help requesters better understand how their request will be handled.

a) Does your agency have SOPs that outline general processes for handling FOIA requests and appeals?

Yes

b) If not, does your agency have plans to create FOIA SOPs?

N/A

c) If yes, how often are they reviewed/updated to account for changes in law, best practices, and technology?

SOPs are reviewed routinely, differing based on the Operating Division and SOP.

For NIH, these issues fall under the purview of NIH's FOIA Working Group. One a weekly basis, the group meets to discuss pending cases, changes in the FOIA landscape, technological challenges and needed updates to internal policies and procedures.

d) In addition to having SOPs, does your agency post or otherwise describe your standard processes for handling requests on your website?

Some HHS Operating Divisions post their SOPs for handling requests. For example:

ACL's website has a FOIA dedicated webpage that provides a brief description of the process. The new SOP will be used to update ACL's webpage in 2021.

CMS posts their regulations and guidance at https://www.cms.gov/Regulations-and-Guidance/Legislation/FOIA/filehow

5. The FOIA Improvement Act of 2016 requires additional notification to requesters about the services provided by the agency's FOIA Public Liaison. Please provide an estimate of the number of times requesters sought assistance from your agency's FOIA Public Liaison during FY 2020 (please provide a total number or an estimate of the number).

The combined HHS FOIA Liaisons received approximately 50 emails per week.

6. Does your agency frequently receive common categories of first-party requests? If so, please describe the types of requests and if your agency has explored establishing alternative means of access to these records outside of the FOIA process?

Yes, HHS receives many first party requests such as Privacy Act requests and requests for Office of Civil Rights investigations.

Beneficiary requested data from CMS is reviewed for recent Medicare information and accessible directly online via Blue Button.

7. The FOIA Improvement Act of 2016 required all agencies to update their FOIA regulations within 180 days. Has your agency updated its FOIA regulations in accordance with the FOIA Improvement Act of 2016? If not, what is your agency's plan to update your regulations?

Yes, HHS updated its regulations in 2016 to incorporate changes in the FOIA Improvement Act of 2016.

8. Please explain how your agency worked to mitigate the impact of the COVID-19 pandemic on FOIA processing. Examples could include, but are not limited to: altering workflows, implementing new technology, providing notices and instructions or otherwise communicating directly with requesters.

HHS FOIA encouraged requestors to submit their requests electronically via email or request portal. Notices were posted on the web page to alert requestors that mailed and faxed requests would be delayed. HHS FOIA also responded to requests electronically when possible.

HRSA FOIA updated its letters to include information about the office's telework status during COVID-19. During the COVID-19 pandemic, HRSA FOIA received 100% of its requests through electronic processes, e.g., email, FOIA portal. HRSA's FOIA professionals were able to work 100% remotely because most of HRSA's records are electronic; therefore, our transition to 100% telework was smooth and caused minimal disruption to the FOIA office.

The NIH FOIA program:

  • Edited its website to encourage electronic communication and online submission of requests
  • Rewrote the invoice template to show that only electronic payments would be accepted
  • Changed monthly in-person NIH FOIA Community meetings into virtual meetings

9. Optional -- Please describe:

Best practices used to ensure that your FOIA system operates efficiently and effectively

Any challenges your agency faces in this area

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