Section I: Steps Taken to Apply the Presumption of Openness

The guiding principle underlying DOJ’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.

A.  FOIA Leadership

1.  The FOIA requires each agency to designate a Chief FOIA Officer who is a senior official at the Assistant Secretary or equivalent level.  See 5 U.S.C. § 552(j)(1) (2018).  Is your agency’s Chief FOIA Officer at this level?

Yes

2.  Please provide the name and title of your agency’s Chief FOIA Officer. 

Sarah Lovenheim, Assistant Secretary for Public Affairs

B.  FOIA Training

3.  The FOIA directs agency Chief FOIA Officers to ensure that FOIA training is offered to agency personnel.  See 5 U.S.C. § 552(a)(j)(2)(F).  Please describe the efforts your agency has undertaken to ensure proper FOIA training is made available and used by agency personnel.

HHS FOIA advised Operating and Staff Division FOIA Offices of DOJ FOIA classes and third-party FOIA training opportunities such as the classes offered by the American Society of Access Professionals (ASAP). HHS FOIA also offered internal trainings to both FOIA and non-FOIA staff. FOIA Training is available to all employees through the HHS learning portal and required for all staff in HHS’s Public Affairs divisions

HHS FOIA provides a live FOIA brief as part of the New Employee Orientation, which all incoming HHS employees attend. HHS FOIA also gave a presentation on best FOIA practices to all HHS political appointees in FY 2021.

HHS FOIA hosted a customer service session with the Office of Government Information Services (OGIS) and provided training to approximately 100 HHS FOIA personnel with a focus on speaking and interacting with the requestor community.

The Office of the Secretary (OS) FOIA Office provided numerous trainings to OS Program Offices. These sessions covered the public’s right to access information, proper procedures for processing requests, and FOIA exemptions.

CDC offered the following training opportunities:

  • Annual CDC/ATSDR FOIA Training Forum
  • CDC Program Office 1:1 Training
  • New Employee Orientation

OIG provides on-demand training to component employees on specific topics.  Over the past year, the OIG provided training to employees in Audit Services.

HRSA makes formal and informal training available to the HRSA FOIA Office.  HRSA FOIA Office took advantage of the FOIA training that CDC FOIA Office provided on June 29, 2021.  Additionally, members of HRSA FOIA Office attended OGIS Negotiating with Requesters FOIA training on August 31, 2021.  Further, HRSA FOIA Office received informal and in-house training, for example:

  • Including Anticipated Completion Dates in Acknowledgement letters
  • Providing the volume of fully withheld records in Final Responses
  • Public availability of Non-Profit Tax Returns
  • Adjusting Advanced settings in Microsoft Word
  • FOIA Processing Fees
  • Post-Argus Exemption 4 standards
  • Segregability Requirements
  • Federal Tort Claims Act
  • COVID-19 Provider Relieve Fund
  • GLOMAR
  • Importance of Timing and Timelines
  • HHS Grant Policy Training

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

Yes

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

  • HHS FOIA hosted a customer service session with the Office of Government Information Services (OGIS) and provided training to approximately 100 FOIA personnel with a focus on speaking and interacting with the requestor community. This training provided by the OGIS mediation team discussed the power of negotiation. OGIS discussed how FOIA disputes arise, and how communication skills can help FOIA staff collaborate with requesters to tailor FOIA requests.
  • For the first time ever, CDC held its annual Training Forum virtually, open to all HHS OPDIVS.  During the 3-hour training, we provided training sessions on Exemption 4 and Exemption 5, and a panel discussion covering Media Transparency in FOIA, which included members of the requester community.
  • OIG attended several OIP training for FOIA professionals including an overview of FOIA, exemptions and proper application fee-waiver determinations, fee categories and request for expedited services.
  • ACL FOIA completed Virtual Continuing FOIA Education Training (4/2021): this two-hour course provided a discussion on current topics in FOIA administration that included, an update of current legal and policy developments impacting FOIA administration, and an overview of recent FOIA court decisions.
  • CMS staff attended Privacy Skill Up 101
    • Negotiating with Requesters
    • DOJ Sunshine Week Event
    • CMS FOIA process
  • IHS attended the DOJ virtual workshops:  Procedural Requirements and Fees Seminar, FOIA Litigation Seminar, Introduction to Freedom of Information Act and Chief FOIA Officer Report.
  • FDA attended training by the Department of Justice, such as presentations on Exemptions 1, 4, 5 and 7. FDA staff also attended the June 29, 2021 training presented by CDC, which covered Exemption 4, Exemption 5, and working with media requesters on FOIA requests. Finally, FDA’s DFOI presented training to staff on FOIA fees, denials, and appeals, and recent FOIA case law.
  • ACF Team members attended the following trainings: FOIA Court Case Update, Procedural Requirements and Fees, Exemption 4 and 5, Negotiating with the Requester, and Privacy Skill Up Training

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

95%

7. OIP has directed agencies to “take steps to ensure that all of their FOIA professionals attend substantive FOIA training at least once throughout the year.” If your response to the previous question is that less than 80% of your FOIA professionals attended training, please explain your agency’s plan to ensure that all FOIA professionals receive or attend substantive FOIA training during the next reporting year.

N/A

8.  Did the personnel at your agency who have FOIA responsibilities attend training in federal records management during this reporting period?

Yes

C. Outreach

9. Did your FOIA professionals engage in any outreach or dialogue, outside of the standard request process, with the requester community or open government groups regarding your administration of the FOIA?  Please describe any such outreach or dialogue, and, if applicable, any specific examples of how this dialogue has led to improvements in your agency’s FOIA administration.

  • CDC held two webinars that were open to the requester community.  In collaboration with OGIS, CDC held a webinar to provide insight into how we were responding to the COVID-19 related FOIA requests and provided tips and best practices for submitting successful FOIA requests.  During our second webinar, we provided a deep dive into the search process for electronic records and best practices for scoping requests.
  • OS met proactively with a frequent FOIA requestor and open government advocate to discuss their open requests and best practices for scoping requests.
  • The NIH FOIA Officer participated in an ASAP-mediated conversation for the public about the impact of the pandemic on FOIA operations entitled, “FOIA in the COVID Environment” in May of 2021. In addition, the FOIA Officer for NIH delivered a presentation available to the public entitled “Developments in FOIA in the Context of Animal Research” published in January of 2021.
  • FDA worked with a reporter who tweeted that the Fee Waiver box on FDA’s online submission form only provided 200 characters for a fee waiver justification. While the platform also allows requesters to attach a word or PDF document to expand on any part of their request (including their request for a fee waiver), FDA increased the character limitation in the box to 4000 characters.

D. Other Initiatives

10. Describe any efforts your agency has undertaken to inform non-FOIA professionals of their obligations under the FOIA.  In particular, please describe:

  • how often and in what formats your agency provides FOIA training or briefings to non-FOIA staff;
    • Bi-weekly informational session provided at New Employee Orientation provides FOIA training to all incoming HHS employees.
    • OS conducts regular trainings with Program Offices. Some of these sessions are attended by more than 100 staff members who are non-FOIA professionals
    • NIH FOIA staff typically deliver informal presentations to non-FOIA staff at the office and division level regarding the FOIA. These take place about once every quarter.
    • ACL FOIA staff use staff meetings at various levels to discuss FOIA obligations. In addition, as FOIA requests involve ACL offices and centers, FOIA staff take the opportunity to remind non-FOIA professionals of processes, procedures and obligations.  Due to the relatively low volume of ACL FOIA requests, briefings occur one-on-one as non-FOIA professionals become involved in the process.  Non-FOIA professionals’ responsibilities tend to be limited to conducting record searches.  Non-FOIA professionals’ questions and concerns generally focus on exemption 4 and the process around pre-disclosure.
    • IHS provided informal training on the FOIA process and procedures to specific staff members, to include some senior IHS staff members, via teleconference, when their offices were tasked to search for responsive records.  Training was provided to newly appointed Area FOIA Coordinators.
    • FDA has presented FOIA training to several program offices this year, including the National Center for Toxicological Research, the Office of the Media Affairs, and the Commissioner’s Fellows. Finally, all new employees receive an introduction to FOIA presentation as part of New Employee Orientation.
  • if senior leaders at your agency received a briefing on your agency’s FOIA resources, obligations and expectations during the FOIA process?
    • CDC FOIA Officer met with the incoming CDC Director.
    • CDC Weekly meeting with Chief of Staff and Chief Operating Officer outlining FOIA Office resource needs.
    • OS briefed HHS leadership on FOIA requirements, resource needs, and challenges, meets weekly with the Chief and Deputy Chief FOIA Officers, and provides monthly FOIA metrics.
    • NIH senior leaders are briefed upon assuming their roles on their collective responsibilities under the FOIA.
    • New OIG SES employees receive desktop training on FOIA Exemptions.
    • ACL’s FOIA Officer is a member of the agency’s senior leadership team and briefs members of the leadership team during weekly leadership team meetings as FOIA relevant matters emerge.
    • CMS Office of the Administrator received training on FOIA and Records Management in August 2021.

      FDA sends weekly and monthly reports to senior management regarding FOIA backlogs and other updates.

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

CMS is increasing the electronic request capability for requesters through an online portal which is under construction.

Content created by Freedom of Information Act (FOIA) Division
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