Section IV: Steps Taken to Greater Utilize Technology

A key component of FOIA administration is using technology to make information available to the public and to gain efficiency in FOIA processing.  The Attorney General’s FOIA Guidelines emphasize the importance of making FOIA websites easily navigable and complying with the FOIA.gov interoperability requirements.  Please answer the following questions to describe how your agency is using technology to improve its FOIA administration and the public's access to information.

1. Has your agency reviewed its FOIA-related technological capabilities to identify resources needed to respond to current and anticipated FOIA demands?

Yes

2. Please briefly describe any new types of technology your agency began using during the reporting period to support your FOIA program.  

OS FOIA is working closely with FOIA software company to identify challenges with requesters’ ability to submit requests on-line; updating information and resources and provided process improvements to use different areas of the software. 

ACL launched a web-based FOIA request form that is located on the agency’s FOIA website and is integrated with the agency’s enterprise management system (CFMS), which includes FOIA.  The form establishes a FOIA case in CFMS and required fields are automatically entered.  The form has reduced staff manual entry of data and prevents spam from entering the system.

CDC is piloting a new artificial intelligence software that helps identify information that may need to be redacted under a FOIA exemption.

CMS instituted a new public online portal for electronic submission of FOIA requests.  Additionally, a technology interface to the agency’s digital mail system now allows FOIA requests sent via postal mail to be scanned and transmitted into the agency’s internal request tracking system.

FDA FOIA staff increased its use of Relativity and other eDiscovery tools, improving the efficiency of its FOIA review process.

HRSA launched a new FOIA request submission portal that is integrated with the agency’s FOIA tracking system.  This reduced the need for HRSA FOIA staff to manually log request into the FOIA tracking system.  Additionally, the new portal includes a feature that allows requesters to track the status of their requests.

NIH FOIA is currently evaluating a video redaction platform to facilitate the review of video records prior to release.  

3.  Does your agency currently use any technology to automate record processing?  For example, does your agency use machine learning, predictive coding, technology assisted review or similar tools to conduct searches or make redactions?  If so, please describe and, if possible, estimate how much time and financial resources are saved since implementing the technology.

OS FOIA uses a tracking system with eDiscovery capabilities, including identifying duplicate and “near duplicate” records to improve the review process.  This system also has a “find and redact” feature that allows the reviewer to identify common information that is routinely redacted from records (i.e., personally identifiable information).

CMS FOIA uses electronic record search tools for email record searches and an e-discovery tool to identify litigation documents more quickly.

HRSA FOIA uses multiple Adobe Acrobat plug-ins, including one that deduplicates portable document format (PDF) files.  These plug-ins helped save over 100 people-hours during the reporting period.

NIH FOIA uses eDiscovery software to deduplicate records and identify similar records to ensure exemptions are applied in a consistent manner.  The eDiscovery software saves hundreds of hours of review time and minimizes the risk associated with inconsistent releases.

4.  OIP issued guidance in 2017 encouraging agencies to regularly review their FOIA websites to ensure that they contain essential resources and are informative and user-friendly.  Has your agency reviewed its FOIA website(s) during the reporting period to ensure it addresses the elements noted in the guidance?

Yes.  HHS FOIA Offices review their agency’s FOIA websites on a regular basis to ensure that these websites contain up to date FOIA libraries, instructions for making a request or inquiring about an existing request, and the most recent reports related to the administration of FOIA.  These websites are also regularly updated to reflect changes in the FOIA process or new contact information, and to make sure that all links are up-to-date. 

5. Did all four of your agency's quarterly reports for Fiscal Year 2022 appear on FOIA.gov?

Yes.

6.  If your agency did not successfully post all quarterly reports on FOIA.gov, please explain why and provide your agency’s plan for ensuring that such reporting is successful in Fiscal Year 2023.

N/A

7.  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 2021 Annual FOIA Report and, if available, for your agency’s Fiscal Year 2022 Annual FOIA Report.

https://www.hhs.gov/foia/reports/annual-reports/fy-2021-raw-data.html

8. In February 2019, DOJ and OMB issued joint Guidance establishing interoperability standards to receive requests from the National FOIA Portal on FOIA.gov.  Are all components of your agency in compliance with the guidance?

Almost all HHS agencies are complying with the 2019 guidance establishing interoperability standards to receive requests from the National FOIA Portal on FOIA.gov.  Two FOIA Offices (ACF and OIG) are working to resolve technical issues that have prevented their agencies from being fully interoperable with the National FOIA Portal.

9. Optional -- Please describe the best practices used in greater utilizing technology and any challenges your agency faces in this area.

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