Mr. Tangen had received some records, but neither he, nor David Fort, deputy director of NARA’s FOIA/MDR Division, had any luck tracking down 195 pages sent to two Department of Defense (DoD) components: Office of the Secretary of Defense-Joint Chiefs of Staff (OSD/JS) and the Department of the Army.

OGIS contacted Stephanie Carr, DoD’s FOIA Public Liaison, whose sleuthing led to the needle in the haystack: an Army arsenal about 35 northwest of New York City. A FOIA professional at the Picatinny Arsenal in northern New Jersey had no idea the classified records that Mr. Tangen sought access to were tucked in a safe in her office.

She and her colleagues quickly reviewed the documents and determined that although they no longer contained DoD- or Army-classified information, they did contain some foreign government information of possible interest to the State Department. David Fort showed the documents to State Department reviewers at the Archives, and they had no objection to release, so the records were declassified.

Mr. Tangen visited the Archives to review the material, which he plans to compile, along with the other information he’s gathered, for reference by other interested enthusiasts. The case highlights the importance of FOIA Public Liaisons to OGIS’s work as well as best practices for the referral and consultation process. While many best practices were followed in this case, it illustrates that one missing piece can derail the referral and consultation process for both requesters and agencies.

When you are contemplating how to improve your agency’s FOIA program, think small and consider the personal touch. (ARC Identifier 521325)

The Department of Justice’s Office of Information Policy (OIP) hosted a Freedom of Information Act Administrative Forum on June 5, 2013, giving FOIA professionals – particularly FOIA Public Liaisons – a chance to discuss the issues they face.

As with many discussions in this budget climate, the conversation inevitably turned to how to do more with less. Agencies are seeing budgets drop while their FOIA caseloads increase. So what can agencies do to meet growing demands without additional funds?

For many agencies, big solutions – like additional staff and comprehensive technology packages – may be out of reach. The savvy attendees at Wednesday’s event suggested ways to think small instead:

1. Consider smaller, less expensive technology solutions that may help address some portion of your agency’s FOIA issues. Could you use FOIAonline, a multi-agency FOIA portal to receive and track requests, as well as make released documents widely available? Does your agency’s legal department have an eDiscovery solution that you could use to simplify the task of weeding out duplicate email messages? Could you work with your agency’s IT staff to find a low-cost solution for archiving emails (particularly those of employees who have left) to make searching for responsive records more efficient?
2. Harness the power of the personal touch. Several agencies reported success in reducing the scope of very broad requests. The key to their success? Contacting the requester immediately after receiving the request, rather than when the request is at the top of the (in some cases, long) queue. Requesters will be more willing to work with you if they believe that you are being responsive and respectful of their time.
3. Be creative. If you receive two requests that are similar, is it possible to broaden the scope of your search so that you can respond to both requests at the same time? Take a close look at your process to see if there are inefficiencies that you can fix.

If you have ideas for how an agency can do more with less, we’d love to hear from you!

Up up and away: the open government outlook calls for bright skies. (ARC Identifier 6505198)

Did you check the forecast this morning to see if you should grab an umbrella before you headed out the door? If so, did you know that information collected and distributed by the government helped you to stay dry? Many familiar technologies are built using government data sets, including the National Digital Forecast Database and the Global Positioning System. It’s easy to take these technologies for granted, but they improve our lives every day.

On May 9, 2013 the White House released an Executive Order titled Making Open and Machine Readable the New Default for Government Information. With this Order, the White House points to the immense social good (not to mention innovation and job growth) that can be created by innovators who use government data sets. As strong proponents of open government, we heartily agree!

As a first step in this process, the Director of the Office of Management and Budget, in consultation with the Chief Information Officer, Chief Technology Officer, and Administrator of the Office of Information and Regulatory Affairs will issue an Open Data Policy. This will give us a “forecast” of the government’s plans for making more data sets open and machine readable. Watch the skies soon after that for the release of tools and best practices to help agencies fulfill this mandate.

We can hardly wait to see what new technologies emerge from these data sets. We’ll keep you updated on the Open Data Policy as it develops.

The scenery has changed, but the National Archives’ commitment to public service and access remains the same. (ARC Identifier 4477186)

On May 13, 2013 the American Society of Access Professionals (ASAP) presented OGIS Director Miriam Nisbet with the President’s Award for Distinguished Public Service, ASAP’s highest honor. ASAP also gave the Director’s Award for Superior Public Service to the National Archives’ own Public Interest Declassification Board. Congratulations, Miriam and PIDB — we are so proud of you!

In presenting Miriam with the award, ASAP President Scott Hodes noted her work in FOIA at the Justice Department, in NARA’s General Counsel’s office during the 1990’s, as legislative counsel for the American Library Association, at the United Nations Educational, Cultural and Scientific Organization in Paris and then back at NARA in 2009 to set up and direct OGIS. In her acceptance speech Miriam remarked that she and FOIA “grew up” together, and how proud she is to be a part of FOIA’s maturing as the law now emphasizes mediation rather than litigation.

The awards session also included a keynote address from U.S. District Court Judge Royce Lamberth. Judge Lamberth is particularly notable in the FOIA world because he hears more FOIA cases than any other judge in Federal court. FOIA lawsuits by any requester maybe filed in the U.S. District Court for the District of Columbia. Judge Lamberth shared several observations accumulated from years of working with FOIA.

• “I think judges are too likely to give total deference to Exemption 1 claims,” said Judge Lamberth of the exemption which protects classified information from release. FOIA’s 20-working-day time limit for agencies to respond to request “is pretty unworkable,” he said.
• Requesters should have a little understanding when it comes to agency FOIA operations. “The government doesn’t have infinite resources—many requesters don’t get that,” he said. “Requesters need to be more realistic about what they can expect.”
• Government employees are “promoting democracy by providing the public with a right to know.”

There were lots of nodding heads in the room as Judge Lamberth spoke. We at OGIS look forward to continuing to work on the potential improvements to FOIA he highlighted.

If you have something but you can’t find it, you don’t have it. (ARC Identifier 4492629)

Composing a successful FOIA request can be tricky. Agencies are responsible for a mind-boggling amount of information, and finding a record amid years and years of accumulated documents can feel like searching for the proverbial needle in the haystack (though some requesters and agency professionals would probably argue that the haystack searcher’s task is the easier of the two).

We have worked on a few requests for assistance recently that deal with the challenges of search. Federal courts have long settled that in regard to a search for documents, the crucial issue is whether an agency conducted an adequate search for a document, not whether a document might exist. So, if you are a FOIA requester, how can you help an agency look for the records you seek?

1.  Be as specific as possible, especially with regard to older records. Remember that historical records may predate an agency’s electronic search tools, meaning that those tasked with searching may have to search for records by hand — help them out by providing information like a date range, a title, and any other relevant information.
2. Get to know how the agency keeps its records (or doesn’t). The FBI makes its file classification list available on its website. Consider how the records you seek might fit in to such a schema, and direct the agency to search specific files when you can. You may also wish to consult the agency’s records control schedule – you may find that it has disposed of the older records you seek or has sent them to the National Archives and Records Administration if they are permanently valuable.
3. Remember that not all agencies take a centralized approach to processing FOIA requests. If you are interested in records related to a specific branch or location, look at the agency’s website to see if you should direct your request there rather than to the agency’s headquarters. Often this information is in an agency’s FOIA regulation.

Above all, if you are not sure how to compose your FOIA request to help the agency better find what you are looking for, ask! FOIA Public Liaisons are available to help with this type of question (you can access a list of FPLs and their contact information on FOIA.gov). Of course, OGIS is also available to help.

Don’t let FOIA fees tie you in knots –let communication and the team approach work for you! (ARC No. 6431739)

FOIA fees can quickly snarl into knots for agency FOIA professionals and requesters alike. Untangling those knots takes work, but one of the best tools for the task is communication. That’s the central theme that emerged from a recent FOIA Requester Roundtable, sponsored by OGIS and the Office of Information Policy (OIP), Department of Justice (DOJ).

OIP Director Melanie Pustay reminded the participants that figuring out fees requires reading:

• the statute
• agency FOIA regulations
• the Fees and Fee Wavers chapter in the DOJ Guide to FOIA
• the FOIA Fee Guidelines issued in 1987 by the Office of Management and Budget
• OIP Fee Waiver Guidance.

And a little forbearance to work through what one requester called “this black box that is totally nonsensical.”

The biggest confusion may center around fee categories and fee waivers. All FOIA requests are considered in one of three requester categories, and there are different fee structures – and different requirements – associated with each. Fee waivers are different from fee categories and demand a much higher threshold for consideration than a fee category.

Fee estimates should be the start of a conversation between FOIA professionals and requesters, several participants agreed, and it doesn’t have to be a one-on-one conversation. Think about bringing in records managers and IT professionals who know the records and what a search might entail.

“We are beginning to see a real strong effort across the government to have a team approach combined with having a conversation,” said OGIS Director Miriam Nisbet.

Earlier in April, Director Nisbet joined James Hogan, Chief, Defense Freedom of Information Policy Office, in a lively discussion sponsored by the American Society of Access Professionals. And in March, we released our 2013 recommendations, which include facilitating an ongoing discussion about FOIA fees.

Several requesters at the Roundtable noted that some agencies are using outdated definitions of media requesters that don’t reflect changes in the 2007 amendments to FOIA; charging fees if an agency is past the 20-working-day response time and hasn’t articulated “unusual or exceptional circumstances” as required by the statute; and using OMB Guidelines which do not reflect changes to FOIA since the 1996 amendments.

One idea for tackling fees is having a senior FOIA professional review all of the fees estimates to ensure requests are being processed in the most cost-efficient way as required by OMB Guidelines. Another idea is to create a database of how requesters have been treated in the past for the purposes of FOIA fees.

We’d love to hear any ideas you have regarding FOIA fees. Let us hear from you!

Class is in session for FOIA professionals interested in learning about dispute resolution.

Are you a FOIA professional who is interested in learning more about how to resolve disputes that may arise in the FOIA process? If so, please join OGIS for Dispute Resolution Training for FOIA Professionals on Wednesday, May 1. This free all-day session (9:00 a.m. – 4 p.m.) will be held at the main Archives building.

The amended Freedom of Information Act (5 U.S.C. § 552) directs FOIA Public Liaisons to help resolve FOIA disputes. We offer a free dispute resolution skills training program for all FOIA professionals to help them fulfill this mandate. We present this training program in collaboration with the Department of Justice’s Office of Information Policy.

Participants will develop a working knowledge of Alternative Dispute Resolution techniques, learn how working with OGIS can help resolve disputes, practice active listening and good communication, and develop strategies for working with difficult people. This training is appropriate for anyone involved in the FOIA process, from program managers to FOIA attorneys to FOIA Public Liaisons.

If you are interested in joining us for this free training opportunity or if you would like more information, please email OGIS at: ogis@nara.gov.

The National Action Plan puts open government (and FOIA) in the spotlight.
(ARC Identifier 6011512)

In its March 29 self-assessment of the National Action Plan, the White House evaluated its progress on the two FOIA-related components of that plan: professionalizing FOIA administration and harnessing the power of technology.

During Sunshine Week 2012, the Office of Personnel Management announced the creation of the Government Information Series. This specialized field within the Executive Branch includes FOIA and Privacy Act professionals and provides for tailored job descriptions to recognize their unique roles. Agencies are currently re-working the descriptions for these positions to reflect the specialized skills needed to carry out FOIA’s requirements. The enhanced job series recognizes the essential and important role that FOIA professionals fulfill.

The assessment discussed several ways that agencies have harnessed technology to improve the FOIA process. The administration mentioned the new FOIAonline portal as an example of a  centralized FOIA administration system and library. The report also mentioned that more than 100 Federal offices currently use online portals to receive FOIA requests from the public.

The National Action Plan is a set of 26 commitments intended to increase public integrity, promote public participation, manage public resources more effectively and improve public service. It was created as part of the administration’s participation with the global Open Government Partnership, an international effort to improve government through transparent, effective and accountable governing.

Come talk fees with us! (ARC No. 6011228)

The issue of fees can trip up even the most experienced requester and FOIA professional. We all know that it is a tricky issue, but might there be a better way?

In our 2013 recommendations, we laid out our plan to discuss the issue of fees and fee waivers with the requester and agency communities; we will discuss this issue at the next FOIA Requester Roundtable Meeting. Hosted jointly with the Department of Justice Office of Information Policy (OIP), this meeting is open to members of the public as well as to all interested agency personnel. The roundtable will take place on April 24, 2013, 10:00 a.m. – noon at OIP (1425 New York Avenue NW, Suite 11050). 

If you are interested in attending, you can register by e-mailing your name and phone number to OIP’s Training Officer at DOJ.OIP.FOIA@usdoj.gov with the subject line “April Requester Roundtable Registration.”  As space for this meeting is limited, registration is required to attend, and please remember that you will need a picture ID to enter the building.  If you have any questions regarding this event, please contact OIP’s Training Officer at (202) 514-3642.

We look forward to hearing your good ideas!

FOIA is making news these days. (ARC Identifier 552929)

FOIA is everyone’s responsibility. This is a common refrain for FOIA processors and records managers, but we have observed that it can be a challenge to impress upon those outside the FOIA department that FOIA is their job, too. For those who don’t live and breathe FOIA, having a cumbersome, time-sensitive project like a FOIA request foisted upon you when you are already busy can really ruin your day.

We’ve heard over and over that when agency heads make FOIA a priority, others do, too. We’ve made this point in our recommendations and we are sure to discuss it when we meet with agencies.

Considering the importance of top-down support for FOIA, we were very happy that the head of our own agency, the National Archives and Records Administration (NARA), publicly showed his continued support for FOIA during Sunshine Week. Archivist of the United States David Ferriero sent this message to all employees of NARA:

To: All Employees

FOIA Is Everyone’s Responsibility

FOIA matters. Each year, nearly 650,000 Freedom of Information Act (FOIA) requests are made to Federal agencies, including more than 13,000 to NARA in Fiscal Year 2012. NARA’s core mission, of course, is to make our archival records available to the public, including through FOIA.

Responding to access requests doesn’t rest solely on NARA’s FOIA and archival staff. FOIA is everyone’s responsibility. This year, as we celebrate Sunshine Week by displaying the original FOIA statute in the East Gallery of the National Archives’ Rotunda in Washington, D.C., I thank you for taking seriously your responsibility to meet FOIA’s important legal obligations and remind you that FOIA applies equally to our internal operational records.

 Every document you create and email you send in the course of doing your job may potentially be a Federal record subject to FOIA. As you may know, FOIA provides the public with the right to access Federal records with limited exceptions. After all, in a democracy, the government is conducting business on behalf of the public. When a member of NARA’s FOIA staff contacts you about records your office may have, please respond and keep open a line of communication with the agency’s FOIA professionals. FOIA gives Federal agencies just 20 working days under the law to respond to requests, and that can happen only through teamwork and a commitment to FOIA from everyone.

 FOIA nurtures our democracy through transparency and accountability, helping countless people each year learn about some aspect of their government. This is especially important here at NARA, where records matter. I thank each one of you for your commitment to FOIA and the public’s access to government records.

DAVID S. FERRIERO

Archivist of the United States

We thank the Archivist for his commitment to FOIA and his willingness to remind all employees of NARA that when you get right down to it, we are all FOIA professionals. We encourage the heads of other agencies to send a similar communiqué to their employees to remind them that when we work together, FOIA works better.