OGIS Issue Assessment Recommendations and Best Practices
OGIS periodically reviews particular FOIA issues that cut across many or all agencies. OGIS uses several important channels of communication to identify and address these systemic issues. Our daily work helping requesters and agencies who come to us for assistance helps serve as a FOIA barometer. That work, coupled with the work of the FOIA Advisory Committee and the Chief FOIA Officers Council, help us fulfill Congress’s mandate to review FOIA policies, procedures and compliance, and identify procedures and methods for improving compliance with FOIA.
The tables below are arranged by category and include nearly 50 recommendations to aid federal agencies with FOIA compliance and customer service. The full list of the 11 issue assessments, in reverse chronological order, is here.
Below are OGIS definitions of best practice and recommendation. In addition definitions are provided for the table category labels: "COMMUNICATION," "MANAGEMENT," and "TECHNOLOGY."
Best Practice: Methods that OGIS has observed work well in many FOIA programs.
Recommendation: A course of action suggested by OGIS to help an agency comply with the FOIA statute, Department of Justice guidance or other authority, or to help an agency avoid disputes that could lead to litigation.
Table 1: Communication Recommendations & Best Practices from OGIS Issue Assessments*
COMMUNICATION: The transmission of information between a FOIA requester and a federal agency; could be written, such as an initial FOIA response letter, or verbal, such as a telephone call to discuss the narrowing of a scope of a request.
*Please note the table headers are sortable, click on the table header (blue box) to sort each column in alphabetical order. Use the Ctrl+F function to search the page and table using specific terms.
| Best Practice or Recommendation | Source | Date Published | Type | Topic |
|---|---|---|---|---|
| Remind requesters that an EDC is just that, an estimate, and not a guarantee that the agency will have responded to the request by that date. | Agency Compliance with the Estimated Date of Completion Requirement of FOIA | 03/31/2020 | Best Practice | Supplying Estimated Dates of Completion |
| Use a request for an EDC as an opportunity to discuss the scope of the request with the requester and how narrowing the scope could result in an earlier EDC. | Agency Compliance with the Estimated Date of Completion Requirement of FOIA | 03/31/2020 | Best Practice | Supplying Estimated Dates of Completion |
| Provide requesters with EDCs for appeals upon request. | Agency Compliance with the Estimated Date of Completion Requirement of FOIA | 03/31/2020 | Best Practice | Supplying Estimated Dates of Completion |
| Agencies that do not have online tools for looking up EDCs should include on their FOIA websites contact information for the FOIA Requester Service Center and FOIA Public Liaison so requesters can contact the agency to request an EDC. | Agency Compliance with the Estimated Date of Completion Requirement of FOIA | 03/31/2020 | Best Practice | Supplying Estimated Dates of Completion |
| Agencies should take additional steps to ensure that the use of [still interested] letters is in line with OIP’s July 2, 2015, guidance, including providing instructions on how to use these letters in standard operating procedures (SOPs) and ensuring that FOIA managers are aware of how FOIA processors are using still interested letters; one way to improve oversight of the use of still interested letters is for the FOIA manager to sign these letters. | Review Of The Use Of “Still Interested” Letters Part 3: Recommendations To Improve Transparency Of The Use Of Still Interested Letters | 05/11/2016 | Recommendation | Limiting "Still Interested" Letters |
| Regularly communicate with requesters regarding requests that have been pending more than three or four months, which could alleviate the need to use still interested letters. | Review Of The Use Of “Still Interested” Letters Part 3: Recommendations To Improve Transparency Of The Use Of Still Interested Letters | 05/11/2016 | Recommendation | Limiting "Still Interested" Letters |
| Ensure that FOIA websites and FOIA handbooks direct requesters to check FOIA libraries for documents before filing requests. | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Informing Requesters about FOIA Process |
| In communications with requesters, provide the telephone number, email address and link to a portal or website for the FOIA Requester Service Center and FOIA Public Liaison so requesters know how to contact the agency for status information. | Agency Compliance with the Estimated Date of Completion Requirement of FOIA | 03/31/2020 | Best Practice | Communicating Effectively |
| Clearly define the terms used in any online tool that provides status information. | Agency Compliance with the Estimated Date of Completion Requirement of FOIA | 03/31/2020 | Best Practice | Communicating Effectively |
| Consider ways in which the agency can better communicate with FOIA requesters about additions to the agency FOIA library/reading room. | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Communicating Effectively |
| Address the deficiencies in the information they include about FOIA on FOIA websites. | Agency FOIA Websites | 11/28/2022 | Recommendation | Communicating Effectively |
Table 2: Management Recommendations & Best Practices from OGIS Issue Assessments*
MANAGEMENT: How an agency administers, regulates, and manages its FOIA resources - both human and fiscal.
*Please note the table headers are sortable, click on the table header (blue box) to sort each column in alphabetical order. Use the Ctrl+F function to search the page and table using specific terms.
| Best Practice or Recommendation | Source | Date Published | Type | Topic |
|---|---|---|---|---|
| Use average processing times for simple and complex requests to help determine EDCs. | Agency Compliance with the Estimated Date of Completion Requirement of FOIA | 03/31/2020 |
Recommendation |
Supplying Estimated Dates of Completion |
| Agency Chief FOIA Officers should ensure that FOIA professionals have the necessary resources to provide EDCs to FOIA requesters. | Agency Compliance with the Estimated Date of Completion Requirement of FOIA | 03/31/2020 | Recommendation | Supplying Estimated Dates of Completion |
| Ensure that online tools that provide estimated dates of completion function properly, provide the most up-to-date information possible, and provide contact information for the FOIA program. | Agency Compliance with the Estimated Date of Completion Requirement of FOIA | 03/31/2020 | Recommendation | Supplying Estimated Dates of Completion |
| Agencies must provide estimated dates of completion to requesters upon request to comply with the FOIA statute. | Agency Compliance with the Estimated Date of Completion Requirement of FOIA | 03/31/2020 | Recommendation | Supplying Estimated Dates of Completion |
| In processing FOIA requests requiring consultation with another government agency, agencies should ask the other agency for an estimated date of completion. Calculate the estimated date of completionfor a request requiring consultation by combining your agency’s own processing time estimate with the consulted agency’s time estimate. If the consulted agency does not provide an estimated date of completion, provide one to the requester based on your agency’s general experience working with that agency and the types and volumes of records at issue. | Agency Compliance with the Estimated Date of Completion Requirement of FOIA | 03/31/2020 | Best Practice | Supplying Estimated Dates of Completion |
| If the date for an estimated date of completionhas passed and the requester asks for a new estimated date of completion, agencies should consider using other data to determine the new estimated date of completionand/or put into context the agency’s delay in responding. Other data available include the median number of days it took the agency to process requests in a particular queue; the median age of requests in a particular queue; the range in the number of days it took to the agency to respond to requests in a particular queue; and the range in the number of days requests have been pending. | Agency Compliance with the Estimated Date of Completion Requirement of FOIA | 03/31/2020 | Best Practice | Supplying Estimated Dates of Completion |
| Discuss and define success measures for the agency’s FOIA library/reading room to establish goals and objectives. | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Reviewing FOIA Libraries/Reading Rooms |
| Use data and user feedback to optimize usability of FOIA libraries/reading rooms. | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Reviewing FOIA Libraries/Reading Rooms |
| Partner with the agency’s web team to conduct User Experience (UX) analysis. | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Reviewing FOIA Libraries/Reading Rooms |
| Work with records managers to understand the agency’s records retention schedules to help determine the lifecycle of documents in libraries and reading rooms. | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Reviewing After Posting Online |
| Conduct an “undue burden” analysis by balancing Section 508 of the Rehabilitation Act of 1973 and FOIA statutory obligations, while keeping in mind that the Rehabilitation Act allows agencies to release electronic documents that are not Section 508-compliant if rendering them compliant would “impose an undue burden” on the agency. (The 2016-2018 term of the FOIA Advisory Committee recommended this as a Best Practice.) | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Preparing Documents for Posting Online |
| Collaborate with the agency’s Chief Data Officer to ensure that they understand the importance of FOIA. | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Incorporating Federal Data Strategy |
| Leverage the agency’s centralized data office. | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Incorporating Federal Data Strategy |
| OIP should begin requiring that agencies directly report in Annual FOIA Reports how many requests are closed using still interested letters. | Review Of The Use Of “Still Interested” Letters Part 3: Recommendations To Improve Transparency Of The Use Of Still Interested Letters | 05/11/2016 | Recommendation | Improving Oversight |
| The Office of Information Policy (OIP) at the U.S. Department of Justice (DOJ) should collect detailed information in Chief FOIA Officer (CFO) reports regarding specific methods and technologies that agencies are using to search their electronic records, including email. | Leveraging Technology to Improve Freedom of Information Act (FOIA) Searches | 05/11/2016 | Recommendation | Improving Oversight |
| Designate a point of contact to approve search requests within records management systems. | Leveraging Technology to Improve Freedom of Information Act (FOIA) Searches | 07/31/2019 | Best Practice | Encouraging Compliance and Accountability |
| Make the end-goal of responding to FOIA requests a major component when developing the agency’s records management system and workflows. | Leveraging Technology to Improve Freedom of Information Act (FOIA) Searches | 07/31/2019 | Best Practice | Encouraging Compliance and Accountability |
| OGIS should continue to monitor compliance with OIP’s guidance as part of our agency FOIA compliance assessments. | Review Of The Use Of “Still Interested” Letters Part 3: Recommendations To Improve Transparency Of The Use Of Still Interested Letters | 05/11/2016 | Recommendation | Encouraging Compliance and Accountability |
| Federal agencies that receive more than 50 FOIA requests annually should include FOIA in their annual performance plans. | FOIA Inclusion in Agency Performance Plans | 09/30/2022 | Recommendation | Encouraging Compliance and Accountability |
| Include specific FOIA goals along with metrics in agency annual performance plans for accountability and to leverage FOIA toward furthering an agency’s mission. | FOIA Inclusion in Agency Performance Plans | 09/30/2022 | Recommendation | Encouraging Compliance and Accountability |
| Continue to highlight efforts and successes surrounding efforts to inform non-FOIA professionals of their obligations under FOIA. | FOIA Performance Measures for Non-FOIA Professionals | 09/29/2020 | Recommendation | Encouraging Compliance and Accountability |
| Involve all key stakeholders in implementing performance measures; keep communication open; evaluate steps taken; and encourage inter-agency sharing of lessons learned. | FOIA Performance Measures for Non-FOIA Professionals | 09/29/2020 | Recommendation | Encouraging Compliance and Accountability |
| Formally recognize that FOIA is everyone’s responsibility, and create, implement, and/or refine performance measures that address the FOIA responsibilities of employees who have no explicit FOIA duties. | FOIA Performance Measures for Non-FOIA Professionals | 09/29/2020 | Recommendation | Encouraging Compliance and Accountability |
| Be flexible; review existing examples for performance standards and appraisal elements; and modify as applicable. | FOIA Performance Measures for Non-FOIA Professionals | 09/29/2020 | Recommendation | Encouraging Compliance and Accountability |
| Prioritize for proactive posting the 11 types of records identified by the 2016-2018 FOIA Advisory Committee, including reports and testimony submitted to Congress, an agency organizational chart, and calendars of top officials. | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Determining What to Post Online |
| Follow strategies for identifying and prioritizing three broad categories of records for proactive disclosure identified by the 2016-2018 FOIA Advisory Committee: records that memorialize agency actions; records that provide data collected or maintained by the government that aid in the public’s understanding; and records that are frequently requested. | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Determining What to Post Online |
| Keep abreast of issues in the news that are likely to lead to requests. | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Determining What to Post Online |
Table 3: Technology Recommendations & Best Practices from OGIS Issue Assessments*
TECHNOLOGY: Systems that agencies use to accept and track FOIA requests, search for responsive records, review and apply redactions to responsive records, respond to requests and capture annual FOIA data.
*Please note the table headers are sortable, click on the table header (blue box) to sort each column in alphabetical order. Use the Ctrl+F function to search the page and table using specific terms.
| Recommendation | Source | Date Published | Type | Topic |
|---|---|---|---|---|
| Provide on agency websites an inventory of agency data and the method of organizing the data [in accordance with the Office of Management and Budget (OMB) Supplemental Guidance on the Implementation of OMB Memorandum M-13-13 “Open Data Policy – Managing Information as an Asset”] to increase the likelihood of specific, narrow, and tailored requests. (The 2016-2018 term of the FOIA Advisory Committee recommended this as a Best Practice.) | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Incorporating Federal Data Strategy |
| Note than a modification to the Federal Acquisition Regulation (FAR) requires all agencies to consider FOIA obligations when acquiring electronic records management software. | Leveraging Technology to Improve Freedom of Information Act (FOIA) Searches | 07/31/2019 | Recommendation | Improving Processes and Systems |
| Partner with agency IT professionals to streamline the process for posting documents. | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Improving Processes and Systems |
| Designate an IT employee to work with the FOIA office. | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Improving Processes and Systems |
| Create add-on IT systems for exporting records. | Leveraging Technology to Improve Freedom of Information Act (FOIA) Searches | 07/31/2019 | Best Practice | Improving Processes and Systems |
| The CFO Council should partner with the Chief Information Officers (CIO) Council to establish a subcommittee to study the use of FOIA technology across the government and identify best practices and recommendations that can be used across agencies. | Leveraging Technology to Improve Freedom of Information Act (FOIA) Searches | 07/31/2019 | Recommendation | Improving Oversight |
| Regularly check and update FOIA libraries and fix broken links. | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Encouraging Compliance and Accountability |
| Ensure that FOIA websites and electronic reading rooms include accessible contact information that individuals with disabilities can use if they encounter inaccessible documents. (The 2016-2018 term of the FOIA Advisory Committee recommended this as a Best Practice.) | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Communicating Effectively |
| Make an effort to provide a Section 508-compliant index or catalog of existing records along with a simple and streamlined process for persons with disabilities to request particular records in the index or catalog in accessible formats. (The 2016-2018 term of the FOIA Advisory Committee recommended this as a Best Practice.) | Methods Agencies Use to Prepare Documents for Posting on Agency FOIA Websites | 12/16/2020 | Best Practice | Communicating Effectively |
| Make finding information on websites easier. | Agency FOIA Websites | 11/28/2022 | Recommendation | Communicating Effectively |