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The 2016 FOIA Amendments & Emerging FOIA Issues Fred Sadler, Retired Director FDA/HHS Division of FOI & Privacy

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Page 1: AINS emerging issues in FOIA Sadlerinfo.ains.com/rs/755-NWR-688/images/AINS emerging issues in FOIA... · AINS emerging issues in FOIA_Sadler Created Date: 10/23/2017 2:40:37 PM

The2016FOIAAmendments&EmergingFOIAIssues

FredSadler,RetiredDirectorFDA/HHSDivisionofFOI&Privacy

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WhatWeSaidBefore:2016FOIAConsiderations

Implementthe2016FOIAImprovementAct

ExpandedOpenGov’tInitiativesOpenGov’tPlan2016–2018,includesFOIA

PotentialimpactofCapstoneEffective12/16;agenciesmustmanageallemailelectronically,w/somepermanentretentionFOIAimpactonsearching&consultationsw/NARA(forpermanentemail)

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FOIAOfficers&Multi-Tasking?

TheFOIAOfficer

ReasonableSegregation

DiscretionaryRelease

FOIARelease

ProactivePosting

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2016FOIAImprovementActWhatShouldHaveAlreadyBeenDonePostrecordsrequested3+timesIDcategoriesofrecordsforpro-activepostingImplementForeseeableHarmstandard

AppliesonlytoExemptionsw/discretionaryreleasecomponent(#’s2,5&7)

UpdateresponselettersAccesstoPublicLiaison,OGIS&appealrights

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2016FOIAImprovementActWhatShouldHaveAlreadyBeenDone

UpdateAgencyFOIAregulationsMustinc.foreseeableharm,feechanges,etc.

ChiefFOIAOfficermustannuallyreview:Processingtime,exemptionuse,annualtrainingforFOIAstaff,regsupdate,proactiveposting,etc.Goals:Recommendefficiency&enhancements;increasedtransparency&compliancew/FOIA

Addt’lAnnualReportdataelementsEx.:#recordsavailableine-formatunder(a)(2)

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DOJ/OIPInstructionsfor2018ChiefFOIOfficerAnnualReport

DOJinstructionsissued9-27-17Emphasison:

ApplyingthepresumptionofopennessEnsuringeffectivesystemsforrespondingtorequestsIncreasingproactivedisclosureIncreasinguseoftechnologyImprovingtimeliness&reducingbacklogs

ReportsduetoDOJ/OIP1-29-18

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2018FOIAProgramIssues

FullCompliancewith2016Amendments

Budget&staffingrestrictions

Capstoneaccess

On-linePortal

Managingrequesterexpectations

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2018FOIAIssues

NoAttyGeneral(WhiteHouse)guidancememo,atthistime

BreakswithtraditionMonitorChiefFOIOfficerCouncil@OIP;&FOIAAdvisoryComm.@OGIS;forguidance&trainingopportunitiesMonitorCourtdecisionsimpactingFOIAusingDOJwebsite(signupforautonotice)

Address2016FOIArevisions,ifincomplete

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FOIA’sAllAboutResources

Nofundsallocatedunderthestatute(again)FOIAneedsMgm’tcommitmenttoresourcesinaclimateofbudget&staffingreductions

Createaddt’lworkloadmetrics,inc.requiredposting&508complianceHelpMgmt.understandtheneed&costofnotmaintainingsupportMonitorattyfeeawards;ifplaintiff“substantiallyprevails”paymentcomesfromyourAgcy(whatcanyouaffordtolose?)

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Implementation–Mgmt.SupportStatutoryrequirementsforexpandedposting&proactiverelease

Consultw/ChiefFOIOfficer&localmgmt.IT/CIOsupport,esp.w/remediationundersection508ofADAExpectstaffingloss(freezes,attrition)toresultinbacklogincreaseAddingaddt’lstaffmayresultinshorttermbacklogincrease,asSr.staffreview/mentornewstaff,orcomplexrecords/issues

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2018FOIAIssuesEnsureFOIAofficeaccesstoCapstone

FOIAofficerinputrein-houseretentiontimes?Howarerecordsindexedforretrieval?Whomanagesmetadata?Willthisexpandreferrals/consultations?ArerecordsbeingsenttoNARAredactedorunredacted?DorecordscontaininfosubjecttoPrivacyAct(PIIor“personallyidentifiableinfo”)

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On-LinePortal&Oppt’ytoParticipateinDevelopment&TestingResponsibilityassignedtoOMBinstatuteOIP/DOJworkingwithGSA’s“18F”team

SolicitedinputfromagencyFOIofficersOIPmemoof9-20-17statesworking“intheopen”OffersAgenciesoppt’ytoworkw/development(emailto:[email protected])

Priorities:Interoperationalw/existingsystemsinagenciesSubmissionofrequests&toobtainstatusReporting&searchcapability

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EnsureOperationofaConsolidatedOnlineRequestPortal

Goal:allowrequesterstosubmitrequeststoanyagency,throughasinglewebsite

MayincludeadditionaltoolsthatOMBunderstandswillimproveFOIAprocessing&complianceAgenciesmaystillmaintainownonlineportalsforrequestsubmission

OMBmustestablishstandardsfor“interoperabilitybetweentheconsolidatedportalandagencycasemanagementsystems.”

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SinglePortalChallenges?

AmendmentsrequirecreationofsingleOn-linePortalforrequesterstosubmit,toanyagencyDefinehowyourAgcyusesexistingportals

Centralizedorde-centralizedIstheFOIAloglinkedtoon-linepayments,formletters,reporting,repository,etc.?

Stayincontactw/CIOofficeforupdatesorchanges

DoyouneedITto“buildabridge?”

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Documentation–PartoftheAdministrativeRecord

ForeseeableharmdecisionsInternaldeliberationorpredecisional;drafts;atty-client;denials,etc.LinktoCapstone?Includeunredactedcopiesofrecords?PrivacyAct(PII)overlap?

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RequesterCommunityConcerns

Facilitaterequesterunderstanding&communicationthrueducation/outreachRequestersexpecttransparencycheaper&faster

Focusonclarificationinletters&FOIHandbookInitiate2-waydialogue(seeOGIStraining)

Useavailableresources-PublicLiaison,OGIS&DOJ/OIPworkshops

Negotiationw/bothrequesters&agencystaffPhoneratherthan“stillinterested”letters

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RequesterCommunityConcerns

OGIS&“FOIAImprovement:MakingItEasiertoHelpFOIARequesters”HighlightFOIAmetricson-line

#pages/recordsreleasedQuantifyextentofpro-activerelease&posting

Inc.FACA,referrals&consultations,litigation,etc.

#requestsrec’d&answeredAutomaticemailsentwhendatabasesupdated?

Usetechnology&email,butonlyin“formal”style–it’sstillagov’tresponseunderFOIA

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BacktoResources(HardWorkMaynotbeEnough)

Ifyoucan’t“domorewithless,”oreven“thesamewithless,”do“lesswithless”

Don’tlogrequeststhataren’t“perfected”Sendpartialresponses(esp.“simple”requests)EnsurereasonablesegregationMakephonecallsratherthan“stillinterested”letters(documentallcommunications)Delegate-workwithpressoffice&CIOfor‘netpostingwithoutFOIAofficersDon’tduplicate–standardizeresponses(CD?)Maximizeuseofstafftalents–considerassigningworkbasedonwhatdotheydobest

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Questions?

Thanksforyourinsight,dedication&hardwork.FOIAisajobthatmatters.