Plan for Improvement of the Administration

Plan for Improvement of the Administration

of the

Freedom of Information Act Program

at

The Federal Trade Commission

Submitted to

The Department of Justice

The Office of Management and Budget

June 6,2006

A.

Description and Overview of FOIA Program

The Federal Trade Commission ("FTC") is an independent law enforcement agency

comprised of two major law enforcement Bureaus. Consumer Protection and Competition,

n

offices. The F;TC's

supported by the Bureau of Economics and regional and m ~ s s ~ osupport

Freedom of information Act Program ("FOIA") is a component of the agency's Office of General

Counsel ("OGC7'). The FTC's FOIA operations are centralized and the office responds to all

requests for records located in the Headquarters in Washington, D.C. and eight regional offices.

The office 1s staffed with eight full-time employees: one supervisory attorney, one staff attorney

and six paralegals. The staff attorney and paralegals are each responsible for their own caseload

of requests; which includes reviewing each request for expedited processing and fee waivers,

sending acknowledgment letters informing requesters of the FOIA Case number and providing

their dlrect phone number, locating responsive records, reviewing the records, applying

exemptions and making recommendations for release to the supervisory attorney. The senior

supervisory attorney reviews all responses for accuracy and completeness before they leave the

agency. The agency responds to approximately 1.000 requests per yea.

In addition to the full-time staff, each operating unit within the agency has designated one

staff member as the FOIA contact for that office. The FOIA contact is responsible for identifying

the responsive records within that unit and forwarding such records to the FOIA staff for review.

The FOIA contacts are trained by the FOIA office. in addition to the FOIA contacts, agency staff

members with responsive documents are required to fill out a referral form indicating the

locations searched and the records located. The agency has found that the combination of the

responsibilities between FOIA contacts and agency staff provides accurate and timely results.

The FOIA operations moved to OGC in January of 1998. At that time, the office was

staffed with one assistant, two attorneys and three paralegals. OGC reviewed the program and

made many substantive changes to the FOIA program. increased the staffing levels, improved

searches. and implemented line-by-line review to ensure that all non-exempt portions of records

are released. In early 2002, the FTC Chairman hired an outside consultant to review the program

and determine if further changes should be made. After comparing the FTC's program to

similarly situated programs at other agencies, the consultant commended the FTC' s customer

service orientation noting that FOIA staff was in regular contact with the requesters and many of

the conversations resulted in significant narrowing of requests that save precious time and

resources. He further noted that many of the telephone conversations resulted in requesters

withdrawing requests because the FOIA staff was able to direct requesters to information

available on the F;TC7swebsite.

After September I I. the agent! observed that there were often length) delays In recelvlng

mall w h ~ c hled to very unhappy cksslorners The FOIA off~cebegan acar-velq exploring ways to

use electnonrc means to expedrte processang of requests In order to facrlraaze ease of f h g

document requests, the FOliA off~cereconbtructed the FOIA portlsn of the R C ' s anebsrte. The

nem webslte pro\ ~ d e promnnent

s

links to both an on-frne request f o m (and rnstructlons for f~h'lrng

11 our) and link lo a FOlA e-mall account ro facl t~rateacceptance s f electron~caliysubrn~tted

FOTA requests

The agency has actively sought to make agency records publicly available as much as

possible. The FOIA website provides links to other areas of the FI'C website where records on a

wide variety of topics are found, obviating the need for FOIA requests in many instances. The

FTC commits resources to maintain an extensive collection of documents on-line, and the links

provide additional methods of finding information on the website. Additionally, staff in the

FOIA office conducted a training session for the staff in the agency's Consumer Response

Center. the unit responsible for the public reference room and the consumer complaint hotlines.

This training increased the understanding between the offices and ensured that the Consumer

Response Center provided accurate information to consumers and an accurate understanding of

what consumers could expect to receive under the FOIA. The agency's commitment to placing

records on the website and the availability of more records in its Consumer Response Center

eliminated nearly 100 requests per year from a watchdog group that was able to get the

information wlthout going through the FOIA. Finally, the FOIA office worked with the agency's

Premerger Notification Office to aid in putting informal advice letters on-line, which were the

subject of numerous FOIA requests each year. While no quantifiable data exists to support the

contention that these steps alone are responsible, the overall number of I;OIA requests decreased

from 1586 In 2001 to 1016 in 2002.

In addition to the ability to receive requests electronically, the agency began a search for

an off-the-shelf software package that would enable the FOIA office to maintain a totally

electronic environment. Until the autumn of 2004, the agency tracked requests in an Access

database that did not provide the ability to multi-track (differentiate between simple and complex

requests) or handle records electronically. Working with the Agency's Chief Information

Officer, the FOIA Office reviewed many options and selected and purchased a suitable software

program. On October 1, 2004, after several months of testing, the office began processing all

FOIA requests electronically. The system provides capabilities to multi-track requests, track

requests for documents from operating units, track requests for fee waivers and expedited

treatment (and responses thereto), import responsive records, redact and apply exemption codes

electronically. generate response letters, and transmit the completed response electronically.

In FY '04. when the agency first switched to an all electronic environment and began

capturing the multi-tracks, the agency responded to 608 simple requests In a median 11 days and

175 complex requests in a median 41 days. In FY '05, as users became more familiar with the

software. the agency responded to 875 slmple requests in a median 6 days and 127 complex

requests In a rned~an53 days. As of May 2006, the agency has responded to 525 s~mplerequests

in a rnedlan tlrne of 5 days and 102 complex requests in a medran tlme of 33 days. It has no

backlog of F01A cases that are not being actively processed.

B.

Areas Considered for Review:

Affirmative dlsclosure under 5 U.S.C. $552(a)(2)

Proactive dlsclosure of information

Overall FOIA website improvement

Improvement of agency's FOIA Reference Guide

Automated tracking capabilities

Electronic FOIA - Automated Processing

Electronic FOIA - Receiving/responding to requests electronically

Troubleshooting problems with respect to existing electronic traclung

Expedited processing

Backlog reduction/elimination

Politeness/courtesy

Forms of communication with requesters

Process by which necessary cooperation is obtained from agency "program personnel"

Additional training (fomal andor on-the-job)

Recycling of Improvement information gleaned from FOIA Requester Service Centers

Agency billing and collection.

C,

Results of Review

Review of the I;TC's FOIA office indicates an efficient and effect~veoperation that has

the support of management and staff wlthin the agency. The agency's commitment of resources

in staff and the new electronic traclung system have increased satisfaction wlthin the agency and

its outside clients. The FOIA staff's commitment to regular communication with requesters has

led to narrowing or withdrawal of many requests. The staff also successfully breaks down large

requests into smaller portions and sends out records in partial responses so the requester has a

continual flow of records as they are reviewed. These procedures not only keep the requester

satisfied, they often lead to the remainder of the request being withdrawn because the requester

receives sufficient information in early responses.

D.

Areas chosen for improvement:

Dedlcate e x ~ s t ~ nstaff

g posltlon to Program Ass~stanc

Troubleshootrng any exlstlng problems ~ l t respect

h

to electronic track~ng

Tralnlng

Process by wh~chnecessary cooperation is obtained from agency "'program personnel"

Bllllng and collect~on

Overall FOTLA websnte ~mprovement

Agency's F88A Reference Grnsde

Affimatice drsclosure under 5 U S 6: $553(a1(2)

Recycltng of ~mprovement~nformattongledned from FOIA Requester Service Centers

F o m s s f commrrn~ca%~sn

M I P requesters

~

E.

Improvement Areas:

1.

Dedicate Existing Staff Position to Program Assistant

Goals: The agency's goal is to hire a Program Assistant to assist staff with data input:

scanning and redacting, and website improvement.

a.

b.

Work with Human Resources office to post vacancy announcement and receive

list of qualified candidates

Interview candidates and select individual for the position

Time Measurements:

April 15,2006:

June 2,2006:

October 1. 2006:

Post vacancy annouarcernent

Contact candidates for interviews

Interview and hire candidate

Means of measurement of success:

The candidate will be hired by the target date.

2.

Troubleshooting any existing problems with respect to electronic traclung

m: The agency's goal is to ensure that requests are placed in the proper track to

decrease the median number of days for simple requests and ensure that requests

are processed in the proper order.

Steps:

a.

b.

c.

Create clear guidelines for staff for identifying simple or complex requests

Determine best method of ensuring compliance with multi-track designation (i.e.,

supervisor approval to select track, clear designation in review memo, etc.)

Designate one senior staff person to review proposed tracking designations based

on the guidance created

Time milestones:

July 3 1, 2006:

Complete ent~retask

Means of measurement of success:

We will compare completion t~mesfrom before the changes are implemented. Within six

months, median days for simple requests should remain the same or decrease, and median

days for complex requests should remain the same or decrease.

3.

Training

Goal: The agency's goal is to conduct training for agency operating units on individual

responsibilities under FOIA, legal requirements and procedures at the FTC.

a.

b.

c.

d.

e.

f.

g.

Prepare comprehensive training manual for all agency staff

Prepare customized training materials specific to operating unit FOIA contacts

Conduct training for Operating unit FOIA contacts

Conduct training for staff in headquarters by divisjon

Determine whether to conduct on-site training in regional offices

Conduct on-site or video training for eight regional offices

Post training materials on-line at the FTC's intranet site

Time Milestones:

Complete final version of training materials for FOIA contacts

August 15,2006:

September 11,2006: Begin training FOIA contacts

October 30, 2006:

Complete training of FOIA contacts

December 31, 2006: Complete final version of training materials for all agency staff

Begin Headquarters Training, determine whether to conduct on-site

January 15, 2007:

training in regional offices

April 30,2007:

Complete all training in Headquarters

June 15,2007:

Complete all training for Regional staff

Means of measurement of success:

By June 15, 2007, we will complete training for 90% of agency operating units. Staff

evaluations should indicate an 80% positive response to training.

4.

Process by which necessary cooperation is obtained from agency "program personnel".

Goals: The agency's goal is to work with agency personnel and. particularly, Operating

Unit FOIA contacts, to determine whether current referral forms and systems for

searching for records and forwarding to the FOIA office are the most efficient.

Steps:

a.

b.

c.

d.

e.

Conduct training for operating unit FOIA contacts (see item 6, above)

Solicit feedback from FOIA contacts concerning effect~venessof current

procedures and any suggested improvements

Review comments from FOIA contacts

Implement appropriate improvements in the FOIA office

Incorporate improvements into training matenals for all agency staff and present

at trainings discussed in previous session.

Time Measurements:

September 11, 2006: Begin training for FOIA contacts and provide forms for feedback

October 30.2006:

Complete training for FOIA contacts, begin implementing changes

(if necessary)

December 15,2006: Finish implementing appropnate suggested changes to office

procedures

December 3 1, 2006: Complete final version of train~ngmaterials for all agency staff

January 15,2007:

Begin headquarters training, including new procedures

Means of measurement of success:

We will train and receive feedback from 100% of FOIA contacts. We will track

compliance times for six months prior to training and SIX months post-training. Success

1s a 50 % increase in the number of requests in which non-program responses are secured

uithin the time frame allotted.

5.

Billing and collection

Goal: The agency's goal is to improve billing and tracking of collections to ensure the

government is assessing and collecting the appropriate fees.

Steps:

a.

b.

c.

d.

e.

f.

Review current billing procedures with Financial Management staff

Prepare analysis of billing and collection fees for the past two years

Determine if current invoices and billing procedures are appropriate

Analyze possible tracking in FOIA software program

Prepare plan to modify procedures so tracking is accurate. expedient, and efficient

Implement new procedures

Time Measurement:

Begin meetings with Financial Management Office

August 1.2006:

September 30, 1006: Complete analysis of fee billing and collection

December 3 1, 2006: Complete plan for modified procedures

January 15,2007:

Implement new plan

Means of measurement of success:

If shortcomings are identified, we will increase the percentage collected by 10% in

FY '07.

6.

Overall FOlA website improvement

Coal: The agency's goal is to provide helpful information in a user-friendly, easily

comprehend]ble manner.

Steps:

a.

b.

c.

d.

e.

f.

g.

Review other agency FOIA websites to determine possible areas for improvement

Solicit feedback from agency staff

Survey select staff within the agency to provide feedback on the content and form

of the website

Provlde a place for comments on the website and encourage requesters to submit

suggestions

Evaluate feedback from both sources and prioritize the suggested changes

Prepare mock-up pages

Work~ngwith the webmaster, staff will make appropriate changes to style and

format

Time milestones:

October 3 1, 2006:

December 3 1, 2006:

February 15,2007:

March 30. 2007:

June 30,2007:

September 1.2007:

Complete review of other agency websites

Prepare survey form and select staff to answer survey

Complete survey

Finish compiling responses to survey

Prepare mockup pages for website

Implement appropriate changes

Means of measurement of success:

We will invite informal public response on the website for outside users. Success is

achieved when comments indicate that no substantive changes required.

Internally, we will prov~dea survey for users regarding the usefulness of the slte. Success

1s ach~eved~f90% or greater find the information helpful and tnformative.

7.

Agency's FOIA Reference Guide

Goal: The agency's goal is to create an improved guide to inform the public of the

agency's FOlA operations.

Stews:

a.

b.

Review current guide (last revised May 2002)

Revise guide to ensure current practices are accurately reflected

Time milestones:

November 1: 2006:

Complete all changes to guide and post on website

Means of measurement of success:

We will invite informal public comment and suggestions. Success is achieved when

comments cease to identify constructive practical improvements.

8.

Affirmative disclosure under 5 U.S.C. $552(a)(2)

Goal: The agency's goal is to have all agency policy decisions posted on its website and

to update and maintain frequently requested records.

a.

b.

c.

d.

e.

Worhng in conjunction with the Office of the Secretary, the FOJA staff will

collect all extant formal policy statements

Worhng in conjunction with the webmaster, all policy statements will be placed

on the FOIA Website

FOIA staff will review all FOIA requests from the past two years and identify

frequently requested records

Worlung with the webmaster, the frequently requested records will be placed on

the public record

FOIA staff will create procedures to continually identify frequently requested

records and methods to promptly place those on the FOIA Website

Time milestones:

All extant policy statements will be collected

October 15,2006:

November 15,2006: All extant policy statements will be placed on FOIA Website, and

all frequently requested records will be identified

December 31, 2006: All frequently requested records will be placed on the website, and

Office procedures for continual systematic identification of

frequently requested records and procedures for immediate posting

to the w~ebsitewill be established and implemented

Means of measurement of success:

At six month intervals. we will conduct a review of all FOIA requests received during the

period and all policy statements. If virtually all frequently requested records and policy

statements are posted on the FOIA website. the goal will have been met.

9.

Recycling of improvement information gleaned from FOIA Requester Service Centers

Goals: The agency's goal is to receive input from FOIA requesters to determine the

satisfaction level for service provided.

a.

b.

c.

d.

e.

Create page on website for requesters to provide written feedback

Instruct all FOIA staff answering Service Center calls to provide the web URL to

requesters for providing feedback.

Temporarily modify all response letters to provide the URL for requesters to

provide feedback.

Prepare analysis of feedback responses

Make changes to service if needed

Time Measurements:

January 15,2007:

February 28,2007:

April 1: 2007:

April 15,2007:

September 1, 2007:

Create web page feedback form, instruct staff to provide URL

address, and modify response letters to provide URL address

Begin analysis of responses received and remove URL address

form template language

Complete analysis of responses received and recommended

changes to service

Present analysis and recommended changes to staff

Begin analysis of responses received after original analysis to

determine whether changes have made improvements and if further

change is needed

Means of measurement of success:

Success is measured by the extent to which public responses result in a decision either to

accept or reject a proposed change. Within six months, the goal is to have positive

feedback or only minimal dissatisfaction in 90% of all responses.

10.

Forms of communication with requesters

m: The agency's goal is to review and refine. if necessary. template letters to ensure

they clearly and in plain English explain actions taken and determinations made

with respect to each request.

Steps:

a.

b.

c.

Review and edit all currently used templates in FOIA program

Determine whether agency needs additional templates

Revise or create templates as needed

Time milestones:

June 30,2006:

Complete entire project

Means of measurement of success:

We will solicit feedback from requesters by directing them to an on-line form where they

can indicate their satisfaction with the response. Within six months, the goal is to have

positive feedback, or only minimal dissatisfaction with content in 90% of all responses.

F. For entire plan the improvement areas fall into the following time periods:

1. Anticipated to be completed by 12131/06

Affirmative disclosure under 5 U.S.C. §552(a)(2)

Troubleshoot any existing problems with respect to electronic tracking

Improve forms of communication with requesters

Improve Agency's FOIA Reference Guide

Hire and train assistant

2. Anticipated to be completed by 12/31/07

Improve Website

Train agency staff

Improve process by which necessary cooperation is obtained from agency "program

Recycle information gleaned from FOIA Requester Service Centers

Improve billing and collection

3. Anticipated to be completed after 12/31/07

APPROVED:

Deborah Platt Majoras

Chairman

Federal Trade Cornmlss~on

600 Pennsylcan~aAvenue, N.W

Washington, DC 20580