Office of Government Information Services (OGIS) Agency Freedom of Information Act (FOIA) Program Compliance Review

Request for Approval for
Freedom of Information Act (FOIA) Compliance Assessment Survey
TITLE OF INFORMATION COLLECTION: Office of Government Information Services
Agency Freedom of Information Act (FOIA) Compliance Assessment Survey
PURPOSE: The Office of Government Information Services (OGIS) reviews agency Freedom
of Information Act (FOIA) policies, procedures and compliance, and identifies procedures and
methods for improving compliance. As part of that statutory role, we assess FOIA compliance at
individual agencies by visiting agency FOIA programs and reviewing material, agency request
files, internal procedures for processing requests, regulations, annual reports to the U.S.
Department of Justice, and litigation, among other sources. In line with the National Archives
and Records Administration’s strategic goal to “Make Access Happen,” this survey is a tool to
improve OGIS’s understanding of the state of an agency’s FOIA program, and identify areas for
improvement so that FOIA leaders can address issues, and develop and launch strategies to
strengthen and improve agency FOIA programs.
DESCRIPTION OF RESPONDENTS: OGIS will send a link to the online poll to the head of
the agency’s FOIA program who will then distribute the poll to his or her FOIA staff.
TYPE OF COLLECTION: Form poll
THE SELECTION OF YOUR TARGETED RESPONDENTS: At the beginning of each
Fiscal Year (FY), OGIS publishes a schedule of agency FOIA programs that it will assess during
the FY. A few weeks before the assessment is scheduled to begin, the head of the agency’s FOIA
program sends the poll to all relevant FOIA staff.
ADMINISTRATION OF THE POLL: OGIS will administer the poll via SurveyMonkey.
SPECIAL NOTE: This poll is similar to the one administered via QuestionPro and, more
recently, via SurveyMonkey to NARA FOIA professionals in the Office of General Counsel and
the Special Access and FOIA Unit as well as to six component agencies at the Department of
Homeland Security (DHS). (We did not administer the survey to the DHS Privacy Office
because our assessment looked specifically at compliance with the statutory duties of the Chief
FOIA Officer nor did we administer it to the Consumer Financial Protection Bureau or the U.S.
Postal Service, both of which have FOIA staffs small enough to interview individual FOIA
processors.) Refinements to our assessment process in 2016 as well as changes to the statute by
the FOIA Improvement Act of 2016 necessitate these changes.) In September 2017, we are
scheduled to access the FOIA program at U.S. Citizenship and Immigration Services, which
reported having 246 full-time FOIA staff in its FY 2016 Annual Report.
THE POLL INSTRUCTIONS AND SCRIPTS ARE ATTACHED.

PAPERWORK REDUCTION ACT PUBLIC BURDEN STATEMENT: You are not required to provide the information requested on a form that is
subject to the Paperwork Reduction Act unless the form displays a valid OMB control number. Public burden reporting for this collection of
information is estimated to be less than 10 minutes per response. Send comments regarding the burden estimate or any other aspect of the
collection of information, including suggestions for reducing this burden, to National Archives and Records Administration (MP), 8601 Adelphi
Rd, College Park, MD 20740-6001. DO NOT SEND COMPLETED FORMS TO THIS ADDRESS.
OMB Control No. 3095-0070 Expiration date 10/31/2017

Agency FOIA Program Compliance Review Survey
Introductory Text
As you may know, your agency’s Freedom of Information Act (FOIA) program is being assessed to identify practices
your agency does well and to find areas where your agency could use assistance in administering FOIA.
The Office of Government Information Services (OGIS) is the Federal FOIA) Ombudsman. FOIA directs OGIS to
provide mediation services to help resolve disputes between FOIA requesters and Federal agencies, 5 U.S.C. § 552
(h)(3), and review agency FOIA policies, procedures and compliance, 5 U.S.C. §§ 552(h)(2)(A) and 552(h)(2)(B). Part
of OGIS’s review program involves assessing individual agency FOIA programs. We will be working with your team to
carry out that aspect of OGIS's mission.
Within the next few weeks, OGIS will conduct an on-site assessment of your agency’s FOIA program. In advance of our
appraisal, OGIS is asking FOIA professionals at your agency to take the following survey regarding your FOIA
program.
The survey consists of 24 questions and should take no longer than 10 minutes to complete. Please be sure to answer all
questions as accurately as possible. All responses are anonymous and will help inform our conversation when we visit.
Thank you in advance for your time and your attention to these questions.

Program Information
1. To start, please identify your agency and, if applicable, component.
2. What is your role within the FOIA process? (Check all that
apply) *

3. How long have you worked in your organization?

4. How long have you worked as a FOIA professional?

5. Do you have access to written internal policies or procedures
(other than the Department of Justice FOIA Guide) regarding how
to process a FOIA request?
6. Which of the following are addressed in your organization’s
policies and procedures?

7. How satisfied are you with your organization’s policies and
procedures on how to process a FOIA request?

FOIA Public Liaison
FOIA processor
Supervisory FOIA professional
Other [text box]
Less than 1 year
1 year to less than 5 years
5 years to less than 10 years
10 years or more
Less than 1 year
1 year to less than 5 years
5 years to less than 10 years
10 years or more
Yes
No
Not sure
Expedited processing
Fee categories
Fee waivers
Referrals
Consultations
Other [text box]
Very satisfied
Satisfied
Neutral
Dissatisfied
Very dissatisfied
Not applicable

2 of 4
PAPERWORK REDUCTION ACT PUBLIC BURDEN STATEMENT: You are not required to provide the information requested on a form that is subject to the Paperwork
Reduction Act unless the form displays a valid OMB control number. Public burden reporting for this collection of information is estimated to be less than 10 minutes
per response. Send comments regarding the burden estimate or any other aspect of the collection of information, including suggestions for reducing this burden, to
National Archives and Records Administration (MP), 8601 Adelphi Rd, College Park, MD 20740-6001. DO NOT SEND COMPLETED FORMS TO THIS ADDRESS.
OMB Control No. 3095-0070 Expiration date 10/31/2017

Agency FOIA Program Compliance Review Survey
8. How familiar are you with your organization’s records
schedule?

9. Does your organization offer any training or guidance on how
to properly process a FOIA request?
10. How confident are you in knowing the correct legal
procedures for how to properly process a FOIA request and/or
appeal?

11. How cooperative are the FOIA contacts within the program
offices with search and productions of records?

12. How are your FOIA organization’s policies and other
directives communicated to you? (Check all that apply)

13. How satisfied are you with the technology your agency uses
throughout the FOIA process?

14. Who reviews responses to FOIA requests? (Check all that
apply.)

15. Does your organization maintain and use standard template
letters or language?

Extremely familiar
Moderately familiar
Somewhat familiar
Slightly familiar
Not at all familiar
Yes
No
Not sure
Extremely confident
Confident
Neutral
Somewhat confident
Not at all confident
Very cooperative
Somewhat cooperative
Neutral
Somewhat uncooperative
Very uncooperative
Email
Written memos
In-person meetings
Telephone conversations
Posting on an internal website or intranet
Posting on a public-facing website
None of the above
Other [text box]
Very satisfied
Satisfied
Neutral
Dissatisfied
Very dissatisfied
Supervisory Government Information
Specialist/Team Lead
FOIA Officer
Office of General Counsel
Office of Public Affairs/ Public Information
Office/ Media Relations
Program office where the records originated
Office of the Secretary/ Head of Agency
Chief FOIA and/or Privacy Office
Other [text box]
Yes
No
Not sure

3 of 4
PAPERWORK REDUCTION ACT PUBLIC BURDEN STATEMENT: You are not required to provide the information requested on a form that is subject to the Paperwork
Reduction Act unless the form displays a valid OMB control number. Public burden reporting for this collection of information is estimated to be less than 10 minutes
per response. Send comments regarding the burden estimate or any other aspect of the collection of information, including suggestions for reducing this burden, to
National Archives and Records Administration (MP), 8601 Adelphi Rd, College Park, MD 20740-6001. DO NOT SEND COMPLETED FORMS TO THIS ADDRESS.
OMB Control No. 3095-0070 Expiration date 10/31/2017

Agency FOIA Program Compliance Review Survey
16. Does your office have a process to determine if frequently
requested records should be added to the reading room?
17. Who is responsible for ensuring all records in your reading
room are accessible to people with disabilities (i.e., the records are
remediated so that they comply with Section 508 of the
Rehabilitation Act?
18. When a request is referred to another agency for processing, is
the requester normally notified of the referral and given the name
and contact information of a FOIA professional at the agency
receiving the referral?
19. How often does your organization provide requesters with
estimated dates of completion when requested?

20. Does your organization have a process for determining
whether providing an estimated count would harm an interest
protected by one of FOIA’S nine exemptions?
21. When your organization sends “still interested” letters, does it
provide requesters with at least 30 working days to respond?
22. Does your organization inform requesters about OGIS’s
dispute resolution services in its letters?
23. Which agency letters contain information regarding OGIS’s
services?

24. Overall, how satisfied are you with the oversight of the FOIA
program by the Chief FOIA Officer?

Yes
No
Not sure
FOIA Staff
IT Staff
Public Affairs Staff
Not sure
Other [text box]
Always
Often
Sometimes
Rarely
Never
Always
Often
Sometimes
Rarely
Never
Yes
No
Not sure
Yes
No
Not sure
Yes
No
Not sure
Letters informing requesters of unusual
circumstances & extension of 10 additional
working days
Adverse determination letters in response to
initial requests
Appeal determination letters
Not sure
Very satisfied
Satisfied
Neutral
Dissatisfied
Very dissatisfied

4 of 4
PAPERWORK REDUCTION ACT PUBLIC BURDEN STATEMENT: You are not required to provide the information requested on a form that is subject to the Paperwork
Reduction Act unless the form displays a valid OMB control number. Public burden reporting for this collection of information is estimated to be less than 10 minutes
per response. Send comments regarding the burden estimate or any other aspect of the collection of information, including suggestions for reducing this burden, to
National Archives and Records Administration (MP), 8601 Adelphi Rd, College Park, MD 20740-6001. DO NOT SEND COMPLETED FORMS TO THIS ADDRESS.
OMB Control No. 3095-0070 Expiration date 10/31/2017