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, 

supported by the Bureau of Economics and regional and m~ss~on support offices. The F;TC's 

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;TC7s website. 

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

mall wh~ch led to very unhappy cksslorners The FOIA off~ce began acar-velq exploring ways to 

use electnonrc means to expedrte processang of requests In order to facrlraaze ease of fhg 

document requests, the FOliA off~ce reconbtructed the FOIA portlsn of the RC's anebsrte. The 

nem webslte pro\ ~des promnnent links to both an on-frne request fom (and rnstructlons for f~h'lrng 

11 our) and link lo a FOlA e-mall account ro facl t~rate acceptance sf electron~caliy subrn~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~an 53 days. As of May 2006, the agency has responded to 525 s~mple requests 

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~ve operation 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 ex~st~ng staff posltlon to Program Ass~stanc 

Troubleshootrng any exlstlng problems ~lth respect to electronic track~ng 

Tralnlng 

Process by wh~ch necessary 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 ~nformatton gledned from FOIA Requester Service Centers 

Foms sf commrrn~ca%~sn M IP~ 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. Work with Human Resources office to post vacancy announcement and receive 

list of qualified candidates 

b. Interview candidates and select individual for the position 

Time Measurements: 

April 15,2006: Post vacancy annouarcernent 

June 2,2006: Contact candidates for interviews 

October 1. 2006: 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. Create clear guidelines for staff for identifying simple or complex requests 

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

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

c. Designate one senior staff person to review proposed tracking designations based 

on the guidance created 

Time milestones: 

July 3 1, 2006: Complete ent~re task 

Means of measurement of success: 

We will compare completion t~mes from 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. Prepare comprehensive training manual for all agency staff 

b. Prepare customized training materials specific to operating unit FOIA contacts 

c. Conduct training for Operating unit FOIA contacts 

d. Conduct training for staff in headquarters by divisjon 

e. Determine whether to conduct on-site training in regional offices 

f. Conduct on-site or video training for eight regional offices 

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

Time Milestones: 

August 15,2006: Complete final version of training materials for FOIA contacts 

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 

January 15, 2007: Begin Headquarters Training, determine whether to conduct on-site 

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

b . Solicit feedback from FOIA contacts concerning effect~veness of current 

procedures and any suggested improvements 

c. Review comments from FOIA contacts 

d. Implement appropriate improvements in the FOIA office 

e. Incorporate improvements into training matenals for all agency staff and present 

at trainings discussed in previous session. 

Time Measurements: 

September 1 1, 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~ng materials 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. Review current billing procedures with Financial Management staff 

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

c. Determine if current invoices and billing procedures are appropriate 

d. Analyze possible tracking in FOIA software program 

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

f. Implement new procedures 

Time Measurement: 

August 1.2006: Begin meetings with Financial Management Office 

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. Review other agency FOIA websites to determine possible areas for improvement 

b. Solicit feedback from agency staff 

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

of the website 

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

suggestions 

e. Evaluate feedback from both sources and prioritize the suggested changes 

f. Prepare mock-up pages 

g. Work~ng with the webmaster, staff will make appropriate changes to style and 

format 

Time milestones: 

October 3 1, 2006: Complete review of other agency websites 

December 3 1, 2006: Prepare survey form and select staff to answer survey 

February 15,2007: Complete survey 

March 30. 2007: Finish compiling responses to survey 

June 30,2007: Prepare mockup pages for website 

September 1.2007: 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~de a survey for users regarding the usefulness of the slte. Success 

1s ach~eved ~f 90% 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. Review current guide (last revised May 2002) 

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

collect all extant formal policy statements 

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

on the FOIA Website 

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

frequently requested records 

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

the public record 

e. FOIA staff will create procedures to continually identify frequently requested 

records and methods to promptly place those on the FOIA Website 

Time milestones: 

October 15,2006: All extant policy statements will be collected 

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~ebsite will 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. Create page on website for requesters to provide written feedback 

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

requesters for providing feedback. 

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

provide feedback. 

d. Prepare analysis of feedback responses 

e. Make changes to service if needed 

Time Measurements: 

January 15,2007: Create web page feedback form, instruct staff to provide URL 

address, and modify response letters to provide URL address 

February 28,2007: Begin analysis of responses received and remove URL address 

form template language 

April 1: 2007: Complete analysis of responses received and recommended 

changes to service 

April 15,2007: Present analysis and recommended changes to staff 

September 1, 2007: 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. Review and edit all currently used templates in FOIA program 

b. Determine whether agency needs additional templates 

c. 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 1213 1/06 

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~a Avenue, N.W 

Washington, DC 20580