DEPARTMENT OF AGRICULTURE 

CHIEF FREEDOM OF INFORMATION ACT 

OFFICER REPORT

March 2017

“We provide leadership on food, agriculture, natural resources, 

rural development, nutrition, and related issues based on sound 

public policy, the best available science, and efficient management.”
 

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Table of Contents

Table of Contents............................................. 2

Executive Summary......................................... 3

Section I:............................................................ 5

Section II: ........................................................ 12

Section III:....................................................... 16

Section IV:....................................................... 22

Section V: ........................................................ 24
 

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EXECUTIVE SUMMARY

The United States Department of Agriculture (“Department”) was founded by President 

Abraham Lincoln in 1862 and was quickly coined “The People’s Department.” At the time, 

more than half of all American either lived or worked on farms, compared with the two percent 

today. Despite this decrease, the Department is still fulfilling Lincoln’s vision of touching the 

lives of every American through its mission to provide leadership on food, agriculture, natural 

resources and related issues based on sound public policy, the best available science, and 

efficient management. 

To successfully accomplish its mission, the Department operates more than 300 programs 

through an extensive network of Federal, State, and local cooperators. These programs affect 

every American, every day, by providing a safe and stable food supply, nutrition assistance, 

renewable energy, rural economic development, care for forest and conservation lands, and 

global opportunities for farm and forest products. These programs also hold the answers to 

pressing global issues like the need for renewable energy, increasing crop yields to combat 

hunger, protecting the food supply, and optimizing internal trade. 

The Department’s success is dependent on several core values. Among them is transparency.

Central to the Department’s effort to increase transparency is its Freedom of Information Act 

(“FOIA”) program. The Department’s Chief Information Officer and Chief FOIA Officer, 

Mr. Jonathan Alboum provides program oversight for all twenty of the Department’s FOIA 

offices at the agency and mission area. These offices all collaborate throughout the year to 

process the tens of thousands of FOIA requests received at the Department. 

The Department’s FOIA Service Center (“Department”) is the central office for the 

Department’s FOIA program and led by the Office of the Chief Information Officer’s (OCIO) 

Policy, E-Government, and Fair Information Practices (PE&F) Division. The FSC provides dayto-day coordination and oversight and ensures statutory compliance with the FOIA. The FSC 

also processes FOIA requests, consultations, and appeals on behalf of the Office of the Secretary 

(OSEC), the Departmental Management agencies, Office of Communications (OC), and the

Office of Ethics (OE). 

In Fiscal Year 2016, the Department processed approximately 97% of the 23,870 FOIA request 

received. Of these received requests, about 86% were processed in less than twenty working 

days. Additionally, many of the Department’s components made substantial progress on 

reducing their request backlog. The Natural Resources Conservation Service (NRCS) had a

47.8% reduction, the Food Safety and Inspection Service (FSIS) a 42% reduction, Departmental 

Management (DM)/Office of the Secretary (OSEC)/Office of the Chief Information Officer 

(OCIO) a 37.5% reduction, the Food Nutrition & Consumer Services (FNCS) a 26% reduction, 

and the Risk Management Agency (RMA) a 20% reduction. The Office for the Assistant 

Secretary of Civil Rights (OASCR) and Office of Budget & Program Analysis (OPBA) 

successfully closed the Fiscal Year with no backlogged requests. 
 

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This report encompasses the efforts of the following agencies, offices, and mission areas:

Agricultural Marketing Service (AMS)

Animal & Plant Health Inspection Service (APHIS)

Farm Service Agency (FSA)

Departmental Management (DM)

Office of the Administrative Law Judges (OALJ)

Office of Advocacy and Outreach (OAO)

Office of the Chief Information Officer (OCIO) 

Office of the Executive Secretariat (OES)

Office of Homeland Security & Emergency Coordination (OHSEC)

Office of Human Resource Management (OHRM)

Office of Operations (OO)

Office of Procurement & Property Management (OPPM)

Office of Small & Disadvantaged Business Utilization (OSDBU)

Food, Nutrition & Consumer Services (FNCS)

Food Safety & Inspection Service (FSIS)

Foreign Agricultural Service (FAS)

Forest Service (FS)

Grain Inspection, Packers & Stockyards (GIPSA)

National Appeals Division (NAD)

Natural Resources Conservation Service (NRCS)

Office of Budget & Program Analysis (OBPA)

Office of Communications (OC)

Office of the Chief Financial Officer (OCFO)

National Finance Center (NFC)

Office for the Assistant Secretary of Civil Rights (OASCR)

Office of Ethics (OE)

Office of the General Counsel (OGC)

Marketing, Regulatory, and Food Safety Programs (MRFSP)

International Affairs, Food Assistance, and Farm and Rural Programs (RD)

Plant Health and Production, and Plant Products (PHPPP)

Natural Resources and Environment (NRE)

General Law and Research (GLRD)

Civil Rights, Labor and Employment Law 

Office of the Secretary (OSEC)

Office of Inspector General (OIG)

Research, Education and Economics (REE)

Agricultural Research Service (ARS) 

Economic Research Service (ERS) 

National Agricultural Statistics Service (NASS) 

National Institute of Food and Agriculture (NIFA)

Risk Management Agency (RMA)

Rural Development (RD) 
 

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Section I: Steps Taken to Apply the Presumption of Openness

FOIA Training: 

1. Did your FOIA professionals or the personnel at your agency who have FOIA 

responsibilities attend any FOIA training or conference during the reporting period such 

as that provided by the Department of Justice?

Yes. USDA’s FOIA professionals participated in FOIA training and conferences during the 

reporting period hosted by the Department, the Department’s Office of General Counsel, General 

Law and Research Division (OGC-GLRD), the Department of Justice, Office of Information 

Policy (DOJ-OIP), the Office of Government Information Services (OGIS), the American 

Society of Access Professionals (ASAP), and AINS Inc. 

2. If yes, please provide a brief description of the type of training attended or conducted 

and the topics covered.

USDA’s Extended Online FOIA Training: The Department is pleased to report that in January 

2016, it published in AgLearn, all six lessons of its first extended online FOIA training module, 

FOIA for FOIA Professionals. These six lessons briefly revised after the passage of the 2016 

FOIA amendments, provide a detailed introduction to the FOIA, the Department’s FOIA team, 

and procedural items related to intake. 

This first publication was then followed up by a second in mid-October. This second featured 

two of the ten lessons planned for the Department’s second module in the FOIA for FOIA 

Professionals series. It deals exclusively with the review of records, but specifically exemption 

application. Like the previous module, it also gives participants the opportunity to test their 

knowledge upon completion with a ten question quiz. Since publication, the Department has 

had more than 470 participants for both modules. The remaining lessons in module two are 

scheduled for publication in May 2017. A few excerpts from the new module are included on 

the following pages. 
 

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Lesson 7: The Review of Records 

Lesson 7: The Review of Records 
 

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Lesson 8: Exemption 1

Lesson 8: Exemption 1
 

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Monthly FOIA Council Meetings: The Department also continues to hold its monthly FOIA 

council meetings with its FOIA Officers, Liaisons, and Team Leads. Although most meetings 

are devoted to the dissemination and discussion of recent court decisions, DOJ-OIP guidance, 

best practices, and upcoming training opportunities, others do provide for refresher training. For 

example, the Department’s June 2016 meeting featured guest speaker, Mr. Sean O’Neill, Chief 

for DOJ-OIP’s Administrative Appeals Staff. Mr. O’Neill provided an overview of significant 

court decisions from the past two years and detailed the impact of each on making fee 

determinations and processing records requests. 

 

Department of Justice, Office of Information Policy Training: USDA’s FOIA professionals 

also attended the following training programs provided by the DOJ-OIP:

• Introduction to the Freedom of Information Act

• The Freedom of Information Act for Attorneys and Access Professionals 

• Advanced Freedom of Information Act Seminar 

• Continuing Freedom of Information Act Education

• FOIA Improvement Act of 2016

• FOIA Public Liaison

• Best Practices: FOIA Training Programs 

• Best Practices: From the Requester’s Perspective 

Other External Training Courses and Conferences: USDA’s FOIA professionals also 

participated in the following external training courses and conferences:

• ASAP: 9th Annual National Training Conference 

• ASAP: FOIA-Privacy Training Workshop 

• ASAP: Exemption 4

• ASAP: Exemption 5

• OGIS: Dispute Resolution Skills for FOIA Professionals

• AINS: The Freedom of Information Act and Privacy Act for Entry-Level Professionals

• AINS: FOIAXpress User Conference & Technology Summit 2016 

3. Provide an estimate of the percentage of your FOIA professionals and staff with FOIA 

responsibilities who attended substantive FOIA training during this reporting period.

Approximately 92% of USDA’s FOIA professionals participated in either one or more 

substantive FOIA training courses. 
 

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4. OIP has directed agencies to “take steps to ensure that all of their FOIA professionals 

attend substantive FOIA training at least once throughout the year. If your response to the 

previous question is that less than 80% of your FOIA professionals attended training, 

please explain your agency’s plan to ensure that all FOIA professionals receive or attend 

substantive FOIA training during the next reporting year. 

Not applicable. More than 80% of our FOIA professionals participated in substantive FOIA 

training courses facilitated by the Department, OGC-GLRD, DOJ-OIP, OGIS, ASAP, and AINS 

Inc. 

Outreach: 

5. Did your FOIA professionals engage in any outreach or dialogue with the requester 

community or open government groups regarding your administration of the FOIA?

Yes. Several components reported participation in efforts tied to the third Open Government 

National Action Plan like the deployment of a consolidated online portal in which USDA’s 

FOIA professionals had an opportunity to engage with the requester community and open 

government groups. 

Another outreach example includes the Animal Plant and Health Inspection Service’s (APHIS) 

FOIA Officer’s participation in stakeholder meetings with APHIS’ Office of Animal Care 

(APHIS-AC). Agendas for these meetings are typically set by the participating animal rights 

groups and other non-governmental organizations interested in APHIS-AC issues and often 

include an opportunity for the APHIS FOIA Officer to address improvements in APHIS’ FOIA 

administration as well as progress on specific requests. 

6. If you did not conduct any outreach during the reporting period, please describe why.

Not applicable. USDA did conduct agency outreach during the reporting period. 

Other Initiatives:

7. Describe any efforts your agency has undertaken to inform non-FOIA professionals of 

their obligations under the FOIA.

Publishing of DOJ-OIP’s Executive Briefing: The Department recently published in its 

training repository, the DOJ-OIP’s online executive briefing narrated by OIP’s Director Melanie 

Pustay which provides an overview of the FOIA’s statutory requirements and emphasizes the 

importance of executive support in the administration of FOIA.

Component Outreach: Several USDA components reported provided training to non-FOIA 

professionals. For example, the Forest Service’s Washington Office (FS-WO) provided training 

to the Directors of the National Forest Systems (NFS) staffing area. Among other things, the 

training emphasized these professionals’ role and responsibilities in the FOIA process. 

 
 

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In April 2016, FNCS conducted specialized FOIA training for Supervisors and Program 

Specialist within its Investigative Analysis Branch (IAB). This training like that in the FS-WO, 

also emphasized roles and responsibilities in the FOIA process. 
 

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The Research, Education and Economics (REE) FOIA Office has also taken several actions to 

inform non-FOIA professionals of their obligations under the FOIA. First, P&P 116.0, Freedom 

of Information Act and Privacy Act Guidelines, which provides REE employees the policy and 

procedures for implementing the FOI and Privacy Acts was posted on the Agricultural Research 

Service’s (ARS) website. Secondly, the REE FOIA Office has made a FOIA web link available 

to REE employees via Axon, an intranet and central repository for finding and accessing 

resources. Lastly, the REE FOIA Office continues to distribute its FOIA Processing Tips, 

guidance for processing grant applications, and information regarding the suite of FOIA 

resources currently on USDA’s training repository for non-FOIA professionals. 
 

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8. If there are any other initiatives undertaken by your agency to ensure that the 

presumption of openness is being applied, please describe them here.

USDA’s FOIA professionals continued to engage in dialogue with the requester community

regarding qualifications for fee waivers, the scope of requests, production schedules, component 

target dates, and access to the USDA’s Public Access Link (PAL). Several components within 

USDA also reported answering questions and providing guidance to frequent requesters 

regarding the 2016 FOIA Amendments. As a follow up, some components like the Food, 

Nutrition & Consumer Services (FNCS) also provided links to DOJ-OIP’s 2016 FOIA 

Amendments guidance in its letters. 

Additionally, several components like the Agricultural Marketing Service (AMS) reported updating 

their internal standard operating procedures to require second and third level reviews. It is 

anticipated this additional oversight will ensure responses provide the greatest disclosure. Others 

also reported updating taskers or search forms to include standardized language reminding 

professionals of the presumption of openness. 

Section II: Steps Taken to Ensure that Your Agency Has an Effective System in Place for 

Responding to Requests

Processing Procedures:

1. For Fiscal Year 2016, what was the average number of days your agency reported for 

adjudicating requests for expedited processing?

USDA’s average number of days to adjudicate requests for expedited process is one calendar 

day. 

2. If your agency’s average number of days to adjudicate requests for expedited processing 

was above ten calendar days, please describe the steps your agency will take to ensure that 

requests for expedited processing are adjudicated within ten calendar days or less.

Not applicable. USDA’s average was below ten calendar days. 

3. During the reporting period, did your agency conduct a self-assessment of its FOIA 

program? If so, please describe the methods used, such as reviewing Annual Report data, 

using active workflows and track management, reviewing and updating processing 

procedures, etc.

Yes. The FS-WO began revising its internal operating procedures and is gradually making 

changes to its workflow as issues are identified and resources made available. Additionally, each 

analyst has been assigned a task outside of processing to ensure the administration of FOIA in 

the FS-WO continuously improves. For example, one analyst was assigned to monitor the 

backlog and to make recommendations on a routine basis for reduction. Another analyst was 

assigned to address compliance of subsection (a)(2) and oversee the posting of records.
 

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NRCS also did an assessment of its program. As such, it began reviewing the structure of the 

FOIA response process, agency policy, and the reporting metrics available in USDA’s enterprise 

wide tracking system to identify trends and processing issues. Lessons learned from this 

assessment will be compiled this reporting period along with recommendations for improvement. 

FNCS deployed its Change Initiative aimed at realigning FOIA responsibilities, reducing the 

backlog, and improving processing times. The first phase of this initiative ensured FOIA team 

members were aware of their role and responsibilities. The second phase emphasized training on 

the roles and responsibilities. The final result was the processing of 67 more FOIAs than the 

prior fiscal year, a 36% reduction in backlog for initial FOIAs, a 17% reduction in the average 

processing times, and a 47% increase in the number of FOIAs processed within the statutory 

timeframe. 

In Fiscal Year 2015, APHIS’ requested a Business Process Improvement (BPI) review by 

APHIS’ Office of Planning and Program Development. The BPI resulted in a total of 26 

recommendations implemented during this reporting period. These recommendations included 

increased communication between APHIS’s program offices and the requester community, 

increased training requirements for APHIS’ FOIA professionals, general FOIA awareness 

training for all APHIS employees, a reorganization of teams within APHIS’ FOIA office, and 

utilization of more technology to streamline processes and reduce FOIA response time. The 

final result was the expansion of the intake team, creation of an internal standard operating 

procedure, coordination of 99 FOIAs between APHIS’ FOIA and program offices, 

implementation of a 24 hours training requirement for APHIS’ FOIA processors and a 16 hours 

training for APHIS FOIA liaisons, and finally, circulation of an email from APHIS’ 

Administrator regarding the importance of timely processing FOIAs. 

4. Please provide an estimate of how many requests your agency processed in Fiscal Year 

2016 that were from commercial use requesters. If your agency is decentralized, please 

identify any components within your agency that received a majority of their requests from 

commercial use requesters.

The chart below provides the total number of requests processed by each component that were 

from commercial use requesters. The components with an asterisk beside it are those that most 

frequently receive commercial requesters. 

Component Total # of Requests Processed for 

Commercial Use Requesters

AMS 57

APHIS 72

ASCR 4

FAS 2

FNCS* 335

FS* 296

FSA* 260

FSIS* 102
 

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GIPSA 20

NAD 0

NFC/OCFO 2

NRCS 80

OBPA 5

OGC 5

DM/OSEC/OCIO 36

RD* 152

REE 30

RMA 32

OVERALL 1,490

Requester Services:

5. Does your agency provide a mechanism for requesters to provide feedback about their 

experience with the FOIA process at your agency? If so, please describe the methods used, 

such as making the FOIA Public Liaison available to receive feedback, using surveys 

posted on the agency’s website, etc.

Yes. All determinations are accompanied by contact information for the component’s FOIA 

Public Liaison. Additionally, some components like REE and NRCS, and the Food Safety and 

Inspection Service (FSIS) have elected to include in their reference guide a “We Welcome Your 

Feedback” section, allowing FOIA requesters to provide comments on their experience as well as 

offer suggestions for improvement. 

6. The FOIA Improvement Act of 2016 requires additional notification to requesters about 

the services provided by the agency’s FOIA Public Liaison. Please provide an estimate of 

how often requesters sought assistance from your agency’s FOIA Public Liaison.

Approximately 60% of USDA’s components reported no requesters sought the assistance of their 

FOIA Public Liaison. The remaining components reported receiving less than ten inquiries. 

7. The FOIA Improvement Act of 2016 requires agencies to make their reference material 

or guide for requesting records or information from the agency electronically available to 

the public. Please provide a link to your agency’s FOIA reference guide. 

The following components have already posted reference material or a guide for requesting 

records:

Component Link to Reference Material or Guide

APHIS https://www.aphis.usda.gov/aphis/resources/foia/ct_how_to_submit_a_foia_request

ASCR https://www.ascr.usda.gov/foia-reference-guide

FNCS https://www.fns.usda.gov/freedom-information-act-foia

FS https://www.fs.fed.us/im/foia/referenceguide.htm

FSIS https://www.fsis.usda.gov/wps/portal/footer/policies-and-links/freedom-of-information-
 

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act/foia-requests/ct_index

GIPSA https://www.gipsa.usda.gov/foia/foia_guide.aspx

NAD https://www.nad.usda.gov/lr_foia_how_to.html

NRCS https://www.nrcs.usda.gov/wps/portal/nrcs/detailfull/national/about/?cid=NRCS143_021450

DM/OSEC/OCIO https://www.dm.usda.gov/foia/requestors.htm

Tips for Filing FOIAs 

https://www.youtube.com/watch?v=UjOn1CfnKcw

RD https://www.rd.usda.gov/contact-us/freedom-information-act-foia

REE https://www.ars.usda.gov/research/freedom-of-information-act-and-privacy-act-referenceguide/ 

RMA http://www.rma.usda.gov/aboutrma/foia/foia.html

The remaining USDA components are actively working to create and post either reference 

material or a guide. 

Other Initiatives:

8. If there are any other steps your agency has undertaken to ensure that your FOIA 

system operates efficiently and effectively, such as improving search processes, eliminating 

redundancy, etc., please describe them here.

In an effort to improve the requester experience, the Department elected to spend roughly 10% of 

its time coordinating multi-component requests. A total of 146 incoming FOIAs were 

coordinated and closed this reporting period. This coordination ensured requesters had a central 

point of contact for issues regarding fees, scope, production schedules, and timelines. It also 

ensured uniformed responses. Coordination was a success as less than 2% of the coordinated 

responses were appealed.
 

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Several components also reported more closely monitoring incoming FOIAs. Rather than a 

round robin approach for distribution, FOIA officers are assigning requests to analysts based on 

scope and/or requester. This ensures similar requests are being reviewed in a similar fashion. 

Additionally, because the analyst is familiar with the record type and/or requester, front end 

coordination and/or the review of records is more expeditious. 

Section III: Steps Taken to Increase Proactive Disclosures

Posting Material:

1. Describe your agency’s process or system for identifying “frequently requested” records 

that should be posted online.

USDA continues to employ varying methods for identifying frequently requested records. The 

most common among those methods continues to be routine monitoring of the FOIA logs in the 

component’s tracking database. 

 

2. Does your agency have a distinct process or system in place to identify other records for 

proactive disclosure? If so, please describe your agency’s process or system.

Yes. USDA’s components continue to have multiple systems in place to identify records for 

proactive disclosure. Most of these systems involve the review of feedback received in existing 

participatory processes like blogs, twitter, Facebook, and other media channels, knowledgebase 

and customer relationship management tools like AsktheExpert, ideation platforms, town hall 

meetings, and USDA Data User meetings. 

For example, this past reporting period, after receiving industry feedback from the USDA Data 

User’s meeting National Agricultural Statistics Service (NASS) began collecting data on three 

additional weight groups from the cattle-on-feed questionnaire. Information will be collected for 

800-899 pounds, 900-999 pounds, and 1,000 pounds and over 1,000 pounds and over. This new 

data series is expected to be published starting in the February 2017 Cattle on Feed report and 

will include data for 2016 and 2017 for comparison. 
 

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3. Has your agency encountered challenges that make it difficult to post records you 

otherwise would like to post?

Yes. USDA has encountered challenges that make it difficult to post records. 

4. If so, please briefly explain those challenges and how your agency is working to 

overcome them.

Insufficient resources continue to be the major hurdle for most components. All will continue to 

advocate for additional resources this reporting period. 

5. Provide examples of material that your agency has proactively disclosed during the past 

reporting year, including links to the posted material.

A few examples of proactive disclosures are included in the chart below. 

Component/

Mission 

Area Examples of Materials Proactively Posted Material

AMS AMS Program Fact Sheet:

https://www.ams.usda.gov/publications/Fact_Sheets 

APHIS Animal and Animal Product Export Information:
 

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https://www.aphis.usda.gov/aphis/ourfocus/animalhealth/export

ARS Information on ARS’ Approximately 800 Research Projects: 

http://www.ars.usda.gov/research/projects.htm

ARS’ Virtual Briefing Room: 

http://www.ars.usda.gov/News/docs.htm?docid=1281

ARS’ Virtual Press Room: 

http://www.ars.usda.gov/News/docs.htm?docid=1383

ARS’ Administrative Issuances:

http://www.afm.ars.usda.gov/ppweb/

FNCS FNS Program Data, Research Reports, and Information on Benefits:

http://www.fns.usda.gov/pd/supplemental-nutrition-assistance-program-snap

http://www.fns.usda.gov/ops/research-and-analysis

http://www.fns.usda.gov/snap/supplemental-nutrition-assistance-program-snap

FS Land Management Projects:

http://www.fs.usda.gov/newsarchives/r5/newsarchive

http://www.fs.usda.gov/projects/angeles/landmanagement/projects

http://www.fs.usda.gov/projects/cleveland/landmanagement/projects

http://www.fs.usda.gov/projects/eldorado/landmanagement/projects

http://www.fs.usda.gov/projects/inyo/landmanagement/projects

http://www.fs.usda.gov/projects/klamath/landmanagement/projects

http://www.fs.usda.gov/projects/ltbmu/landmanagement/projects

http://www.fs.usda.gov/projects/lassen/landmanagement/projects

http://www.fs.usda.gov/projects/lpnf/landmanagement/projects

http://www.fs.usda.gov/projects/mendocino/landmanagement/projects

http://www.fs.usda.gov/projects/modoc/landmanagement/projects

http://www.fs.usda.gov/projects/plumas/landmanagement/projects

http://www.fs.usda.gov/projects/sbnf/landmanagement/projects

http://www.fs.usda.gov/projects/sequoia/landmanagement/projects

http://www.fs.usda.gov/projects/stnf/landmanagement/projects

http://www.fs.usda.gov/projects/sierra/landmanagement/projects

http://www.fs.usda.gov/projects/srnf/landmanagement/projects

http://www.fs.usda.gov/projects/stanislaus/landmanagement/projects

http://www.fs.usda.gov/projects/tahoe/landmanagement/projects

Tongass Forest Plan Related Documents: 

http://www.fs.usda.gov/goto/R10/Tongass/PlanAmend

Environmental Appeals Decisions:

https://www.fs.fed.us/appeals/index.php

NASS NASS has produced special tabulations at the request of data users. If the 

requested tabulations meet the confidentiality standard, they are provided to the 

data user and the tabulation is posted to the NASS website and available to all 

other data users at the following website:

https://www.nass.usda.gov/Data_and_Statistics/Special_Tabulations/Request_a_Tabul

ation/data-lab-records.php.

NRCS Congressional Hearing Testimony:

https://www.nrcs.usda.gov/wps/portal/nrcs/detail/national/about/legislation/con

gress/?cid=nrcs143_021340 
 

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6. Did your agency use any means to publicize or highlight important proactive disclosures 

for public awareness? If yes, please describe those efforts. 

Yes. USDA continues to use various tools to highlight important proactive disclosures for public 

awareness. Some recent examples include:

Means to 

Publicize Description

YouTube Safeguarding American Agriculture 

Instagram Resources for New Farmers
 

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Twitter Nutritional Guide for Corner Stores

RSS Feeds Ensuring Healthy Soil on Rented Land

Blogs Diversity and Equality at Rural Development
 

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Other Initiatives:

7. If there are any other steps your agency has taken to increase proactive disclosures, 

please describe them here. 

Yes. Shortly after the passage of the 2016 FOIA Amendments, the Department issued guidance 

regarding the subsection (a)(2) requirements. This guidance (excerpts shown below) provides a 

deep dive on the categories of information covered by subsection (a)(2), techniques for 

identifying proactive disclosures, and tips for mastering the FOIA Annual Report’s new (a)(2) 

requirements. 
 

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Section IV: Steps Taken to Greater Utilize Technology

1. Beyond posting new material, is your agency taking steps to make the posted 

information more useable to the public, especially to the community of individuals who 

regularly access your agency’s website?

Yes. USDA is taking steps to make posted information more usable to the public. 

2. If yes, please provide examples of such improvements. 

Some examples of such improvements are listed in the chart below. 

Component/

Mission 

Area

Description of Improvement

ARS ARS has increased the visibility of ARS news and research by using the photo carousel 

on the ARS home page to highlight the information. ARS has also improved the ARS 
 

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website search engine to use the USA.gov search engine to customize the results for 

ARS.

ERS ERS has made upgrades to its website in 2016 to allow better functionality for mobile 

device users to access the ERS data and research reports.

FS The Washington Office, Research Stations, Regional Offices, and National Forests 

independently post information specific to their geographical location, the research that 

they conduct, information related to specific topics, or information geared towards 

special groups such as children, parents and educators, or natural resource professionals. 

For example, at the Southern Research Station (SRS), publication of scientific, 

scholarly, and technical information is encouraged and includes scientific journals, 

publications, CompassLive, social media, news releases, website postings, and webinars 

open to the public, an array of materials/records are made available, publicized, and 

disseminated to keep the public informed of scientific research information and 

findings.

Examples of information posted:

http://www.fs.usda.gov/rds/archive/Catalog

http://www.fia.fs.fed.us/

https://www.fs.fed.us/learn/kids

https://www.fs.fed.us/learn/educators

https://www.fs.fed.us/learn/plants-animals

GIS grazing maps, and mining permits, have also been identified and are posted on a 

regular basis without need for public request.

RD Information placed in RD’s reading room was reorganized by program area to ease 

review.

3. Has your agency’s FOIA professionals interacted with other agency staff (such as 

technology specialist or public affairs or communications professionals) in order to identify 

if there are any new ways to post agency information online?

Several components reported working with their CIOs, Office of Public Affairs, and Office of 

Legislative Affairs to identify information for public release. For example, NRCS’ FOIA Public 

Liaison requested that copies of any public testimony or speeches made by its Chief be made 

available for public release via NRCS’ FOIA Reading Room. 

 

Use of Technology to Facilitate Processing of Requests:

4. Did your agency conduct training for FOIA staff on any new processing tools during the 

reporting period, such as for a new case management system, or for search, redaction, or 

other processing tools. 

No additional processing tools were implemented this reporting period. The Department did 

however continue to provide training on existing tools and worked with several of its vendors to 

create or provide unlimited access to online tutorials for USDA’s FOIA professionals. 
 

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5. Beyond using technology to redact documents, is your agency taking steps to use more 

advanced technology to facilitate overall FOIA efficiency, such as improving record search 

capabilities, utilizing document sharing platforms for consultations and referrals, or 

employing software that can sort and de-duplicate documents? If yes, describe the 

technological improvements being made and the impact of using these technologies on your 

agency to create further efficiencies? 

Yes. USDA’s continues to take steps to utilize more advanced technology to facilitate overall 

FOIA efficiency. 

Public Access Link (PAL): Launched in 2012, PAL is USDA’s public-facing web portal. PAL 

allows the requester community to submit requests electronically through a link on our FOIA 

site, track the status of requests, and directly download records responsive to requests. 

e-Discovery Platform: Deployed in 2013, this add-on module for the existing enterprise-wide 

tracking solution features e-Discovery technologies such as the identification of duplicate and 

near duplicate records, ability to search and categorize records, and ability to rank and view 

records by “record custodian.”

Legal Research Engine: In 2013, the Department purchased several licenses for a legal research 

engine for use by FOIA Officers in processing FOIAs posing complex legal issues. 

 

6. Are there additional tools that could be utilized by your agency to create further 

efficiencies? 

USDA is not aware of any additional tools to create further efficiencies. 

Other Initiatives:

7. Did your agency successfully post all four quarterly reports for Fiscal Year 2016?

Yes. USDA successfully posted all four of its quarterly reports for Fiscal Year 2016. 

8. If your agency did not successfully post all quarterly reports, with information 

appearing on FOIA.gov, please explain why and provide your agency’s plan for ensuring 

that such reporting is successful in Fiscal Year 2016.

Not applicable. USDA successfully posted all four of its quarterly reports for Fiscal Year 2016. 

Section V: Steps Taken to Improve Timeliness in Responding to Requests and Reducing 

Backlogs

Simple Track: Section VII.A of your agency’s Annual FOIA Report, entitled “FOIA 

Requests – Response Time for All Processed Requests,” includes figures that show your 

agency's average response times for processed requests. For agencies utilizing a multi-track 
 

25 | USDA 2017 Chief FOIA Officer Report

system to process requests, there is a category for “simple” requests, which are those 

requests that are placed in the agency’s fastest (non-expedited) track, based on the low 

volume and/or simplicity of the records requested.

1. Does your agency utilize a separate track for simple requests?

Yes. USDA utilizes a separate track for simple requests. 

2. If so, for your agency overall in Fiscal Year 2016, was the average number of days to 

process simple requests twenty working days or fewer?

Yes. In Fiscal Year 2016, the average number of days to process a simple request was 6.66 days. 

3. Please provide the percentage of requests processed by your agency in Fiscal Year 2016

that were placed in your simple track.

The percentage of requests processed by USDA in Fiscal Year 2016 that were placed in the 

simple track is 95.1%.

4. If your agency does not track simple requests separately, was the average number of 

days to process all non-expedited requests twenty working days or fewer?

Not applicable. USDA tracks simple requests separately. 

Backlogs

Section XII.A of your agency’s Annual FOIA Report, entitled “Backlogs of FOIA Requests 

and Administrative Appeals” shows the numbers of any backlogged requests or appeals 

from the fiscal year. You should refer to these numbers from your Annual FOIA Reports

for both Fiscal Years 2015 and Fiscal Year 2016 when completing this section of your Chief 

FOIA Officer Report.

BACKLOGGED REQUESTS

5. If your agency had a backlog of requests at the close of Fiscal Year 2016, did that 

backlog decrease as compared with the backlog reported at the end of Fiscal Year 2015? 

No. The overall number of backlogged requests increased by 30% in Fiscal Year 2016. 

Number of Backlogged 

Requests

as of End of the Fiscal Year 

from

Previous Annual Report

Number of Backlogged 

Requests

as of End of the Fiscal 

Year from

Current Annual Report

USDA

OVERALL 1,148 1,493
 

26 | USDA 2017 Chief FOIA Officer Report

6. If not, explain why and describe the causes that contributed to your agency not being 

able reduce its backlog. When doing so, please also indicate if any of the following were 

contributing factors:

• An increase in the number of incoming requests.

• A loss of staff.

• An increase in the complexity of the requests received. If possible, please provide 

examples or briefly describe the types of complex requests contributing to your backlog 

increase.

• Any other reasons – please briefly describe or provide examples when possible.

An increase in the number of requests coupled with vacancies in several key FOIA leadership 

positions contributed significantly to the increase. 

7. If you had a request backlog please report the percentage of requests that make up the 

backlog out of the total number of requests received by your agency in Fiscal Year 2016.

The percentage of requests that make up the backlog is 6.25%.

BACKLOGGED APPEALS

8. If your agency had a backlog of appeals at the close of Fiscal Year 2016, did that backlog 

decrease as compared with the backlog reported at the end of Fiscal Year 2015? 

No. The overall number of backlogged appeals increased by 32.9 % in Fiscal Year 2016. 

Number of Backlogged 

Appeals as of End of the 

Fiscal Year from Previous 

Annual Report 

Number of Backlogged Appeals as 

of End of the Fiscal Year from 

Current Annual Report 

USDA

OVERALL 392 521

9. If not, explain why and describe the causes that contributed to your agency not being 

able to reduce backlog. When doing so, please also indicate if any of the following were 

contributing factors:

• An increase in the number of incoming requests.

• A loss of staff.

• An increase in the complexity of the requests received. If possible, please provide 

examples or briefly describe the types of complex requests contributing to your backlog 

increase.

• Any other reasons – please briefly describe or provide examples when possible.

Most of USDA’s backlog appeals originate in FNCS. This upcoming fiscal, this component is 

partnering with the Department and the OGC-GLRD to streamline the legal sufficiency review
 

27 | USDA 2017 Chief FOIA Officer Report

process for appeals as required by the Department’s FOIA regulations. FNCS is also revising a 

current rule within the Supplemental Nutrition Assistance Program (SNAP) which will tighten 

FNCS administrative sanction process and ultimately reduce the need for SNAP violators to 

appeal FNCS initial FOIA responses. 

 

10. If you had an appeal backlog please report the percentage of appeals that make up the 

backlog out of the total number of appeals received by your agency in Fiscal Year 2016. If 

your agency did not receive any appeals in Fiscal Year 2016 and/or has no appeal backlog, 

please answer with “N/A.”

The percentage of appeals that make up the backlog out of the total number of appeals received 

by USDA in Fiscal Year 2016 is 160.3%.

Backlog Reduction Plans:

11. In the 2016 guidelines for the Chief FOIA Officer Reports, any agency with a backlog of 

over 1,000 requests in Fiscal Year 2015 was asked to provide a plan for achieving backlog 

reduction in the year ahead. Did your agency implement a backlog reduction plan last 

year? If so, describe your agency’s efforts in implementing this plan and note if your 

agency was able to achieve backlog reduction in Fiscal Year 2016?

Yes. The Department did implement a backlog reduction plan in Fiscal Year 2016. 

Unfortunately, do to unforeseen litigation and vacancies in the two components with the highest 

backlog, neither was able to realize reductions this reporting period, and USDA’s overall 

backlog increased.

 

12. If your agency had a backlog of more than 1,000 requests in Fiscal Year 2016, what is 

your agency’s plan to reduce this backlog during Fiscal Year 2017?

As of recently, the two components with the highest backlog have filled many of their vacancies. 

Both have also employed contract support to monitor and begin processing the components’ ten 

oldest pending perfected FOIAs. The Department will continue to monitor progress for these 

two components on a monthly basis and offer tips for further reduction of the backlog. 

Status of Ten Oldest Requests, Appeals, and Consultations:

Section VII.E, entitled “Pending Requests – Ten Oldest Pending Requests,” Section VI.C.(5), 

entitled “Ten Oldest Pending Administrative Appeals,” and Section XII.C., entitled 

“Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies 

and Pending at Your Agency,” show the ten oldest pending requests, appeals, and 

consultations. You should refer to these numbers from your Annual FOIA Reports for both 

Fiscal Year 2015 and Fiscal Year 2016 when completing this section of your Chief FOIA Officer 

Report.

TEN OLDEST REQUESTS
 

28 | USDA 2017 Chief FOIA Officer Report

13. In Fiscal Year 2016, did your agency close the ten oldest requests that were reported 

pending in your Fiscal Year 2015 Annual FOIA Report?

No. USDA did not close its ten oldest requests reported pending in the Fiscal Year 2015 Annual 

FOIA Report. 

14. If no, please provide the number of these requests your agency was able to close by the 

end of the fiscal year, as listed in Section VII.E of your Fiscal Year 2015 Annual FOIA 

Report. If you had less than ten total oldest requests to close, please indicate that. 

USDA successfully closed six out of its ten oldest requests. 

15. Of the requests your agency was able to close from your ten oldest, please indicate how 

many of these were closed because the request was withdrawn by the requester. If any were 

closed because the request was withdrawn, did you provide any interim responses prior to 

the withdrawal?

None of the six requests were withdrawn by the requester. 

TEN OLDEST APPEALS

16. In Fiscal Year 2016, did your agency close the ten oldest appeals that were reported 

pending in your Fiscal Year 2015 Annual FOIA Report?

No. USDA did not close its ten oldest appeals reported pending in the Fiscal Year 2015 Annual 

FOIA Report. 

17. If no, please provide the number of these appeals your agency was able to close by the 

end of the fiscal year, as listed in Section VII.C.(5) of your Fiscal Year 2015 Annual FOIA 

Report. If you had less than ten total oldest appeals to close, please indicate that. 

USDA closed one of its ten oldest appeals. 

TEN OLDEST CONSULTATIONS

18. In Fiscal Year 2016, did your agency close the ten oldest consultations that were 

reported pending in your Fiscal Year 2015 Annual FOIA Report?

No. USDA was unable to close all seven of the consultations reported in Fiscal Year 2015. 

19. If no, please provide the number of these consultations your agency was able to close by 

the end of the fiscal year, as listed in Section XII.C. of your Fiscal Year 2015 Annual FOIA 

Report. If you had less than ten total oldest consultations to close, please indicate that. 

USDA closed a total of five of the seven consultations reported in Fiscal Year 2015.
 

29 | USDA 2017 Chief FOIA Officer Report

Additional Information on Ten Oldest Requests, Appeals, and Consultations & Plans:

20. Briefly explain any obstacles your agency faced in closing its ten oldest requests, 

appeals, and consultations from Fiscal Year 2015.

A major obstacle continues to be the lack of human resources to process the growing number of 

multi-agency requests, complex appeals, and large consultations. 

21. If your agency was unable to close any of its ten oldest requests because you were 

waiting to hear back from other agencies on consultations you sent, please provide the date 

the request was initially received by your agency, the date when your agency sent the 

consultation, and the date when you last contacted the agency where the consultation was 

pending.

Not applicable. USDA was not unable to close any of its ten oldest requests because it was 

waiting to hear back from other agencies. 

22. If your agency did not close its ten oldest pending requests, appeals, or consultations, 

please provide a plan describing how your agency intends to close those “ten oldest” 

requests, appeals, and consultations during Fiscal Year 2017.

USDA remains committed to closing these items. In FY2017, the Department intends to 

continue monitoring progress on a monthly basis, providing tips on effective FOIA management,

and providing substantive FOIA training in an effort to ensure closure. 

Interim Responses:

23. Does your agency have a system in place to provide interim responses to requesters 

when appropriate? See OIP Guidance, “The Importance of Good Communication with 

FOIA Requesters.” (Mar. 1, 2010)

Yes. The Department continues to encourage FOIA Officers to coordinate with requesters and 

establish production schedules early on in instances where multiple searches are required, 

records sets are voluminous and/or the requester has specifically asked to receive records on a 

“rolling basis.” This point is reiterated frequently in USDA’s FOIA online training module, 

FOIA for FOIA Professionals. 

24. If your agency had a backlog in Fiscal Year 2016, please provide an estimate of the 

number or percentage of cases in the backlog where a substantive, interim response was 

provided during the fiscal year, even though the request was not finally closed.

Interim responses were provided for approximately 72% of the cases in USDA’s backlog.

Out of all the activities undertaken by your agency since March 2016 to increase 

transparency and improve FOIA administration, please briefly describe here at least one 

success story that you would like to highlight as emblematic of your agency’s efforts. The 
 

30 | USDA 2017 Chief FOIA Officer Report

success story can come from any one of the five key areas. As noted above, these agency 

success stories will be highlighted during Sunshine Week by OIP. To facilitate this process, 

all agencies should use bullets to describe their success story and limit their text to a half 

page. The success story is designed to be a quick summary of key achievements. A complete 

description of all your efforts will be contained in the body of your Chief FOIA Officer 

Report.

 In Fiscal Year 2016, USDA processed approximately 97% of the 23,870 FOIA request 

received. Of these received requests, about 86% were processed in less than twenty working 

days. Additionally, many of USDA’s components made substantial progress on reducing 

their request backlog. The Natural Resources Conservation Service (NRCS) had a 47.8% 

reduction, the Food Safety and Inspection Service (FSIS) a 42% reduction, Departmental 

Management (DM)/Office of the Secretary (OSEC)/Office of the Chief Information Officer 

(OCIO) a 37.5% reduction, the Food Nutrition & Consumer Services (FNCS) a 26% 

reduction, and the Risk Management Agency (RMA) a 20% reduction. The Office for the 

Assistant Secretary of Civil Rights (OASCR) and Office of Budget & Program Analysis 

(OPBA) successfully closed the Fiscal Year with no backlogged requests. 

 The Natural Resources Conservation Services (NRCS) developed a FOIA cadre, a team of 

employees from across the country, voluntarily serving to assist in increasing awareness of 

FOIA among personnel, and improving the speed, quality and consistency of agency FOIA 

processing. 

 Forest Service’s Southern Research Station (FS-SRS) partnered with the Natural Inquirer

(NI) Program to create NI scientists cards. The NI scientist cards are similar to baseball cards 

except they highlight Forest Service scientists and engineers. To date, 160 unique cards have 

been developed with more than half featuring SRS scientists. During FY16, 100,530 scientist 

cards were distributed. Of those, 65,000 cards represented minorities or women. The cards 

help students gain a deeper understanding of what it takes to become a scientist and provides 

a venue for the public to meet the SRS scientists, which builds upon the opportunity for the 

public to know more about the ongoing work of the scientist.