CHIEF FREEDOM OF 

INFORMATION ACT (FOIA) 

OFFICER REPORT 

Prepared by: The United States Department of Agriculture 

Office of the Chief Information Officer 

Date: March 2012 

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2012 Chief FOIA Report 

Table of Contents 

SECTION ...............................................................................................................................................PAGE 

EXECUTIVE SUMMARY ............................................................................................................ 3 

SECTION I: STEPS TAKEN TO APPLY THE PRESUMPTION OF OPENNESS .................. .3 

SECTION II: STEPS TAKEN TO ENSURE USDA HAS AN EFFECTIVE SYSTEM FOR 

RESPONDING TO REQUESTS................................................................................................... .6 

SECTION III: STEPS TAKEN TO INCREASE PROACTIVE DISCLOURES ...................... ...8 

SECTION V: STEPS TAKEN TO IMPROVE TIMELINESS IN RESPONDING TO 

SECTION IV: STEPS TAKEN TO GREATER UTILIZE TECHNOLOGY...............................10 

REQUESTS AND REDUCE BACKLOGS .............................................................................................12 

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EXECUTIVE SUMMARY 

The mission of the United States Department of Agriculture’s (USDA) is to provide 

leadership on food, agriculture, natural resources, and related issues based on sound public 

policy, the best available science, and efficient management. Upon its creation in 1862, 

President Abraham Lincoln called USDA “the people’s department,” because it affects so 

many people’s lives in so many different ways, and earlier, President Thomas Jefferson, a 

farmer, noted that “cultivators of the earth are the most valuable citizens.” USDA works hard 

to keep these sentiments alive as it pursues 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. 

USDA programs and activities 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. 

USDA holds answers to some of the most pressing problems faced by our Nation and 

world—from meeting needs for renewable energy, and increasing crop yields to fight hunger, 

protecting the food supply to improving our environment and optimizing international trade. 

To successfully accomplish its mission, USDA operates 300 programs worldwide through an 

extensive network of Federal, State, and local cooperators. The USDA delivers more than 

$170.5 billion in budgetary resources to provide public services worldwide. 

USDA has a decentralized FOIA Program under the direction of The Chief FOIA Officer, the 

Assistant Secretary for Administration. There are twenty-one FOIA Officers at the mission 

area and agency levels. Because we are such a large Department, with offices in every 

county of the United States, our FOIA programs differ greatly in scope and size from one 

Agency to another. 

Section I: Steps Taken to Apply the Presumption of Openness 

The guiding principle underlying the President's FOIA Memorandum and the Attorney 

General’s FOIA Guidelines is the presumption of openness. 

Describe the steps your agency has taken to ensure that the presumption of openness is being 

applied to all decisions involving the FOIA. To do so, you should answer the questions listed 

below and then include any additional information you would like to describe how your 

agency is working to apply the presumption of openness. 

1. Did your agency hold an agency FOIA conference, or otherwise conduct training during this 

reporting period? 

Yes. From March 2011 – March 2012, the Department FOIA Officer held a total of five 

Department meetings with USDA’s FOIA Community. Department meetings addressed 

among other items, upcoming training courses provided by the Department of Justice (DOJ) 

and the American Society of Access Professionals (ASAP) while offering on-the-spot 

training for interagency handling of multi component agency requests, application of fee 

waivers and improving public access to USDA responsive records. 

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The FOIA Community was also invited to participate in a brown bag lunch session with the 

Office of Government Information Services (OGIS). The session provided an overview of 

OGIS’ resources in addition to strategies for dispute resolution between requesters and 

agencies. 

The Department FOIA Officer sponsored an automated FOIA tool training for USDA’s 

FOIA Community prior to its implementation on October 1, 2011. All members of the FOIA 

Community were invited to attend two full days of hands on training on all features and 

functions from creation of requests to closing. For select members of the FOIA Community 

administrator’s training was also provided to assist with team monitoring and reporting 

requirements. 

2. Did your FOIA professionals attend any FOIA training, such as that provided by the 

Department of Justice? 

Yes. Multiple members of the USDA FOIA Community report attending FOIA related 

courses and briefings offered by DOJ. Some of these seminars included the (1) Freedom of 

Information Act for Attorneys and Access Professionals; (2) Overview of the Privacy Act; 

(3) FOIA Fee Summit; and (4) FOIA Exemption 2 Briefing after the Supreme Court’s Ruling 

in Milner v. Department of the Navy. 

In his 2009 FOIA Guidelines, the Attorney General strongly encouraged agencies to make 

discretionary releases of information even when the information might be technically exempt 

from disclosure under the FOIA. OIP encourages agencies to make such discretionary 

releases whenever there is no foreseeable harm from release. 

3. Did your agency make any discretionary releases of otherwise exempt information? 

Yes. Multiple USDA FOIA officers report making discretionary releases of otherwise 

exempt information. 

4. What exemptions would have covered the information that was released as a matter of 

discretion? 

In reviewing all agency responses, the Department FOIA Officer has determined that 

Exemptions 5 U.S.C. §§ 552 (b)(5) and (b)(7) would have covered the information that was 

released as a matter of discretion. 

5. Describe your agency’s process to review records to determine whether discretionary releases 

are possible. 

Generally speaking, once responsive records are identified and the FOIA Office has 

conducted its initial review, the records are then transferred to the documents originator(s) 

for a final review with the instruction to adhere to the 2009 guidelines set forth by the 

President and the Attorney General. Responsive records suitable for release and subject to 

multiple requests are then posted to the agency’s webpage. 

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6. Describe any other initiatives undertaken by your agency to ensure that the presumption of 

openness is being applied. 

USDA’s largest initiative to increase the presumption of openness is the Open Government 

“Open Gov” webpage – usda.gov/open – which is prominently linked to the USDA website. 

The OpenGov page contains links to High Value Data Sets and incorporates interactive 

features including a discussion area for public sharing of ideas on government transparency, 

collaboration, and innovation. 

In accordance with the Electronic Freedom of Information Act Amendments of 1996, USDA 

continues to maintain its FOIA libraries at http://www.dm.usda.gov/foia_reading_room.htm. 

The FOIA library contains an index of our most frequently requested documents, special 

interest collections, and other information that the public is likely to have an interest, or 

information which has been previously released in response to FOIA requests. 

The USDA FOIA Officer is currently pursuing use of a Public Access Link (PAL) web 

portal. PAL will allow the public to submit and track the status of FOIA requests over the 

internet. PAL also has a Public FOIA library on which agencies can post frequently 

requested documents. 

Review of records for public release, and application of all FOIA exemptions, are treated in 

accordance with the guidelines set forth in the 2009 Memoranda issued by the President and 

the Attorney General, wherein a high threshold has been set for withholding information. 

In Section V.B.(1) of your agency’s Annual FOIA Report, entitled “Disposition of FOIA 

Requests – All Processed Requests” the first two columns list the “Number of Full Grants” 

and the “Number of Partial Grants/Partial Denials.” Compare your agency’s 2011 Annual 

FOIA Report with last year’s Annual FOIA Report, and answer the following questions: 

7. Did your agency have an increase in the number of responses where records were released in 

full? 

Yes. The total number of full grants increased by 15% in FY2011. 

Year USDA Total # of Full Grant 

2010 15,415 

2011 17,748

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8. Did your agency have an increase in the number of responses where records were released in 

part? 

Yes. The total number of partial grants/partial denials increased by 6% in FY2011. 

Year USDA Total # of Partial 

Grants/Partial Denials 

2010 1,949 

2011 2,075

Section II: Steps Taken to Ensure that Your Agency 

Has an Effective System in Place for Responding to Requests 

As the Attorney General emphasized in his FOIA Guidelines, “application of the proper 

disclosure standard is only one part of ensuring transparency. Open government requires not 

just a presumption of disclosure, but also an effective system for responding to FOIA 

requests.” 

This section should include a discussion of how your agency has addressed the key roles 

played by the broad spectrum of agency personnel who work with FOIA professionals in 

responding to requests, including, in particular, steps taken to ensure that FOIA professionals 

have sufficient IT support. 

Describe here the steps your agency has taken to ensure that its system for responding to 

requests is effective and efficient. To do so, answer the questions below and then include 

any additional information that you would like to describe how your agency ensures that your 

FOIA system is efficient and effective. 

1. Do FOIA professionals within your agency have sufficient IT support? 

Yes. Each FOIA professional within the Department has access to IT support, be it 

hardware, software, or a help desk. 

2. Is there regular interaction between agency FOIA professionals and the Chief FOIA Officer? 

Yes. Re-occurring meetings are held by the Chief FOIA Officer or his designee, the 

Department FOIA Officer, to address among other items upcoming training courses, 

reporting requirements, agency backlog and the handling of agency-wide requests. The 

entire FOIA community is invited to attend these meetings. Reports and/or minutes of these 

recurring meetings are provided to the Chief FOIA Officer. 

3. Do your FOIA professionals work with your agency’s Open Government Team? 

Yes. USDA’s FOIA professionals collaborate with the USDA Open Government Team to 

identify High Value Data Sets and other information for posting on the USDA Open Gov 

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website. For example, recent postings included proposals submitted to the US Forest Service for 

the Cleghorn Ridge and Deerfield Wind Power Projects. 

The USDA Department FOIA Officer and the Office of the Chief Information Officer also 

partners with the USDA Open Gov team to review the interactive features of the Open Gov 

website and analyzes input received from the public on government transparency, collaboration, 

and innovation within USDA. 

As in the previous year, USDA will post its combined FY 2011 FOIA Annual Report on the 

Open Gov website and track public comments on the report. 

4. Describe the steps your agency has taken to assess whether adequate staffing is being 

devoted to FOIA administration. 

Across the Department, USDA uses a number of reporting mechanisms to assess and review 

the staffing needs of the FOIA program. These tools include; but are not limited to; biweekly reports, weekly activity reports, and the automated FOIA tracking system alerts. 

Each agency within the Department on a bi-weekly basis provides management with their 

FOIA backlog, as well as a per person current case load. In addition to the bi-weekly back 

log, each FOIA office adds it FOIA processing activities to the organization’s weekly activity 

report. The weekly activity report is an avenue for each office to highlight accomplishment, 

concerns, issues, etc to management in a timely manner. 

During the budget cycle, the FOIA back log, per person case load, and administrative costs 

associated with the processing of FOIA cases are assessed by each FOIA office. Based on 

this assessment each FOIA office makes staffing recommendations. Beyond the budget 

process, agencies continually review, modify and assess their FOIA staffing, training, and 

resources requirements. 

To augment staffing and productivity the Department as a whole added FOIA to employee 

annual performance plans. Adding this element to the employee performance plan brings a 

higher level of attention to the timely processing of FOIAs, and allows the Department the 

flexibility to augment staffing as needed. 

5. Describe any other steps your agency has undertaken to ensure that your FOIA system 

operates efficiently and effectively. 

On October 1, 2011 USDA launched its enterprise-wide automated FOIA system to increase 

internal accountability and to standardize reporting and tracking of USDA’s FOIA data and 

information requests. Since implementation, USDA’s FOIA system has significantly 

transformed the FOIA management experience within USDA as it allows for real-time 

tracking, management, centralized oversight, and quality control across the administration of 

USDA’s decentralized FOIA program. With this system USDA agencies are reporting a 

more efficient process, resulting in much quicker responses to requesters. The USDA FOIA 

Officer will also be able to maintain a real time snapshot of the activities of every agency at 

any given time. 

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Shortly after the implementation, the Department FOIA Officer held a meeting with USDA’s 

FOIA Community to ensure that FOIA tracking and review procedures remain centralized. 

A charter was drafted in December 2011 to establish USDA’s FOIA Officer Council. The 

Council will provide a centralized and focused forum to (1) streamline inter and intra-agency 

FOIA operations in accordance with the requirements of the Freedom of Information Act, the 

Privacy Act, the OPEN Government Act of 2007, the OPEN Government Act of 2009, 

FOIA related Executive Orders, Department of Justice/Office of Information Policy 

(DOJ/OIP) directives and guidance materials; (2) reduce backlog in agencies; (3) promote 

accountability; and (4) increase accessibility to requested USDA records. 

Section III: Steps Taken to Increase Proactive Disclosures 

Both the President and Attorney General focused on the need for agencies to work 

proactively to post information online without waiting for individual requests to be received. 

Describe here the steps your agency has taken both to increase the amount of material that is 

available on your agency website, and the usability of such information, including providing 

examples of proactive disclosures that have been made during this past reporting period (i.e., 

from March 2011 to March 2012). In doing so, answer the questions listed below and 

describe any additional steps taken by your agency to make and improve proactive 

disclosures of information. 

1. Has your agency added new material to your website since last year? 

Yes. USDA has added new material to our website since last year. USDA remains 

committed to increasing proactive disclosures. Most component agencies within the 

Department actively post and update materials in their electronic FOIA library. To review 

the Department’s FOIA library additions since March 2011, please visit 

http://www.dm.usda.gov/foia_reading_room.htm. 

2. Provide examples of the records, datasets, videos, etc., that have been posted this past year. 

USDA has published a total of 182 datasets on Data.gov. Overall, the USDA entries on 

Data.gov have received approximately 83,900 visits as of January 2012. Several of the 

datasets received very positive public responses, particularly MyPryamid Food Raw Data, 

Rice Year Book data tables, and Available Technologies. 

USDA was explicitly asked to submit a specific dataset entitled MyPyramid Food Raw Data 

for The Apps for Healthy Kids competition in support of First Lady Michelle Obama’s Let’s 

Move Campaign to end childhood obesity within a generation. 

USDA provided to CNN cable network, at their request a dataset on the Farmers Market 

Search. This dataset provided the location of Farmers Markets in the United States. As a 

result of the publication of this dataset on Data.gov, the public now has the capability to 

quickly and easily find the location(s) of a Farmers Market in their area. 

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Since March 2010, more than forty data sets have been added to USDA’s Open Gov website. 

Data sets touch on a variety of issues, including, but not limited to, the Top 10 Importers of 

Wheat in the U.S., Farm Program Payments, U.S. Gulf Vessel Loading Activities, Grain 

Inspections, and Soil Climate Analysis. Additional features of the page include several 

related USDA blog sites and links to provincial reconstruction and agribusiness development 

teams. 

USDA has utilized blogs, YouTube, Twitter and other electronic communication channels to 

proactively disclose information. Please see the posting below for a synopsis of some of 

USDA’s proactive disclosures: 

Blog Title Website Link 

BioFuel http://blogs.usda.gov/2012/01/16/flying-planes-with-biofuels/ 

Go Green with a 

new energy 

efficiency 

initiative 

http://blogs.usda.gov/2012/01/11/supporting-those-who-go-green-with-anew-energy-efficiency-initiative/ 

Broadband to 

Alaska 

http://blogs.usda.gov/2012/01/17/terrestrial-broadband-connects-nativecommunities-in-southwest-alaska-to-the-world-for-the-first-time 

Hawai’I 

Showcases it’s 

AG Diversity 

http://blogs.usda.gov/2012/01/17/hawaii-showcases-it%e2%80%99s-agdiversification-%e2%80%93-the-proof-is-in-the-numbers/ 

YouTube Website Link 

USDA 

Farmer’s 

Market (First 

Lady 

Michelle 

Obama) 

http://www.youtube.com/usda#p/c/634D7C576C1D2BF9/45/7_alBXtnt30 

USDA 

Healthy Kids 

(First Lady 

Michelle 

Obama) 

http://www.youtube.com/usda#p/c/634D7C576C1D2BF9/57/uqhtqdvbmXU 

Secretary 

Vilsack 

Testifies on 

Biofuel 

http://www.youtube.com/usda/#p/c/634D7C576C1D2BF9/127/MfWSVwu36kM 

Thanksgiving 

Advice 

http://www.youtube.com/usda/#p/c/634D7C576C1D2BF9/62/OxABAo6rcd8 

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USDA Brings 

Broadband to 

Rural 

America 

http://www.youtube.com/usda/#p/c/634D7C576C1D2BF9/86/v8G8Wb3X3YU 

Chat Live 

with USDA 

on Food 

Safety 

http://www.youtube.com/usda/#p/c/634D7C576C1D2BF9/87/hML0uwvsMKY 

USDA 

Renewable 

Fuel Plan 

http://www.youtube.com/usda/#p/c/634D7C576C1D2BF9/90/rVs14lhlVhM 

3. Describe the system your agency uses to routinely identify records that are appropriate for 

posting. 

When requests for particular records/data sets becomes frequent, the FOIA Officer will 

notify the originator(s) of the records/data sets and request written permission to post the 

redacted records to the respective agency’s FOIA library and for inclusion on the Open 

Government website. 

4. Beyond posting new material, is your agency taking steps to make the information more 

useful to the public, especially to the community of individuals who regularly access your 

agency’s website, such as soliciting feedback on the content and presentation of the posted 

material, improving search capabilities, providing explanatory material, etc.? 

Most USDA FOIA libraries are not structured to allow feedback from the public. 

However, the public may send comments to the FOIA Liaison or the Department FOIA 

Officer with recommendations. 

The public is free to post comments on USDA blogs, Facebook, Twitter, and YouTube. 

These technology platforms allow USDA to respond quickly and directly to both the 

commenter and to the entire community of interest. 

5. Describe any other steps taken to increase proactive disclosures at your agency. 

The USDA is an active participant in the Data.gov working group. This working group 

meets regularly to identify high value datasets. USDA proactively discloses on its 

data.gov site a large percentage of the datasets identified by the working group. USDA’s 

datasets have been listed as 2 of the top 10 most downloaded datasets. 

USDA continually reviews its internal processes, recently received FOIAs, and current 

events. We use these reviews to proactively disclose as much information as possible. 

Our most proactive disclosure sites are YouTube, Twitter, and Facebook. 

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Section IV: Steps Taken to Greater Utilize Technology 

A key component of the President's FOIA Memorandum was the direction to "use modern 

technology to inform citizens about what is known and done by their Government." In 

addition to using the internet to make proactive disclosures, agencies should also be 

exploring ways to utilize technology in responding to requests. In 2010 and 2011, agencies 

reported widespread use of technology in handling FOIA requests. For 2012, the questions 

have been further refined and now also address different, more innovative aspects of 

technology use. 

Electronic receipt of FOIA requests: 

1. Can FOIA requests be made electronically to your agency? 

Yes. USDA continues to encourage electronic filing of requests. The public is invited to 

submit its request to either the FOIA Service Center’s mailbox at 

USDAFOIA@ocio.usda.gov or directly to one or more agency’s FOIA mailbox listed at 

USDA FOIA Liaisons . 

2. If your agency processes requests on a decentralized basis, do all components of your 

agency receive requests electronically? 

Yes. All USDA component agencies will accept FOIA requests submitted electronically. 

For the public’s convenience, component agency mailboxes and additional contact 

information are listed at the web site above. The above website also provides the public 

with instructions for submitting a FOIA. 

Online tracking of FOIA requests: 

3. Can a FOIA requester track the status of his/her request electronically? 

No. Currently requesters cannot track the status of a request via an online portal. 

However, requesters are welcome to submit written, telephonic and electronic inquiries 

regarding the status of a request to the FOIA Service Center mailbox 

USDAFOIA@ocio.usda.gov or if applicable directly to one or more of the agencies. 

4. If not, is your agency taking steps to establish this capability? 

Yes. The USDA FOIA Officer is currently pursuing the implementation of a public 

access web portal to complement USDA’s automated FOIA system. This public portal 

will allow the public to submit and track the status of FOIA requests over the internet. 

Use of technology to facilitate processing of requests: 

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

more advanced technology to facilitate overall FOIA efficiency, such as improving 

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record search capabilities, utilizing document sharing platforms for consultations and 

referrals, or employing software that can sort and de-duplicate documents? 

Yes. USDA is taking steps to utilize advanced technology to facilitate overall FOIA 

efficiency. 

6. If so, describe the technological improvements being made. 

Records Sorting and De-Duplication Software: The USDA utilizes state-of-the-art 

proprietary document de-duplication and sorting software, through USDA’s National 

Information Technology Center (NITC). 

Document-Sharing Platforms: USDA’s Washington Communications and Technology 

Services (WCTS) has implemented USDA Connections, a platform running on Lotus 

Notes, as a document-sharing area which facilitates collaboration between the USDA 

FOIA Service Center, Office of the Chief Information Officer (OCIO) and the various 

USDA FOIA offices. 

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

Backlogs 

The President and the Attorney General have emphasized the importance of improving 

timeliness in responding to requests. This section addresses both time limits and backlog 

reduction. Backlog reduction is measured both in terms of numbers of backlogged requests 

or appeals and by looking at whether agencies closed their ten oldest requests and appeals. 

For the figures required in this Section, please use those contained in the specified sections 

of your agency’s 2011 Annual FOIA Report. 

1. 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 

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. If your agency does not utilize a 

separate track for processing simple requests, answer the question below using the figure 

provided in your report for your non-expedited requests. 

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

Yes. USDA utilizes a separate track for simple requests. 

b. If so, for your agency overall, for Fiscal Year 2011, was the average number of days 

to process simple requests twenty working days or fewer? 

Yes. USDA’s overall average number of days to process simple requests is 19.2 

working days. 

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

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

Not applicable. 

2. Sections XII.D.(2) and XII.E.(2) of your agency’s Annual FOIA Report, entitled 

“Comparison of Numbers of Requests/Appeals from Previous and Current Annual Report 

– Backlogged Requests/Appeals,” show the numbers of any backlog of pending requests 

or pending appeals from Fiscal Year 2011 as compared to Fiscal Year 2010. You should 

refer to those numbers when completing this section of your Chief FOIA Officer Report. 

In addition, Section VII.E, entitled “Pending Requests – Ten Oldest Pending Requests,” 

and Section VI.C.(5), entitled “Ten Oldest Pending Administrative Appeals,” from both 

Fiscal Year 2010 and Fiscal Year 2011 should be used for this section. 

a. If your agency had a backlog of requests at the close of Fiscal Year 2011, did that 

backlog decrease as compared with Fiscal Year 2010? 

Yes. The agency overall number of backlogged requests at the close of the Fiscal 

Year 2011 decreased by 5%. 

Year Total Number of Backlogged 

Requests at the End of the Fiscal Year 

2010 681 

2011 650

b. If your agency had a backlog of administrative appeals in Fiscal Year 2011, did that 

backlog decrease as compared to Fiscal Year 2010? 

No. The agency overall number of backlogged administrative appeals at the close of 

the Fiscal Year 2011increased by 11%. 

Year Total Number of Backlogged 

Administrative Appeals at the End of 

the Fiscal Year 

2010 133 

2011 147

c. In Fiscal Year 2011, did your agency close the ten oldest requests that were pending 

as of the end of Fiscal Year 2010? 

USDA saw a slight increase in the number of FOIA request received this year. In 

addition, we also noted a significant increase in the overall complexity of the FOIAs 

received. Both the volume increase and the increase in complexity added to the 

challenge of closing out the ten oldest requests. USDA was unable to close the 

agency’s ten oldest requests that were pending as of the end of Fiscal Year 2010. . 

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USDA anticipates that with the implementation of USDA’s automated system the 

number of backlogged requests will continually decrease. USDA will continue to 

monitor backlogs, and emphasize the importance of timely closure and disclosure. 

d. In Fiscal Year 2011, did your agency close the ten oldest administrative appeals that 

were pending as of the end of Fiscal Year 2010? 

No. USDA was unable to close the ten oldest administrative appeals that were 

pending as of the end of Fiscal Year 2010. Again, USDA anticipates it’s automated 

system will positively impact the oldest administrative appeals. USDA will monitor 

and continually remind the FOIA community of the importance of closing out these 

appeals. 

3. If you answered “no” to any of the above questions, describe why that has occurred. In 

doing so, answer the following questions then include any additional explanation: 

Request Backlog: 

a. Was the lack of a reduction in the request backlog a result of an increase in the 

number of incoming requests? 

Although USDA received a 13% increase in incoming requests, the agency was still 

able to decrease the total number of requests pending in FY2011. 

b. Was the lack of a reduction in the request backlog caused by a loss of staff? 

Not applicable, USDA reduced the number of pending request in FY 2011. 

c. Was the lack of a reduction in the request backlog caused by an increase in the 

complexity of the requests received? 

Not applicable, USDA reduced the number of pending request. USDA did however 

noted a slight increase in the number of complex FOIAs in FY2011. 

d. What other causes, if any, contributed to the lack of a decrease in the request 

backlog? 

Not applicable. 

Administrative Appeal Backlog: 

a. Was the lack of a reduction in the backlog of administrative appeals a result of an 

increase in the number of incoming appeals? 

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Yes. The increase in the number of administrative appeals increased USDA’s 

backlog. 

b. Was the lack of a reduction in the appeal backlog caused by a loss of staff? 

While the overall number of personnel involved in the FOIA process increased, many 

USDA agencies reported a reduction in staff or intermittent staff of FOIA activities 

negatively impacted their FOIA process. 

c. Was the lack of a reduction in the appeal backlog caused by an increase in the 

complexity of the appeals received? 

USDA noted an increase in the complexity and volume of appeals. Both these factors 

(and others) contributed to the continuance of USDA’s the appeal backlog. 

d. What other causes, if any, contributed to the lack of a decrease in the appeal backlog? 

Resource constraints, intermittent resource allocation (e.g. summer interns, 

organizational restructuring, and personnel reassignment) and migration activities 

resulting from an enterprise-wide deployment of a new system all contributed to the 

lack of a decrease in the appeal backlog. 

All agencies should strive to both reduce any existing backlogs or requests and 

appeals and to improve their timeliness in responding to requests and appeals. 

Describe the steps your agency is taking to make improvements in those areas. In 

doing so, answer the questions below and then include any other steps being taken to 

reduce backlogs and to improve timeliness. 

1. Does your agency routinely set goals and monitor the progress of your FOIA caseload? 

Yes, the Department sets goals and monitors progress. This year, the Department used 

the Department of Justice’s dashboard as a Department goal, and socialized the goal to all 

USDA agencies. USDA also used the DOJ dashboard to assist in re-emphasizing the 

reduction of appeals. Prior to the release of the Department of Justice’s dashboard, 

USDA agencies were and continue to be required to submit on a bi-weekly basis all 

pending requests to the FOIA Service Center and on a monthly basis backlog reports. 

USDA agency bi-weekly and backlog reports are tracked and monitored by the Chief 

FOIA Officer, and senior leadership. 

Agencies making significant progress in eliminating pending and backlog requests are 

highlighted at the Department FOIA Officer’s meetings. 

2. Has your agency increased its FOIA staffing? 

Yes. In FY2011, the total number of Full-Time FOIA Staff Employees increased by 

1.9%. 

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3. Has your agency made IT improvements to increase timeliness? 

As mentioned previously, USDA launched the automated FOIA system to increase 

accountability, tracking and to address standardized reporting of USDA’s FOIA requests. 

Since implementation, the system has significantly transformed the FOIA management 

experience within USDA as it allows for real-time tracking, management, centralized 

oversight, and quality control across USDA’s decentralized FOIA program. 

4. If your agency receives consultations from other agencies, has your agency taken steps to 

improve the efficiency of the handling of such consultations, such as utilizing IT to share 

the documents, or establishing guidelines or agreements with other agencies on the 

handling of particular information to speed up or eliminate the need for consultations? 

USDA continues to improve our consultation process. USDA receives a number of 

consultations from other agencies, many of which are received by the Department’s FOIA 

Service Center for processing. The FOIA Service Center reviews the requests, coordinates 

with the appropriate agency, and monitors the consultation. With the implementation of the 

automated FOIA system, USDA will have a real time view of consultations. USDA also 

handles multi-agency consults at the FOIA community level. In the event a multi-agency 

response is required, a teleconference or in person FOIA community meeting is convened to 

discuss the request, share documents, and coordinate the response. 

Use of FOIA’s Law Enforcement “Exclusions” 

In order to increase transparency regarding the use of the FOIA’s statutory law enforcement 

exclusions, which authorize agencies under certain exceptional circumstances to “treat the 

records as not subject to the requirements of [the FOIA],” 5 U.S.C. § 552(c)(1), (2), (3), 

please answer the following questions: 

1. Did your agency invoke a statutory exclusion during Fiscal Year 2011? 

No, USDA did not involve statutory exclusions during this Fiscal Year. 

Spotlight on Success 

Out of all the activities undertaken by your agency since March 2011 to increase 

transparency and improve FOIA administration, describe here one success story that you 

would like to highlight as emblematic of your agency’s efforts. 

USDA as a whole made monumental strides in its efforts to increase transparency, and 

openness. Specifically, USDA leveraged multiple social media platforms (e.g. Facebook, 

Twitters, YouTube, Blogs, etc) to increase transparency. In addition to using these 

outlets, USDA also proactively published a significant number of datasets on Data.gov 

and Open.gov. USDA’s datasets on Data.gov received approximately 83,900 visits and 

was 2 of the top 10 high interest areas. 

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While many USDA agencies’ proactive disclosure, and other transparency related 

initiatives warrant highlighting, the following is a select compilation of a few initiatives 

that merit highlighting. 

Animal and Plant Health and Inspection Service Spotlight on Success: 

The APHIS FOIA office reduced the pending backlog cases by 81%, exceeding our 

reduction goal by 41%. By processing over 278,000 pages, APHIS ended FY2011 with an 

unprecedented record low of 40 pending cases in the backlog. In addition to being more 

responsive to APHIS requesters, the FOIA library was reorganized and there was an 

increase in the amount of data on the Agency’s FOIA and eFOIA Web sites to include: 

 Monthly FOIA logs, 

 Congressional Reports and Testimonies, 

 Annual Reports, 

 Transcripts and meeting minutes for the Secretary’s Advisory Committee on 

Animal Health, 

 Wildlife Service’s fact sheets and publications, 

 Wildlife Service’s National Wildlife Disease Program’s Quarterly Report; and 

 Index to make information easily accessible to the reader. 

The additions noted above resulted in the FOIA Website being viewed 15,380 times, 

which is a 41.44% increase from the previous fiscal year. Because the FOIA office 

targeted and included high interest APHIS program records, FOIA responses and records, 

and FOIA guidance information and training, the FOIA library also improved its 

viewership by 1,350%. 

APHIS also added a section for tips and tidbits on its website which contains links to 

informational flyers that give readers a snap shot of the FOIA process. On the main 

APHIS FOIA page, the most current tips are posted as a pop up so that it is easily 

accessible and one of the first things readers see when entering the FOIA website. 

Food Nutrition Service Spotlight on Success: 

The Food Nutrition Service has undertaken an initiative to improve the FOIA processes 

through the use of Lean Six Sigma and its five phases which include 1) Define, 2) 

Measure 3) Analyze, 4) Improve , and 5) Control. After analyzing the FOIA process 

using Lean Six Sigma tools, FNS was able to identify root causes that affect the 

processing of the request. Currently FNS is in the process of implementing ways to 

reduce or eliminate these root causes. 

FNS also implemented one of the best practices mentioned by the National Archives and 

Records Administration (NARA) Office of Government Information Services (OGIS) in 

their list of FOIA Requirements, Agency Best Practices and OGIS Recommendations. 

NARA OGIS and GAO reports recommended explaining the FOIA processes to 

requestors. 

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FNS has taken the time more often this year to explain to our requestors our processes, to 

include providing answers as to why a requestor has been charged for this request whereas 

previously they were not charged for a request in the past. This practice was implemented 

following our review of a Government Accountability Office (GAO) analysis report and 

from reviewing NARA OGIS’ best practice list. 

Research, Education and Economics Spotlight on Success: 

The Research Education and Economics office provides FOIA program support services 

to three USDA agencies. REE services the Agriculture Research Service, Economic 

Research Service, the National Agriculture Statistics Service, National Institute of Food 

and Agriculture. The following two spotlights on success are from agencies serviced by 

REE. 

ERS Spotlight on Success: 

Policy makers and the public are being provided with easily accessible data on rural areas 

through the Economic Research Service (ERS) Atlas of Rural and Small-Town America. 

Posted on the USDA ERS website on February 17, 2011, the online mapping tool provides 

county-level information on over 60 statistical indicators on the people, jobs, agriculture, 

and county characteristics in nonmetropolitan America. The Atlas helps State and local 

decision-makers pinpoint the needs of particular areas, recognize their diversity, and 

develop strategies to build on their assets by using location-based data on population, age 

structure, race and ethnicity, income, employment, agricultural well-being, and other 

measures. 

NIFA Spotlight on Success: 

NIFA continues to update and improve the NIFA Tribal Institutions Portal, a support 

center for American Indian-serving educational institutions and tribes that receive NIFA 

research, educational or extension funding through the 1994 grant programs and the 

Federally Recognized Tribes Extension Program. The center provides information on 

how to apply for grants and post-award management along with staff contact information. 

Approximately 60 percent of the 1994 Tribal Institutes are using the website. 

USDA as a whole continues to make great strides in its efforts to (1) increase FOIA 

program efficiencies, (2) reduce the number of backlog, and (3) proactively disclose 

information to the public. In FY 2011 USDA received 23,065 FOIA requests which is a 

13.24% increase over FY 2010. In addition to the increase in the number of requests 

received, multiple FOIA officers have reported a significant increase in the complexity of 

requests. Although the number of FOIA requests received by USDA increased 

dramatically, and the complexity requests increased, USDA processed 2,977 more (or 

13.24%) requests in FY 11 with no increase in full-time FOIA professionals. USDA is 

proud it’s proactive disclosure, process improvements, technology implementation, 

openness and transparency. USDA anticipates it will continue to improve the FOIA 

program, and process next FY. 

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