Section IV: Steps Taken to Greater Utilize Technology

A key component of FOIA administration is using technology to make information available to the public and to gain efficiency in FOIA processing.  The Attorney General’s 2022 FOIA Guidelines emphasize the importance of making FOIA websites easily navigable and complying with the FOIA.gov interoperability requirements.  Please answer the following questions to describe how your agency is using technology to improve its FOIA administration and the public's access to information.

1. Has your agency reviewed its FOIA-related technological capabilities to identify resources needed to respond to current and anticipated FOIA demands?

Yes.

2. Please briefly describe any new types of technology your agency uses to support your FOIA program.  

In 2024, HHS FOIA Offices continue to review their FOIA-related technological capabilities and either implement or explore the use of new technologies.  Some examples include:

OS FOIA worked with the Office of Chief Information Office to implement the use of a new electronic service catalog form to streamline the process for submitting search requests to the Office of Chief Information Office when searching for email records.   

ARPA-H FOIA conducted market research on acquiring new FOIA processing software.  ARPA-H plans to acquire this software in 2025 to leverage artificial intelligence to perform redactions, utilize e-discovery for due diligence in conducting searches, and streamline the establishment of a FOIA administrative record for each case file.

CMS FOIA CMS continued to explore the use of artificial intelligence (AI) to better leverage technology and increase automation as a part of its modernization efforts. CMS FOIA made significant updates to its FOIA workflow management system to improve user interface, automate communications, and improve data and reporting management. CMS FOIA also launched the CMS Pay.Gov tool that allows requesters to pay for FOIA-related fees electronically for the first time in 2024 and made a subsequent enhancement over the summer to lower the payment transaction threshold to enhance payment flexibility. CMS FOIA explored an innovative project with the agency’s Office of Information Technology to build a tool for disclosure analysis that harnesses the power of AI to better automate and assist the analysis in reviewing and redacting large volumes of documents. Progress thus far included mapping out the user cases, building out a secure IT environment to house the tool, and developing an AI model with machine learning capabilities for analyzing text.

FDA FOIA began the transition to a new FOIA case management system, which functions as a tool for both case management and redaction. FDA expects the new case management system to be fully launched in early 2025. FDA is also expanding the use of eDiscovery tools for FOIA requests.

NIH FOIA added video redaction software in 2024. In addition, NIH FOIA transitioned to posting records of interest to the public to a searchable reading room to facilitate the public’s inspection of these records.

OIG FOIA transitioned to a new FOIA case management system in 2024.  This system has provided efficiencies to OIG’s FOIA program and made it easier to send reports to the Department.

SAMHSA FOIA worked with the vendor of its case management system to make improvements to its system, including adding features that have automated routine processes.  SAMHSA FOIA has also explored acquiring plugins for its current redaction software to enhance its capabilities.

3.  Does your agency currently use any technology to automate record processing?  For example, does your agency use machine learning, predictive coding, technology assisted review or similar tools to conduct searches or make redactions? If so, please describe and, if possible, estimate how much time and financial resources are saved since implementing the technology.

OS FOIA uses a tracking system with eDiscovery capabilities, including the ability to identify duplicate and “near duplicate” records and conduct advanced searches to quickly uncover responsive terms in large document sets.  This system also has a “find and redact” feature that allows the reviewer to identify common information that is routinely redacted from records (i.e., personally identifiable information).

ARPA-H FOIA utilizes an e-discovery platform to conduct searches across the agency’s platform and utilizes the features available in its redaction software to redact sensitive information from records.

CMS’s public portal has significantly streamlined the intake process.  Updates were made to the portal to interface with CMS’s FOIA case management system, which has improved search and data reporting capabilities. CMS also leverages commercial eDiscovery tools to conduct email record searches and to identify and deduplicate documents for litigation cases.  Furthermore, CMS has explored an innovative project with the agency’s Office of Information Technology to build a tool for disclosure analysis that harnesses the power of AI to better automate and assist the analysis in reviewing and redacting large volumes of documents. Progress thus far includes mapping out user cases, building out a secure IT environment to house the tool, and developing an AI model with machine learning capabilities for analyzing text.

FDA FOIA uses commercial eDiscovery tools for the processing of litigation cases.

NIH FOIA licensed video review software that automatically identifies and tracks features such as faces in a video recording and redacts them for the duration of the recording. The software also permits the simultaneous review of six parallel videos at any given time, allowing for greater efficiency when redacting video.

4.  OIP issued guidance in 2017 encouraging agencies to regularly review their FOIA websites to ensure that they contain essential resources and are informative and user-friendly.  Has your agency reviewed its FOIA website(s) during the reporting period to ensure it addresses the elements noted in the guidance?

Yes.  HHS FOIA Offices review their agency’s FOIA websites on a regular basis to ensure that these websites contain up to date FOIA libraries; instructions for making a request or inquiring about an existing request; the most recent reports related to the administration of FOIA; and helpful FOIA resources including links to the FOIA statute, the Department’s FOIA regulations, and the DOJ FOIA Guide.  These websites are also regularly updated to reflect changes in the FOIA process or new contact information, and to make sure that all links are up to date. Furthermore, all OpDivs contain a clear link to their respective FOIA websites on their agency homepages.

5. Did all four of your agency's quarterly reports for Fiscal Year 2024 appear on FOIA.gov?

Yes.

6.  If your agency did not successfully post all quarterly reports on FOIA.gov, please explain why and provide your agency’s plan for ensuring that such reporting is successful in Fiscal Year 2025.

N/A

7.  The FOIA Improvement Act of 2016 requires all agencies to post the raw statistical data used to compile their Annual FOIA Reports.  Please provide the link to this posting for your agency’s Fiscal Year 2023 Annual FOIA Report and, if available, for your agency’s Fiscal Year 2024 Annual FOIA Report.

https://www.hhs.gov/foia/reports/annual-reports/2023/index.html

8. In February 2019, DOJ and OMB issued joint Guidance establishing interoperability standards to receive requests from the National FOIA Portal on FOIA.gov.  Are all components of your agency in compliance with the guidance?

Almost all HHS agencies are compliant with the 2019 guidance establishing interoperability standards for receiving requests from the National FOIA Portal on FOIA.gov.  ARPA-H is not yet listed on FOIA.gov and is still in the process of completing the steps necessary to establish interoperability with the National FOIA Portal on FOIA.gov.  Once that occurs, all HHS agencies will be fully interoperable.

9. Optional -- Please describe the best practices used in greater utilizing technology and any challenges your agency faces in this area.

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