Improving FOIA Request Handling through Process Automation - AIIM

Improving FOIA Request Handling through Process Automation Throw away the redaction tape and deliver faster, more reliable responses to citizens

Improving FOIA Request Handling through Process Automation

Table of Contents New rules mean a new future for FOIA professionals .................................................... 3 The FOIA Environment Today ....................................................................................... 4 FOIA Automation takes a Request from “Received” to “Resolved” in Record Time ....... 5 Privasoft AccessPro Suite ............................................................................................................................5 Track Request Status and Demonstrate Compliance with Ease................................................................5 AccessPro Case Management..................................................................................................................... 6 Redact and Release Information with Confidence ..........................................................7 AccessPro Redaction....................................................................................................................................7 Collaborate with Efficiency ............................................................................................ 8 AccessPro Workgroup ................................................................................................................................ 8 Deliver Service to the Citizen with Quality ..................................................................... 9 AccessPro Portal ......................................................................................................................................... 9 Every Agency Can be Citizen-friendly! ..........................................................................10 What managers need to know about FOIA Automation and the Privasoft AccessPro Suite..................10

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New rules mean a new future for FOIA professionals FOIA professionals already recognize their existing resources and business processes are lagging behind a constantly growing and ever more challenging workload. While almost every other part of government has implemented some kind of workflow automation, the increasing complexity and changing demands of the FOIA have led to shortcomings in the effective processing of requests. FOIA leaders understand that the new requirements of the Open Government Act point directly towards process automation. New rules present a new opportunity to build a FOIA organization that can excel at its primary tasks and enhance the entire agency’s performance by better supporting disclosure objectives. With clear guidance and a renewed sense of urgency, FOIA managers can now demonstrate the benefits of automation to decision makers within the agency. What Automation means to the FOIA team: 3

FOIA Automation means throwing away the white tape and black marker. It means finding a way to make the process of responding to requests for information more efficient and less time consuming.

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FOIA Automation means a more systematic way to organize information and minimize the challenges associated with accessing and searching large volumes of records in diverse systems.

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FOIA Automation offers a way to meet legislated deadlines, with improved accuracy and timely reporting.

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FOIA Automation means employees do much more with the same resources, reducing backlog and providing better service to the citizen.

This paper highlights how employing the Privasoft AccessPro Suite to automate processes can help FOIA teams meet the requirements of FOI legislation and: do away with manual redaction speed up request handling collaborate in increasingly effective ways facilitate citizen-self service



The FOIA Environment Today Rising expectations of process effectiveness and a growing caseload of increasingly complex requests are creating a significant challenge for Chief FOIA Officers. The request backlog is constantly growing and information disclosure is being stalled. Deadlines are looming and penalties are becoming stiffer. Effective management and administration of requests are essential if programs are to deliver responses cost-effectively in compliance with legislation and departmental processes and still meet citizens’ expectations.

Source: Coalition of Journalists for Open Government

The FOIA environment today emphasizes the ability of an agency to give requesters feedback about the status of their requests quickly and easily. Many agencies are rolling out automated solutions that not only track requests but also scan, redact and process FOIA-requested records faster, with less use of paper and greater quality control. Advanced information technology enables enhanced eFOIA request tracking and eFOIA request processing while leveraging the publicly accessible Internet for fast, citizen-friendly communication. They also afford FOIA teams with performance metrics that can help measure and evaluate operations while also meeting legislated reporting requirements. FOIA offices that support operations with automation report on average a 25% increase in process efficiency - the result is faster request turnaround time, which in turn reduces and helps to eliminate backlog. Some organizations have further reported reductions as high as 70% in photocopying costs after automating their FOI operation.



FOIA Automation takes a Request from “Received” to “Resolved” in Record Time Privasoft AccessPro Suite The Privasoft AccessPro Suite combines case management software with electronic redaction, collaboration and reporting tools specifically designed for legislated information disclosure. The suite consists of four core applications: AccessPro Case Management, AccessPro Redaction, AccessPro Workgroup and AccessPro Portal. Together, they provide an environment for streamlining the information request handling process. With the AccessPro Suite, managers gain visibility into Processes so that they can ward off bottlenecks before they arise. With this insight, they monitor workload and reassign requests as necessary. Case workers receive reminders and notifications to keep them on track. The result is a smoother operation.

Track Request Status and Demonstrate Compliance with Ease AccessPro Case Management provides a central environment for storing and processing requests for information. It makes available the relevant metrics and performance measurements so managers can anticipate and meet challenges before they become problems. By maintaining a complete audit log of everything that happens, agencies can easily demonstrate compliance. Routine correspondence and estimates are automated, giving staff more time to manage exceptions and further streamline business processes.

Citizens’ expectations of government information are rising, along with demands for prompt and efficient service. Requesters who have experienced the expedience of an eFOIA response hold all other departments to a higher standard. Automated solutions allow agencies to communicate with citizens quickly and easily about their access requests, from the time they first begin to search for information until the appropriate agency has met their request with the correct response.



AccessPro Case Management Some of the key features and benefits offered by AccessPro Case Management include: Status Tracking

Automatically assign tracking numbers and trace all actions against all requests.

Reporting

Generate legislative, management and statistical reports to ensure compliance and manage performance.

Detailed Audit Log

Log all case activity to support transparency objectives.

Visual Cues

Instantly identify the status of any request or action with graphic indicators.

Correspondence Generation

Generate letters and emails as a single click activity.

Search

Determine status and drill down on details from a single point.

Performance Management

Accurately predict staffing needs and detect bottlenecks early.

Customization

Map departmental processes to application for maximum results.

Time Management

Set, start and manage timers for each request and action.

Contact Management

Collect all essential contact information to build accountability by department and individual.

Fee Management

Track payments, receivables, and create fee statements for every request.

Role Management

Set access and function permissions based on responsibility and organizational roles.



Redact and Release Information with Confidence AccessPro Redaction replaces the need for staff to pour over volumes of photocopies and replaces it

Size, volume and complexity of requests are

with tamper-proof response packages - the key to

increasing. Deadlines are looming and

releasing electronic information with confidence. Within AccessPro

Redaction, documents are

penalties are becoming stiffer. In fact, agencies must now foot the bill for litigation

electronically captured, redacted, packaged and

taken against the unjustified withholding of

published with a minimum of effort and greater

information. Automated tools can reduce

accuracy. Exemptions are automatically indexed

the potential for legislative action while also

as they are applied for historical and reporting

helping to ensure a FOIA office is well

purposes. Release packages are either output

prepared in the event of legislative action.

electronically in a secure package or generated in printed form.

AccessPro Redaction Some of the key features and benefits offered by AccessPro Redaction include: Release "Burn In"

Ensure redacted information is totally eliminated from releases and not subject to ‘tampering’ or recovery of redacted information.

Review Alerts

Provides automatic alerts when review is not complete.

Data Integrity

Original versions of responsive materials input images are always maintained.

Document Security

Image encryption ensures security by allowing files to be read only by AccessPro Redaction software.

Roles and Permissions

Set views and access rights by role and department.

Document Capture

Bring in and make use of documents in any file format.

Watermarking

Allows released information to be easily identifiable.

Audit Log

Defend decisions with complete history of redaction process.

Redaction Tools

Easily highlight, stamp and remove sensitive material for multiple legislations.

Search

Easily access all documented and request level information.

Review Status

Instantly view status of redaction for any image, document or request.



Collaborate with Efficiency By extending the electronic review process to record holders and subject matter experts, a complete case history is easy to capture. AccessPro Workgroup extends FOI review outside the core processing team. Instead of packaging and shipping responsive materials, record holders gain the ability to scan immediately making the relevant documents part of the electronic review. The application offers multi-layered views to multiple reviewers, while leaving overall management and accountability with the lead agency. Reference copies and detailed audit

When any agency fails to respond to FOIA requests in a timely and satisfactory manner, citizen expectations of government are disappointed. Automating intra-agency and interagency protocols can speed collaboration and consultations while maintaining accountability through clear audit trails. The overall result is faster service and more transparent

logs mean better communication, smoother business

government.

processes and faster resolution. AccessPro Workgroup literally puts everyone on the same page. By creating a rich context a more comprehensive review is possible, which is helpful in avoiding litigation and accidental release of sensitive information. Instead of managing the review process, reviewers and managers can focus their time and energy on the real issues.

AccessPro Workgroup Some of the key features and benefits of AccessPro Workgroup include: Capture Documents at the Source

Include documents held by all record holders, wherever they are.

Capture Recommendations

Owners of source material can enter data and recommendations.

Review Status

Easily determine state and status of review to remove uncertainty and doubt.

Parallel Review

Eliminate serial processes and confusing multiple versions.

System Alerts

Keep reviews on track and meet deadlines.

Document Security

Image encryption ensures security by allowing files to be read only within the AccessPro family of software products.

Roles and Permissions

Files can only be reviewed by authorized participants.

Audit Log

Track complete history of retrievals, request activity and review.



Deliver Service to the Citizen with Quality Citizens today expect fast, reliable and effective Web-based services. With comprehensive educational and instructional content on the Internet, the agency can begin to shape its workload even before a request is filed, by reducing the number of incomplete requests and imposing a standard format on the rest. Requesters can track the progress and status of their request online, further reducing agency workload while meeting the highest standards for citizen communication. AccessPro Portal delivers a toolkit and sample user interfaces to the FOIA team for setting up a complete public web interface.

AccessPro Portal Some of the key features and benefits offered by AccessPro Portal include: Web User Interface

Submit requests online

Status Tracking

Requesters can track status online

Secure Communication

Release packages reach requesters in secure manner

Reading Room

Requesters can choose to view historical release package or other proactively disclosed documents in an online ‘reading room’



Every Agency Can be Citizen-friendly! What managers need to know about FOIA Automation and the Privasoft AccessPro Suite. More than ever before, managers are being challenged to demonstrate results. The AccessPro Suite meets the need for accountability by delivering all the relevant metrics, in accessible formats. Standard reports can be generated quickly and easily. FOIA Automation is an opportunity to deliver great results almost immediately, as staff is redeployed to higher value work to drive continuous, measurable process improvements in every reporting period Tedious tasks such as counting and populating detailed reports are removed with the auto-generation of management and legislative reports. What used to take analysts days and weeks to consolidate complete case histories into one place can be completed in minutes and hours within the AccessPro Suite. For case workers, automation means a release from monotonous manual work to leading edge efficiency. It means doing away with antiquated ‘systems’ like document redaction with a black marker, redaction tape or exacto knives and employing modern-day technologies like the rest of government. As a worldwide leader in FOI Automation, Privasoft helps agencies meet requirements for costeffective productivity while maintaining confidence in document security and legislative compliance. For nearly 20 years, Privasoft has been helping the FOI community deliver citizen-friendly responses by developing and fielding continuously more effective, flexible and scalable software, along with the world’s best consulting and implementation services. Privasoft technology is based on widely accepted standards, works with any hard copy or electronic content and handles any file type or information format in agency office use. Privasoft is a Microsoft Certified Partner with offices in Ottawa, ON, Herndon, VA and Brentford, Middlesex. For more information about Privasoft, visit www.privasoft.com.

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