Conquering a FOIA Backlog
By: Rebecca Conner

When I began my position at Amtrak in late 2018, I took over the Freedom of Information Act (FOIA) Office and the Records Management Office at the same time.  The FOIA Office had an established paper-based process in place for managing FOIA requests.  New requests were received via mail or email.  If via email, the email was printed.  The request was logged into a FOIA tracking solution and received a tracking number.  All requests internally and externally happened via phone or email, and everything was well-documented, written down, printed, and placed in a file folder.  Open files were maintained in office filing cabinets, while closed files were sent to offsite records storage.

This solution worked, but it was time-consuming. Taking over two offices that had previously been separate meant that I needed to find efficiencies in processes.

The first thing was to document a workflow of the as-is processes.  This resulted in an 11”x17” Visio diagram with 27 discrete steps from start to finish in a standard FOIA case, taking several hours per case.  In looking at steps such as “create file folder and labels” and “print and scan documents,” the solution was clearly going to require technology and a transformation into an electronic records process.  In using the visualization of the process, a minimum of four hours would be saved per FOIA case by making the process electronic. 
 
Technology-wise, the FOIA tracking solution that Amtrak had was several versions out-of-date, to the extent that it was no longer supported by the company that made it.  Working with the Information Technology department at Amtrak, we were able to identify our requirements and see that the then-current version of the technology solution we were using would meet those requirements.  The solution was therefore scheduled to upgrade…and then the pandemic hit.

Amid budget cuts, and an increase in FOIA cases across the federal government, the FOIA backlog grew from around 200 to over 450 open cases.

The tracking system was upgraded to a cloud-based solution in August 2021.

The new system allowed the FOIA Office to easily save all case-related materials in each case, request documents from inside of the system, and perform and track redactions and exemptions.  Sending information from the system created a correspondence log for each case.

Most importantly, the number of steps to close a standard FOIA case was reduced from at least 27 steps down to ten steps.

After almost three years, the new solution and enhanced electronic processes have allowed the FOIA Office to reduce the backlog of open cases to a current all-time low of 22 cases.  This while the federal government has experienced a 29% increase in FOIA requests overall and Amtrak has received a 63% increase in requests.

Technology alone is not a stand-alone solution.  However, using technology to improve processes can be.

Rebecca Conner has a bachelor’s degree in American studies and history from Skidmore College, a master’s degree in information and library studies from The University of Michigan, and is both a Certified Records Manager and Information Governance Professional.  She is currently the Manager of Records and Information Management at Amtrak. She lives in the Washington DC area with her wife Sophia and two adorable cats, Samwise and Rosie.