Access to information under pressure

In 2013, over 704,000 Freedom of Information Act (FOIA) requests were submitted to the United States Federal government, and roughly 95,000 remained backlogged at the end of the 2013 fiscal year. According to, many requests were answered in an incomplete form and were usually missing information. Almost half of those requests were considered incomplete by the requestor because the government agency either denied the information or did not provide the information in full.


With press coverage highlighting cases in which FOIA requests were challenged in court and the sensitivity to declassification of government documents , government organizations are under pressure to be more responsive. There have been attempts to streamline the process of fulfilling an FOIA request and accessing information easier, but the onus still falls on the individual government agencies to manage fulfillment.


Beyond FOIA requests, many agencies need to declassify documentation in accordance with record, archival and compliance guidelines. Declassification can quickly become a challenge because the originating department that classified the document or parts of a document must manage the declassification of that content. Accordingly, various documents may have multiple agencies or departments that must coordinate and sometimes deny declassification. Mandatory declassification can be requested on its own or as part of an FOIA request, but the challenge to a declassification request must submitted separately. All of these moving parts and processes can result in delays, backlogs and high costs, as well as additional legal challenges around declassification.


I believe what is needed is to combine several technical capabilities to address the requirements for FOIA requests as well as the redaction and declassification of documents. Technically organizations should be able to integrate and automate more of the declassification workflow and information gathering to help agencies meet the timeframes of FOIA requests or declassification of documents.


We are reaching the limits of existing FOIA technology


With increased demand for transparency and access to information by policy analysts, legal system workers, journalists and citizens, the need to manage the FOIA process and respond in a timely fashion becomes paramount. The typical response time for a request for information is 20 days, but that time can quickly balloon as more requests arrive.


Requests can be complicated and may follow a variety of processes across government organizations. Plus, once information is declassified it must be appropriately managed, as do the growing numbers of court documents generated by legal challenges for information. For example, 372 FOIA lawsuits were filed in 2013, generating 1,800 documents. By automating tasks around the collection of documents and delegation of files, government organizations can better manage and measure timelines.

Taking the first steps to improve the situation

If your agency experiences challenges or delays fulfilling FOIA requests or declassifying documents, there are several steps you can take to improve efficiency:


Assess your agency’s current approach to handling FOIA or mandatory declassification requests.

Understand if there is a backlog of requests and if the information being provided to requestors is as complete as possible.

Identify where requests or processes can be improved and define metrics for success.

Establish the scope for your improvement project and then do both a tech and business assessment Ensure a robust business case is developed.

Thoughts ?


Update and Observations May 2014

I have been meeting with government and healthcare organizations over the past few months and it apparent that there is a general frustration with existing work based technology and applications.  I have discussed this earlier; that we are technically “rich” in our personal lives and technically “poor at work.

ERP, HRMS and CRM systems that have been deployed over the past 20 years had inherent user interface issues (i.e. they sucked).  We have done Business Value Assessments in the past where we found end users printing screen shots of the work they did in an ERP system because they did not trust the technology and feared being audited: that is fundamentally bad when you are supposedly using technology and reverting back to manual processes.

So with your personal life filled with smartphones, tablets, smart televisions, smart thermostats that talk to your smartphone etc.; and the “Appification” of everything where you the consumer have a broad choice of applications, data and platforms to interact with said software and content your expectations rise rapidly.

So when you show up to work on a Monday and look at multiple login screens to archaic and dysfunctional technology you get depressed (which I would argue affects your productivity ).  You have diligently documented how to get work done via the “Cheat Sheets” at your cubicle or work area and you plod along.  Juxtaposed with what is on your smartphone on your hip vs. what you look at on your workstation.  Things need to change you need to be able to have a richer work experience.

So, as  mentioned my discussions with clients in all areas of public sector have been interesting.  They want to be more effective in getting work done with technology that provides what they want when they want and on the platform of their choice.  So over the next few posts I will be covering:

Work Optimization – Think about what method you use to get work done.  Task Outcome or Time Sensitive work are done differently and there is always a process or workflow productive people stick to; so understanding how people work becomes more important in deploying technology.  

Open Data – What does this mean and how does ECM fit into this.  Since with Open Data Sets organizations have information in a format that can be repurposed and presented for constituents to be better informed or government agencies to enhance their decision making process in getting work done.

Contextual Computing – IBM has done a recent study on this new developing area and how it helps people work better with better decision making etc.

As always I look forward to questions of discussion.

What will be covered at the IBM ECM Solution Summit in DC on Oct 17

I will be attending the IBM ECM Solution Summit in DC on Oct 17th.  One of the sessions is very timely: Loss Prevention or others may call it Fraud, Abuse and Waste.  It is an area in any progressive government where one can get back monies or services lost due to people or organizations taking advantage of weak internal controls.  So how does one use analytics and case management to better handle the investigation of fraud etc. ?  Well one session will discuss this in great detail.

Intelligent Investigation Manager provides powerful analysis and investigative tools integrated with highly efficient case management. It’s more than just a forensic analysis tool. It performs discovery over broad data sets and creates transparency throughout the investigation process. Intelligent Investigation Manager extracts and analyzes massive amounts of structured and unstructured data from existing sources, including documents, emails, databases, data warehouses and social media. It rapidly creates patterns, links and relationships to highlight the connections between entities. It can also create visualizations that illustrate the scope of the fraud, generate investigative leads and provide evidentiary documentation.


Will you be there ? 

registration page  #ibmecm #smartercontent.

The demise of Water Cooler Decision Making


On a recent meeting I had with a government department wrestling with providing better service; and to improve effectiveness and efficiency to it’s workers:  I started to discuss how government departments are attempting to eliminate water cooler decision making within in it’s programs.

They looked at me with a strange look. I sometimes get a tilted head as people try to understand what I mean.  Fundamentally it comes down to using technology to capture the decision making process.

If you have workers standing around a water cooler and making decisions on work or a case file; you are not capturing the knowledge or the information associated with the discussion or the decision.  If you have workers making decision around the “water cooler” it also means that the technical infrastructure is not providing a robust enough work environment that the workers feel comfortable enough in order to make a decision.

If workers are making decisions at the water cooler you have lost the ability to go back and understand who made the decision, why did they make that decision and how did they make the decision.  You want the technology to capture as much as that as possible to ensure compliance to policy and legislation.


IMG 1022

So we start to have a discussion about Advanced Case Management (ACM).  ACM is recognized by the majority of the analyst firms globally.  ACM is a strategy not a product.  The strategy typically involves planning around ECM, Task Automation and Metadata then leveraging technology that puts more of the information, knowledge and collaboration in the hands of the worker.  

So as a worker is dealing with a case or work order etc. they can; within the technology or application, access email and IM or other collaborative tools to be able to reach others to ask and share knowledge to help them make a decision on the task or case file at hand.  ACM technologies need to be able to provide a rich UI and work experience so that government workers trust the application or technology.

In a recent business value assessment I was involved in we found finance clerks “PRINTING” screen shots of their work in an ERP system !  So they were using technology but did not trust it in case they would be audited.  They then kept those printed screen shots and not only filed them but copied them for their manager because the manager did not trust the system of engagement or system or record !!!  This blows my mind.

So technology and strategy around case file management in government departments has to be well thought out from best practices and the benefits of an integrated ECM, Task and Metadata strategy.

More on this topic soon.

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