FOIAKit Web App
A comprehensive approach to modernizing how the government manages and processes Freedom of Information Act (FOIA) requests for the general public.
PROJECT Overview
Goals
The first goal is to conduct a research that identifies how individuals working in the FOIA sector obtains, redacts, and approve the requested information, what pain points they encountered, and the length of time it takes to send the requested information.
The second goal is to design and develop a system that create a more seamless procedure and a less arduous approach for FOIA individuals to obtain, redact and approve requested information.
My Role
I was tasked with shaping the project's overall design journey. This involved crafting a comprehensive research plan, conducting the stakeholder interview, mapping out user flows, handling the creation of wireframes and creating UI components that deliver a cohesive and visually engaging user experience.
Additionally, I led the charge in multiple design discussions with stakeholders and internal team members for alignment and clarity.
Project Duration
Five Months
Client
Skyward IT Solutions
Team
Loy Vang
Kenny Tran
Role
User Researcher, UX/UI Designer, Visual Designer
The Problem/Opportunity
With the influx of information being requested on the FOIA database, the government is in need of adopting a more faster, modern and efficient system to process and send requested information in a timely manner.
The Process
In order to streamline and improve the entire FOIA request-handling workflow, involves having a systematic design process in place. Here's a breakdown of the design process we utilized during this project:
Research & Understanding
Define & Ideate
Prototyping
Testing & Iterations
Development & Implementation
Research & Understanding
A Deep Dive into Primary and Secondary Research.
Research Findings
Given the abundance of articles and documentation to review, the team and I conducted thorough research to grasp the following:
The existing FOIA request workflow & its’ limitations
Identifying key stakeholders involved
The legal framework
Pain points experienced in key user roles
Conducting our own user journey
To gain insight into the current FOIA request process, we initiated our own request with various agencies. This allowed us to firsthand experience the process and make note of areas that could be enhanced as part of our product solution.
Key Stakeholders
The five user base roles directly impacted by the process:
Requester
Intake Analyst
FOIA Analyst
Director
Legal Team
Legal Conditions
Working with the government comes with its own restrictions and regulations. A few of these include:
Security protocols around what information can be requested in an officer role
Level of access to sensitive information
Verification procedures to identify candidates
Different Request Type statuses (i.e. Expedited Processing)
Time Sensitivity and extensions
Key Observations
Following our initial research and firsthand experience as requesters, a few key observations caught our attention.
Observation #1
Some form fields were confusing and the information provided seemed generic and convoluted for a requester to fully understand what is needed.
Observation #2
We noticed that the interfaces of certain agency websites appear outdated and don't provide an intuitive experience for users when it comes to navigation. This can be a bit frustrating for individuals trying to access information efficiently and seamlessly.
Observation #3
There were discrepancies in the way agencies notified requestors when a request had been received or was ready for download. While some agencies used email notifications, others employed methods that could easily go unnoticed.
Define & Ideate
Brainstorming and Ideating on potential solutions For Each Corresponding Role.
Our North Star
What steps can we take to make the FOIA Request processing system more efficient and aligned with the latest technology to better support the users daily tasks?
The Plan
I constructed A research plan that included some of the following:
Overall Objective
The goal of this research is to identify how individuals working in the FOIA sector obtains, redacts, and approve the requested information, what pain points they encountered, and the length of time it takes to send the requested information.
Research Methodology
Phase 1a:
User Interviews (Qualitative Approach)
Phase 1b:
Usability Testing (Qualitative Approach)
Research Questions
Why is it important to understand and improve the FOIA processing system?
What is the current process of receiving/obtaining FOIA request documents?
What user needs exist from the current ecosystem?
What are major pain points or bottlenecks in the current process that are causing friction/delay?
Have there been past or current workarounds (if any) to mediate or improve existing ecosystem?
Participant Requirements
Individuals who have worked and/or familiar with the FOIA request process
Number of Participants
1 participant (Phase 1a)
Type of Interview
Semi-structured interviews
Duration of Interview
1 hour
Qualitative Approach
We conducted An in-depth interview With our Stakeholder
Our participant is a Senior Implementation Specialist who has led and trained many FOIA analysts, implementing systems and softwares in the government sector for over six years. Her extensive knowledge and experience help guided our design perceptions and understanding the complexities of working as a FOIA analyst.
We categorized our questions into two main groups. Initially, we posed broad questions, ranging from inquiries about job roles like "What does your role entail?" to discussions about the tools used in their work. Afterward, we focused our questions to identify the underlying issues and reasons for requiring a product like FOIAKit. A couple of questions aimed to:
Describe a typical process of determining how one might process a request form as an FOIA employee?
What issues do FOIA employees face the most when processing/approving a request? Why?
What’s the most frustrating part about processing/approving a request?
What issues or problems do you think FOIAKit will help solve?
After the interview, we dissected parts of our conversations and pin-pointed some highlights that uncovered pain points.
Interview Highlights
Using third-party tools
“Some agencies may resort to using Excel spreadsheets or shared drives to track information if the software tools do not meet the needs of their users.“
Major pain points during training
“During training, what we would hear a lot was how do we process, how do we review all these documents quickly? Can the system go through and give us a short list of things that we should look at…“
“It's like leveraging that technology and finding things that were having the system, instead of them doing the search, having the system find what was already there and just show it to them and be like quote unquote proactive in that. Right? So everything that that they're doing now is just dealing with voluminous records. That's the biggest pain point that they have…“
Security and tasking
“You don't wanna give a FOIA analyst like access to your entire, like exchange server… Because they can see things that they shouldn't see. So there, there is that limitation. They do have to essentially task out, that's what they call it, create a tasker…“
Third-Party tool limitations
“So most agencies will just use Adobe for their redactions, but they may not be able to leverage, right? That, that e-discovery component that allows them or allows anybody at the agency to collect all the documents and sort through 'em and provide keywords and things like that.”
Most requested feature from FOIA analyst
“Certainly it's the redaction capability of whatever tool they're using. For sure. How can I do these redactions faster? How can I train it to do, you know, to redact based on our agency's regs, you know, help me get through 300 pages quickly or 5,000 pages quickly. Or how can I quickly identify which documents or which pages have responsive information?”
Key Insights
Several insights that contributed to the development of our potential solutions.
Some of the key insights were:
INSIGHT #1 - FOIA PROCESS COMPLEXITY
The FOIA process in government agencies involves multiple stages, including initial review, response preparation, request tracking, resolution, and final response and preparation, highlighting its complexity.
INSIGHT #2 - SPECIALIZED ROLES
The FOIA process relies on specialized roles, such as initial review (intake) analysts, request analysts, and chief FOIA officers, each with distinct roles & responsibilities.
INSIGHT #3 - SOFTWARE TOOLS
Agencies use various software applications, including FOIA processing software and e-discovery tools, to support these roles. However, some resort to using Excel spreadsheets or shared drives if the software tools don't meet their needs.
INSIGHT #4 - COMPLEX RESPONSES
Responding to FOIA requests can be intricate, involving negotiations with requesters, redaction of sensitive information, and record disposal after six years.
INSIGHT #5 - ROLE VARIABILITY
The responsibilities of FOIA analysts can vary from one agency to another, depending on the agency's specific needs.
INSIGHT #6 - HIGH VOLUME REQUEST
Some agencies, like the Department of Homeland Security and the Department of Veterans Affairs, handle a high volume of FOIA requests, while others, like the Department of Justice, deal with more complex requests.
INSIGHT #7 - TRAINING NEEDS
Requesters express a strong need for training, particularly in the efficient redaction of documents. Training can be delivered in-person or virtually, with a hands-on approach.
INSIGHT #8 - FOIAKIT CHALLENGES
FOIA Kit, a comprehensive tool to assist FOIA parties, faces challenges related to query and case setup and a lack of an intuitive interface.
INSIGHT #9 - AI POTENTIAL
There is consideration of using AI to create a more interactive and proactive FOIA tool, which could potentially address some of the challenges faced by requesters.
First Ideation
A Web App Dashboard that integrates Key Features & Data Ingestion For Ease of Use – version 1.0
The FOIA process was quite complex when we initially started, involving various stages and steps. To simplify things, we've created a user-friendly web app dashboard with a clean UI with intuitive panels and adaptable table-like structures. This setup allows users to manage different parts of the process separately, making it more manageable in a clean and orderly fashion. Web app dashboards are a great solution for this because they are commonly used tools designed to help people easily keep track of information, monitor progress, and make informed decisions in a straightforward and user-friendly way.
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Second Ideation
An Upgraded Web App Dashboard – Version 2.0
The first round setup of having intuitive panels and adaptable table-like structures became convoluted once we incorporated features that were later added as part of the MVP 1 phase. It became visually clear that a newly updated version was needed to uphold the clean, modern and intuitive interface solution.
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Overarching Workflows
A couple of workflows to guide the Designs.
Focusing on the FOIA Analyst workflow, along with the Admin workflow, it allowed us to design accordingly to the users needs.
FOIA Analyst workflow diagram
The workflow diagram starts with the search results page, continues through the redaction phase, and concludes at the packaging stage.
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Admin “Create A Request” workflow diagram
The workflow diagram shows the process of logging in, going through the task management page to set up a new request, assigning the request to an Analyst, ending with a confirmation page that returns the user to the main dashboard.
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Document workflow diagram
The workflow diagram shows the FOIAKit product searching, gathering, and processing the requested document to send off to the requester.
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AI Integration
The Team Implemented an AI strategy to help Streamline the Search & Redaction process.
We crafted a strategy to incorporate AI, aiming to lighten the workload of FOIA Analysts who would otherwise have to manually search for and redact hundreds of documents. The concept involves automating the AI algorithm to extract essential keywords or phrases as soon as a request is entered into the system. Subsequently, a FOIA Analyst can review the request and prompt the database to provide suggested documents closely matching the keywords in the request. This eliminates the need for manually sifting through search results, making the process more efficient and user-friendly.
THird-Party Tool
We Utilized a document processing tool for viewing, redacting, and annotating documents internally.
To streamline document processing, we integrated a third-party tool that efficiently manages tasks such as viewing, redacting, and annotating documents within FOIAKit. This integration addresses the challenge of users needing to switch to a separate software or tool outside of their regular workflow.
Prototyping
Design Mockups of Proposed Solutions.
FOIA ANalyst Role
Due to the immense scope of The Project, we Began with the most complex Role First.
Throughout our exploration, it became evident that we had to create an interface with the ability to manage various functions for the FOIA Analyst role. These functions include viewing statistics, accessing request details, overseeing request processing, managing tasks, sending messages, receiving notifications, handling documentation, creating and submitting requests, and generating reports, among others.
View, Edit and manage requests
To handle viewing statistics, accessing request details and overseeing the request processing, a table format was the best ideal solution to showcase these functions in a clear and non-intrusive way.
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Research, task and Queue
After the initial request review, the subsequent steps include conducting a search, exploring the suggested results, and, if no relevant results are found for additional documentation, the user has the option to assign or delegate tasks to another analyst. The selected documents are then queued for redaction.
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Click on image to enlarge
Redact, annotate and finalize changes
Once the documents have been viewed and placed in the redaction queue, the AI process comes into play. It offers AI-generated redaction suggestions for all documents in the queue. These suggestions are then accessible for users to review and make any necessary additional adjustments or to approve the suggested redactions.
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Click on image to enlarge
Review & Approve requests
After the documents have been attached and received, the analyst takes the step of sending the request to upper management for their approval before it's sent to the requester. Once upper management provides their approval, and if there are no changes or concerns regarding the redacted documents or other related items, the analyst will be notified on the approved page. This process ensures bookkeeping records of who approved said documents, how many pages were released, how many exemptions were cited, and the redaction date.
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Click on image to enlarge
Package & Sendoff
As the analyst reviews the approved requester's details, request information, attached documents, and any remaining tasks, the last stage of a request's life cycle involves generating a Final Response Letter. Once this is done, the analyst will receive a prompt to officially close the request, all the while, a message will be sent to the Requester that their documents are ready.
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Click on image to enlarge
Requester Role
Entry point for data ingestion and User Interaction
Once we had the FOIA Analyst role in place, our attention shifted to the Requesters' role. We concentrated on creating a data entry process for how requests are input into the system, how this information is presented in their dashboard, and how they receive updates when the analyst modifies their request.
Create, Track & Monitor Requests
The heart of the Requesters’ main dashboard is to have users easily create, view and track their requests at the forefront. We utilized the same UI from the Analyst dashboard and incorporated a few elements to create consistency across the board. Not only does this allow for continuity, it also allows for a more efficient user experience.
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Create A Request PRocess
By following a tabular structure that facilitates a smooth, step-by-step user journey, we can ensure that the different form fields align seamlessly with the backend structure. This alignment enables the efficient recording and translation of data to the Analyst dashboard's front-end. In addition, we establish a repository of data that can be leveraged for future requests containing similar information; making the search for documents much quicker and easier.
Create A Request Form - Agent/Component
Create A Request Form - Contact Information
Create A Request Form - Request Information
Create A Request Form - Additional Information
Create A Request Form - Fees & Costs
Create A Request Form - Review & Submit
Request Updates
In order to uphold the FOIA laws effectively, it was imperative to devise an efficient method for notifying the requester about the expected fulfillment time for their request. Our solution involves prominently featuring a "status" column right at the forefront of the Request table and also positioning it prominently on the Request details page, near the top for utmost clarity and convenience.
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Click on the image to enlarge
Testing & Iterations
Stakeholder & Internal feedbacks
Iterative Approach
There were multiple design discussions held by the team and the stakeholder.
From scheduling meetings to communicating through the Slack channel, check points were crucial to making sure we’re designing with the right perspective. With the Product Requirements Document (PRD) and the Jobs To Be Done (JTBD) framework, it help directed our focus on what iterations are necessary and what can be placed on hold for the next MVP phase.
Development & Implementation
Design Handoff With Collaboration
Team Collaboration
With an Agile approach, Constant communication between Design & Development is crucial.
In our handoff sessions, we were making revisions while also handing off specific design sections to our developers for implementation. We walked through each page, explaining the rationale and the functionality of each page design. Additionally, we ensured that all design notes and annotations were indicated, and addressed any new stakeholder and internal feedback and make necessary iterations.
Regrettably, due to the recent layoff, I was unable to continue or see this product come to fruition. In an agile environment, some of the design mockups were in tandem with the developers all the while making continuous iterations along the way.
Key Takeaways
Ad Hoc processes
The aspect of dealing with ad hoc processes certainly poses its own set of complexities. It often means that clear directions and target goals may not receive the attention they deserve, especially when immediate issues and surface-level concerns tend to take precedence over in-depth research. In our case, one of the challenges we faced was not initially having a comprehensive understanding of the core goals that make FOIAKit an essential product for the FOIA industry. This led to several iterations, not only in the design but also in the development phase.
To address this, the design team took proactive steps to realign our approach. We started asking more questions and introduced additional guidelines for the team, such as the PRD (Product Requirements Document) and JTBD (Jobs To Be Done) framework, along with incorporating more user stories and workflows. Ultimately, these efforts significantly improved the overall direction in design, development, and collaboration with stakeholders.
Plenty of learning opportunities
Given the complexity of understanding the FOIA process, I encountered a multitude of documentations and resources that I couldn't entirely grasp. There were moments of uncertainty and questions regarding specific features and capabilities. However, after persistent attempts to seek clarification, test designs, and gather feedback, it became evident that perfecting the FOIAKit product would be an ongoing journey.
With numerous features and edge cases still left to incorporate, the task of designing for every possible scenario remains a significant challenge, particularly with a small team. It's clear that this endeavor will require a substantial investment of time and energy that I would have loved to be a part.
Next Steps
If I were to continue on this journey, I'd be particularly thrilled about finalizing the comprehensive improvements to the FOIA Analyst role and seamlessly integrating the product into the FOIA request process. My objectives would revolve around enhancing the onboarding experience for both requester and analyst through extensive user testing. Additionally, I'd be focused on putting the finishing touches on the admin dashboard for managing and operating FOIAKit effectively.
With these enhancements and refinements integrated, FOIAKit could truly become a product that not only streamlines the FOIA request process but also paves the way for the innovative use of AI in the government sector.
Special Thanks TO:
AINS | Project Manager, Senior Implementation Specialist
Kenny Tran | Head of UX Design
Daniel Kim | Lead Software Engineer