[House Report 114-148]
[From the U.S. Government Publishing Office]
114th Congress } { Report
HOUSE OF REPRESENTATIVES
1st Session } { 114-148
======================================================================
DHS FOIA EFFICIENCY ACT OF 2015
_______
June 11, 2015.--Committed to the Committee of the Whole House on the
State of the Union and ordered to be printed
_______
Mr. McCaul, from the Committee on Homeland Security, submitted the
following
R E P O R T
[To accompany H.R. 1615]
[Including cost estimate of the Congressional Budget Office]
The Committee on Homeland Security, to whom was referred
the bill (H.R. 1615) to direct the Chief FOIA Officer of the
Department of Homeland Security to make certain improvements in
the implementation of section 552 of title 5, United States
Code (commonly known as the Freedom of Information Act), and
for other purposes, having considered the same, report
favorably thereon with an amendment and recommend that the bill
as amended do pass.
CONTENTS
Page
Purpose and Summary.............................................. 3
Background and Need for Legislation.............................. 3
Hearings......................................................... 3
Committee Consideration.......................................... 3
Committee Votes.................................................. 4
Committee Oversight Findings..................................... 4
New Budget Authority, Entitlement Authority, and Tax Expenditures 4
Congressional Budget Office Estimate............................. 4
Statement of General Performance Goals and Objectives............ 5
Duplicative Federal Programs..................................... 6
Congressional Earmarks, Limited Tax Benefits, and Limited Tariff
Benefits....................................................... 6
Federal Mandates Statement....................................... 6
Preemption Clarification......................................... 6
Disclosure of Directed Rule Makings.............................. 6
Advisory Committee Statement..................................... 6
Applicability to Legislative Branch.............................. 6
Section-by-Section Analysis of the Legislation................... 6
Changes in Existing Law Made by the Bill, as Reported............ 8
The amendment is as follows:
Strike all after the enacting clause and insert the
following:
SECTION 1. SHORT TITLE.
This Act may be cited as the ``DHS FOIA Efficiency Act of 2015''.
SEC. 2. DEPARTMENT OF HOMELAND SECURITY FREEDOM OF INFORMATION ACT
IMPLEMENTATION.
(a) Deadline for Updating Regulations.--Not later than 90 days after
the date of the enactment of this Act, the Chief FOIA Officer of the
Department of Homeland Security, as appointed pursuant to section
552(j) of title 5, United States Code, shall finalize and issue an
updated regulation implementing section 552 of title 5, United States
Code (commonly known as the Freedom of Information Act), which shall
include--
(1) public guidance on procedures to be followed when making
requests under paragraph (1), (2), or (3) of section 552(a) of
title 5, United States Code;
(2) updated guidance to the components of the Department
responsible for processing such requests, which may include
information on how to adopt automated processing of requests
made under paragraphs (1), (2), or (3) of section 552(a) of
title 5, United States Code;
(3) detailed information on fees and costs associated with
such requests; and
(4) detailed information on the appeals process for such
requests.
(b) Identification of Costs.--
(1) In general.--Not later than 90 days after the date of the
enactment of this Act, the Chief FOIA Officer, in coordination
with the Chief Financial Officer of the Department and the
heads of each of the relevant components of the Department,
shall identify the total annual cost to the Department of
implementing section 552 of title 5, United States Code.
(2) Guidance.--The Chief FOIA Officer shall develop guidance
on reporting standards related to the direct and indirect costs
to the Department associated with the processing of requests
made under paragraphs (1), (2), and (3) of section 552(a) of
title 5, United States Code.
(c) Cost Savings.--The Chief FOIA Officer, in collaboration with the
heads of each of the relevant components of the Department, shall--
(1) identify unnecessary and duplicative actions taken by the
Department in the course of processing requests made under
paragraphs (1), (2), and (3) of section 552(a) of title 5,
United States Code, by not later than 120 days after the date
of the enactment of this Act; and
(2) eliminate unnecessary and duplicative actions taken by
the Department in the course of processing requests made under
paragraphs (1), (2), and (3) of section 552(a) of title 5,
United States Code, by not later than 12 months after the
identification of such action under paragraph (1).
(d) FOIA Tracking Systems.--Not later than 90 days after the date of
the enactment of this Act, the Chief FOIA Officer shall develop a plan
to automate the processing of requests made under paragraphs (1), (2),
and (3) of section 552(a) of title 5, United States Code to the
Department. Such plan shall take into account the specific needs of
each of the components of the Department responsible for processing
such requests and address required and recommended technology
capabilities and elements. Such plan shall include an assessment of the
costs and benefits associated with establishing and using electronic
processing systems to process requests made under paragraphs (1), (2),
and (3) of section 552(a) of title 5, United States Code.
(e) FOIA Backlog.--Not later than 90 days after the date of the
enactment of this Act, the Chief Privacy Officer of the Department, in
consultation with the Chief FOIA Officer, shall update and issue
guidance to the heads of each of the relevant components of the
Department regarding the goal of reducing the backlog in processing
requests made under paragraphs (1), (2), and (3) of section 552(a) of
title 5, United States Code, by 50 percent between fiscal year 2015 and
fiscal year 2018.
(f) Report.--
(1) Semiannual privacy report.--The Chief FOIA Officer shall
include in each semiannual privacy report submitted under
section 1062(f) of the Intelligence Reform and Terrorism
Prevention Act of 2004 (42 U.S.C. 2000ee-1(f)) each of the
following:
(A) The total costs to the Department of meeting the
requirements of section 552 of title 5, United States
Code, for the period covered by the report.
(B) An assessment of progress made toward meeting the
backlog goals pursuant to subsection (e) during the
period covered by the report and the periods covered by
the two preceding reports.
(C) An assessment of whether the Department has
adequate staffing and other resources to address the
backlog goals pursuant to subsection (e) for processing
requests made under paragraphs (1), (2), and (3) of
section 552(a) of title 5, United States Code.
(D) An assessment of the progress made towards
automating the processing of requests made under
paragraphs (1), (2), and (3) of section 552(a) of title
5, United States Code, during the period covered by the
report.
(2) Fiscal year 2016 requirements.--The Chief FOIA Officer
shall include in the second semiannual privacy report for
fiscal year 2016 each of the following:
(A) A description of any cost savings identified
under subsection (d).
(B) The plan developed under subsection (d).
(g) Duplicative Action Defined.--In this section, the term
``duplicative actions'' means actions carried out by two or more
components or programs that are engaged in the same activities or
provide the same services related to the processing of FOIA requests to
the same beneficiaries.
SEC. 3. PROGRESS ON AUTOMATION.
Upon completion of the plan to automate the processing of requests
made under paragraphs (1), (2), and (3) of section 552(a) of title 5,
United States Code, the Chief FOIA Officer shall provide the plan to
the heads of the components of the Department and seek written feedback
from each head of a component agency regarding the extent to which that
component will adopt the plan, the associated costs, and the projected
timelines.
PURPOSE AND SUMMARY
The purpose of H.R. 1615 is to direct the Chief FOIA
Officer of the Department of Homeland Security to make certain
improvements in the implementation of section 552 of title 5,
United States Code (commonly known as the Freedom of
Information Act), and for other purposes.
BACKGROUND AND NEED FOR LEGISLATION
The Department of Homeland Security (DHS) receives and
processes the most Freedom of Information Act (FOIA) requests
out of any federal department. As reported by the Government
Accountability Office in November 2014, DHS also faces the
largest backlog of unprocessed FOIA requests of any federal
agency--roughly half of the total number for all federal
agencies (GAO-15-82). This legislation requires a more
streamlined approach to the processing of FOIA requests, which
should aid in backlog reduction. This legislation also provides
greater transparency by requiring clearer accounting of costs
associated with the FOIA process.
HEARINGS
No hearings were held on H.R. 1615.
COMMITTEE CONSIDERATION
The Committee met on May 20, 2015, to consider H.R. 1615,
and ordered the measure to be reported to the House with a
favorable recommendation, amended, by voice vote. The Committee
took the following actions:
The following amendments were offered:
An Amendment in the Nature of a Substitute offered by Mr.
Carter of Georgia (#1); was AGREED TO, as amended, by voice
vote.
An en bloc amendment to the Amendment in the Nature of a
Substitute to H.R. 1615 offered by Ms. Jackson Lee (#1A); was
AGREED TO by voice vote.
Consisting of the following amendments:
Page 2, line 3, before the semicolon insert the following: ``,
which may include information on how to adopt automated processing of
requests made under paragraphs (1), (2), or (3) of section 552(a) of
title 5, United States Code''.
Page 5, after line 8, insert the following: (D) An assessment of
the progress made towards automating the processing of requests made
under paragraphs (1), (2), and (3) of section 552(a) of title 5, United
States Code, during the period covered by the report.
Page 5, after line 22, a new section entitled ``Sec. 3. Progress
on Automation.''
The Subcommittee on Oversight and Management Efficiency met
on May 13, 2015, to consider H.R. 1615, and ordered the measure
to be reported to the Full Committee with a favorable
recommendation, amended, by voice vote. The Committee took the
following actions:
The following amendment was offered:
An en bloc amendment offered by Mrs. Watson Coleman (#1);
was AGREED TO by voice vote.
Consisting of the following amendments:
Page 2, line 11, strike subsection (c) and insert a new subsection
entitled ``(c) Cost Savings.''.
Page 5, after line 8, insert the following: (C) An assessment of
whether the Department has adequate staffing and other resources to
address the backlog goals pursuant to subsection (e) for processing
requests made under paragraphs (1), (2), and (3) of section 552(a) of
title 5, United States Code.
Page 5, after line 15, insert a new subsection entitled ``(g)
Duplicative Action Defined.''
COMMITTEE VOTES
Clause 3(b) of rule XIII of the Rules of the House of
Representatives requires the Committee to list the recorded
votes on the motion to report legislation and amendments
thereto.
No recorded votes were requested during consideration of
H.R. 1615.
COMMITTEE OVERSIGHT FINDINGS
Pursuant to clause 3(c)(1) of rule XIII of the Rules of the
House of Representatives, the Committee has held oversight
hearings and made findings that are reflected in this report.
NEW BUDGET AUTHORITY, ENTITLEMENT AUTHORITY, AND TAX EXPENDITURES
In compliance with clause 3(c)(2) of rule XIII of the Rules
of the House of Representatives, the Committee finds that H.R.
1615, the DHS FOIA Efficiency Act of 2015, would result in no
new or increased budget authority, entitlement authority, or
tax expenditures or revenues.
CONGRESSIONAL BUDGET OFFICE ESTIMATE
The Committee adopts as its own the cost estimate prepared
by the Director of the Congressional Budget Office pursuant to
section 402 of the Congressional Budget Act of 1974.
U.S. Congress,
Congressional Budget Office
Washington, DC, June 2, 2015.
Hon. Michael McCaul,
Chairman, Committee on Homeland Security,
House of Representatives, Washington, DC.
Dear Mr. Chairman: The Congressional Budget Office has
prepared the enclosed cost estimate for H.R. 1615, the DHS FOIA
Efficiency Act of 2015.
If you wish further details on this estimate, we will be
pleased to provide them. The CBO staff contact is Mark
Grabowicz.
Sincerely,
Keith Hall.
Enclosure.
H.R. 1615--DHS FOIA Efficiency Act of 2015
H.R. 1615 would require the Department of Homeland Security
(DHS) to update regulations that implement the Freedom of
Information Act (FOIA), identify the costs of complying with
that act, streamline the process for implementing certain FOIA
provisions, and attempt to reduce the backlog in processing
FOIA requests. Because there are ongoing efforts within DHS to
carry out the actions required by the bill, CBO estimates that
implementing H.R. 1615 would not significantly affect DHS
spending. Enacting the legislation would not affect direct
spending or revenues; therefore, pay-as-you-go procedures do
not apply.
H.R. 1615 contains no intergovernmental or private-sector
mandates as defined in the Unfunded Mandates Reform Act and
would not affect the budgets of state, local, or tribal
governments.
The CBO staff contact for this estimate is Mark Grabowicz.
The estimate was approved by Theresa Gullo, Assistant Director
for Budget Analysis.
STATEMENT OF GENERAL PERFORMANCE GOALS AND OBJECTIVES
H.R. 1615 requires the Chief FOIA Officer of the Department
of Homeland Security to do the following:
1. Not later than 90 days after the enactment of this
Act, finalize and issue updated FOIA regulations;
2. Not later than 90 days after the enactment of this
Act, identify the total annual cost to the Department
of Homeland Security for implementing FOIA;
3. Develop guidance on reporting standards related to
direct and indirect costs associated with the
processing of FOIA requests;
4. Identify and eliminate unnecessary and duplicative
actions taken by the Department in the course of
processing FOIA requests;
5. Not later than 90 days after the enactment of this
Act, develop a plan to automate the processing of FOIA
requests;
6. Include in the Semiannual Privacy Report information
regarding costs associated with processing FOIA
requests, an assessment of the progress made toward
meeting the backlog goal, an assessment of whether the
Department has adequate staffing and resources to
address the backlog goal, and an assessment of the
progress made towards automating the processing of FOIA
requests;
7. Include in the second Semiannual Privacy Report for
fiscal year 2016 the developed plan and any identified
cost savings associated with automating the processing
of FOIA requests.
DUPLICATIVE FEDERAL PROGRAMS
Pursuant to clause 3(c) of rule XIII, the Committee finds
that H.R. 1615 does not contain any provision that establishes
or reauthorizes a program known to be duplicative of another
Federal program.
CONGRESSIONAL EARMARKS, LIMITED TAX BENEFITS, AND LIMITED TARIFF
BENEFITS
In compliance with rule XXI of the Rules of the House of
Representatives, this bill, as reported, contains no
congressional earmarks, limited tax benefits, or limited tariff
benefits as defined in clause 9(e), 9(f), or 9(g) of the rule
XXI.
FEDERAL MANDATES STATEMENT
The Committee adopts as its own the estimate of Federal
mandates prepared by the Director of the Congressional Budget
Office pursuant to section 423 of the Unfunded Mandates Reform
Act.
PREEMPTION CLARIFICATION
In compliance with section 423 of the Congressional Budget
Act of 1974, requiring the report of any Committee on a bill or
joint resolution to include a statement on the extent to which
the bill or joint resolution is intended to preempt State,
local, or Tribal law, the Committee finds that H.R. 1615 does
not preempt any State, local, or Tribal law.
DISCLOSURE OF DIRECTED RULE MAKINGS
The Committee estimates that H.R. 1615 would require no
directed rule makings.
ADVISORY COMMITTEE STATEMENT
No advisory committees within the meaning of section 5(b)
of the Federal Advisory Committee Act were created by this
legislation.
APPLICABILITY TO LEGISLATIVE BRANCH
The Committee finds that the legislation does not relate to
the terms and conditions of employment or access to public
services or accommodations within the meaning of section
102(b)(3) of the Congressional Accountability Act.
SECTION-BY-SECTION ANALYSIS OF THE LEGISLATION
Section 1. Short title
This section provides that bill may be cited as the ``DHS
FOIA Efficiency Act of 2015''.
Section 2. Department of Homeland Security Freedom of Information Act
Implementation
Section 2(a). Deadline for updating regulations
Section 2(a) requires the Chief FOIA Officer of the
Department of Homeland Security, to finalize and issue an
updated regulation implementing the Freedom of Information Act,
to include:
1. Public guidance on procedures to be followed when
making FOIA requests;
2. Updated guidance to the DHS components responsible for
processing such requests;
3. Detailed information on fees and costs associated with
such requests; and
4. Detailed information on the appeals process for FOIA
requests.
Section 2(b). Identification of costs
Section 2(b) requires the Chief FOIA Officer, in
coordination with the Chief Financial Officer of the Department
of Homeland Security, and the heads of each of the relevant
components, to identify the total annual costs associated with
the processing of FOIA requests. Additionally, the Chief FOIA
Officer shall develop guidance on reporting standards related
to the direct and indirect costs to DHS associated with the
processing of FOIA requests.
Section 2(c). Cost savings
Section 2(c) requires the Chief FOIA Officer, in
collaboration with the heads of relevant components to identify
and eliminate unnecessary and duplicative actions taken during
the processing of FOIA requests.
Section 2(d). FOIA tracking systems
Section 2(d) requires the Chief FOIA Officer to develop a
plan to automate the processing of FOIA requests while
addressing required and recommended technology capabilities and
elements. An assessment of the costs and benefits associated
with electronic processing shall be included.
Section 2(e). FOIA backlog
Section 2(e) requires the Chief Privacy Officer, in
consultation with the Chief FOIA Officer, to update and issue
guidance to the relevant components regarding FOIA backlog
reduction efforts.
Section 2(f). Reporting requirements
Section 2(f) requires the Chief FOIA Officer to include in
the Department's already mandated Semiannual Privacy Report:
1. The total cost to the Department of processing FOIA
requests;
2. An assessment of backlog progress; and
3. An assessment of whether the Department has adequate
staffing and resources to address the backlog goals
4. An assessment of the progress made towards automating
the processing of FOIA requests
Section 2(f) also requires the Chief FOIA Officer to
include in the already mandated second Semiannual Privacy
Report for Fiscal Year 2016:
1. Any FOIA processing cost savings identified by the
Department; and
2. The Department's plan to automate FOIA tracking.
Section 2(g). Definition
Section 2(g) defines ``duplicative action.''
Section 3. Progress on automation
Section 3 requires the Chief FOIA Officer to disseminate
the Department's plan to automate FOIA processing to the heads
of relevant components and to seek written feedback from each
head of component regarding the extent to which that component
intends to adopt this processing automation plan.
CHANGES IN EXISTING LAW MADE BY THE BILL, AS REPORTED
H.R. 1615, as reported, makes no changes to existing law.
[all]