    Information Management: Update on Freedom of Information Act
    Implementation Status (18-FEB-04, GAO-04-257).

    Based on principles of openness and accountability in government,
    the Freedom of Information Act (FOIA) establishes that federal
    agencies must provide the public with access to government
    information, thus enabling them to learn about government
    operations and decisions. To ensure appropriate implementation of
    FOIA, Congress requires that agencies report annually to the
    Attorney General information about agencies' FOIA operations. GAO
    has recently reported twice on the annual FOIA reports of 25
    agencies. In 2001, GAO reported that data-quality issues limited
    the usefulness of agencies' annual reports. In 2002, GAO reported
    that fewer agency FOIA reports had data-quality and consistency
    problems in fiscal year 2001 compared with fiscal year 2000,
    although some fiscal year 2001 reports did have data anomalies.
    GAO was asked, among other things, to determine (1) trends of
    reported FOIA implementation between 2000 and 2002 and (2)
    progress the 25 agencies have made addressing reporting
    inconsistencies and data-quality problems in annual FOIA reports.
    -------------------------Indexing Terms-------------------------
    REPORTNUM:   GAO-04-257
        ACCNO:   A09257
      TITLE:     Information Management: Update on Freedom of Information
    Act Implementation Status
         DATE:   02/18/2004
      SUBJECT:   Comparative analysis
    	     Data collection
    	     Data integrity
    	     Federal law
    	     Government information
    	     Government information dissemination
    	     Information disclosure
    	     Information resources management
    	     Reporting requirements

    ******************************************************************
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    GAO-04-257

    United States General Accounting Office

    GAO

    Report to the Ranking Minority Member,

    Committee on the Judiciary, U.S. Senate

    February 2004

                                      INFORMATION
                                       MANAGEMENT

               Update on Freedom of Information Act Implementation Status

                                           a

    GAO-04-257

    Highlights of GAO-04-257, a report to the Ranking Minority Member,
    Committee on the Judiciary, U.S. Senate

    Based on principles of openness and accountability in government, the
    Freedom of Information Act (FOIA) establishes that federal agencies must
    provide the public with access to government information, thus enabling
    them to learn about government operations and decisions. To ensure
    appropriate implementation of FOIA, Congress requires that agencies report
    annually to the Attorney General information about agencies' FOIA
    operations.

    GAO has recently reported twice on the annual FOIA reports of 25 agencies.
    In 2001, GAO reported that data-quality issues limited the usefulness of
    agencies' annual reports. In 2002, GAO reported that fewer agency FOIA
    reports had data-quality and consistency problems in fiscal year 2001
    compared with fiscal year 2000, although some fiscal year 2001 reports did
    have data anomalies.

    February 2004

    INFORMATION MANAGEMENT

    Update on Freedom of Information Act Implementation Status

    The data from 2000 to 2002 reveal the following governmentwide trends: (1)
    agencies reported receiving and processing more requests governmentwide
    (however, the Department of Veterans Affairs accounts for approximately 60
    percent of the requests received and processed, and when it is excluded,
    the governmentwide total of requests received and processed decreased in
    this time period); (2) agencies also reported a decrease in the backlog of
    pending requests remaining at the end of each year; (3) of the FOIA
    requests processed, agencies granted or partially granted more requests
    each year; and (4) the number of FOIA requests denied dropped dramatically
    between 2000 and 2001, and remained low in 2002. The figure below shows
    the number of requests granted, partially granted, denied, and not
    disclosed for other reasons for fiscal years 2000, 2001, and 2002.

    In response to GAO's 2001 and 2002 reports, the Department of Justice
    worked with agencies to improve the quality of data in FOIA annual
    reports. Results were mixed in 2002 in three key reporting areas: requests
    processed, administrative appeals processed, and pending requests. On the
    one hand, regarding reported numbers of requests processed and
    administrative appeals processed, fewer agencies had data-quality problems
    in 2002 than in 2001. On the other hand, regarding the number of reported
    pending requests, more agencies had data-quality problems in 2002 than in
    2001.

    In commenting on a draft of this report, Justice officials generally
    agreed with its content.

    GAO was asked, among other Governmentwide Disposition of Requests, Fiscal
    Years 2000-2002

    things, to determine (1) trends of reported FOIA implementation between
    2000 and 2002 and (2) progress the 25 agencies have made addressing
    reporting inconsistencies and data-quality problems in annual FOIA
    reports.

    www.gao.gov/cgi-bin/getrpt?GAO-04-257.

    To view the full product, including the scope and methodology, click on
    the link above. For more information, contact Linda Koontz at (202)
    512-6240 or koontzl@gao.gov.

    Contents

         Letter                                                                 1
                                              Results in Brief                  2
    Appendixes
                                    Update on Freedom of Information Act
                   Appendix I:                 Implementation
                                                   Status                       5
                  Appendix II: Agency Processing Times and Numbers of Requests
                                      Processed by Track (Attachment 4)        76

    Abbreviations

    FOIA Freedom of Information Act
    FTE Full-time-equivalent
    OIP Office of Information and Privacy

    This is a work of the U.S. government and is not subject to copyright
    protection in the United States. It may be reproduced and distributed in
    its entirety without further permission from GAO. However, because this
    work may contain copyrighted images or other material, permission from the
    copyright holder may be necessary if you wish to reproduce this material
    separately.

    A

    United States General Accounting Office Washington, D.C. 20548

    February 18, 2004

    The Honorable Patrick Leahy Ranking Minority Member Committee on the
    Judiciary United States Senate

    Dear Senator Leahy:

    Based on principles of openness and accountability in government, the
    Freedom of Information Act (FOIA) establishes that federal agencies must
    provide the public with access to government information (unless the
    information falls into one of nine specifically exempted categories), thus
    enabling them to learn about government operations and decisions. To
    ensure appropriate implementation of FOIA, Congress requires that agencies
    report annually to the Attorney General information about agencies' FOIA
    operations.

    We have recently reported twice1 on the annual FOIA reports of 25
    agencies.2 In 2001, we reported on the data for fiscal years 1998 and
    1999. We noted that data-quality issues limited the usefulness of
    agencies' annual reports. In 2002, we reported on the data for fiscal
    years 1998, 1999, 2000, and 2001. We noted that fewer agency FOIA reports
    had data-quality and consistency problems in fiscal year 2001 compared
    with fiscal year 2000, although some fiscal year 2001 reports did have
    data anomalies.

    You requested that we determine (1) the current status of reported FOIA
    implementation, including trends between 2000 and 2002; (2) what progress
    the 25 agencies have made addressing reporting inconsistencies and
    data-quality problems in annual FOIA reports; and (3) whether federal
    agencies made accommodations to receive FOIA requests electronically after
    the attacks of September 11, 2001, and subsequent anthrax attacks.

    1U.S. General Accounting Office, Information Management: Progress in
    Implementing the 1996 Electronic Freedom of Information Act Amendments,
    GAO-01-378 (Washington, D.C.: Mar. 16, 2001); and Information Management:
    Update on Implementation of the 1996 Electronic Freedom of Information Act
    Amendments, GAO-02-493 (Washington, D.C.: Aug. 30, 2002).

    2The 25 agencies included in this review are the 24 major agencies
    referred to in the Chief Financial Officers Act, plus the Central
    Intelligence Agency.

    To determine the current status of reported FOIA implementation, including
    trends between 2000 and 2002, we examined, consolidated, and analyzed
    annual FOIA report data from 25 major agencies to capture the current
    state of FOIA implementation as well as to identify any changes, trends,
    and inconsistencies over the past 3 years. We also interviewed agency FOIA
    officials. To determine what progress the 25 agencies have made in
    addressing reporting inconsistencies and data-quality problems, we
    reviewed data from previous reviews, reviewed 2002 annual FOIA reports for
    completeness, verified data for consistency, and interviewed agency
    officials. To determine whether federal agencies made accommodations to
    receive FOIA requests electronically after the attacks of September 11,
    2001, and subsequent anthrax attacks, we collected Web site data in July
    2003 and compared them with data collected from June to October 2000 and
    from May to June 2002, and we interviewed agency FOIA officials about the
    addition of electronic capabilities for FOIA request submissions. Our work
    was conducted from May through October 2003 in accordance with generally
    accepted government auditing standards. We did not verify the
    self-reported data contained in agencies' annual FOIA reports.

    On October 31, 2003, we provided a briefing to your office on the results
    of our work. The briefing slides3 are included in appendix I. The purpose
    of this report is to provide the published briefing slides for
    dissemination to you and the Attorney General.

    Results in Brief	With regard to the current status of FOIA implementation,
    the 25 agencies under review reported receiving and processing about 2.3
    million requests; 88 percent of the requests received were granted in
    full. Governmentwide, these agencies reported spending approximately $283
    million on FOIA activities and collecting about $6 million in fees. These
    agencies also reported dedicating about 4,900 full-time-equivalent
    personnel to the handling of FOIA requests. Examining the data for trends
    from 2000 to 2002, we observed the following:

    o 	Agencies reported receiving and processing more requests
    governmentwide. However, when the Department of Veterans Affairs (which
    accounts for approximately 60 percent of the requests received

    3We have amended the briefing slides as of January 13, 2004, to include
    technical corrections and clarifications.

    and processed) is excluded, the total number of requests received and
    processed governmentwide decreased in this time period.

    o 	Agencies also reported a decrease in the backlog of pending requests
    remaining at the end of each year.

    o 	Of the FOIA requests processed, agencies granted or partially granted
    more requests each year.

    o 	The number of FOIA requests denied governmentwide dropped dramatically
    between 2000 and 2001, and remained low in 2002.

    In response to our 2001 and 2002 reports, the Department of Justice issued
    supplemental guidance, addressed reporting requirements in its training
    programs, and continued reviewing agencies' annual reports for data
    quality. Justice worked with agencies to improve the quality of data in
    FOIA annual reports. Three key reporting areas (requests processed,
    administrative appeals processed, and pending requests) showed mixed
    results in 2002. On the one hand, regarding reported numbers of requests
    processed and administrative appeals processed, fewer agencies had
    dataquality problems in 2002 than in 2001. On the other hand, regarding
    the number of reported pending requests, more agencies had data-quality
    problems in 2002 than in 2001.

    Three agencies made accommodations to receive FOIA requests
    electronically4 after the attacks of September 11, 2001, and the mail
    delays due to the anthrax attacks in Washington, D.C. These agencies told
    us that electronic submission capabilities were added for reasons other
    than the September 11 and anthrax attacks. For example, agencies stated
    that electronic submission can save time and be easier for the requester.
    Eleven agencies allowed electronic FOIA request submission before
    September 11, 2001. Eleven agencies did not allow for electronic FOIA
    request submission as of July 2003.

    In providing oral comments on a draft of this report, the Justice Office
    of Information and Privacy (OIP) co-directors stated that the department

    4While the Electronic Freedom of Information Act Amendments of 1996
    elevated the importance of making information available electronically,
    they do not require that agencies establish the capability to receive FOIA
    requests through the Internet. However, the Department of Justice stated
    in 1998 guidance that agencies should explore their capability to receive
    FOIA requests electronically through the Internet.

    generally agreed with the report's content as presented. The OIP officials
    also made a number of technical comments, which we incorporated as
    appropriate.

    As agreed with your office, unless you publicly announce its contents
    earlier, we plan no further distribution of this report until 5 days from
    the
    date of this letter. At that time, we will send copies of this report to
    the
    Attorney General and the heads of other interested congressional
    committees. We are also sending copies to the 25 departments and agencies
    we surveyed. Copies will be made available to others on request. In
    addition, this report will be available at no charge on the GAO Web site
    at
    www.gao.gov.

    If you have any questions concerning this report, please call me at (202)
    512-6240 or send e-mail to koontzl@gao.gov. Key contacts and major
    contributors to this report are Elizabeth Bernard, Barbara Collier, John
    de
    Ferrari, Neil Doherty, Katherine Howe, Scott Lassiter, and David Plocher.

    Sincerely yours,

    Linda D. Koontz
    Director, Information Management Issues

    Appendix I

    Update on Freedom of Information Act Implementation Status

      Update on Freedom of Information Act Implementation Status

    Briefing for the staff of the
    Senate Committee on the Judiciary

    October 31, 2003

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

    o  Introduction

    o  Objectives

    o  Scope and Methodology

    o  Results in Brief

    o  Background

    o  FOIA Implementation Status and Trends

    o  Data Quality

    o  Accommodations for Electronic Requests

    o  Summary

    o  Agency Comments

    o  Attachment 1: 25 Agencies Reviewed and Abbreviations

    o  Attachment 2: Freedom of Information Act Exemptions

    o  Attachment 3: Other Reasons for Nondisclosure

    o  Attachment 4: Agency Processing Times and Numbers of Requests Processed
    by Track

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    The Freedom of Information Act (FOIA) establishes that federal agencies
    must provide the public with access to government information, unless the
    information falls into nine specifically exempted categories. The act is
    intended to enable the public to learn about the operations and decisions
    of the federal government. The act includes provisions requiring agencies
    to report annually to the Attorney

    in 1966, the act was amended in 1974, 1976, 1986, 1996, and 2002.

    The Electronic Freedom of Information Act (e-FOIA) Amendments in 1996

    o 	were intended to extend the principles of FOIA to information stored
    electronically and to improve public access to agency information;

    o 	expanded what agencies were required to report in their annual reports
    on the status of FOIA requests and responses to include, among other
    things, the number of requests pending, the cost of an agency's FOIA
    activities, fees collected for FOIA requests, and agency staff
    information; and

    o 	required reporting on the disposition of administrative appeals by
    requesters to have higher-level agency officials reconsider decisions not
    to disclose requested information.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    GAO has reported twice1 on the annual FOIA reports of 25 agencies: the 24
    major agencies referred to in the Chief Financial Officers Act, plus the
    Central Intelligence Agency (see attachment 1).

    o  In the 2001 report, we reported on the data for fiscal years 1998 and
    1999. We

    reports.

    o 	In the 2002 report, we reported on the data for fiscal years 1998,
    1999, 2000, and 2001. We reported that fewer agency FOIA reports had
    data-quality and consistency problems in fiscal year 2001 compared to
    fiscal year 2000, although some fiscal year 2001 reports did have data
    anomalies. In addition, not all the materials required by e-FOIA were
    available online.

    1Information Management: Progress in Implementing the 1996 Electronic
    Freedom of Information Act Amendments, GAO-01378 (Washington, D.C.: Mar.
    16, 2001); Information Management: Update on Implementation of the 1996
    Electronic Freedom of Information Act Amendments, GAO-02-493 (Washington,
    D.C.: Aug. 30, 2002).

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    As requested by the Ranking Minority Member of the committee, our
    objectives were to

    1.	determine the current status of reported FOIA implementation, including
    trends between 2000 and 2002;

    2.	determine what progress the 25 agencies have made addressing reporting
    inconsistencies and data-quality problems in annual FOIA reports; and

    3.	determine whether federal agencies made accommodations to receive FOIA
    requests electronically after the September 11, 2001, attacks and
    subsequent anthrax attacks.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    To determine the current status of reported FOIA implementation, including
    trends between 2000 and 2002, we

    o 	examined and consolidated annual FOIA report data from 25 major
    agencies to capture the current state of FOIA implementation (herein we
    refer to this scope as governmentwide);

    o 	analyzed annual reports governmentwide to identify any changes, trends,
    and inconsistencies over the past 3 years (fiscal years 2000, 2001, and
    2002);

    o  interviewed agency FOIA officials about the trends and changes; and

    o  analyzed agencies' median2 processing times (in days) for different
    types of requests.

    o 	Some agencies reported median processing times at the component level,
    with as many as 39 component times reported for one agency. In these
    cases, we reported the range of their components' times each year, from
    the lowest to the highest number of median days.

    o 	Because of these limitations, we could make only partial comparisons of
    these agencies' median processing times over the past 3 years.

    2 A median is the value in an ordered set of values below and above which
    there is an equal number of values; if there is no one middle number, it
    is the value that is the arithmetic mean of the two middle values. This is
    not an average.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    To determine the progress that the 25 agencies have made in addressing
    reporting inconsistencies and data-quality problems in annual FOIA
    reports, we

    o 	reviewed data from previous reviews and reviewed the fiscal year 2002
    annual reports for completeness (e.g., that each annual report included
    all items that

    o 	verified that similar data appearing in different locations of the
    report were consistent, and that summed values were correct; and

    o  interviewed agency FOIA officials about the data-quality problems.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    To determine whether federal agencies made accommodations to receive FOIA
    requests electronically after the attacks of September 11, 2001, and
    subsequent anthrax attacks, we collected Web site data in July 2003 and
    compared them with data collected from June to October 2000 and from May
    to June 2002. We also

    submission capability.

    We performed our work from May through October 2003, in accordance with
    generally accepted government auditing standards. We did not verify the
    selfreported data contained in agencies' annual FOIA reports.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    In 2002, the 25 agencies we reviewed reported receiving and processing
    about 2.3 million requests; 88 percent of the requests received were
    granted in full. Governmentwide, these agencies reported spending
    approximately $283 million on FOIA activities and collecting about $6
    million in fees. These agencies also reported dedicating about 4,900
    full-time-equivalent personnel to the handling of FOIA requests.

    Trends from 2000 to 2002

    o 	Agencies reported receiving and processing more requests
    governmentwide. However, when Veterans Affairs (which accounts for
    approximately 60 percent of requests received and processed) is excluded,
    the governmentwide total of requests received and processed decreased in
    this time period.

    o 	Agencies also reported a decrease in the backlog of pending requests
    remaining at the end of each year.

    o 	Of the FOIA requests processed, agencies granted or partially granted
    more requests each year.

    o 	The number of FOIA requests denied governmentwide dropped dramatically
    between 2000 and 2001, and remained low in 2002.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    In response to our 2001 and 2002 reports, Justice issued supplemental
    guidance, addressed reporting requirements in its training programs, and
    continued reviewing agencies' annual reports for data quality.

    In 2002, Justice worked with agencies to improve the quality of data in
    FOIA annual

    o 	Requests processed. Fewer agencies had data-quality problems this year
    (4 agencies) compared with the previous year (5 agencies).

    o 	Administrative appeals processed. Fewer agencies had data-quality
    problems this year (5 agencies) compared with the previous year (7
    agencies).

    o 	Pending requests. More agencies had data-quality problems this year (12
    agencies) compared with the previous year (10 agencies).

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Three agencies have made accommodations to receive electronic requests3
    since October 2000.

    o 	These agencies made accommodations to receive FOIA requests
    electronically after the attacks of September 11, 2001, and subsequent
    mail delays due to

    electronic submission capability was added for reasons other than the
    September 11 and anthrax attacks. For example, agencies stated that
    electronic submission can save time and be easier for the requester.

    Eleven agencies allowed electronic FOIA request submission before
    September 11, 2001.

    Eleven agencies did not allow electronic FOIA request submission as of
    July 2003.

    3 While the Electronic Freedom of Information Act Amendments of 1996
    elevated the importance of making information available electronically ,
    they do not require that agencies establish the capability to receive FOIA
    requests through the Internet. However, the Department of Justice stated
    in 1998 guidance that agencies should explore their capability to receive
    FOIA requests electronically through the Internet.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    In providing oral comments on a draft of this briefing, officials of
    Justice's Office of Information and Privacy (OIP) generally agreed with
    the content as presented. The OIP officials also made a number of
    technical comments, which we incorporated as appropriate.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Enacted in 1966, FOIA generally provides any person the right, enforceable
    in court, to obtain access to federal records, except to the extent that
    such records (or portions of them) are protected from public disclosure by
    one of nine exemptions (see attachment 2). FOIA exclusions also exist for
    specific sensitive records held by law enforcement agencies.

    Agencies have developed four ways to describe how they process requests
    for information under FOIA:

    o  "Grants" are agency decisions to disclose all records in full.

    o 	"Partial grants" are (1) agency decisions to disclose a record in part,
    deleting information determined to be exempt under one or more exemptions,
    or (2) decisions to disclose some records in their entirety, but to
    withhold others in whole or in part.

    o 	"Denials" are agency decisions not to release any part of the requested
    records because all information in the records is determined to be exempt
    under one or more exemptions.

    o 	"Not disclosed for other reasons" are agency decisions not to release
    information for a variety of reasons as detailed in attachment 3.

    The following slide is a generic overview of the agency FOIA process.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    When a FOIA request is denied in full or in part, or the requested record
    is not disclosed for other reasons, the requester is entitled to be told
    the reason for the denial, to appeal the denial, and to challenge it in
    court.

    In the initial process or during the administrative appeal process,
    agencies may

    (called "not disclosed for other reasons"). Examples include that the
    agency had no records responsive to the request, that the request was
    withdrawn by the requester, or that the agency determined that the
    requested records were not reasonably described. For a complete list of
    these other reasons for not disclosing records, along with definitions,
    see attachment 3.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    E-FOIA requires that agencies submit a report to the Attorney General on
    or before February 1 of each year that covers the preceding fiscal year
    and includes information about agencies' FOIA operations.

    The following are examples of information that is to be included in these
    reports:

    o  number of requests received, processed, and pending;

    o  median number of days taken by the agency to process requests;

    o  whether the requests were processed using simple, complex, or single
    tracks;4

    4Simple and complex tracks result when agencies use the option of
    "multitrack" processing, defined in Justice guidance as "a system in which
    simple requests requiring relatively minimal review are placed in one
    processing track and more voluminous and complex requests are placed in
    one or more other tracks." Single track refers to processing that does not
    distinguish between simple and complex requests.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

                          FOIA Reporting Requirements (cont'd)

    o 	median number of days taken by the agency to process expedited and
    pending requests;5

    o 	determinations made by the agency not to disclose information and the
    reasons for not disclosing the information;

    o  disposition of administrative appeals by requesters;

    o  information on the costs associated with handling of FOIA requests; and

    o  full-time-equivalent staffing information.

    5 E-FOIA requires that agencies give higher priority to expedited
    requests, that is, requests for which a requester has shown exceptional
    need or urgency for the records that warrants giving priority to that
    request over other requests that were made earlier. Once expedited, the
    processing time for a request can depend upon volume, complexity, and
    other factors.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Agencies have used varying approaches to report median processing times
    over the last 3 years. For example, 12 agencies changed their reporting
    method

    o  from simple/complex to single,  o   o  from departmentwide reporting to
    component-level reporting.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

    We present data in the following areas:

    o  2002 summary

    o 	FOIA trend analysis  o

    o  Backlog of pending requests

    o  Median processing times

    o  Disposition of requests

    o  Nondisclosure

    o  Costs and staffing

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    As mentioned, in 2002, the 25 agencies we reviewed reported receiving and
    processing over 2.3 million requests.

    As in years past, Veterans Affairs6 accounted for a large portion of both
    requests received and requests processed. Therefore, when the data
    governmentwide are

    below).

                               Veterans Affairs requests

    Requests

              Requests governmentwide Number Percentage of governmentwide

    Received

            2.3 million 1.5 million 64 Processed 2.4 million 1.5 million 63

                               Pending 140,000 43,000 31

    Note: All values were self-reported by the agencies. The totals were
    rounded.

    6 Before 1999, the number of requests received by Veterans Affairs was
    comparable to those received by Justice. In 1999, Veterans Affairs began
    counting first-party medical requests as FOIA requests, as directed by
    Justice guidance, and the total number of reported requests received by it
    increased dramatically (approximately 447 percent). Veterans Affairs
    officials have stated that this type of request is relatively easy to
    process.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    In 2002, most (88 percent) FOIA requests governmentwide were granted in
    full, as shown in the following table. Most of the requests that were
    granted in full were processed by Veterans Affairs.

    Number of requests Percentage of requests Number of requests Disposition
    governmentwide processed to Veterans Affairs

                           Grants 2.1 million 88 1.5 million

                             Partial grants 85,000 4 9,000

                                 Denials 18,000 1 3,000

    Not disclosed for
    other reasons 169,000 7 20,000

    Note: All values were self-reported by the agencies. The totals were
    rounded.

    Agency decisions to grant requests varied widely in 2002, as shown in the
    following slide.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

                         FOIA Implementation Status and Trends

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Governmentwide, agencies reported spending approximately $283 million on
    FOIA activities in 2002. Veterans Affairs' portion of those costs was
    approximately $33 million (about 11 percent). Justice reported spending
    about $82 million on FOIA activities (about 29 percent).

    Veterans Affairs collected approximately $565,000 in fees (about 10
    percent of fees collected governmentwide). The Social Security
    Administration collected more in FOIA fees than any other agency-about $2
    million (about 35 percent of all fees).

    In 2002, agencies reported dedicating about 4,900 full-time-equivalent
    (FTE) personnel governmentwide to handling FOIA requests and other FOIA
    responsibilities. Veterans Affairs had about 850 FTE personnel, which was
    approximately 17 percent of FTE personnel used governmentwide. Justice
    dedicated about 1,000 FTEs to FOIA activities (about 22 percent).

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Overall, from 2000 to 2002, 24 of the agencies (without Veterans Affairs)
    reported receiving and processing a decreased number of requests
    governmentwide; when the Veterans Affairs reported data are included
    (which accounts for approximately 60 percent of requests received and
    processed), the number increased (see following slide).

    Received. The total decreased by about 10 percent. If the Veterans Affairs
    data are included, the number of FOIA requests received governmentwide
    increased by about 8 percent.

    Processed. The total decreased by about 5 percent. If the Veterans Affairs
    data are included, the number of requests processed increased by about 10
    percent.

    Pending. The backlog of pending requests at the end of the year
    governmentwide decreased by about 23 percent. If the Veterans Affairs data
    are included, the backlog of pending requests decreased by about 15
    percent.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

                         FOIA Implementation Status and Trends

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Over the years, Veterans Affairs has received the largest number of FOIA
    requests. Other agencies that have also received a high number of requests
    include Agriculture, Defense, Justice, Health and Human Services, the
    Social Security Administration, and Treasury, as shown in the following
    slide.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

    Note: All agencies received some requests, although the scale in this
    graph makes it appear that some agencies receive none. This scale is
    necessary to portray the large number of requests received by Veterans
    Affairs.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Although the governmentwide backlog remained relatively constant between
    2000 and 2001, it decreased between 2001 and 2002.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    The backlog rate governmentwide decreased from about 8 percent in 2001 to
    about 6 percent in 2002. When Veterans Affairs requests are removed from
    the equation, the governmentwide backlog rate decreased from about 16
    percent in 2001 to about 12 percent in 2002.

    pending at the end of the year, divided by the number of requests received
    that year. Agencies with a value over 100 percent have more backlog than
    requests received per year.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

                         FOIA Implementation Status and Trends

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    The Central Intelligence Agency is the only agency that over the past 3
    years has consistently decreased the number of requests in its backlog of
    pending requests. Its processing rate has been above 100 percent the past
    3 years.

    We define an agency processing rate (see next slide) as the percentage of

    agency receives in that year. An agency processing rate of under 100
    percent means an agency has an increasing number of pending requests.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

                         FOIA Implementation Status and Trends

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Four agencies (Energy, Housing and Urban Development, State, and the
    Environmental Protection Agency) had a jump in their agency processing
    rates and a corresponding decline in the number of requests in their
    backlog in 2002.

    An agency official from State indicated that the decline was due to the
    creation of a

    requests.

    Agency officials of the remaining three agencies stated the decline in the
    backlog of pending requests came about for the following reasons:

    o  agency closed requests due to requester death,

    o  agency determined that open requests should be considered closed,

    o  requester no longer wanted the information, or

    o 	requester no longer worked for the organization that requested the
    information, and the organization chose to withdraw the request.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    For agencies that used a simple-track method, reported median processing
    times varied widely. Specifically, 17 agencies used this method in 2001
    and 2002.

    o  Seven had a decrease in the median processing time from 2001 to 2002:
    o Commerce

    o  Defense

    o  Energy  o Justice7

    o  Housing and Urban Development8

    o  Nuclear Regulatory Commission

    o  Social Security Administration9

    o  One of the 17 agencies, State, had an increase in median processing
    time.

    o 	Four agencies had no change in their simple-track median processing
    time: the Central Intelligence Agency, Transportation, Health and Human
    Services, and the National Aeronautics and Space Administration.

    o 	Because of agencies' reporting methods, we were unable to determine an
    increase or decrease for the remaining five agencies that reported simple
    requests in 2001 and 2002.

    7,8,9 We determined the decrease for Justice, Housing and Urban
    Development, and the Social Security Administration by identifying that
    the lowest reported component median and highest component median both
    decreased.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Reported median processing times for agencies that used a complex-track
    method varied widely. Specifically, 19 agencies used this method in 2001
    and 2002.

    o 	Ten agencies had a decrease in median processing times between 2001 and
    2002:

    o   o  Commerce  o  Defense  o  Energy

    o 	Federal Emergency Management Agency  o Justice10

    o  Social Security Administration

    o  National Aeronautics and Space Administration

    o  State

    o  Treasury11

    o 	Two of the 19 agencies had an increase in median processing times for
    complex requests (Transportation and the Nuclear Regulatory Commission).

    o 	Because of the agencies' reporting methods, we were unable to determine
    an increase or decrease for the remaining seven agencies that reported
    complex requests in 2001 and 2002.

    10,11 We determined the decrease for Justice and Treasury by identifying
    that the lowest component median and highest component median both
    decreased.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Few agencies use single-track processing. Specifically, four agencies used
    singletrack processing in 2001 and 2002.

    o 	Two agencies (Interior12 and the National Science Foundation) had a
    decrease in the median processing time between 2001 and 2002.

    o 	One of the four agencies had an increase in median processing time for
    singletrack processing (the Agency for International Development).

    o 	Due to agencies' reporting methods, we were unable to determine an
    increase or decrease for Health and Human Services.

    See following slide for median processing times.

    Additional detail on individual agencies appears in attachment 4.

    12 We determined the decrease for Interior by identifying that the lowest
    component median and highest component median both decreased.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

    Note: A dash indicates that the agency did not have any requests in a
    given track in a given year.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    E-FOIA requires that agencies give higher priority to "expedited"
    requests-defined as requests in which a requester has shown exceptional
    need or urgency for the records that warrants giving priority over other
    requests that were made earlier. When median processing times are compared
    for agencies that process expedited

    Nineteen of the 25 agencies reported processing expedited requests in one
    or more years between 2000 and 2002.

    Six agencies had median expedited processing times greater than 100 days
    in at least 1 year for at least one component.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

                         FOIA Implementation Status and Trends

                                    Agency 2000 2001

                                          2002

                                    Agency 2000 2001

                                          2002

                                         GSA --

                                         AID --

                                           -

                                           -

                                    HHS 5-135 1-111

                                         16-27

                                         CIA --

                                           -

                                       HUD - 5-18

                                          5-27

                                         DOC -8

                                           -

                                       NASA 3 10

                                           3

                                         DOD 33

                                           1

                                       NRC 16 105

                                           23

                                       DOE 10 10

                                          118

                                         NSF --

                                           -

                                      DOI 12 1-10

                                          5-33

                                         OPM -1

                                           4

                                    DOJ 1-106 1-107

                                         1-190

                                         SBA -1

                                           -

                                         DOL 66

                                          2-28

                                         SSA --

                                           -

                                         DOT 18

                                           29

                                     State 518 252

                                          255

                                        ED 1213

                                          2-10

                                      Treasury 8 3

                                          2-5

                                      EPA 44 8-105

                                          6-75

                                       USDA 12 33

                                          3-76

                                        FEMA --

                                           -

                                         VA 23

                                          1-7

    Note: A dash indicates that the agency did not have any expedited
    requests.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    The median processing times for requests pending in agency backlogs varied
    widely.

    In 2002, eight agencies reported median processing times for pending
    requests that were greater than 1 year (defined as 251 business days) in
    length. Eleven

    than 1 year in length for at least 1 of the last 3 years (2000-2002).

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

                         FOIA Implementation Status and Trends

                                    Agency 2000 2001

                                          2002

                                    Agency 2000 2001

                                          2002

                                       GSA 25 25

                                           29

                                       AID 59 263

                                          356

                                      CIA 474 605

                                          601

                                    HHS 5-301 10-228

                                         7-206

                                       DOC 26 30

                                           55

                                     HUD 262 11-266

                                          7-68

                                       DOD 87 55

                                           87

                                       NASA 69 48

                                           44

                                    DOE 2,090 2,009

                                           97

                                      NRC 28 10-31

                                         22-218

                                     DOI 22 7-1,059

                                        5-1,407

                                       NSF 25 25

                                           25

                                    DOJ 1-509 4-817

                                         2-828

                                       OPM 23 15

                                           17

                                       DOL 36 24

                                          8-36

                                         SBA --

                                           -

                                       DOT 30 99

                                           41

                                      SSA 50 84-99

                                          7-48

                                       ED 150 31

                                         5-211

                                     State 839 445

                                          546

                                    EPA 517 10-1,524

                                         11-438

                                  Treasury 3-243 9-303

                                         1-545

                                      FEMA 50 200

                                          205

                                       USDA 30 30

                                         5-661

                                        VA 1515

                                          3-46

    Note: A dash indicates that this agency did not report any median time for
                            processing of pending requests.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    The number of grants governmentwide has increased every year from 2000 to
    2002.

    o 	Excluding Veterans Affairs, the number of grants governmentwide
    decreased from 2000 to 2001 and increased from 2001 to 2002.

    o

    The number of partial grants governmentwide has increased every year from
    2000 to 2002.

    o 	Excluding Veterans Affairs, the number of partial grants governmentwide
    decreased from 2000 to 2001 and increased from 2001 to 2002.

    o  Veterans Affairs accounted for about 10 percent of partial grants.

    The number of FOIA requests denied governmentwide dropped dramatically
    between 2000 and 2001 and remained low in 2002.

    The number of FOIA requests not disclosed for other reasons decreased
    between 2000 and 2001, and it increased between 2001 and 2002. Excluding
    Veterans Affairs, this number decreased each year from 2000 to 2002.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

                         FOIA Implementation Status and Trends

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Agencies reported citing an increasing number of exemptions. They often
    cited multiple exemptions for a partial grant or denial. The number of
    exemptions cited in dispositions increased by approximately 33 percent
    from 2000 to 2001, and by approximately 73 percent from 2001 to 2002. In
    2000, about 219,000 exemptions were cited; in 2001, about 292,000
    exemptions were cited; and in 2002, about

    The use of two specific exemptions increased dramatically from 2001 to
    2002 (see next slide).

    o 	The use of exemption 6-"personnel and medical files and similar files
    the disclosure of which would constitute a clearly unwarranted invasion of
    personal privacy"-increased by about 95 percent.

    o 	The use of exemption 7(C)-"records or information compiled for law
    enforcement purposes, but only to the extent that the production of such
    law enforcement records or information could reasonably be expected to
    constitute an unwarranted invasion of personal privacy"-increased by about
    117 percent.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

    Note: All exemptions were used, although the scale in this graph makes it
    appear that exemptions 7(B), 8, and 9 were not. This scale is necessary to
    portray the large number of times that exemptions 6 and 7(C) were used.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Requests in the "not disclosed for other reasons" category reflect agency
    decisions not to release information on the basis of the following reasons
    (see attachment 3 for further details): no record responsive to the
    request, referrals to another agency, request withdrawn, fee-related
    reason, not reasonably described, not a proper

    In each of the 3 years, about 60,000 (approximately 37 percent) of these
    requests were denied because agencies had no record responsive to the
    request.

    Justice reported the greatest number of requests in the "not disclosed for
    other reasons" category, constituting an average of approximately 43
    percent of all such requests over the past 3 years.

    Between 2000 and 2001, the number of requests reported by Justice in the
    "other reasons" category dropped from about 50,000 to about 3,700;13
    therefore, the governmentwide category dropped between 2000 and 2001.

    13 The drop at Justice was due almost entirely to a change in reporting
    methodology by a single Justice Department component, the Immigration and
    Naturalization Service.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

                         FOIA Implementation Status and Trends

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    For about 80 percent of the administrative appeals processed, either the
    appeals were upheld, meaning that the agency stood by its original
    decision not to disclose any of the requested records, or the records were
    "not disclosed for other reasons." "Other reasons" are described in detail
    in attachment 3; examples include no

    fee-related reason, not reasonably described, not a proper FOIA request,
    not an agency record, and duplicate request. For these appeals, the
    requester did not obtain any of the appealed records.

    The remaining 20 percent were completely or partially reversed. This
    resulted in the requester receiving some or all of the appealed records.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

                         FOIA Implementation Status and Trends

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Agencies reported using approximately 5,000 FTEs to complete FOIA
    activities governmentwide in each year from 2000 to 2002.

    For all 3 years, Defense, Justice, and Veterans Affairs reported the
    largest number of FTE staff dedicated to handling FOIA requests. In 2000,
    the FTE figures from the

    The following slide shows total reported FTEs by agency.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

    Note: All agencies had FTEs, although the scale in this graph makes it
    appear that some did not. This scale is necessary to portray values for
    agencies with large numbers of FTEs.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Justice reports the largest FOIA costs, followed by Defense and Veterans
    Affairs.

    Note: Except for GSA in 2000, all agencies reported spending money on
    FOIA, although the scale in this graph makes it appear that some did not.
    This scale is necessary to portray values for agencies with high costs.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    There is considerable variation in the reported FTEs per request.

    Over the 3 years, Interior, the Nuclear Regulatory Commission, and State
    consistently have the highest reported FTEs per request. In 2000, the
    Environmental Protection Agency was also among the agencies with the
    highest

    The following slide compares the agencies' reported FTEs per request,
    which is the ratio of FTEs dedicated in a year to handling FOIA requests
    to the requests handled in that year, calculated from reported annual FOIA
    data.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

                         FOIA Implementation Status and Trends

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Over the past 3 years, the Nuclear Regulatory Commission and State
    consistently have had average costs per request greater than $2,500. In
    2002, the Central Intelligence Agency also had an average cost per request
    greater than $2,500.

    The chart on the following slide shows that Veterans Affairs has a low
    cost per

    The chart compares the agencies' costs per request, calculated from
    reported annual FOIA report data.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

    Note: All agencies had a cost per request above $0 (except GSA in 2000),
    although the scale in this graph makes it appear that Veterans Affairs did
    not. This scale is necessary to portray values for agencies with high
    costs per request.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Agencies reported collecting approximately $6 million in FOIA fees in
    2002. This was down from approximately $7 million in fees collected in
    2000 and 2001.

    The Social Security Administration reported collecting more in FOIA fees
    than any other agency-about $2 million (about 35 percent of all FOIA fees
    governmentwide).

    The following slide shows FOIA fees collected by agency.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

    Note: All agencies collected fees, although the scale in this graph makes
    it appear that some did not. This scale is necessary to portray values for
    agencies that collected large amounts of fees.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    To improve the public's access to government records and information, our
    March 2001 report included recommendations that Justice improve the
    reliability of agencies' data in their FOIA annual reports by providing
    guidance that addresses data quality and by further reviewing agencies'
    annual report data. Our August 2002 report echoed the recommendations of
    the March 2001 report.

    In response to our recommendations, Justice has issued supplemental
    guidance, addressed reporting requirements in its training programs, and
    continued reviewing agencies' annual reports for data quality.

    In 2002, Justice worked with agencies to improve the quality of data in
    FOIA annual reports. Mixed results were evident in three key areas:

    o 	Requests processed. Fewer agencies had data-quality problems this year
    (4 agencies) compared with the previous year (5 agencies).

    o 	Administrative appeals processed. Fewer agencies had data-quality
    problems this year (5 agencies) compared with the previous year (7
    agencies).

    o 	Pending requests. More agencies had data-quality problems this year (12
    agencies) compared with the previous year (10 agencies).

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    In 2002, four of the 25 agencies reported numbers of requests processed
    that were different from the sum of the reported number of requests
    processed by tracks (simple, complex, single, and expedited). These two
    values should be equal. The four agencies are

    o  Agriculture,

    o  Justice,

    o  Health and Human Services, and

    o  Small Business Administration.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    In 2002, five of the 25 agencies reported numbers of administrative
    appeals processed that were different from the sum of their appeals'
    dispositions (upheld, completely reversed, partially reversed, and not
    disclosed for other reasons). These two values should likewise be equal.
    The five agencies are

    o  Agriculture,

    o  Education,

    o  Energy,14

    o  Interior, and

    o  Office of Personnel Management.

    14 In commenting on a draft of this briefing, Justice officials stated the
    report they initially received from Energy did contain an error, and that
    Energy corrected this error in the final version delivered to Justice.
    However, we based our results on Energy's publicly available Adobe
    Portable Document Format (PDF) version that was on its Web site as of
    August 2003. This version of Energy's publicly posted annual report
    contained an error in the number of reported administrative appeals.
    Energy posted a corrected version of the Adobe PDF in November 2003.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    For 12 agencies in 2002, the number of pending requests reported at the
    beginning of fiscal year 2002 did not equal the number of the pending
    requests reported at the end of fiscal year 2001.

    Twelve agencies stated that the discrepancies were due to errors; for
    example,

    o  numbers were added incorrectly,

    o  errors in accounting,

    o  adjustments from the previous year, and

    o  database errors.

    The 12 agencies were Agriculture, Defense, Education, Energy,
    Environmental Protection Agency, Health and Human Services, Interior,
    Justice, State, Transportation, Treasury, and Veterans Affairs.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Three agencies made accommodations to receive electronic requests since
    October 2000.

    These agencies made accommodations to receive FOIA requests electronically
    after the attacks of September 11, 2001, and subsequent mail delays due to

    electronic submission capability was added for reasons other than these
    attacks. Specifically, the agencies stated that electronic submissions can
    save time and be easier for the requester. The three agencies were

    o  Agency for International Development,

    o  Defense, and

    o  Environmental Protection Agency.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

    Eleven agencies allowed for electronic FOIA request submissions before
    September 11, 2001:

    o Commerce

    o  Energy

    o  Education

    o  General Services Administration

    o  Housing and Urban Development

    o  National Aeronautics and Space Administration

    o  National Science Foundation

    o  Nuclear Regulatory Commission

    o  Office of Personnel Management

    o  Small Business Administration

    o  Transportation

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Eleven agencies did not allow for electronic FOIA request submissions as
    of July 2003:

    o  Agriculture

    o  Central Intelligence Agency

    o  Federal Emergency Management Agency

    o  Health and Human Services

    o  Interior  o Justice

    o  Labor

    o  Social Security Administration

    o  State

    o  Treasury

    o  Veterans Affairs

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    Overall, from 2000 to 2002, 24 agencies received and processed a decreased
    number of requests governmentwide; when Veterans Affairs is included, the
    number of requests received and processed increased. From 2000 to 2002,
    agencies also decreased the number of pending requests remaining at the
    end of each year.

    o 	Of the FOIA requests processed governmentwide, agencies granted more
    requests either totally or partially each year between 2000 and 2002.

    o 	The number of FOIA requests denied governmentwide dropped dramatically
    between 2000 and 2001 and remained low in 2002.

    In 2002, Justice worked with agencies to improve the quality of data in
    FOIA annual reports. Mixed results were evident in the number of requests
    processed, administrative appeals processed, and pending requests.

    Three agencies that allowed for electronic submission after September 11,
    2001, and subsequent anthrax attacks did not attribute the addition of
    this capability to these attacks.

                                       Appendix I
                          Update on Freedom of Information Act
                                 Implementation Status

    On October 27, 2003, the co-directors and other staff members of OIP
    provided oral comments on a draft of these briefing slides. These
    officials generally agreed with the content as presented. They also made a
    number of technical comments, which we incorporated as appropriate.

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

    o 	AID: Agency for International  o  HHS: Department of Health and Human
    Development Services

    o 	CIA: Central Intelligence Agency  o  HUD: Department of Housing and
    Urban Development

    o  DOC: Department of Commerce  o  NASA: National Aeronautics and Space

    o  Administration

    o  DOE: Department of Energy  o  NRC: Nuclear Regulatory Commission

    o  DOI: Department of the Interior  o  NSF: National Science Foundation

    o  DOJ: Department of Justice  o  OPM: Office of Personnel Management

    o  DOL: Department of Labor  o  SBA: Small Business Administration

    o  DOT: Department of Transportation  o  SSA: Social Security
    Administration

    o  ED: Department of Education  o  State: Department of State

    o  EPA: Environmental Protection Agency  o  Treasury: Department of the
    Treasury

    o 	FEMA: Federal Emergency Management  o  USDA: Department of
    AgricultureAgency (now part of Department of Homeland Security)  o  VA:
    Department of Veterans Affairs

    o  GSA: General Services Administration

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

    Appendix I
    Update on Freedom of Information Act
    Implementation Status

                                     Attachment 3:

                                  Category Definition

    No records	The agency searched and found no record responsive to the
    request.

    Referrals	The agency referred records responsive to the request to another
    agency.

    Request withdrawn The requester withdrew the request.

    Fee-related reasons	The requester refused to commit to pay fees or other
    reasons related to fees.

    Records not reasonably The requester did not describe the records sought
    with

    described	sufficient specificity to allow them to be located with a
    reasonable amount of effort.

    Not a proper FOIA request	The request was not a FOIA request for one of
    several procedural reasons.

    Not an agency record The requested record was not within the agency's
    control.

    Duplicate request	The request was submitted more than once by the same
    requester.

    Appendix II

    Agency Processing Times and Numbers of Requests Processed by Track (Attachment
    4)

    Source: FOIA annual reports for fiscal years 2000-2002 (self-reported
    data).

    Appendix II
    Agency Processing Times and Numbers of
    Requests Processed by Track (Attachment 4)

      Source: FOIA annual reports for fiscal years 2000-2002 (self-reported data).

    Appendix II
    Agency Processing Times and Numbers of
    Requests Processed by Track (Attachment 4)

      Source: FOIA annual reports for fiscal years 2000-2002 (self-reported data).

    Appendix II
    Agency Processing Times and Numbers of
    Requests Processed by Track (Attachment 4)

    Source: FOIA annual reports for fiscal years 2000-2002 (self-reported
    data).

    Appendix II
    Agency Processing Times and Numbers of
    Requests Processed by Track (Attachment 4)

                                                              Median days for
         NSF     Total requests 2000 184 2001 242 2002 254  processing request 0
                           Year                                20 100 >10050
                Number of
        Single  requests Median  184 14   242 13   254 10  10 14 13 2000 2001
                response time                              2002
                in days
                                                              Median days for
         OPM               Year   2000     2001     2002    processing request 0
                 Total requests   2716     7449     8784       20 100 >10050
                   Number of      2691      -        -
                   requests
                Median response
                time in days      25 7    7449 -     --
    Simple   Number of                                  2000 2001 2002 2000
    Complex  requests                                   2001 2002 2000 2001
    Single   Number of                                  2002 -7 --17 11 13 --_
                requests Median   17 -     11 -    -8781   _ _ _
                response time
                in days
                Median response    -        -        13
                time in days
                                                              Median days for
         SBA               Year   2000     2001     2002    processing request 0
                 Total requests   3088     2648     2117       20 100 >10050
                   Number of       -        -       2106
        Simple     requests                                _ _ 2000 2001 2002 2
                Median response    -        -        2     --
                time in days
                   Number of      3088     2640      -
        Single     requests                                2000 2001 2002 -3 2 _
                Median response    3        2        -
                time in days
                                                              Median days for
         SSA               Year   2000     2001     2002    processing request 0
                 Total requests 258,342  264,055  292,884      20 100 >10050
                   Number of    199,312   86,105  292,370
        Simple     requests                                11-18 11-45 13-31 2000
                Median response  11-45    13-31    11-18   2001 2002
                time in days
                   Number of      679      421      514
    Complex     requests                                48 42 62 2000 2001
                Median response    42       62       48    2002
                time in days
        -A dash indicates agency did not report any median time or any requests
                   for a given track. Range of median days Median day

      Source: FOIA annual reports for fiscal years 2000-2002 (self-reported data).

    Appendix II
    Agency Processing Times and Numbers of
    Requests Processed by Track (Attachment 4)

    Source: FOIA annual reports for fiscal years 2000-2002 (self-reported
    data).

    (310372)

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