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 [email protected].
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 [email protected]. 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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