Freedom of Information Act: Preliminary Analysis of Processing
Trends Shows Importance of Improvement Plans (26-JUL-06,
GAO-06-1022T).
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 help ensure appropriate
implementation, the act requires that agencies report annually to
the Attorney General, providing specific information about their
FOIA operations. In addition, a recent Executive Order directs
agencies to develop plans to improve their FOIA operations,
including, among other things, goals to reduce backlogs in FOIA
requests. GAO has reported previously on the contents of these
annual reports for 25 major agencies. For this hearing, GAO was
asked to testify both on the annual reports for fiscal year 2005
and on the recently developed improvement plans for these 25
agencies. GAO based its testimony on its ongoing work on these
topics. Upon completion of its ongoing review, GAO expects to
make recommendations to improve agency implementation of the
Executive Order, including efforts to reduce and eliminate
backlog.
-------------------------Indexing Terms-------------------------
REPORTNUM: GAO-06-1022T
ACCNO: A57484
TITLE: Freedom of Information Act: Preliminary Analysis of
Processing Trends Shows Importance of Improvement Plans
DATE: 07/26/2006
SUBJECT: Executive orders
Freedom of information
Government information
Government information dissemination
Information access
Information disclosure
Reporting requirements
Accountability
Federal agencies
Statistical data
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GAO-06-1022T
* Results in Brief
* Background
* The FOIA Process at Federal Agencies
* The Privacy Act Also Provides Individuals with Access Rights
* Roles of OMB and Justice in FOIA Implementation
* 1996 Amendments Established Annual FOIA Reports
* Increases in Requests Are Slowing, but Pending Cases Are Inc
* Most Requests Are Granted in Full
* Processing Times Vary
* Agency Pending Cases Continue to Increase
* About Half of FOIA Improvement Plans Do Not Include Goals an
* Contact and Acknowledgements
* Attachment 1: Freedom of Information Act Exemptions
* Attachment 2. Median Processing Times Reported
* Agency for International Development
* Central Intelligence Agency
* Department of Homeland Security
* Department of Commerce
* Department of Defense
* Department of Energy
* Department of the Interior
* Department of Justice
* Department of Labor
* Department of Transportation
* Department of Education
* Environmental Protection Agency
* General Services Administration
* Department of Health and Human Services
* Department of Housing and Urban Development
* National Aeronautics and Space Administration
* Nuclear Regulatory Commission
* National Science Foundation
* Office of Personnel Management
* Small Business Administration
* Social Security Administration
* Department of State
* Department of the Treasury
* Department of Agriculture
* Department of Veterans Affairs
Mr. Chairman and Members of the Subcommittee:
I appreciate the opportunity to participate in the Subcommittee's hearing
on the implementation of the Freedom of Information Act (FOIA).1 Generally
speaking, FOIA establishes that federal agencies must provide the public
with access to government information, thus enabling them to learn about
government operations and decisions. Specific requests by the public for
information through the act have led to disclosure of waste, fraud, abuse,
and wrongdoing in the government, as well as the identification of unsafe
consumer products, harmful drugs, and serious health hazards.
To help ensure appropriate implementation, the act requires that agencies
provide annual reports on their FOIA operations to the Attorney General,
including specific information such as how many requests were received and
processed in the previous fiscal year and how many requests were pending
at the end of the year. In addition, the President issued an Executive
Order2 in December 2005 that is aimed at improving agencies' disclosure of
information consistent with FOIA. Among other things, this order requires
each agency to review its FOIA operations and develop improvement plans;
by June 14, 2006, each agency was to submit a report to the Attorney
General and the Director of the Office of Management and Budget (OMB) that
summarizes the results of the agency's review and includes a copy of its
improvement plan. These plans are to include specific outcome-oriented
goals and timetables, by which the agency head is to evaluate the agency's
success in implementing the plan. The Executive Order specifically
requires that these plans address ways to eliminate or reduce any backlog
of FOIA requests.
As requested, in my remarks today, I will discuss two topics, basing my
discussion on ongoing work that we are performing for the Subcommittee:
(1) statistics on the processing of FOIA requests as reflected in
agencies' 2005 annual reports, highlighting any trends in these reports
since 2002, and (2) to what extent agencies addressed the Executive
Order's requirement to provide measurable, outcome-oriented goals to
reduce or eliminate backlog, along with timetables that include milestones
for these goals.
1 See 5 U.S.C. S: 552.
2 Executive Order 13392, Improving Agency Disclosure of Information
(Washington, D.C.: Dec. 14, 2005).
To describe statistics on the processing of FOIA requests, we analyzed
annual report data for fiscal years 2002 through 2005 from 25 major
agencies3 (herein we refer to this scope as governmentwide). To describe
how agency improvement plans addressed the order's requirements regarding
goals and timetables to address backlog, we analyzed the 22 agencies'
plans that were published as of June 30, 2006, to determine whether they
contained descriptions of activities to reduce backlog, along with goals
and timetables that could be used to evaluate progress.4 We also reviewed
the Executive Order itself, implementing guidance issued by OMB and the
Department of Justice, other FOIA guidance issued by Justice, and our past
work in this area. Three agencies, the Departments of State and Homeland
Security and the Agency for International Development, had not published
their plans by June 30, and thus we could not analyze them for this
hearing. These three agencies have since provided their plans. We
discussed the content of this statement with officials of the Department
of Justice, including the Director of the Office of Information and
Privacy.
We conducted our review in accordance with generally accepted government
auditing standards, except that we did not verify the accuracy and
reliability of the data in agencies' annual reports in time to be included
in this testimony. As a result, our findings on the status of FOIA
implementation as reflected in agencies' annual reports are preliminary
and may change when we complete our assessment of data reliability. We
performed our work from April to July 2006.
3 The agencies included are listed in table 2; these agencies are the 24
agencies covered by the Chief Financial Officers Act, plus the Central
Intelligence Agency.
4 Two GAO analysts independently analyzed each agency's plan to determine
if it contained objective goals and timetables for reducing the backlog.
When the analysts disagreed, they discussed the reasons for their
differences and arrived at a consensus.
Results in Brief
The public continues to request and receive increasing amounts of
information from the federal government through FOIA; however, excepting
one case-the Social Security Administration (SSA)-the rate of increase has
flattened in recent years.5 Based on data reported by 24 major agencies in
their annual FOIA reports, the number of requests received in fiscal year
2005 increased by 27 percent from 2002, but by only about 2.5 percent from
2004. As more requests come in, agencies also report that they have been
processing more of them-25 percent more from 2002 to 2005 (but only about
2.0 percent more than from 2004). For 87 percent of requests processed in
fiscal year 2005, agencies reported that responsive records were provided
in full to requesters. However, the number of pending requests carried
over from year to year has been steadily increasing, rising 43 percent
since 2002.6 Further, the rate of increase is growing: the increase from
fiscal year 2004 to fiscal year 2005 is 24 percent, compared to 11 percent
from 2003 to 2004. Finally, the median times to process requests varied
greatly across the government, ranging from less than 10 days for some
agency components to more than 100 days at others (sometimes much more
than 100).
Most of the agency improvement plans discussed reducing backlog, but not
all consistently followed the Executive Order or implementing guidance
provided by the Justice Department. Of the 25 agencies, 3 had not posted
their plans in time to be included in this testimony, and 1 reported no
backlog. Of the remaining 21 agencies, 12 followed the Executive Order's
instruction to establish measurable, outcome-oriented goals for reducing
or eliminating their backlogs, as well as timetables with milestones for
achieving these goals. Nine agencies did not do this, although they
accounted for a substantial portion-about 29 percent-of the requests
reported to be pending at the end of fiscal year 2005. (Most agencies did
provide goals and timetables for other kinds of objectives, however, such
as performing staffing analyses and reviewing progress.) In addition,
agencies generally did not specify the dates or numbers they were using as
the baselines for their existing backlogs, which will be important for
measuring improvement. GAO's ongoing work suggests that factors
contributing to these deficiencies include difficulties in coordinating
responses among components in large, decentralized agencies and
limitations in the systems that track FOIA processing. In addition,
neither the Executive Order nor Justice guidance established a baseline
date for measuring the backlog or directed agencies to establish such a
date. Without clearly defined baselines, specific objectives, and
timetables for reducing backlog, it could be challenging for agency heads,
Justice, and the Congress to measure progress in improving FOIA processes,
as intended by the Executive Order.
5 We exclude SSA's statistics from our discussion of requests received,
requests processed, and their disposition, because a change in the
agency's counting methodology resulted in a report of over 17 million
requests for fiscal year 2005, for a jump of about 16 million from the
year before. Including these statistics in the governmentwide data would
obscure year-to-year comparisons. This issue is discussed further on page
15 of this statement.
6 These statistics include numbers reported by SSA, because they are not
affected by the approximately 17 million requests mentioned in footnote 5,
for which SSA does not keep statistics on processing times or pending
requests.
When we complete our ongoing review and analysis of FOIA statistics and
agency improvement plans, we anticipate making recommendations to improve
agency implementation of the Executive Order, including efforts to reduce
and eliminate backlog.
Background
FOIA establishes a legal right of access to government records and
information, on the basis of the principles of openness and accountability
in government. Before the act (originally enacted in 1966),7 an individual
seeking access to federal records had faced the burden of establishing a
right to examine them. FOIA established a "right to know" standard for
access, instead of a "need to know," and shifted the burden of proof from
the individual to the government agency seeking to deny access.
7 The act has been amended several times.
FOIA provides the public with access to government information either
through "affirmative agency disclosure"-publishing information in the
Federal Register or the Internet, or making it available in reading
rooms-or in response to public requests for disclosure. Public requests
for disclosure of records are the best known type of FOIA disclosure. Any
member of the public may request access to information held by federal
agencies, without showing a need or reason for seeking the information.
Not all information held by the government is subject to FOIA. The act
prescribes nine specific categories of information that are exempt from
disclosure: for example, trade secrets and certain privileged commercial
or financial information, certain personnel and medical files, and certain
law enforcement records or information (attachment 1 provides the complete
list). In denying access to material, agencies may cite these exemptions.
The act requires agencies to notify requesters of the reasons for any
adverse determination (that is, a determination not to provide records)
and grants requesters the right to appeal agency decisions to deny access.
In addition, agencies are required to meet certain time frames for making
key determinations: whether to comply with requests (20 business days from
receipt of the request), responses to appeals of adverse determinations
(20 business days from filing of the appeal), and whether to provide
expedited processing of requests (10 business days from receipt of the
request). Congress did not establish a statutory deadline for making
releasable records available, but instead required agencies to make them
available promptly.
The FOIA Process at Federal Agencies
Although the specific details of processes for handling FOIA requests vary
among agencies, the major steps in handling a request are similar across
the government. Agencies receive requests, usually in writing (although
they may accept requests by telephone or electronically), which can come
from any organization or member of the public. Once received, the request
goes through several phases, which include initial processing, searching
for and retrieving responsive records, preparing responsive records for
release, approving the release of the records, and releasing the records
to the requester. Figure 1 is an overview of the process, from the receipt
of a request to the release of records.
Figure 1: Overview of Generic FOIA Process
During the initial processing phase, a request is logged into the agency's
FOIA system, and a case file is started. The request is then reviewed to
determine its scope, estimate fees, and provide an initial response to the
requester (in general, this simply acknowledges receipt of the request).
After this point, the FOIA staff begins its search to retrieve responsive
records. This step may include searching for records from multiple
locations and program offices. After potentially responsive records are
located, the documents are reviewed to ensure that they are within the
scope of the request.
During the next two phases, the agency ensures that appropriate
information is to be released under the provisions of the act. First, the
agency reviews the responsive records to make any redactions based on the
statutory exemptions. Once the exemption review is complete, the final set
of responsive records is turned over to the FOIA office, which calculates
appropriate fees, if applicable. Before release, the redacted responsive
records are then given a final review, possibly by the agency's general
counsel, and then a response letter is generated, summarizing the agency's
actions regarding the request. Finally, the responsive records are
released to the requester.
Some requests are relatively simple to process, such as requests for
specific pieces of information that the requester sends directly to the
appropriate office. Other requests may require more extensive processing,
depending on their complexity, the volume of information involved, the
need for the agency FOIA office to work with offices that have relevant
subject-matter expertise to find and obtain information, the need for a
FOIA officer to review and redact information in the responsive material,
the need to communicate with the requester about the scope of the request,
and the need to communicate with the requester about the fees that will be
charged for fulfilling the request (or whether fees will be waived).8
Specific details of agency processes for handling requests vary, depending
on the agency's organizational structure and the complexity of the
requests received. While some agencies centralize processing in one main
office, other agencies have separate FOIA offices for each agency
component and field office. Agencies also vary in how they allow requests
to be made. Depending on the agency, requesters can submit requests by
telephone, fax, letter, or e-mail or through the Web. In addition,
agencies may process requests in two ways, known as "multitrack" and
"single track." Multitrack processing involves dividing requests into two
groups: (1) simple requests requiring relatively minimal review, which are
placed in one processing track, and (2) more voluminous and complex
requests, which are placed in another track. In contrast, single-track
processing does not distinguish between simple and complex requests. With
single-track processing, agencies process all requests on a
first-in/first-out basis. Agencies can also process FOIA requests on an
expedited basis when a requester has shown a compelling need or urgency
for the information.
As agencies process FOIA requests, they generally place them in one of
four possible disposition categories: grants, partial grants, denials, and
"not disclosed for other reasons." These categories are defined as
follows:
8 Fees may be waived when requests are determined to be in the public
interest.
0M Grants: Agency decisions to disclose all requested records in
full.
0M Partial grants: Agency decisions to withhold some records in
whole or in part, because such information was determined to fall
within one or more exemptions.
0M Denials: 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 statutory exemptions.
0M Not disclosed for other reasons: Agency decisions not to
release requested information for any of a variety of reasons
other than statutory exemptions from disclosing records. The
categories and definitions of these "other" reasons for
nondisclosure are shown in table 1.
Table 1: "Other" Reasons for Nondisclosure
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
described sought with 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.
Source: Department of Justice.
When a FOIA request is denied in full or in part, or the requested records
are 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.
The Privacy Act Also Provides Individuals with Access Rights
In addition to FOIA, the Privacy Act of 19749 includes provisions granting
individuals the right to gain access to and correct information about
themselves held by federal agencies. Thus the Privacy Act serves as a
second major legal basis, in addition to FOIA, for the public to use in
obtaining government information. The Privacy Act also places limitations
on agencies' collection, disclosure, and use of personal information.
Although the two laws differ in scope, procedures in both FOIA and the
Privacy Act permit individuals to seek access to records about
themselves-known as "first-party" access. Depending on the individual
circumstances, one law may allow broader access or more extensive
procedural rights than the other, or access may be denied under one act
and allowed under the other. Consequently, the Department of Justice's
Office of Information and Privacy issued guidance that it is "good policy
for agencies to treat all first-party access requests as FOIA requests (as
well as possibly Privacy Act requests), regardless of whether the FOIA is
cited in a requester's letter." This guidance was intended to help ensure
that requesters receive the fullest possible response to their inquiries,
regardless of which law they cite.
In addition, Justice guidance for the annual FOIA report directs agencies
to include Privacy Act requests (that is, first-party requests) in the
statistics reported. According to the guidance, "A Privacy Act request is
a request for records concerning oneself; such requests are also treated
as FOIA requests. (All requests for access to records, regardless of which
law is cited by the requester, are included in this report.)"
Although FOIA and the Privacy Act can both apply to first-party requests,
such requests are not in many cases processed in the same way as described
earlier for FOIA requests. For example, most SSA first-party requests are
processed by staff other than FOIA staff, specifically, staff in SSA's
field and district offices and teleservice centers.10
9 See 5 U.S.C. S: 552a.
Roles of OMB and Justice in FOIA Implementation
OMB and the Department of Justice both have roles in the implementation of
FOIA. The act requires OMB to issue guidelines to "provide for a uniform
schedule of fees for all agencies."11 OMB issued this guidance in April
1987.12
The Department of Justice oversees agencies' compliance with FOIA and is
the primary source of policy guidance for agencies. Specifically,
Justice's requirements under the act are to
0M make agencies' annual FOIA reports available through a single
electronic access point and notify Congress as to their
availability;
0M in consultation with OMB, develop guidelines for the required
annual agency reports, so that all reports use common terminology
and follow a similar format; and
0M submit an annual report on FOIA statistics and the efforts
undertaken by Justice to encourage agency compliance.
Within the Department of Justice, the Office of Information and
Privacy has lead responsibility for providing guidance and support
to federal agencies on FOIA issues. This office first issued
guidelines for agency preparation and submission of annual reports
in the spring of 1997. It also periodically issues additional
guidance on annual reports as well as on compliance, provides
training, and maintains a counselors service to provide expert,
one-on-one assistance to agency FOIA staff. Further, the Office of
Information and Privacy also makes a variety of FOIA and Privacy
Act resources available to agencies and the public via the Justice
Web site and on-line bulletins.
10 According to SSA, its field organization is decentralized to provide
services at the local level, and includes 10 regional offices, 6
processing centers, and approximately 1500 field offices.
11 This provision was added by the Freedom of Information Reform Act of
1986 (Pub. L. 99-570).
12 See OMB, Uniform Freedom of Information Act Fee Schedule and
Guidelines, 52 FR 10011 (Mar. 27, 1987), effective April 27, 1987. Also in
1987, the Department of Justice issued guidelines on waiving fees when
requests are determined to be in the public interest. Under the
guidelines, requests for waivers or reduction of fees are to be considered
on a case-by-case basis, taking into account both the public interest and
the requester's commercial interests.
1996 Amendments Established Annual FOIA Reports
In 1996, the Congress amended FOIA to provide for public access to
information in an electronic format (among other purposes). These
amendments, referred to as e-FOIA, also required 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.13 The following are examples of information that is to be
included in these reports:
0M number of requests received, processed, and pending;
0M median number of days taken by the agency to process different
types of requests;
0M determinations made by the agency not to disclose information
and the reasons for not disclosing the information;
0M disposition of administrative appeals by requesters;
0M information on the costs associated with handling of FOIA
requests; and
0M full-time-equivalent staffing information.
In addition to providing their annual reports to the Attorney
General, agencies are to make them available to the public in
electronic form. The Attorney General is required to make all
agency reports available on line at a single electronic access
point and report to Congress no later than April 1 of each year
that these reports are available in electronic form.
In 2001, we prepared the first in a series of reports on the
implementation of the 1996 amendments to FOIA, starting from
fiscal year 1999.14 In this and subsequent reviews, we examined
the contents of these annual reports for 25 major agencies (shown
in table 2).15 They include the 24 major agencies covered by the
Chief Financial Officers Act, as well as the Central Intelligence
Agency and, until 2003, the Federal Emergency Management Agency
(FEMA). In 2003, the creation of the Department of Homeland
Security (DHS), which incorporated FEMA, led to a shift in some
FOIA requests from agencies affected by the creation of the new
department, but the same major component entities are reflected in
all the years reviewed.
Table 2: Agencies Reviewed
Source: GAO.
a FEMA information was reported separately in fiscal year 2002. In
fiscal years 2003, 2004, and 2005, FEMA was part of DHS.
13 5 U.S.C.S: 552(e).
14 GAO, Information Management: Progress in Implementing the 1996
Electronic Freedom of Information Act Amendments, GAO-01-378 (Washington,
D.C.: Mar. 16, 2001).
15 GAO, Information Management: Update on Implementation of the 1996
Electronic Freedom of Information Act Amendments, GAO-02-493 (Washington,
D.C.: Aug. 30, 2002); Information Management: Update on Freedom of
Information Act Implementation Status, GAO-04-257 (Washington, D.C.: Feb.
18, 2004); and Information Management: Implementation of the Freedom of
Information Act, GAO-05-648T (Washington, D.C.: May 11, 2005).
Agency Abbreviation
Agency for International Development AID
Central Intelligence Agency CIA
Department of Agriculture USDA
Department of Commerce DOC
Department of Defense DOD
Department of Education ED
Department of Energy DOE
Department of Health and Human Services HHS
Department of Homeland Security a DHS
Federal Emergency Management Agency a FEMA
Department of Housing and Urban Development HUD
Department of Interior DOI
Department of Justice DOJ
Department of Labor DOL
Department of State State
Department of the Treasury Treas
Department of Transportation DOT
Department of Veterans Affairs VA
Environmental Protection Agency EPA
General Services Administration GSA
National Aeronautics and Space Administration NASA
National Science Foundation NSF
Nuclear Regulatory Commission NRC
Office of Personnel Management OPM
Small Business Administration SBA
Social Security Administration SSA
Increases in Requests Are Slowing, but Pending Cases Are Increasing
The annual FOIA reports for fiscal year 2005 show that many of the trends
of previous years are continuing: Requests received and processed continue
to rise; however, excepting one case-SSA-the rate of increase has
flattened in recent years. We present SSA's statistics separately because
the agency reported an additional 16 million requests in 2005, dwarfing
those for all other agencies combined, which together total about 2.6
million. SSA attributed this rise to an improvement in its method of
counting requests. Justice officials have raised questions about the
inclusion of these numbers in FOIA statistics.
Figure 2 shows total requests reported governmentwide for fiscal years
2002 through 2005, with SSA's share shown separately. This figure shows
the magnitude of SSA's contribution to the whole FOIA picture, as well as
the scale of the jump from 2004 to 2005.
Figure 2: Total FOIA Requests with SSA Shown Separately, Fiscal Years
2002-2005
Figure 3 presents these statistics on a scale that allows a clearer view
of the rate of increase in FOIA requests received and processed in the
rest of the government. As this figure shows, when SSA's numbers are
excluded, the rate of increase is modest and has been flattening: from
fiscal year 2002 to 2005, requests received increased by about 27 percent,
and requests processed increased by about 25 percent. From fiscal year
2004 to 2005, requests received increased about 2.5 percent, and requests
processed increased about 2.0 percent.
Figure 3: Total FOIA Requests and FOIA Requests Processed, Fiscal Years
2002-2005
According to SSA, the increases that the agency reported in fiscal year
2005 can be attributed to an improvement in its method of counting a
category of requests it calls "simple requests handled by non-FOIA staff."
In the past 4 years, SSA's FOIA reports have consistently shown
significant growth in this category, which has accounted for the major
portion of all SSA requests reported (see table 3). In each of these
years, SSA has attributed the increases in this category largely to better
reporting, as well as actual increases in requests.
Table 3: Comparison of SSA's Simple Requests Handled by Non-FOIA Staff to
Totals, Fiscal Years 2002 to 2005
Simple requests Percentage of
Fiscal Total requests Total requests handled by non-FOIA total processed
year received processed staff
2005 17,257,886 17,262,315 17,223,713 99.8
2004 1,453,619 1,450,493 1,270,512 87.6
2003 705,280 704,941 678,849 96.3
2002 268,488 292,884 245,877 84.0
Sources: SSA FOIA reports (self-reported data), GAO analysis.
SSA describes requests in this category as typically being requests by
individuals for access to their own records, or else requests in which
individuals consent for SSA to supply information about themselves to
third parties (such as insurance and mortgage companies) so that they can
receive housing assistance, mortgages, disability insurance, and so on.16
According to SSA's FOIA report, these requests are handled by personnel in
about 1,500 locations in SSA, including field and district offices and
teleservice centers. Such requests are almost always granted,17 according
to SSA, and most receive immediate responses. SSA has stated that it does
not keep processing statistics (such as median days to process) on these
requests, which it reports separately from other FOIA requests (for which
processing statistics are kept).
According to SSA, in fiscal year 2005, the agency began to use automated
systems to capture the numbers of requests processed by non-FOIA staff,
generating statistics automatically as requests were processed; the
result, according to SSA, is a much more accurate count. However, Justice
officials have suggested that SSA consider treating the bulk of these
requests as non-FOIA requests and thus not include them in future reports.
16 According to SSA officials, most of these simple requests are for
essentially the same types of information, such as copies of earnings
records and verifications of monthly benefit amounts or Social Security
numbers. The agency considers these requests to be covered by the Privacy
Act and by FOIA; requests covered by both acts are to be reported in
agencies' annual FOIA reports.
17 Denials can occur in the case of discrepancies in the requests, such as
incorrect Social Security numbers, for example.
Besides SSA, agencies reporting large numbers of requests received were
the Departments of Agriculture, Defense, Health and Human Services,
Homeland Security, Justice, the Treasury, and Veterans Affairs, as shown
in table 4. The rest of the agencies combined account for only about 3
percent of the total requests received (if SSA is excluded). Table 4
presents, in descending order of request totals, the numbers of requests
received and percentages of the total (calculated with and without SSA's
statistics).
Table 4: Requests Received, Fiscal Year 2005
Percentage of total Percentage of total
Agency Total including SSA excluding SSA
SSA 17,257,886 86.78 -
VA 1,914,395 9.63 72.81
HHS 222,372 1.12 8.46
DHS 163,016 0.82 6.20
DOD 81,304 0.41 3.09
Treas 53,330 0.27 2.03
DOJ 52,010 0.26 1.98
USDA 51,516 0.26 1.96
DOL 23,505 0.12 0.89
EPA 12,201 0.06 0.46
OPM 12,085 0.06 0.46
DOT 9,597 0.05 0.37
DOI 6,749 0.03 0.26
State 4,602 0.02 0.18
HUD 4,227 0.02 0.16
SBA 3,739 0.02 0.14
DOE 3,729 0.02 0.14
CIA 2,935 0.01 0.11
ED 2,416 0.01 0.09
DOC 1,804 0.01 0.07
GSA 1,416 0.01 0.05
NASA 1,229 0.01 0.05
NRC 371 0.00 0.01
AID 369 0.00 0.01
NSF 273 0.00 0.01
Total excluding 2,629,190 - -
SSA
Total including 19,887,076 - -
SSA
Source: FOIA annual reports for 2005 (self-reported data).
Note: Abbreviations are as in table 2.
Most Requests Are Granted in Full
Most FOIA requests in 2005 were granted in full, with relatively few being
partially granted, denied, or not disclosed for other reasons (statistics
are shown in table 5). This generalization holds with or without SSA's
inclusion. However, including SSA's numbers in the proportion of grants
overwhelms the other categories-raising this number from 87 percent of the
total to 98 percent. This is to be expected, since SSA reports that it
grants the great majority of its simple requests handled by non-FOIA
staff, which make up the bulk of SSA's statistics.
Table 5: Disposition of Processed Requests for Fiscal Year 2005
Statistics excluding SSA Statistics including SSA
Disposition Number Percentage Number Percentage
Full grants 2,252,867 87.2 19,513,259 98.3
Partial grants 104,356 4.0 104,631 0.5
Denial 20,949 0.8 21,403 0.1
Not disclosed for other 206,699 8.0 207,893 1.1
reasons
Total 2,584,871 19,847,186
Source: FOIA annual reports for 2005 (self-reported data).
Four of the eight agencies that handled the largest numbers of requests
(HHS, SSA, USDA, and VA; see table 4) also granted the largest percentages
of requests in full, as shown in figure 4. This figure shows, by agency,
the disposition of requests processed: that is, whether granted in full,
partially granted, denied, or not disclosed for the "other" reasons shown
in table 1.
Figure 4: Disposition of Processed Requests, by Agency (Fiscal Year 2005)
Note: Abbreviations are shown in table 2.
As the figure shows, the numbers of fully granted requests varied widely
among agencies in fiscal year 2005. Seven agencies made full grants of
requested records in over 80 percent of the cases they processed (besides
the four already mentioned, these include DOE, OPM, and SBA). In
contrast, 13 of 25 made full grants of requested records in less than 40
percent of their cases, including 3 agencies (CIA, NSF, and State) that
made full grants in less than 20 percent of cases processed.
This variance among agencies in the disposition of requests has been
evident in prior years as well.18 In many cases, the variance can be
accounted for by the types of requests that different agencies process.
For example, as discussed earlier, SSA grants a very high proportion of
requests because they are requests for personal information about
individuals that are routinely made available to or for the individuals
concerned. Similarly, VA routinely makes medical records available to
individual veterans.
Processing Times Vary
For 2005, the reported time required to process requests (by track) varied
considerably among agencies. Table 6 presents data on median processing
times for fiscal year 2005. For agencies that reported processing times by
component rather than for the agency as a whole, the table indicates the
range of median times reported by the agency's components.
18 See GAO, 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 Freedom of
Information Act Implementation Status, GAO-04-257 (Washington, D.C.: Feb.
18, 2004).
Table 6: Median Days to Process Requests for Fiscal Year 2005, by Track
Type of request processing track
Agency Simple Complex Single Expedited
AID - - 55 34
CIA 7 68 - -
DHS 16-61 3-242 - 2-45
DOC 12 40 - 8
DOD 16 85 - -
DOE 5-106 10-170 - 1-12
DOI 2-43 28-89 - 1-15
DOJ 0-139 12-863 - 2-185
DOL 6-30 14-60 - 2-18
DOT 1-30 20-134 - 5-30
ED 35 66 - 24
EPA 13-32 4-166 - 8-109
GSA - 14 - -
HHS 10-26 60-370 5-173 14-158
HUD 21-65 35-160 - 9-70
NASA 19 49 - 15
NRC 12 75 - 20
NSF - - 14 -
OPM - - 14 1
SBA - - 7 -
SSA 15 39 10 17
State 14 142 - 136
Treas 2-86 3-251 - 1
USDA 2-90 10-1277 - 1-40
VA - 1-60 - 1-10
Source: FOIA annual reports for fiscal years 2005 (self-reported data).
Note: For agencies that reported processing times by component, the table
indicates the range of reported component median times. A dash indicates
that the agency did not report any median time for a given track in a
given year.
As the table shows, eight agencies had components that reported processing
simple requests in less than 10 days (these components are part of the
CIA, Energy, the Interior, Justice, Labor, Transportation, the Treasury,
and USDA); for each of these agencies, the lower value of the reported
ranges is less than 10. On the other hand, median time to process simple
requests is relatively long at some organizations (for example, components
of HHS, Justice, and USDA, as shown by median ranges whose upper end
values are greater than 100 days).
For complex requests, the picture is similarly mixed. Components of four
agencies (EPA, DHS, the Treasury, and VA) reported processing complex
requests quickly-with a median of less than 10 days. In contrast, other
components of several agencies (DHS, Energy, EPA, HHS, HUD, Justice,
State, Transportation, the Treasury, and USDA) reported relatively long
median times to process complex requests, with median days greater than
100.
Six agencies (AID, HHS, NSF, OPM, SBA, and SSA) reported using
single-track processing. The median processing times for single-track
processing varied from 5 days (at an HHS component) to 173 days (at
another HHS component).
The changes from fiscal year 2004 to 2005 also vary. For agencies that
reported agencywide figures, table 7 shows how many showed increased or
decreased median processing times. Table 8 shows these numbers for the
components that were reported separately.
Table 7: Changes in Median Processing Times Reported by Agencies for
Different Processing Tracks
Agencies Agencies
with with
Number of Agencies with decreased unchanged
agencies increased median median
Processing using this median times times times
track track Number % Number % Number %
Simple 7 3 42.9 3 42.9 1 14.3
Complex 8 5 62.5 2 25.0 1 12.5
Single 5 3 60.0 2 40.0 0 0.0
Expedited 5 2 40.0 3 60.0 0 0.0
Sources: Annual FOIA reports, GAO analysis.
Table 8: Changes in Median Processing Times Reported by Components for
Different Processing Tracks
Components Components
Components with with
Number of with decreased unchanged
components increased median median
Processing using this median times times times
track track Number % Number % Number %
Simple 122 57 46.7 46 37.7 19 15.6
Complex 105 52 49.5 44 41.9 9 8.6
Single 9 3 33.3 2 22.2 4 44.4
Expedited 43 25 58.1 13 30.2 5 11.6
Sources: Annual FOIA reports, GAO analysis.
Note: A total of 204 components are listed in the FOIA reports. Not all
the components processed requests or used all the tracks.
These tables show that no one pattern emerges across tracks and types of
reporting, and the numbers of agencies and components involved vary from
track to track. The picture that emerges is of great variation according
to circumstances.
To allow more insight into the variations in median processing times, we
provide in attachment 2 tables of median processing times as reported by
agencies and components in the annual FOIA reports in fiscal years 2004
and 2005. This attachment also includes information on the number of
requests reported by the agencies and components, which provides context
for assessing the median times reported.
Agency Pending Cases Continue to Increase
In addition to processing greater numbers of requests, many agencies (11
of 25) also reported that their numbers of pending cases-requests carried
over from one year to the next-have increased since 2002. In 2002, pending
requests governmentwide were reported to number about 140,000, whereas in
2005, about 200,000-43 percent more-were reported. In addition, the rate
of increase grew in fiscal year 2005, rising 24 percent from fiscal year
2004, compared to 11 percent from 2003 to 2004. Figure 5 shows these
results, illustrating the accelerating rate at which pending cases have
been increasing.
These statistics include pending cases reported by SSA, because as the
figure shows, these pending cases do not change the governmentwide picture
significantly. As previously discussed, SSA's pending cases do not include
simple requests handled by non-FOIA staff, for which SSA does not keep
these statistics.
Figure 5: Total FOIA Requests Pending at End of Year, 2002-2005
Trends for individual agencies show mixed progress in reducing the number
of pending requests reported from 2002 to 2005-some agencies have
decreased numbers of pending cases, while others' numbers have increased.
Figure 6 shows processing rates at the 25 agencies (that is, the number of
requests that an agency processes relative to the number it receives).
Eight of the 25 agencies (AID, DHS, the Interior, Education, HHS, HUD,
NSF, and OPM) reported processing fewer requests than they received each
year for fiscal years 2003, 2004, and 2005; 8 additional agencies
processed less than they received in two of these three years.
In contrast, two agencies (CIA and DOE) had processing rates above 100
percent in all three years, meaning that each made continued progress in
reducing their numbers of pending cases. Fifteen additional agencies were
able to make at least a small reduction in their numbers of pending
requests in 1 or more years between fiscal years 2003 and 2005.
Figure 6: Agency Processing Rate for 25 Agencies
Notes: Abbreviations are as in table 2.
The agency processing rate is defined as the number of requests processed
in a given year compared with the requests received, expressed as a
percentage.
In 2002, FEMA data were used, and for 2003, 2004, and 2005, DHS data were
used.
About Half of FOIA Improvement Plans Do Not Include Goals and Timetables for
Reducing the Backlog
The Executive Order, with its requirement for agencies to develop FOIA
improvement plans, serves to focus agency managers' attention on the
important role that FOIA plays in keeping citizens well informed about the
operations of their government. By requiring measurable goals and
timetables, the Executive Order provides for a results-oriented framework
by which agency heads can hold officials accountable for improvements in
FOIA processing. Further, the Department of Justice's guidance on
implementing the order provides several tangible suggestions for improving
FOIA operations.
The Executive Order states that each agency shall develop an improvement
plan by June 14, 2006, that includes measurable, outcome-oriented goals to
reduce or eliminate backlog,19 along with timetables that include
milestones for these goals. According to this guidance, the goals and
milestones in agency plans should focus on outcomes that are measurable
and demonstrate whether or not intended results are being achieved.20
Justice's implementation guidance directs agencies to include "means of
measurement of success (e.g., quantitative assessment of backlog reduction
expressed in numbers of pending requests, percentages, or working days)"
and provides agencies considerable leeway in choosing measures of
timeliness.21
19 The Executive Order refers to "requests for records [that] have not
been responded to within the statutory time limit (backlog)." The statute
sets a time limit of 20 business days for agencies to determine whether to
comply with a FOIA request. The law does not set a specific deadline for
providing releasable records (although it does require agencies to make
them available promptly), but in practice, agencies generally respond to
requesters in one step-by providing or denying records-rather than in two
steps-notifying requesters of their determination of whether to comply and
if so providing records. In keeping with this practice, agencies have
interpreted the Executive Order as referring to responses that provide or
deny records, rather than responses providing a determination.
Justice officials told us in 2001 that, as a practical matter, they
consider the FOIA requirement to report data on median processing days to
be the basis for measuring compliance with the 20-day requirement. GAO,
Information Management: Progress in Implementing the 1996 Electronic
Freedom of Information Act Amendments, GAO-01-378 (Washington, D.C.: Mar.
16, 2001).
20 The Executive Order states that plans shall include "specific
activities that the agency will implement to eliminate or reduce the
agency's FOIA backlog," as well as "concrete milestones, with specific
timetables and outcomes to be achieved;" these milestones will be such
that they can be used to "measure and evaluate the agency's success in the
implementation of the plan."
Most of the 22 agency plans available as of June 30 discussed reducing
backlog, but not all consistently followed the Executive Order directions
by establishing goals and timetables for reducing or eliminating their
backlog. In all, 12 of the 21 agencies that reported a backlog included
such goals and timetables, but the remaining 9 did not do so. (The Small
Business Administration did not report a backlog.) These 9 agencies
accounted for about 29 percent of the almost 200,000 requests pending at
the end of fiscal year 2005 that were reported in the annual FOIA reports.
Table 9 summarizes the results of our analysis.
21 According to Justice's guidance, "Agencies should consider a number of
measures of timeliness, including number of pending requests, median
processing times, average processing times (in addition, if that is
feasible), number of requests processed in a year, duration of oldest
pending requests, etc." "In determining such appropriate measurements,
agencies should be able to carefully determine which ones best fit their
individual circumstances, which can vary greatly from one agency to
another."
Table 9: Inclusion in Agency FOIA Improvement Plans of Both Outcomes and
Associated Milestones for Reducing Backlog
Milestones
Agency Outcome-oriented goals related to goals Comment
AID - - Plan not provided in
time for analysis
CIA Yes Yes -
DHS - - Plan not provided in
time for analysis
DOC No No Process goals and
timetable only
DOD No No Process goals and
timetable only
DOE Yes Yes -
DOI Yes Yes -
DOJ Yes Yes -
DOL No No Process goals and
timetable only
DOT Yes Yes -
ED Yes Yes -
EPA Yes Yes -
GSA No No Backlog reduction not
part of improvement plan
HHS Yes Yes -
HUD Yes Yes -
NASA No No Backlog reduction not
part of improvement plan
NRC Yes Yes -
NSF No No Process goals and
timetable only
OPM Yes Yes -
SBA - - No backlog
SSA Yes No Timetable did not
include milestones for
outcome, only for
processes
State - - Plan not provided in
time for analysis
Treas Yes Yes -
USDA No a No a -
VA No No Process goals and
timetable only
Total yes 13 12
Source: GAO analysis of agency FOIA improvement plans.
a USDA provided objectives and timetables by component. Only the Office of
Inspector General included outcomes and timetables.
As table 9 shows, 13 agencies included goals, but 1 of these (SSA) did not
include a timetable associated with its goal.
The goals chosen by the 13 agencies varied. For example, OPM's plan set a
goal of reducing and eliminating the agency's backlog by December 31,
2006. EPA's goal was to reduce its response backlog to less than 10
percent of the number of new FOIA requests received each year. Several
agencies set goals to reduce backlog to various percentages of their
current backlog (for example, the CIA, Energy, the Interior, Justice, and
the Treasury). HUD set an absolute goal of fewer than 400 pending
requests.
Although the remaining 8 agency plans discussed efforts to improve FOIA
processing, they did not contain goals for backlog reduction. In two cases
(GSA and NASA), agencies did not include such goals because they did not
include backlog reduction among the areas of improvement on which they
planned to focus. These agencies did not consider their backlogs
significant; nonetheless, the Executive Order specifically instructed
agencies to include goals and timetables to address backlog.
In other cases, agencies did address backlog reduction but did not define
goals. Many of these agencies did define process goals, such as
establishing means to monitor and report on backlog, reviewing current
processes, and identifying and reviewing tracking systems, but these were
not accompanied by goals for backlog reduction:
0M For example, the Department of Commerce's plan stated that, to
the extent possible, its components would use current backlog
numbers as a ceiling (these generally range from 9 to 13 percent
of the workload) and work aggressively to reduce these numbers,
focusing particularly on the 10 oldest requests in each
component's backlog. However, although the plan provided milestone
dates for FOIA officers to review progress in this area and assess
any need to pursue alternatives (such as contract support) for
achieving goals, the plan did not provide measurable targets for
assessing success, such as percentage of reduction.
0M Similarly, the Department of Defense set various process goals
(identifying those FOIA Offices with backlogs greater than 50
cases, determining the staffing levels required to significantly
reduce the backlog, and seeking the necessary funding to provide
this additional staffing). However, it provided no measurable
targets for reducing backlog.
In the timetables that agencies provided in their plans, 12
agencies provided milestones for goals that they had identified.
As mentioned earlier, one agency (SSA) did not include a milestone
for its goal of eliminating backlog. SSA provided instead a
timetable that addressed process goals: reorganizing its Office of
Public Disclosure and developing a new information system. Like
SSA, several agencies provided timetables for various activities
that they included in their plans to reduce backlog, but these did
not include milestones for outcome-oriented goals (for example,
Defense provided milestones for the process goals described
above).
In addition to setting goals and milestones for those goals, in
order to demonstrate that goals are achieved, plans should also
include baselines against which results can be measured. In the
case of backlog, these numbers can differ from day to day, so
specifying a baseline is crucial. Baselines can be defined on the
basis of a date from which an agency intends to measure, the
number it is using as its baseline, or both. Publicly available
baselines are important to promote accountability as well as the
transparency of government processes.
However, most of the agency improvement plans do not clearly
define baselines for their existing backlogs. An exception was
OPM: in describing its goal to eliminate backlog by December 31,
2006, it specified its present backlog as 107 requests. Similarly,
the Department of Education referred to measuring its success in
terms of having fewer open cases at the end of each year, based on
a backlog that it specified as 480 as of June 2, 2006. In other
cases, agencies did not specify whether they planned to measure
from the date of their plans, from the end of fiscal year 2005, or
from some other baseline. Some agencies did, however, describe
plans to perform analyses that would measure their backlogs so
that they could then establish the necessary baselines.
Our ongoing work suggests that factors contributing to these
deficiencies included difficulties in coordinating responses among
components in large decentralized agencies and limitations in the
way that agency systems track FOIA processing. In addition,
neither the Executive Order nor Justice guidance established a
baseline date for measuring the backlog or directed agencies to
establish such a baseline. Uncertainty regarding defined baselines
could hinder the measurement of progress in reducing backlog.
Without clearly defined baselines, specific objectives, and
timetables for reducing backlog, the risk is that agency heads,
Justice, the Congress, and the public could be hampered in
determining whether and how well agencies have achieved the
Executive Order's aims of improving FOIA processing and agency
disclosure of information.
When we complete our ongoing review and analysis, we expect to
make recommendations aimed at improving agency implementation of
the Executive Order, including efforts to reduce and eliminate
backlog.
In summary, FOIA continues to be a valuable tool for citizens to
obtain information about the operation and decisions of the
federal government. Since 2002, agencies have received increasing
numbers of requests and have also continued to increase the number
of requests that they process. In addition, agencies continue to
grant most requests in full. However, the rate of increase in
pending requests is accelerating.
Given these continuing trends, the President's Executive Order
creates, among other things, a renewed, results-oriented emphasis
on improving request processing and reducing the backlog of
pending requests. However, our ongoing work suggests that agencies
are not yet fully complying with the order's requirements for
measurable, outcome-oriented goals and associated timetables. In
addition, agencies have not all established clear baselines for
their existing backlogs. Without a baseline measurement and
tangible steps for addressing the accumulation of pending cases,
the heads of these agencies may be limited in their ability to
measure and evaluate success in implementing their plans as the
President's order requires. Accordingly, in moving forward, it
will be important for Justice and the agencies to continue to
refine these plans so that the goal of reducing backlogs can be
fully realized and the federal government can remain responsive to
citizen needs. When we complete our ongoing work, we expect to
provide recommendations to help move this process forward.
Mr. Chairman, this completes my prepared statement. I would be
happy to respond to any questions you or other Members of the
Subcommittee may have at this time.
Contact and Acknowledgements
If you should have questions about this testimony, please contact me at
(202) 512-6240 or via e-mail at [email protected] . Other major contributors
included Barbara Collier, Vernetta Marquis, Alan Stapleton, Shawn Ward,
and Elizabeth Zhao.
Attachment 1: Freedom of Information Act Exemptions
The act prescribes nine specific categories of information that is exempt
from disclosure:
Exemption number Matters that are exempt from FOIA
(1) (A) Specifically authorized under criteria established by
an Executive Order to be kept secret in the interest of
national defense or foreign policy and (B) are in fact
properly classified pursuant to such Executive Order.
(2) Related solely to the internal personnel rules and
practices of an agency.
(3) Specifically exempted from disclosure by statute (other
than section 552b of this title), provided that such
statute (A) requires that matters be withheld from the
public in such a manner as to leave no discretion on the
issue, or (B) establishes particular criteria for
withholding or refers to particular types of matters to
be withheld.
(4) Trade secrets and commercial or financial information
obtained from a person and privileged or confidential.
(5) Inter-agency or intra-agency memorandums or letters which
would not be available by law to a party other than an
agency in litigation with the agency.
(6) Personnel and medical files and similar files the
disclosure of which would constitute a clearly
unwarranted invasion of personal privacy.
(7) Records or information compiled for law enforcement
purposes, but only to the extent that the production of
such law enforcement records or information
(A) could reasonably be expected to interfere with
enforcement proceedings;
(B) would deprive a person of a right to a fair trial or
impartial adjudication;
(C) could reasonably be expected to constitute an unwarranted
invasion of personal privacy;
(D) could reasonably be expected to disclose the identity of
a confidential source, including a State, local, or
foreign agency or authority or any private institution
which furnished information on a confidential basis, and,
in the case of a record or information compiled by a
criminal law enforcement authority in the course of a
criminal investigation or by an agency conducting a
lawful national security intelligence investigation,
information furnished by confidential source;
(E) would disclose techniques and procedures for law
enforcement investigations or prosecutions, or would
disclose guidelines for law enforcement investigations or
prosecutions if such disclosure could reasonably be
expected to risk circumvention of the law; or
(F) could reasonably be expected to endanger the life or
physical safety of an individual.
(8) Contained in or related to examination, operating, or
condition reports prepared by, on behalf of, or for the
use of an agency responsible for the regulation of
supervision of financial institutions.
(9) Geological and geophysical information and data,
including maps, concerning wells.
Source: 5 U.S.C. S: 552(b)(1) through (b)(9).
Attachment 2. Median Processing Times Reported
The attached tables present median processing times as reported by
agencies in their annual FOIA reports in fiscal years 2004 and 2005. To
provide context, we include numbers of requests processed for each agency
or component. We also indicate (in columns headed "+-") whether the median
days to process rose (+), fell (-), or remained unchanged (=). (We also
use "~" to indicate other types of changes, such as the establishment of a
new component.)
Agencies report median processing times according to processing tracks:
that is, some agencies divide requests into simple and complex categories
and process these in separate tracks, whereas others use a single track.
Accordingly, the tables show these tracks where applicable. In addition,
agencies are required to subject some requests to expedited processing,
and these are reported as a separate track.
Tables for the agencies are presented in the following order, which
corresponds to the order generally used in the figures and tables provided
in the statement:
AID Agency for International Development
CIA Central Intelligence Agency
DHS Department of Homeland Security
DOC Department of Commerce
DOD Department of Defense
DOE Department of Energy
DOI Department of the Interior
DOJ Department of Justice
DOL Department of Labor
DOT Department of Transportation
ED Department of Education
EPA Environmental Protection Agency
GSA General Services Administration
HHS Department of Health and Human Services
HUD Department of Housing and Urban Development
NASA National Aeronautics and Space Administration
NRC Nuclear Regulatory Commission
NSF National Science Foundation
OPM Office of Personnel Management
SBA Small Business Administration
SSA Social Security Administration
State Department of State
Treas Department of the Treasury
USDA Department of Agriculture
VA Department of Veterans Affairs
Agency for International Development
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Single Expedited
No. Days No. Days
Agency 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
AID 209 196 54 55 + 3 1 13 34 +
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
Central Intelligence Agency
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex Expedited
No. Days No. Days No. Days
Agency 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
CIA 501 577 7 7 = 2,834 2,533 63 68 + 1 0 10 n/a
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
Department of Homeland Security
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex Expedited
No. Days No. Days No. Days
Component 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
Office of the
Secretary/
Privacy Office 279 604 19 16 - 98 134 66 102 + 48 1 9 11 +
Office of the
Inspector
General n/a 0 n/a n/a 21 14 44 91 + 0 3 n/a 5
Office of the
General
Counsel (a) 0 (a) n/a ~ (a) 1 (a) 222 ~ (a) 0 (a) n/a ~
Information
Analysis &
Infrastructure
Protection n/a 0 n/a n/a n/a 51 n/a 30 ~ n/a 0 n/a n/a
Emergency
Preparedness &
Response 101 186 14 61 + 128 345 48 178 + 28 14 9 45 +
Science &
Technology (a) 1 (a) 30 ~ (a) 1 (a) 210 ~ (a) 0 (a) n/a ~
U.S. Coast
Guard 6,735 6,035 13 16 + 638 608 21 21 = 30 11 11 2 -
U.S. Secret
Service 0 0 n/a n/a 912 701 111 149 + 0 0 n/a n/a
U.S.
Citizenship &
Immigration
Services 105,567 85,307 16 45 + 27,850 19,532 31 55 + 580 95 8 15 +
US-VISIT (a) 14 (a) 17 ~ (a) 1 (a) 60 ~ (a) 0 (a) n/a ~
Border &
Transportation
Security
CBP 2,317 3,174 20 17 - 1,986 3,815 30 12 - 4 890 3 17 +
TSA 828 11 8 16 + 1,307 1,199 29 13 - 2 2 45 28 -
ICE 1,124 661 84 35 - n/a 881 n/a 242 ~ n/a 0 n/a n/a
FLETC n/a 0 n/a n/a ~ 1,451 1,834 5 3 - 0 0 n/a n/a
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
aComponent did not exist.
Department of Commerce
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex Expedited
No. Days No. Days No. Days
Agency 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
Commerce 1,564 1,321 13 12 - 465 511 41 40 - 6 2 5 8 +
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
Department of Defense
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex Expedited
No. Days No. Days No. Days
Agency 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
Defense 63,443 66,979 17 16 - 12,972 11,385 59 85 + 841 411 1 0 -
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
Department of Energy
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex Expedited
No. Days No. Days No. Days
Component 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
National
Nuclear
Security
Administration
Service Center
Albuquerque 118 76 30 15 - 99 108 58 170 + 0 0 n/a n/a
Bonneville
Power
Administration 54 54 12 20 + 0 0 n/a n/a 0 0 n/a n/a
Carlsbad Field
Office 0 654 n/a 20 10 14 35 57 + 0 0 n/a n/a
Chicago
Operations
Office 0 36 n/a 21 38 0 21 n/a 0 0 n/a n/a
Golden Field
Office 21 11 14 33 + 2 1 20.5 66 + 0 0 n/a n/a
Idaho
Operations
Office 45 46 11 13 + 34 34 41 36 - 0 0 n/a n/a
National
Energy
Technology
Operations 9 7 20 10 - 9 26 25 30 + 0 0 n/a n/a
Office of
Naval Reactors (a) 7 (a) 10 ~ (a) 0 (a) n/a (a) 0 (a) n/a ~
Oak Ridge
Operations
Office 1,012 970 158 31 - 139 42 257 112 - 30 14 7 12 +
Ohio
Environmental
Management
Consolidated
Business
Center 89 156 152 28 - 0 0 n/a n/a 10 0 5 n/a ~
Office of
Repository
Development 42 71 15 19 + 29 13 60 73 + 0 0 n/a 0
Richland
Operations
Office 0 190 n/a 31 115 0 18 n/a 0 0 n/a n/a
Rocky Flats
Environmental
Management
Consolidated
Business
Center 0 794 n/a 106 16 0 916 n/a 0 0 n/a n/a
Savannah River
Operations
Office 65 40 61 73 + 0 0 n/a n/a 0 0 n/a n/a
Office of
Scientific and
Technical
Information 1 3 1 10 + 0 0 n/a n/a 0 0 n/a n/a
Southeastern
Power
Administration 3 0 10 n/a 0 0 n/a n/a 0 0 n/a n/a
Southwestern
Power
Administration 5 4 10 5 - 0 2 n/a 10 0 0 n/a n/a
Strategic
Petroleum
Reserve 13 13 10 21 + 0 2 n/a 82 0 4 n/a 1
Western Area
Power
Administration 35 40 10 10 = 2 4 20 15 - 0 1 n/a 5
Department of
Energy
Headquarters 395 384 81 41 - 0 0 n/a n/a 0 0 n/a n/a
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
aComponent did not exist.
Department of the Interior
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex Expedited
No. Days No. Days No. Days
Component 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
Department
of the
Interior 4,126 6,206 3-834 2-43 ~ 30 189 0-99 28-89 ~ 63 25 2-64 1-15 ~
Office of
the
Secretary (a) (a) n/a n/a (a) (a) 99 89 - (a) (a) 64 2 -
Office of
Inspector
General (a) (a) 834 7 - (a) (a) n/a n/a (a) (a) 2 1 -
Office of
the
Solicitor (a) (a) 15 18 + (a) (a) n/a n/a (a) (a) n/a n/a
Office of
Surface
mining (a) (a) 21 13 - (a) (a) 0 55 + (a) (a) n/a n/a
Minerals
Management
Service (a) (a) 22 n/a (a) (a) n/a 28 (a) (a) 14 n/a
Bureau of
Land
Management (a) (a) n/a 23 (a) (a) 56 57 + (a) (a) 5 6 +
Fish and
Wildlife
Service (a) (a) 35 29 - (a) (a) n/a n/a (a) (a) 10 15 +
National
Park
Service (a) (a) 20 19 - (a) (a) n/a n/a (a) (a) 10 n/a
Bureau of
Reclamation (a) (a) 20 18 - (a) (a) n/a n/a (a) (a) 8 1 -
U.S.
Geological
Survey (a) (a) 18 14 - (a) (a) n/a n/a (a) (a) n/a n/a
Bureau of
Indian
Affairs (a) (a) 158 43 - (a) (a) n/a n/a (a) (a) n/a n/a
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
aStatistics not broken down by component.
Note: The Department of Interior reported the number of requests processed
as a department, not by individual components.
Department of Justice
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex Expedited
No. Days No. Days No. Days
Component 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
Office of the
Attorney General 401 213 17 27 + 23 35 480 362 - 2 3 135 96 -
Office of the
Deputy Attorney
General 246 108 17 29 + 15 10 291 363 + 0 2 n/a 62
Office of the
Associate
Attorney General 52 40 44 89 + 4 0 344 n/a 1 2 47 112 +
Antitrust
Division 145 131 18 19 + 13 14 412 484 + 1 0 18 n/a
Bureau of Prisons 15,047 13,243 15 16 + 680 475 28 29 + 13 25 1 3 +
Bureau of
Alcohol, Tobacco,
Firearms, and
Explosives 2,437 1,719 7 8 + 0 0 n/a n/a 0 0 n/a n/a
Civil Division 859 466 9 10 + 0 0 n/a n/a 0 1 n/a 7
Civil Rights
Division 473 565 8 8 = 60 100 283 359 + 0 0 n/a n/a
Community
Relations Service 8 2 10 10 = 0 0 n/a n/a 0 0 n/a n/a
Criminal Division 0 0 n/a n/a 1,414 1,291 16 35 + 2 1 31 97 +
Drug Enforcement
Administration 0 0 n/a n/a 1,933 1,569 12 16 + 0 0 n/a n/a
Environment and
Natural Resources
Division 0 0 n/a n/a 177 145 40 53 + 0 0 n/a n/a
Executive Office
for Immigration
Review 7,811 9,367 29 43 + 681 476 89 149 + 65 27 26 44 +
Executive Office
for United States
Attorneys 4,848 3,751 46 58 + 0 0 n/a n/a 73 84 195 169 -
Executive Office
for United States
Trustees 0 0 n/a n/a 61 65 6 19 + 0 0 n/a n/a
Federal Bureau of
Investigation 10,253 10,828 6 6 = (b) (b) n/a n/a 35 14 41 42 +
Foreign Claims
Settlement
Commission 17 9 5 5 = 0 0 n/a n/a 0 0 n/a n/a
Justice
Management
Division 3,128 2,130 8 (c) 31 35 35 (c) 0 0 n/a n/a
National Drug
Intelligence
Center 80 58 22 21 - 3 3 30 73 + 0 0 n/a n/a
Office of
Community
Oriented Policing
Services 101 61 14 8 - 0 0 n/a n/a 2 0 6 n/a
Office of Dispute
Resolution 8 4 5 5 = 0 0 n/a 0 0 n/a n/a
Office of the
Federal Detention
Trustee 27 11 7 8 + 2 0 105 n/a 0 1 n/a 7
Office of
Information and
Privacy 434 443 12 13 + 1 1 397 52 - 0 1 n/a 185
Office of the
Inspector General 241 208 10 11.5 + 0 0 n/a n/a 0 0 n/a n/a
Office of
Intelligence
Policy and Review 28 33 8 6 - 6 17 27 31 + 0 2 n/a 16
Office of
Intergovernmental
and Public
Liaison 15 6 41 46 + 0 0 n/a n/a 0 1 n/a 38
Office of Justice
Programs 493 206 1 2 + 59 108 25 25 = 0 0 n/a n/a
Office of Legal
Counsel 55 68 10 10 = 9 16 30 30 = 0 1 n/a 40
Office of Legal
Policy 47 76 37 58 + 2 3 188 863 + 0 2 n/a 28
Office of
Legislative
Affairs 58 63 84 86 + 6 9 386 330 - 0 2 n/a 67
Office of the
Pardon Attorney 40 43 29 21 - 3 0 100 n/a 0 0 n/a n/a
Office of
Professional
Responsibility 129 86 19 15 - 7 9 389 334 - 0 0 n/a n/a
Office of Public
Affairs 20 22 137 139 + 3 3 226 730 + 0 0 n/a n/a
Office of the
Solicitor General 73 64 60 60 = 0 0 n/a n/a 2 22 8 10 +
Office on
Violence Against
Women (a) 14 (a) 50 ~ (a) 0 (a) n/a ~ (a) 0 (a) n/a ~
Professional
Responsibility
Advisory Office 13 14 3 3.5 + 0 0 n/a n/a 0 0 n/a n/a
Tax Division 226 237 0 0 = 27 26 15 28 + 0 0 n/a n/a
U.S. Marshals
Service 1,531 999 21 26 + 16 17 130 195.5 + 0 0 n/a n/a
U.S. National
Central
Bureau--INTERPOL 271 184 5 6 + 10 18 24 21 - 2 3 3 2 -
U.S. Parole
Commission 0 0 n/a n/a 1,351 1,011 20 12 - 0 0 n/a n/a
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
Simple Complex Expedited Component 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- +-
Simple Complex Expedited
No. Days No. Days No. Days
No. The
Departmental Days Days Component 2004 2005 2004
Offices 332 No. 307 Days 2 No. 2 = 790 172 251 + 20050 +- 0 2004n/a 2005n/a 2004 782
+- Alcohol and
Tobacco Tax
and Trade
Bureau 2004 0 2005168 2004n/a 200586 +- 201 17 78 93 + 0 1 n/a 1
Office of the
Comptroller of
the Currency 322 4,635 10 2 - 8,030 179 50 73 + 0 0 n/a n/a
Bureau of
Engraving and
Printing 69 76 4 3 - 44 12 60 31 - 1 0 5 n/a
Financial
Management
Service 0 0 n/a n/a 529 351 7 10 + 0 0 n/a n/a
Internal
Revenue
Service 0 0 n/a n/a 51,985 42,533 21 21 = 0 0 n/a n/a
United States
Mint 0 0 n/a n/a 67 316 15 15 = 0 0 n/a n/a
Bureau of the
Public Debt 0 0 n/a n/a 91 90 4 3 - 0 0 n/a n/a
Office of
Thrift
Supervision 0 0 n/a n/a 1,827 4,003 15 12 - 2 0 n/a n/a
Treasury
Inspector
General for
Tax
Administration 0 208 n/a 4 256 161 172 30 - 0 0 10 n/a
Financial
Crimes
Enforcement
Network 0 18 n/a 6 32 122 99 95 - 0 0 n/a n/a
2005
a Component did not exist.
b In addition to the expedited track, the FBI maintains three tracks for
requests: small (0 to 500 pages), medium (501 to 2,500 pages), and large
(more than 2,500 pages). The former is reported in the "simple requests"
category; the latter two are reported as "complex requests." Therefore
FBI's complex requests were excluded from analysis
c Justice Management Division used average days opposed to median days, so
it was excluded
Department of Labor
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex Expedited
No. Days No. Days No. Days
Component 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
Occupational
Safety and Health
Administration 8,410 7,855 7 13 + 2,695 3,431 18 45 + 34 82 4 18 +
Employment
Standards
Administration 6,670 6,948 17 13 - 1,057 904 23 37 + 89 73 5 9 +
Mine Safety and
Health
Administration 1,150 0 17 n/a 0 1,058 n/a 20 0 3 n/a 7
Employment and
Training
Administration 480 270 15 20 + 35 94 20 30 + 1 5 2 10 +
Employee Benefits
Security
Administration 367 1,456 11 7 - 65 257 40 34 - 0 2 n/a 10
Office of the
Assistant
Secretary for
Administration
and Management 152 151 13 13 = 62 35 20 26 + 1 1 2 4 +
Administrative
Law Judges 215 206 2 10 + 0 0 n/a n/a 0 6 n/a 3
Veterans'
Employment and
Training Service 71 87 27 10 - 15 19 29 39 + 2 1 8 8 =
Office of the
Inspector General 71 47 30 28 - 8 28 60 50 - 0 0 n/a n/a
Bureau of Labor
Statistics 56 54 13 17 + 0 0 n/a n/a 0 0 n/a n/a
Office of
Adjudicatory
Services 25 52 7 6 - 4 0 18 n/a 2 0 2 n/a
Womens Bureau 27 19 15 10 - 0 2 n/a 25 0 0 n/a n/a
Office of
Disability
Employment Policy 12 23 20 30 + 0 0 n/a n/a 0 0 n/a n/a
Office of the
Assistant
Secretary for
Policy 3 16 25 20 - 2 1 25 60 + 1 0 25 n/a
Office of
Congressional and
Intergovernmental
Affairs 0 0 n/a n/a 0 0 n/a n/a 0 0 n/a n/a
Bureau of
International
Labor Affairs 4 24 16 7 - 9 2 30 14 - 0 0 n/a n/a
Office of the
Chief Financial
Officer 12 8 10 7 - 0 0 n/a n/a 0 0 n/a n/a
Office of Public
Affairs 7 8 7 7 = 0 0 n/a n/a 0 0 n/a n/a
Office of Small
Business Programs 22 22 30 10 - 0 0 n/a n/a 0 0 n/a n/a
Office of the
Solicitor 62 30 12 14 + 7 3 54 30 - 0 1 n/a 2
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
Department of Transportation
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex Expedited
No. Days No. Days No. Days
Component 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
Office of the
Secretary of
Transportation 320 150 1 1 = 394 87 82 77 - 0 10 n/a 30
Office of
Inspector
General 60 50 6 8 + 46 34 51 64 + 3 0 57 n/a
Federal
Aviation
Administration 5,162 4,401 4 3 - 2,231 2,179 31 28 - 45 46 8 9 +
Federal
Highway
Administration 331 294 9 16 + 30 31 30 134 + 0 17 n/a 13
Federal
Railroad
Administration 0 0 n/a n/a 524 451 95 90 - 0 0 n/a n/a
National
Highway
Traffic Safety
Administration 0 0 n/a n/a 367 263 23 20 - 0 0 n/a n/a
Federal
Transit
Administration 192 199 68 29 - 0 0 n/a n/a 0 0 n/a n/a
Saint Lawrence
Seaway
Development
Corporation 36 0 18 n/a 0 33 n/a 20 0 0 n/a n/a
Maritime
Administration 0 124 n/a 30 155 0 30 n/a 0 0 n/a n/a
Research and
Special
Programs
Administration 85 43 19 15 - 89 75 135 40 - 11 1 5 5 =
Federal Motor
Carrier Safety
Administration 0 0 n/a n/a 778 823 58 31 - 0 0 n/a n/a
Bureau of
Transportation
Statistics 46 67 5 11 + 0 6 n/a 20 0 0 n/a n/a
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
Department of Education
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex Expedited
No. Days No. Days No. Days
Agency 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
Education 1,566 1,874 0-30 35 ~ 442 329 2-134 66 ~ 74 16 3-21 24 ~
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
Environmental Protection Agency
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex Expedited
No. Days No. Days No. Days
Component 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
Headquarters 2,188 1,717 19 19 = 1 42 170 58 - 6 2 16 20 +
Region 1 New
England
Region 317 249 19 18 - 0 2 29 46 + 0 0 n/a n/a
Region 2 New
Jersey, New
York, Puerto
Rico, U.S.
Virgin
Islands and
7 Tribal
Nations 2,949 1,912 27 30 + 7 2 49 40 - 1 1 9 8 -
Region 3
Mid-Atlantic 1,748 1,699 15 13 - 0 9 n/a 4 1 0 7 n/a
Region 4
Southeast
Region 1,034 852 21 19 - 5 71 75 41 - 1 0 6 n/a
Region 5
Mid-West
Region 2,011 1,920 18 18 = 2 3 70 30 - 0 0 n/a n/a
Region 6
South
Central
Region 860 624 18 32 + 1 0 353 n/a 0 2 n/a 109
Region 7
America's
Heartland
Region 651 767 23 27 + 0 2 n/a 166 0 0 n/a n/a
Region 8
Mountains
and Plains
Region 387 332 13 15 + 0 0 n/a n/a 0 0 n/a n/a
Region 9
Pacific
Southwest
Region 725 588 16 18 + 0 39 n/a 38 1 0 6 n/a
Region 10
Pacific
Northwest
Region 454 273 20 20 = 1 0 19 n/a 1 0 27 n/a
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
General Services Administration
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex Expedited
No. Days No. Days No. Days
Agency 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
GSA 0 0 n/a n/a 1,182 1,561 14 14 = 0 0 n/a n/a
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
Department of Health and Human Services
Two tables are provided for this department, because its components report
both multitrack (simple and complex) processing and single-track
processing.
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex
No. Days No. Days
Component 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
Office of the
Secretary 0 0 n/a n/a 0 0 n/a n/a
Administration for
Children and Families (a) 0 (a) n/a ~ (a) 0 (a) n/a ~
Administration on
Aging 0 0 n/a n/a 0 0 n/a n/a
Centers for Medicare &
Medicaid Services 31,051 33,583 9 10 + 652 722 77 86 +
Office of the
Assistant Secretary
for Public Health 72 179 10 10 = 446 611 60 60 =
Agency for Healthcare
Research and Quality 0 0 n/a n/a 0 0 n/a n/a
Centers for Disease
Control and Prevention 0 0 n/a n/a 0 0 n/a n/a
Food and Drug
Administration 13,626 15,539 25 26 + 1,993 1,987 325 370 +
Health Resources and
Services
Administration 0 0 n/a n/a 0 0 n/a n/a
Indian Health Services 0 0 n/a n/a 0 0 n/a n/a
National Institutes of
Health 0 0 n/a n/a 0 0 n/a n/a
Substance Abuse and
Mental Health Services
Administration 0 0 n/a n/a 0 0 n/a n/a
Single Expedited
No. Days No. Days
Component 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
Office of the
Secretary 1,147 934 55 69 + 1 1 2 60 +
Administration for
Children and Families (a) 137 (a) 40 ~ (a) 4 (a) 41 ~
Administration on
Aging 13 22 5 5 = 0 0 n/a n/a
Centers for Medicare &
Medicaid Services 0 0 n/a n/a 11 42 66 158 +
OASPH 0 0 n/a n/a 0 0 n/a n/a
Agency for Healthcare
Research and Quality 76 94 25 34 + 0 0 n/a n/a
Centers for Disease
Control and Prevention 977 1,134 36 36 = 2 2 52 52 =
Food and Drug
Administration 2,921 1,007 113 86 - 0 2 n/a 100
Health Resources and
Services
Administration 416 380 20 20 = 0 6 n/a 14
Indian Health Services 158,277 151,428 32 32 = 0 0 n/a n/a
National Institutes of
Health 10,583 13,382 182 173 - 0 0 n/a n/a
Substance Abuse and
Mental Health Services
Administration 132 206 38 45 + 0 0 n/a n/a
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
aComponent did not exist.
Department of Housing and Urban Development
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex Expedited
No. Days No. Days No. Days
Component 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
Headquarters 1,676 984 95 65 - 248 271 161 160 - 70 74 42 22 -
Field 1,510 1,150 21 21 = 10 15 30 35 + 95 160 23 70 +
Office of
Inspector
General 354 254 55 45 - 0 0 n/a n/a 15 15 9 9 =
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
National Aeronautics and Space Administration
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex Expedited
No. Days No. Days No. Days
Agency 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
NASA 1,069 938 18 19 + 454 410 33 49 + 44 3 26 15 -
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
Nuclear Regulatory Commission
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex Expedited
No. Days No. Days No. Days
Agency 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
NRC 357 303 11 12 + 27 28 47 75 + 5 14 60 20 -
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
National Science Foundation
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Single Expedited
No. Days No. Days
Agency 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
NSF 309 266 20 14 - 0 0 n/a n/a
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
Office of Personnel Management
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Single Expedited
No. Days No. Days
Agency 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
OPM 9,310 10,898 9 14 + 0 2 n/a 1
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
Small Business Administration
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Single Expedited
No. Days No. Days
Agency 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
SBA 1,927 3,737 5 7 + 0 0 n/a n/a
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
Social Security Administration
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex
No. Days No. Days
Agency 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
SSA 397 364 19 15 - 882 1,014 37 39 +
Single Expedited
No. Days No. Days
Agency 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
SSA 1,321 1,555 14 10 - 0 31 n/a 17
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
Note: The tables exclude SSA's category of "simple requests handled by
non-FOIA staff" and "simple request for Social Security number
applications and other Office of Earnings Operations records." The
category SSA labels "fast track" was reported under "single track."
Department of State
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex Expedited
No. Days No. Days No. Days
Agency 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
State 1,236 1,647 6 14 + 3,710 2,216 209 142 - 17 7 184 136 -
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
Department of the Treasury
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
Department of Agriculture
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Simple Complex Expedited
No. Days No. Days No. Days
Component 2004 2005 2004 2005 +- 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
Agricultural
Marketing
Service 139 120 19 22 + 0 0 n/a n/a 0 0 n/a n/a
Animal and
Plant Health
Inspection
Service 435 922 77 90 + 59 193 800 1,277 + 37 20 53 40 -
Departmental
Administration 47 53 35 29 - 0 0 n/a n/a 0 1 n/a 7
Farm Service
Agency 32 44 16 14 - 0 0 n/a n/a 0 0 n/a n/a
Food,
Nutrition and
Consumer
Service 190 137 6 15 + 0 0 n/a n/a 0 0 n/a n/a
Farm Service
Agency 30,430 41,743 14 2 - 22,377 1,155 54 10 - 476 247 13 1 -
Forest Service 1,846 1,426 15 18 + 1,807 2,196 21 18 - 5 42 8 14 +
Food Safety
and Inspection
Service 0 544 n/a 26 535 0 73 n/a 0 0 n/a n/a
Grain
Inspection,
Packers and
Stockyards
Administration 52 113 10 8 - 0 0 n/a n/a 0 n/a n/a
Grain
Inspection,
Packers and
Stockyards 23 44 5 8 + 0 0 n/a n/a 0 0 n/a n/a
National
Appeals
Division 322 358 15 18 + 6 12 17 16 - 2 4 5 9 +
Office of
Budget and
Program
Analysis 4 7 1 2 + 0 0 n/a n/a 0 0 n/a n/a
Office of
Communications 339 303 18 24 + 0 0 n/a n/a 0 0 n/a n/a
Office of the
Chief
Financial
Officer 0 0 n/a n/a 36 19 15 16 + 0 0 n/a n/a
Office of the
Chief
Information
Officer 2 10 1 10 + 0 0 n/a n/a 0 0 n/a n/a
Office of
Civil Rights 0 0 n/a n/a 82 43 15 28 + 0 0 n/a n/a
Office of
General
Counsel 0 0 n/a n/a 12 12 34 34 = 0 0 n/a n/a
Office of the
Inspector
General 133 178 5 4 - 47 58 112 102 - 5 7 1 3 +
Research,
Education and
Economics 0 87 n/a 15 164 115 15 15 = 0 4 n/a 15
Risk
Management
Agency 73 57 20 20 = 7 25 60 40 - 1 0 5 n/a
Rural
Development 0 0 n/a n/a 1,484 1,623 12 12 = 0 0 n/a n/a
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
Department of Veterans Affairs
The department reports all processing in one track, but it refers to this
track as complex, rather than single track.
No. = number of requests processed; Days = median days to process; +- =
change from 2004 to 2005
Complex Expedited
No. Days No. Days
Component 2004 2005 2004 2005 +- 2004 2005 2004 2005 +-
Acquisition &
Material
Management 376 289 4 2.5 - 0 0 n/a n/a
Administration 0 1,463 n/a 4 0 0 n/a n/a
Board of Contract
Appeals 0 0 n/a n/a 0 0 n/a n/a
Board of Veterans
Appeals 1,006 1,049 49 19 - 0 0 n/a n/a
Congressional &
Legislative
Affairs 0 (a) n/a (a) ~ 0 (a) n/a (a) ~
Diversity
Management &
Equal Employment
Opportunity 0 0 n/a n/a 0 0 n/a n/a
General Counsel 67 65 35 15 - 0 2 n/a 10
Human Resources
Management 45 1 31.5 4 - 0 0 n/a n/a
Inspector General 347 287 10 16 + 0 0 n/a n/a
Information
Technology
Support Service 0 0 n/a n/a 0 0 n/a n/a
Office of
Management 0 0 n/a n/a 0 0 n/a n/a
National Cemetery
Administration 0 19 n/a 15 16 0 18 n/a
Office of the
Assistant
Secretary for
Human Resources &
Administration 0 0 n/a n/a 0 0 n/a n/a
Office of the
Assistant
Secretary for
Public &
Intergovernmental
Affairs 0 0 n/a n/a 0 0 n/a n/a
Office of the
Deputy Assistant
Secretary for
Budget 0 8 n/a 1 16 0 1 n/a
Office of the
Deputy Assistant
Secretary for
Intergovernmental
Affairs 0 10 n/a 1 0 0 n/a n/a
Office of Finance 58 63 15 11.5 - 0 0 n/a n/a
Office of
Information &
Technology 53 72 11.5 51 + 0 0 n/a n/a
Office of
Resolution
Management 16 12 5 10 + 0 0 n/a n/a
Office of Small &
Disadvantaged
Business
Utilization 0 1 n/a 1 0 0 n/a n/a
Policy and
Planning 0 0 n/a n/a 0 0 n/a n/a
Public Affairs 0 0 n/a n/a 0 0 n/a n/a
Security & Law
Enforcement 0 (a) n/a (a) ~ 0 (a) n/a (a) ~
Office of the
Secretary 16 6 45 60 + 0 0 n/a n/a
Veterans Benefits
Administration 93,296 83,332 15 15.5 + 384 88 5 4.5 -
Veterans Canteen
Service 0 0 n/a n/a 0 0 n/a n/a
Veterans Health
Administration 1,699,079 1,814,837 4 1 - 20,730 13,409 1 1 =
White House
Liaison 0 0 n/a n/a 0 0 n/a n/a
+ increase
- decrease
= no change
~ other change (change in reporting, new component, etc.)
Sources: Annual FOIA report, GAO analysis.
a Component did not exist.
(310775)
www.gao.gov/cgi-bin/getrpt? GAO-06-1022T .
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].
Highlights of GAO-06-1022T , a testimony before the Subcommittee on
Government Management, Finance, and Accountability, Committee on
Government Reform, House of Representatives
July 26, 2006
FREEDOM OF INFORMATION ACT
Preliminary Analysis of Processing Trends Shows Importance of Improvement
Plans
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 help
ensure appropriate implementation, the act requires that agencies report
annually to the Attorney General, providing specific information about
their FOIA operations. In addition, a recent Executive Order directs
agencies to develop plans to improve their FOIA operations, including,
among other things, goals to reduce backlogs in FOIA requests.
GAO has reported previously on the contents of these annual reports for 25
major agencies. For this hearing, GAO was asked to testify both on the
annual reports for fiscal year 2005 and on the recently developed
improvement plans for these 25 agencies. GAO based its testimony on its
ongoing work on these topics. Upon completion of its ongoing review, GAO
expects to make recommendations to improve agency implementation of the
Executive Order, including efforts to reduce and eliminate backlog.
According to data reported by agencies in their annual reports, the public
continues to request and receive increasing amounts of information from
the federal government through FOIA; however, excepting one case-the
Social Security Administration (SSA)-the rate of increase has flattened in
recent years. (SSA reported an additional 16 million requests in 2005,
dwarfing those for all other agencies combined, which together total about
2.6 million; SSA attributed this rise to an improvement in its method of
counting requests. However, Justice officials have suggested that SSA
consider treating the bulk of these requests as non-FOIA requests and thus
not include them in future reports.) When SSA's numbers are excluded, data
reported by the other 24 major agencies show that the number of requests
received increased by 27 percent from fiscal year 2002 to 2005, but by
only about 2.5 percent from fiscal year 2004. As more requests come in,
agencies also report that they have been processing more of them-25
percent more from 2002 to 2005 (but only about 2.0 percent more than from
2004). Despite processing more requests, agencies have not kept up with
the increase in requests being made: the number of pending requests
carried over from year to year has been steadily increasing, rising to
about 200,000 in fiscal year 2005-43 percent more than in 2002. The rate
of increase in requests pending is also growing: the increase from fiscal
year 2004 to 2005 is 24 percent, compared to 11 percent from 2003 to 2004.
Most of the agency improvement plans discussed reducing backlog, but not
all consistently followed the Executive Order or implementing guidance
provided by the Justice Department. Of the 25 agencies, 3 had not posted
their plans in time to be included in this testimony, and 1 reported no
backlog. Of the remaining 21 agencies, 12 followed the Executive Order's
instruction to establish measurable, outcome-oriented objectives for
reducing or eliminating their backlogs, as well as timetables with
milestones for meeting these objectives. Nine agencies did not do this,
although they accounted for a substantial fraction-about 29 percent-of the
requests reported to be pending at the end of fiscal year 2005. (Most
agencies did provide goals and timetables for other kinds of objectives,
however, such as performing staffing analyses and reviewing progress.) In
addition, agencies generally did not specify the dates or numbers they
were using as the baselines for their existing backlogs, which will be
important for measuring improvement. GAO's ongoing work suggests that
factors contributing to these deficiencies include difficulties in
coordinating responses among components in large, decentralized agencies
and limitations in the systems that track FOIA processing. In addition,
neither the Executive Order nor Justice guidance established a baseline
date for measuring the backlog or directed agencies to establish such a
date. Without clearly defined baselines, specific objectives, and
timetables for reducing backlog, it could be challenging for agency heads,
Justice, and the Congress to gauge progress in improving FOIA processes as
intended by the Executive Order.
United States Government Accountability Office
GAO
Testimony before the Subcommittee on Government Management, Finance, and
Accountability, Committee on Government Reform, House of Representatives
For Release on Delivery
Expected at 2:00 p.m. EDT Wednesday, July 26, 2006
FREEDOM OF INFORMATION ACT
Preliminary Analysis of Processing Trends Shows Importance of Improvement
Plans
Statement of Linda D. Koontz Director, Information Management Issues
GAO-06-1022T
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