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entitled 'Information Management: Update on Freedom of Information Act 
Implementation Status' which was released on February 23, 2004.

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Report to the Ranking Minority Member, Committee on the Judiciary, U.S. 
Senate:

February 2004:

INFORMATION MANAGEMENT:

Update on Freedom of Information Act Implementation Status:

GAO-04-257:

GAO Highlights:

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

Why GAO Did This Study:

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

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

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

What GAO Found:

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

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

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

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

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

[End of section]

Contents:

Letter: 

Results in Brief: 

Appendixes:

Appendix I: Update on Freedom of Information Act Implementation 
Status: 

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

Abbreviations: 

FOIA: Freedom of Information Act:

FTE: Full-time-equivalent:

OIP: Office of Information and Privacy:

Letter February 18, 2004:

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

Dear Mr. Leahy:

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

We have recently reported twice[Footnote 1] on the annual FOIA reports 
of 25 agencies.[Footnote 2] In 2001, we reported on the data for fiscal 
years 1998 and 1999. We noted that data-quality issues limited the 
usefulness of agencies' annual reports. In 2002, we reported on the 
data for fiscal years 1998, 1999, 2000, and 2001. We noted that fewer 
agency FOIA reports had data-quality and consistency problems in fiscal 
year 2001 compared with fiscal year 2000, although some fiscal year 
2001 reports did have data anomalies.

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

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

On October 31, 2003, we provided a briefing to your office on the 
results of our work. The briefing slides[Footnote 3] are included in 
appendix I. The purpose of this report is to provide the published 
briefing slides for dissemination to you and the Attorney General.

Results in Brief:

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

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

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

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

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

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

Three agencies made accommodations to receive FOIA requests 
electronically[Footnote 4] after the attacks of September 11, 2001, and 
the mail delays due to the anthrax attacks in Washington, D.C. These 
agencies told us that electronic submission capabilities were added for 
reasons other than the September 11 and anthrax attacks. For example, 
agencies stated that electronic submission can save time and be easier 
for the requester. Eleven agencies allowed electronic FOIA request 
submission before September 11, 2001. Eleven agencies did not allow for 
electronic FOIA request submission as of July 2003.

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

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

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

Sincerely yours,

Signed by: 

Linda D. Koontz: 
Director, Information Management Issues:

[End of section]

Appendixes: 

Appendix I: Update on Freedom of Information Act Implementation 
Status:

[See PDF for slideshow] 

[End of slideshow]

[End of section] 

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

[See PDF for image]

[End of figure] 

[End of section]

(310396):

FOOTNOTES

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

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

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

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

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