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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. GAO's Mission: The General Accounting Office, the investigative arm of Congress, exists to support Congress in meeting its constitutional responsibilities and to help improve the performance and accountability of the federal government for the American people. 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