According to its 2014 Chief FOIA Officer Report, DHS and its component  agencies reported that they processed 204,332 FOIA requests in fiscal  year 2013, the most of any federal government agency. It experienced an 81 percent increase in backlogged  requests from fiscal year 2012 to fiscal year 2013. At the end of fiscal  year 2013, approximately half of all reported backlogged federal FOIA  requests (about 50,000 of 95,000) belonged to DHS. DHS agreed with our  recommendations and took steps to address them. For example, the  department implemented electronic FOIA processing systems in certain  components. In this regard, the Privacy  Office—as the department’s central FOIA office—has agency-wide  responsibility for FOIA compliance and performance, to include  developing policies to implement FOIA initiatives, providing training, and  preparing required annual reports. Further, while the selected  components report their FOIA processing costs to the Privacy Office,  which then aggregates this data, these reported costs are incomplete,  thus hindering accountability for the total costs incurred by the  department and the components in managing and processing FOIA  requests. Toward this end, the office currently performs a number of oversight and  coordination functions:
Requests weekly and monthly reports by all components on their  FOIA processing, including monthly statistics on the number of  requests processed and backlogged. Full FOIA Costs of DHS’s Privacy Office and Selected Components are Unknown

Both Justice and federal cost accounting standards require federal  agencies to report on specific categories of FOIA-related costs. Specifically, while the Privacy Office and the selected  components all reported the salaries of FOIA office staff as input to the  department’s FOIA annual report for fiscal year 2013, most did not report  or did not fully report costs for other categories, including employee  benefits, non-personnel direct costs, indirect costs, and salaries of staff  outside the components’ FOIA offices who retrieve requested documents. Further, the duplicate processing of a single FOIA  request by USCIS and ICE staff contributes to an increase in the time  needed to respond to a FOIA request for immigration files. The June  2011 DHS Open Government Plan 2.0 further directed the department  and its components to reduce the FOIA backlog by 15 percent per year. Specifically, in conjunction with the Department of  Commerce and the Environmental Protection Agency, the National  Archives and Records Administration’s Office of Government Information  Services identified 13 electronic system capabilities that can enhance  FOIA processing: using a single, component-wide system for tracking requests; accepting the request online, either through e-mail or an online assigning the request tracking number and tracking the status of the multi-tracking a request electronically; allowing supervisors to review the case file to approve redactions and  routing a request to the responsible office electronically;  storing and routing responsive records to the appropriate office  electronically;  redacting responsive records with appropriate exemptions applied  electronically;  calculating and recording processing fees electronically;  fee calculations for processing electronically; generating system correspondence, such as an e-mail or letter, with a allowing a requester the ability to track the status of the request  electronically;  tracking an appeal electronically; and generating periodic reporting statistics electronically, such as monthly  backlog and annual report data used to develop reports. Full implementation could help improve the efficiency with  which it processes FOIA requests. Further, absent capabilities consistent with Section  508 of the Rehabilitation Act (as amended), the two components are not  implementing the federal requirement to make their electronic information  accessible to people with disabilities. Agency Comments and Our Evaluation

We received written comments on a draft of this report from the Director  of DHS’s Departmental GAO-OIG Liaison Office. Appendix I: Objectives, Scope, and Methodology

Our objectives were to determine: (1) the responsibilities of, and total  costs incurred by, the Department of Homeland Security (DHS) and  selected components in managing and processing FOIA requests, and  whether any duplication exists; (2) actions DHS and the selected  components have taken to reduce FOIA backlogs and the results of their  actions; and (3) the status of DHS’s and the selected components’ efforts  to acquire and implement automated systems for processing FOIA  requests. We interviewed DHS  and component officials about their responsibilities and management  practices.
Why GAO Did This Study

FOIA requires federal agencies to provide the public with access to government information. In fiscal year 2013, DHS and its component agencies reported processing more than 200,000 FOIA requests, the most of any federal agency. At the end of fiscal year 2013, about half of all reported backlogged federal FOIA requests (about 50,000 of 95,000) belonged to DHS.
GAO was asked to review DHS's processing of FOIA requests. GAO's objectives were to determine (1) the responsibilities of and total costs incurred by DHS and selected components in managing and processing FOIA requests, and whether duplication exists; (2) actions DHS and selected components have taken to reduce FOIA backlogs and the results; and (3) the status of DHS's and selected components' efforts to acquire and implement automated systems for processing requests. GAO evaluated DHS's and five selected components' FOIA-related procedures, fiscal year 2013 cost data, and other documentation. The five components together received more than 90 percent of DHS's FOIA requests during fiscal year 2013. GAO also interviewed department and component agency officials.

What GAO Found

The Department of Homeland Security's (DHS) Freedom of Information Act (FOIA) processing responsibilities are split between the department's Privacy Office, which acts as its central FOIA office, and FOIA offices in its component agencies. The Privacy Office has a number of oversight and coordination functions, including developing policies to implement FOIA initiatives, providing training, and preparing annual reports. Meanwhile, components' FOIA offices are responsible for processing the vast majority of the requests received by the department, subject to regulations and policies issued by the Privacy Office. While components report FOIA processing costs to the Privacy Office, which then aggregates and reports them to the Department of Justice, reported costs are incomplete (for example, the costs do not reflect employee benefits or the salaries of staff outside the components' FOIA offices who retrieve requested documents), thus hindering accountability for total costs. Regarding duplication, GAO determined that certain immigration-related requests are processed twice by two different DHS components. The duplicate processing of such requests by the two components contributes to an increase in the time needed to respond to the requests.
In 2011, DHS established a goal of reducing backlogged FOIA requests by 15 percent each year, and its component agencies have taken actions toward this goal, including increasing staff, reporting and monitoring backlog information, providing training, and offering incentives to staff for increased productivity. Although there was initial progress by the end of fiscal year 2012, backlog numbers do not account for an estimated 11,000 improperly closed requests, and the number of backlogged requests increased in fiscal year 2013 to a level higher than 2011 (see figure).
DHS and its components have implemented or are planning to implement various technology capabilities to support FOIA processing based on best practices and federal requirements. However, not all of these systems possess all capabilities recommended by federal guidance, such as online tracking and electronic redaction, or the required capabilities to accommodate individuals with disabilities. Adopting such system capabilities departmentwide could help DHS increase the efficiency of its FOIA processing.

What GAO Recommends

GAO is recommending, among other things, that DHS improve the reporting of FOIA costs, eliminate duplicative processing, and direct components to implement recommended and required FOIA system capabilities. In written comments on a draft of the report, DHS agreed with the recommendations.