It also provided  templates for the progress reports and additional statistics. Trends in FOIA Processing Appear Similar to Previous Years

The data reported by 21 major agencies in annual FOIA reports from 2002  to 2006 reveal a number of general trends. However, the rate of increase in  pending requests was less than in the previous year. Increases in Requests Received and Processed Are Generally Slowing

The numbers of FOIA requests received and processed continue to rise,  but the rate of increase has flattened in recent years. Increase in Pending Cases for 21 Agencies Is Mostly Associated with DHS

In addition to the increase in numbers of requests processed at the 21  agencies, the number of pending cases—requests carried over from one  year to the next—has increased. Since Implementing Improvement Plans, Several Agencies Reduced Backlogs of Overdue or Pending Requests, but the Governmentwide Picture Is Incomplete

Following the emphasis on backlog reduction in Executive Order 13392  and agency improvement plans, many agencies have shown progress in  decreasing their backlogs of overdue requests as of September 2007. Specifically, of 16 agencies we reviewed that were able to provide  statistics, 9 decreased overdue or pending requests, 5 experienced  increases, and 2 had no material change. However, the statistics provided  by these agencies varied widely, representing a mix of overdue cases and  total pending cases, as well as varying time frames. (The remaining agency  reported no backlog before or after implementing its plan.) Tracking and  reporting statistics on overdue cases is not a requirement of the annual  FOIA reports or of the Executive Order. Although both the Executive  Order and Justice’s implementing guidance put a major emphasis on  backlog reduction, agencies were given flexibility in developing goals and  metrics that they considered most appropriate in light of their current  FOIA operations and individual circumstances. As a result, agencies’ goals  and metrics vary widely, and progress could not be assessed against a  common metric. Justice’s most recent guidance directs agencies to set  goals for reducing backlogs of overdue requests in future fiscal years,  which could lead to the development of a consistent metric; however, it  does not direct agencies to monitor and report overdue requests or to  develop plans for meeting the new goals. According to the department, it plans to address its backlog  challenges by efforts to better track and control the FOIA workload. Further, 3 of the 21 agencies  were unable to provide statistics supporting their backlog reduction  efforts, and 1 provided statistics by component, which could not be  aggregated to provide an agencywide result. A major reason for this variation in statistics is that agencies did not  necessarily have systems or processes to record backlog in the sense of  the Executive Order (requests for records that have not been responded to  within the statutory time limit); instead, their systems or processes were  based on recording statistics required for the annual reports, which  include a count of open requests pending at the end of the reporting period  but do not include backlog of overdue requests. Without such  planning and tracking, agencies may face challenges in achieving the  reductions envisioned. The progress that many agencies have made in reducing backlog suggests  that the development and implementation of the FOIA improvement plans  have had a positive effect. However, in the absence of consistent statistics  on overdue cases, it is not possible to make a full assessment of  governmentwide progress in this area. To determine to what extent agencies made progress in addressing  backlogged FOIA requests since implementing their improvement plans,  we analyzed the improvement plan progress reports included in the fiscal  year 2006 annual reports of the 21 major agencies whose internal controls  we evaluated as sufficient in order to determine whether the agencies met  their 2006 backlog reduction milestones.
Why GAO Did This Study

Under the Freedom of Information Act (FOIA), federal agencies must generally provide access to their information, enabling the public to learn about government operations and decisions. To help ensure proper implementation, the act requires that agencies report annually to the Attorney General on their processing of FOIA requests. For fiscal year 2006, agencies were also to report on their progress in implementing plans to improve FOIA operations, as directed by a December 2005 Executive Order. A major goal of the order was reducing backlogs of overdue FOIA requests (the statute requires an agency to respond to requests within 20 or, in some cases, 30 working days with a determination on whether it will provide records). For this study, GAO was asked, among other things, to determine trends in FOIA processing and agencies' progress in addressing backlogs of overdue FOIA requests since implementing their improvement plans. To do so, GAO analyzed 21 agencies' annual reports and additional statistics.

What GAO Found

Based on data reported by major agencies in annual FOIA reports from fiscal years 2002 to 2006, the numbers of FOIA requests received and processed continue to rise, but the rate of increase has flattened in recent years. The number of pending requests carried over from year to year has also increased, although the rate of increase has declined. The increase in pending requests is primarily due to increases in requests directed to the Department of Homeland Security (DHS). In particular, increases have occurred at DHS's Citizenship and Immigration Services, which accounted for about 89 percent of DHS's total pending requests. However, the rate of increase is slightly less than it was in fiscal year 2005. Following the emphasis on backlog reduction in Executive Order 13392 and agency improvement plans, many agencies have shown progress in decreasing their backlogs of overdue requests as of September 2007. In response to GAO's request, 16 agencies provided information on their recent progress in addressing backlogs; results showed that 9 achieved decreases, 5 experienced increases, and 2 had no material change. Notably, according to this information, DHS was able to decrease its backlog of overdue requests by 29,972, or about 29 percent. However, the statistics provided by the 16 agencies varied widely, representing both overdue cases and all pending cases, as well as varying time frames. Further, 3 of 21 agencies reviewed were unable to provide statistics supporting their backlog reduction efforts, and 1 provided statistics by component, which could not be aggregated to provide an agencywide result. (The remaining agency reported no backlog before or after implementing its plan.) Tracking and reporting numbers of overdue cases is not a requirement of the annual FOIA reports or of the Executive Order. Although both the Executive Order and Justice's implementing guidance put a major emphasis on backlog reduction, agencies were given flexibility in developing goals and metrics that they considered most appropriate in light of their current FOIA operations and individual circumstances. As a result, agencies' goals and metrics vary widely, and progress could not be assessed against a common metric. The progress that many agencies made in reducing backlog suggests that the development and implementation of the FOIA improvement plans have had a positive effect. However, in the absence of consistent statistics on overdue cases, it is not possible to make a full assessment of governmentwide progress in this area. Justice's most recent guidance directs agencies to set goals for reducing backlogs of overdue requests in future fiscal years, which could lead to the development of a consistent metric; however, it does not direct agencies to monitor and report overdue requests or to develop plans for meeting the new goals. Without such planning and tracking, agencies may be challenged to achieve the reductions envisioned.