Agencies, including DOL, are generally required to respond to a FOIA  request within 20 working days. In fiscal year 2014, the  department reported receiving 16,106 FOIA requests—a 14 percent  decrease from fiscal year 2013. However,  in fiscal year 2015, the reported number of requests processed increased  to 17,104. DOL and Its Components Have Implemented a Decentralized Process to Manage and Prioritize FOIA Requests; However, Not All Responses to Requests Have Been Timely

Responsibilities for managing and processing FOIA requests are handled  by DOL’s 23 component offices. Within one of these components (the  Office of the Solicitor), the Office of Information Services (OIS) serves as  the department’s central FOIA office and has agency-wide responsibility  for managing the program, to include developing and issuing guidance to  implement FOIA initiatives, providing training, and preparing required  annual reports. In  addition, while the components had provided timely responses to many of  the FOIA requests, an estimated 24 percent of the requests were not  responded to within the statutory time frame and most components had  not documented the rationale for these delays in the automated FOIA  tracking system or notified requesters of the delayed responses. This  act requires federal agencies to make their electronic information  accessible to people with disabilities. However, the department had not implemented 4 other recommended  capabilities, and had partially implemented 1 capability. By implementing the additional recommended  capabilities, the department has the opportunity to enhance its FOIA  processing and, thus, improve the efficiency with which it can respond to  information requests. Further, the components processed an estimated 76  percent of the requests within the statutory time frame of 20 working  days. Agencies are  then required to respond to the requester with a decision regarding the  administrative appeal within 20 working days. In its technical comments on a draft of this report, DOL stated that it had  taken various actions to reduce backlogged appeals. DOL Received Sixty- Eight FOIA-Related Lawsuits; Results of Lawsuits Varied, and Requesters Were Not Notified of Mediation Services as an Alternative to Litigation

From January 2005 through December 2014, 68 FOIA-related lawsuits  were filed against DOL, primarily as a result of the department either  failing to respond to requests or because it withheld certain requested  information based on exemptions. Of these lawsuits, the court ruled in favor of the  department in 18 cases, and jointly in favor of both the department and  the requester in 1 case. In addition, among 47 lawsuits, the requesters  received relief either as a result of (1) the courts rendering decisions in  favor of the requesters (3 lawsuits) or (2) the department and the  requesters establishing settlement agreements that awarded attorney’s  fees and other costs to the requesters or resulted in the department  potentially releasing additional information (44 lawsuits). Two lawsuits  were undecided as of April 2016. Specifically, because it has not updated its FOIA regulation to reflect  recent changes to its process, the department may be hindering the  public’s use of that process. Further, although the department  responded to the majority of its fiscal year 2014 FOIA requests within the  time frame mandated by law, it has not consistently documented the  reasons for delays in its automated FOIA tracking system or notified  requesters about them. By ensuring that requesters are made aware of mediation  services offered by the National Archives and Records Administration’s  Office of Government Information Services as an alternative to litigation,  DOL may be able to avoid future lawsuits, thus saving resources. Establish a time frame for implementing, and take actions to fully  implement, recommended best practice capabilities for enhanced  processing of requests in the department’s FOIA system and online  portal. Establish a time frame for consulting with the Department of Justice’s  Office of Information Policy on including language in DOL’s response  letters to administrative appeals notifying requesters of the National  Archives and Records Administration’s Office of Government  Information Services’ mediation services as an alternative to litigation,  and then ensure that the department includes the language in the  letters. Appendix I: Objectives, Scope, and Methodology

Our objectives were to determine (1) how the Department of Labor (DOL)  and its components manage and process Freedom of Information Act  (FOIA) requests, including how they prioritize requests, and the extent  that responses to requests have been timely; and (2) how many lawsuits  DOL has been subject to arising from FOIA requests, and the results of  those lawsuits.
Why GAO Did This Study

FOIA requires federal agencies to provide the public with access to government information in accordance with principles of openness and accountability and generally requires agencies to respond to requests for information within 20 working days. When an agency does not respond or a requester disagrees with the outcomes of his or her request, the requester can appeal a decision or file a lawsuit against the agency. Like other agencies, DOL responds to thousands of FOIA requests each year. In fiscal year 2015, the department received approximately 16,800 requests.
GAO was asked to review DOL's FOIA processing. GAO's objectives were to determine (1) how the department and its components manage and process FOIA requests, including how they prioritize requests, and the extent that responses to requests have been timely; and (2) how many lawsuits DOL has been subjected to arising from FOIA requests, and the results of those lawsuits. To do so, GAO reviewed DOL reports, policies, guidance, and other documentation; analyzed a random sample of FOIA requests processed by the department in fiscal year 2014; reviewed FOIA-related legal records; and interviewed officials.

What GAO Found

Responsibilities for managing and processing Freedom of Information Act (FOIA) requests are handled by the Department of Labor's (DOL) 23 component offices. Within one of these components, the Office of Information Services (OIS) functions as the department's central FOIA office and has agency-wide responsibility for managing the program; however, the department has not updated its FOIA regulation to reflect changes in its process made in response to more recent amendments to the law and new implementing guidance. DOL uses an information technology (IT) system to manage and track requests, but it has not implemented key required and recommended capabilities for enhancing FOIA processing, such as capabilities to accommodate individuals with disabilities or electronic redaction. Implementing the required and recommended capabilities could improve the efficiency of the department's FOIA processing. DOL and its components have implemented a process for prioritizing FOIA requests, allowing for expedited processing in certain cases, and in fiscal year 2014 the department processed an estimated 76 percent of requests that GAO reviewed within 20 working days. For the estimated 24 percent of cases that were not timely, officials attributed these delays, in part, to the involvement of multiple components in a single request or the time required to process large volumes of requested records. However, the department did not document the rationales for delays in its FOIA tracking system or notify requesters of them. Further, the department had not responded to administrative appeals within the statutory time frame of 20 working days, but is taking steps to reduce the backlog of appeals.
From January 2005 through December 2014, 68 FOIA-related lawsuits were brought against DOL. Of these lawsuits, the court ruled in favor of the department in 18 cases, jointly in favor of both the department and the requester in 1 case, and in favor of the requesters in 3 cases. In 44 of the remaining lawsuits, the department and the requesters established settlement agreements that awarded attorney's fees and other costs to the requesters or resulted in the department potentially releasing additional information. A decision on 2 lawsuits was undecided as of April 2016 (see figure).
Although recommended by Department of Justice guidance, the department did not notify requesters of mediation services offered by the Office of Government Information Services as an alternative to litigation. By doing so, DOL may be able to avoid future lawsuits, thus saving resources and ensuring that requesters are kept informed about the department's FOIA process.

What GAO Recommends

GAO is recommending, among other things, that DOL establish a time frame to finalize and issue its updated FOIA regulation and take actions to implement required and recommended system capabilities. In written comments on a draft of the report, the department agreed with the recommendations.