State Uses a Multistage Process to Respond to Congressional Correspondence

State uses a multistage process to respond to both constituent-related  and substantive correspondence. Specifically, they said that they use the database to track the status of  State’s response letters as they move through the following stages of  State’s process:
Congressional Correspondence Unit initiates case in database:  When State receives a piece of congressional correspondence, the  Congressional Correspondence Unit scans a copy of the  correspondence and records information about it—such as the date  received, the member’s name, and subject—into the database. For all other  cases, the process includes the following stages. Bureau of Legislative Affairs reviews draft response letter: The  tasked bureau or office transmits its draft response letter to the  Congressional Correspondence Unit, which conducts an initial review  of the draft response letter. State Did Not Track the Timeliness of Nearly Half of Its Responses to Congressional Correspondence

We found that State did not track key information about the timeliness of  nearly half of its responses to congressional correspondence. We reviewed data  concerning 4,804 pieces of correspondence and identified 2,524 (53  percent) cases in which State tracked the time it took to respond and also  met its timeliness goal of responding to congressional correspondence  within 21 days. However, we found that the Bureau of Legislative Affairs  did not track the time State took to respond to 1,544 (32 percent) of the  4,804 cases that we reviewed because the Bureau of Consular Affairs— which was tasked with drafting and mailing these responses directly to  constituents and members—did not notify the Bureau of Legislative  Affairs when it did so, as required by State policy. Therefore, we could not determine whether State had actually  sent such acknowledgments in the 736 cases where the response time  exceeded 21 days, which constituted 15 percent of the 4,804 cases we  reviewed. According to State policy,  within 21 business days of receiving congressional correspondence,  State must provide the member with either (1) a response letter or (2) an  interim acknowledgment informing the member that State’s response will  take more than 21 days and explaining why. We reviewed data  concerning the 4,804 pieces of correspondence that State’s database  indicated had been received and responded to between April 2011 and  June 2013. State Did Not Track the Timeliness of Response Letters Tasked to the Bureau of Consular Affairs for Direct Reply to Constituents and Members

We found that State did not track if and when the Bureau of Consular  Affairs replied directly to constituents and sent copies of the replies to  members of Congress because the Bureau of Consular Affairs did not  notify the Bureau of Legislative Affairs when sending those response  letters, as required by State policy. Because State’s database lacks accurate data for almost a third of the  cases we reviewed and does not have complete data on interim  acknowledgments for the 15 percent of cases where the response time  exceeded 21 business days, State cannot readily determine the extent to  which it is meeting its timeliness goal for these cases (see fig. 1). In 2011, State took an important step toward ensuring  that it is doing so by employing a database to help track and manage the  process of drafting and mailing its response letters. Without accurate and complete data, State is not in a  position to identify elements of the process that may be most prone to  delays and develop strategies to improve the timeliness of its response  letters. Ensure that State tracks if and when it provides interim  acknowledgments to members of Congress. In its written  comments, reproduced in appendix II, State agreed with our  recommendations and said it would begin to implement them  immediately.
Why GAO Did This Study

State receives about 2,200 pieces of correspondence each year from members of Congress seeking information. GAO was asked to review State's procedures for responding to requests for information.
GAO examined (1) State's process for responding to congressional correspondence and (2) the extent to which State tracks the timeliness of its responses to congressional correspondence. To do so, GAO reviewed information on 4,804 pieces of correspondence that State indicated it had received and responded to between April 2011—when State said it began using a database to track its response letters—and June 2013. GAO also interviewed cognizant State officials.

What GAO Found

The Department of State (State) uses a multistage process to respond to congressional correspondence. In April 2011, the Bureau of Legislative Affairs (the Bureau), which is responsible for tracking State's response letters, began using a database to track State's responses as they move through the stages of the process. The process includes the Bureau entering key information into a database, tasking other State bureaus or offices with subject matter expertise to draft response letters, and conducting reviews of draft response letters prior to mailing them. In some cases, the Bureau tasks other bureaus with drafting, reviewing, and mailing the letters themselves.
State did not track key information on the timeliness of nearly half of its responses to congressional correspondence. State's timeliness goal is to provide the member, within 21 business days of receiving his or her correspondence, with either a response letter or an interim acknowledgment informing the member of the delay. State tracked the time it took to respond and also met its timeliness goal in 2,524 (53 percent) of the 4,804 cases that GAO reviewed. However, State did not track the timeliness of its responses in 1,544 (32 percent) of the cases GAO reviewed because the bureau tasked with mailing the response directly to constituents and members did not notify the Bureau when it did so, as required by State policy. In those cases, the Bureau recorded the date it tasked the other bureau as the date State sent its response letter, although it had no information as to if or when this actually occurred. In addition, because the Bureau did not systematically track State's interim acknowledgments in cases that took more than 21 days, GAO could not determine whether State actually sent such acknowledgments in 736 (15 percent) of the cases GAO reviewed where the response time exceeded 21 days (see figure). Because its database lacks accurate and complete data, State is not in a position to identify elements of the process that may be most prone to delays and therefore cannot develop strategies to improve the timeliness of its response letters.

What GAO Recommends

GAO recommends that State (1) take steps to ensure that all response letters, including those tasked to bureaus to reply directly to constituents and members, are tracked; and (2) ensure that if and when interim acknowledgments to members of Congress are provided, they are tracked. State agreed with GAO's recommendations and said it would begin to implement them immediately.