The scale and performance of FOIA processing vary across the  department. DHS Has Taken Several Key Steps to Enhance Its FOIA Program

In response to Executive Order 13392, DHS and its major components  have taken steps to enhance the department’s program. DHS developed an  improvement plan that included goals focused on eliminating its backlog  of overdue requests, implementing enhanced training requirements, and  deploying advanced technology. In addition, the DHS Privacy Office  initiated several actions to ensure policy compliance and provide oversight  of individual components, such as developing a departmentwide  handbook, completing file reviews at each component, monitoring  monthly data processing statistics, and instituting training for affected  employees. USSS reported a 23 percent reduction in its backlog of overdue requests  since September 2006, reducing the number of overdue requests by 170. Opportunities Exist for DHS to Further Improve FOIA Processing within Its Components

DHS components and other federal agencies have identified key practices  they have adopted to improve the efficiency and cost-effectiveness of their  request-processing operations. These key practices include internal  monitoring and oversight to help reduce component backlogs, specialized  training within components, providing requesters with online access to  information concerning the status of their requests, releasing records in an  electronic format, and the use of electronic redaction. Likewise, within DHS, three of the seven major DHS components have  reported implementing mechanisms for monitoring the processing of  information requests. Providing Request Status Information Online Could Enhance Staff Productivity and Customer Service at DHS Components

Based on experience at a major DHS component, providing requesters  with online access to information concerning the status of their requests  can contribute to improved customer service and staff productivity. DOJ has used electronic dissemination to improve the efficiency of its  processing. By consistently implementing these practices across all major  departmental components, DHS is likely to be able to further reduce its  backlog, increase efficiency, improve customer service, and respond to  FOIA requests in a more timely fashion. Recommendations for Executive Action

To help improve the efficiency and cost-effectiveness of the department’s  FOIA program, we are recommending that the Secretary of Homeland  Security take the following five actions:    Direct the FOIA Officers at the U.S. Customs and Border Protection,  Federal Emergency Management Agency, Transportation Security  Administration, and United States Coast Guard to consider establishing  monitoring and oversight mechanisms to help reduce the backlog of  overdue requests. Our specific objectives were to determine (1) what key steps  DHS has taken to improve its FOIA program, and (2) what opportunities, if  any, exist to improve the efficiency and cost-effectiveness of FOIA  operations across the department.
Why GAO Did This Study

The Freedom of Information Act (FOIA) requires federal agencies to generally provide the public with access to government information. In December 2005, the President issued Executive Order 13392, to improve agencies' FOIA processing. The order required each agency to review its operations and develop plans for improvement. Since its establishment, the Department of Homeland Security (DHS) has accounted for a major and increasing portion of pending FOIA requests governmentwide. While it has reported achieving a notable reduction since 2006, DHS still possesses the largest backlog of overdue requests in the government. GAO was asked to determine (1) what key steps DHS has taken to enhance its FOIA program, and (2) what opportunities exist to improve the efficiency and cost-effectiveness of FOIA operations across the department. To do this, GAO reviewed DHS's improvement plan; examined policies, procedures, and other documentation; and interviewed agency officials.

What GAO Found

DHS has taken steps to enhance its FOIA program. DHS developed an improvement plan that focused on eliminating its backlog of overdue requests, implementing enhanced training requirements, and deploying more advanced technology. Further, the DHS Privacy Office has initiated actions to ensure policy compliance and provide oversight of FOIA operations throughout the department's component agencies, including developing a departmentwide handbook, monitoring monthly data processing statistics, and instituting relevant training for employees. As a result, DHS has reported reducing its backlog by about 24 percent since implementing its plan. However, opportunities exist for DHS to improve the efficiency and cost-effectiveness of FOIA processing across the department. Specifically, implementation of the following practices could facilitate the processing of information requests at a number of its major components: (1) Internal monitoring and oversight. Establishing mechanisms for monitoring and oversight of processing efficiency may help reduce the backlog of open requests. (2) Component-specific training. Component-specific training could enhance the efficiency of processing within component agencies. (3) Online status-checking services. Providing requesters with online access to information concerning the status of their requests could contribute to better customer service and higher staff productivity. (4) Electronic dissemination of records. Releasing records in an electronic format could provide cost savings and increase efficiency. (5) Electronic redaction. By adopting electronic redaction more broadly, DHS may be able to reduce the staff time otherwise spent manually redacting records, while also improving the consistency of its responses to requests. By implementing these practices--which are already being used by certain DHS components and other agencies--across major DHS components, the department could further reduce its backlog, increase efficiency, improve customer service, and respond to information requests in a more timely fashion