	Background

The Freedom of Information Act establishes a legal right of access to  government information on the basis of the principles of openness and  accountability in government. As such, the department maintains information  covering, among other things, immigration, border crossings, and law  enforcement. Among the 18 selected agencies, all had updated their FOIA response  letters to include this required information. Most Selected Agencies Updated Regulations as Required to Inform the Public of Their FOIA Operations

FOIA requires federal agencies to publish regulations in the Federal  Register that inform the public of their FOIA operations. Agencies Have FOIA Request Backlogs of Varying Sizes, and Most Increased from Fiscal Year 2012 through 2016

The selected agencies in our review varied considerably in the size of  their FOIA request backlogs. Routinely review metrics. These included both the practices identified by Justice, as well  as additional methods. However, all 4 showed an increase over the 5-year  period. State developed and implemented a plan to reduce its backlog in  fiscal year 2016. While agencies with backlogs of 1,000 or more FOIA requests are  required to describe backlog reduction efforts in their chief FOIA officer  reports, these consist of a high-level narrative and do not include a  specific discussion of how the agencies will implement best practices over  time to reduce their backlog. Without a more consistent approach, agencies will continue to struggle to  reduce their backlogs to a manageable level, particularly as the number  and complexity of requests increase over time. Forty-two statutes fell into the commercial category. Fully  implementing FOIA requirements will better position agencies to provide  the public with necessary access to government records and ensure  openness in government. Of the 16 agencies to which we made  recommendations, 9 agencies agreed with all of the recommendations  directed to them; 1 agency agreed with two and disagreed with one  recommendation; 2 agencies disagreed with all of the recommendations;  and 4 agencies did not state whether they agreed or disagreed with our  recommendations. Appendix I: Objectives, Scope, and Methodology

Our objectives were to determine (1) determine the extent to which  agencies have implemented selected Freedom of Information Act (FOIA)  requirements; (2) describe the methods established by agencies to  reduce backlogged requests and the effectiveness of those methods; (3)  identify any statutory (b)(3) exemptions that have been used by agencies  as the basis for withholding (redacting) information; and (4) determine  what FOIA requests, if any, agencies received and processed that related  to entities that received government assistance during the 2008 financial  crisis. For these six requirements, we reviewed (1) agencies’ FOIA  regulations to determine if they included updates from the 2016 FOIA  amendments and 2007 OPEN Government Act; and if they were updated  by the required deadline; (2) agencies’ FOIA systems to determine if the  systems provided individualized tracking numbers for requests that will  take longer than 10 days to process, if agencies’ established telephone or  Internet service to allow requesters to track the status of their requests;  (3) if agencies’ had designated a chief FOIA officer and what position they  held within the agency; (4) if agencies chief FOIA officers provided annual  FOIA training opportunities to agency staff; (5) if agencies had  appropriately updated response letters in compliance with the 2016 FOIA  amendments; and (6) if agencies were providing electronic documents  publicly available online and posting frequently requested documents as  required by the 2016 FOIA amendments. We  identified requirements for agencies to produce backlog reduction plans  and determined if agencies developed such plans as required. To identify any additional statutes that the reviewed agencies did not  claim during fiscal years 2010 to 2016, we developed another catalog of  statutes that have similar provisions as other (b)(3) statutes that authorize  an agency to withhold information from the public.
Why GAO Did This Study

FOIA requires federal agencies to provide the public with access to government records and information based on the principles of openness and accountability in government. Each year, individuals and entities file hundreds of thousands of FOIA requests. In the last 9 fiscal years, federal agencies subject to FOIA have received about 6 million requests.
GAO was asked to review federal agencies' compliance with FOIA requirements. Our objectives, among others, were to (1) determine the extent to which agencies have implemented selected FOIA requirements; (2) describe the methods established by agencies to reduce backlogged requests and the effectiveness of those methods; and (3) identify any statutory exemptions that have been used by agencies as the basis for withholding (redacting) information from requesters.
To do so, GAO selected 18 agencies based on their size and other factors and assessed their policies against six FOIA requirements. GAO also reviewed the agencies' backlog reduction plans and developed a catalog of statutes that agencies have used to withhold information.

What GAO Found

All 18 selected agencies had implemented three of six Freedom of Information Act (FOIA) requirements reviewed. Specifically, all agencies had updated response letters to inform requesters of the right to seek assistance from FOIA public liaisons, implemented request tracking systems, and provided training to FOIA personnel. For the three additional requirements, 15 agencies had provided online access to government information, such as frequently requested records, 12 agencies had designated chief FOIA officers, and 12 agencies had published and updated their FOIA regulations on time to inform the public of their operations. Until these agencies address all of the requirements, they increase the risk that the public will lack information that ensures transparency and accountability in government operations.
The 18 selected agencies had backlogs of varying sizes, with 4 agencies having backlogs of 1,000 or more requests during fiscal years 2012 through 2016. These 4 agencies reported using best practices identified by the Department of Justice, such as routinely reviewing metrics, as well as other methods, to help reduce their backlogs. Nevertheless, these agencies' backlogs fluctuated over the 5-year period (see figure). The 4 agencies with the largest backlogs attributed challenges in reducing their backlogs to factors such as increases in the number and complexity of FOIA requests. However, these agencies lacked plans that described how they intend to implement best practices to reduce backlogs. Until agencies develop such plans, they will likely continue to struggle to reduce backlogs to a manageable level.
Agencies used various types of statutory exemptions to withhold information when processing FOIA requests during fiscal years 2010 to 2016. The majority of these fell into the following categories: personally identifiable information, national security, law enforcement and investigations, and confidential and commercial business information.

What GAO Recommends

GAO is making recommendations to 16 agencies to post records online, designate chief FOIA officers, update regulations, and develop plans to reduce backlogs. Nine agencies agreed with the recommendations, 1 both agreed and disagreed, 2 disagreed, and 4 neither agreed nor disagreed. GAO continues to believe the recommendations are valid.