	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. Overseeing agencies’ compliance. The first report, compiled from agencies’ annual FOIA  reports, contains statistics on the number of requests received and  processed by each agency, the time taken to respond, and the  outcome of each request, as well as other statistics on FOIA  administration such as number of backlogs, and the use of  exemptions to withhold information from a requestor. Selected Agencies Collect and  Maintain Records That Can Be Subject to FOIA Requests. Selected Agencies Implemented the Majority of FOIA Requirements Reviewed

Among other things, the FOIA Improvement Act of 2016 and the OPEN  Government Act of 2007 calls for agencies to (1) update response  letters, (2) implement tracking systems, (3) provide FOIA training, (4),  provide required records online, (5) designate chief FOIA officers, and (6)  update and publish timely and comprehensive regulations. Figure 3 summarizes  the extent to which the 18 agencies implemented the selected FOIA  requirements. This act requires federal agencies to  make their electronic information accessible to people with disabilities. Most Reviewed Agencies Have Not 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. Until these six agencies publish updated regulations that address the  necessary requirements, as called for in FOIA and OIP guidance, they  likely will be unable to provide the public with required regulatory and  procedural information to ensure transparency and accountability in the  government. Agencies Have Methods to Reduce Backlogged Requests, but Their Efforts Have Shown Mixed Results

In our draft report, we determined that the 18 selected agencies in our  review had FOIA request backlogs of varying sizes, ranging from no  backlogged requests at some agencies to 45,000 or more requests at  other agencies. Generally, the agencies with the largest backlogs had  received the most requests. However, while the agencies reported using these practices and other  methods, few of them managed to reduce their backlogs during the period  from fiscal year 2012 through 2016. OIP identified the following methods in its best practices guidance. Routinely review metrics. 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. In particular, they do not  have documented plans that describe how they will implement best  practices for reducing backlogs over time, including specifying how they  will use metrics to assess the effectiveness of their backlog reduction  efforts and ensure that senior leadership supports backlog reduction  efforts, among other best practices identified by OIP. 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. Various Types of Statutory Exemptions Exist and Many Have Been Used by Agencies

FOIA requires agencies report annually to Justice on their use of statutory  (b)(3) exemptions. Based on data agencies reported to Justice, during fiscal years 2010 to  2016, agencies claimed 237 statutes as the basis for withholding  information. These categories were (1) personally  identifying information, (2) national security, (3) commercial, (4) law  enforcement and investigations, (5) internal agency, (6) financial  regulation, (7) international affairs, and (8) environmental. Accordingly, our draft report contains 23 planned recommendations to  selected agencies. These recommendations address posting records  online, designating chief FOIA officers, updating regulations consistent  with requirements, and developing plans to reduce backlogs.
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 for information on numerous topics that contribute to the understanding of government actions. In the last 9 fiscal years, federal agencies subject to FOIA have received about 6 million requests.
GAO was asked to summarize its draft report on federal agencies' compliance with FOIA requirements. GAO's 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

In its draft report, GAO determined that 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 5 agencies had published and updated their FOIA regulations 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's draft report contains recommendations to selected agencies to post records online, designate chief FOIA officers, update regulations consistent with requirements, and develop plans to reduce backlogs.