a

GAO

United States General Accounting Office

Report to the Ranking Minority Member, 

Committee on the Judiciary, U.S. Senate

February 2004 INFORMATION 

MANAGEMENT

Update on Freedom of 

Information Act 

Implementation Status

GAO-04-257
www.gao.gov/cgi-bin/getrpt?GAO-04-257.

To view the full product, including the scope 

and methodology, click on the link above. 

For more information, contact Linda Koontz at 

(202) 512-6240 or koontzl@gao.gov. 

Highlights of GAO-04-257, a report to the 

Ranking Minority Member, Committee on 

the Judiciary, U.S. Senate 

February 2004

INFORMATION MANAGEMENT 

Update on Freedom of Information Act 

Implementation Status 

The data from 2000 to 2002 reveal the following governmentwide trends: 

(1) agencies reported receiving and processing more requests 

governmentwide (however, the Department of Veterans Affairs accounts for 

approximately 60 percent of the requests received and processed, and when 

it is excluded, the governmentwide total of requests received and processed 

decreased in this time period); (2) agencies also reported a decrease in the 

backlog of pending requests remaining at the end of each year; (3) of the 

FOIA requests processed, agencies granted or partially granted more 

requests each year; and (4) the number of FOIA requests denied dropped 

dramatically between 2000 and 2001, and remained low in 2002. The figure 

below shows the number of requests granted, partially granted, denied, and 

not disclosed for other reasons for fiscal years 2000, 2001, and 2002. 

In response to GAO’s 2001 and 2002 reports, the Department of Justice 

worked with agencies to improve the quality of data in FOIA annual reports. 

Results were mixed in 2002 in three key reporting areas: requests processed, 

administrative appeals processed, and pending requests. On the one hand, 

regarding reported numbers of requests processed and administrative 

appeals processed, fewer agencies had data-quality problems in 2002 than in 

2001. On the other hand, regarding the number of reported pending requests, 

more agencies had data-quality problems in 2002 than in 2001. 

In commenting on a draft of this report, Justice officials generally agreed 

with its content. 

Governmentwide Disposition of Requests, Fiscal Years 2000–2002 

Based on principles of openness 

and accountability in government, 

the Freedom of Information Act 

(FOIA) establishes that federal 

agencies must provide the public 

with access to government 

information, thus enabling them to 

learn about government operations 

and decisions. To ensure 

appropriate implementation of 

FOIA, Congress requires that 

agencies report annually to the 

Attorney General information 

about agencies’ FOIA operations. 

GAO has recently reported twice 

on the annual FOIA reports of 25 

agencies. In 2001, GAO reported 

that data-quality issues limited the 

usefulness of agencies’ annual 

reports. In 2002, GAO reported that 

fewer agency FOIA reports had 

data-quality and consistency 

problems in fiscal year 2001 

compared with fiscal year 2000, 

although some fiscal year 2001 

reports did have data anomalies. 

GAO was asked, among other 

things, to determine (1) trends of 

reported FOIA implementation 

between 2000 and 2002 and 

(2) progress the 25 agencies have 

made addressing reporting 

inconsistencies and data-quality 

problems in annual FOIA reports. 
Page i GAO-04-257 Information Management

Contents

Letter 1

Results in Brief 2

Appendixes

Appendix I: Update on Freedom of Information Act Implementation 

Status 5

Appendix II: Agency Processing Times and Numbers of Requests 

Processed by Track (Attachment 4) 76

Abbreviations

FOIA Freedom of Information Act

FTE Full-time-equivalent

OIP Office of Information and Privacy

This is a work of the U.S. government and is not subject to copyright protection in the 

United States. It may be reproduced and distributed in its entirety without further 

permission from GAO. However, because this work may contain copyrighted images or 

other material, permission from the copyright holder may be necessary if you wish to 

reproduce this material separately.
Page 1 GAO-04-257 Information Management

United States General Accounting Office

Washington, D.C. 20548

A

February 18, 2004 Letr

The Honorable Patrick Leahy

Ranking Minority Member

Committee on the Judiciary

United States Senate 

Dear Senator Leahy:

Based on principles of openness and accountability in government, the 

Freedom of Information Act (FOIA) establishes that federal agencies must 

provide the public with access to government information (unless the 

information falls into one of nine specifically exempted categories), thus 

enabling them to learn about government operations and decisions. To 

ensure appropriate implementation of FOIA, Congress requires that 

agencies report annually to the Attorney General information about 

agencies’ FOIA operations.

We have recently reported twice1 on the annual FOIA reports of 25 

agencies.2 In 2001, we reported on the data for fiscal years 1998 and 1999. 

We noted that data-quality issues limited the usefulness of agencies’ annual 

reports. In 2002, we reported on the data for fiscal years 1998, 1999, 2000, 

and 2001. We noted that fewer agency FOIA reports had data-quality and 

consistency problems in fiscal year 2001 compared with fiscal year 2000, 

although some fiscal year 2001 reports did have data anomalies. 

You requested that we determine (1) the current status of reported FOIA 

implementation, including trends between 2000 and 2002; (2) what 

progress the 25 agencies have made addressing reporting inconsistencies 

and data-quality problems in annual FOIA reports; and (3) whether federal 

agencies made accommodations to receive FOIA requests electronically 

after the attacks of September 11, 2001, and subsequent anthrax attacks.

1

U.S. General Accounting Office, Information Management: Progress in Implementing the 

1996 Electronic Freedom of Information Act Amendments, GAO-01-378 (Washington, D.C.: 

Mar. 16, 2001); and Information Management: Update on Implementation of the 1996 

Electronic Freedom of Information Act Amendments, GAO-02-493 (Washington, D.C.: Aug. 

30, 2002).

2

The 25 agencies included in this review are the 24 major agencies referred to in the Chief 

Financial Officers Act, plus the Central Intelligence Agency.
Page 2 GAO-04-257 Information Management

To determine the current status of reported FOIA implementation, 

including trends between 2000 and 2002, we examined, consolidated, and 

analyzed annual FOIA report data from 25 major agencies to capture the 

current state of FOIA implementation as well as to identify any changes, 

trends, and inconsistencies over the past 3 years. We also interviewed 

agency FOIA officials. To determine what progress the 25 agencies have 

made in addressing reporting inconsistencies and data-quality problems, 

we reviewed data from previous reviews, reviewed 2002 annual FOIA 

reports for completeness, verified data for consistency, and interviewed 

agency officials. To determine whether federal agencies made 

accommodations to receive FOIA requests electronically after the attacks 

of September 11, 2001, and subsequent anthrax attacks, we collected Web 

site data in July 2003 and compared them with data collected from June to 

October 2000 and from May to June 2002, and we interviewed agency FOIA 

officials about the addition of electronic capabilities for FOIA request 

submissions. Our work was conducted from May through October 2003 in 

accordance with generally accepted government auditing standards. We 

did not verify the self-reported data contained in agencies’ annual FOIA 

reports.

On October 31, 2003, we provided a briefing to your office on the results of 

our work. The briefing slides3

 are included in appendix I. The purpose of 

this report is to provide the published briefing slides for dissemination to 

you and the Attorney General.

Results in Brief With regard to the current status of FOIA implementation, the 25 agencies 

under review reported receiving and processing about 2.3 million requests; 

88 percent of the requests received were granted in full. Governmentwide, 

these agencies reported spending approximately $283 million on FOIA 

activities and collecting about $6 million in fees. These agencies also 

reported dedicating about 4,900 full-time-equivalent personnel to the 

handling of FOIA requests. Examining the data for trends from 2000 to 

2002, we observed the following:

• Agencies reported receiving and processing more requests 

governmentwide. However, when the Department of Veterans Affairs 

(which accounts for approximately 60 percent of the requests received 

3

We have amended the briefing slides as of January 13, 2004, to include technical corrections 

and clarifications.
Page 3 GAO-04-257 Information Management

and processed) is excluded, the total number of requests received and 

processed governmentwide decreased in this time period.

• Agencies also reported a decrease in the backlog of pending requests 

remaining at the end of each year.

• Of the FOIA requests processed, agencies granted or partially granted 

more requests each year.

• The number of FOIA requests denied governmentwide dropped 

dramatically between 2000 and 2001, and remained low in 2002.

In response to our 2001 and 2002 reports, the Department of Justice issued 

supplemental guidance, addressed reporting requirements in its training 

programs, and continued reviewing agencies’ annual reports for data 

quality. Justice worked with agencies to improve the quality of data in FOIA 

annual reports. Three key reporting areas (requests processed, 

administrative appeals processed, and pending requests) showed mixed 

results in 2002. On the one hand, regarding reported numbers of requests 

processed and administrative appeals processed, fewer agencies had dataquality problems in 2002 than in 2001. On the other hand, regarding the 

number of reported pending requests, more agencies had data-quality 

problems in 2002 than in 2001.

Three agencies made accommodations to receive FOIA requests 

electronically4

 after the attacks of September 11, 2001, and the mail delays 

due to the anthrax attacks in Washington, D.C. These agencies told us that 

electronic submission capabilities were added for reasons other than the 

September 11 and anthrax attacks. For example, agencies stated that 

electronic submission can save time and be easier for the requester. Eleven 

agencies allowed electronic FOIA request submission before September 11, 

2001. Eleven agencies did not allow for electronic FOIA request submission 

as of July 2003.

In providing oral comments on a draft of this report, the Justice Office of 

Information and Privacy (OIP) co-directors stated that the department 

4

While the Electronic Freedom of Information Act Amendments of 1996 elevated the 

importance of making information available electronically, they do not require that agencies 

establish the capability to receive FOIA requests through the Internet. However, the 

Department of Justice stated in 1998 guidance that agencies should explore their capability 

to receive FOIA requests electronically through the Internet.
Page 4 GAO-04-257 Information Management

generally agreed with the report’s content as presented. The OIP officials 

also made a number of technical comments, which we incorporated as 

appropriate.

As agreed with your office, unless you publicly announce its contents 

earlier, we plan no further distribution of this report until 5 days from the 

date of this letter. At that time, we will send copies of this report to the 

Attorney General and the heads of other interested congressional 

committees. We are also sending copies to the 25 departments and agencies 

we surveyed. Copies will be made available to others on request. In 

addition, this report will be available at no charge on the GAO Web site at

www.gao.gov.

If you have any questions concerning this report, please call me at (202) 

512-6240 or send e-mail to koontzl@gao.gov. Key contacts and major 

contributors to this report are Elizabeth Bernard, Barbara Collier, John de 

Ferrari, Neil Doherty, Katherine Howe, Scott Lassiter, and David Plocher.

Sincerely yours,

Linda D. Koontz

Director, Information Management Issues
Page 5 GAO-04-257 Information Management

Appendix I

Update on Freedom of Information Act Apendxies

Implementation Status ApendxiI

Update on Freedom of Information Act 

Implementation Status

Briefing for the staff of the 

Senate Committee on the Judiciary

October 31, 2003
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 6 GAO-04-257 Information Management

2

Agenda

• Introduction

• Objectives

• Scope and Methodology

• Results in Brief

• Background

• FOIA Implementation Status and Trends

• Data Quality

• Accommodations for Electronic Requests

• Summary

• Agency Comments

• Attachment 1: 25 Agencies Reviewed and Abbreviations

• Attachment 2: Freedom of Information Act Exemptions 

• Attachment 3: Other Reasons for Nondisclosure

• Attachment 4: Agency Processing Times and Numbers of Requests Processed by Track
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 7 GAO-04-257 Information Management

3

Introduction

The Freedom of Information Act (FOIA) establishes that federal agencies must 

provide the public with access to government information, unless the information 

falls into nine specifically exempted categories. The act is intended to enable the 

public to learn about the operations and decisions of the federal government. The 

act includes provisions requiring agencies to report annually to the Attorney 

General on the requests they received and how they responded to them. Enacted 

in 1966, the act was amended in 1974, 1976, 1986, 1996, and 2002.

The Electronic Freedom of Information Act (e-FOIA) Amendments in 1996 

• were intended to extend the principles of FOIA to information stored 

electronically and to improve public access to agency information;

• expanded what agencies were required to report in their annual reports on the 

status of FOIA requests and responses to include, among other things, the 

number of requests pending, the cost of an agency’s FOIA activities, fees 

collected for FOIA requests, and agency staff information; and

• required reporting on the disposition of administrative appeals by requesters to 

have higher-level agency officials reconsider decisions not to disclose 

requested information.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 8 GAO-04-257 Information Management

4

Introduction

GAO has reported twice1 on the annual FOIA reports of 25 agencies: the 24 major 

agencies referred to in the Chief Financial Officers Act, plus the Central Intelligence 

Agency (see attachment 1). 

• In the 2001 report, we reported on the data for fiscal years 1998 and 1999. We 

reported that data-quality issues limited the usefulness of agencies’ annual 

reports.

• In the 2002 report, we reported on the data for fiscal years 1998, 1999, 2000, 

and 2001. We reported that fewer agency FOIA reports had data-quality and 

consistency problems in fiscal year 2001 compared to fiscal year 2000,

although some fiscal year 2001 reports did have data anomalies. In addition, 

not all the materials required by e-FOIA were available online.

1Information Management: Progress in Implementing the 1996 Electronic Freedom of Information Act Amendments, GAO-01-

378 (Washington, D.C.: Mar. 16, 2001); Information Management: Update on Implementation of the 1996 Electronic Freedom 

of Information Act Amendments, GAO-02-493 (Washington, D.C.: Aug. 30, 2002).
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 9 GAO-04-257 Information Management

5

Objectives

As requested by the Ranking Minority Member of the committee, our objectives 

were to

1. determine the current status of reported FOIA implementation, including 

trends between 2000 and 2002;

2. determine what progress the 25 agencies have made addressing reporting 

inconsistencies and data-quality problems in annual FOIA reports; and

3. determine whether federal agencies made accommodations to receive 

FOIA requests electronically after the September 11, 2001, attacks and 

subsequent anthrax attacks.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 10 GAO-04-257 Information Management

6

Scope and Methodology

To determine the current status of reported FOIA implementation, including trends between 

2000 and 2002, we

• examined and consolidated annual FOIA report data from 25 major agencies to capture 

the current state of FOIA implementation (herein we refer to this scope as 

governmentwide);

• analyzed annual reports governmentwide to identify any changes, trends, and 

inconsistencies over the past 3 years (fiscal years 2000, 2001, and 2002);

• interviewed agency FOIA officials about the trends and changes; and 

• analyzed agencies’ median2 processing times (in days) for different types of requests.

• Some agencies reported median processing times at the component level, with as 

many as 39 component times reported for one agency. In these cases, we reported

the range of their components’ times each year, from the lowest to the highest 

number of median days.

• Because of these limitations, we could make only partial comparisons of these 

agencies’ median processing times over the past 3 years.

2 A median is the value in an ordered set of values below and above which there is an equal number of values; if there is no 

one middle number, it is the value that is the arithmetic mean of the two middle values. This is not an average.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 11 GAO-04-257 Information Management

7

Scope and Methodology

To determine the progress that the 25 agencies have made in addressing reporting 

inconsistencies and data-quality problems in annual FOIA reports, we

• reviewed data from previous reviews and reviewed the fiscal year 2002 annual 

reports for completeness (e.g., that each annual report included all items that 

are required by law); 

• verified that similar data appearing in different locations of the report were 

consistent, and that summed values were correct; and

• interviewed agency FOIA officials about the data-quality problems.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 12 GAO-04-257 Information Management

8

Scope and Methodology

To determine whether federal agencies made accommodations to receive FOIA 

requests electronically after the attacks of September 11, 2001, and subsequent 

anthrax attacks, we collected Web site data in July 2003 and compared them with 

data collected from June to October 2000 and from May to June 2002. We also 

interviewed agency FOIA officials about the addition of electronic request

submission capability.

We performed our work from May through October 2003, in accordance with 

generally accepted government auditing standards. We did not verify the selfreported data contained in agencies’ annual FOIA reports. 
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 13 GAO-04-257 Information Management

9

Results in Brief: Objective 1

FOIA Implementation Status and Trends

In 2002, the 25 agencies we reviewed reported receiving and processing about 2.3 

million requests; 88 percent of the requests received were granted in full. 

Governmentwide, these agencies reported spending approximately $283 million on 

FOIA activities and collecting about $6 million in fees. These agencies also 

reported dedicating about 4,900 full-time-equivalent personnel to the handling of 

FOIA requests.

Trends from 2000 to 2002

• Agencies reported receiving and processing more requests governmentwide.

However, when Veterans Affairs (which accounts for approximately 60 percent

of requests received and processed) is excluded, the governmentwide total of 

requests received and processed decreased in this time period.

• Agencies also reported a decrease in the backlog of pending requests 

remaining at the end of each year. 

• Of the FOIA requests processed, agencies granted or partially granted more 

requests each year. 

• The number of FOIA requests denied governmentwide dropped dramatically 

between 2000 and 2001, and remained low in 2002.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 14 GAO-04-257 Information Management

10

Results in Brief: Objective 2

Progress Made

In response to our 2001 and 2002 reports, Justice issued supplemental guidance, 

addressed reporting requirements in its training programs, and continued reviewing 

agencies’ annual reports for data quality. 

In 2002, Justice worked with agencies to improve the quality of data in FOIA annual 

reports. Mixed results were evident in three key reporting areas in 2002:

• Requests processed. Fewer agencies had data-quality problems this year (4 

agencies) compared with the previous year (5 agencies). 

• Administrative appeals processed. Fewer agencies had data-quality 

problems this year (5 agencies) compared with the previous year (7 agencies).

• Pending requests. More agencies had data-quality problems this year (12 

agencies) compared with the previous year (10 agencies).
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 15 GAO-04-257 Information Management

11

Results in Brief: Objective 3

Electronic Receipt of Requests

Three agencies have made accommodations to receive electronic requests3 since

October 2000. 

• These agencies made accommodations to receive FOIA requests electronically 

after the attacks of September 11, 2001, and subsequent mail delays due to 

anthrax attacks in Washington, D.C. However, the agencies told us that the 

electronic submission capability was added for reasons other than the 

September 11 and anthrax attacks. For example, agencies stated that 

electronic submission can save time and be easier for the requester.

Eleven agencies allowed electronic FOIA request submission before September 

11, 2001.

Eleven agencies did not allow electronic FOIA request submission as of July 2003.

3 While the Electronic Freedom of Information Act Amendments of 1996 elevated the importance of making information

available electronically , they do not require that agencies establish the capability to receive FOIA requests through the 

Internet. However, the Department of Justice stated in 1998 guidance that agencies should explore their capability to receive

FOIA requests electronically through the Internet.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 16 GAO-04-257 Information Management

12

Results in Brief 

Agency Comments

In providing oral comments on a draft of this briefing, officials of Justice’s Office of 

Information and Privacy (OIP) generally agreed with the content as presented. The 

OIP officials also made a number of technical comments, which we incorporated as 

appropriate.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 17 GAO-04-257 Information Management

13

Background

Enacted in 1966, FOIA generally provides any person the right, enforceable in court, to obtain 

access to federal records, except to the extent that such records (or portions of them) are

protected from public disclosure by one of nine exemptions (see attachment 2). FOIA 

exclusions also exist for specific sensitive records held by law enforcement agencies. 

Agencies have developed four ways to describe how they process requests for information 

under FOIA:

• “Grants” are agency decisions to disclose all records in full.

• “Partial grants” are (1) agency decisions to disclose a record in part, deleting information

determined to be exempt under one or more exemptions, or (2) decisions to disclose 

some records in their entirety, but to withhold others in whole or in part.

• “Denials” are agency decisions not to release any part of the requested records because 

all information in the records is determined to be exempt under one or more exemptions.

• “Not disclosed for other reasons” are agency decisions not to release information for a 

variety of reasons as detailed in attachment 3.

The following slide is a generic overview of the agency FOIA process.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 18 GAO-04-257 Information Management

14

Background

Generic Overview of Agency FOIA Process
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 19 GAO-04-257 Information Management

15

Background

Administrative Appeals

When a FOIA request is denied in full or in part, or the requested record is not 

disclosed for other reasons, the requester is entitled to be told the reason for the 

denial, to appeal the denial, and to challenge it in court. 

In the initial process or during the administrative appeal process, agencies may 

also cite a variety of reasons other than exemptions for not disclosing records 

(called “not disclosed for other reasons”). Examples include that the agency had no 

records responsive to the request, that the request was withdrawn by the 

requester, or that the agency determined that the requested records were not 

reasonably described. For a complete list of these other reasons for not disclosing 

records, along with definitions, see attachment 3.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 20 GAO-04-257 Information Management

16

Background

FOIA Reporting Requirements

E-FOIA requires that agencies submit a report to the Attorney General on or before 

February 1 of each year that covers the preceding fiscal year and includes 

information about agencies’ FOIA operations. 

The following are examples of information that is to be included in these reports: 

• number of requests received, processed, and pending; 

• median number of days taken by the agency to process requests;

• whether the requests were processed using simple, complex, or single tracks;4

4Simple and complex tracks result when agencies use the option of “multitrack” processing, defined in Justice guidance as “a 

system in which simple requests requiring relatively minimal review are placed in one processing track and more voluminous

and complex requests are placed in one or more other tracks.” Single track refers to processing that does not distinguish

between simple and complex requests.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 21 GAO-04-257 Information Management

17

Background

FOIA Reporting Requirements (cont’d)

• median number of days taken by the agency to process expedited and pending 

requests;5

• determinations made by the agency not to disclose information and the reasons 

for not disclosing the information;

• disposition of administrative appeals by requesters;

• information on the costs associated with handling of FOIA requests; and

• full-time-equivalent staffing information.

5 E-FOIA requires that agencies give higher priority to expedited requests, that is, requests for which a requester has shown

exceptional need or urgency for the records that warrants giving priority to that request over other requests that were made

earlier. Once expedited, the processing time for a request can depend upon volume, complexity, and other factors.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 22 GAO-04-257 Information Management

18

Background

Median Processing Times—Agency Approaches

Agencies have used varying approaches to report median processing times over 

the last 3 years. For example, 12 agencies changed their reporting method 

• from simple/complex to single, 

• from single to simple/complex, or

• from departmentwide reporting to component-level reporting.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 23 GAO-04-257 Information Management

19

FOIA Implementation Status and Trends

Overview

We present data in the following areas:

• 2002 summary

• FOIA trend analysis

• Requests received, processed, and pending

• Backlog of pending requests

• Median processing times

• Disposition of requests

• Nondisclosure

• Costs and staffing
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 24 GAO-04-257 Information Management

20

FOIA Implementation Status and Trends

2002 Summary

As mentioned, in 2002, the 25 agencies we reviewed reported receiving and 

processing over 2.3 million requests.

As in years past, Veterans Affairs6 accounted for a large portion of both requests

received and requests processed. Therefore, when the data governmentwide are 

examined as a whole, they typically reflect Veterans Affairs numbers (see table 

below).

Veterans Affairs requests

Pending

Processed

Received

Requests

140,000 43,000 31

2.4 million 1.5 million 63

2.3 million 1.5 million 64

Requests governmentwide Number Percentage of governmentwide

Note: All values were self-reported by the agencies. The totals were rounded.

6 Before 1999, the number of requests received by Veterans Affairs was comparable to those received by Justice. In 1999, 

Veterans Affairs began counting first-party medical requests as FOIA requests, as directed by Justice guidance, and the total 

number of reported requests received by it increased dramatically (approximately 447 percent). Veterans Affairs officials have

stated that this type of request is relatively easy to process.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 25 GAO-04-257 Information Management

21

FOIA Implementation Status and Trends

2002 Summary

In 2002, most (88 percent) FOIA requests governmentwide were granted in full, as 

shown in the following table. Most of the requests that were granted in full were 

processed by Veterans Affairs.

169,000 7 20,000

Not disclosed for

other reasons

Denials 18,000 1 3,000

Partial grants 85,000 4 9,000

Grants 2.1 million 88 1.5 million

Number of requests 

to Veterans Affairs

Percentage of requests 

processed

Number of requests 

Disposition governmentwide

Note: All values were self-reported by the agencies. The totals were rounded.

Agency decisions to grant requests varied widely in 2002, as shown in the 

following slide.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 26 GAO-04-257 Information Management

22

FOIA Implementation Status and Trends

2002 Summary
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 27 GAO-04-257 Information Management

23

FOIA Implementation Status and Trends

2002 Summary

Governmentwide, agencies reported spending approximately $283 million on FOIA 

activities in 2002. Veterans Affairs’ portion of those costs was approximately $33 

million (about 11 percent). Justice reported spending about $82 million on FOIA 

activities (about 29 percent).

Agencies reported collecting about $6 million in FOIA fees from requesters in 2002. 

Veterans Affairs collected approximately $565,000 in fees (about 10 percent of fees 

collected governmentwide). The Social Security Administration collected more in 

FOIA fees than any other agency—about $2 million (about 35 percent of all fees).

In 2002, agencies reported dedicating about 4,900 full-time-equivalent (FTE) 

personnel governmentwide to handling FOIA requests and other FOIA 

responsibilities. Veterans Affairs had about 850 FTE personnel, which was 

approximately 17 percent of FTE personnel used governmentwide. Justice 

dedicated about 1,000 FTEs to FOIA activities (about 22 percent).
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 28 GAO-04-257 Information Management

24

FOIA Implementation Status and Trends

Trends in Requests Received, Processed, and Pending

Overall, from 2000 to 2002, 24 of the agencies (without Veterans Affairs) reported 

receiving and processing a decreased number of requests governmentwide; when 

the Veterans Affairs reported data are included (which accounts for approximately 

60 percent of requests received and processed), the number increased (see 

following slide).

Received. The total decreased by about 10 percent. If the Veterans Affairs data

are included, the number of FOIA requests received governmentwide increased by 

about 8 percent.

Processed. The total decreased by about 5 percent. If the Veterans Affairs data

are included, the number of requests processed increased by about 10 percent.

Pending. The backlog of pending requests at the end of the year governmentwide

decreased by about 23 percent. If the Veterans Affairs data are included, the 

backlog of pending requests decreased by about 15 percent.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 29 GAO-04-257 Information Management

25

FOIA Implementation Status and Trends

Trends in Requests Received, Processed, and Pending
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 30 GAO-04-257 Information Management

26

FOIA Implementation Status and Trends

Trends in Requests Received, Processed, and Pending

Over the years, Veterans Affairs has received the largest number of FOIA requests. 

Other agencies that have also received a high number of requests include

Agriculture, Defense, Justice, Health and Human Services, the Social Security 

Administration, and Treasury, as shown in the following slide.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 31 GAO-04-257 Information Management

27

FOIA Implementation Status and Trends

Trends in Requests Received, Processed, and Pending

Note: All agencies received some requests, although the scale in this graph makes it appear that some

agencies receive none. This scale is necessary to portray the large number of requests received by

Veterans Affairs.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 32 GAO-04-257 Information Management

28

FOIA Implementation Status and Trends

Trends in Backlog of Pending Requests

Although the governmentwide backlog remained relatively constant between 2000 

and 2001, it decreased between 2001 and 2002.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 33 GAO-04-257 Information Management

29

FOIA Implementation Status and Trends

Trends in Backlog of Pending Requests—Backlog Rate

The backlog rate governmentwide decreased from about 8 percent in 2001 to 

about 6 percent in 2002. When Veterans Affairs requests are removed from the 

equation, the governmentwide backlog rate decreased from about 16 percent in 

2001 to about 12 percent in 2002. 

We define an agency’s backlog rate (see next slide) as the number of requests 

pending at the end of the year, divided by the number of requests received that 

year. Agencies with a value over 100 percent have more backlog than requests 

received per year.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 34 GAO-04-257 Information Management

30

FOIA Implementation Status and Trends

Trends in Backlog of Pending Requests—Backlog Rate
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 35 GAO-04-257 Information Management

31

FOIA Implementation Status and Trends

Trends in Backlog of Pending Requests—Agency Processing Rate

The Central Intelligence Agency is the only agency that over the past 3 years has 

consistently decreased the number of requests in its backlog of pending requests.

Its processing rate has been above 100 percent the past 3 years.

We define an agency processing rate (see next slide) as the percentage of 

requests that an agency processes during 1 year out of the requests that an 

agency receives in that year. An agency processing rate of under 100 percent 

means an agency has an increasing number of pending requests.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 36 GAO-04-257 Information Management

32

FOIA Implementation Status and Trends

Trends in Backlog of Pending Requests—Agency Processing Rate
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 37 GAO-04-257 Information Management

33

FOIA Implementation Status and Trends

Trends in Backlog of Pending Requests—Reasons for Decline

Four agencies (Energy, Housing and Urban Development, State, and the

Environmental Protection Agency) had a jump in their agency processing rates and 

a corresponding decline in the number of requests in their backlog in 2002. 

An agency official from State indicated that the decline was due to the creation of a 

special task force specifically designed to reduce State’s backlog of pending 

requests.

Agency officials of the remaining three agencies stated the decline in the backlog of 

pending requests came about for the following reasons:

• agency closed requests due to requester death, 

• agency determined that open requests should be considered closed,

• requester no longer wanted the information, or

• requester no longer worked for the organization that requested the information,

and the organization chose to withdraw the request.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 38 GAO-04-257 Information Management

34

FOIA Implementation Status and Trends

Trends in Median Processing Times—Simple Requests

For agencies that used a simple-track method, reported median processing times 

varied widely. Specifically, 17 agencies used this method in 2001 and 2002.

• Seven had a decrease in the median processing time from 2001 to 2002:

• One of the 17 agencies, State, had an increase in median processing time.

• Four agencies had no change in their simple-track median processing time: the 

Central Intelligence Agency, Transportation, Health and Human Services, and 

the National Aeronautics and Space Administration. 

• Because of agencies’ reporting methods, we were unable to determine an 

increase or decrease for the remaining five agencies that reported simple 

requests in 2001 and 2002.

• Housing and Urban Development8

• Nuclear Regulatory Commission 

• Social Security Administration9

• Commerce

• Defense

• Energy

• Justice7

7,8,9 We determined the decrease for Justice, Housing and Urban Development, and the Social Security Administration by 

identifying that the lowest reported component median and highest component median both decreased.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 39 GAO-04-257 Information Management

35

FOIA Implementation Status and Trends

Trends in Median Processing Times—Complex Requests

Reported median processing times for agencies that used a complex-track method 

varied widely. Specifically, 19 agencies used this method in 2001 and 2002. 

• Ten agencies had a decrease in median processing times between 2001 and 

2002:

• Two of the 19 agencies had an increase in median processing times for 

complex requests (Transportation and the Nuclear Regulatory Commission). 

• Because of the agencies’ reporting methods, we were unable to determine an 

increase or decrease for the remaining seven agencies that reported complex 

requests in 2001 and 2002. 

10,11 We determined the decrease for Justice and Treasury by identifying that the lowest component median and highest 

component median both decreased.

• Central Intelligence Agency

• Commerce

• Defense

• Energy

• Federal Emergency 

Management Agency

• Justice10

• Social Security Administration 

• National Aeronautics and Space Administration

• State

• Treasury11
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 40 GAO-04-257 Information Management

36

FOIA Implementation Status and Trends

Trends in Median Processing Times—Single-Track

Few agencies use single-track processing. Specifically, four agencies used singletrack processing in 2001 and 2002.

• Two agencies (Interior12 and the National Science Foundation) had a decrease 

in the median processing time between 2001 and 2002.

• One of the four agencies had an increase in median processing time for singletrack processing (the Agency for International Development). 

• Due to agencies’ reporting methods, we were unable to determine an increase 

or decrease for Health and Human Services. 

See following slide for median processing times. 

Additional detail on individual agencies appears in attachment 4.

12 We determined the decrease for Interior by identifying that the lowest component median and highest component 

median both decreased.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 41 GAO-04-257 Information Management

37

FOIA Implementation Status and Trends 

Trends in Median Processing Times—Simple, Complex, Single

Note: A dash indicates that the agency did not have any requests in a given track in a given year.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 42 GAO-04-257 Information Management

38

FOIA Implementation Status and Trends 

Trends in Median Processing Times—Expedited

E-FOIA requires that agencies give higher priority to “expedited” requests—defined

as requests in which a requester has shown exceptional need or urgency for the 

records that warrants giving priority over other requests that were made earlier.

When median processing times are compared for agencies that process expedited 

requests, the median number of days varies widely. 

Nineteen of the 25 agencies reported processing expedited requests in one or 

more years between 2000 and 2002. 

Six agencies had median expedited processing times greater than 100 days in at 

least 1 year for at least one component.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 43 GAO-04-257 Information Management

39

FOIA Implementation Status and Trends 

Trends in Median Processing Times—Expedited 

—

6–75

2-10

29

2–28

1–190

5–33

118

1

—

—

—

2002

FEMA — —

EPA 44 8–105

ED 12 13

DOT 1 8

DOL 6 6

DOJ 1–106 1–107

DOI 12 1–10

DOE 10 10

DOD 3 3

DOC — 8

CIA — —

AID — —

Agency 2000 2001

1–7

3–76

2–5

255

—

—

4

—

23

3

5–27

16–27

—

2002

VA 2 3

USDA 12 33

Treasury 8 3

State 518 252

SSA — —

SBA — 1

OPM — 1

NSF — —

NRC 16 105

NASA 3 10

HUD — 5–18

HHS 5–135 1–111

GSA — —

Agency 2000 2001

Note: A dash indicates that the agency did not have 

any expedited requests. 
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 44 GAO-04-257 Information Management

40

FOIA Implementation Status and Trends 

Trends in Median Processing Times—Pending 

The median processing times for requests pending in agency backlogs varied 

widely.

In 2002, eight agencies reported median processing times for pending requests 

that were greater than 1 year (defined as 251 business days) in length. Eleven 

agencies reported median processing times for pending requests that were greater 

than 1 year in length for at least 1 of the last 3 years (2000–2002).
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 45 GAO-04-257 Information Management

41

FOIA Implementation Status and Trends 

Trends in Median Processing Times—Pending 

205

11–438

5–211

41

8-36

2–828

5–1,407

97

87

55

601

356

2002

FEMA 50 200

EPA 517 10–1,524

ED 150 31

DOT 30 99

DOL 36 24

DOJ 1–509 4–817

DOI 22 7–1,059

DOE 2,090 2,009

DOD 87 55

DOC 26 30

CIA 474 605

AID 59 263

Agency 2000 2001

3–46

5–661

1–545

546

7–48

—

17

25

22–218

44

7–68

7–206

29

2002

VA 15 15

USDA 30 30

Treasury 3–243 9–303

State 839 445

SSA 50 84–99

SBA — —

OPM 23 15

NSF 25 25

NRC 28 10–31

NASA 69 48

HUD 262 11–266

HHS 5–301 10–228

GSA 25 25

Agency 2000 2001

Note: A dash indicates that this agency did not report

any median time for processing of pending requests.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 46 GAO-04-257 Information Management

42

FOIA Implementation Status and Trends

Trends in Disposition of Requests—Governmentwide

The number of grants governmentwide has increased every year from 2000 to 

2002.

• Excluding Veterans Affairs, the number of grants governmentwide decreased 

from 2000 to 2001 and increased from 2001 to 2002.

• Veterans Affairs accounted for about 70 percent of grants. 

The number of partial grants governmentwide has increased every year from 

2000 to 2002.

• Excluding Veterans Affairs, the number of partial grants governmentwide 

decreased from 2000 to 2001 and increased from 2001 to 2002.

• Veterans Affairs accounted for about 10 percent of partial grants. 

The number of FOIA requests denied governmentwide dropped dramatically 

between 2000 and 2001 and remained low in 2002.

The number of FOIA requests not disclosed for other reasons decreased between 

2000 and 2001, and it increased between 2001 and 2002. Excluding Veterans

Affairs, this number decreased each year from 2000 to 2002.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 47 GAO-04-257 Information Management

43

FOIA Implementation Status and Trends

Trends in Disposition of Requests—Governmentwide
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 48 GAO-04-257 Information Management

44

FOIA Implementation Status and Trends

Trends in Nondisclosure—Exemptions

Agencies reported citing an increasing number of exemptions. They often cited 

multiple exemptions for a partial grant or denial. The number of exemptions cited in 

dispositions increased by approximately 33 percent from 2000 to 2001, and by 

approximately 73 percent from 2001 to 2002. In 2000, about 219,000 exemptions 

were cited; in 2001, about 292,000 exemptions were cited; and in 2002, about 

504,000 exemptions were cited. 

The use of two specific exemptions increased dramatically from 2001 to 2002 (see 

next slide). 

• The use of exemption 6—“personnel and medical files and similar files the 

disclosure of which would constitute a clearly unwarranted invasion of personal 

privacy”—increased by about 95 percent. 

• The use of exemption 7(C)—“records or information compiled for law 

enforcement purposes, but only to the extent that the production of such law 

enforcement records or information could reasonably be expected to constitute 

an unwarranted invasion of personal privacy”—increased by about 117 percent.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 49 GAO-04-257 Information Management

45

FOIA Implementation Status and Trends

Trends in Nondisclosure—Exemptions

Note: All exemptions were used, although the scale in this graph makes it appear that exemptions 7(B), 8, and 9 were not. This

scale is necessary to portray the large number of times that exemptions 6 and 7(C) were used.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 50 GAO-04-257 Information Management

46

FOIA Implementation Status and Trends

Trends in Nondisclosure—Not Disclosed for Other Reasons

Requests in the “not disclosed for other reasons” category reflect agency decisions 

not to release information on the basis of the following reasons (see attachment 3 

for further details): no record responsive to the request, referrals to another agency, 

request withdrawn, fee-related reason, not reasonably described, not a proper 

FOIA request, not an agency record, duplicate request, and other reasons.

In each of the 3 years, about 60,000 (approximately 37 percent) of these requests

were denied because agencies had no record responsive to the request.

Justice reported the greatest number of requests in the “not disclosed for other 

reasons” category, constituting an average of approximately 43 percent of all such 

requests over the past 3 years.

Between 2000 and 2001, the number of requests reported by Justice in the “other 

reasons” category dropped from about 50,000 to about 3,700;13 therefore, the 

governmentwide category dropped between 2000 and 2001.

13 The drop at Justice was due almost entirely to a change in reporting methodology by a single Justice 

Department component, the Immigration and Naturalization Service.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 51 GAO-04-257 Information Management

47

FOIA Implementation Status and Trends

Trends in Nondisclosure—Not Disclosed for Other Reasons
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 52 GAO-04-257 Information Management

48

FOIA Implementation Status and Trends

Trends in Nondisclosure—Administrative Appeals

For about 80 percent of the administrative appeals processed, either the appeals 

were upheld, meaning that the agency stood by its original decision not to disclose 

any of the requested records, or the records were “not disclosed for other reasons.” 

“Other reasons” are described in detail in attachment 3; examples include no 

record responsive to the request, referrals to another agency, request withdrawn, 

fee-related reason, not reasonably described, not a proper FOIA request, not an 

agency record, and duplicate request. For these appeals, the requester did not 

obtain any of the appealed records.

The remaining 20 percent were completely or partially reversed. This resulted in 

the requester receiving some or all of the appealed records.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 53 GAO-04-257 Information Management

49

FOIA Implementation Status and Trends

Trends in Nondisclosure—Administrative Appeals
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 54 GAO-04-257 Information Management

50

FOIA Implementation Status and Trends

Trends in Costs and Staffing—Full-Time-Equivalents

Agencies reported using approximately 5,000 FTEs to complete FOIA activities 

governmentwide in each year from 2000 to 2002.

For all 3 years, Defense, Justice, and Veterans Affairs reported the largest number 

of FTE staff dedicated to handling FOIA requests. In 2000, the FTE figures from the 

Environmental Protection Agency and Agriculture were also among the largest.

The following slide shows total reported FTEs by agency.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 55 GAO-04-257 Information Management

51

FOIA Implementation Status and Trends

Trends in Costs and Staffing—FTEs by Agency

Note: All agencies had FTEs, although the scale in this graph makes it appear that some did not. This scale is necessary

to portray values for agencies with large numbers of FTEs.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 56 GAO-04-257 Information Management

52

FOIA Implementation Status and Trends

Trends in Costs and Staffing—Total Reported FOIA Costs

Justice reports the largest FOIA costs, followed by Defense and Veterans Affairs.

Note: Except for GSA in 2000, all agencies reported spending money on FOIA, although the scale in this

graph makes it appear that some did not. This scale is necessary to portray values for agencies with high

costs.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 57 GAO-04-257 Information Management

53

FOIA Implementation Status and Trends

Trends in Costs and Staffing—Reported FTEs per Request

There is considerable variation in the reported FTEs per request.

Over the 3 years, Interior, the Nuclear Regulatory Commission, and State 

consistently have the highest reported FTEs per request. In 2000, the 

Environmental Protection Agency was also among the agencies with the highest 

reported FTEs per request. 

The following slide compares the agencies’ reported FTEs per request, which is the 

ratio of FTEs dedicated in a year to handling FOIA requests to the requests 

handled in that year, calculated from reported annual FOIA data.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 58 GAO-04-257 Information Management

54

FOIA Implementation Status and Trends

Trends in Costs and Staffing—Reported FTEs per Request
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 59 GAO-04-257 Information Management

55

FOIA Implementation Status and Trends

Trends in Costs and Staffing—Cost per Request

Over the past 3 years, the Nuclear Regulatory Commission and State consistently 

have had average costs per request greater than $2,500. In 2002, the Central 

Intelligence Agency also had an average cost per request greater than $2,500. 

The chart on the following slide shows that Veterans Affairs has a low cost per 

request, approximately $21.

The chart compares the agencies’ costs per request, calculated from reported 

annual FOIA report data.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 60 GAO-04-257 Information Management

56

FOIA Implementation Status and Trends

Trends in Costs and Staffing—Cost per Request by Agency

Note: All agencies had a cost per request above $0 (except GSA in 2000), although the scale in this graph

makes it appear that Veterans Affairs did not. This scale is necessary to portray values for agencies with high

costs per request.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 61 GAO-04-257 Information Management

57

FOIA Implementation Status and Trends

Trends in Costs and Staffing—Reported Fees Collected

Agencies reported collecting approximately $6 million in FOIA fees in 2002. This 

was down from approximately $7 million in fees collected in 2000 and 2001.

The Social Security Administration reported collecting more in FOIA fees than any 

other agency—about $2 million (about 35 percent of all FOIA fees 

governmentwide).

The following slide shows FOIA fees collected by agency.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 62 GAO-04-257 Information Management

58

FOIA Implementation Status and Trends

Trends in Costs and Staffing—Reported Fees Collected

Note: All agencies collected fees, although the scale in this graph makes it appear that some did not. 

This scale is necessary to portray values for agencies that collected large amounts of fees.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 63 GAO-04-257 Information Management

59

Data Quality

To improve the public’s access to government records and information, our March 

2001 report included recommendations that Justice improve the reliability of 

agencies’ data in their FOIA annual reports by providing guidance that addresses 

data quality and by further reviewing agencies’ annual report data. Our August 

2002 report echoed the recommendations of the March 2001 report.

In response to our recommendations, Justice has issued supplemental guidance, 

addressed reporting requirements in its training programs, and continued reviewing 

agencies’ annual reports for data quality. 

In 2002, Justice worked with agencies to improve the quality of data in FOIA annual 

reports. Mixed results were evident in three key areas:

• Requests processed. Fewer agencies had data-quality problems this year 

(4 agencies) compared with the previous year (5 agencies). 

• Administrative appeals processed. Fewer agencies had data-quality 

problems this year (5 agencies) compared with the previous year (7 

agencies).

• Pending requests. More agencies had data-quality problems this year (12 

agencies) compared with the previous year (10 agencies).
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 64 GAO-04-257 Information Management

60

Data Quality

Requests Processed

In 2002, four of the 25 agencies reported numbers of requests processed that were 

different from the sum of the reported number of requests processed by tracks 

(simple, complex, single, and expedited). These two values should be equal. The 

four agencies are

• Agriculture,

• Justice,

• Health and Human Services, and

• Small Business Administration.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 65 GAO-04-257 Information Management

61

Data Quality

Administrative Appeals Processed

In 2002, five of the 25 agencies reported numbers of administrative appeals 

processed that were different from the sum of their appeals’ dispositions (upheld, 

completely reversed, partially reversed, and not disclosed for other reasons).

These two values should likewise be equal. The five agencies are

• Agriculture,

• Education,

• Energy,14

• Interior, and

• Office of Personnel Management.

14 In commenting on a draft of this briefing, Justice officials stated the report they initially received from Energy did contain

an error, and that Energy corrected this error in the final version delivered to Justice. However, we based our results on 

Energy’s publicly available Adobe Portable Document Format (PDF) version that was on its Web site as of August 2003. 

This version of Energy’s publicly posted annual report contained an error in the number of reported administrative appeals. 

Energy posted a corrected version of the Adobe PDF in November 2003.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 66 GAO-04-257 Information Management

62

Data Quality

Pending Requests

For 12 agencies in 2002, the number of pending requests reported at the beginning 

of fiscal year 2002 did not equal the number of the pending requests reported at 

the end of fiscal year 2001.

Twelve agencies stated that the discrepancies were due to errors; for example,

• numbers were added incorrectly,

• errors in accounting,

• adjustments from the previous year, and

• database errors.

The 12 agencies were Agriculture, Defense, Education, Energy, Environmental 

Protection Agency, Health and Human Services, Interior, Justice, State,

Transportation, Treasury, and Veterans Affairs.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 67 GAO-04-257 Information Management

63

Accommodations for Electronic Requests

Three agencies made accommodations to receive electronic requests since 

October 2000. 

These agencies made accommodations to receive FOIA requests electronically 

after the attacks of September 11, 2001, and subsequent mail delays due to 

anthrax attacks in Washington, D.C. However, the agencies told us that the 

electronic submission capability was added for reasons other than these attacks. 

Specifically, the agencies stated that electronic submissions can save time and be 

easier for the requester. The three agencies were

• Agency for International Development,

• Defense, and

• Environmental Protection Agency.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 68 GAO-04-257 Information Management

64

Accommodations for Electronic Requests

Eleven agencies allowed for electronic FOIA request submissions before 

September 11, 2001:

• Commerce

• Energy

• Education

• General Services Administration

• Housing and Urban Development

• National Aeronautics and Space Administration

• National Science Foundation

• Nuclear Regulatory Commission

• Office of Personnel Management

• Small Business Administration

• Transportation
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 69 GAO-04-257 Information Management

65

Accommodations for Electronic Requests

Eleven agencies did not allow for electronic FOIA request submissions as of July 

2003:

• Agriculture

• Central Intelligence Agency

• Federal Emergency Management Agency

• Health and Human Services

• Interior

• Justice

• Labor

• Social Security Administration

• State

• Treasury

• Veterans Affairs
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 70 GAO-04-257 Information Management

66

Summary

Overall, from 2000 to 2002, 24 agencies received and processed a decreased

number of requests governmentwide; when Veterans Affairs is included, the 

number of requests received and processed increased. From 2000 to 2002, 

agencies also decreased the number of pending requests remaining at the end of 

each year.

• Of the FOIA requests processed governmentwide, agencies granted more 

requests either totally or partially each year between 2000 and 2002.

• The number of FOIA requests denied governmentwide dropped dramatically 

between 2000 and 2001 and remained low in 2002.

In 2002, Justice worked with agencies to improve the quality of data in FOIA annual 

reports. Mixed results were evident in the number of requests processed, 

administrative appeals processed, and pending requests.

Three agencies that allowed for electronic submission after September 11, 2001, 

and subsequent anthrax attacks did not attribute the addition of this capability to 

these attacks.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 71 GAO-04-257 Information Management

67

Agency Comments

On October 27, 2003, the co-directors and other staff members of OIP provided 

oral comments on a draft of these briefing slides. These officials generally agreed 

with the content as presented. They also made a number of technical comments, 

which we incorporated as appropriate.
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 72 GAO-04-257 Information Management

68

Attachment 1:

25 Agencies Reviewed and Abbreviations

• AID: Agency for International 

Development

• CIA: Central Intelligence Agency

• DOC: Department of Commerce

• DOD: Department of Defense

• DOE: Department of Energy 

• DOI: Department of the Interior

• DOJ: Department of Justice

• DOL: Department of Labor

• DOT: Department of Transportation

• ED: Department of Education

• EPA: Environmental Protection Agency

• FEMA: Federal Emergency Management 

Agency (now part of Department of 

Homeland Security)

• GSA: General Services Administration

• HHS: Department of Health and Human 

Services

• HUD: Department of Housing and Urban 

Development

• NASA: National Aeronautics and Space 

Administration

• NRC: Nuclear Regulatory Commission

• NSF: National Science Foundation

• OPM: Office of Personnel Management

• SBA: Small Business Administration

• SSA: Social Security Administration 

• State: Department of State

• Treasury: Department of the Treasury

• USDA: Department of Agriculture

• VA: Department of Veterans Affairs
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 73 GAO-04-257 Information Management

69

Attachment 2: 

Freedom of Information Act Exemptions

Exemption

number Matters that are exempt from FOIA

(1) (A) Specifically authorized under criteria established by an Executive

 order to be kept secret in the interest of national defense or foreign policy and

(B) are in fact properly classified pursuant to such Executive order.

(2) Related solely to the internal personnel rules and practices of an agency.

(3) Specifically exempted from disclosure by statute (other than section 552b of this title),

provided that such statute

(A) requires that the matters be withheld from the public in such a manner as to leave no 

 discretion on the issue, or

(B) establishes particular criteria for withholding or refers to particular types of matters to

 be withheld.

(4) Trade secrets and commercial or financial information obtained from a person and

privileged or confidential.

(5) Inter-agency or intra-agency memorandums or letters which would not be available by law 

to a party other than an agency in litigation with the agency.

(6) Personnel and medical files and similar files the disclosure of which would constitute a

clearly unwarranted invasion of personal privacy. 
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 74 GAO-04-257 Information Management

70

Attachment 2: 

Freedom of Information Act Exemptions

Exemption

number Matters that are exempt from FOIA

(7) Records or information compiled for law enforcement purposes, but only to the extent that the

production of such law enforcement records or information

(A) could reasonably be expected to interfere with enforcement proceedings;

(B) would deprive a person of a right to a fair trial or impartial adjudication;

(C)could reasonably be expected to constitute an unwarranted invasion of personal privacy; 

(D)could reasonably be expected to disclose the identity of a confidential source, including a

state, local, or foreign agency or authority or any private institution which furnished

information on a confidential basis, and, in the case of a record or information compiled by

a criminal law enforcement authority in the course of a criminal investigation or by an

agency conducting a lawful national security intelligence investigation, information

furnished by a confidential source; 

(E) would disclose techniques and procedures for law enforcement investigations or 

prosecutions, or would disclose guidelines for law enforcement investigations or 

prosecutions if such disclosure could reasonably be expected to risk circumvention of the

law; or 

(F) could reasonably be expected to endanger the life or physical safety of an individual.

(8) Contained in or related to examination, operating, or condition reports prepared by, on behalf

of, or for the use of an agency responsible for the regulation or supervision of financial

institutions.

(9) Geological and geophysical information and data, including maps, concerning wells. 
Appendix I

Update on Freedom of Information Act 

Implementation Status

Page 75 GAO-04-257 Information Management

71

Attachment 3:

Other Reasons for Nondisclosure

The agency searched and found no record responsive to the 

request.

No records

The agency referred records responsive to the request to 

another agency.

Referrals

Request withdrawn The requester withdrew the request.

The requester refused to commit to pay fees or other reasons 

related to fees.

Fee-related reasons

The requester did not describe the records sought with 

sufficient specificity to allow them to be located with a 

reasonable amount of effort.

Records not reasonably 

described

The request was not a FOIA request for one of several 

procedural reasons.

Not a proper FOIA request

Not an agency record The requested record was not within the agency’s control.

The request was submitted more than once by the same 

requester.

Duplicate request

Category Definition
Page 76 GAO-04-257 Information Management

Appendix II

Agency Processing Times and Numbers of 

Requests Processed by Track (Attachment 4) ApendxiI

Simple

Complex

Median days for processing request

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

3415

176

1075

7

2624

83

422

7

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

4490 3046 3684 50

7

7

7

83

176

86

2989

86

695

7

CIA

Simple

Complex

Median days for processing request

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

852

30

1174

14

937

45

1126

12

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

2026 2063 2232 50

12

14

14

45

30

54

660

54

1567

14

DOC

Single

Median days for processing request

Number of 

requests

Median response 

time in days

Total requests

228 222

Year 2000 2001 2002

Source: FOIA annual reports for fiscal years 2000-2002 (self-reported data).

A dash indicates agency did not report any median time or any requests for a given track.

0 20 100 >100

2000 

2001 

2002

228 222 207 50

207

45 52 31

AID

52

45

31

Range of median days

Median day

-

Simple

Complex

Median days for processing request

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

96,479 76,943 80,357 50

79,788 62,875 62,593

25 20 23

15,872 13,391 17,182

69 58 84

DOD

20

25

23

58

69

84

Simple

Complex

Median days for processing request

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

375

531

1001

133

688

238

2585

75

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

2649 3319 2673 50

75

133

211

238

531

1788

1151

1788

1434

211

DOE
Appendix II

Agency Processing Times and Numbers of 

Requests Processed by Track (Attachment 4)

Page 77 GAO-04-257 Information Management

8

14

8

39

39

23

-

15

30

Simple

Complex

Single

Median days for processing request

Number of 

requests

Median response 

time in days

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

3246

39

9162

14

9568

39

7810

8

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

2000 

2001 

2002

19,280 17,540 19,547 50

7347

23

6774

15

-

-

2713

30

9340

8

DOT

Source: FOIA annual reports for fiscal years 2000-2002 (self-reported data).

Single

Median days for processing request

Number of 

requests

Median response 

time in days

Total requests

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

4966 4378 4961 50

4966

18

4332

10-58

4940

13-157

DOI

10-58

18

13-157

Range of median days

Median day

Simple

Complex

Median days for processing request

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

55,440

12-2097

151,613

1-78

46,383

13-621

126,389

0-67

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

235,090 184,928 194,612 50

0-67

1-78

1-137

13-621

12-2097

16-1311

50,069

16-1311

126,202

1-137

DOJ

Simple

Complex

Median days for processing request

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

5646

43

15,827

13

4030

7-49

13,642

1-25

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

22,505 18,201 19,840 50

1-25

13

13

7-49

43

39

4730

39

14,104

13

DOL

- A dash indicates agency did not report any median time or any requests for a given track.
Appendix II

Agency Processing Times and Numbers of 

Requests Processed by Track (Attachment 4)

Page 78 GAO-04-257 Information Management

Simple

Complex

Median days for processing request

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

417

51

1258

16

400

7-180

1293

5-35

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

1695 1718 1555 50

5-35

16

17

7-180

51

45

263

45

1264

17

ED

Source: FOIA annual reports for fiscal years 2000-2002 (self-reported data).

- A dash indicates agency did not report any median time or any requests for a given track.

Median days for processing request

Total requests

Year 2000 2001 2002

0 20 100 >100 196 318 498 FEMA 50

48

-

52

-

50

-

Complex

Single

Number of 

requests

Median response 

time in days

Number of 

requests

Median response 

time in days

-

-

318

48

2000 

2001 

2002

2000 

2001 

2002

_ 

_

498

52

196

50

-

-

-

-

Range of median days

Median day

Simple

Complex

Median days for processing request

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

272

31

14,553

19

24

31-123

19,221

15-1113

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

14,837 19,259 14,292 50

15-1113

19

17-36

31-123

31

24-333

21

24-333

14,249

17-36

EPA

Complex

Single

Median days for processing request

Number of 

requests

Median response 

time in days

Total requests

Number of 

requests

Median response 

time in days

-

-

1407

14

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

1502 1407 1519 50

14

-

-

-

20

14 _ 

-

-

1502

20

-

-

1519

14

GSA

_ 

_ 
Appendix II

Agency Processing Times and Numbers of 

Requests Processed by Track (Attachment 4)

Page 79 GAO-04-257 Information Management

Simple

Complex

Median days for processing request

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

10

26

364

19

14

25

403

14

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

377 426 384 50

14

19

17

25

26

20

21

20

363

17

NRC

Simple

Complex

Median days for processing request

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

373

38

1276

24

311

29

1408

19

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

1652 1723 1745 50

19

24

19

29

38

45

426

45

1318

19

NASA

_ 

_ 

_ 

Simple

Complex

Single

Median days for processing request

Number of 

requests

Median response 

time in days

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

-

-

-

-

2730

60-272

35,991

10-35

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

2000 

2001 

2002

60,060 103,163 62,599 50

10-35

-

10-35

60-272

-

60-332

9-177

-

6-342

2833

60-332

-

-

64,284

9-177

17,632

6-342

41,944

10-35

HHS

Source: FOIA annual reports for fiscal years 2000-2002 (self-reported data).

- A dash indicates agency did not report any median time or any requests for a given track.

_ 

15-59

-

27-266

34-83

-

67

-

43

-

Simple

Complex

Single

Median days for processing request

Number of 

requests

Median response 

time in days

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

-

-

-

-

337

34-83

2702

15-59

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

2000 

2001 

2002

2878 4171 3251 50

_ 

_ 

_ 

52

67

2878

43

-

-

-

-

3113

27-266

HUD

Range of median days

Median day
Appendix II

Agency Processing Times and Numbers of 

Requests Processed by Track (Attachment 4)

Page 80 GAO-04-257 Information Management

11-18

11-45

13-31

48

42

62

Simple

Complex

Median days for processing request

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

679

42

199,312

11-45

514

48

292,370

11-18

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

258,342 292,884 264,055 50

421

62

86,105

13-31

SSA

10

14

Single 13

Median days for processing request

Number of 

requests

Median response 

time in days

Total requests

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

184 254 242 50

184

14

254

10

242

13

NSF

Source: FOIA annual reports for fiscal years 2000-2002 (self-reported data).

- A dash indicates agency did not report any median time or any requests for a given track.

Range of median days

Median day

Simple

Complex

Single

Median days for processing request

Number of 

requests

Median response 

time in days

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

25

17

2691

7

-

-

-

-

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

2000 

2001 

2002

2716 8784 7449 50

-

7

-

-

17

11

13

-

-

_ 

_ 

_ 

_ 

_ 

_ 

7449

11

-

-

8781

13

-

-

-

-

OPM

Simple

Single

Median days for processing request

Number of 

requests

Median response 

time in days

Number of 

requests

Total requests

Median response 

time in days

-

-

2106

2

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

3088 2117 2648 50

2

-

-

-

3

2

3088

3

-

-

2640

2

-

-

SBA

_
Appendix II

Agency Processing Times and Numbers of 

Requests Processed by Track (Attachment 4)

Page 81 GAO-04-257 Information Management

Complex

Median days for processing request

Total requests

Number of 

requests

Median response 

time in days

1,158,939

25

1,394,304

1-25

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

1,230,544 1,489,724 1,350,663 50

1-25

25

13

1,303,289

13

VA

Simple

Complex

Median days for processing request

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

28,658

5-1000

6744

1-22

46,436

6-117

1285

4-17

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

45,111 47,812 54,469 50

4-17

1-22

2-20

6-117

5-1000

9-232

52,654

9-232

1815

2-20

Treas

Simple

Complex

Median days for processing request

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

2637

694

413

37

2764

431

1863

351

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

3070 4636 3329 50

351

37

157

431

694

742

2763

742

555

157

State

2-85

26

30

9-905

45

49

Simple

Complex

Median days for processing request

Number of 

requests

Total requests

Median response 

time in days

Number of 

requests

Median response 

time in days

9051

45

121,984

26

6388

9-905

69,732

2-85

Year 2000 2001 2002

0 20 100 >100

2000 

2001 

2002

2000 

2001 

2002

139,503 78,062 83,194 50

8831

49

72,599

30

USDA

Source: FOIA annual reports for fiscal years 2000-2002 (self-reported data).

- A dash indicates agency did not report any median time or any requests for a given track.

Range of median days

Median day

(310372)

(310396)
GAO’s Mission The General Accounting Office, the audit, evaluation and investigative arm of 

Congress, exists to support Congress in meeting its constitutional responsibilities 

and to help improve the performance and accountability of the federal government 

for the American people. GAO examines the use of public funds; evaluates federal 

programs and policies; and provides analyses, recommendations, and other 

assistance to help Congress make informed oversight, policy, and funding 

decisions. GAO’s commitment to good government is reflected in its core values of 

accountability, integrity, and reliability.

Obtaining Copies of 

GAO Reports and 

Testimony

The fastest and easiest way to obtain copies of GAO documents at no cost is 

through the Internet. GAO’s Web site (www.gao.gov) contains abstracts and fulltext files of current reports and testimony and an expanding archive of older 

products. The Web site features a search engine to help you locate documents 

using key words and phrases. You can print these documents in their entirety, 

including charts and other graphics.

Each day, GAO issues a list of newly released reports, testimony, and 

correspondence. GAO posts this list, known as “Today’s Reports,” on its Web site 

daily. The list contains links to the full-text document files. To have GAO e-mail this 

list to you every afternoon, go to www.gao.gov and select “Subscribe to 

e-mail alerts” under the “Order GAO Products” heading.

Order by Mail or Phone The first copy of each printed report is free. Additional copies are $2 each. A check 

or money order should be made out to the Superintendent of Documents. GAO 

also accepts VISA and Mastercard. Orders for 100 or more copies mailed to a single 

address are discounted 25 percent. Orders should be sent to:

U.S. General Accounting Office

441 G Street NW, Room LM

Washington, D.C. 20548

To order by Phone: Voice: (202) 512-6000 

TDD: (202) 512-2537 

Fax: (202) 512-6061

To Report Fraud, 

Waste, and Abuse in 

Federal Programs

Contact:

Web site: www.gao.gov/fraudnet/fraudnet.htm

E-mail: fraudnet@gao.gov

Automated answering system: (800) 424-5454 or (202) 512-7470

Public Affairs Jeff Nelligan, Managing Director, NelliganJ@gao.gov (202) 512-4800

U.S. General Accounting Office, 441 G Street NW, Room 7149 

Washington, D.C. 20548
United States

General Accounting Office

Washington, D.C. 20548-0001

Official Business

Penalty for Private Use $300

Address Service Requested

Presorted Standard

Postage & Fees Paid

GAO

Permit No. GI00