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Selected Agencies Adapted to COVID-19 Challenges but Actions Needed to Reduce Backlogs (GAO-22-105845)

Summary

GAO testimony, GAO-22-105845, before the Senate Committee on the Judiciary on March 29, 2022, the statement of James R. McTigue, Jr., Director, Strategic Issues, on the Freedom of Information Act (FOIA). It summarizes GAO's January 2022 report finding that the COVID-19 pandemic affected selected government-wide measures of FOIA administration, while other indicators reflected ongoing longer-term trends. It notes that FOIA seeks to improve the public's access to government information and promote openness and accountability. Its title states that selected agencies adapted to COVID-19 challenges but that actions are needed to reduce backlogs.

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                            United States Government Accountability Office
                            Testimony
                            Before the Committee on the Judiciary,
                            United States Senate


                            FREEDOM OF
For Release on Delivery
Expected at 10:00 a.m. ET
Tuesday, March 29, 2022

                            INFORMATION ACT
                            Selected Agencies
                            Adapted to COVID-19
                            Challenges but Actions
                            Needed to Reduce
                            Backlogs
                            Statement of James R. McTigue, Jr., Director,
                            Strategic Issues




GAO-22-105845
                                                March 29, 2022

                                                FREEDOM OF INFORMATION ACT
                                                Selected Agencies Adapted to COVID-19 Challenges
                                                but Actions Needed to Reduce Backlogs
Highlights of GAO-22-105845, a testimony
before the Committee on the Judiciary, United
States Senate




Why GAO Did This Study                          What GAO Found
FOIA seeks to improve the public’s              In January 2022, GAO reported that the COVID-19 pandemic affected selected
access to government information and            government-wide measures of Freedom of Information Act (FOIA) administration,
promote openness and accountability             while other indicators reflected ongoing longer-term trends. FOIA requests
in government. However, the COVID-              received declined by 8 percent and requests processed declined by 12 percent in
19 pandemic presented challenges for            fiscal year 2020, the first year of the pandemic, compared to the previous year.
FOIA administration by significantly
affecting how federal employees                 FOIA Requests Received and Processed Government-wide, Fiscal Years 2012 through 2020
performed their work as agencies
adopted a maximum telework posture
and limited on-site work.

GAO was asked to testify on FOIA
government-wide performance and the
associated impact of the pandemic.
Specifically, this statement
summarizes the results from GAO’s
previously issued reports on (1)
government-wide FOIA performance
for fiscal year 2020 compared to fiscal
year 2019 and long-term trends from
fiscal years 2012 through 2020; (2)
selected agencies’ initial pandemic-
related challenges and their use of
leading practices to maintain FOIA
operations; (3) selected agencies’
continuing challenges with FOIA
request backlogs; and (4) selected
agencies’ use of proactive information          This report also found that four of five selected agencies--the Departments of
disclosures—making records publicly             Agriculture, Homeland Security, and Labor, and the Environmental Protection
available without waiting for specific          Agency—initially encountered temporary challenges preparing employees to
requests.                                       work in the maximum telework environment. These challenges including working
                                                in a virtual environment and ensuring access to equipment at home. The
To address these objectives, GAO                agencies subsequently used various practices, such as providing interim
summarized the results of pertinent             releases of requested information, to help maintain operations.
FOIA reports it issued from 2018 to
2022. It also followed up with selected         GAO has reported that selected agencies faced continuing challenges with FOIA
agencies on the extent to which they            request backlogs. From fiscal years 2012 to 2020, the government-wide backlog
had implemented GAO’s prior                     increased by 97 percent. GAO has made several recommendations to address
recommendations related to FOIA                 these challenges, including that agencies develop specific plans to reduce
operations.                                     backlogs. However, three of these recommendations from its January 2022
                                                report and two from its 2018 review have not yet been implemented.
                                                Further, in 2021, GAO found that selected agencies had not (1) updated their
                                                policies and processes to reflect current proactive disclosure requirements, and
                                                (2) accurately and completely reported disclosures. Accordingly, it made six
                                                recommendations to these agencies to improve their management of proactive
View GAO-22-105845. For more information,       disclosures, which have not yet been implemented.
contact James R. McTigue, Jr. at (202) 512-
6806 or McTigueJ@gao.gov.                       Taking actions to address backlogs and make proactive disclosures could help
                                                enhance government transparency and the efficient use of agency resources.
                                                                                          United States Government Accountability Office
Letter   Letter




         Chairman Durbin, Ranking Member Grassley, and Members of the
         Committee:

         I am pleased to be here today to discuss the Freedom of Information Act
         (FOIA) request processing during the COVID-19 pandemic. My statement
         is based on our previously issued reports on agencies’ implementation
         and compliance with FOIA, including the use of proactive disclosures. 1

         Signed into law more than 50 years ago, FOIA is one of several laws that
         seeks to improve the public’s access to government information and
         promote the principles of openness and accountability in government. 2
         FOIA requires federal agencies to provide the public with access to
         certain government records. 3 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.

         We recently reported that the COVID-19 pandemic significantly affected
         how federal employees performed their work as agencies adopted a
         maximum telework posture and only allowed on-site work for limited
         agency operations. In May 2020, the Office of Information Policy (OIP) in
         the Department of Justice (DOJ), which is responsible for encouraging

         1GAO, Freedom of Information Act: Selected Agencies Adapted to the COVID-19
         Pandemic but Face Ongoing Challenges and Backlogs, GAO-22-105040 (Washington,
         D.C.: Jan. 26, 2022); Freedom of Information Act: Actions Needed to Improve Agency
         Compliance with Proactive Disclosure Requirements, GAO-21-254 (Washington, D.C.:
         Mar. 10, 2021); Freedom of Information Act: Update on Federal Agencies’ Use of
         Exemption Statutes, GAO-21-148 (Washington, D.C.: Jan. 12, 2021); Freedom of
         Information Act: Federal Agencies’ Recent Implementation Efforts, GAO-20-406R
         (Washington, D.C.: Mar. 11, 2020); and Freedom of Information Act: Agencies Are
         Implementing Requirements, but Additional Actions Are Needed, GAO-18-365
         (Washington, D.C.: June 25, 2018).
         2We recently reported on several of these federal efforts to increase government
         transparency. See GAO, Federal Spending Transparency: Opportunities Exist to Further
         Improve the Information Available on USAspending.gov, GAO-22-104702 (Washington,
         D.C.: Nov. 8, 2021); and Open Data: Agencies Need Guidance to Establish
         Comprehensive Data Inventories; Information on Their Progress is Limited, GAO-21-29
         (Washington, D.C.: Oct. 8, 2020). The Open, Public, Electronic and Necessary
         Government Data Act, which is Title II of the Foundations for Evidence-Based
         Policymaking Act of 2018, Pub. L. No. 115-435, 132 Stat. 5534 (2019), the FOIA
         Improvement Act of 2016, Pub. L. No. 114-185, 130 Stat. 538 (2016), and the Digital
         Accountability and Transparency Act, Pub. L. No. 113-101, 128 Stat. 1146 (2014), among
         other efforts, have sought to improve the availability, transparency, and quality of federal
         data.
         35 U.S.C. § 552(a).




         Page 1                                                                       GAO-22-105845
                    and overseeing agency compliance with FOIA, published guidance for
                    agencies to focus on finding workable solutions to maximize the efficiency
                    and effectiveness of FOIA administration during the pandemic. 4 In the
                    guidance, DOJ acknowledged that many agencies faced challenges due
                    to the pandemic, such as staffing and technology limitations, but affirmed
                    that FOIA’s statutory response times continued to apply.

                    My testimony today discusses (1) government-wide FOIA performance for
                    fiscal year 2020 compared to fiscal year 2019, as well as long-term FOIA
                    trends from fiscal years 2012 through 2020; (2) selected agencies’ initial
                    pandemic-related challenges and their use of leading practices to
                    maintain FOIA operations; (3) selected agencies’ continuing challenges
                    with FOIA backlogs; and (4) selected agencies’ use of proactive
                    disclosures—making records publicly available without waiting for specific
                    requests.

                    The products cited throughout this statement include detailed
                    explanations of the methods used to conduct our work. In addition, for this
                    testimony, we followed up with agencies on their implementation of our
                    prior relevant recommendations. We conducted the work on which this
                    statement is based in accordance with generally accepted government
                    auditing standards. Those standards require that we plan and perform the
                    audit to obtain sufficient, appropriate evidence to provide a reasonable
                    basis for our findings and conclusions based on audit objectives. We
                    believe the evidence obtained provides a reasonable basis for our
                    findings and conclusions based on our audit objectives.

                    We previously reported that the COVID-19 pandemic affected selected
Key FOIA Measures   measures of FOIA administration government-wide. For example, FOIA
Continued Longer-   requests received and processed declined in fiscal year 2020, the first
                    year of the pandemic, compared to fiscal year 2019. Other key measures
Term Trends with    continued longer-term trends, such as increases in FOIA request
Some Shorter-Term   backlogs.
Effects from the    FOIA requests received and processed. As we previously reported,
Pandemic            FOIA requests received declined government-wide by 8 percent in fiscal




                    4Department of Justice, Office of Information Policy, Guidance for Agency FOIA
                    Administration in Light of COVID-19 Impacts, May 28, 2020.




                    Page 2                                                                    GAO-22-105845
                                       year 2020 (790,688) compared to fiscal year 2019 (858,952). 5 Agencies
                                       processed 12 percent fewer requests in fiscal year 2020 (772,868) than in
                                       fiscal year 2019, when requests processed reached a record high
                                       (877,964). 6 Prior to the pandemic, FOIA requests received and processed
                                       government-wide rose nearly every year, increasing by 32 percent from
                                       fiscal years 2012 through 2019. 7 (See fig. 1.)

Figure 1: FOIA Requests Received and Processed Government-wide, Fiscal Years 2012 through 2020




                                       5In GAO-22-104050, we discuss challenges related to receiving requests by mail, so the
                                       number of requests received may not account for unlogged requests.
                                       6DOJ officials stated that FOIA statistics may have also been affected by a partial
                                       government shutdown in fiscal year 2019.
                                       7We used fiscal year 2012 as the starting point for those analyses to be consistent with
                                       analyses presented in our prior work. GAO-21-148; GAO-20-406R; and GAO-18-365.




                                       Page 3                                                                       GAO-22-105845
FOIA-related employees and costs. Our prior report showed that the
government-wide numbers of FOIA-related employees and costs had
generally risen since fiscal year 2012. Both of these also increased from
fiscal years 2019 to 2020.

•   From fiscal year 2012 through fiscal year 2020, the total number of
    FOIA full-time equivalents increased by 1,494 (37 percent). Although
    FOIA-related employment across the federal government has grown,
    our selected agencies cited staffing-related issues as a limitation to
    addressing their backlogs.
•   From fiscal year 2012 through fiscal year 2020, total FOIA-related
    costs increased 39 percent on a nominal basis (22 percent adjusted
    for inflation). Selected agency officials attributed increased costs to
    factors such as obtaining contractor support, investing in technology
    and software licenses, or addressing litigation.
FOIA request disposition. While FOIA request disposition government-
wide remained about the same from fiscal year 2019 compared to fiscal
year 2020, we previously reported that the percentage of partially granted
and partially denied requests has increased since fiscal year 2012. 8
Agencies government-wide reported 30 percent of their total requests as
partially granted and partially denied in fiscal year 2012 and nearly 42
percent in fiscal year 2020. (See fig. 2.)




8FOIA specifies nine exemptions agencies may cite to withhold information when
responding to requests, which can be applied to portions of records or the entire record.
DOJ uses the disposition category of “partial grant/partial denial” when an agency
provides the requester with some, but not all, of the information requested. This typically,
but not always, means that an agency used exemptions in its response. The number of full
denials reflects withholding all of the requested information based on a FOIA exemption
list at 5 U.S.C. § 552(b). In GAO-21-148, we analyzed agencies’ increasing use of
exemption 3, also referred to as the (b)(3) exemption, which specifically authorizes
withholding information under FOIA on the basis of another federal statute that prohibits
disclosure of that information.




Page 4                                                                      GAO-22-105845
                          Figure 2: Comparison of Request Disposition Government-wide, Fiscal Years 2012
                          and 2020




Selected Agencies
Addressed
Pandemic-Related
Challenges and Used
Leading Practices to
Maintain FOIA
Operations
The COVID-19 Pandemic     In our recent report, we discussed how selected agencies addressed
Presented Initial         pandemic-related challenges. Specifically, we reviewed a
                          nongeneralizable sample of five agencies based on a variety of factors,
Challenges for Agencies
                          including the number of FOIA requests received, processed, and
                          backlogged, and the size of FOIA offices, among other criteria. In
                          addition, we selected one component at each of the two largest agencies
                          based on FOIA volume. We selected the

                          •   Department of Agriculture,
                          •   Department of Homeland Security (DHS) and Customs and Border
                              Protection (CBP),
                          •   DOJ and the Federal Bureau of Investigations (FBI),


                          Page 5                                                            GAO-22-105845
                         •   Department of Labor, and
                         •   Environmental Protection Agency.
                         We found that four of the five selected agencies encountered temporary
                         challenges preparing employees to work in the maximum telework
                         environment in the early months of the pandemic, such as ensuring
                         access to equipment at home or adjusting to a virtual environment. 9 The
                         pandemic also affected agencies’ ability to receive FOIA requests by mail
                         and access paper records.

                         The FBI’s challenges differed from the other four agencies, given its dual
                         law enforcement and intelligence mission, which requires FBI’s staff to
                         handle a large volume of sensitive and classified records within an on-site
                         classified information technology system. As such, compared to other
                         agencies, FBI had to ensure workforce safety in a physical office setting
                         rather than being able to rely on telework. However, FBI officials stated
                         they had resumed limited on-site operations by the end of April 2020.

                         Although the five selected agencies said they effectively managed
                         challenges related to the pandemic to maintain their FOIA operations,
                         their experience was not necessarily representative of all federal
                         agencies. Office of Government Information Services (OGIS) officials told
                         us that some federal agencies had more difficulty managing these
                         challenges or encountered additional challenges.

Selected Agencies Used   OIP’s COVID-19 guidance stated that agencies significantly affected by
Leading Practices to     processing limitations due to the pandemic could consider strategies and
                         leading practices to implement FOIA. In our recent report, we found that
Maintain Operations
                         selected agencies used strategies and leading practices to maintain
during the Pandemic      operations during the pandemic that included the following:

                         Increased communication with requesters. All selected agencies
                         posted notices on their websites describing the effects of the pandemic
                         on FOIA operations. These notices generally alerted requesters to
                         potential delays in receiving requests by mail or other limitations related
                         to processing.

                         Interim releases. OIP encouraged agencies to provide interim releases
                         as another opportunity to communicate with requesters, such as asking
                         whether the requester would like to reformulate or narrow the scope of
                         9We considered the declaration of the national emergency related to COVID-19 on March
                         13, 2020 as the beginning of the pandemic.




                         Page 6                                                                 GAO-22-105845
                    the request based on the initial information received. All five selected
                    agencies noted the helpfulness of such interim releases because they (1)
                    sometimes fully satisfied a requester’s information needs, causing them
                    to close their requests, or (2) potentially reduced litigation when they
                    could not fulfill requests within statutory timeframes.

                    Proactive disclosures. OIP reiterated the practice of proactive
                    disclosures—making records publicly available without waiting for specific
                    requests. 10

                    As we previously reported, the government-wide FOIA request backlog
Selected Agencies   increased by 18 percent (from 120,436 to 141,762 requests) from fiscal
Faced Persistent    years 2019 to 2020. Backlogged requests have been trending generally
                    upwards since fiscal year 2016. (See fig. 3.) 11 From fiscal years 2012 to
FOIA Backlogs       2020, backlogs increased by a total of 97 percent. During this same time
                    period, the appeals backlog also increased by 63 percent. 12




                    105 U.S.C. § 552(a)(2).

                    11DOJ reported a 3-week government shutdown during which some agencies could not
                    process requests in fiscal year 2014. The government-wide FOIA backlog rose 67 percent
                    from fiscal year 2013.
                    12FOIA allows a requester to challenge an agency’s final decision on a request through an
                    administrative appeal or a lawsuit. Agencies generally have 20 working days to respond to
                    an administrative appeal.




                    Page 7                                                                    GAO-22-105845
Figure 3: Request Backlogs Government-wide, Fiscal Years 2012 through 2020




                                       In fiscal year 2020, most federal agencies had fewer than 100 backlogged
                                       requests, but these 87 agencies represented only 1 percent of the total
                                       backlogged requests government-wide. The 16 agencies with backlogs of
                                       more than 1,000 requests (an increase of three agencies from the
                                       previous fiscal year) represented 94 percent of the total backlogged
                                       requests government-wide. (See fig. 4.) 13




                                       13The top three agencies with request backlogs are DHS, DOJ, and the Department of
                                       Defense. For more information about the other agencies, see figure 11 in
                                       GAO-22-105040.




                                       Page 8                                                                     GAO-22-105845
Figure 4: Percentage of Total Backlogged Requests Government-wide by Number
of Backlogged Requests for Fiscal Year 2020




In our recent report, we discussed that the selected agencies identified
several new or ongoing challenges that affected their backlog, such as
the complexity of requests, increasing litigation, staffing limitations, and
technology-related issues.

Increasing complexity of requests. Between fiscal years 2012 and
2020, the number of complex requests processed rose for four of the five
selected agencies—Department of Agriculture (USDA), DHS, DOJ, and
Department of Labor (DOL)—while the percentage of complex requests
processed rose at three of the five agencies—USDA, DOJ, and DOL.
(See table 1 below.) Complex requests typically seek a high volume of
material or require additional steps to process, such as the need to
search for records in multiple locations. Agencies also may consider




Page 9                                                            GAO-22-105845
                                                              some FOIA requests as presenting “unusual circumstances” and seek to
                                                              extend the statutory time limit. 14

Table 1: Selected Agencies’ Complex FOIA Requests Processed in Fiscal Years 2012 and 2020

                                                     Fiscal Year 2012                                            Fiscal Year 2020
                                              Complex                         Complex                          Complex            Complex          Percent
                                              Requests                     Requests as                         Requests        Requests as     change from
 Selected Agency                             Processed                  Percent of Total                      Processed     Percent of Total   2012 to 2020
 Department of                                       1,696                              7.8%                      2,190                9.5%              29
 Agriculture
 Department of                                    111,811                              58.8%                    184,957              50.8%               65
 Homeland Security
 Department of Justice                               9,738                             16.0%                     13,837              19.2%               42
 Department of Labor                                 9,872                             51.3%                     10,639              68.0%                8
 Environmental                                       4,135                             49.2%                      1,528              21.3%              -63
 Protection Agency
Source: GAO analysis of agency-reported Freedom of Information Act (FOIA) data on FOIA.gov. | GAO-22-105845



                                                              Litigation. The selected agencies stated that litigation affects the
                                                              resources available for processing FOIA requests and administrative
                                                              appeals. Further, they said litigation can negatively impact a FOIA
                                                              program office’s ability to process nonlitigation FOIA requests in a timely
                                                              manner by requiring them to prioritize work on responses in litigation. This
                                                              can result in an increase in backlogged requests if an office has
                                                              insufficient staff to process both litigation and nonlitigation requests.

                                                              All five selected agencies we reviewed in our recent report cited a general
                                                              increase in litigation as a current or emerging challenge prior to the
                                                              pandemic. Overall, DOJ’s annual reporting showed a more than 100
                                                              percent increase in the number of the FOIA litigation cases received and
                                                              decided in federal district courts from 2012 to 2020. (See fig. 5.)



                                                              14“Unusual circumstances” is defined in statute as (1) the need to search for and collect
                                                              records from field facilities or other establishments that are separate from the office
                                                              processing the request; (2) the need to search, collect, and examine a voluminous amount
                                                              of separate and distinct records which are demanded in a single request; and (3) the need
                                                              for consultation with another agency having a substantial interest in the determination of
                                                              the request, or among two or more components of an agency having substantial subject-
                                                              matter interest. 5 U.S.C. § 552(a)(6)(B)(iii). The 20-working-day time limit may be
                                                              extended by up to 10 days for a total of 30 working days by notifying the requester in
                                                              writing, setting forth the unusual circumstances for an extension and the date the agency
                                                              expects to send its determination. 5 U.S.C. § 552(a)(6)(B)(i).




                                                              Page 10                                                                          GAO-22-105845
Figure 5: FOIA Litigation Cases Received and Decided in Federal District Courts, 2012 through 2020




                                         In our report, we recommended that OIP reassess the reporting
                                         requirements, including collecting more information on current and
                                         emerging challenges, such as the use of the “unusual circumstances”
                                         designation and effects of FOIA litigation. By reassessing the reporting
                                         process, OIP could help align the workload required for agencies to meet
                                         the reporting requirements and ensure they have the information they
                                         need to meet their responsibilities under FOIA. In December 2021, OIP
                                         agreed with the recommendation and stated it will continue looking for
                                         ways to both reduce reporting burden and collect metrics that provide
                                         value. We will monitor OIP’s progress and follow up as necessary.

                                         Resource Constraints. Selected agencies cited the loss of staff or
                                         increasing workload as a limitation to their ability to address backlogs.
                                         Several agencies made organizational changes to improve long-term
                                         FOIA implementation, such as speeding up request processing through
                                         centralization. Selected agencies also cited technology-related challenges
                                         such as the need for system upgrades. Several agencies continued long-
                                         term efforts for improving their FOIA operations by implementing a new
                                         case management system or planning for procurement.

                                         Our recent report compared selected agencies’ backlog reduction plans
                                         to leading practices for performance management. (See fig. 6.) DOJ



                                         Page 11                                                      GAO-22-105845
guidance instructs agencies to have a backlog reduction plan if they have
more than 1,000 backlogged requests in the previous year. 15

Figure 6: Summary of GAO’s Assessment of Selected Agencies’ FOIA Backlog
Reduction Plans




Note: For the purposes of our analysis, we are excluding the Department of Justice (DOJ). DOJ’s
FOIA program is decentralized, with 31 separate FOIA offices handling requests under Office of
Information Policy oversight. Many DOJ components develop their own backlog reduction plans, such
as the Federal Bureau of Investigation.


In 2018 and in our recent report, we made recommendations for agencies
to improve their backlog reduction plans. In 2018, we reviewed selected
agencies’ documentation for methods to reduce backlogged requests,
and then compared their procedures to best practices for reducing
backlogs, as identified by the Office of Information Policy. 16 We made

15DOJ’s guidance for agency Chief FOIA Officer Reports states that, as part of their
reports, agencies with a backlog of more than 1,000 requests in the previous fiscal year
should explain their plans to reduce backlogs in the next fiscal year. Agencies are also
asked to detail how the agency developed and plans to execute their plan. Department of
Justice, Office of Information Policy, Guidelines for 2021 Chief FOIA Officer Reports
(Sept. 24, 2020); and OIP Guidance for Further Improvement Based on 2019 Chief FOIA
Officer Reports (January 22, 2020).
16Department of Justice, Office of Information Policy: Guidance on Reducing Backlogs
and Improving Timeliness, (August 15, 2014) and Best Practices Workshop, (May 20,
2014).




Page 12                                                                          GAO-22-105845
                       eight backlog-related recommendations for agencies to address the need
                       to develop and document a plan—six have been implemented and two
                       are not yet implemented. 17

                       In January 2022, we made three recommendations—one each to the
                       Departments of Agriculture, Homeland Security, and Labor—to address
                       varying aspects of their backlog reduction efforts. 18 All three agencies
                       agreed with our recommendations and planned to take additional steps
                       toward improving their backlog reduction efforts.

                       When agencies make proactive disclosures, they enhance transparency
Improving Agency       by ensuring that agencies readily and efficiently make certain information
Compliance with        about the operations and activities of the government available to all.
                       Additionally, publicly releasing records on a popular topic could reduce
Proactive Disclosure   the number of FOIA requests for the same records an agency receives.
Requirements Could     For example, in our most recent report, one of our selected agencies told
                       us they closed over 1,000 FOIA requests by directing the requester to
Make More              information already posted online in fiscal years 2019 and 2020.
Information Publicly
                       In our 2021 report, we found that some selected agencies had not fully
Available              updated their policies and processes to reflect the current proactive
                       disclosure requirements. 19 All three selected agencies had not fully
                       complied with the statutory reporting requirements and DOJ guidance on
                       their proactive disclosures. While the agencies have made progress, our
                       six recommendations related to proactive disclosures have not yet been
                       implemented. We also identified additional steps OIP could take to
                       support agency compliance. OIP implemented two recommendations we
                       made by requiring agencies that report zero proactive disclosures to



                       17The Department of Interior and Equal Employment Opportunity Commission had not yet
                       implemented their respective recommendations to take steps to develop and document a
                       plan that fully addresses best practices with regards to reduction of backlogged FOIA
                       requests.
                       18Specifically, we recommended that the Department of Agriculture better document their
                       backlog reduction efforts; the Department of Labor resolve data quality issues; and the
                       Department of Homeland Security develop component-level backlog reduction plans.
                       19In our 2021 report, we reviewed three agencies—Federal Aviation Administration (FAA),
                       Department of Housing and Urban Development (HUD), and Veterans Health
                       Administration (VHA). We found that FAA should document proactive disclosure
                       requirements and procedures and HUD should update its policies for compliance.
                       GAO-21-254.




                       Page 13                                                                  GAO-22-105845
                  provide an explanation and providing new guidance for agencies on
                  counting disclosures. 20

                  In summary, making proactive disclosures helps enhance government
                  transparency and the efficient use of agency resources. In addition,
                  accurately and completely reporting disclosures could provide useful
                  information for agencies to manage their FOIA programs as well as for
                  the public to assess agencies’ transparency.

                  The selected agencies we reviewed adapted to maintain operations
                  during the COVID-19 pandemic. However, increasing FOIA request
                  backlogs remain a persistent challenge. Current and emerging
                  challenges, such as litigation, further threaten agencies’ ability to reduce
                  backlogs. Addressing these challenges by incorporating leading practices
                  into backlog reduction plans and tracking emerging challenges could
                  improve agencies’ ability to respond to the needs of requesters and the
                  public.

                  Chairman Durbin, Ranking Member Grassley, and Members of the
                  Committee, this concludes my prepared statement. I would be pleased to
                  respond to any questions that you may have at this time.

                  If you or your staff have any questions about this testimony, please
GAO Contact       contact me at (202) 512-6806 or mctiguej@gao.gov. Contact points for
and Staff         our Offices of Congressional Relations and Public Affairs may be found
                  on the last page of this statement.
Acknowledgments
                  Key contributors to this testimony include Shea Bader (Assistant
                  Director), Giny Cheong (Analyst-in-Charge), Jacqueline Chapin,
                  Samantha Lalisan, Andrew Lobel, and Robert Robinson. Other staff who
                  made key contributions to the reports cited in the testimony are identified
                  in the source products.




                  20Department of Justice, Office of the Attorney General, Memorandum for Heads of
                  Executive Departments and Agencies: Freedom of Information Act Guidelines (March 15,
                  2022).



(105845)
                  Page 14                                                                 GAO-22-105845
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