Guidance on Backlog Reduction Plans

Introduction

As agencies administer the Freedom of Information Act (FOIA), minimizing the number of backlogged requests is central to ensuring that FOIA requesters have timely access to records.  A request is backlogged if it is pending past the FOIA’s standard 20- or 30-day response timeframes.  Developing adaptable and sustainable plans to manage and reduce backlogs is a key part of agency FOIA administration.  This guidance outlines important considerations for agencies as they work to develop backlog reduction plans.

Background

Many factors impact whether a request enters the backlog.  For instance, requests may be large and complex, requiring extensive search, review, and/or consultation, all of which contribute to longer response times compared to simple requests.  In other cases, requests may be simple, but the sheer volume of submitted requests may overwhelm the agency’s ability to respond to all of them within the FOIA’s statutory response timeframes.  Maintaining a large backlog can also result in increased litigation, which requires agencies to divert resources from administrative FOIA processing to resource-intensive FOIA litigation, further exacerbating the backlog. Other unexpected circumstances, such as a lapse in appropriations requiring a halt to agencies’ FOIA processing or a pandemic that can impact some agencies’ physical access to records, can directly impact agency backlogs and require multi-year efforts to overcome.  For many agencies, a combination of these and other contributing factors lead to ongoing backlogs.

Over the years, agencies have reported on their backlogs and plans to address them in a variety of ways.  Agencies’ Annual FOIA Reports include the number of backlogged requests (see Section XII.A), along with other data that provides insight into the age of the backlog, such as the median and average time that requests are pending (see Section VII.D) and the ten oldest pending requests (see Section VII.E).  In June 2008, the Office of Information Policy (OIP) issued Guidance on Preparing Backlog Reduction Plans as a result of the Attorney General’s May 30, 2008 Report to the President on agency implementation of Executive Order 13,392.  This guidance focused on reducing the number and age of backlogged requests, specifically considering staffing and agency support, changes to streamline the agency’s FOIA process, and increased proactive disclosures.  The Office of Management and Budget’s 2009 Open Government Directive instructed agencies to take steps to reduce their backlogs by ten percent each year.  Since 2010, as part of their Chief FOIA Officer Reports, agencies have provided backlog reduction plans to OIP.

OIP has issued numerous guidance articles on reducing backlogs and improving timeliness in processing requests (see guidance issued in September 2010, August 2014, July 2015, June 2017, July 2018, January 2020, September 2021) that generally address reducing the age of pending requests, processing simple track requests within 20 days, and considering how personnel and technological resources can be leveraged to achieve backlog reduction.  This guidance builds on prior guidance by focusing specifically on factors to consider when developing and implementing backlog reduction plans.  It draws from the Department’s experience in addressing its own backlog, from best practices and lessons learned from other agencies as reported in their Chief FOIA Officer Reports, and discussed as part of a 2024 Best Practices Workshop on backlog reduction plans.  Agencies are encouraged to consult this guidance as they consider how to effectively and sustainably handle the ever-increasing FOIA processing workload.

Importance of Developing a Backlog Reduction Plan

Developing a plan specifically focused on addressing FOIA backlogs is critical to achieving backlog reduction.  The number of FOIA requests received across the government continues to trend upward, with the number of requests received in Fiscal Year (FY) 2023 topping one million for the first time, and then significantly increasing yet again to more than 1.5 million requests received in FY 2024. That represents a more than 110% increase in FOIA requests received since FY 2015.  While some individual FOIA offices may experience occasional decreases in the number of requests received, agencies should generally anticipate continued increases in demand.  Accordingly, targeted efforts will be necessary to ensure that agencies can effectively allocate limited FOIA processing resources and maintain sustainable progress.  Having a plan can also help ensure that senior leaders, program officials, and others outside the FOIA office who may be involved in backlog reduction efforts have a clear understanding of an agency’s overall needs and goals.

The term “backlog reduction plan” should be understood broadly to mean an agency’s intentional and coordinated efforts to address its backlog.  While there is value in documenting a written plan, backlog reduction plans are not necessarily static or one-time efforts, as discussed further under Flexibility, below.  Rather, backlog reduction plans are an approach to addressing the range of challenges associated with FOIA processing that have resulted in a significant backlog.

Whether a backlog is “significant” varies by agency, but can refer to a steady but proportionally high backlog compared to the number of requests received or a backlog that is continuing to increase each year.  For example, an agency that receives on average 1,000 requests each year and maintains a steady backlog of 500 requests would have a significant backlog. Likewise, an agency that receives on average 1,000 requests and has seen its backlog increase from 50 to 100 to 200 over the course of three years would also have a significant backlog. Generally, agencies should aim to keep their backlog below 10% compared to the number of requests received each year. OIP assesses agencies on this metric as part of its annual assessment of agency Chief FOIA Officer Reports.  Of course, any agency may develop a backlog reduction plan, but those agencies with proportionally high backlogs are particularly encouraged to focus on backlog reduction.

Considerations for a Successful Backlog Reduction Plan

When developing a backlog reduction plan, agencies should consider several factors to help ensure that the plan has leadership and employee support, addresses unique challenges across the agency, sets clear and sustainable goals, and is flexible to adapt to changing circumstances. Developing plans with these considerations in mind will help lay the groundwork for effective implementation and backlog reduction.

Leadership Support and Employee Buy-In

Senior leadership support is foundational to effective backlog reduction efforts.  The FOIA recognizes the importance of leadership support by requiring agencies to designate a Chief FOIA Officer (CFO) at the Assistant Secretary or equivalent level that is responsible for compliance with the statute.  5 U.S.C. § 552(j).  Accordingly, CFOs should be integrally involved in the FOIA backlog reduction planning process.  CFOs can help facilitate broader senior leadership understanding of FOIA across the agency by reporting up to the head of the agency and across components or offices within the agency.  Agencies’ senior leaders can aid in requesting and distributing resources across agency FOIA programs, which can be a critical aspect of FOIA backlog reduction efforts. Additionally, senior leaders are uniquely positioned to emphasize the importance of FOIA across the agency, allowing non-FOIA professionals at all levels to gain greater awareness of their individual roles in the FOIA process.  Senior leadership can also provide much-appreciated support to FOIA personnel.

Developing employee buy-in on any backlog reduction effort is critical, as employees are responsible for doing the day-to-day work of processing requests and implementing any changes in workflow.  Including both supervisory and non-supervisory employees in backlog reduction planning can help them feel more invested in the outcomes.  Further, employees at all levels may have valuable input on causes and possible solutions to agency backlog challenges.  Overall, employee buy-in reinforced by leadership support lays a strong foundation for progress.

Individualized Approaches

Effective backlog reduction requires a tailored approach. Different agencies and different agency components face varied challenges that require customized approaches to ensure success.  As a first step, agencies should self-assess so that they can accurately identify the primary causes of their backlogs.  This self-assessment may include examining workflows to identify bottlenecks, auditing backlogged requests for common processing delays, and analyzing FOIA processing data to understand trends over time.  OIP’s Self-Assessment Toolkit can be a valuable resource for this review.

Self-assessment is essential for pinpointing the most impactful improvements.  The following non-exhaustive list outlines key areas agencies should consider when developing their backlog reduction plans.

• Is staffing adequate?  Evaluate if an increased request volume necessitates additional personnel (temporary or permanent).  Is a temporary surge sufficient to address an unexpected influx of requests, or is a more permanent increase in staffing needed?
• Can process efficiencies be gained by identifying patterns in request types? For instance, could specialized teams handle specific request categories, or could technology (e.g., AI for process automation or assisted review for certain form letters or searches) automate parts of the process?
• Could proactive communication with requesters lead to more refined requests, thereby reducing the volume of records that need to be processed?
• Is the agency’s case management system optimized for FOIA processing, or are system limitations hindering efficiency?  Would further automation within the system streamline operations?
• Are there delays stemming from program offices that provide input on search or record sensitivities?  Would clearer communications about expectations improve response times?
• Is the process of identifying and narrowing down potentially responsive records a bottleneck? Could enhanced technology or training accelerate this process?
• Is the process of reviewing responsive records for FOIA exemption applicability a bottleneck? Could enhanced technology or training accelerate this process?
• Are there workflow elements that would benefit from adjustments?  For instance, if second level review is a bottleneck, could the pool of reviewers be expanded?  If there are intake delays, can process changes facilitate greater efficiency?
• Does historical data offer critical insight into trends (particularly regarding increases in requests), which can inform strategies for sustained success moving forward?

After identifying the causes of agency backlogs as well as relevant considerations for reducing such backlogs, FOIA personnel, in collaboration with senior leaders and other agency stakeholders, should develop comprehensive next steps, including both short-term and long-term actions.  This planning should address how the agency will sustain progress beyond the immediate backlog reduction effort.

At this stage, documenting a written plan is helpful to memorialize actions, expectations, and goals.  Such a plan serves as a common reference point for all stakeholders, clearly documenting the backlog reduction approach.  To assist agencies in preparing their backlog reduction plans, a template is attached to this guidance that addresses existing resources, proposed solutions, potential challenges and strategies to overcome them, timelines, and goals.  Agencies should also review their raw data, which allows for more detailed analysis. Agency FOIA data is downloadable from FOIA.gov.

Goal Setting and Accountability

Backlog reduction plans should include clear goals and mechanisms for accountability.  Goals provide benchmarks for measuring progress over time.  Agencies may establish short-term and long-term goals over months, quarters, or multiple years.  Various approaches can inform the specific goals that make sense for each agency or component. Agencies may look to historical data to inform future goals.  For example, if an agency historically had a low backlog until FY 2019, but then experienced a significant increase between FY 2020 and FY 2024, an agency’s goal may be to reduce backlog to the FY 2019 levels.  Alternatively, agencies that have had steady backlogs for many years may set a goal to reduce their backlog by a specific percentage. Another approach is to set goals based on the percentage of backlog compared to the requests received each year.

Concurrent with goal setting, agencies should include mechanisms for accountability as part of their plans.  Agencies may consider including FOIA backlog goals as part of their strategic plans to bring greater awareness and accountability to the backlog reduction effort.  Routine internal reporting at least quarterly helps keep all stakeholders aware of progress and gives opportunities to adjust approaches as needed.  Including senior leaders in this reporting facilitates accountability and can bring attention to areas where corrective action is needed. Goals may sometimes need adjustment, and regular reporting provides a cadence for these discussions.  OIP will continue to require agencies to report on backlog reduction efforts as part of the Chief FOIA Officer Reports, but agencies should consider what internal accountability mechanisms will be most effective for success.

Flexibility 

Agencies should approach backlog reduction efforts flexibly.  While documenting specific plans clarifies expectations for all stakeholders, the plans can change, and agencies should be adaptable.  Unexpected events may require adjustments to goals, approaches, or timing.  For instance, unanticipated increases in requests received or FOIA litigation may require resource shifts and goal adjustments. Other changes in an agency’s FOIA program, such as adopting new technology or processes, may present opportunities for new approaches to backlog reduction.  Agencies’ backlog reduction plans may consist of a one-time surge, a multi-year focused effort, or may constitute an ongoing and adaptive part of their FOIA administration.  Maintaining flexibility while continuing to work toward overall backlog reduction goals will help the agency maintain the effectiveness of its plan through changing circumstances.

Conclusion

As the demand for FOIA rises, FOIA backlogs will continue to require active management. Documenting specific backlog reduction plans and goals, while maintaining flexibility, can anchor agencies’ efforts and facilitate stakeholder involvement.  Senior leaders, particularly agency Chief FOIA Officers, play a key role in agency FOIA administration and backlog reduction efforts. Agencies are encouraged to develop targeted approaches to address backlog challenges.  Through these efforts, agencies can improve response timeliness and increase public access to information.

Attachment: Backlog Reduction Template