Mr. SOCOLAR. Yes, we have, and the criticisms really stem from a lack of appreciation that our report dealt with only a very small, narrow question. We are continuing to work on that whole general issue, and we will be reporting on it as we complete that work. But we are very confident that the conclusions we reached are appropriate and correct. RELEASE OF INFORMATION Mr. LEHMAN. The GAO has a policy that allows internal work papers and GAO audits to reach outside organizations under the Freedom of Information Act, even though the FOIA does not really apply to GAO. This means some sensitive interviews with government personnel might be turned over. Why does the GAO allow these documents to be released? Mr. SOCOLAR. We do have a policy of complying with the spirit of the Freedom of Information Act, although it doesn't apply to us. We are very careful in providing information that we are not providing sensitive information, particularly information that relates to sensitivities between ourselves and the Congress. Mr. LEHMAN. I think that is all of my questions. I just wanted to raise that issue about sensitivity. I would like to submit some questions to be answered for the record. [Questions and responses follow:] QUESTIONS FROM MR. LEHMAN Question. Each year in this hearing, the GAO advises the Subcommittee of billions of dollars which the GAO's reports have saved the federal government over the past year. In my capacity of chairman of the Transportation Appropriation Subcommittee, I wonder if you could tell me what portion of these savings, for the most recent year, are attributable to transportation-related GAO reports? Response. Of the $33.8 billion in measurable financial savings in fiscal year 1991, $126.6 million results from adoption of GAO recommendations on transportation issues. Question. For the record, please break down that total by audit report, and provide the name, GAO number, congressional requester, GAO organization performing the assignment, and corresponding savings for each transportation-related report. Response. Measurable financial benefits of GAO's transportation work resulted in fiscal year 1991 from the following 2 reports. GAO Report Number and Name: GAO/RCED-91-68, COAST GUARD: Millions in Federal Costs May Not Be Recovered From Exxon Valdez Oil Spill. Congressional Requester: Subcommittee on Readiness, House Committee on Armed Services. GAO Organizational Unit: Resources, Community, and Economic Development Division. Savings: $3.2 million. GAO Report Number and Name: None. Accomplishment was based on GAO's briefings of the Subcommittees on Transportation, House and Senate Committees on Appropriations. Congressional Requester: Subcommittees on Transportation, House and Senate Committees on Appropriations. GAO Organizational Unit: Resources, Community, and Economic Development Division. Savings: $123.4 million. The above accomplishments entail a total measurable benefit to the government of $126.6 million. In addition, GAO's accomplishments for fiscal year 1991 included several other nonmeasurable benefits in the transportation area including for exam The Federal Highway Administration agreed to take actions needed to (1) improve the structural integrity of the San Francisco-Oakland Bay Bridge and (2) improve its data on structural problems of bridges in its Region 9. The Department of Transportation's National Highway Traffic Safety Administration (NHTSA) required that front-seat automatic crash protection be extended to light trucks. NHTSA estimates that this action could save 2,000 lives each year. The Department of Transportation (DOT) has revised its Hazardous Materials Enforcement Manual and hired additional inspectors. Also, the Hazardous Materials Transportation Uniform Safety Act of 1990 mandates a shipper registration program and authorized states to perform hazardous materials inspections for DOT. The Department of Transportation and the Federal Aviation Administration acted to alleviate immediate computer capacity shortfalls. As a result, the continued safety of the flying public was assured. Question. Also for the record, please state the number of GAO staff years, by GAO division, allocated to the transportation issue area for fiscal year 1993, and compare those figures to the corresponding levels for fiscal years 1991 and 1992. Response. For fiscal years 1992 and 1993 GAO is budgeting 122 staff years for the transportation issue area-68 in the Resources, Community and Economic Development Division (RCED) and 54 in the regions. In fiscal year 1991, 134.4 staff years were expended-66.6 in RCED and 67.8 in the regions. Question. In October 1991, the GAO issued a report titled "Have Automobile Weight Reductions Increased Highway Fatalities?". This controversial report concluded that "our findings support the view that the automobile weight reductions since the mid-1970's have had virtually no effect on total highway fatalities". This finding has been strongly criticized by, among others, the Department of Transportation, the insurance industry, the auto industry, and some in Congress. Has the GAO met with representatives of these organizations over their concerns, and if so, have you reassessed your findings? Response. Staff of our Program Evaluation and Methodology Division, which issued this report, are scheduling a briefing with Congressman Lehman to provide complete information on these matters. Question. I was surprised to discover a few weeks ago that GAO policy allows the internal workpapers of GAO audits to be released to outside organizations making requests under the Freedom of Information Act (FOIA), even though FOIA does not legally apply to the GAO. Even private and perhaps sensitive interviews with government personnel may be turned over in this fashion. Why does GAO policy allow these internal documents to be released? Response. As an agency in the Legislative Branch, GAO is not subject to the Freedom of Information Act (FOIA), 5 U.S.C. 552. However, since 1967, GAO's disclosure policy has followed the spirit of the FOIA, consistent with our duties and functions and responsibilities to the Congress. This policy is set out in the regulations published at 4 CFR Part 81, Public Availability of General Accounting Office Records. The exemptions from release contained in these regulations track the exemptions found in the FOIA, with additions tailored to meet GAO's mission. These additional exemptions are for ongoing projects, material received under a pledge of confidentiality, and sensitive material General Accounting Office SUBCHAPTER F-RECORDS § 81.1 Purpose and scope of part. This part implements the policy of the U.S. General Accounting Office (GAO) with respect to the public availability of GAO records. While GAO is not subject to the Freedom of Information Act (5 U.S.C. 552), GAO's disclosure policy follows the spirit of the act consistent with its duties and functions and responsibility to the Congress. Application of this act to GAO is not to be inferred from the provisions of these regulations. § 81.2 Administration. The administration of this part is the duty and responsibility of the Director, Office of Policy (OP), U.S. General Accounting Office, 441 G Street, NW., Washington, D.C. 20548, and to that end the Director shall promulgate such supplemental rules or regulations as may be necessary. § 81.3 Definitions. As used in this part: (a) "Identifiable” means a reasonably specific description of a particular record sought, such as the date of the record, subject matter, agency or person involved, etc., which will permit location or retrieval of the record. (b) "Records" includes all books, papers, manuals, maps, photographs, reports, and other documentary materials, regardless of physical form or characteristics under the control of $81.4 GAO in pursuance of law or in connection with the transaction of public business. In the context of a request for a record or records, the term "records" refers only to a record in being and under the control of GAO. It does not include the compiling or procuring of a record. Nor does it include library or museum material made or acquired and preserved solely for reference or exhibition purposes, or extra copies of documents preserved only for convenience of reference. It is intended that GAO publications are not within the purview of this order. GAO published reports and decisions or listing of reports should be obtained from the U.S. General Accounting Office, Information Handling and Support Facility (IHSF), P.O. Box 6015, Gaithersburg, Md. 20877, phone (202) 275-6241. (c) "Records available to the public" means records which may be examined or copied or of which copies may be obtained, in accordance with this part, by the public or representatives of the press regardless of interest and without specific justification. (d) "Disclose or disclosure" means making available for examination or copying, or furnishing a copy. (e) "Person" includes an individual, partnership, corporation, association, or public or private organization other than a Federal agency. § 81.4 Requests for identifiable records. (a) A request to inspect or obtain a copy of an identifiable record of GAO must be submitted in writing to the Director, OP (see § 81.2), who will promptly acknowledge and record the request. (b) The Director, OP, or other GAO organizational unit will promptly honor the request if no valid objection exists to the propriety of such action and the requester is willing and able to pay the prescribed fees for making the record available for inspection or copying or being provided with a copy. (c) In the event of an objection or doubt as to the propriety of providing the requester with a copy of the record sought, every effort will be $81.5 made to resolve such problems as quickly as possible, including consultation with appropriate GAO elements. If it is determined that the record should be withheld, the Director, OP, shall inform the requester in writing that the request has been denied; shall identify the material withheld; and shall explain the basis for the denial. (d) A person whose request is denied shall be informed that further consideration of his/her request may be obtained by a letter to the Comptroller General of the United States setting forth the basis for the belief that the denial of the request was unwarranted. § 81.5 Records originating outside GAO, or records involving work in progress. (a) It is the policy of GAO not to provide records from its files that originate in another agency or nonfederal organization to persons who may not be entitled to obtain the records from the originator. In such instances, requesters will be referred to the person or organization that originated the records. (b) In order to avoid disruption of work in progress, and in the interests of fairness to those who might be adversely affected by the release of information which has not been fully reviewed to assure its accuracy and completeness, it is the policy of GAO not to provide records which are part of ongoing reviews or other current projects. In response to such requests, GAO will inform the requester of the estimated completion date of the review or project so that the requester may then ask for the records. At that time, the records may be released unless exempt from disclosure under § 81.6. § 81.6 Records which may be exempt from disclosure. The public disclosure of GAO records contemplated by this part does not apply to records, or parts thereof, within any of the categories listed below. Unless precluded by law, the Director, OP, may nevertheless release records within these categories. (a) Congressional correspondence and other papers relating to work performed in response to a congressional 4 CFR Ch. I (1-1-91 Edition) request (unless authorized by the congressional requester), and congressional contact memoranda. (b) Records specifically required by an Executive Order to be kept secret in the interest of national defense or foreign policy. An example of this category is a record classified under Executive Order 12356, National Security Information. (c) Records related solely to the internal personnel rules and practices of an agency. This category includes, in addition to internal matters of personnel administration, internal rules and practices which cannot be disclosed without prejudice to the effective performance of an agency function. Examples within the purview of this exemption are guidelines, and procedures for auditors, investigators, or examiners. (d) Records specifically exempted from disclosure by statute provided that such statute (1) requires that the matters be withheld from the public in such a manner as to leave no discretion on the issue, or (2) establishes particular criteria for withholding or refers to particular types of matters to be withheld. (e) Records containing trade secrets and commercial or financial information obtained from a person and privileged or confidential. This exemption may include, but is not limited to, business sales statistics, inventories, customer lists, scientific or manufacturing processes or development information. (f) Personnel and medical files and similar files the disclosure of which could constitute a clearly unwarranted invasion of personal privacy. This exemption excludes from disclosure all personnel and medical files, and all private or personal information contained in other files, which, if disclosed to the public, would amount to a clearly unwarranted invasion of the privacy of any person. An example of such other files within the exemption would be files compiled to evaluate candidates for security clearance. (g) Records and information compiled for law enforcement purposes. (h) Records having information contained in or related to examination, operation, or condition reports pre General Accounting Office pared by, on behalf of, or for the use of an agency responsible for the regulation or supervision of financial institutions. (i) Records containing geological and geophysical information and data (including maps) concerning wells. (j) Inter-agency or intra-agency memoranda, letters or other materials that are part of the deliberative process. For example, this exemption includes internal communications such as GAO or other agency draft reports, and those portions of internal drafts, memoranda and workpapers containing opinions, recommendations, advice or evaluative remarks of GAO employees. This exemption seeks to avoid the inhibiting of internal communications, and the premature disclosure of documents which would be detrimental to an agency function. (k) Records in addition to those described in paragraph (j) of this section containing information customarily subject to protection as privileged in a court or other proceedings, such as information protected by the doctor-patient, attorney-work product, lawyer-client privilege. or (1) Unsolicited records containing information submitted by any person to GAO in confidence and records which GAO has obligated itself not to disclose. An example of records covered by this exemption would be information obtained by the GAO Fraud Referral and Investigations Group (GAO Hotline). [49 FR 38527, Oct. 1, 1984, as amended at 53 FR 50913, Dec. 19, 1988] § 81.7 Fees and charges. (a) No fee or charge will be made for: (1) Records provided under provisions of this part when the direct search and reproduction costs are less than $25. (2) Records requested which are not found or which are determined to be exempt under provisions of this part. (3) Staff-hours spent in resolving any legal or policy questions pertaining to the request. (4) Copies of records including those certified as true copies, that are furnished for official use to any officer or employee of the federal government. $81.8 (5) When necessary or desirable to the performance of a function of GAO, copies of pertinent records furnished to a party having a direct and immediate interest in a matter pending before the Office. (b) When costs are $25 or more, the fees and charges described below, will be assessed for the direct costs of search and reproduction of records available to the public under this part. (1) The reproduction charge per page shall be 20 cents. (2) Certification of authenticity shall be $10 for each certificate. (3) Search for records by office personnel. (i) Clerical personnel-$10 an hour. (ii) Professional personnel-$20 an hour. (4) Other direct costs related to the request may be charged for such items as computer searches. (c) GAO shall notify the requester and may require an advance deposit where the anticipated fees will exceed $50. (d) Fees and charges shall be paid by check or money order payable to the U.S. General Accounting Office. (e) Fees established by this section may be waived or reduced upon a determination by the Director, OP, that disclosure of the information is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of the government and is not primarily in the commerical interest of the requester. Persons seeking such waiver or reduction of fees may be required to submit a statement setting forth the intended purpose for which the records are requested or otherwise indicate how disclosure will primarily benefit the public and, in appropriate cases, explain why the volume of records requested is necessary. Determinations pursuant to this paragraph are solely within the discretion of GAO. [49 FR 38527, Oct. 1, 1984, as amended at 53 FR 50913, Dec. 19, 1988) § 81.8 Public reading facility. A public reading facility shall be maintained by the General Accounting Office at 441 G Street NW., Wash |