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EXPORT-IMPORT BANK OF THE UNITED STATES
FOIA ANNUAL REPORT FOR October 1, 2015 THROUGH September 30, 2016
Wednesday, January 27, 2016
The following Annual Freedom of Information Act (FOIA) Report covers the period of October 1, 2015 through September 30, 2016, as required by 5 U.S.C. 552.
I: Basic Information Regarding Report
Name, title, address, and telephone number of person(s) to be contacted with questions about the Report.
David M. Sena, Chief FOIA Officer Export-Import Bank of the United States 811 Vermont Avenue, N.W. Washington, D.C. 20571 (202) 565-3272 david.sena@exim.gov
Lennell Jackson, FOIA Public Liaison Export-Import Bank of the United States 811 Vermont Avenue, N.W. Washington, D.C. 20571 (202) 565-329 david.sena@exim.gov
Brief description of why some request are not granted:
Ex-Im Bank most commonly withholds information pursuant to FOIA Exemptions (b)(4) and (b)(5). Exemption (b)(4) is mostly applied to information received as part of Ex-Im Bank’s review of credit applications. The information is received from buyers, commercial financial institutions, suppliers, and other private sector entities and is sensitive and business confidential in nature. Exemption (b)(5) is generally applied to staff correspondence generated during the credit review process, and to pre-decisional memoranda prepared for the Bank’s Directors containing staff analyses and recommendations.
Including the following definitions of terms used in this Report:
Administrative Appeal- a request to federal agency asking that it review at a higher administrative level a FOIA determination made by the agency at the initial request level.
Average Number- the number obtained by dividing the sum of a group of numbers by quantity of numbers in the group. For example, 3, 7, and 14, the average number is 8.
Backlog- the number of request or administrative appeals that are pending at an agency at the end of the fiscal year that are beyond the statutory time period for a response.
Component- for agencies that process requests on a decentralized basis, a “component” is an entity, also, sometimes referred to as an Office, Division, Bureau, Center, or Directorate, within the agency that processes FOIA request. The FOIA now requires that agencies include in their Annual FOIA Report data for both the agency overall and for each principal component of the agency.
Consultation- the procedure whereby the agency responding to a FOIA request first forwards a record to another agency or component within the same agency for its review because that other agency has an interest in the document. Once the agency in receipt of the consultation finishes its review of the record, it responds back to the agency or component within the same agency that forwarded it. That agency, in turn, will then respond to the FOIA request.
Exemption 3 Statute- a federal statute that exempts information from disclosure and which the agency relies on to withhold information under subsection (b)(3) of the FOIA.
FOIA Request- a FOIA request is generally a request to a federal agency for access to records concerning another person (i.e., “third party” request), or concerning and organization, or particular topic of interest. FOIA request also include request made by requesters seeking records concerning themselves (i.e., “first party” request) when those requesters are not subject to the Privacy Act, such as non-U.S. citizens. Moreover, because all first-party requesters should be afforded the benefit of both the access provisions of the FOIA as well as those of the Privacy Act, FOIA request also include any first-party requests where an agency determines that it must search beyond its Privacy Act “system of records” or where Privacy Act exemption applies, and the agency looks to FOIA to afford the greatest possible access. All requests which require the agency to utilize the FOIA in responding to the requester are included in this Report. Additionally, a FOIA request includes records referred to the agency for processing and direct response to the requester. It does not, however, include records for which the agency has received a consultation from another agency. (Consultations are reported separately in Section XII of this report.)
Full Grant – any agency decision to disclose all records in full in response to a FOIA request.
Full Denial – any agency decision not to release any records in response to a FOIA request because the records are exempt in their entireties under one or more of the FOIA exemptions, or because of a procedural reason, such as when no records could be located.
Median Number – the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.
Multi-Track Processing – 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. Requests granted expedited processing are placed in yet another track. Requests in each track are processed on a first in/first out basis.
Expedited Processing – any agency will process a FOIA request on an expedited basis when a requester Satisfies the requirements for expedited processing as Set forth in the statute and in agency regulations.
Simple Request – a FOIA request that an agency using multi-track processing places in its fastest (non- expedited) track based on the low volume and/or simplicity of the records requested.
Complex Request – a FOIA request that an agency Using multi-track processing places in a slower track based on the high volume and/or complexity of the records requested.
Partial Granted/Partial Denial – in response to a FOIA request, an agency decision to disclose portions of the records and to withhold other portions that are exempt under the FOIA, or to otherwise deny a portion of the request for a procedural reason.
Pending Request or Pending Administrative Appeal – a request or administrative appeal for which an agency has not taken final action in all respects.
Perfected Request – a request for records which reasonably describes such records and is made in accordance with published rules stating the time, place, fees (if any) and procedures to be followed.
Processed Request or Processed Administrative Appeal – a request or administrative appeal for which an agency has taken final action in all respects.
Range in Number of Days – the lowest and highest number of days to process request or administrative appeals.
Time Limits – the time period in the statute for any agency to respond to a FOIA request (ordinarily twenty working days from receipt of a perfected FOIA request).
Include the following concise description of the nine FOIA exemptions:
Exemption 1: classified national defense and foreign relations information
Exemption 2: information that is related solely to the internal personnel rules and practices of an agency
Exemption 3: information that is prohibited from disclosure by another federal law
Exemption 4: trade secrets and other confidential business information
Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges
Exemption 6: information involving matters of personal privacy
Exemption 7: records or information compiled for law enforcement purposes, to the extent that the production of those records (A) could reasonably be expected to interfere with enforcement proceedings, (B) would deprive a person of a right to a fair trial or an 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, (E) would disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose guidelines for law enforcement investigations or prosecutions, or (F) could reasonably be expected to endanger the life or physical safety of any individual
Exemption 8: information relating to the supervision of financial institutions
Exemption 9: geological information on wells
Agency Component Abbreviations
Component Abbreviation
Component Name
HQ
Headquarters
OIG
Office of the Inspector General
IV. EXEMPTION 3 STATUTES
Statute
Type of Information Withheld
Case Citation
Agency / Component
Number of Times Relied upon by Agency / Component
Total Number of Times Relied upon by Agency Overall
5 U.S.C. app. § 107(a)
Financial disclosure
Meyerhoff v. EPA, 958 F.2d
HQ
1
(Ethics in Government Act of
information pertaining to
1498, 1500-02 (9th Cir.
1978)
certain government
1992); Seife v. NIH, 874 F.
employees
Supp. 2d 248, 254 (S.D.N.Y.
2012); Concepcion v. FBI,
606 F. Supp. 2d 14, 33
(D.D.C. 2009), renewed
motion for summary judgment granted in part on
1
other grounds, 699 F. Supp.
2d 106 (D.D.C. 2010);
Glascoe v. DOJ, No. 04-
0486, 2005 WL 1139269, at
*1 (D.D.C. May 15, 2005).
V.A. FOIA REQUESTS -- RECEIVED, PROCESSED AND PENDING FOIA REQUESTS
Agency / Component
Number of Requests Pending as of Start of Fiscal Year
Number of Requests Received in Fiscal Year
Number of Requests Processed in Fiscal Year
Number of Requests Pending as of End of Fiscal Year
HQ
37
118
116
39
OIG
0
6
5
1
AGENCY OVERALL
37
124
121
40
V.B.(1). DISPOSITION OF FOIA REQUESTS -- ALL PROCESSED REQUESTS
Agency / Component
Number of Full Grants
Number of Partial Grants / Partial Denials
Number of Full Denials Based on Exemptions
Number of Full Denials Based on Reasons Other than Exemptions
No Records
All Records Referred to Another Component or Agency
Request Withdrawn
Fee- Related Reason
Records not Reasonably Described
Improper FOIA Request for Other Reason
Not Agency Record
Duplicate Request
Other *Explain in Chart Below
TOTAL
HQ
52
35
3
13
0
1
10
2
0
0
0
0
116
OIG
2
3
0
0
0
0
0
0
0
0
0
0
5
AGENCY OVERALL
54
38
3
13
0
1
10
2
0
0
0
0
121
V.B.(2). DISPOSITION OF FOIA REQUESTS -- "OTHER" REASONS FOR "FULL DENIALS BASED ON REASONS OTHER THAN EXEMPTIONS"
Agency / Component
Description of "Other" Reasons for Denials from Chart B(1)
Number of Times "Other" Reason Was Relied Upon
TOTAL
HQ
N/A
0
0
OIG
N/A
0
0
AGENCY OVERALL
0
V.B.(3). DISPOSITION OF FOIA REQUESTS -- NUMBER OF TIMES EXEMPTIONS APPLIED
Agency / Component
Ex. 1
Ex. 2
Ex. 3
Ex. 4
Ex. 5
Ex. 6
Ex. 7(A)
Ex. 7(B)
Ex. 7(C)
Ex. 7(D)
Ex. 7(E)
Ex. 7(F)
Ex. 8
Ex. 9
HQ
0
0
1
28
17
16
0
1
1
1
0
0
0
0
OIG
0
0
0
1
2
2
1
0
1
0
0
0
0
0
AGENCY OVERALL
0
0
1
29
19
18
1
1
2
1
0
0
0
0
ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS -- RECEIVED, PROCESSED, AND PENDING ADMINISTRATIVE APPEALS
Agency / Component
Number of Appeals Pending as of Start of Fiscal Year
Number of Appeals Received in Fiscal Year
Number of Appeals Processed in Fiscal Year
Number of Appeals Pending as of End of Fiscal Year
HQ
0
9
9
0
OIG
0
0
0
0
AGENCY OVERALL
0
9
9
0
DISPOSITION OF ADMINISTRATIVE APPEALS -- ALL PROCESSED APPEALS
Agency / Component
Number Affirmed on Appeal
Number Partially Affirmed & Partially Reversed/Remanded on Appeal
Number Completely Reversed/Remanded on Appeal
Number of Appeals Closed for Other Reasons
TOTAL
HQ
8
1
0
0
9
OIG
0
0
0
0
0
AGENCY OVERALL
8
1
0
0
9
VI.C.(1). REASONS FOR DENIAL ON APPEAL -- NUMBER OF TIMES EXEMPTIONS APPLIED
Agency / Component
Ex. 1
Ex. 2
Ex. 3
Ex. 4
Ex. 5
Ex. 6
Ex. 7(A)
Ex. 7(B)
Ex. 7(C)
Ex. 7(D)
Ex. 7(E)
Ex. 7(F)
Ex. 8
Ex. 9
HQ
0
0
0
7
5
1
0
0
0
0
0
0
0
0
OIG
0
0
0
0
0
0
0
0
0
0
0
0
0
0
AGENCY OVERALL
0
0
0
7
5
1
0
0
0
0
0
0
0
0
VI.C.(2). REASONS FOR DENIAL ON APPEAL -- REASONS OTHER THAN EXEMPTIONS
Agency / Component
No Records
Records Referred at Initial Request Level
Request Withdrawn
Fee- Related Reason
Records not Reasonably Described
Improper Request for Other Reasons
Not Agency Record
Duplicate Request or Appeal
Request in Litigation
Appeal Based Solely on Denial of Request for Expedited Processing
Other *Explain in chart below
HQ
0
0
0
0
0
0
0
0
0
0
0
OIG
0
0
0
0
0
0
0
0
0
0
0
AGENCY OVERALL
0
0
0
0
0
0
0
0
0
0
0
VI.C.(3). REASONS FOR DENIAL ON APPEAL -- "OTHER" REASONS
Agency / Component
Description of "Other" Reasons for Denial on Appeal from Chart C(2)
Number of Times "Other" Reason Was Relied Upon
TOTAL
HQ
N/A
0
0
AGENCY OVERALL
0
VI.C.(4). RESPONSE TIME FOR ADMINISTRATIVE APPEALS
Agency / Component
Median Number of Days
Average Number of Days
Lowest Number of Days
Highest Number of Days
HQ
58.00
51.67
10.00
93.00
OIG
0.00
0.00
0.00
0.00
AGENCY OVERALL
58.00
51.67
10.00
93.00
VI.C.(5). TEN OLDEST PENDING ADMINISTRATIVE APPEALS
Agency / Component
10th Oldest Appeal
9th
8th
7th
6th
5th
4th
3rd
2nd
Oldest Appeal
HQ
Date of Appeal
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
Number of Days Pending
0
0
0
0
0
0
0
0
0
0
OIG
Date of Appeal
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
Number of Days Pending
0
0
0
0
0
0
0
0
0
0
AGENCY OVERALL
Date of Appeal
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
Number of Days Pending
0
0
0
0
0
0
0
0
0
0
FOIA REQUESTS -- RESPONSE TIME FOR ALL PROCESSED PERFECTED REQUESTS
Agency / Component
SIMPLE
COMPLEX
EXPEDITED PROCESSING
Median Number of Days
Average Number of Days
Lowest Number of Days
Highest Number of Days
Median Number of Days
Average Number of Days
Lowest Number of Days
Highest Number of Days
Median Number of Days
Average Number of Days
Lowest Number of Days
Highest Number of Days
HQ
11
27.31
<1
320
78
136.22
1
526
N/A
N/A
N/A
N/A
OIG
12
14
3
27
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
AGENCY OVERALL
11.5
26.3
<1
320
78
136.22
1
526
N/A
N/A
N/A
N/A
PROCESSED REQUESTS -- RESPONSE TIME FOR PERFECTED REQUESTS IN WHICH INFORMATION WAS GRANTED
Agency / Component
SIMPLE
COMPLEX
EXPEDITED PROCESSING
Median Number of Days
Average Number of Days
Lowest Number of Days
Highest Number of Days
Median Number of Days
Average Number of Days
Lowest Number of Days
Highest Number of Days
Median Number of Days
Average Number of Days
Lowest Number of Days
Highest Number of Days
HQ
10
27.5
<1
320
79
145.98
1
526
N/A
N/A
N/A
N/A
OIG
12
14
3
27
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
AGENCY OVERALL
10
26.18
<1
320
79
145.98
1
526
N/A
N/A
N/A
N/A
PROCESSED SIMPLE REQUESTS -- RESPONSE TIME IN DAY INCREMENTS
Agency / Component
<1-20 Days
21-40 Days
41-60 Days
61-80 Days
81-100 Days
101-120 Days
121-140 Days
141-160 Days
161-180 Days
181-200 Days
201-300 Days
301-400 Days
401+ Days
TOTAL
HQ
41
12
1
2
0
0
0
0
0
1
1
1
0
59
OIG
3
2
0
0
0
0
0
0
0
0
0
0
0
5
AGENCY OVERALL
44
14
1
2
0
0
0
0
0
1
1
1
0
64
VII.C. PROCESSED COMPLEX REQUESTS -- RESPONSE TIME IN DAY INCREMENTS
Agency / Component
<1-20 Days
21-40 Days
41-60 Days
61-80 Days
81-100 Days
101-120 Days
121-140 Days
141-160 Days
161-180 Days
181-200 Days
201-300 Days
301-400 Days
401+ Days
TOTAL
HQ
9
12
4
4
3
4
1
0
1
1
7
6
3
55
OIG
0
0
0
0
0
0
0
0
0
0
0
0
0
0
AGENCY OVERALL
9
12
4
4
3
4
1
0
1
1
7
6
3
55
PROCESSED REQUESTS GRANTED EXPEDITED PROCESSING -- RESPONSE TIME IN DAY INCREMENTS
Agency / Component
<1-20 Days
21-40 Days
41-60 Days
61-80 Days
81-100 Days
101-120 Days
121-140 Days
141-160 Days
161-180 Days
181-200 Days
201-300 Days
301-400 Days
401+ Days
TOTAL
HQ
0
0
0
0
0
0
0
0
0
0
0
0
0
0
OIG
0
0
0
0
0
0
0
0
0
0
0
0
0
0
AGENCY OVERALL
0
0
0
0
0
0
0
0
0
0
0
0
0
0
PENDING REQUESTS -- ALL PENDING PERFECTED REQUESTS
Agency / Component
SIMPLE
COMPLEX
EXPEDITED PROCESSING
Number Pending
Median Number of Days
Average Number of Days
Number Pending
Median Number of Days
Average Number of Days
Number Pending
Median Number of Days
Average Number of Days
HQ
4
100.5
141
34
106.5
183
1
14
14
OIG
0
N/A
N/A
1
5
5
0
N/A
N/A
AGENCY OVERALL
4
100.5
141
35
106
178
1
14
14
PENDING REQUESTS -- TEN OLDEST PENDING PERFECTED REQUESTS
Agency / Component
10th Oldest Request
9th
8th
7th
6th
5th
4th
3rd
2nd
Oldest Request
HQ
Date of Receipt
2015-08-06
2015-06-04
2015-05-29
2015-04-02
2015-03-09
2015-03-09
2015-03-04
2014-11-20
2014-08-04
2014-06-20
Number of Days Pending
290
334
338
378
396
396
399
468
543
573
OIG
Date of Receipt
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
2016-09-23
Number of Days Pending
0
0
0
0
0
0
0
0
0
5
AGENCY OVERALL
Date of Receipt
2015-08-06
2015-06-04
2015-05-29
2015-04-02
2015-03-09
2015-03-09
2015-03-04
2014-11-20
2014-08-04
2014-06-20
Number of Days Pending
290
334
338
378
396
396
399
468
543
573
REQUESTS FOR EXPEDITED PROCESSING
Agency / Component
Number Granted
Number Denied
Median Number of Days to Adjudicate
Average Number of Days to Adjudicate
Number Adjudicated Within Ten Calendar Days
HQ
1
4
1
2
5
OIG
0
0
N/A
N/A
0
AGENCY OVERALL
1
4
1
2
5
REQUESTS FOR FEE WAIVER
Agency / Component
Number Granted
Number Denied
Median Number of Days to Adjudicate
Average Number of Days to Adjudicate
HQ
6
25
1
1
OIG
0
0
N/A
N/A
AGENCY OVERALL
6
25
1
1
FOIA PERSONNEL AND COSTS
Agency / Component
PERSONNEL
COSTS
Number of "Full- Time FOIA Employees"
Number of "Equivalent Full- Time FOIA Employees"
Total Number of "Full-Time FOIA Staff"
Processing Costs
Litigation-Related Costs
Total Costs
HQ
6
0.55
6.55
$786,974.51
$0.00
$786,974.51
OIG
0
0.1
0.1
$16,590.90
$0.00
$16,590.90
AGENCY OVERALL
6
0.65
6.65
$803,565.41
$0.00
$803,565.41
FEES COLLECTED FOR PROCESSING REQUESTS
Agency / Component
Total Amount of Fees Collected
Percentage of Total Costs
HQ
$733.76
0.09%
OIG
$0.00
0.00%
AGENCY OVERALL
$733.76
0.09%
XI.A. NUMBER OF TIMES SUBSECTION (C) USED
Agency / Component
Number of Times Subsection (C) Used
HQ
0
OIG
0
AGENCY OVERALL
0
XI.B. NUMBER OF SUBSECTION (A)(2) POSTINGS
Agency / Component
Number of (a)(2) Records Posted by the FOIA Office
Number of (a)(2) Records Posted by Program Offices
HQ
9
0
OIG
0
0
AGENCY OVERALL
9
0
BACKLOGS OF FOIA REQUESTS AND ADMINISTRATIVE APPEALS
Agency / Component
Number of Backlogged Requests as of End of Fiscal Year
Number of Backlogged Appeals as of End of Fiscal Year
HQ
33
0
OIG
0
0
AGENCY OVERALL
33
0
CONSULTATIONS ON FOIA REQUESTS -- RECEIVED, PROCESSED, AND PENDING CONSULTATIONS
Agency / Component
Number of Consultations Received from Other Agencies that were Pending at the Agency as of Start of the Fiscal Year
Number of Consultations Received from Other Agencies During the Fiscal Year
Number of Consultations Received from Other Agencies that were Processed by the Agency During the Fiscal Year
Number of Consultations Received from Other Agencies that were Pending at the Agency as of End of the Fiscal Year
HQ
0
2
2
0
OIG
0
0
0
0
AGENCY OVERALL
0
2
2
0
CONSULTATIONS ON FOIA REQUESTS -- TEN OLDEST CONSULTATIONS RECEIVED FROM OTHER AGENCIES AND PENDING AT THE AGENCY
Agency / Component
10th Oldest Consultation
9th
8th
7th
6th
5th
4th
3rd
2nd
Oldest Consultation
HQ
Date
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
Number of Days
0
0
0
0
0
0
0
0
0
0
OIG
Date
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
Number of Days
0
0
0
0
0
0
0
0
0
0
AGENCY OVERALL
Date
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
Number of Days
0
0
0
0
0
0
0
0
0
0
XII.D.(1). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- REQUESTS RECEIVED AND PROCESSED
Agency / Component
NUMBER OF REQUESTS RECEIVED
NUMBER OF REQUESTS PROCESSED
Number Received During Fiscal Year from Last Year's Annual Report
Number Received During Fiscal Year from Current Annual Report
Number Processed During Fiscal Year from Last Year's Annual Report
Number Processed During Fiscal Year from Current Annual Report
HQ
94
118
95
116
OIG
6
6
6
5
AGENCY OVERALL
100
124
101
121
XII.D.(2). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- BACKLOGGED REQUESTS
Agency / Component
Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual Report
Number of Backlogged Requests as of End of the Fiscal Year from Current Annual Report
HQ
33
33
OIG
0
0
AGENCY OVERALL
33
33
XII.E.(1). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- APPEALS RECEIVED AND PROCESSED
Agency / Component
NUMBER OF APPEALS RECEIVED
NUMBER OF APPEALS PROCESSED
Number Received During Fiscal Year from Last Year's Annual Report
Number Received During Fiscal Year from Current Annual Report
Number Processed During Fiscal Year from Last Year's Annual Report
Number Processed During Fiscal Year from Current Annual Report
HQ
4
9
6
9
OIG
0
0
0
0
AGENCY OVERALL
4
9
6
9
XII.E.(2). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- BACKLOGGED APPEALS
Agency / Component
Number of Backlogged Appeals as of End of the Fiscal Year from Previous Annual Report
Number of Backlogged Appeals as of End of the Fiscal Year from Current Annual Report