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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

  1. 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 

     
  2. Electronic link for access to the Report on the agency Website. 
    http://www.exim.gov/about/foia/annual-reports 

     
  3. To receive a “hard copy” of this Report, contact either of the above named individuals. 
     

II: Making A FOIA Request

  1. All FOIA request are received and processed at the following address: 

    Export-Import Bank of the United States 
    811 Vermont Avenue, N.W. 
    Washington, D.C. 20571 
    (202) 565-3290 

    Guidance on making a FOIA request can be found at:  
    http://www.exim.gov/about/foia 

     
  2. 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. 

     
  3. Electronic link to agency FOIA regulations: 

    Ex-Im Bank FOIA Regulations - eCFR (link is external) 
     

III: Acronyms, Definitions, and Exemptions

  1. Including the following definitions of terms used in this Report: 
    1. 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. 
       
    2. 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. 
       
    3. 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. 
       
    4. 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. 
       
    5. 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. 
       
    6. 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. 
       
    7. 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.) 
       
    8. Full Grant – any agency decision to disclose all records in full in response to a FOIA request. 
       
    9. 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. 
       
    10. Median Number – the middle, not average, number. For example, of 3, 7, and 14, the median number is 7. 
       
    11. 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. 

      1. 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. 
         
      2. 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. 
         
      3. 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. 
         
    12. 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. 
       
    13. Pending Request or Pending Administrative Appeal – a request or administrative appeal for which an agency has not taken final action in all respects. 
       
    14. 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. 
       
    15. Processed Request or Processed Administrative Appeal – a request or administrative appeal for which an agency has taken final action in all respects. 
       
    16. Range in Number of Days – the lowest and highest number of days to process request or administrative appeals. 
       
    17. 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). 
       
  2. Include the following concise description of the nine FOIA exemptions: 

    1. Exemption 1: classified national defense and foreign relations information 
       
    2. Exemption 2: information that is related solely to the internal personnel rules and practices of an agency 
       
    3. Exemption 3: information that is prohibited from disclosure by another federal law 
       
    4. Exemption 4: trade secrets and other confidential business information 
       
    5. Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges 
       
    6. Exemption 6: information involving matters of personal privacy 
       
    7. 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 
       
    8. Exemption 8: information relating to the supervision of financial institutions 
       
    9. Exemption 9: geological information on wells 
       

Agency Component Abbreviations

Component AbbreviationComponent Name
HQHeadquarters
OIGOffice of the Inspector General
  

IV. EXEMPTION 3 STATUTES

StatuteType of Information WithheldCase CitationAgency / ComponentNumber of Times Relied upon by Agency / ComponentTotal Number of Times Relied upon by Agency Overall
5 U.S.C. app. § 107(a)Financial disclosureMeyerhoff v. EPA, 958 F.2dHQ1 
(Ethics in Government Act ofinformation pertaining to1498, 1500-02 (9th Cir.   
1978)certain government1992); Seife v. NIH, 874 F.   
 employeesSupp. 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 / ComponentNumber of Requests Pending as of Start of Fiscal YearNumber of Requests Received in Fiscal YearNumber of Requests Processed in Fiscal YearNumber of Requests Pending as of End of Fiscal Year
HQ3711811639
OIG0651
AGENCY OVERALL3712412140

V.B.(1). DISPOSITION OF FOIA REQUESTS -- ALL PROCESSED REQUESTS

Agency / ComponentNumber of Full GrantsNumber of Partial Grants / Partial DenialsNumber of Full Denials Based on ExemptionsNumber of Full Denials Based on Reasons Other than Exemptions 
No RecordsAll Records Referred to Another Component or AgencyRequest WithdrawnFee- Related ReasonRecords not Reasonably DescribedImproper FOIA Request for Other ReasonNot Agency RecordDuplicate RequestOther *Explain in Chart BelowTOTAL
HQ5235313011020000116
OIG2300000000005
AGENCY OVERALL5438313011020000121

V.B.(2). DISPOSITION OF FOIA REQUESTS -- "OTHER" REASONS FOR "FULL DENIALS BASED ON REASONS OTHER THAN EXEMPTIONS"

Agency / ComponentDescription of "Other" Reasons for Denials from Chart B(1)Number of Times "Other" Reason Was Relied UponTOTAL
HQN/A00
  
OIGN/A00
  
AGENCY OVERALL  0
    

V.B.(3). DISPOSITION OF FOIA REQUESTS -- NUMBER OF TIMES EXEMPTIONS APPLIED

Agency / ComponentEx. 1Ex. 2Ex. 3Ex. 4Ex. 5Ex. 6Ex. 7(A)Ex. 7(B)Ex. 7(C)Ex. 7(D)Ex. 7(E)Ex. 7(F)Ex. 8Ex. 9
HQ00128171601110000
OIG00012210100000
AGENCY OVERALL00129191811210000

ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS -- RECEIVED, PROCESSED, AND PENDING ADMINISTRATIVE APPEALS

Agency / ComponentNumber of Appeals Pending as of Start of Fiscal YearNumber of Appeals Received in Fiscal YearNumber of Appeals Processed in Fiscal YearNumber of Appeals Pending as of End of Fiscal Year
HQ0990
OIG0000
AGENCY OVERALL0990

DISPOSITION OF ADMINISTRATIVE APPEALS -- ALL PROCESSED APPEALS

Agency / ComponentNumber Affirmed on AppealNumber Partially Affirmed & Partially Reversed/Remanded on AppealNumber Completely Reversed/Remanded on AppealNumber of Appeals Closed for Other ReasonsTOTAL
HQ81009
OIG00000
AGENCY OVERALL81009

VI.C.(1). REASONS FOR DENIAL ON APPEAL -- NUMBER OF TIMES EXEMPTIONS APPLIED

Agency / ComponentEx. 1Ex. 2Ex. 3Ex. 4Ex. 5Ex. 6Ex. 7(A)Ex. 7(B)Ex. 7(C)Ex. 7(D)Ex. 7(E)Ex. 7(F)Ex. 8Ex. 9
HQ00075100000000
OIG00000000000000
AGENCY OVERALL00075100000000

VI.C.(2). REASONS FOR DENIAL ON APPEAL -- REASONS OTHER THAN EXEMPTIONS

Agency / ComponentNo RecordsRecords Referred at Initial Request LevelRequest WithdrawnFee- Related ReasonRecords not Reasonably DescribedImproper Request for Other ReasonsNot Agency RecordDuplicate Request or AppealRequest in LitigationAppeal Based Solely on Denial of Request for Expedited ProcessingOther *Explain in chart below
HQ00000000000
OIG00000000000
AGENCY OVERALL00000000000

VI.C.(3). REASONS FOR DENIAL ON APPEAL -- "OTHER" REASONS

Agency / ComponentDescription of "Other" Reasons for Denial on Appeal from Chart C(2)Number of Times "Other" Reason Was Relied UponTOTAL
HQN/A00
  
AGENCY OVERALL  0
    

VI.C.(4). RESPONSE TIME FOR ADMINISTRATIVE APPEALS

Agency / ComponentMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of Days
HQ58.0051.6710.0093.00
OIG0.000.000.000.00
AGENCY OVERALL58.0051.6710.0093.00

VI.C.(5). TEN OLDEST PENDING ADMINISTRATIVE APPEALS

Agency / Component 10th Oldest Appeal9th8th7th6th5th4th3rd2ndOldest Appeal
HQDate of AppealN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
Number of Days Pending0000000000
OIGDate of AppealN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
Number of Days Pending0000000000
AGENCY OVERALLDate of AppealN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
Number of Days Pending0000000000

FOIA REQUESTS -- RESPONSE TIME FOR ALL PROCESSED PERFECTED REQUESTS

Agency / ComponentSIMPLECOMPLEXEXPEDITED PROCESSING
Median Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of Days
HQ1127.31<132078136.221526N/AN/AN/AN/A
OIG1214327N/AN/AN/AN/AN/AN/AN/AN/A
AGENCY OVERALL11.526.3<132078136.221526N/AN/AN/AN/A

PROCESSED REQUESTS -- RESPONSE TIME FOR PERFECTED REQUESTS IN WHICH INFORMATION WAS GRANTED

Agency / ComponentSIMPLECOMPLEXEXPEDITED PROCESSING
Median Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of Days
HQ1027.5<132079145.981526N/AN/AN/AN/A
OIG1214327N/AN/AN/AN/AN/AN/AN/AN/A
AGENCY OVERALL1026.18<132079145.981526N/AN/AN/AN/A

PROCESSED SIMPLE REQUESTS -- RESPONSE TIME IN DAY INCREMENTS

Agency / Component<1-20 Days21-40 Days41-60 Days61-80 Days81-100 Days101-120 Days121-140 Days141-160 Days161-180 Days181-200 Days201-300 Days301-400 Days401+ DaysTOTAL
HQ41121200000111059
OIG32000000000005
AGENCY OVERALL44141200000111064

VII.C. PROCESSED COMPLEX REQUESTS -- RESPONSE TIME IN DAY INCREMENTS

Agency / Component<1-20 Days21-40 Days41-60 Days61-80 Days81-100 Days101-120 Days121-140 Days141-160 Days161-180 Days181-200 Days201-300 Days301-400 Days401+ DaysTOTAL
HQ9124434101176355
OIG00000000000000
AGENCY OVERALL9124434101176355

PROCESSED REQUESTS GRANTED EXPEDITED PROCESSING -- RESPONSE TIME IN DAY INCREMENTS

Agency / Component<1-20 Days21-40 Days41-60 Days61-80 Days81-100 Days101-120 Days121-140 Days141-160 Days161-180 Days181-200 Days201-300 Days301-400 Days401+ DaysTOTAL
HQ00000000000000
OIG00000000000000
AGENCY OVERALL00000000000000

PENDING REQUESTS -- ALL PENDING PERFECTED REQUESTS

Agency / ComponentSIMPLECOMPLEXEXPEDITED PROCESSING
Number PendingMedian Number of DaysAverage Number of DaysNumber PendingMedian Number of DaysAverage Number of DaysNumber PendingMedian Number of DaysAverage Number of Days
HQ4100.514134106.518311414
OIG0N/AN/A1550N/AN/A
AGENCY OVERALL4100.51413510617811414

PENDING REQUESTS -- TEN OLDEST PENDING PERFECTED REQUESTS

Agency / Component 10th Oldest Request9th8th7th6th5th4th3rd2ndOldest Request
HQDate of Receipt2015-08-062015-06-042015-05-292015-04-022015-03-092015-03-092015-03-042014-11-202014-08-042014-06-20
Number of Days Pending290334338378396396399468543573
OIGDate of ReceiptN/AN/AN/AN/AN/AN/AN/AN/AN/A2016-09-23
Number of Days Pending0000000005
AGENCY OVERALLDate of Receipt2015-08-062015-06-042015-05-292015-04-022015-03-092015-03-092015-03-042014-11-202014-08-042014-06-20
Number of Days Pending290334338378396396399468543573

REQUESTS FOR EXPEDITED PROCESSING

Agency / ComponentNumber GrantedNumber DeniedMedian Number of Days to AdjudicateAverage Number of Days to AdjudicateNumber Adjudicated Within Ten Calendar Days
HQ14125
OIG00N/AN/A0
AGENCY OVERALL14125

REQUESTS FOR FEE WAIVER

Agency / ComponentNumber GrantedNumber DeniedMedian Number of Days to AdjudicateAverage Number of Days to Adjudicate
HQ62511
OIG00N/AN/A
AGENCY OVERALL62511

FOIA PERSONNEL AND COSTS

Agency / ComponentPERSONNELCOSTS
Number of "Full- Time FOIA Employees"Number of "Equivalent Full- Time FOIA Employees"Total Number of "Full-Time FOIA Staff"Processing CostsLitigation-Related CostsTotal Costs
HQ60.556.55$786,974.51$0.00$786,974.51
OIG00.10.1$16,590.90$0.00$16,590.90
AGENCY OVERALL60.656.65$803,565.41$0.00$803,565.41

FEES COLLECTED FOR PROCESSING REQUESTS

Agency / ComponentTotal Amount of Fees CollectedPercentage of Total Costs
HQ$733.760.09%
OIG$0.000.00%
AGENCY OVERALL$733.760.09%

XI.A. NUMBER OF TIMES SUBSECTION (C) USED

Agency / ComponentNumber of Times Subsection (C) Used
HQ0
OIG0
AGENCY OVERALL0

XI.B. NUMBER OF SUBSECTION (A)(2) POSTINGS

Agency / ComponentNumber of (a)(2) Records Posted by the FOIA OfficeNumber of (a)(2) Records Posted by Program Offices
HQ90
OIG00
AGENCY OVERALL90

BACKLOGS OF FOIA REQUESTS AND ADMINISTRATIVE APPEALS

Agency / ComponentNumber of Backlogged Requests as of End of Fiscal YearNumber of Backlogged Appeals as of End of Fiscal Year
HQ330
OIG00
AGENCY OVERALL330

CONSULTATIONS ON FOIA REQUESTS -- RECEIVED, PROCESSED, AND PENDING CONSULTATIONS

Agency / ComponentNumber of Consultations Received from Other Agencies that were Pending at the Agency as of Start of the Fiscal YearNumber of Consultations Received from Other Agencies During the Fiscal YearNumber of Consultations Received from Other Agencies that were Processed by the Agency During the Fiscal YearNumber of Consultations Received from Other Agencies that were Pending at the Agency as of End of the Fiscal Year
HQ0220
OIG0000
AGENCY OVERALL0220

CONSULTATIONS ON FOIA REQUESTS -- TEN OLDEST CONSULTATIONS RECEIVED FROM OTHER AGENCIES AND PENDING AT THE AGENCY

Agency / Component 10th Oldest Consultation9th8th7th6th5th4th3rd2ndOldest Consultation
HQDateN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
Number of Days0000000000
OIGDateN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
Number of Days0000000000
AGENCY OVERALLDateN/AN/AN/AN/AN/AN/AN/AN/AN/AN/A
Number of Days0000000000

XII.D.(1). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- REQUESTS RECEIVED AND PROCESSED

Agency / ComponentNUMBER OF REQUESTS RECEIVEDNUMBER OF REQUESTS PROCESSED
Number Received During Fiscal Year from Last Year's Annual ReportNumber Received During Fiscal Year from Current Annual ReportNumber Processed During Fiscal Year from Last Year's Annual ReportNumber Processed During Fiscal Year from Current Annual Report
HQ9411895116
OIG6665
AGENCY OVERALL100124101121

XII.D.(2). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- BACKLOGGED REQUESTS

Agency / ComponentNumber of Backlogged Requests as of End of the Fiscal Year from Previous Annual ReportNumber of Backlogged Requests as of End of the Fiscal Year from Current Annual Report
HQ3333
OIG00
AGENCY OVERALL3333

XII.E.(1). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- APPEALS RECEIVED AND PROCESSED

Agency / ComponentNUMBER OF APPEALS RECEIVEDNUMBER OF APPEALS PROCESSED
Number Received During Fiscal Year from Last Year's Annual ReportNumber Received During Fiscal Year from Current Annual ReportNumber Processed During Fiscal Year from Last Year's Annual ReportNumber Processed During Fiscal Year from Current Annual Report
HQ4969
OIG0000
AGENCY OVERALL4969

XII.E.(2). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- BACKLOGGED APPEALS

Agency / ComponentNumber of Backlogged Appeals as of End of the Fiscal Year from Previous Annual ReportNumber of Backlogged Appeals as of End of the Fiscal Year from Current Annual Report
HQ00
OIG00
AGENCY OVERALL00