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FOIA ANNUAL REPORT

FOR

10/01/2011

THROUGH

09/30/2012

Tuesday, February 05, 2013
The following Annual Freedom of Information Act report covers the
Period 10/01/2011, through 09/30/2012, 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

Dawn R. Kral, FOIA Public Liaison
Export-Import Bank of the United States
811 Vermont Avenue, N.W.
Washington, D.C. 20571
(202) 565-3248
dawn.kral@exim.gov

2.

Electronic link for access to the Report on Ex-Im Bank’s Web site:

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 requests are received and processed at the following address:

Export-Import Bank of the United States
811 Vermont Avenue, N.W.
Washington, D.C. 20571

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

2.Brief description of why some requests 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 Board of Directors and Credit Committee containing staff analyses and recommendations.
III.ACRONYMS, DEFINITIONS, AND EXEMPTIONS
1.Agency-specific acronyms or terms used in this Report: None.
2.Definitions of terms used in this Report:
a.Administrative Appeal - a request to a federal agency asking that it review at a higher administrative level a FOIA determination made by the agency at the initial request level.
b.Average Number - the number obtained by dividing the sum of a group of numbers by the quantity of numbers in the group. For example, of 3, 7, and 14, the average number is 8.
c.Backlog - the number of requests 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.
d.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 requests. 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.
e.Consultation - the procedure whereby the agency responding to a FOIA request first forwards a record to another 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 that forwarded it. That agency, in turn, will then respond to the FOIA requester.
f.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.
g.FOIA Request - a FOIA request is generally a request to a federal agency for access to records concerning another person (i.e., a "third-party" request), or concerning an organization, or a particular topic of interest. FOIA requests also include requests made by requesters seeking records concerning themselves (i.e., "first-party" requests) 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 requests also include any first-party requests where an agency determines that it must search beyond its Privacy Act "systems of records" or where a 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.)
h.Full Grant - an agency decision to disclose all records in full in response to a FOIA request.
i.Full Denial - an 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.
j.Median Number - the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.
k.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.
i.Expedited Processing - an 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.
ii.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.
iii.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.
l.Partial Grant/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.
m.Pending Request or Pending Administrative Appeal - a request or administrative appeal for which an agency has not taken final action in all respects.
n.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.
o.Processed Request or Processed Administrative Appeal - a request or administrative appeal for which an agency has taken final action in all respects.
p.Range in Number of Days - the lowest and highest number of days to process requests or administrative appeals.
q.Time Limits - the time period in the statute for an agency to respond to a FOIA request (ordinarily twenty working days from receipt of a perfected FOIA request).
3.Concise descriptions of the nine FOIA exemptions:
a.Exemption 1: classified national defense and foreign relations information
b.Exemption 2: internal agency rules and practices
c.Exemption 3: information that is prohibited from disclosure by another federal law
d.Exemption 4: trade secrets and other confidential business information
e.Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges
f.Exemption 6: information involving matters of personal privacy
g.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
h.Exemption 8: information relating to the supervision of financial institutions
i.Exemption 9: geological information on wells

 

IV. Exemption 3 Statutes
A. For Initial Requests
Statute
N/A		Type of Information
Withheld		Case CitationTotal Number of
Times Relied upon
by Agency
B. For Appeals
Statute
N/A		Type of Information
Withheld		Case CitationTotal Number of
Times Relied upon
by Agency
V. FOIA REQUESTS
A. Received, Processed and Pending FOIA Requests
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
AGENCY
OVERALL 		29 62 47 44 
B.(1) Disposition of FOIA Requests All Processed Requests
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 recordsReferralsRequest withdrawnFee-related reasonRecords not reasonably describedNot a proper FOIA request for some other reasonNot an agency recordDuplicate RequestNon-ResponsiveCancelled.Other

*Explain
in chart
below		TOTAL
AGENCY
OVERALL 		19 15 -  6  -  3  1  -  -  -  -  -  3  - 47 
B.(2) Disposition of FOIA Requests Other Reasons for Full Denials Based on Reasons Other than Exemptions
ComponentDescription of Other Reasons
for Denials from Chart B (1)
& Number of Times Those
Reasons Were Relied upon		TOTAL
AGENCY
OVERALL 		 0 
B.(3) Disposition of FOIA Requests Number of Times Exemptions Applied
(b)(1)(b)(2)(b)(3)(b)(4)(b)(5)(b)(6)(b)(7)(A)(b)(7)(B)(b)(7)(C)(b)(7)(D)(b)(7)(E)(b)(7)(F)(b)(8)(b)(9)
AGENCY
OVERALL 		- - - 12 4 7 1 - 3 - 1 - - - 
VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS
A. Received, Processed and Pending Administrative Appeals
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
AGENCY
OVERALL 		1 1 - 2 
B. Disposition of Administrative Appeals All Processed Appeals
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
AGENCY OVERALL - - - - - 
C.(1) Reasons for Denial on Appeal Number of Times Exemptions Applied
(b)(1)(b)(2)(b)(3)(b)(4)(b)(5)(b)(6)(b)(7)(A)(b)(7)(B)(b)(7)(C)(b)(7)(D)(b)(7)(E)(b)(7)(F)(b)(8)(b)(9)
AGENCY
OVERALL 		- - - - - - - - - - - - - - 
C.(2) Reasons for Denial on Appeal Reasons Other than Exemptions
Other

*Explain
in chart
below		TOTAL
AGENCY
OVERALL 		  - - 
C.(3) Reasons for Denial on Appeal Other Reasons
ComponentDescription of Other Reasons
for Denials from Chart C (2)
& Number of Times Those
Reasons Were Relied upon		TOTAL
AGENCY
OVERALL 		 0 
C.(4) Response Time for Administrative Appeals
SIMPLECOMPLEXEXPEDITED 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
AGENCY
OVERALL 		- - - - - - - - - - - - 
C.(5) Ten Oldest Pending Administrative Appeals
10th Oldest
Appeal and
Number of
Days Pending		9th8th7th6th5th4th3rd2ndOldest Appeal
and Number of
Days Pending
AGENCY
OVERALL 		        10/20/2011
237 		11/15/2010
471 
VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTS
A. Processed Requests Response Time for All Processed Perfected Requests
SIMPLECOMPLEXEXPEDITED 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
AGENCY
OVERALL 		22 49.68 <1 235 241 223.58 28 427 - - - - 
B. Processed Requests Response Time for Perfected Requests in Which Information Was Granted
SIMPLECOMPLEXEXPEDITED 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
AGENCY
OVERALL 		26 55.73 <1 235 279 255.58 28 427 - - - - 
C. Processed Requests Response Time in Day Increments
Simple Requests
< 1
Day		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
AGENCY
OVERALL 		2 12 4 1 2 3 - 2 - - - 2 - - 28 
Complex Requests
< 1
Day		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
AGENCY
OVERALL 		- - 1 1 1 3 - - 1 2 - 4 4 2 19 
Requests Granted Expedited Processing
< 1
Day		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
AGENCY
OVERALL 		- - - - - - - - - - - - - - - 
D. Pending Requests All Pending Perfected Requests
SIMPLECOMPLEXEXPEDITED 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
AGENCY
OVERALL 		10 65 78.4 34 147.5 193.44 - - - 
E. Pending Requests Ten Oldest Pending Perfected Requests
10th Oldest
Request and
Number of
Days Pending		9th8th7th6th5th4th3rd2ndOldest Request
and Number of
Days Pending
AGENCY
OVERALL 		05/31/2011
336 		05/31/2011
336 		05/19/2011
343 		05/09/2011
351 		05/05/2011
353 		02/01/2011
419 		01/14/2011
430 		10/01/2010
500 		08/09/2010
538 		07/30/2010
544 
VIII. REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVER
A. Requests for Expedited Processing
Number
Granted		Number
Denied		Median
Number of
Days to
Adjudicate		Average
Number of
Days to
Adjudicate		Number
Adjudicated
Within Ten
Calendar Days
AGENCY
OVERALL 		- - - - - 
B. Requests for Fee Waiver
Number
Granted		Number
Denied		Median
Number of
Days to
Adjudicate		Average
Number of
Days to
Adjudicate
AGENCY
OVERALL 		8 - 0.5 55.5 
IX. FOIA PERSONNEL AND COSTS
PERSONNELCOSTS
Number of
Full-Time
FOIAEmployees		Number of
Equivalent
Full-Time FOIA
Employees		Total
Number of
Full-Time
FOIA Staff		Processing
Costs		Litigation-
Related
Costs		Total
Costs
AGENCY
OVERALL 		0.75 0.50 1.25 $173,812.00 $0.00 $173,812.00 
X. FEES COLLECTED FOR PROCESSING REQUESTS
Total Amount of Fees
Collected		Percentage of Total Costs
(Rounded to nearest hundredth decimal)
AGENCY
OVERALL 		$960.00 0.55 
XI. FOIA Regulations (Including Fee Schedule)
 Ex-Im Bank's FOIA Regulations can be found at the following Web address: 

http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&rgn=div6&view=text&node=12:5.0.2.3.3.1&idno=12 
XII. BACKLOGS, CONSULTATIONS, AND COMPARISONS
A. Backlogs of FOIA Requests and Administrative Appeals
Number of Backlogged
Requests as of End of
Fiscal Year		Number of Backlogged
Appeals as of End of
Fiscal Year
AGENCY
OVERALL 		38 2 
Discuss/Explain the backlog here(Optional)
 Ex-Im Bank's FOIA operations were suspended for several months in FY 2012 due to the need for staff to review a voluminous amount of E-Mails in response to a Congressional inquiry; this resulted in an increased backlog of FOIA requests. 
B. Consultations on FOIA Requests Received, Processed, and Pending Consultations
Number of
Consultations Received
from Other Agencies
that Were Pending at
Your 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
Your Agency During
the Fiscal Year		Number of
Consultations Received
from Other Agencies
that Were Pending at
Your Agency as of
End of the Fiscal Year
AGENCY
OVERALL 		- - - - 

 

C. Consultations on FOIA Requests Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency
10th Oldest
Consultation and
Number of
Days Pending		9th8th7th6th5th4th3rd2ndOldest Consultation
and Number of
Days Pending
AGENCY
OVERALL 		          
D. Comparison of Numbers of Requests from Previous and Current Annual Report Requests Received, Processed, and Backlogged
NUMBER OF REQUESTS RECEIVEDNUMBER OF REQUESTS PROCESSED
Number Received
During Fiscal Year
from Last Years
Annual Report		Number Received
During Fiscal Year
from Current
Annual Report		Number Processed
During Fiscal Year
from Last Years
Annual Report		Number Processed
During Fiscal Year
from Current
Annual Report
AGENCY
OVERALL 		100 62 100 47 
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
AGENCY
OVERALL 		24 38 
E. Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report Appeals Received, Processed, and Backlogged
NUMBER OF APPEALS RECEIVEDNUMBER OF APPEALS PROCESSED
Number Received
During Fiscal Year
from Last Years
Annual Report		Number Received
During Fiscal Year
from Current
Annual Report		Number Processed
During Fiscal Year
from Last Years
Annual Report		Number Processed
During Fiscal Year
from Current
Annual Report
AGENCY
OVERALL 		1 1 - - 
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
AGENCY
OVERALL 		1 2 
F. Discussion of Other FOIA Activities (Optional)
 Ex-Im Bank hired one FOIA Contractor in FY 2012 to assist with processing requests and reducing the backlog.