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10/01/2009
TO
09/30/2010
 
Wednesday, January 26, 2011
 
The following Annual Freedom of Information Act report covers the
Period 10/01/2009 through 09/30/2010, as required by 5 U.S.C. 552.
 
I.BASIC INFORMATION REGARDING REPORT
  
 1.Name, address, and telephone number of person(s) to be contacted with questions about the report:
  

John F. Simonson, Chief FOIA Officer 
Export-Import Bank of the United States 
811 Vermont Avenue, NW
Washington, DC 20571
(202) 565-3952

Dawn R. Kral, FOIA Public Liaison
Export-Import Bank of the United States
811 Vermont Avenue, NW
Washington, DC 20571
(202) 565-3248

 2.Electronic link for access to the report on Ex-Im Bank's Web site:
www.exim.gov/about/freedom-information-act/foia-annual-reports/2010
   
 3.To receive a hard copy of this report, mail a request to either of the contacts shown above.
 
II.MAKING A FOIA REQUEST
  
 1.

All FOIA requests are received and processed at the following address:

Export-Import Bank of the United States 
Freedom of Information Act Office
811 Vermont Avenue, NW
Washington, DC 20571
(202) 565-3248

Guidance on how to make a FOIA request can be found at
//www.exim.gov/about/foia/frequently-requested-records-and-proactive-disclosures

   
 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). The (b)(4) exemption 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. The (b)(5) exemption is generally applied to staff correspondence generated during the credit review process and pre-decisional memoranda prepared for the Bank's Board of Directors and Credit Committee containing staff analysis 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
    

NOTE: All FOIA requests are received and processed at Ex-Im Bank's headquarters at the address shown in II. 1. above. The following tables reflect that there are no other individual reporting components within Ex-Im Bank other than the agency in total.

IV. Exemption 3 Statutes

A. For Initial Requests
StatuteType of Information
Withheld
Case CitationNumber of Times
Relied upon
per Component
Total Number of
Times Relied upon
by Agency

 

B. For Appeals
StatuteType of Information
Withheld
Case CitationNumber of Times
Relied upon
per Component
Total 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
HQ 

Discrepancy in number of  pending requests FY 2009 v FY 2010 – due to incomplete data migration for new FOIA processing software
28 

96 95 29 

 

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 
    Records not reasonably describedFee-related reasonRequest withdrawnNo recordsDuplicate RequestOther

*Explain
in chart
below
TOTAL
HQ 37 41  -  -  3  12  -  - 95 

 

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

 

B.(3) Disposition of FOIA Requests – Number of Times Exemptions Applied
 (b)(1)(b)(2)(b)(9)(b)(8)(b)(7)(F)(b)(7)(E)(b)(7)(D)(b)(7)(C)(b)(7)(B)(b)(7)(A)(b)(6)(b)(3)(b)(4)(b)(5)
HQ 36 

 

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
HQ 

 

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
HQ 

 

C.(1) Reasons for Denial on Appeal – Number of Times Exemptions Applied
 (b)(1)(b)(2)(b)(9)(b)(8)(b)(7)(F)(b)(7)(E)(b)(7)(D)(b)(7)(C)(b)(7)(B)(b)(7)(A)(b)(6)(b)(3)(b)(4)(b)(5)
HQ 

 

C.(2) Reasons for Denial on Appeal – Reasons Other than Exemptions
   Other

*Explain
in chart
below
TOTAL
HQ 

 

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

 

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
HQ 21 21 17 25 

 

C.(5) Ten Oldest Pending Administrative Appeals
 10th Oldest
Appeal and
Number of
Days Pending
9th8th7th6th5th4th3rd2ndOldest Appeal
and Number of
Days Pending
HQ                     

 

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
HQ 28 31.98 <1 68 85 115.1 333 

 

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
HQ 28.5 33.4 <1 68 101.5 142.78 58 333 

 

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
HQ 20 26 12 66 
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
HQ 29 
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
HQ 

 

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
HQ 37 44.44 20 49 65.15 

 

E. Pending Requests – Ten Oldest Pending Perfected Requests
 10th Oldest
Request and
Number of
Days Pending
9th8th7th6th5th4th3rd2ndOldest Request
and Number of
Days Pending
HQ 06/24/2010
68 
06/21/2010
71 
06/15/2010
75 
05/27/2010
87 
05/17/2010
95 
05/17/2010
95 
05/03/2010
105 
02/24/2010
153 
02/22/2010
155 
02/16/2010
159 

 

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
HQ 

 

B. Requests for Fee Waiver
 Number
Granted
Number
Denied
Median
Number of
Days to
Adjudicate
Average
Number of
Days to
Adjudicate
HQ 11.17 

 

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
HQ 0.95 1.95 $316,908.70 $0.00 $316,908.70 

 

X. FEES COLLECTED FOR PROCESSING REQUESTS

 Total Amount of Fees
Collected
Percentage of Total Costs
HQ $3,328.00 1.05 

 

XI. FOIA Regulations (Including Fee Schedule)

 These can be found at: http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=ada39b1b53af6f927701d536f82c8d5b&rgn=div5&view=text&node=12%3A4.0.2.3.3&idno=12#12%3A4.0.2.3.3.1.4.1

 

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
HQ 22 

 

Discuss/Explain the backlog here(Optional)

 Ex-Im Bank has one full-time FOIA Specialist. This past Fiscal Year, Ex-Im Bank received several FOIA requests which involved review of an exceptionally large number of documents, including many E-Mails; limited resources and a greater amount of documents to review resulted in a 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
HQ 

 

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
HQ                     

 

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 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 108 96 96 95 

 

 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 Note: This figure was erroneously reported as 29 in last year's report.
16 
22 

 

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 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 

 

 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
HQ 

 

F. Discussion of Other FOIA Activities (Optional)
 Ex-Im Bank has hired temporary FOIA Specialists on an as-needed basis to assist with reducing a backlog of requests.