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10/01/2010
THROUGH
09/30/2011

Tuesday, February 14, 2012

The following Annual Freedom of Information Act Report covers the

period of 10/01/2010 through 9/30/2011, as required by 5 U.S.C. 552.

I.

BASIC INFORMATION REGARDING REPORT

   
 

1.

Name, address and telephone numbers of person(s) to be contacted with questions about the Report:

David M. Sena, Acting 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: 
//www.exim.gov/about/foia/frequently-requested-records-and-proactive-disclosures

   

 

 

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
Freedom of Information Act Office
811 Vermont Avenue, N.W.
Washington, D.C. 20571

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

     
 

2.

Brief description of why some FOIA 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

Type of Information
Withheld

Case Citation

Number of Times
Relied upon
per Component

Total Number of
Times Relied upon
by Agency



B. For Appeals

Statute

Type of Information
Withheld

Case Citation

Number 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

29

100

100

29

AGENCY
OVERALL

29

100

100

29



 

Number
of
Full
Grants

Number
of Partial
Grants/
Partial
Denials

Number of
Full Denials
Based on
Exemptions

No records

Referrals

Request withdrawn

Fee-related reason

Records not reasonably described

Not a proper FOIA request for some other reason

Not an agency record

Duplicate Request

Other

*Explain
in chart
below

TOTAL

HQ

41

41

1

13

-

4

-

-

-

-

-

-

100

AGENCY
OVERALL

41

41

1

13

-

4

-

-

-

-

-

-

100



B.(2) Disposition of FOIA Requests Other Reasons for Full Denials Based on Reasons Other than Exemptions

Component

Description 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)(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)

HQ

-

1

-

36

8

4

-

-

-

-

-

-

-

-

AGENCY
OVERALL

-

1

-

36

8

4

-

-

-

-

-

-

-

-



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

-

1

-

1

AGENCY
OVERALL

-

1

-

1



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

-

-

-

-

-

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)

HQ

-

-

-

-

-

-

-

-

-

-

-

-

-

-

AGENCY
OVERALL

-

-

-

-

-

-

-

-

-

-

-

-

-

-



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

No Records

Records Referred at Initial 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

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-

-



C.(3) Reasons for Denial on Appeal Other Reasons

Component

Description 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

 

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

-

-

-

-

-

-

-

-

-

-

-

-

AGENCY
OVERALL

-

-

-

-

-

-

-

-

-

-

-

-



C.(5) Ten Oldest Pending Administrative Appeals

 

10th Oldest
Appeal and
Number of
Days Pending

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal
and Number of
Days Pending

HQ

                 

11/15/2010
221

AGENCY
OVERALL

                 

11/15/2010
221



VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING REQUESTS

A. Processed Requests Response Time for All Processed Perfected Requests

 

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

22

32.26

1

173

69

104.42

5

360

12

12

12

12

AGENCY
OVERALL

22

32.26

1

173

69

104.42

5

360

12

12

12

12



B. Processed Requests Response Time for Perfected Requests in Which Information Was Granted

 

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

23.5

33.92

1

173

60.5

104.06

5

360

-

-

-

-

AGENCY
OVERALL

23.5

33.92

1

173

60.5

104.06

5

360

-

-

-

-



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

-

34

17

14

3

-

2

1

1

1

-

-

-

-

73

AGENCY
OVERALL

-

34

17

14

3

-

2

1

1

1

-

-

-

-

73

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

-

4

4

4

2

1

2

1

1

2

1

3

1

-

26

AGENCY
OVERALL

-

4

4

4

2

1

2

1

1

2

1

3

1

-

26

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

-

1

-

-

-

-

-

-

-

-

-

-

-

-

1

AGENCY
OVERALL

-

1

-

-

-

-

-

-

-

-

-

-

-

-

1



D. Pending Requests All Pending Perfected Requests

 

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

72.5

84

25

164

168.16

-

-

-

AGENCY
OVERALL

4

72.5

84

25

164

168.16

-

-

-



E. Pending Requests Ten Oldest Pending Perfected Requests

 

10th Oldest
Request and
Number of
Days Pending

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Request
and Number of
Days Pending

HQ

11/18/2010
218

11/17/2010
219

10/12/2010
244

10/01/2010
250

08/09/2010
288

08/09/2010
288

08/05/2010
290

07/30/2010
294

06/24/2010
319

06/21/2010
322

AGENCY
OVERALL

11/18/2010
218

11/17/2010
219

10/12/2010
244

10/01/2010
250

08/09/2010
288

08/09/2010
288

08/05/2010
290

07/30/2010
294

06/24/2010
319

06/21/2010
322



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

1

1

2.5

2.5

2

AGENCY
OVERALL

1

1

2.5

2.5

2



B. Requests for Fee Waiver

 

Number
Granted

Number
Denied

Median
Number of
Days to
Adjudicate

Average
Number of
Days to
Adjudicate

HQ

5

-

<1

<1

AGENCY
OVERALL

5

-

<1

<1



IX. FOIA PERSONNEL AND COSTS

 

PERSONNEL

COSTS

 
 

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

1

0.97

1.97

$270,014.00

$0.00

$270,014.00

     

AGENCY
OVERALL

1.00

0.97

1.97

$270,014.00

$0.00

$270,014.00

     


X. FEES COLLECTED FOR PROCESSING REQUESTS

 

Total Amount of Fees
Collected

Percentage of Total Costs
(Rounded to nearest hundredth decimal)

HQ

$6,944.00

2.57

AGENCY
OVERALL

$6,944.00

2.57



XI. FOIA Regulations (Including Fee Schedule)

These can be found at: http://ecfr.gpoaccess.gov/cgi/t/text/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

HQ

24

1

AGENCY
OVERALL

24

1



Discuss/Explain the backlog here(Optional)

Ex-Im Bank has one full-time FOIA Specialist, who handles all aspects of the FOIA process, from receipt of requests to negotiations with requesters to final disposition. This past as well as last Fiscal Years, Ex-Im Bank received several FOIA requests which involved search and review of a large amount of documents. This resulted in a continued 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

-

-

-

-

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

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Consultation
and Number of
Days Pending

HQ

                   

AGENCY
OVERALL

                   


D. Comparison of Numbers of Requests from Previous and Current Annual Report Requests Received, Processed, and Backlogged

 

NUMBER OF REQUESTS RECEIVED

NUMBER 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

HQ

96

100

95

100

AGENCY
OVERALL

96

100

95

100



 

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

22

24

AGENCY
OVERALL

22

24



E. Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report Appeals Received, Processed, and Backlogged

 

NUMBER OF APPEALS RECEIVED

NUMBER 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

HQ

2

1

2

-

AGENCY
OVERALL

2

1

2

-



 

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

-

1

AGENCY
OVERALL

-

1



F. Discussion of Other FOIA Activities (Optional)

In Fiscal Year 2011, Ex-Im Bank proactively placed data relating to its transactions over the past five years on its FOIA Web site, resulting in positive feedback from the public and fewer FOIA requests. The data is updated every quarter. Also, Ex-Im Bank hired a temporary FOIA Analyst for seven months in FY 2011 to assist with reducing the backlog.