Facebook pixel

DOWNLOAD REPORT AS PDF OR XML.

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:

//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 Citation

Total Number of
Times Relied upon
by Agency

B.  For Appeals

Statute
N/A

Type of Information
Withheld

Case Citation

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

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 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

Non-Responsive

Cancelled.

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

Component

Description of Other Reasons
for Denials from Chart B (1)
& Number of Times Those
Reasons Were Relied upon

TOTAL

AGENCY
OVERALL 

  

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 

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 

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

Component

Description of Other Reasons
for Denials from Chart C (2)
& Number of Times Those
Reasons Were Relied upon

TOTAL

AGENCY
OVERALL 

  

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

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

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

 

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

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

 

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

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 

12 

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 

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

 

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

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

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest 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 

0.5 

55.5 

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

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 

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

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest 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 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

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 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

AGENCY
OVERALL 

 

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 

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.