2012

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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: //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		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
Component	Description 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

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

49.68

235

241

223.58

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

55.73

235

279

255.58

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
	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	8	-	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	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	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	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.

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