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EXPORT-IMPORT BANK OF THE UNITED STATES
Annual Freedom of Information Act Report
Fiscal Year 2017

The following Annual Freedom of Information Act (FOIA) Report covers the period of October 1, 2016 through September 30, 2017, 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.
    Lisa V. Terry, Chief FOIA Officer
    Export-Import Bank of the United States
    811 Vermont Avenue, N.W.
    Washington, D.C. 20571
    202) 565-3195
    Lisa.Terry@exim.gov
    Lennell Jackson, FOIA Public Liaison
    Export-Import Bank of the United States
    811 Vermont Avenue, N.W.
    Washington, D.C. 20571
    (202) 565-3290
    lennell.jackson@exim.gov
  2. Electronic link for access to the Report on the agency Website.
    //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 request are received and processed at the following address:
    Export-Import Bank of the United States
    811 Vermont Avenue, N.W.
    Washington, D.C. 20571
    (202) 565-3290
    Guidance on making a FOIA request can be found at:
     
    //www.exim.gov/about/foia
  2. Brief description of why some request 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 Directors containing staff analyses and recommendations.
  3. Electronic link to agency FOIA regulations:
    Ex-Im Bank FOIA Regulations - eCFR (link is external)

III: Acronyms, Definitions, and Exemptions

  1. Including the following definitions of terms used in this Report:
    1. Administrative Appeal- a request to federal agency asking that it review at a higher administrative level a FOIA determination made by the agency at the initial request level.
    2. Average Number- the number obtained by dividing the sum of a group of numbers by quantity of numbers in the group. For example, 3, 7, and 14, the average number is 8.
    3. Backlog- the number of request 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.
    4. 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 request. 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.
    5. Consultation- the procedure whereby the agency responding to a FOIA request first forwards a record to another agency or component within the same 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 or component within the same agency that forwarded it. That agency, in turn, will then respond to the FOIA request.
    6. 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.
    7. FOIA Request- a FOIA request is generally a request to a federal agency for access to records concerning another person (i.e., “third party” request), or concerning and organization, or particular topic of interest. FOIA request also include request made by requesters seeking records concerning themselves (i.e., “first party” request) when those requesters are not subject to the Privacy Act, such as non-U.S. citizens. Moreover, because all first-party requesters.
    8. should be afforded the benefit of both the access provisions of the FOIA as well as those of the Privacy Act, FOIA request also include any first-party requests where an agency determines that it must search beyond its Privacy Act “system of records” or where 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.)
    9. Full Grant – any agency decision to disclose all records in full in response to a FOIA request.
    10. Full Denial – any 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.
    11. Median Number – the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.
    12. 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.
      1. Expedited Processing – any 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.
      2. 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.
      3. 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.
    13. Partial Granted/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.
    14. Pending Request or Pending Administrative Appeal – a request or administrative appeal for which an agency has not taken final action in all respects.
    15. 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.
    16. Processed Request or Processed Administrative Appeal – a request or administrative appeal for which an agency has taken final action in all respects.
    17. Range in Number of – the lowest and highest number of days to process request or administrative appeals.
    18. Time Limits – the time period in the statute for any agency to respond to a FOIA request (ordinarily twenty working days from receipt of a perfected FOIA request).
  2. Include the following concise description of the nine FOIA exemptions:
    1. Exemption 1: classified national defense and foreign relations information
    2. Exemption 2: information that is related solely to the internal personnel rules and practices of an agency

    3. Exemption 3: information that is prohibited from disclosure by another federal law

    4. Exemption 4: trade secrets and other confidential business information

    5. Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges

    6. Exemption 6: information involving matters of personal privacy

    7. 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
    8. Exemption 8: information relating to the supervision of financial institutions
    9. Exemption 9: geological information on wells

     
  3. Agency Component Abbreviations
    Component Abbreviation Component Name
    HQ
    Headquarters
    OIG
    Office of the Inspector General
       

IV. Exemption 3 Statutes

Statute Type of Information
Withheld
Case Citation Agency / Component Number of Times
Relied upon
by Agency / Component
Total Number of
Times Relied upon
by Agency Overall
5 U.S.C. app. § 107(a) (Ethics in Government Act of 1978)
Financial disclosure information pertaining to certain government employees
Meyerhoff v. EPA, 958 F22d 1498, 1500-02 (9th Cir. 1992); Concepcion v. FBI, 606 F. Supp. 2d 14 33 (D.D.C 2009, renewed motion for summary judgement granted in part on other grounds, 699 F. Supp. 2d 106 (D.D.C. 2010); Glascoe v. DOJ, No. 04-0486, 2005 WL 1139269, at *1 (D.D.C. May 15, 2005).
HQ
5 5
       
           

V.A. FOIA REQUESTS -- RECEIVED, PROCESSED AND PENDING FOIA REQUESTS

Agency / Component 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
39 135 123 51
OIG
1 8 9 0
AGENCY OVERALL
40 143 132 51

V.B.(1). DISPOSITION OF FOIA REQUESTS -- ALL PROCESSED REQUESTS

Agency / Component 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 All Records Referred to Another Component or Agency Request Withdrawn Fee-Related Reason Records not Reasonably Described Improper FOIA Request for Other Reason Not Agency Record Duplicate Request Other *Explain in Chart Below TOTAL
HQ
38 35 12 23 1 4 1 7 2 0 0 0 123
OIG
1 7 0 1 0 0 0 0 0 0 0 0 9
AGENCY OVERALL
39 42 12 24 1 4 1 7 2 0 0 0 132

V.B.(2). DISPOSITION OF FOIA REQUESTS -- "OTHER" REASONS FOR "FULL DENIALS BASED ON REASONS OTHER THAN EXEMPTIONS"

Agency / Component Description of "Other" Reasons for Denials from Chart B(1) Number of Times "Other" Reason Was Relied Upon TOTAL
HQ
N/A 0 0
N/A 0
OIG
N/A 0 0
   
AGENCY OVERALL
    0
       

V.B.(3). DISPOSITION OF FOIA REQUESTS -- NUMBER OF TIMES EXEMPTIONS APPLIED

Agency / Component Ex. 1 Ex. 2 Ex. 3 Ex. 4 Ex. 5 Ex. 6 Ex. 7(A) Ex. 7(B) Ex. 7(C) Ex. 7(D) Ex. 7(E) Ex. 7(F) Ex. 8 Ex. 9
HQ
0 0 5 29 24 24 0 0 0 0 0 0 0 0
OIG
0 0 0 0 3 7 6 0 7 0 3 0 0 0
AGENCY OVERALL
0 0 5 29 27 31 6 0 7 0 3 0 0 0

VI.A. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS -- RECEIVED, PROCESSED, AND PENDING ADMINISTRATIVE APPEALS

Agency / Component 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
0 1 1 0
OIG
0 0 0 0
AGENCY OVERALL 0 1 1 0

VI.B. DISPOSITION OF ADMINISTRATIVE APPEALS -- ALL PROCESSED APPEALS

Agency / Component 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
1 0 0 0 1
OIG
0 0 0 0 0
AGENCY OVERALL
1 0 0 0 1

VI.C.(1). REASONS FOR DENIAL ON APPEAL -- NUMBER OF TIMES EXEMPTIONS APPLIED

Agency / Component Ex. 1 Ex. 2 Ex. 3 Ex. 4 Ex. 5 Ex. 6 Ex. 7(A) Ex. 7(B) Ex. 7(C) Ex. 7(D) Ex. 7(E) Ex. 7(F) Ex. 8 Ex. 9
HQ
0 0 0 1 1 0 0 0 0 0 0 0 0 0
OIG
0 0 0 0 0 0 0 0 0 0 0 0 0 0
AGENCY OVERALL
0 0 0 1 1 0 0 0 0 0 0 0 0 0

VI.C.(2). REASONS FOR DENIAL ON APPEAL -- REASONS OTHER THAN EXEMPTIONS

Agency / Component No Records Records Referred at Initial Request 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
HQ
0 0 0 0 0 0 0 0 0 0 0
OIG
0 0 0 0 0 0 0 0 0 0 0
AGENCY OVERALL
0 0 0 0 0 0 0 0 0 0 0

VI.C.(3). REASONS FOR DENIAL ON APPEAL -- "OTHER" REASONS

Agency / Component Description of "Other" Reasons for Denial on Appeal from Chart C(2) Number of Times "Other" Reason Was Relied Upon TOTAL
HQ
N/A
0 0
   
OIG
N/A
0

0

   
AGENCY OVERALL    

0

       

VI.C.(4). RESPONSE TIME FOR ADMINISTRATIVE APPEALS

Agency / Component Median Number of Days Average Number of Days Lowest Number of Days Highest Number of Days
HQ
17.00 17.00 17.00 17.00
OIG
0.00 0.00 0.00 0.00
AGENCY OVERALL
17.00 17.00 17.00 17.00

VI.C.(5). TEN OLDEST PENDING ADMINISTRATIVE APPEALS

Agency / Component   10th Oldest Appeal 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Appeal
HQ
Date of Appeal
N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
Number of Days Pending
0 0 0 0 0 0 0 0 0 0
AGENCY OVERALL
Date of Appeal
N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
Number of Days Pending
0 0 0 0 0 0 0 0 0 0

VII.A. FOIA REQUESTS -- RESPONSE TIME FOR ALL PROCESSED PERFECTED REQUESTS

Agency / Component 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
6 9.06 <1 35 141.5 177.23 7 756 23 23 12 34
OIG
12 22.86 2 96 203 203 203 203 N/A N/A N/A N/A
AGENCY OVERALL
6 10.4 <1 96 142 178.76 7 756 23 23 12 34

VII.B. PROCESSED REQUESTS -- RESPONSE TIME FOR PERFECTED REQUESTS IN WHICH INFORMATION WAS GRANTED

Agency / Component 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
4.5 9.55 <1 35 141 170 25 480 34 34 34 34
OIG
11.5 24.17 2 96 203 203 203 203 N/A N/A N/A N/A
AGENCY OVERALL
5.5 11.38 <1 96 141.5 171.03 25 480 34 34 34 34

VII.C. PROCESSED SIMPLE REQUESTS -- RESPONSE TIME IN DAY INCREMENTS

Agency / Component <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
55 11 0 0 0 0 0 0 0 0 0 0 0 66
OIG
6 0 0 0 1 0 0 0 0 0 0 0 0 7
AGENCY OVERALL
61 11 0 0 1 0 0 0 0 0 0 0 0 73

VII.C. PROCESSED COMPLEX REQUESTS -- RESPONSE TIME IN DAY INCREMENTS

Agency / Component <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 8 3 5 2 2 0 4 2 2 8 6 3 46
OIG
0 0 0 0 0 0 0 0 0 0 2 0 0 2
AGENCY OVERALL 1 8 3 5 2 2 0 4 2 2 10 6 3 48

VII.C. PROCESSED REQUESTS GRANTED EXPEDITED PROCESSING -- RESPONSE TIME IN DAY INCREMENTS

Agency / Component <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 0 0 0 0 0 0 0 0 0 0 0 2
OIG
0 0 0 0 0 0 0 0 0 0 0 0 0 0
AGENCY OVERALL 1 1 0 0 0 0 0 0 0 0 0 0 0 2

VII.D. PENDING REQUESTS -- ALL PENDING PERFECTED REQUESTS

Agency / Component 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
11 36 70 36 130 234 0 N/A N/A
OIG
0 N/A N/A 0 N/A N/A 0 N/A N/A
AGENCY OVERALL
11 36 70 36 130 234 0 N/A N/A

VII.E. PENDING REQUESTS -- TEN OLDEST PENDING PERFECTED REQUESTS

Agency / Component   10th Oldest Request 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Request
HQ
Date of Receipt
2016-05-03 2016-05-03 2016-05-03 2015-10-05 2015-08-06 2015-04-02 2015-03-09 2015-03-04 2014-11-20 2014-06-20
Number of Days Pending
355 355 355 499 540 628 646 649 718 823
OIG
Date of Receipt
N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
Number of Days Pending
0 0 0 0 0 0 0 0 0 0
AGENCY OVERALL
Date of Receipt
2016-05-03 2016-05-03 2016-05-03 2015-10-05 2015-08-06 2015-04-02 2015-03-09 2015-03-04 2014-11-20 2014-06-20
Number of Days Pending
355 355 355 499 540 628 646 649 718 823

VIII.A. REQUESTS FOR EXPEDITED PROCESSING

Agency / Component Number Granted Number Denied Median Number of Days to Adjudicate Average Number of Days to Adjudicate Number Adjudicated Within Ten Calendar Days
HQ
2 10 1 0.08 12
OIG
0 1 1 1 1
AGENCY OVERALL
2 11 1 0.15 13

VIII.B. Requests for Fee Waiver

Agency / Component Number Granted Number Denied Median Number of Days to Adjudicate Average Number of Days to Adjudicate
HQ
24 12 1 1
OIG
1 0 1 1
AGENCY OVERALL 25 12 1 1

IX. FOIA Personnel and Costs

Agency / Component PERSONNEL COSTS
Number of "Full-Time FOIA Employees" Number of "Equivalent Full-Time FOIA Employees" Total Number of "Full-Time FOIA Staff" Processing Costs Litigation-Related Costs Total Costs
HQ
5 0.55 5.55 $884,546.23 $0.00 $884,546.23
OIG
0 0.1 0.1 $18,356.09 $0.00 $18,356.09
AGENCY OVERALL
5 0.65 5.65 $902,902.32 $0.00 $902,902.32

X. Fees Collected for Processing Requests

Agency / Component Total Amount of Fees Collected Percentage of Total Costs
HQ
$7,422.72 0.84%
OIG
$0.00 0.00%
AGENCY OVERALL
$7,422.72 0.82%

XI.A. Number of Times Subsection Used

Agency / Component Number of Times Subsection Used
HQ
0
OIG
0
AGENCY OVERALL
0

XI.B. Number of Subsection Postings

Agency / Component Number of Records Posted by the FOIA Office Number of Records Posted by Program Offices
HQ
6 0
OIG
18 0
AGENCY OVERALL 24 0

XII.A. Backlogs of FOIA Requests and Administrative Appeals

Agency / Component Number of Backlogged Requests as of End of Fiscal Year Number of Backlogged Appeals as of End of Fiscal Year
HQ 43 0
OIG 0 0
AGENCY OVERALL 43 0

XII.B. CONSULTATIONS ON FOIA REQUESTS -- RECEIVED, PROCESSED, AND PENDING CONSULTATIONS

Agency / Component Number of Consultations Received from Other Agencies that were Pending at the 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 the Agency During the Fiscal Year Number of Consultations Received from Other Agencies that were Pending at the Agency as of End
of the Fiscal Year
HQ
0 0 0 0
OIG
0 0 0 0
AGENCY OVERALL 0 0 0 0

XII.C. CONSULTATIONS ON FOIA REQUESTS -- TEN OLDEST CONSULTATIONS RECEIVED FROM OTHER AGENCIES AND PENDING AT THE AGENCY

Agency / Component   10th Oldest Consultation 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Consultation
HQ
Date
N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
Number of Days
0 0 0 0 0 0 0 0 0 0
OIG
Date
N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
Number of Days
0 0 0 0 0 0 0 0 0 0
AGENCY OVERALL
Date
N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A
Number of Days
0 0 0 0 0 0 0 0 0 0

XII.D.(1). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- REQUESTS RECEIVED AND PROCESSED

Agency / Component NUMBER OF REQUESTS RECEIVED NUMBER 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
118 135 116 123
OIG
6 8 5 9
AGENCY OVERALL
124 143 121 132

XII.D.(2). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- BACKLOGGED REQUESTS

Agency / Component 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
33 43
OIG
0 0
AGENCY OVERALL
33 43

XII.E.(1). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- APPEALS RECEIVED AND PROCESSED

Agency / Component NUMBER OF APPEALS RECEIVED NUMBER 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
9 1 9 1
OIG
0 0 0 0
AGENCY OVERALL
9 1 9 1

XII.E.(2). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- BACKLOGGED APPEALS

Agency / Component 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
0 0
OIG
0 0
AGENCY OVERALL
0 0