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EXPORT-IMPORT BANK OF THE UNITED STATES
Annual Freedom of Information Act Report Fiscal Year 2018
The following Annual Freedom of Information Act (FOIA) Report covers the period of October 1, 2017 through September 30, 2018, as required by 5 U.S.C. 552.
I: Basic Information Regarding Report
- 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.govLennell 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 - Electronic link for access to the Report on the agency Website.
//www.exim.gov/about/foia/annual-reports
- To receive a "hard copy" of this Report, contact either of the above named individuals.
II: Making A FOIA Request
- 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) 565-3290Guidance on making a FOIA request can be found at:
//www.exim.gov/about/foia - 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.
- Electronic link to agency FOIA regulations:
Ex-Im Bank FOIA Regulations - eCFR (link is external)
III: Acronyms, Definitions, and Exemptions
- Including the following definitions of terms used in this Report:
- 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.
- 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.
- 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.
- 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.
- 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 requester.
- 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.
- 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 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.)
- Full Grant – any agency decision to disclose all records in full in response to a FOIA request.
- 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.
- Median Number – the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.
- 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.
- 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.
- 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.
- 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.
- 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.
- Pending Request or Pending Administrative Appeal – a request or administrative appeal for which an agency has not taken final action in all respects.
- 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.
- Processed Request or Processed Administrative Appeal – a request or administrative appeal for which an agency has taken final action in all respects.
- Range in Number of – the lowest and highest number of days to process request or administrative appeals.
- 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).
- Include the following concise description of the nine FOIA exemptions:
- Exemption 1: classified national defense and foreign relations information
- Exemption 2: information that is related solely to the internal personnel rules and practices of an agency
- Exemption 3: information that is prohibited from disclosure by another federal law
- Exemption 4: trade secrets and other confidential business information
- Exemption 5: inter-agency or intra-agency communications that are protected by legal privileges
- Exemption 6: information involving matters of personal privacy
- 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
- Exemption 8: information relating to the supervision of financial institutions
- Exemption 9: geological information on wells
3. Agency Component Abbreviations
Component Name
Headquarters
OIG
Office of Inspector General
IV. Exemption 3 Statutes
Type of Information
WithheldCase Citation
Agency / Component
Number of Times
Relied upon
by Agency / ComponentTotal Number of
Times Relied upon
by Agency Overall5 U.S.C. app. 4 § 107(a)(2)
(Ethics in Government Act of
1978)Confidential financial
disclosure report pertaining
to certain government
employeesMeyerhoff v. EPA, 958 F.2d
1498, 1500-02 (9th Cir. 1992);
Boyd v. Exec. Office for U.S.
Attorneys, 161 F. Supp. 3d 1, 7
(D.D.C. 2015); Seife v. NIH,
874 F. Supp. 2d 248, 254
(S.D.N.Y. 2012).HQ
5
5
V.A. FOIA REQUESTS -- RECEIVED, PROCESSED AND PENDING FOIA REQUESTS
Number of Requests
Pending as of Start
of Fiscal YearNumber of
Requests Received
in Fiscal YearNumber of
Requests Processed
in Fiscal YearNumber of Requests
Pending as of End
of Fiscal Year51
42
OIG
0
6
5
1
51
77
85
43
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
25
35
4
11
0
1
0
4
0
0
0
80
OIG
0
3
0
2
0
0
0
0
0
0
0
0
5
25
38
4
13
0
1
0
4
0
0
0
0
85
V.B.(2). DISPOSITION OF FOIA REQUESTS -- "OTHER" REASONS FOR "FULL DENIALS BASED ON REASONS OTHER THAN EXEMPTIONS"
Description of "Other" Reasons for Denials from Chart B(1)
Number of Times "Other" Reason Was Relied Upon
TOTAL
HQ
N/A
0
0
OIG
N/A
0
0
0
V.B.(3). DISPOSITION OF FOIA REQUESTS -- NUMBER OF TIMES EXEMPTIONS APPLIED
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
20
18
36
0
0
1
0
0
0
0
0
OIG
0
0
0
0
0
3
1
0
3
0
3
0
0
0
0
0
5
20
18
39
1
0
4
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 YearNumber of
Appeals Received
in Fiscal YearNumber of
Appeals Processed
in Fiscal YearNumber of Appeals
Pending as of End
of Fiscal YearHQ
0
3
3
0
OIG
0
0
0
0
AGENCY OVERALL
0
3
3
0
VI.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
1
1
1
0
3
OIG
0
0
0
0
0
1
1
1
0
3
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
0
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
0
1
0
0
0
0
0
0
0
0
0
VI.C.(2). REASONS FOR DENIAL ON APPEAL -- REASONS OTHER THAN EXEMPTIONS
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
0
0
0
0
0
0
0
0
0
0
OIG
0
0
0
0
0
0
0
0
0
0
0
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
0
VI.C.(4). RESPONSE TIME FOR ADMINISTRATIVE APPEALS
Median Number of Days
Average Number of Days
Lowest Number of Days
Highest Number of Days
HQ
16.00
16.00
10.00
22.00
OIG
0.00
0.00
0.00
0.00
16.00
16.00
10.00
22.00
VI.C.(5). TEN OLDEST PENDING ADMINISTRATIVE APPEALS
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
OIG
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
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
14
24.23
<1
128
172.5
214.84
<1
856
N/A
N/A
N/A
N/A
OIG
14
14.6
4
26
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
14
23.14
<1
128
172.5
214.84
<1
856
N/A
N/A
N/A
N/A
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
15.5
26.77
<1
128
181.5
240.77
25
856
N/A
N/A
N/A
N/A
OIG
19
19.67
14
26
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
AGENCY OVERALL
17
26.12
<1
128
181.5
240.77
25
856
N/A
N/A
N/A
N/A
VII.C. PROCESSED SIMPLE REQUESTS -- RESPONSE TIME IN DAY INCREMENTS
<1-20
Days21-40
Days41-60
Days61-80
Days81-100 Days
101-120 Days
121-140 Days
141-160 Days
161-180 Days
181-200 Days
201-300 Days
301-400 Days
401+
DaysTOTAL
HQ
23
7
7
0
0
0
1
0
0
0
0
0
0
38
OIG
4
1
0
0
0
0
0
0
0
0
0
0
0
5
27
8
7
0
0
0
1
0
0
0
0
0
0
43
VII.C. PROCESSED COMPLEX REQUESTS -- RESPONSE TIME IN DAY INCREMENTS
Agency / Component
<1-20
Days21-40
Days41-60
Days61-80
Days81-100 Days
101-120 Days
121-140 Days
141-160 Days
161-180 Days
181-200 Days
201-300 Days
301-400 Days
401+
DaysTOTAL
HQ
1
3
1
2
5
2
1
2
3
1
10
3
4
38
OIG
0
0
0
0
0
0
0
0
0
0
0
0
0
0
AGENCY OVERALL
1
3
1
2
5
2
1
2
3
1
10
3
4
38
VII.C. PROCESSED REQUESTS GRANTED EXPEDITED PROCESSING -- RESPONSE TIME IN DAY INCREMENTS
Agency / Component
<1-20
Days21-40
Days41-60
Days61-80
Days81-100 Days
101-120 Days
121-140 Days
141-160 Days
161-180 Days
181-200 Days
201-300 Days
301-400 Days
401+
DaysTOTAL
HQ
0
0
0
0
0
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
0
0
0
0
0
0
0
0
0
0
0
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
6
173
205
36
304.5
353
0
N/A
N/A
OIG
1
23
23
0
N/A
N/A
0
N/A
N/A
AGENCY OVERALL
7
152
179
36
304.5
353
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
2016-09-26
2016-06-06
2016-05-31
2016-05-03
2016-05-03
2016-05-03
2015-08-06
2015-03-04
2014-11-20
2014-06-20
Number of Days Pending
504
582
586
605
605
605
790
899
968
1073
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
2016-09-26
2016-06-06
2016-05-31
2016-05-03
2016-05-03
2016-05-03
2015-08-06
2015-03-04
2014-11-20
2014-06-20
Number of Days Pending
504
582
586
605
605
605
790
899
968
1073
VIII.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
0
7
1
2.14
7
OIG
0
0
0
0
0
0
7
1
2.14
7
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
11
7
1
1.83
OIG
1
0
1
1
AGENCY OVERALL
12
7
1
1.74
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
4
0.6
4.6
$0.00
$511,521.69
OIG
0
0.08
0.08
$11,861.36
$0.00
$11,861.36
4
0.68
4.68
$523,383.05
$0.00
$523,383.05
X. Fees Collected for Processing Requests
Total Amount of Fees Collected
Percentage of Total Costs
HQ
$991.68
0.19%
OIG
$0.00
0.00%
$991.68
0.19%
XI.A. Number of Times Subsection (C) Used
Number of Times Subsection Used
0
OIG
0
0
XI.B. Number of Subsection (A)(2) Postings
Agency / Component
Number of Records Posted by the FOIA Office
Number of Records Posted by Program Offices
HQ
10
OIG
12
0
AGENCY OVERALL
22
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
40
0
OIG
1
0
AGENCY OVERALL
41
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 YearNumber of
Consultations Received from Other Agencies During the Fiscal YearNumber 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 YearHQ
0
2
2
0
OIG
0
0
0
0
AGENCY OVERALL
0
2
2
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
135
71
123
80
OIG
8
6
9
5
143
77
132
85
XII.D.(2). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- BACKLOGGED REQUESTS
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
43
40
OIG
0
1
43
41
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
1
3
1
3
OIG
0
0
0
0
AGENCY OVERALL
1
3
1
3
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