Annual Reports
January 31, 2007
Ms. Pam Maida
Office of Information and Privacy
U.S. Department of Justice
Flag Building – Suite 570
Washington, D.C. 20530
Dear Ms. Maida:
In compliance with subsection (e) of the Freedom of Information Act, 5 U.S.C. § 552, as amended, I enclose the Overseas Private Investment Corporation’s (“OPIC”) Fiscal Year 2005 Annual Report covering OPIC’s Freedom of Information Act activities from October 1, 2005 through September 30, 2006. A copy of this report is also accessible from OPIC’s website, at http://www.opic.gov.
Sincerely,
Eli Landy, Esq.
FOIA Director
Enclosure
Fiscal Year 2006 Freedom of Information Act Annual Report
Overseas Private Investment Corporation
I. Basic Information Regarding the Report
A. For information concerning this report you may contact Eli H. Landy, FOIA Director, by telephone, at (202) 336-8418. You may e-mail this official at eland@opic.gov. Or, you may write to this official at the following address:
Overseas Private Investment Corporation
1100 New York Avenue, N.W.
Washington, D.C. 20527.
B. You may access this report from OPIC’s website, at www.opic.gov.
C. You may obtain a copy of this annual report in paper form by contacting the official identified above.
II. How to Make a FOIA Request
A. You may mail your FOIA request to the FOIA office at the address identified above. Alternatively, you may fax your request to (202) 408-0297. If you submit your request by facsimile, do not mail a follow-up letter. A more complete guide to making FOIA requests is located on OPIC’s website at www.opic.gov.
B. OPIC makes every effort to respond to FOIA requests within the statutory 20-day timeframe. Many requests are answered within one or two days. However, responses to requests for project documents generally require more time. In addition, OPIC’s response may be delayed by a need to obtain clarification from a requester on the scope of the request.
C. OPIC's policy is to make its records available to the public to the greatest extent
possible, in keeping with the spirit of the FOIA. This policy includes providing reasonably segregable information from records that also contain information that may be withheld under the FOIA. However, implementation of this policy also reflects OPIC's view that the soundness and viability of many of its programs depend in large measure upon the submission of full and reliable commercial, financial, technical and business information by applicants for OPIC assistance. Further, the willingness of those applicants to provide such information depends on OPIC's ability to hold it in confidence. Consequently, except as provided by law, information provided to OPIC in confidence will not be disclosed without the submitter's consent.
III. Definitions of Terms and Acronyms Used in the Report
A. Agency-specific acronyms or other terms:
1. OPIC – the Overseas Private Investment Corporation.
B. Basic terms, expressed in common terminology:
1. FOIA/PA request – Freedom of Information Act/Privacy Act request. A FOIA request is generally a request for access to records concerning a third party, an organization, or a particular topic of interest. A Privacy Act request is a request for records concerning oneself; such requests are also treated as FOIA requests. (All requests for access to records, regardless of which law is cited by the requester, are included in this report).
2. Initial Request – a request to a federal agency for access to records under the FOIA.
3. Appeal – a request to a federal agency asking that it review at a higher administrative level a full denial or a partial denial of access to records under the FOIA, or any other FOIA determination such as a matter pertaining to fees.
4. Processed Request or Appeal – a request or appeal for which an agency has taken a final action on the request or appeal in all respects.
5. 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 in each track are processed on a first-in/first-out basis. A requester who has an urgent need for records may request expedited processing (see below).
6. Expedited processing – an agency will process a FOIA request on an expedited basis when a requester has shown an exceptional need or urgency for the records which warrants prioritization of his or her request over other requests that were made earlier.
7. Simple request – a FOIA request that an agency using multi-track processing places in its fastest (nonexpedited) track based on the volume and/or simplicity of records requested.
8. Complex request – a FOIA request that an agency using multi-track processing places in a slower track based on the volume and/or complexity of records requested.
9. Grant – an agency decision to disclose all records in full in response to a FOIA request.
10. Partial grant – an agency decision to disclose a record in part in response to a FOIA request, deleting information determined to be exempt under one or more of the FOIA’s exemptions; or a decision to disclose some records in their entirety, but to withhold others in whole or in part.
11. Denial – an agency decision not to release any part of a record or records in response to a FOIA request because all the information in the requested records is determined by the agency to be exempt under one or more of the FOIA’s exemptions, or for some procedural reason (i.e., no record is located in response to a FOIA request).
12. Time limits – the time period in the FOIA for an agency to respond to a FOIA request (ordinarily 20 working days from proper receipt of a “perfected” FOIA request).
13. “Perfected” request – a FOIA request for records that adequately describes the records sought, which has been received by the FOIA office of the agency or agency component in possession of the records, and for which there is no remaining question about the payment of applicable fees.
14. Exemption 3 statute – a separate federal statute prohibiting the disclosure of a certain type of information and authorizing its withholding under FOIA subsection (b)(3).
15. Median number – the middle, not average, number. For example, of 3, 7, and 14, the median number is 7.
16. Average number – the number obtained by dividing the sum of a group of numbers by the quantity of number in the group. For example, of 3, 7, and 14, the average number is 8.
IV. Exemption 3 Statutes
OPIC did not cite any Exemption 3 statutes in FY2006.
V. Initial FOIA/PA Access Requests
A. Numbers of initial requests:
1. Number of requests pending as of the end of the preceding fiscal year: 8
2. Number of requests received during current fiscal year: 51
3. Number of requests processed during current fiscal year: 54
4. Number of requests pending as of end of current fiscal year: 5
B. Disposition of initial requests:
1. Number of total grants: 31
2. Number of partial grants 9
3. Number of denials: 2
(a) number of times each FOIA exemption used (counting each exemption once per request)
(1) Exemption 1: 0
(2) Exemption 2: 0
(3) Exemption 3: 0
(4) Exemption 4: 9
(5) Exemption 5: 8
(6) Exemption 6: 7
(7) Exemption 7(A): 0
(8) Exemption 7(B): 0
(9) Exemption 7(C): 0
(10) Exemption 7(D): 0
(11) Exemption 7(E): 0
(12) Exemption 7(F): 0
(13) Exemption 8: 0
(14) Exemption 9: 0
4. Other reasons for nondisclosure (total): 12
a. no records: 10
b. referrals: 0
c. request withdrawn: 2
d. fee-related reason: 0
e. records not reasonably described: 0
f. not a proper FOIA request for some other reason: 0
g. not an agency record: 0
h. duplicate request: 0
i. other (specify): 0
VI. Appeals of Initial Denials of FOIA/PA Requests
A. Numbers of appeals:
1. Number of appeals received during fiscal year: 3
2. Number of appeals processed during fiscal year: 3
B. Disposition of appeals:
1. Number completely upheld: 1
2. Number partially reversed: 2
3. Number completely reversed: 0
a. number of times each FOIA exemption used (counting each exemption once per appeal)
(1) Exemption 1: 0
(2) Exemption 2: 0
(3) Exemption 3: 0
(4) Exemption 4: 3
(5) Exemption 5: 3
(6) Exemption 6: 1
(7) Exemption 7(A): 0
(8) Exemption 7(B): 0
(9) Exemption 7(C): 0
(10) Exemption 7(D): 0
(11) Exemption 7(E): 0
(12) Exemption 7(F): 0
(13) Exemption 8: 0
(14) Exemption 9: 0
4. Other reasons for nondisclosure (total): 0
a. no records: 0
b. referrals: 0
c. request withdrawn: 0
d. fee-related reason: 0
e. records not reasonably described: 0
f. not a proper FOIA request for some other reason: 0
g. not an agency record: 0
h. duplicate request: 0
i. other (specify): 0
VII. Compliance with Time Limits/Status of Pending Requests
A. Median processing time for requests processed during the year:
1. All Requests (OPIC does not use multi-track processing.)
a. number of requests processed: 54
b. average number of days to process: 13
2. N/A
3. Requests accorded expedited processing: 0
B. Status of pending requests:
1. Number of requests pending as of end of current fiscal year: 5
2. Median number of days that such requests were pending as of that date: 56
VIII. Comparison with Previous Year
A. Requests received: FY2005: 76 FY2006: 51 Change: -32%
B. Requests processed: FY2005: 70 FY2006: 54 Change: -23
C. Median number of days requests were pending at the end of the fiscal year:
FY2005: 45.5 FY2006: 56 Change:21%
D. Number of requests for expedited processing: 0
In FY 2006 OPIC received several requests for voluminous and sensitive materials that required significantly more review than OPIC typically receives, thus accounting for the increase in processing time.
IX. Costs/FOIA Staffing
A. Staffing levels:
1. Number of full-time FOIA personnel: 0
2. Number of personnel with part-time or occasional FOIA duties (in total work-years): 1.2 work-years
3. Total number of personnel (in work-years): 1.2
B. Total costs (including staff and all resources):
1. FOIA processing including appeals: $92,037
2. Litigation-related activities: $0
3. Total costs: $92,037
4. Comparison with previous year:
FY2005 $ 175,000 FY2006: $ 92,037 Change: -47%
X. Fees
A. Total amount collected by OPIC: $0
B.
Percentage of total costs:
0%
XI. FOIA Regulations
OPIC’s FOIA regulations, located at 22 C.F.R. Part 706, are accessible on OPIC’s website address, http://www.opic.gov. OPIC’s regulations were revised to incorporate the Electronic Freedom of Information Act Amendments of 1996 and to reflect current OPIC procedures with respect to FOIA processing. The new regulations became effective November 15, 2000.
XII.
Report on OPIC’s Implementation of Executive Order 13,392
On December 14, 2005, the President issued Executive Order 13,392, entitled "Improving Agency Disclosure of Information," which established a "citizen-centered" and "results-oriented" approach to administration of the Freedom of Information Act. The Executive Order required each agency to conduct a review of its FOIA operations, to develop an agency-specific plan to improve its administration of the Act, and to include in its annual FOIA report a description of its progress in meeting the milestones and goals established in its improvement plan.
This section of the annual FOIA report contains the Overseas Private Investment Corporation's description of its progress in implementing the milestones and goals of its FOIA Improvement Plan, including highlights of its achievements. The reporting period for Section XII is different from that used for the rest of this report, which is based on data compiled for Fiscal Year 2006. The reporting period for this section concerning Executive Order implementation activities includes progress made through January 2007.
A.
Description of supplementation/modification of agency improvement plan (if applicable)
Not applicable
B.
Report on agency implementation of its plan, including its performance in meeting milestones, with respect to each improvement
OPIC has met all of the goals and milestones established in the report it submitted on June 14, 2006, in response to Executive Order 13,392, that were to be completed for this reporting period, with the exception of the milestone of reducing average response timeframe for voluminous requests to thirty business days. Even so, OPIC reduced its response timeframe to such requests by 11%, and reduced its FOIA backlog by 38%.
In particular, OPIC accomplished a series of improvements in the processing of requests. OPIC met its search time goal and improved its search process by: 1) searching OPIC’s electronic databases to determine if OPIC issued commitments to projects mentioned in voluminous requests (and, if so, determining which operational departments were most likely to have responsive records), and 2) imaging incoming FOIA requests and transmitting them electronically to the offices possessing responsive records.
OPIC reduced internal review cycle time and overall response time by involving additional staff in the review process and transmitting responses electronically to FOIA requesters when practicable (consequently reducing the agency’s processing costs). In the area of customer service, OPIC implemented its plan to acknowledge each voluminous request within one week and to provide regular status updates.
C.
Identification and discussion of any deficiency in meeting plan milestones (if applicable)
OPIC did not meet the milestone of an average thirty business day response timeframe for voluminous requests, but did reduce the response cycle time for such requests by 11%. OPIC has reduced its internal processing timeframe for these requests, and will continue to evaluate methods to further reduce the time it takes OPIC to search, retrieve and internally review records responsive to voluminous requests.
However, notwithstanding these efforts, the response time frame for voluminous requests depends in large measure on outside parties. In accordance with Executive Order 12,600, OPIC must provide business submitters an opportunity to review the responsive records and comment on their disclosure. In light of the nature of OPIC’s program activities, the sensitivity of the documents at issue, and availability of sponsor personnel (OPIC programs support project finance overseas, and often the project sponsor’s key personnel are unavailable to review and comment on disclosure of information the sponsor provided to OPIC due to frequent travel overseas), OPIC was unable – and may remain unable – to require the sponsor to review and comment on the documents at issue within a ten business day time frame. Moreover, in light of the sensitivity of the business information at issue, OPIC believes that disclosing information to a requester upon the lapse of the ten day timeframe simply because OPIC did not receive the sponsor’s response may constitute arbitrary and capricious action, and may subject OPIC employees to Trade Secrets Act consequences. OPIC will explore other means of obtaining the sponsors’ responses in a more timely manner.
D.
Additional Narrative (Optional)
N.A.
E.
Additional Statistics:
1. Time range of requests pending, by date of request (or, where applicable, by date of referral from another agency).
March 20, 2006 to August 21, 2006
2. Time range of consultations pending with other agencies at this time.
N.A.
F.
Attachment: Agency improvement plan: