FOIA Annual Report Workbook2015-12-01FOIA Annual ReportStateU.S. Department of StateDoSDepartment of StateOIGOffice of Inspector General20158 U.S.C. 1202(f) (Immigration and Nationality ActCertain records pertaining to the issuance or refusal of visas to enter the United StatesMedina-Hincapie v. Dep't of State, 700 F.2d 737, 741-42 (D.C. Cir. 1983); DeLaurentiis v. Haig, 686 F.2d 192, 194 (3d Cir. 1982); Beltranena v. U.S. Dep't of State, 821 F. Supp. 2d 167, 177-78 (D.D.C. 2011); Badalamenti v. U.S. Dep't of State, 899 F. Supp 542, 547 (D. Kan. 1995); Jan-Xin Zang v. FBI, 756 F. Supp. 705, 711-12 (W.D.N.Y. 1991); Smith v. DOJ, No. 81-CV-813, 1983 U.S. Dist. LEXIS 10878, at *13-14 (N.D.N.Y. Dec. 13, 1983); Holy Spirit Ass'n for Unification of World Christianity, Inc. v. U.S. Dep't of State, 526 F. Supp. 1022, 1031 (S.D.N.Y. 1981).10 U.S.C. 424Organization or any function of, and certain information pertaining to, employees of the Defense Intelligence Agency, the National Reconnaissance Office, and the National Geospatial-Intelligence AgencyPhysicians for Human Rights v. DOD, No. RBD-08-273, 2011 WL 1495942, at *7 (D.D.C. Apr.19, 2011); Miller v. DOJ, 562 F. Supp. 2d 82, 112 (D.D.C. 2008); Wickwire Gavin, P.C. v. Def. Intelligence Agency, 330 F. Supp. 2d 592, 602 (E.D. Va. 2004).22 U.S.C. 2778(e) (Arms Export Control Act)Certain information pertaining to export license applicationsCouncil for a Livable World v. U.S. Dep't of State, No. 96-1807, slip op. at 11 (D.D.C. Jan. 21, 1998), amended (D.D.C. Nov. 23, 1998).41 U.S.C. 253b(m)(1) (currently at 41 U.S.C. 4702)Contractor proposals that are in the possession or control of an executive agency and that have not been set forth or incorporated by reference into contractsSinkfield v. HUD, No. 10-885, 2012 U.S. Dist. LEXIS 35233, at *13-15 (S.D. Ohio Mar. 15, 2012); Margolin v. NASA, No. 09-CV-00421, 2011 WL 1303221, at *6 (D. Nev. Mar. 31, 2011); Hornbostel v. U.S. Dep't of the Interior, 305 F. Supp. 2d 21, 30 (D.D.C. 2003), summary affirmance granted, No. 03-5257, 2004 WL 1900562 (D.C. Cir. Aug. 25, 2004).42 U.S.C. 2162 (Atomic Energy Act)"Restricted Data" pertaining to atomic weapons and special nuclear materialMeeropol v. Smith, No. 75-1121, slip op. at 53-55 (D.D.C. Feb. 29, 1984), aff'd in relevant part & remanded in part on other grounds sub nom., Meeropol v. Meese, 790 F.2d 942 (D.C. Cir. 1992).49 U.S.C. 40119(b) (Federal Aviation Act)Certain information obtained or developed in ensuring transportation security if disclosure of that information would: constitute an invasion of personal privacy, reveal a trade secret or confidential commercial or financial information, or be detrimental to transportation safetyPub. Citizen, Inc. v. FAA, 988 F.2d 186, 194 (D.C. Cir. 1993); Gordon v. FBI, 390 F. Supp. 2d 897, 900 (N.D. Cal. 2004).50 U.S.C. 402 note (National Security Agency Act of 1959)Information pertaining to the functions or organization of NSA; certain information pertaining to NSA employeesACLU v. DOJ, 681 F.3d 61, 72-75 (2d Cir. 2012); Elec. Priv. Info. Ctr. V. NSA, 678 F.3d 926, 931 (D.C. Cir. 2012); Houghton v. NSA, 378 F. App'x 235, 238-39 (3d Cir. 2010) (per curiam); Lahr v. NTSB, 569 F.3d 964, 985 (9th Cir. 2009); Larson v. Dep't of State, 565 F.3d 857,868-69 (D.C. Cir. 2009); Founding Church of Scientology v. NSA, 610 F.2d 824, 827-28 (D.C. Cir. 1979); Roman v. NSA, No. 07-CV-4502, 2009 WL 303686, at *5-6 (E.D.N.Y. Feb. 9, 2009), summary affirmance granted, 354 F. App'x. 591 (2d Cir. 2009).50 U.S.C. 403g (Central Intelligence Act of 1949)Intelligence sources and methods; certain information pertaining to CIA employees, specifically: "the organization, functions, names, official titles, salaries, or numbers of personnel employed by the Agency."Larson v. Dep't of State, 565 F.3d 857, 865 n.2 (D.C. Cir. 2009); Berman v. Cia, 501 F.3d 1136, 1137-38, 1140 (9th Cir. 2007); Makky v. Chertoff, 489 F. Supp. 2d 421, 442 (D.N.J. 2007), aff'd on other grounds, 541 F.3d 205 (3d Cir 2008).50 U.S.C. 403-1(i)(1) (National Security Act of 1947Intelligence sources and methods.CIA v. Sims, 471 U.S. 159, 167 (1985); Berman v. CIA, 501 F.3d 1136, 1137-38, 1140 (9th Cir. 2007); Wolf v. CIA, 473 F.3d 370, 378, 380 (D.C. Cir. 2007).Pub. L. No. 99-93 505 (Iran Claims)Records regarding arbitration of claims before the Iran-United States Claims TribunalNo19 U.S.C. 2605(h), 2605(i) (Convention on Cultural Property Implementation Act)Certain records pertaining to Cultural Property Advisory Committee proceedings where "it is determined by the President or his designee that the disclosure of matters involved in the Committee's proceedings would compromise the Government's negotiating objectives or [certain] bargaining positions"; certain "information (including trade secrets and commercial or financial information which is privileged or confidential) submitted in confidence by the private sector to officers or employees of the United States or to the [Cultural Property Advisory] CommitteeAncient Coin Collectors Guild v. U.S. Dep't of State, 641 F.3d 504, 511 (D.C. Cir. 2011) (19 U.S.C. 2605(h)); Ancient Coin Collectors Guild v. U.S. Dep't of State, 866 F. Supp. 2d 28, 32 (D.D.C. 2012) (19 U.S.C. 2605(i)).6420642044441111223314143322111091624747139132175089089910924248371400221759*The Department of State's FOIA Annual Report for FY 2014 reported that the number of cases pending at the end of the fiscal year for State was 10,974. As a result of our data reconciliation and validation efforts, we have determined that the number should have been 10,924; that corrected number is reflected here.** The number of cases received and processed as reported in Section V. includes consultations, based on the manner in which direct requests, referrals and consultations are tracked in the Department's case management system.*** An estimated 6209 referrals from DHS/USCIS were not entered in the Department's case management system from May 2015 through September 2015 due to the reassignment of personnel to litigation. The estimate is based on the average number of referrals received per month in the previous 7 months of the fiscal year, and the estimate is included in the number of requests pending as of the end of the fiscal year.185322385157NoRecords441Referred233Withdrawn217FeeRelated2NotDescribed2431ImproperRequest556NotAgency648Duplicate132Other51391311508NoRecords18Referred1Withdrawn189186422885165NoRecords459Referred234Withdrawn218FeeRelated2NotDescribed2431ImproperRequest556NotAgency648Duplicate132Other514002Litigation4Combined with another case15N/A005Ex. 1271Ex. 212Ex. 36430Ex. 454Ex. 5147Ex. 61722Ex. 7(A)20Ex. 7(B)1Ex. 7(C)178Ex. 7(D)17Ex. 7(E)244Ex. 7(F)8Ex. 11Ex. 41Ex. 517Ex. 649Ex. 7(A)6Ex. 7(C)39Ex. 7(D)2Ex. 7(E)6Ex. 7(F)1Ex. 1272Ex. 212Ex. 36430Ex. 455Ex. 5164Ex. 61771Ex. 7(A)26Ex. 7(B)1Ex. 7(C)217Ex. 7(D)19Ex. 7(E)250Ex. 7(F)9*As noted in Section IV., almost all of the Departments' withholdings under Exemption 3 relate to information pertaining to the issuance or refusal of a visa or permits to enter the United States that must be protected under the Immigration and Nationality Act. With this statute, the Department has no discretion to release the requested information.2602421183848109268243118393*The Department of State's FOIA Annual Report for FY 2014 reported that the number of appeals pending at the end of the fiscal year for State was 270. As a result of our data reconciliation and validation efforts, we have determined that the number should have been 268; that corrected number is reflected here.92613711800000926137118Ex. 110Ex. 22Ex. 377Ex. 41Ex. 58Ex. 627Ex. 7(A)1Ex. 7(C)2Ex. 7(E)7Ex. 110Ex. 22Ex. 377Ex. 41Ex. 58Ex. 627Ex. 7(A)1Ex. 7(C)2Ex. 7(E)7*As noted in Section IV., almost all of the Departments' withholdings under Exemption 3 relate to information pertaining to the issuance or refusal of a visa or permits to enter the United States that must be protected under the Immigration and Nationality Act. With this statute, the Department has no discretion to release the requested information.NoRecords6Referred1Withdrawn2FeeRelated23InLitigation1ExpeditedDenial22Other3NoRecords6Referred1Withdrawn2FeeRelated23InLitigation1ExpeditedDenial22Other3No component response to adjudicate1Improper Appeal1Records referred at the appellate level13N/A003129.99202.512.141490.130000129.99202.512.141490.132009-09-1415732010-07-1413572010-09-0113222010-09-2413062010-10-1812892010-11-1512692011-02-1112062011-02-2311972011-03-1011872011-05-1211422013-04-185612013-04-265532013-05-305022014-02-114302014-02-284132014-03-194002014-04-043752015-07-103082015-08-05392009-09-1415732010-07-1413572010-09-0113222010-09-2413062010-10-1812892010-11-1512692011-02-1112062011-02-2311972011-03-1011872011-05-121142841135178137351111237461102412031730113284111117813735111123746110241203155167101781408589112374404040402235113215416511781408589112374404040401-201221-4022741-60161661-80181981-1002009101-120545121-140186141-160353161-180426181-200275201-300546301-40075401+19382821-205921-401941-60461-80481-1002101-1200121-1401141-1600161-1800181-2000201-3000301-4000401+0891-207121-4024641-60162061-80182381-1002011101-120545121-140187141-160353161-180426181-200275201-300546301-40075401+19383711-20321-401441-605161-805881-10066101-12053121-14056141-16051161-18048181-20057201-300253301-400417401+87520021-20021-40041-60061-80081-1000101-1200121-1400141-1600161-1800181-2000201-3000301-4000401+001-20321-401441-605161-805881-10066101-12053121-14056141-16051161-18048181-20057201-300253301-400417401+87520021-20021-40041-60161-80181-1000101-1200121-1400141-1600161-1800181-2000201-3001301-4000401+031-20021-40041-60061-80081-1000101-1200121-1400141-1600161-1800181-2000201-3000301-4000401+001-20021-40041-60161-80181-1000101-1200121-1400141-1600161-1800181-2000201-3001301-4000401+033045135.34269.0311669364.7552.18147141.04169.28937770000003054135.34265.0311669364.7552.18147141.04169.28* We have not included an estimated 6209 pending referrals from DHS/USCIS in this chart as they have not been entered into the Department's case management system.2006-04-0224712006-05-1724392006-05-1924372006-05-3124292006-06-0124282006-06-2724102006-07-1124002006-07-3123852006-08-0323832006-08-0423822015-06-11772015-06-11772015-08-04422015-08-07372015-09-03192015-09-04182015-09-1792015-09-1792015-09-2432006-04-0224712006-05-1724392006-05-1924372006-05-3124292006-06-0124282006-06-2724102006-07-1124002006-07-3123852006-08-0323832006-08-042382*At the Department, the oldest requests generally are still pending due to the existance of one or more of these factors: (1) the number of searches required; (2) the need to coordinate a response with multiple agencies or governments; (3) the need to search in offices located overseas; (4) the volume of responsive material to be reviewed; and (5) the need to review classified material.153480710.4941800000153480710.4941866837413.43000067737413.438187.25168.25291687513991167.133159918.110.51.524785802478588287.75169.75294166093991167.133407776.18245.260.000300.00008245.260.0003206223674920626376*The number of backlogged requests includes an estimated 6209 referrals received from DHS/USCIS that were not entered into the Department's case management system [see section V.A]. The estimate is included in the number of requests backlogged as of the end of the fiscal year.14821004382693256000014821004382693256*The Department's case management system tracks FOIA requests filed directly with the Department, those that were received from another agency for consultation, and those that were referred from another agency for processing and direct response by the Department to the requester. This chart groups referrals and consultations together.**As reported in the Department of State's FOIA Annual Report FY 2014, the number of consultations pending at the end of the fiscal year was 1471. As a result of our data reconcilliation and validation efforts, we have determined that the number reported here (1482) is correct.2009-02-0517302009-02-0617292009-02-1817212009-03-1717022009-03-2017002009-03-2716952009-04-0116912009-04-0216902009-04-0816862009-05-1316612009-02-0517302009-02-0617292009-02-1817212009-03-1717022009-03-2017002009-03-2716952009-04-0116912009-04-0216902009-04-0816862009-05-131661196252474718023139137190718919696248371809414002*the Number Received During Fiscal Year includes an estimated 6209 referrals from DHS/USCIS that were not entered into the Department's case management system [see section V.A.].1004120622441004520626*the Number of Backlogged Requests includes an estimated 6209 referrals received from DHS/USCIS that were not entered into the Department's case management system [see section V.A.]351242382118510035624338211822736789235376