Department of Homeland Security

Privacy Office
2014 Freedom of Information Act Report
to the Attorney General of the United States

February 2015

Message from the Chief Freedom of Information Act Officer

I am pleased to present the Department of Homeland Securitys (DHS)
2014 Freedom of Information Report to the Attorney General of the
United States.
The Freedom of Information Act (FOIA) requires that each agency . . .
submit to the Attorney General of the United States a report which shall
cover the preceding fiscal year and which shall include numerous
details regarding the agencys administration of FOIA. 1 This annual
report plays an important role in the transparency of our office and helps
us provide better and more responsive customer service.
DHS receives the largest number of FOIA requests of any federal
department or agency in each fiscal year, receiving almost 30 percent of
all requests received by the Federal Government. Since President Obama
took office, DHS has experienced a 182 percent increase in the number of FOIA requests
received. In fiscal year 2014, DHS received 291,242 FOIA requests, its highest number of
requests to date.
Most of these requests were directed to U.S. Citizenship and Immigration Services (USCIS),
Customs and Border Protection (CBP) and Immigration and Customs Enforcement (ICE). These
Components process requests seeking immigration records (e.g., copies of the Alien File,
entry/exit records, detention, and deportation records).
In fiscal year 2014, DHS granted 16,651 requests in full; partially granted 128,603; and denied
6,212 requests on the basis of FOIA exemptions. The Department commonly invokes
exemptions 6 and 7(C) to prevent unwarranted injury to the privacy interests of individuals, and
exemption 7(E) to protect against the disclosure of law enforcement techniques, procedures, and
guidelines. Combined use of 6, 7(C), and 7(E) made up approximately 54 percent of all
exemptions used. The number of pending FOIA requests for DHS at the end of fiscal year 2014
was 120,393, an 83 percent increase from the 65,676 requests pending at the end of fiscal year
2013.
DHS also has the largest backlog of pending FOIA requests. Due to the record-setting number
of FOIA requests, the DHS backlog increased from 51,575 to 103,480 in fiscal year 2014.
Components that process requests seeking immigration-related records have the largest backlogs
in the Department comprising more than 90 percent of the total DHS backlog.
The increased volume and complexity of requests for immigration records has directly affected
the Departments backlog. The Privacy Office continued to implement a multi-pronged approach
to reduce the Departments backlog. Specifically, the Privacy Office: 1) Deployed additional
staff and contractors from the Privacy Office to Component FOIA offices to assist with
processing backlogged FOIA requests; 2) Entered into a Memorandum of Understanding with
CBP for a support services contract with an experienced FOIA vendor to process CBPs FOIA
backlog; 3) ICE finalized and is managing its own FOIA services support contract to assist with
1

5 U.S.C. 552(e)(1) (2006 & Supp. IV 2010).

Page ii

processing approximately 50,000 backlogged FOIA requests; and 4) Privacy Office approved a
4-month detail of a staff member to TSA to assist with processing its backlog and to implement
procedures for managing FOIA requests to prevent a future backlog.
The total cost of processing FOIA requests for DHS, including litigation costs, increased to more
than $51.5 million in fiscal year 2014 compared to about $45 million in fiscal year 2013. The
average cost of processing a FOIA request in the Department was approximately $217, compared
to last years figure of $220. The total full time and equivalent personnel working on FOIA
decreased from 474 last year to 459.
The FOIA challenges were immense in the current environment; DHS continued to take steps to
enhance its FOIA program by focusing its efforts on offering enhanced training opportunities to
educate and encourage agency compliance with the FOIA, and deploying advanced technology
for processing requests. Additionally, the DHS Privacy Office initiated several actions to
improve the Departments FOIA operation and provide oversight of FOIA processing within the
components.
The Department is committed to being responsive to the FOIA requesters, while continuing to
address systemic programmatic issues.
Respectfully Submitted,

Karen L. Neuman
Chief Freedom of Information Act Officer
U.S. Department of Homeland Security

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TABLE OF CONTENTS
I.

Basic Information Regarding Report................................................................................ vi

II.

Making a FOIA Request .................................................................................................... vi

III. Acronyms, Definitions, and Exemptions........................................................................... vi

IV. Exemption 3 Statutes ............................................................................................................1
V.

FOIA Requests ......................................................................................................................4

A. Received, Processed, and Pending FOIA Requests ...........................................4
B. (1) Disposition of FOIA Requests - All Processed Requests ............................5
(2) Dispostion of FOIA Requests - Other Reasons for Full Denials
Based on Reasons Other than Exemptions from Section V, B(1) Chart ....5
(3) Disposition of FOIA Requests - Number of Times Exemptions Applied....7

VI. Administrative Appeals of Initial Determinations of FOIA Requests .............................7

A. Received, Processed, and Pending Administrative Appeals ..............................7
B. Disposition of Administrative Appeals - All Processed Appeals ......................7
C. (1) Reasons for Denial on Appeal - Number of Times Exemptions Applied ....8
(2) Reasons for Denial on Appeal - Reasons Other than Exemptions ...............8
(3) Reasons for Denial on Appeal - Other Reasons from Section VI, C(2)
Chart .............................................................................................................9
(4) Response Times for Administrative Appeals ...............................................9
(5) Ten Oldest Pending Administrative Appeals .............................................10
VII. FOIA Requests: Response Times for Processed and Pending Requests ........................11
A. Processed Requests - Response Time for All Processed Perfected Requests ..11
B. Processed Requests - Response Time for Perfected Requests in Which
Information was Granted .................................................................................11
C. Processed Requests - Response Time in Day Increments ...............................12
(1) Simple Requests Response Time in Day Increments .................................12
(2) Complex Requests Response Time in Day Increments .............................12
(3) Requests Granted Expedited Processing Response Time in Day
Increments ..................................................................................................13
D. Pending Requests - All Pending Perfected Requests .......................................13
E. Pending Requests - Ten Oldest Pending Perfected Requests ..........................13
VIII. Requests for Expedited Processing and Requests for Fee Waivers ...............................14
A. Requests for Expedited Processing ..................................................................14
B. Requests for Fee Waiver ..................................................................................15
IX. FOIA Personnel and Costs .................................................................................................15
X.

Fees Collected for Processing Requests ............................................................................16

XI. FOIA Regulations (Including Fee Schedule) ....................................................................16

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XII. Backlogs, Consultations, and Comparisons .....................................................................16

A. Backlogs of FOIA Requests and Administrative Appeals ...............................16
B. Consultations on FOIA Requests - Received, Processed, and Pending
Consultations....................................................................................................17
C. Consultations on FOIA Requests - Ten Oldest Consultations Received
from Other Agencies and Pending ...................................................................17
D. (1) Comparison of Numbers of Requests from Previous and Current
Annual Report - Requests Received, Processed, and Backlogged ............18
(2) Comparison of Backlogged Requests from Previous and Current
Annual Report ............................................................................................19
E. (1) Comparison of Numbers of Administrative Appeals from Previous
and Current Annual Report - Appeals Received, Processed, and
Backlogged ................................................................................................20
(2) Comparison of Backlogged Administrative Appeals from Previous and
Current Annual Report ...............................................................................20
APPENDICES. .................................................................................................................21
APPENDIX A: Composition of the Department of Homeland Security...............21
APPENDIX B: Organization of the Department of Homeland Security Chart .....23
APPENDIX C: Names, Addresses, and Contact Information For DHS FOIA
Officers ........................................................................................24

Page v

I.

Basic Information Regarding Report

1. Questions regarding this report may be directed to:
Delores J. Barber
Deputy Chief FOIA Officer
Privacy Office
U.S. Department of Homeland Security
245 Murray Lane SW, Mail Stop 0655
Washington, DC 20528-0655
Phone: 202-343-1743; Fax: 202-343-4011
2. This report can be downloaded from the DHS FOIA website at
http://www.dhs.gov/foia-annual-reportsh.
3. Requests for this report in paper form may also be directed to the Deputy Chief FOIA
Officer, as listed above.

II.

Making a FOIA Request

1. Names, addresses, and contact numbers for DHS FOIA Officers can be found on our
website at http://www.dhs.gov/foia-contact-information.
2. Brief description why requests may not be granted:
The records maintained by the Department often contain private information on
individuals or involve law enforcement matters. Because law enforcement records are of
specific interest to subjects of investigation, victims of crime, and the public at large,
these records are often requested under the Freedom of Information Act. For example,
the Department commonly invokes exemptions 6 and 7(C) to prevent unwarranted injury
to the privacy interests of individuals, and exemption 7(E) to protect against the
disclosure of law enforcement techniques, procedures, and guidelines.

III. Acronyms, Definitions, and Exemptions

1. Agency-specific acronyms or other terms.
a. CBP
U.S. Customs and Border Protection
b. CFO
Chief Financial Officer
c. CISOMB Citizenship and Immigration Services Ombudsman
d. CRCL
Office for Civil Rights & Civil Liberties
e. DNDO
Domestic Nuclear Detection Office
f. ESEC
Office of the Executive Secretary
g. FEMA
Federal Emergency Management Agency
h. FLETC Federal Law Enforcement Training Centers
i. I&A
Office of Intelligence and Analysis
j. IGA
Office of Intergovernmental Affairs
k. ICE
U.S. Immigration and Customs Enforcement
l. MGMT Management Directorate
m. NCSC
National Cyber Security Center
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n. NPPD
o. OBIM
p. OGC
q. OHA
r. OIG
s. OLA
t. OPA
u. OPS
v. PLCY
w. PRIV
x. S&T
y. TSA
z. USCG
aa. USCIS
bb. USSS

National Protection and Programs Directorate

Office of Biometric Identity Management
Office of the General Counsel
Office of Health Affairs
Office of Inspector General
Office of Legislative Affairs
Office of Public Affairs
Office of Operations Coordination and Planning
Office of Policy
Privacy Office
Science and Technology Directorate
Transportation Security Administration
United States Coast Guard
United States Citizenship and Immigration Services
United States Secret Service

2. Definition of terms, expressed in common terminology.

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, determined by dividing 24 by 3.
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 the 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 provides its views on the record to the agency
that forwarded it. That agency, in turn, will then respond to the FOIA requester.
f. Exemption 3 Statute A federal statute other than FOIA that exempts
information from disclosure and which the agency relies on to withhold
information under subsection (b)(3) of the FOIA. 2
2

Pursuant to 5 U.S.C. 552(b)(3) as amended by sec. 564 of Public Law 111-83, (a statute enacted after

Page vii

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), an
organization, or a particular topic of interest. Moreover, because requesters
covered by the Privacy Act who seek records concerning themselves (i.e., firstparty requesters) are afforded the benefit of the access provisions of both FOIA
and the Privacy Act, the term FOIA request also includes any such first-party
requests when an agency determines that it must search beyond its Privacy Act
systems of records or when the agency applies a Privacy Act exemption and
therefore looks to FOIA to afford the greatest possible access. DHS applies this
same interpretation of the term FOIA request even to first-party requests from
persons not covered by the Privacy Act, e.g., non-U.S. citizens, because DHS by
policy provides such persons the ability to access their own records in DHSs
Privacy Act mixed systems of records as if they are subject to the Privacy Acts
access provisions, and DHS processes the requests under FOIA as well. Thus, all
requests that require DHS to utilize 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
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.

October 28, 2009, can qualify as an Exemption 3 law only if it cites specifically to 5 U.S.C. 552(b)(3)).

Page viii

ii. Simple Request A FOIA request that an agency using multi-track

processing places in its fastest (non-expedited) track based on the volume
and/or simplicity of 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 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 that 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 20 working days from receipt of a perfected FOIA request).
3. Concise descriptions of FOIA exemptions:
a. Exemption 1: classified national defense and foreign relations information.
b. Exemption 2: internal agency rules and practices (personnel).
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
Page ix

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 procedures, 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.

Page x

IV.

Exemption 3 Statutes

Statute

6 U.S.C. 133(a)(1)

8 U.S.C. 1202(f)
(Immigration and
Nationality Act)

Type of Information Withheld

Case Citation

Critical infrastructure
information (including the
identity of the submitting person
or entity) that is voluntarily
submitted to a covered Federal
agency for use by that agency
regarding the security of critical
infrastructure and protected
systems, analysis, warning,
interdependency study, recovery,
reconstitution, or other
informational purpose, when
accompanied by an express
statement specified in paragraph
2

Certain records pertaining to

issuance or refusal of visas to
enter the United States

10 U.S.C. 424

Organization or any function of,

and certain information
pertaining to, employees of the
Defense Intelligence Agency

15 U.S.C. 46(f), 57b-2

(Federal Trade Commission
Act)

Any trade secret or any

commercial or financial
information which is obtained
from any person and which is
privileged or confidential and
certain investigative materials
received by the FTC and
provided pursuant to any
compulsory process under this
subchapter or which is provided
voluntarily in place of such
compulsory process.

18 U.S.C 1461

Mailing obscene or crimeinciting matter

Number of Times Relied

upon per Component

Total Number of
Times Relied upon
by Agency

NPPD

PRIV

USCIS

USCG

ICE

USSS

Medina-Hincapie v. Dept 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. Dept of State,
821 F. Supp. 2d 167, 177-78
(D.D.C. 2011); Badalamenti v.
U.S. Dept 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 *1314 (N.D.N.Y. Dec. 13, 1983);
Holy Spirit Assn for Unification
of World Christianity, Inc. v. U.S.
Dept of State, 526 F. Supp. 1022,
1031 (S.D.N.Y. 1981).
Physicians for Human Rights v.
DOD No RDB-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).
A. Michaels Piano, Inc. v. FTC,
18 F.3d 138, 143-44 (2d Cir.
1994) (15 U.S.C. 57b-2); Carter,
Fullerton & Hayes, LLC v. FTC,
637 F. Supp. 2d 1, 9 (D.D.C.
2009) (15 U.S.C. 57b-2);
National Educ. Assn v. FTC, No.
79-959-S, 1983 WL 1883, at *1
(D. Mass. Sept. 26, 1983) (15
U.S.C. 57b-2); Doherty v. FTC,
No. 80-0513, 1981 WL 2094, at
*3 (D.D.C. June 24, 1981) (15
U.S.C. 46(f)).

Statute

Type of Information Withheld

Case Citation

Number of Times Relied

upon per Component

Total Number of
Times Relied upon
by Agency

18 U.S.C. 1961
Racketeer Influenced and
Corrupt Organizations Act

Protecting the identity of a

person who had testified in a
drug mafia case, as well as
certain US Marshals Witsec
information.

USCIS

18 U.S.C. Sec 2722(a)

Prohibits the disclosure of

personal information from a
motor vehicle record

OIG

18 U.S.C. 3509(d)
(Federal Victims
Protection and Rights Act)

Information related to child

pornography victims

Tampico v. EOUSA, No.

042285, slip op. at 8 (D.D.C.
Apr. 29, 2005).

ICE

31

31

19 U.S.C. 130b

Personnel in overseas, sensitive,

or routinely deployable units;
nondisclosure of personally
identifying information

Hiken v. DOD 521 F. Supp 2n

1047, 1062 (N.D. Cal. 2007);
OKeefe v. DOD, 463 F. Supp 2d
317, 325 (E.D.N.Y. 2006); Widel
v. United States No. A02=306,
2005 WL 846206, at *2 (D.
Alaska Apr 11, 2005).

USCG

26 U.S.C. 6103

Certain tax return information

and certain tax convention
information

Church of Scientology v. IRS,

484 U.S. 9 (1987); Long v. IRS,
891 F.2d 222 (9th Cir. 1989).

USCIS

1,769

1,769

ICE

USSS

FEMA

USCG

FEMA

USCIS

Hulstein v. DEA, No. 10-4112,

2011 U.S. Dist. LEXIS 25788, at
*7-8 (N.D. Iowa Mar. 11, 2011);
Council on Am.-Islamic
Relations, Cal. v. FBI, 749 F.
Supp. 2d 1104, 1117 (S.D. Cal.
2010); Berger v. IRS, 487 F.
Supp. 2d 482, 496-97 (D.N.J.
2007), affd on other grounds, 288
F. Appx 829 (3d Cir. 2008);
Sciba v. Bd. of Governors of the
Fed. Reserve Sys., No. 04-1011,
2005 WL 3201206, at *6 (D.D.C.
Nov. 4, 2005).

31 U.S.C. 5319 (Bank

Secrecy Act)

Reports pertaining to monetary

instruments transactions filed
under subchapter II of chapter 53
of title 31 and records of those
reports

41 U.S.C. 253b(m)(1)

Information obtained or
developed in carrying out
security under the authority of
the Aviation and Transportation
Security Act or under chapter
449 of this title

Tooley v. Bush, No. 06-306, 2006

WL 3783142, at *19 (D.D.C. Dec.
21, 2006), affd on other grounds,
586 F. 3d 1006 (D.C. Cir. 209;
Gordon v. FBI 390 F. Supp. 2d
897,900 (N.D. Cal. 2004).

Contractor bid or proposal

information; source selection
information

Legal & Safety Employer

Research, Inc. v. U.S. Dept of the
Army, No. Civ. S001748, 2001
WL34098652, at *3-4 (E.D. Cal.
2001) (dictum).

41 U.S.C. 2102

Statute

Type of Information Withheld

41 U.S.C. 4702(b)

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
contracts

42 U.S.C. 262a(h)

Enhanced control of dangerous

biological agents and toxins/bioterrorism information

42 U.S.C. 2162
(Atomic Energy Act)

Life threatening controlled

chemical agents

44 U.S.C. 3541
Federal Information
Security Management Act
of 2002 (FISMA, 44
U.S.C. 3541, et seq.)

Systematic Alien Verification

for Entitlements (SAVE):
Information pertaining to the
security of the SAVE program
database and systems.

49 U.S.C. 114

50 U.S.C. Section 403g

Information obtained or
developed in carrying out
security under the authority of
the Aviation and Transportation
Security Act or under chapter
449 of this title

Intelligence sources and

methods; certain information
pertaining to Agency employees,
specifically: the organization,
functions, names, official titles,
salaries, or numbers of personnel
employed by the Agency

Case Citation
Sinkfield v. HUD, No. 10-885,
2012 U.S. Dist. LEXIS 35233, at
*13-15 (S.D. Ohio Mar. 15,
2012); Hornbostel v. U.S. Dept
of the Interior, 305 F. Supp. 2d
21, 30 (D.D.C. 2003), summary
affirmance granted, 2004 WL
1900562 (D.C. Cir. Aug. 25,
2004).

Meeropol v. Smith, No. 75-1121,

slip op. at 53-55 (D.D.C. Feb. 29,
1984), affd in relevant part &
remanded in part on other grounds
sub nom., Meeropol v. Meese,
790 F.2d 942 (D.C. Cir. 1986).

Skurow v. DHS, No. 11-1296,

2012 WL 4380895, at *9-10
(D.D.C. Sept. 26, 2012); Tooley
v. Bush, No. 06-306, 2006 WL
3783142, at *19 (D.D.C. Dec. 21,
2006), affd on other grounds, 586
F.3d 1006 (D.C. Cir. 2009);
Gordon v. FBI, 390 F. Supp. 2d
897, 900 (N.D. Cal. 2004).

ACLU v. DOJ, 681 F.3d 61, 7275 (2d Cir. 2012); Larson v. Dept
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), affd on other
grounds, 541F. 3d 205 (3d Cir.
2008).

Number of Times Relied

upon per Component

Total Number of
Times Relied upon
by Agency

S&T

S&T

S&T

USCIS

CBP

1,104

ICE

2,018

OIG

PRIV

15

TSA

60

USSS

59

I&A

16

USCG

USCIS

14

USSS

3,257

41

Statute

Type of Information Withheld

Case Citation

50 U.S.C. app. 2411(c)

(Export Administration Act
of 1979)

Information pertaining to license

applications under the Export
Administration Act

Wis. Project on Nuclear Arms

Control v. U.S. Dept of
Commerce, 317 F.3d 275, 284
(D.C. Cir. 2003); Times Publg
Co. v. U.S. Dept of Commerce,
236 F.3d 1286, 1292 (11th Cir.
2001); Lessner v. U.S. Dept of
Commerce, 827 F.2d 1333, 133637 (9th Cir. 1987).

Federal Rule of Criminal

Procedure 6 (e) Grand Jury

Regulates disclosure of matters

occurring before a grand jury
and which satisfies the basic
statute requirement of
Exemption 3 because it was
specially amended by Congress
in
1977

Rugiero v. Dept of Justice, 257

F.3d 534 (6th Cir. 2001); Iglesias
v. CIA, 525 F.Supp.547 (D.D.C.
1981).

V.

Number of Times Relied

upon per Component

S&T

USCIS

USSS

Total Number of
Times Relied upon
by Agency

FOIA Requests
A. Received, Processed, and Pending FOIA Requests

CBP

Number of Requests
Pending as of Start of
Fiscal Year
41,907

47,261

51,056

Number of Requests
Pending as of End of
Fiscal Year
38,122

CRCL

80

74

FEMA

560

772

508

824

FLETC

103

99

Component

Number of Requests
Received in Fiscal Year

Number of Requests
Processed in Fiscal Year

I&A

34

244

255

23

ICE

6,234 **

85,081

33,644

57,671

NPPD

4,758

7,775

5,581

6,952

OIG

51

177

166

62

OPS

59

59

PRIV

43

705

665

83

S&T

68

68

TSA

546

859

491

914

USCG

936

3,203

2,620

1,519

USCIS

11,293

143,794

141,700

13,387

USSS

728 ***

1,061

1,045

744

291,242

238,031

120,308

AGENCY OVERALL

67,097

Number of Requests Pending as of Start of Fiscal Year corrected due to component reporting error in FY 2013.
Id.

Id.

Id.

Id.
***
Id.

Id.
**

B. (1) Disposition of FOIA Requests All Processed Requests

Component

No. of
Full
Grants

CBP

2,065

No. of
No. of Full
Partial
Denials
Grants/
No
Based on
Partial
Exemptions Records
Denials
15,899
80
9,840

Number of Full Denials Based on Reasons Other than Exemptions

FeeAll
Request
Related
Records
Withdrawn
Reason
Referred
28

605

13

Not
Improper
Reasonably FOIA
Described Request
158

8,861

Not
Agency
Record

Duplicate
Request

Other

Total

6,696

6,694

117

51,056

CRCL

18

44

74

FEMA

73

144

62

79

19

76

27

16

508

FLETC

11

38

32

99

I&A

21

101

20

42

25

28

26

255

ICE

344

27,002

699

1,522

862

98

102

782

264

87

1,876

33,644

NPPD

428

2,038

1,284

1,702

16

12

63

24

5,581

OIG

16

103

27

166

OPS

11

23

59

PRIV

36

144

25

50

111

16

110

141

11

665

S&T

11

11

13

68

TSA

89

113

64

15

39

128

22

491

USCG

1,801

224

28

333

152

11

33

20

2,620

USCIS

11,684

82,666

5,315

16,892

853

135

153

5,773

4,527

13,694

141,700

USSS

72

171

12

402

12

19

10

335

1,045

AGENCY
OVERALL

16,651

128,603

6,212

30,689

3,612

1,160

194

610

15,766

11,565

20,578

2,391

238,031

B. (2) Disposition of FOIA Requests Other Reasons for Full Denials Based on Reasons Other
than Exemptions from Section V, B(1) Chart
Component

Description

No. of Times Used

Total

CBP

Moot by Appeal

117

117

CRCL

Coordinated by Another Processing Office

Coordinated by Another Processing Office

Litigation

Unable to Locate Requestor

14

FLETC

N/A

I&A

N/A

FEMA

16

Component

Description

No. of Times Used

Total

Fugitive Disentitlement

1,361

Litigation

12

Referred Documents are Not Responsive

352

Unable to Locate Requestor

151

NPPD

Coordinated by Another Processing Office

OIG

Unable to Locate Requester

OPS

N/A

Aggregated

Coordinated by Another Program Office

Litigation

Records Referred Non Responsive

N/A

Litigation

Unable to Locate Documents

Non Responsive to Requests for Additional

Information

16

1,876

ICE

11

PRIV

S&T

TSA

USCG

Unable to Locate Requester

USCIS

USSS

Unable to Locate Documents

Non Responsive to Requests for Additional

Information

313

Unable to Locate Requester

Records Referred Non Responsive

AGENCY OVERALL

20
4

335

10
12

2,393

B. (3) Disposition of FOIA Requests Number of Times Exemptions Applied

13,218

Ex.
7(A)
45

Ex.
7(B)
204

Component

Ex. 1

Ex. 2

Ex. 3

Ex. 4

Ex. 5

Ex. 6

CBP

170

1,104

29

33

13,293

Ex.
7(D)
12

Ex. 7(C)

13,272

Ex.
7(F)
9

Ex. 7(E)

Ex. 8

Ex. 9

0
0

CRCL

19

FEMA

29

18

130

19

11

FLETC

37

I&A

16

55

20

56

ICE

20

28

2,043

59

8,438

25,801

141

773

25,675

167

24,729

86

NPPD

40

13

1,401

12

1,526

1,585

OIG

24

109

24

103

14

21

OPS

10

10

PRIV

16

27

42

137

21

40

S&T

11

13

TSA

60

18

53

126

38

USCG

10

18

33

161

57

138

48

54

USCIS

19

112

1,790

159

37,597

48,623

34

67,260

68,471

USSS

69

11

113

10

114

142

AGENCY
OVERALL

59

325

5,131

396

46,293

89,953

341

978

108,259

248

108,398

125

VI.

Administrative Appeals of Initial Determinations of FOIA Requests

A. Received, Processed, and Pending Administrative Appeals

Component

No. of Appeals Pending as

of Start of Fiscal Year

No. of Appeals Received in

Fiscal Year

No. of Appeals Processed in

Fiscal Year

No. of Appeals Pending as

of End of Fiscal Year

CBP

16

1,004

991

29

FEMA

31

16

17

30

FLETC

ICE

33

477

339

171

OGC

24

93

101

16

OIG

28

16

25

19

TSA

35

36

USCG

29

32

28

33

USCIS

63

1,926

1,919

70

USSS

33

30

3,634

3,490

379

AGENCY OVERALL

235

B. Disposition of Administrative Appeals All Processed Appeals

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

CBP

112

79

514

286

991

FEMA

10

17

FLETC

Number of Appeals Pending as of End of the Fiscal Year from Previous Annual Report corrected due to
component reporting error in FY 2013.

Id.

Component

Number Affirmed on
Appeal

ICE

126

Number Partially
Affirmed & Partially
Reversed/Remanded
on Appeal
14

OGC

62

OIG

14

TSA

Number Completely
Reversed/Remanded
on Appeal

Number of Appeals
Closed for Other
Reasons

Total

103

96

339

16

19

101

25

15

36

USCG

12

28

USCIS

524

742

368

285

1,919

USSS

10

13

30

AGENCY OVERALL

880

853

1,033

724

3,490

C. (1) Reasons for Denial on Appeal Number of Times Exemptions Applied

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

CBP

10

350

346

344

FEMA

FLETC

ICE

21

31

129

103

88

OGC

11

15

0
0

OIG

10

17

TSA

10

USCG

10

USCIS

10

541

637

876

871

USSS

AGENCY OVERALL

19

16

590

1,162

16

1,362

1,319

49

C. (2) Reasons for Denial on Appeal Reasons Other than Exemptions

Records
Referred at
Request
Component No Records
Initial
Withdrawn
Request
Level

FeeRelated
Reason

Improper
Records not
Not
Request for
Reasonably
Agency
Other
Described
Record
Reasons

Duplicate
Request in
Request or
Litigation
Appeal

Appeal Based
Other
Solely on
*Explain
Denial for
in chart
Expedited
below
Processing

CBP

31

16

183

66

FEMA

FLETC

ICE

73

21

OGC

10

52

OIG

TSA

USCG

USCIS

275

USSS

10

AGENCY
OVERALL

128

30

469

74

80

C. (3) Reasons for Denial on Appeal Other Reasons from Section VI, C (2) Chart
Component

Description

No. of Times Used

Total

CBP

N/A

FEMA

Unable to Locate Requester

FLETC

N/A

ICE

Fugitive Disentitlement Upheld

21

21

Adequacy of the Search

16

Appeal Moot

12

Appeal Not Timely

Denial of Request Fee Waiver

Improper Appeal

Records Publically Available

Requester Category Determination

12

Vaughn Index Not Required During Administrative Process

OIG

Appeal Moot

TSA

N/A

USCG

Unable to Locate Requester

USCIS

N/A

Coordinated by Another Program Office

Previously Furnished

52

OGC

USSS

AGENCY OVERALL

C.

80

(4) Response Times for Administrative Appeals

Component

Median Number of Days

Average Number of Days

Lowest Number of Days

Highest Number of Days

CBP

10.01

193

FEMA

188

137.76

16

1,071

FLETC

47

87.33

47

168

ICE

25

61.81

542

OGC

45

65.14

492
888

OIG

360

324

11

TSA

145

147.17

17

414

USCG

318.5

317.14

892

USCIS

37.68

41.87

171

USSS

35

34.67

74

AGENCY OVERALL

41.34

111.54

1,071

C. (5) Ten Oldest Pending Administrative Appeals

Component

CBP

FEMA

FLETC

ICE

Sub-Row
Heading
Date of
Receipt

OIG

TSA

USSS

AGENCY
OVERALL

7th

6th

5th

4th

3rd

2nd

Oldest
Appeal

2014-09-12 2014-09-12 2014-06-05 2014-03-07 2014-03-07 2013-12-23 2013-12-16 2013-12-16 2013-12-12 2013-12-03

Date of
Receipt

2012-10-12

Number of
Days Pending

501

557

655

742

758

1,007

1,134

1,282

1,328

1,412

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

Date of
Receipt

Date of
Receipt
Number of
Days Pending
Date of
Receipt
Number of
Days Pending
Date of
Receipt

Date of
Receipt
Number of
Days Pending

USCIS

8th

13

Number of
Days Pending

USCG

9th

Number of
Days Pending

Number of
Days Pending

OGC

10th

Date of
Receipt

13

84

148

148

207

209

216

2013-04-11 2013-04-11 2013-04-10 2013-03-27 2013-03-13 2013-03-13 2013-02-20 2013-02-20 2013-01-14 2013-01-02
371

371

372

382

392

392

407

407

432

440

2014-08-27 2014-08-22 2014-08-22 2014-08-08 2014-07-25 2014-06-24 2014-06-03 2014-04-29 2014-02-18 2013-10-27
24

27

27

37

47

69

84

108

258

235

2013-07-25 2013-06-24 2012-12-17 2012-09-06 2012-08-06 2012-07-03 2010-11-10 2010-09-15 2009-01-14 2008-11-14
305

327

457

526

548

571

986

1,025

1,440

1,480

2014-06-25 2014-04-28 2014-04-28 2014-04-23 2014-02-27 2014-02-04 2014-01-09 2013-11-27 2013-10-23 2012-11-15
72

112

115

157

159

171

189

220

243

475

2013-07-02 2013-06-18 2013-06-12 2013-05-06 2013-04-04 2013-03-15 2013-02-18 2013-01-30 2012-08-02 2009-03-10
321

331

335

361

383

397

416

428

550

1,404

2014-09-15 2014-09-15 2014-09-10 2014-09-10 2014-09-10 2014-09-10 2014-09-10 2014-09-10 2014-08-08 2014-07-18
12

12

15

15

15

Date of
Receipt

N/A

N/A

N/A

N/A

N/A

Number of
Days Pending

Number of
Days Pending

207

2012-07-24 1012-03-06 2011-10-28 1022-10-05 2010-10-11 2010-04-12 2009-08-31 2009-06-25 2009-02-26

Number of
Days Pending

Date of
Receipt

202

15

15

15

38

53

2014-09-05 2014-08-27 2014-08-13 2014-08-08 2014-06-24

17

23

33

36

68

2010-11-10 2010-10-11 2010-09-15 2010-04-12 2009-08-31 2009-06-25 2009-03-10 2009-02-26 2009-01-14 2008-11-14
986

1,007

1,025

1,134

1,282

1,328

1,404

1,412

1,440

10

1,480

VII. FOIA Requests: Response Time for Processed and Pending Requests
A. Processed Requests Response Time for All Processed Perfected Requests
Simple

Complex

Expedited

CBP

Median
No. of
Days
5

Average
No. of
Days
6.83

Lowest
No. of
Days
1

Highest
No. of
Days
20

Median
No. of
Days
277

Average
No. of
Days
262.52

Lowest
No. of
Days
1

Highest
No. of
Days
1,055

Median
No. of
Days
4

Average
No. of
Days
42.8

Lowest
No. of
Days
1

Highest
No. of
Days
194

CRCL

9.61

20

15

24.43

83

N/A

N/A

N/A

N/A

Component

FEMA

11

10.9

20

154

213.82

21

1,770

468

468

81

855

FLETC

18.31

122

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

I&A

23

29.84

134

31

56.31

427

N/A

N/A

N/A

N/A
632

ICE

35.37

550

30

69.88

643

63

98.7

NPPD

124

114.47

222

30

45.44

480

11

11

11

11

OIG

20

31.52

248

100

124.55

12

654

177.5

141

203

OPS

2.55

14

19

N/A

N/A

N/A

N/A

PRIV

5.37

20

55

82.48

21

404

N/A

N/A

N/A

N/A

S&T

6.5

8.83

30

56.5

87.13

19

342

17.5

17.5

15

20

TSA

2.89

20

130.5

259.47

21

1,235

172

172

172

172

USCG

9.21

20

48

92.77

1,153

24

39.33

91

USCIS

19.18

20.32

357

32.2

28.37

393

28.09

43.54

14

110

USSS

12

12.58

20

93.5

207.12

21

1,820

N/A

N/A

N/A

N/A

AGENCY
OVERALL

21.24

550

51.5

111.59

1,820

26

103.49

855

B. Processed Requests Response Time for Perfected Requests in Which Information Was Granted
Simple
Average
Lowest
No. of
No. of
Days
Days
9.14
1

Median
No. of
Days
306

Expedited

CBP

1,055

30.12

Highest
No. of
Days
194

CRCL

13.5

11.83

19

37

37.62

15

83

N/A

N/A

N/A

N/A

FEMA

7.5

9.83

19

154

241.72

21

1,770

468

468

81

855

FLETC

8.5

29

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

I&A

23

23

12

34

55

58.43

115

N/A

N/A

N/A

N/A

Component

Highest
No. of
Days
20

Complex
Average
Lowest
No. of
No. of
Days
Days
283.46
1

Median
No. of
Days
9

Highest No. Median No. Average No. Lowest No.

of Days
of Days
of Days
of Days

ICE

35.38

550

30

71.57

643

27

92.13

632

NPPD

127

115.66

193

38.5

56.61

480

N/A

N/A

N/A

N/A

OIG

19

33.33

248

110.5

133.99

15

654

203

186

152

203

OPS

3.3

14

10

10.56

19

N/A

N/A

N/A

N/A

PRIV

10.05

20

68

99.65

21

404

N/A

N/A

N/A

N/A

S&T

15.5

14.5

24

60

61

41

342

N/A

N/A

N/A

N/A
172

TSA

2.72

19

184

309.03

21

1,234

172

172

172

USCG

9.45

20

48

78.19

829

26

44

91

USCIS

29.46

30.5

357

34.94

36.81

393

28.77

51.28

14

110

USSS

13

13

13

13

160.5

312.18

29

1,820

N/A

N/A

N/A

N/A

AGENCY
OVERALL

22.01

550

57.5

127.91

1,820

28.77

168.90

855

11

C. Processed Requests Response Time in Day Increments

Component

1-20
Days

21-40
Days

41-60
Days

61-80
Days

(1) Simple Requests

10112181-100
120
140
Days
Days
Days
0
0
0

141160
Days
0

161180
Days
0

181200
Days
0

201300
Days
0

301400
Days
0

401+
Days

Total

CBP

3,313

3,1313

CRCL

33

33

FEMA

21

21

FLETC

69

13

99

I&A

47

43

14

119

ICE

23,583

662

561

345

389

477

370

459

381

493

1,573

435

26

29,75

NPPD

929

660

1,294

757

873

2,289

3,048

1,821

304

80

12,057

OIG

42

22

81

OPS

33

33

PRIV

463

463

S&T

57

60

TSA

192

192

USCG

1,558

1,558

USCIS

14,230

10,517

2,404

249

110

37

27

11

12

26

27,631

USSS

273

273

AGENCY
OVERALL

48,843

11,920

4,290

1,367

1,379

2,807

3,448

2,291

697

579

1,603

437

26

75,687

(2) Complex Requests

Component

1-20
Days

21-40
Days

41-60
Days

61-80
Days

81-100
Days

101120
Days

121140
Days

141160
Days

161180
Days

181200
Days

201300
Days

301400
Days

401+
Days

Total

CBP

67

1,396

969

845

721

974

1,003

1,181

1,646

2,062

7,081

8,722

4,819

31,486

CRCL

22

10

37

FEMA

58

44

26

37

21

21

61

23

17

54

64

59

485

FLETC

I&A

62

37

25

14

177

ICE

1,346

989

334

176

112

108

119

148

74

85

268

103

28

3,890

NPPD

58

39

25

10

147

OIG

12

10

75

OPS

25

25

PRIV

72

42

24

18

10

202

S&T

TSA

61

36

18

15

15

10

19

26

76

298

USCG

20

378

237

93

97

63

25

18

10

13

40

23

38

1,055

USCIS

31,524

53,598

18,081

1,292

455

220

111

61

32

35

68

2,516

107,998

USSS

92

21

19

34

18

11

17

25

13

46

310

AGENCY
OVERALL

33,129

56,742

19,829

2,528

1,506

1,446

1,314

1,512

1,812

2,240

7,581

8,963

7,591

146,193

12

Component

1-20
Days

21-40
Days

41-60
Days

CBP

18

(3) Requests Granted Expedited Processing

8110112114116161-80
100
120
140
160
180
Days
Days
Days
Days
Days
Days
1
0
1
1
2
0

181200
Days
2

201300
Days
0

301400
Days
0

401+
Days

Total

25

CRCL

FEMA

FLETC

I&A

ICE

30

23

13

127

NPPD

OIG

OPS

PRIV

S&T

TSA

USCG

USCIS

USSS

AGENCY
OVERALL

58

27

11

11

17

177

D. Pending Requests All Pending Perfected Requests

Number
Pending
1,287

Simple
Median No.
of Days
24

CRCL

N/A

N/A

27

40.56

N/A

N/A

FEMA

41

11

11.34

768

177.5

221.73

N/A

N/A

FLETC

13

12.29

N/A

N/A

I&A

21

109

178.9

ICE

57,044

148

146.7

627

31

65.84

47

58.29

NPPD

4,434

83

77.15

35

41

54.77

11

11

OIG

61

100

134.49

N/A

N/A
N/A

Component
CBP

Average
No. of Days
32.37

Number
Pending
35,562

Complex
Median No.
of Days
185

Average No.
of Days
192.46

Number
Pending
2

Expedited
Median No.
of Days
102.5

Average No.
of Days
102.5

OPS

N/A

N/A

N/A

N/A

N/A

PRIV

23

7.57

100

55

83.11

39

39

S&T

N/A

N/A

61

61

N/A

N/A

TSA

51

11

10.86

903

212

286.9

N/A

N/A

USCG

227

11

10.91

1,292

230

319.37

178

146.29

USCIS

927

10.28

16.15

11,421

18.5

21.05

82.2

84.4

USSS

83

8.55

659

264

386.32

N/A

N/A

AGENCY
OVERALL

64,126

11

28.82

51,459

100

157.42

23

43

56.81

E. Pending Requests Ten Oldest Pending Perfected Requests

Component
CBP
CRCL

Sub-Row
10th
9th
8th
7th
6th
5th
4th
3rd
2nd
Heading
Date of Receipt 2012-11-08 2012-11-08 2012-11-08 2012-11-08 2012-11-07 2012-11-07 2012-11-07 2012-11-06 2012-10-23
Number of Days
482
482
482
482
482
483
483
484
494
Pending
Date of Receipt
N/A
2014-09-24 201409-24 2014-09-24 2014-09-03 2014-08-25 2014-08-25 2014-07-30 2014-05-19

13

Oldest
Request
2012-10-09
504
2014-03-24

Component

FEMA

FLETC

I&A

ICE

Sub-Row
10th
9th
8th
7th
6th
5th
4th
Heading
Number of Days
0
1
4
4
19
26
26
Pending
Date of Receipt 2012-03-09 2012-03-05 2012-03-05 2012-02-27 2012-02-08 2012-02-06 2011-11-28
Number of Days
644
648
648
653
665
667
715
Pending
Date of Receipt
N/A
N/A
N/A
2014-09-2- 2014-09-24 2014-09-11 2014-09-11
Number of Days
0
0
0
1
4
13
13
Pending
Date of Receipt 2014-05-15 2014-04-29 2014-04-10 2014-01-20 2013-10-22 2013-10-18 2013-09-27
Number of Days
100
111
124
182
244
246
260
Pending
Date of Receipt 2013-06-24 2013-06-24 2013-05-21 2013-04-30 2013-04-17 2013-04-10 2012-11-15
Number of Days
327
327
350
365
374
379
478
Pending
Date of Receipt

NPPD

2nd

Oldest
Request

44

96

136

2011-01-03 2010-09-10
944

1,020

2014-09-11 2014-09-09
13

15

308

OPS

Date of Receipt
PRIV

Number of Days
Pending

S&T

TSA

USCG

USCIS

Date of Receipt
Number of Days
Pending
Date of Receipt
Number of Days
Pending
Date of Receipt
Number of Days
Pending
Date of Receipt
Number of Days
Pending
Date of Receipt
Number of Days
Pending

2013-02-12
420

2012-11-15 2012-11-04
478

2014-08-22
27

2013-08-01 2013-07-22
300

2007-09-07
1,761

485

2012-10-10
503

2014-01-15 2014-01-15 2014-01-15 2014-01-15 2014-01-15 2014-01-15 2014-01-07 2014-01-06 2014-01-06

Number of Days
185
185
185
185
185
185
191
192
192
Pending
Date of Receipt 2013-08-30 2013-08-06 2013-08-06 2013-06-17 2013-06-13 2013-05-20 2013-03-13 2013-03-01 2013-02-28
Number of Days
280
297
297
332
334
351
399
407
408
Pending
Date of Receipt
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
Pending

OIG

USSS

3rd

2013-11-13 2013-10-24 2013-10-21 2013-10-17 2013-10-17 2013-09-25 2013-09-03 2013-08-26 2013-08-26

2014-01-06
192
2013-02-01
526
N/A
0
2013-07-08

220

233

236

238

238

242

258

263

263

298

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

2014-07-18

52

2010-08-26 2010-06-24 2010-06-14 2010-04-10 2010-03-30 2010-03-22 2010-02-25 2010-01-29 2010-01-05 2009-11-23
1,030

1,074

1,082

1,133

1,135

1,141

1,158

1,172

1,189

1,217

2010-06-11 2010-05-26 2010-05-17 2010-05-07 2010-04-27 2010-04-05 2010-03-30 2010-02-24 2010-02-22

1,091

1,102

1,109

1,115

1,123

1,139

1,143

1,167

1,169

1,223

2014-01-31 2014-01-29 2014-01-24 2014-01-24 2014-01-23 2014-01-22 2014-01-21 2014-01-06 2013-12-04

173

175

178

178

179

180

181

184

215

1,430

1,440

1,505

1,677

1,682

1,725

1,750

2013-11-21
223

2009-06-15 2009-01-30 2009-01-14 2008-10-08 2008-02-05 2008-01-29 2007-11-26 2007-10-18 2007-01-09

1,336

2009-11-25

1,946

2006-12-01
1,970

Date of Receipt 2009-01-30 2009-01-14 2008-10-08 2008-02-05 2008-01-29 2007-11-26 2007-10-18 2007-09-07 2007-01-09
AGENCY
Number
of Days
OVERALL
1,430
1,440
1,505
1,677
1,682
1,725
1,750
1,761
1,946
Pending

2006-12-01
1,970

VIII. Requests for Expedited Processing and Requests for Fee Waivers
A. Requests for Expedited Processing

CBP

28

2,376

12.89

Number Adjudicated
within 10 Calendar
Days
1,824

CRCL

N/A

N/A

Component

Number Granted

Number Denied

Median Number of
Days to Adjudicate

Average Number of
Days to Adjudicate

FEMA

16

11

56.43

13

FLETC

I&A

11

5.1

12

14

Component

Number Granted

Number Denied

ICE

39

95

Number Adjudicated
within 10 Calendar
Days
134

NPPD

11

11

0
11

Median Number of
Days to Adjudicate

Average Number of
Days to Adjudicate

OIG

17

9.22

OPS

N/A

N/A

PRIV

26

3.45

28

S&T

TSA

2.65

USCG

24

39.33

USCIS

10

833

5.96

752

USSS

21

21

AGENCY OVERALL

91

3,404

12

2,840

B. Requests for Fee Waiver

CBP

25

439

Median Number of Days to

Adjudicate
145

CRCL

N/A

Component

Number Granted

Number Denied

Average Number of Days to

Adjudicate
129.93
N/A

FEMA

3.5

4.75

FLETC

44

40.75

I&A

40

ICE

104

89

NPPD

16

7.38

OIG

65.5

65.5
N/A

OPS

N/A

PRIV

S&T

1.8

TSA

N/A

N/A

USCG

55.5

55.5

USCIS

72

197

5.28

USSS

N/A

N/A

AGENCY OVERALL

232

784

3.5

28.55

IX.

FOIA Personnel and Costs

Personnel

Costs

CBP

39

18.26

Total
Number of
Full-Time
FOIA Staff
(Col. 1 + Col.
2)
57.26

$5,287,415.00

$40,778.73

$5,328,193.73

CRCL

$113,346.00

$0.00

$113,346.00
$2,956,689.30

Component

Number of
Full Time
FOIA
Employees

Number of
Equivalent
Full-Time
FOIA
Employees

Processing Costs

Litigation - Related Costs

Total Costs

FEMA

13

15.29

28.29

$2,956,689.30

$0.00

FLETC

.55

1.55

$161,453.53

$0.00

I&A

.70

2.7

$205,145.00

$0.00

$205,145.00

ICE

33

16

49

$9,581,485.00

$899,749.00

$10,481,234.00

NPPD

$873,910.00

$56,000.00

$929,910.00

$161,453.53

15

Personnel

Component

OIG

Costs

Number of
Full Time
FOIA
Employees

Number of
Equivalent
Full-Time
FOIA
Employees

.25

Total
Number of
Full-Time
FOIA Staff
(Col. 1 + Col.
2)
4.25

Processing Costs

Litigation - Related Costs

$335,686.30

$69,539.70

Total Costs

$405,226.00

OPS

.33

.33

$38,000.00

$2,000.00

$40,000.00

PRIV

16

17

$3,282,034.00

$15,000.00

$3,297,034.00

S&T

.50

.50

$79,864.00

$28,966.50

$108,830.50

TSA

3.1

11.1

$1,117,747.30

$22,895.00

$1,140,642.30

USCG

14

22.85

36.85

$3,009,229.68

$0.00

$3,009,229.68

USCIS

212

9.5

221.5

$20,469,919.15

$768,637.08

$21,238,556.23

USSS

17

4.15

21.15

$1,853,071.75

$429,318.05

$2,282,389.80

AGENCY
OVERALL

364

95.48

459.48

$49,364,996.01

$2,332,884.06

$51,697,880.07

X.

Fees Collected for Processing Requests

Component

Total Amount of Fees Collected

CBP

$313,036.28

Percentage of Total Costs

5.92%

CRCL

$0.00

0.00%

FEMA

$1,608.00

0.05%

FLETC

$0.00

0.00%

I&A

$0.00

0.00%

ICE

$0.00

0.00%

NPPD

$2,500.00

0.29%

OIG

$3,700.50

1.10%

OPS

$0.00

0.00%

PRIV

$0.00

0.00%

S&T

$497.00

0.62%

TSA

$0.00

0.00%

USCG

$22,376.56

0.74%

USCIS

$5,487.80

0.03%

USSS

$0.00

0.00%

$349,206.14

0.71%

AGENCY OVERALL

XI.

FOIA Regulations The Department of Homeland Security FOIA Implementing Regulations are
codified at 6 C.F.R. Part 5, and also can be found at
http://www.dhs.gov/xlibrary/assets/FOIA_FedReg_Notice.pdf.

XII.

Backlogs, Consultations, and Comparisons

A. Backlogs of FOIA Requests and Administrative Appeals
Component
CBP

Number of Backlogged Requests as of the End of

Fiscal Year
34,307

Number of Backlogged Appeals as of End

of Fiscal Year
8

CRCL

FEMA

709

30

FLETC

I&A

22

ICE

56,863

43

16

Component

Number of Backlogged Requests as of the End of

Fiscal Year

Number of Backlogged Appeals as of End

of Fiscal Year

NPPD

3,592

OGC

11

OIG

48

17

OPS

PRIV

64

S&T

TSA

924

12

USCG

1,261

33

USCIS

5,026

USSS

659

AGENCY OVERALL

103,480

160

B. Consultations on FOIA Requests Received, Processed, and Pending Consultations

CBP

Number of Consultations
Received from Other
Agencies that Were
Pending at Your Agency as
of Start of the Fiscal Year
32 ****

CRCL

FEMA

Component

Number of Consultations
Received from Other
Agencies During the Fiscal
Year
66

Number of Consultations
Received from Other
Agencies that Were
Processed by Your Agency
During the Fiscal Year
42

Number of Consultations
Received from Other
Agencies that were Pending
at Your Agency as of the
End of the Fiscal Year
56

FLETC

I&A

23

17

6
43

ICE

45

65

67

NPPD

OIG

OPS

PRIV

31

19

27

23

S&T

TSA

15

15

19

11

USCG

22

18

USCIS

53

52

USSS

12

31

24

19

AGENCY OVERALL

140

319

279

180

C. Consultations on FOIA Requests Ten Oldest Consultations Received from Other Agencies and
Pending
Component
CBP

CRCL

Sub-Row
Heading
Date of Receipt
Number of Days
Pending
Date of Receipt
Number of Days
Pending

10th

Oldest
Request
2013-04-15 2013-04-04 2013-02-21 2013-02-21 2012-012-06 2013-06-28 2012-05-31 2012-04-10 2012-03-16
9th

8th

7th

6th

5th

4th

3rd

2nd

349

376

383

413

413

464

574

594

630

647

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

2013-05-22

****

Number of Consultations Received from Other Agencies that Were Pending as of Start of the Fiscal Year
corrected due to component reporting error in FY 2013.

Id.

17

Component
FEMA

FLETC

I&A

ICE

NPPD

OIG

OPS

PRIV

S&T

TSA

USCG

USCIS

Sub-Row
Heading
Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

Oldest
Request
2014-03-18

Number of Days
Pending

168

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

N/A

N/A

N/A

N/A

Date of Receipt
Number of Days
Pending
Date of Receipt
Number of Days
Pending
Date of Receipt
Number of Days
Pending
Date of Receipt
Number of Days
Pending
Date of Receipt
Number of Days
Pending
Date of Receipt
Number of Days
Pending
Date of Receipt
Number of Days
Pending

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

2013-06-24

2014-09-03 2014-08-26 2014-08-26 2014-08-12 2014-08-12 2014-07-14

20

26

26

36

36

57

2013-06-24 2013-06-24 2013-06-24 2013-04-10 2013-04-10 2013-04-10 2013-04-10 2013-02-14 2013-02-14

320

320

320

320

372

372

372

372

410

410

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

2014-02-21

157

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

38

48

214

289

292

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

Date of Receipt

2014-06-16

Number of Days
Pending

74

Date of Receipt

2014-04-29

2014-08-07 2014-07-24 2013-11-25 2013-08-06 2013-08-01

2014-03-11 2014-02-25 2013-10-18 2013-08-20 2013-06-26 2012-08-06 2012-04-12 2010-10-28 2010-09-03

145

152

237

2014-04-02 2014-03-31 2014-03-25

267

305

527

609

971

1,008

2014-01-05 2013-12-23 2013-11-07 2013-06-20 2011-05-05 2011-03-21

Number of Days
Pending
Date of Receipt
Number of Days
Pending

112

130

132

136

185

202

232

329

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

Date of Receipt

2014-04-11

Number of Days
Pending

123

866

899

2014-09-26 2013-10-31
3

237

2014-03-25 2014-03-06 2014-02-03 2013-12-30 2013-12-12 2013-09-03 2013-04-03 2013-02-13 2012-12-14

USSS

Date of Receipt
AGENCY
Number
of Days
OVERALL
Pending

2013-02-14

136

149

172

197

209

277

384

419

458

2013-02-14 2013-02-13 2012-12-14 2012-08-06 2012-04-12 2011-05-05 2011-03-21 2010-10-28 2010-09-03

410

410

419

458

527

609

866

899

971

1,008

D. (1) Comparison of Numbers of Requests from Previous and Current Annual Report Requests
Received, Processed, and Backlogged

Component

CBP

Number of Requests Received

Received During Fiscal
Received During Fiscal
Year from Last Years
Year from Current Annual
Annual Report
Report
41,381
47,261

Number of Requests Processed

Processed During Fiscal
Processed During Fiscal
Year from Last Years
Year from Current Annual
Annual Report
Report
14,635
51,056

CRCL

73

80

73

74

FEMA

798

772

564

508

FLETC

113

103

122

99

18

Number of Requests Received

Received During Fiscal
Received During Fiscal
Year from Last Years
Year from Current Annual
Annual Report
Report
109
244

Component

I&A

Number of Requests Processed

Processed During Fiscal
Processed During Fiscal
Year from Last Years
Year from Current Annual
Annual Report
Report
78
255

ICE

34,161

85,081

30,818

33,644

NPPD

15,187

7,775

12,942

5,581

OIG

170

177

142

166

OPS

45

59

45

59

PRIV

798

705

840

665

S&T

26

68

26

68

TSA

909

859

851

491

USCG

3,468

3,203

3,292

2,620

USCIS

132,797

143,794

138,523

141,700

USSS

1,499

1,061

1,575

1,045

AGENCY OVERALL

231,534

291,242

204,526

238,031

D. (2) Comparison of Backlogged Requests from Previous and Current Annual Report
Component
CBP

Number of Backlogged Requests as of End of

the Fiscal Year from Previous Annual Report
37,848

Number of Backlogged Requests as of End of

the Fiscal Year from Current Annual Report
34,307

CRCL

FEMA

496

709

FLETC

I&A

12

22

ICE

4,714

56,863

NPPD

3,099

3,592

OIG

34

48

OPS

PRIV

20

64

S&T

TSA

546

924

USCG

877

1,261

USCIS

3,394

5,026

USSS
AGENCY OVERALL

533

*****

51,575

659
103,480

Number of Processed During Fiscal Year from Last Years Annual Report corrected due to component reporting
error in FY 2013.

Id.
*****
Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual Report from Last Years
Annual Report corrected due to component reporting error in FY 2013.

Id.

19

E. (1) Comparison of Numbers of Administrative Appeals from Previous and Current Annual
Report Appeals Received, Processed, and Backlogged
Number of Appeals Received
Received During Fiscal
Received During Fiscal
Year from Last Years
Year from Current Annual
Annual Report
Report
346
1,004

Component
CBP

Number of Appeals Processed

Processed During Fiscal
Processed During Fiscal
Year from Last Years
Year from Current Annual
Annual Report
Report
354
991

FEMA

16

16

45

17

FLETC

ICE

350

477

317

339

OGC

92

93

179

101

OIG

17

16

25

TSA

18

35

22

36

USCG

34

32

45

28

USCIS

1,959

1,926

2,001

1,919

USSS

66

33

75

30

AGENCY OVERALL

2,905

3,634

3,046

3,490

(2) Comparison of Backlogged Administrative Appeals from Previous and Current Annual
Report

CBP

Number of Backlogged Appeals as of End of the

Fiscal Year from Previous Annual Report
0

Number of Backlogged Appeals as of End of the

Fiscal Year from Current Annual Report
8

FEMA

31

30

FLETC

Component

ICE

32

43

OGC

11

11

OIG

28

17

TSA

12

USCG

29

33

USCIS

USSS

AGENCY OVERALL

143

160

Number of Number of Backlogged Appeals as of End of the Fiscal Year from Previous Annual Report from
Previous Annual Report corrected due to component reporting error in FY 2013.

Id.

20

APPENDIX A: Composition of the Department of Homeland

Security
The Office of the Secretary oversees Department of Homeland Security (DHS) efforts to counter
terrorism and enhance security, secure and manage our borders while facilitating trade and
travel, enforce and administer our immigration laws, safeguard and secure cyberspace, build
resilience to disasters, and provide essential support for national and economic security - in
coordination with federal, state, local, international, tribal, and private sector partners.
Offices:
The Citizenship and Immigration Services Ombudsman (CISOMB) assists
individuals and employers in resolving problems with the U.S. Citizenship and
Immigration Services, identifies systemic issues, and makes recommendations to
USCIS to improve the delivery of immigration services.
The Office for Civil Rights and Civil Liberties (CRCL) supports the Department as it
secures the Nation while preserving individual liberty, fairness, and equality under
the law.
The Office of the Executive Secretary (ESEC) assures the accurate and timely
dissemination of information and written communications from throughout the
Department and our homeland security partners to and from the Secretary and Deputy
Secretary.
The Office of Intergovernmental Affairs (IGA) promotes an integrated national approach
to homeland security by ensuring, coordinating, and advancing federal interaction with
state, local, tribal, and territorial governments.
The Military Advisors Office advises on facilitating, coordinating, and executing policy,
procedures, preparedness activities, and operations between the Department and the
Department of Defense.
The Office of the General Counsel (OGC) integrates approximately 1700 lawyers
from throughout the Department comprised of a headquarters office with subsidiary
divisions and the legal programs for eight Department Components.
The Office of Inspector General (OIG) conducts independent and objective
inspections, audits, and investigations to provide oversight and promote excellence,
integrity, and accountability in DHS programs and operations.
The Office of Legislative Affairs (OLA) serves as primary liaison to members of
Congress and their staffs.

21

The Office of Public Affairs (OPA) coordinates the public affairs activities of all of
the Departments Components and offices.
The Privacy Office (PRIV) works to preserve and enhance privacy protections for all
individuals and to promote transparency of Department operations.
Department Components and Directorates:
U.S. Customs and Border Protection (CBP) is responsible for securing the border against
all transnational threats and facilitating trade and travel while enforcing hundreds of U.S.
regulations at the border, such as immigration and drug laws.
The Domestic Nuclear Detection Office (DNDO) works to enhance the nuclear detection
efforts of federal, state, territorial, tribal, and local governments, and the private sector
and to ensure a coordinated response to such threats.
The Federal Emergency Management Agency (FEMA) supports our citizens and first
responders to ensure that as a Nation we work together to build, sustain, and improve our
capability to prepare for, protect against, respond to, recover from, and mitigate all
hazards.
The Federal Law Enforcement Training Centers (FLETC) mission is We train those
who protect our homeland. To carry out this mission, the FLETC serves as an
interagency law enforcement training organization for 91 federal agencies or Partner
Organizations. The FLETC also provides training to state, local, rural, tribal,
territorial, and international law enforcement agencies.
The Office of Intelligence and Analysis (I&A) is responsible for equipping the Homeland
Security Enterprise with the information and intelligence it needs to keep the United
States safe, secure, and resilient.
United States Immigration and Customs Enforcement (ICE) promotes homeland security
and public safety through the criminal and civil enforcement of federal laws governing
border control, customs, trade, and immigration.
The Management Directorate provides Department-wide leadership and direction on
the full spectrum of management issues. These efforts include integrating common
operating standards; managing the Departments delegations and directives; leading
investment and portfolio management; and administering six functional lines of
business, which are financial management, human resources, facilities and logistics,
information technology, security and procurement.
The National Protection and Programs Directorate (NPPD) leads the national effort to
protect and enhance the resilience of the Nations physical and cyber infrastructure.

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The Office of Health Affairs (OHA) coordinates all medical activities of DHS to ensure
appropriate preparation for and response to incidents having medical significance.
The Office of Operations Coordination and Planning (OPS) provides decision support
and enables the execution of homeland security responsibilities across the enterprise;
promotes situational awareness and information sharing; integrates and synchronizes
strategic operations and planning; and administers the DHS continuity program.
The Office of Policy (PLCY) develops Department-wide policies, programs and planning
to promote and ensure quality, consistency and integration across all homeland security
missions.
The Transportation Security Administration (TSA) protects the Nations transportation
systems to ensure freedom of movement for people and commerce.
The United States Coast Guard (USCG) is one of the five armed forces of the United
States and the only military organization within DHS. The Coast Guard protects the
maritime economy and the environment, defends our maritime borders, and saves those
in peril.
U.S. Citizenship and Immigration Services (USCIS) grants immigration and citizenship
benefits, promotes awareness and understanding of citizenship, and ensures the integrity
of our immigration system.
The Directorate for Science and Technology (S&T) strengthens Americas security and
resiliency by providing knowledge products and innovative technology solutions for the
Homeland Security Enterprise.
The United States Secret Service (USSS) safeguards the Nations financial infrastructure
and payment systems to preserve the integrity of the economy, and protects national
leaders, visiting heads of state and government, designated sites, and National Special
Security Events.

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APPENDIX B: Organization of the Department of Homeland

Security Chart

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APPENDIX C: Names, Addresses, and Contact Information for

DHS FOIA Officers
Department of Homeland Security Chief FOIA Officer
Karen Neuman
Delores J. Barber
Chief FOIA Officer
Deputy Chief FOIA Officer
Privacy Office
Privacy Office
U.S. Department of Homeland Security
U.S. Department of Homeland Security
245 Murray Lane, SW, Mail Stop 0655
245 Murray Lane, SW, Mail Stop 0655
Washington, DC 20528-0655
Washington, DC 20528-0655
Department of Homeland Security Component FOIA Officers
Privacy Office
Dr. James V.M.L. Holzer
Senior Director, FOIA Operations
Ph: 202-343-1743; Fax: 202-343-4011
U.S. Department of Homeland Security
245 Murray Lane, SW, Mail Stop 0655
Washington, DC 20528-0655
Privacy Office
Rose Bird
Director, FOIA Improvement
Ph: 202-343-1743; Fax: 202-343-4011
U.S. Department of Homeland Security
245 Murray Lane, SW, Mail Stop 0655
Washington, DC 20528-0655
U.S. Citizenship and Immigration Services
Jill Eggleston
Ph: 816-350-5521; Fax: 816-350-1793
National Records Center, FOIA/PA Office
P. O. Box 648010
Lees Summit, MO 64064-8010
Office for Civil Rights and Civil Liberties
Aeron Pineiro
Ph: 202-357-1218; Fax: 202-357-1196
DHS-CRCL-FOIA
U.S. Department of Homeland Security
245 Murray Lane, SW, Bldg. 410,
Mail Stop 0190
Washington, DC 20528-0190

Privacy Office
Angela Washington,
Director, Disclosure Policy and FOIA
Program Development
Ph: 202-343-1743; Fax: 202-343-4011
U.S. Department of Homeland Security
245 Murray Lane, SW, Mail Stop 0655
Washington, DC 20528-0655
U.S. Coast Guard
Gaston Brewer
Ph: 202-475-3525 Fax: 202-475-3927
Commandant (CG-611)
2701 Martin Luther King Jr Ave, SE
Stop 7710
Washington, DC 20593-0001
U.S. Customs and Border Protection
Sabrina Burroughs
Ph: 202-325-0150; Fax: 202-325-0230
FOIA Division
90 K Street NE, 9th Floor
Washington, DC 20229-1181
Federal Emergency Management Agency
Charlene Myrthil
Ph: 202-646-3323; Fax: 202-646-3347
Records Management Division
1500 C Street, SW
Mail Stop 3172
Washington, DC 20472-3172

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Federal Law Enforcement Training Centers

Leslie A. Jensen
Ph: 912-267-3103; Fax: 912-267-3113
Building No.681, Suite 187B
Glynco, GA 31524
U.S. Immigration and Customs Enforcement
Catrina Pavlik-Keenan
Ph: 866-633-1182; Fax: 202-732-4265
500 12th Street, SW, Mail Stop 5009
Washington, DC 20536-5009
Office of Inspector General
Stephanie Kuehn
Ph: 202-254-4001; Fax: 202-254-4398
U.S. Department of Homeland Security
245 Murray Lane, SW, Mail Stop 0305
Washington, DC 20528-2600
Office of Intelligence and Analysis
Priscilla Waters
Ph: 202-447-4483; Fax: 202-612-1936
U.S. Department of Homeland Security
Washington, DC 20528-0001
Directorate for National Protection and
Programs
Sandy Ford Page
Ph: 703-235-2211; Fax: 703-235-2052
U.S. Department of Homeland Security
Washington, DC 20528-0001

Office of Operations Coordination and

Planning
Michael Page
Ph: 202-447-4156; Fax: 202-282-9811
U.S. Department of Homeland Security
Washington, DC 20528-0001
Science & Technology Directorate
Katrina Hagan
Ph: 202-254-6342; Fax: 202-254-6739
U.S. Department of Homeland Security
Washington, DC 20528-0001
United States Secret Service
Latita Payne
Ph: 202-406-6370; Fax: 202-406-5586
245 Murray Lane, SW, Building T-5
Washington, DC 20223
Transportation Security Administration
Amanda Deplitch Acting
Teri Miller - Acting
Ph: 1-866-FOIA-TSA; Fax: 571-227-2300
601 S. 12th Street, TSA-20
11th Floor, East Tower
Arlington, VA 20598-6020

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