Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 1 of 22

1 Stacy Tolchin (CA SBN 217431) Law Offices of Stacy Tolchin
2 634 S. Spring St., Suite 500A 3 Los Angeles, CA 90014
Telephone: (213) 622-7450 4 Facsimile: (213) 622-7233
Email: Stacy@Tolchinimmigration.com 5
(continued on next page) 6

7

8

UNITED STATES DISTRICT COURT FOR THE

9

NORTHERN DISTRICT OF CALIFORNIA

10

SAN FRANCISCO/ OAKLAND DIVISION

11

12 Meredith R. BROWN; Kelly RYAN; Jeri

FLYNN; Isidro de Jesus RODRIGUEZ 13 SANCHEZ; Nelida ORNELAS RENTERIA;

14

Santos Miguel FLORES AGUILAR; Emma QUEZADA; Manuel CRUZ RENDON; Orlanda

15 URBINA; Juan de DIOS CRUZ ROJAS; Maria de Jesus CALDERON RUIZ; Cristina Lucero

16 RAMIREZ; Noe ZARAGOZA-QUIROZ; Maico

MONTOYA-ARELLANO, 17

18

Plaintiffs,

19

v.

Case No. ____________
Complaint for Declaratory and Injunctive Relief Under the Freedom of Information Act
Class Action

20 UNITED STATES CUSTOMS AND BORDER PROTECTION,
21

22

Defendant.

23

24

25

26

27

28

FOIA Complaint for Declaratory and Inj. Relief

Case No.

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 1 of 133

1 Stacy Tolchin (CA SBN 217431) Law Offices of Stacy Tolchin
2 634 S. Spring St., Suite 500A 3 Los Angeles, CA 90014
Telephone: (213) 622-7450 4 Facsimile: (213) 622-7233
Email: Stacy@Tolchinimmigration.com 5
(continued on next page) 6

7

8

UNITED STATES DISTRICT COURT FOR THE

9

NORTHERN DISTRICT OF CALIFORNIA

10

SAN FRANCISCO / OAKLAND DIVISION

11

12 Meredith R. BROWN; Kelly RYAN; Jeri

FLYNN; Isidro de Jesus RODRIGUEZ 13 SANCHEZ; Nelida ORNELAS RENTERIA;

14

Santos Miguel FLORES AGUILAR; Emma QUEZADA; Manuel CRUZ RENDON; Orlanda

15 URBINA; Juan de DIOS CRUZ ROJAS; Maria de Jesus CALDERON RUIZ; Cristina Lucero

16 RAMIREZ; Noe ZARAGOZA-QUIROZ; Maico

MONTOYA-ARELLANO, 17

18

Plaintiffs,

19

v.

Case No. ____________
Declaration of Stacy Tolchin in Support of Complaint for Declaratory and Injunctive Relief Under the Freedom of Information Act

20 UNITED STATES CUSTOMS AND BORDER PROTECTION,
21

22

Defendant.

23

24

25

26

27

28

Tolchin Dec. in Support of FOIA Complaint

Case No.

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 2 of 133

1 (counsel for Plaintiffs continued)

2 Matt Adams, WSBA No. 28287
3 (application for pro hac vice admission forthcoming) Northwest Immigrant Rights Project
4 615 Second Avenue, Suite 400 Seattle, WA 98104
5 Telephone: (206) 957-8611 Facsimile: (206) 587-4025
6 Email: matt@nwirp.org

7 Trina Realmuto (CA SBN 201088)

National Immigration Project

8

of the National Lawyers Guild

9

14 Beacon St., Suite 602 Boston, MA 02108

10 Telephone: (617) 227-9727 ext. 8 Facsimile: (617) 227-5495

11 Email: trina@nipnlg.org

12 Mary Kenney (WV Bar 2011)

13

Melissa Crow (DC Bar 453487) (applications for pro hac vice admission forthcoming)

14 American Immigration Council 1331 G Street NW, Suite 200

15 Washington, DC 20005

Telephone: (202) 507-7512 16 Facsimile: (202) 742-5619

17 Email: mkenney@immcouncil.org

18 Counsel for Plaintiffs

19

20

21

22

23

24

25

26

27

28

Tolchin Dec. in Support of FOIA Complaint

Case No.

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 3 of 133

1 Pursuant to 28 U.S.C. § 1746, I hereby declare as follows:

2

1. My business address is Law Offices of Stacy Tolchin, 634 S. Spring St., Suite

3 500A, Los Angeles, CA 90014. I am co-counsel for Plaintiffs in the pending
4 litigation entitled Brown et al. v. U. S. Customs and Border Protection. I have
5
attached documents from the internet that are referred to in Plaintiffs’ complaint, 6

7

brought under the Freedom of Information Act (“FOIA”).

8

2. The Department of Homeland Security, Privacy Office, 2013 Freedom of

9

Information Act Report to the Attorney General of the United States is available

10

online at http://www.dhs.gov/sites/default/files/publications/privacy-foia-annual-

11 report-fy-2013-dhs_1.pdf (last visited Mar. 11, 2015) and is attached as Exhibit
12 A.
13

14

3. The Department of Homeland Security, Privacy Office, 2012 Freedom of

15

Information Act Report to the Attorney General of the United States is available

16

online at http://www.dhs.gov/sites/default/files/publications/foia/privacy-foia-

17

annual-report-fy-2012-dhs.pdf (last visited Mar. 11, 2015) and is attached as

18

Exhibit B.

19 4. The Department of Homeland Security, Privacy Office, 2011 Freedom of
20 Information Act Report to the Attorney General of the United States is available
21

22

online at http://www.dhs.gov/xlibrary/assets/privacy/privacy-foia-annual-report-

23

fy-2011-dhs.pdf (last visited Mar. 11, 2015) and is attached as Exhibit C.

24

5. The annual Budget in Brief for the Department of Homeland Security, FY 2015,

25

is available online at

26 http://www.dhs.gov/sites/default/files/publications/FY15BIB.pdf (last visited
27 Mar. 11, 2015). The document is included up to page 7, as the document is over
28

Tolchin Dec. in Support of FOIA Complaint

Case No.

1

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 4 of 133

1

200 pages and too voluminous to include in its totality. Blank pages from the

2

report have been omitted. This document is attached as Exhibit D.

3 6. The annual Budget in Brief for the Department of Homeland Security, FY 2014,
4 is available online at
5
http://www.dhs.gov/sites/default/files/publications/MGMT/FY%202014%20BIB 6

7

%20-%20FINAL%20-508%20Formatted%20(4).pdf (last visited Mar. 11, 2015).

8

The document is included up to page 6, as the document is over 200 pages and too

9

voluminous to include in its totality. Blank pages from the report have been

10

omitted. This document is attached as Exhibit E.

11

12 I declare under penalty of perjury that the above information is true and correct to the
13
14 best of my knowledge. Executed this 12th day of March 2015 at Los Angeles, CA.

15 s/ Stacy Tolchin

16

Stacy Tolchin

Law Offices of Stacy Tolchin

17

634 S. Spring St., Suite 500A

18

Los Angeles, CA 90014 Telephone: (213) 622-7450

19

Facsimile: (213) 622-7233

Email: Stacy@Tolchinimmigration.com

20

21

22

23

24

25

26

27

28

Tolchin Dec. in Support of FOIA Complaint

Case No.

2

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 5 of 133
EXHIBIT A

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 6 of 133
Department of Homeland Security
Privacy Office 2013 Freedom of Information Act Report to the Attorney General of the United States February 2014

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 7 of 133
Message from the Chief Freedom of Information Act Officer
I direct your attention to the report that follows and look forward to providing even better and more responsive customer service in the new year.
As has been the case for several years, DHS continues to receive the largest number of FOIA requests of any federal department or agency in each fiscal year (FY), receiving almost 30 percent of all requests received by the Federal Government. Since President Obama took office, DHS has experienced a 45 percent increase in the number of FOIA requests received. In FY 2009, DHS received 103,093 requests, which was already the largest volume of requests. That volume surged each year: 130,098 in FY 2010; 175,656 in FY 2011; and 190,589 in FY 2012. In FY 2013, DHS received a staggering 231,534 FOIA requests.
The volume of requests the Department receives may be due in large part to the interest of the public in DHS's mission and the function of its components. Of particular interest to the public are immigration-related records under the purview of U.S. Customs and Border Protection (CBP), U.S. Immigration and Customs Enforcement (ICE), the Office of Biometric Identity Management (OBIM) within the National Protection and Program Directorate (NPPD), and U.S. Citizenship and Immigration Services (USCIS). These components continue to receive the largest number of requests, receiving 97 percent of all requests in FY 2013.
As a result, DHS also has the largest backlog of pending FOIA requests. In last year’s annual report, DHS highlighted a 33 percent decrease in the backlog. In FY 2013 however, the backlog increased from 28,553 to 53,598 due in part to the record-setting number of requests received. Components that process requests seeking immigration-related records (e.g., copies of the Alien File, entry/exit records, detention and deportation records) have the largest backlogs in the Department, with CBP, ICE, NPPD and USCIS comprising 95 percent of the total DHS backlog.
Notably, DHS enjoyed a successful year in closing out the department’s ten oldest requests and appeals pending as posted in the FY 2012 report. In this past fiscal year, DHS closed 87 percent of last year’s oldest component pending requests as reported in FY 2012. This includes closing all 10 of the oldest DHS agency-wide cases pending as of end of FY 2012. Additionally, DHS closed 86 percent of the 10 combined oldest component appeals pending as of end of FY 2012. This includes closing seven of the oldest DHS agency wide appeals pending as of end of FY 2012. Closing 87 percent of the ten oldest pending requests and 86 percent of the combined oldest component appeals pending represents a significant step not only toward reducing overall backlogs, but also to improving FOIA administration across DHS.
During this reporting period, DHS continues to take steps to enhance its FOIA program by focusing its efforts on eliminating the backlog of overdue requests, offering enhanced training opportunities, and deploying advanced technology. Additionally, the DHS Privacy Office initiated several actions to ensure policy compliance and provide oversight of FOIA processing within the components. DHS issued guidance on the application of Exemption 6, the posting of congressional correspondence logs, and the handling of fee waivers or claims of membership in a preferential fee category. Additionally, DHS monitored monthly and quarterly data processing statistics in its sustained effort toward closing the oldest requests. As a result, many components reported reducing their backlog of overdue requests. For example, USCIS reduced its backlog from 10,727 at the end of FY 2012 to 3,394 at the
Page ii

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 8 of 133 end of FY 2013, a 68 percent reduction. DHS will continue to seek opportunities to improve the efficiency and cost-effectiveness of its FOIA operations. I am proud of the great work our Department has accomplished. Sincerely, Karen Neuman Chief Freedom of Information Act Officer U.S. Department of Homeland Security
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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 9 of 133
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 ......................................................................................................................3 A. Received, Processed, and Pending FOIA Requests ...........................................3 B. (1) Disposition of FOIA Requests - All Processed Requests ............................4 (2) Dispostion of FOIA Requests - “Other” Reasons for “Full Denials Based on Reasons Other than Exemptions” from Section V, B(1) Chart....4 (3) Disposition of FOIA Requests - Number of Times Exemptions Applied....6
VI. Administrative Appeals of Initial Determinations of FOIA Requests .............................6 A. Received, Processed, and Pending Administrative Appeals..............................6 B. Disposition of Administrative Appeals - All Processed Appeals ......................7 C. (1) Reasons for Denial on Appeal - Number of Times Exemptions Applied ....7 (2) Reasons for Denial on Appeal - Reasons Other than Exemptions ...............7 (3) Reasons for Denial on Appeal - “Other” Reasons from Section VI, C(2) Chart .............................................................................................................8 (4) Response Times for Administrative Appeals...............................................9 (5) Ten Oldest Pending Administrative Appeals ...............................................9
VII. FOIA Requests: Response Times for Processed and Pending Requests........................10 A. Processed Requests - Response Time for All Processed Perfected Requests..10 B. Processed Requests - Response Time for Perfected Requests in Which Information was Granted .................................................................................10 C. Processed Requests - Response Time in Day Increments ...............................11 (1) Simple Requests Response Time in Day Increments.................................11 (2) Complex Requests Response Time in Day Increments .............................11 (3) Requests Granted Expedited Processing Response Time in Day Increments ..................................................................................................12 D. Pending Requests - All Pending Perfected Requests .......................................12 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 ..................................................................................14
IX. FOIA Personnel and Costs .................................................................................................15
X. Fees Collected for Processing Requests ............................................................................15
XI. FOIA Regulations (Including Fee Schedule) ....................................................................15
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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 10 of 133 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....................................................................................................16 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 ............................................................................................18 E. (1) Comparison of Numbers of Administrative Appeals from Previous
and Current Annual Report - Appeals Received, Processed, and Backlogged ................................................................................................19 (2) Comparison of Backlogged Administrative Appeals from Previous and Current Annual Report...............................................................................19 APPENDICES. .................................................................................................................20 APPENDIX A: Composition of the Department of Homeland Security...............20 APPENDIX B: Organization of the Department of Homeland Security Chart.....23 APPENDIX C: Names, Addresses, and Contact Information For DHS FOIA
Officers ........................................................................................24
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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 11 of 133

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 Drive 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.

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.

2. Brief description why requests are not granted:

The records maintained by the Department often contain private information on individuals or involve law enforcement matters. Because law enforcement records are of such interest to subjects of investigation, victims of crime, and the public at large, these records are often requested under the Freedom of Information Act. 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 Center

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

Page vi

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 12 of 133

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.*

* 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

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 13 of 133
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 DHS’s Privacy Act “mixed systems of records” as if they are subject to the Privacy Act’s 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).
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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 14 of 133
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
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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 15 of 133 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
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IV. Exemption 3 Statutes

Statute 10 U.S.C. § 130b
10 U.S.C. § 424 18 U.S.C. § 1461 18 U.S.C. §§ 2510-20 18 U.S.C. § 2722(a)

Type of Information Withheld

Case Citation

Personally identifiable information pertaining to members of the armed forces assigned to "routinely deployable unit[s]" and certain employees of DOD and DHS
Organization or any function of, and certain information pertaining to, employees of the Defense Intelligence Agency
Mailing Obscene or CrimeInciting Matter

Hiken v. DOD, 521 F. Supp. 2d 1047, 1062 (N.D. Cal. 2007); O'Keefe v. DOD, 463 F. Supp. 2d 317, 325 (E.D.N.Y. 2006); Windel v. United States, No. A02306, 2005 WL 846206, at *2.
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).

Wiretap requests and the content of any wire, oral, or electronic communication obtained through wiretaps

Mendoza v. DEA, No. 07-5006, 2007 U.S. App. LEXIS 22175 (D.C. Cir. Sept. 14, 2007) (per curiam); Lam Lek Chong v. DEA, 929 F.2d 729, 733 (D.C. Cir. 1991); Payne v. DOJ, No. 9630840, slip op. at 5-6 (5th Cir. July 11, 1997).

Prohibits the disclosure of personal information from a motor vehicle record

Number of Times Relied upon per Component

USCG

1

USCG

1

USSS

1

USSS

1

OIG

2

Total Number of Times Relied upon
by Agency 1
1
1
1
2

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

Information related to child pornography victims

Tampico v. EOUSA, No. 04¬2285, slip op. at 8 (D.D.C. Apr. 29, 2005).

ICE

6

6

26 U.S.C. §§ 6103
31 U.S.C. § 5319 (Bank Secrecy Act)

Certain tax return information and certain tax convention information

Church of Scientology v. IRS, 484 U.S. 9, 15 (1987) (26 U.S.C. § 6103); Pac. Fisheries, Inc. v. IRS, No. 09-35618, 2010 WL 3611645, at *2 (9th Cir. September 15, 2010)(unpublished disposition); Tax Analysts v. IRS, 217 F. Supp. 2d 23, 27-29 (D.D.C. 2002) (26 U.S.C. § 6105).

Reports pertaining to monetary instruments transactions filed under subchapter II of chapter 53 of title 31 and records of those reports

Hulsten v. DEA No.10-4112, 2011 U.S. Dist. LEXIS 25788, at *7-8 (N.D. Iowa Mar. 11, 2011); Berger v. IRS, 487 F. Supp. 2d 482, 496-97 (D.N.J. 2007), aff'd on other grounds, 288 F. App'x 829 (3d Cir. 2008), cert. denied, 129 S. Ct. 2789 (U.S. 2009); Sciba v. Bd. of Governors of the Fed. Reserve Sys., No. 04-1011, 2005 WL 3201206, at *6 (D.D.C. Nov. 4, 2005).

USCIS
ICE USSS

1,740
2 1

1,740 3

1

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 17 of 133

Statute U.S.C. § 4702(b)

Type of Information Withheld

Case Citation

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

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. Dep't 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).

Number of Times Relied upon per Component

CBP

1

FEMA

5

ICE

1

NPPD

5

PRIV

3

S&T

3

TSA

3

Total Number of Times Relied upon
by Agency
22

Legal & Safety Employer

Contractor bid or proposal

Research, Inc. v. U.S. Dep't of the

41 U.S.C. § 2102

information; source selection

Army, No. Civ. S001748, 2001

CBP

1

1

information

WL34098652, at *3-4 (E.D. Cal.

2001) dictum).

42 U.S.C. § 262a(h)

Enhanced control of dangerous biological agents and toxins/bioterrorism information

S&T

2

2

49 U.S.C. § 114(s)

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), aff’d on other grounds, 586 F. 3d 1006 (D.C. Cir. 2009; Gordon v. FBI, 390 F. Supp. 2d 897, 900 (N.D. Cal. 2004).

49 U.S.C. § 1114(c) (Transportation Safety Act of 1974)
50 U.S.C. § 403-1(i)(1) (National Security Act of 1947)

Certain "cockpit voice or video recorder recording[s] or transcript[s] of communications by and between flight crew members and ground stations pertaining to [] incident[s] investigated by the [National Transportation Safety] Board"
Intelligence sources and methods

McGilvra v. NTSB, 840 F. Supp. 100, 102 (D.Colo. 1993)
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).

50 U.S.C. § 403g

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”

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).

CBP ICE PRIV
OIG TSA USCG
PRIV
CBP I&A PRIV USCG USSS ICE

369 2,031
1
1 133 2
2
18 3 1 2 9 1

2,401 136 2 34

2

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 18 of 133

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. Dep't of Commerce, 317 F.3d 275, 284 (D.C. Cir. 2003); Times Publ'g Co. v. U.S. Dep't of Commerce, 236 F.3d 1286, 1292 (11th Cir. 2001).

Fed. R. Crim. P. 6(e), enacted by Act of July 30, 1977, Pub. L. No. 95-78, 91 Stat.319

Certain records pertaining to grand jury proceedings

Sussman v. USMS, 494 F.3d 1106, 1113 (D.C. Cir. 2007); Fund for Constitutional Gov't v. Nat'l Archives & Records Serv., 656 F.2d 856, 867-68 (D.C. Cir. 1981); Durham v. U.S. Atty. Gen., No. 06-843, 2008 WL 620744, at *2 (E.D. Tex. Mar. 3, 2008); Cozen O'Connor v. U.S. Dep't of Treasury, 570 F. Supp. 2d 749, 776 (E.D. Pa. 2008).

Number of Times Relied upon per Component

Total Number of Times Relied upon
by Agency

S&T

1

1

USCIS

10

10

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

Component†
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS

Number of Requests Pending as of Start of
Fiscal Year 13,513 3 326‡ 12
3 2,903§ 2,395
23 0 85 ** 1 573 760†† 17,024‡‡ 853 §§

Number of Requests Received in Fiscal Year
41,381 73 798 113 109
34,161 15,187
170 45 798 26 909 3,468 132,797 1,499

Number of Requests Processed in Fiscal Year
14,635 73 564 122 78
30,818 12,942
142 45 840 26 851 3,098 138,523 1,575

Number of Requests Pending as of End of
Fiscal Year 40,259 3 560 3 34 6,246 4,640 51 0 43 1 631 1,130 11,298 777

† The following information is important to interpret the FOIA request data presented in this Annual Report: PRIV processes and reports on FOIA requests for itself, the Office of the Secretary (including the Military Advisor’s Office and the Office of Intergovernmental Affairs), and the following components: CISOMB, DNDO, ESEC, MGMT, OHA, OGC, OLA, OPA, and PLCY; Readers of the Annual Report should consider the contents of this footer to apply, as appropriate, to all tables in the report. ‡ Number of requests pending as pf start of fiscal year corrected due to component reporting error in FY 2012 §
There are an unknown number of referred requests from USCIS that were not logged in as of the date of this report, and, therefore are not reflected in the backlog number reported by ICE. Until those requests are processed, it is impossible for DHS to determine if the requests are valid requests that should be reported; DHS will provide revised numbers if necessary once the requests are evaluated. ** Number of requests pending as pf start of fiscal year corrected due to component reporting error in FY 2012 †† Number of requests pending as pf start of fiscal year corrected due to component reporting error in FY 2012 ‡‡ Number of requests pending as pf start of fiscal year corrected due to component reporting error in FY 2012 §§ Number of requests pending as pf start of fiscal year corrected due to component reporting error in FY 2012
3

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 19 of 133

Component† AGENCY OVERALL

Number of Requests Pending as of Start of
Fiscal Year
38,474

Number of Requests Received in Fiscal Year
231,534

Number of Requests Processed in Fiscal Year
204,332

Number of Requests Pending as of End of
Fiscal Year
65,676

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

No. of Component Full
Grants

CBP CRCL FEMA FLETC I&A
ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

1,344 18 103 14 2 229
2,888 8 10 49 0
104 2,271 11,774
26
18,840

No. of Partial Grants/ Partial Denials
4,891

No. of Full Denials Based on
Exemptions
58

No Records
3,072

17

0

28

115

8

85

41

9

31

14

3

35

26,867

503

1,104

7,833

13

2,136

84

18

21

12

1

16

149

49

70

8

1

9

188

103

93

192

49

294

79,635 3,515 16,073

254

45

875

Number of Full Denials Based on Reasons Other than Exemptions

All Records Referred

Request Withdrawn

FeeRelated Reason

Not Improper Reasonably FOIA Described Request

Not Agency Record

Duplicate Request

70

92

20

236

4,435

79

289

3

3

0

0

4

0

0

5

96

4

25

61

3

47

4

8

0

0

9

6

0

5

1

0

3

8

4

0

762

67

5

25

397

0

78

0

1

0

0

40

0

0

2

1

1

0

3

2

0

4

0

0

0

0

2

0

107

11

2

221

97

24

8

7

0

0

1

0

0

0

6

71

1

126

122

6

9

1

179

7

8

2

12

39

1,133

94

234

0

9,184 4,706 12,172

12

33

2

15

16

35

5

120,300 4,378 23,942 2,121

701

276

660

14,378 4,879 12,647

Other Total

49 14,635

0

73

12

564

0

122

3

78

781 30,818

31 12,942

2

142

0

45

53

840

0

26

22

851

44 3,098

3 138,523

257 1,575

1,210 204,332

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

Component CBP

Description Coordinated by Another Office
Records Publicly Available Unable to Locate Requestor
Sent in Error

No. of Times Used 15 17 10 7

Total 49

CRCL

N/A

0

0

Coordinated by Another Processing Office

2

FEMA

Records Publicly Available

6

12

Unable to Locate Requestor

4

FLETC

N/A

0

0

4

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 20 of 133

Component I&A
ICE
NPPD OIG OPS PRIV
S&T TSA USCG USCIS

Description N/A

No. of Times Used 0

Aggregated

1

Fugitive Disentitlement

532

Litigation

4

Records Publicly Available

1

Referred Documents are Not Responsive

160

Unable to Locate Requestor

83

Duplicate

31

Records Publicly Available

2

N/A

0

Aggregated

3

Coordinated by Another Program Office

7

Litigation

2

Records Publicly Available

31

Unable to Locate Requestor

10

N/A

0

Aggregated

4

Records Publically Available

6

Unable to Locate Requestor, etc.

12

N/A

0

Unable to Locate Requestor

3

Total 0
781
31 2 0 53
0 22 0 3

5

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 21 of 133

Component

Description

No. of Times Used

Total

Coordinated by Another Office

1

Nonresponsive to Requests for Additional

Information

173

Opened in Error

6

USSS

Records Publicly Available

2

257

Records Referred Not Responsive

27

Statute of Limitation Passed

26

Unable to Locate Requestor

22

AGENCY OVERALL

1,210

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

Component

Ex. 1

Ex. 2

Ex. 3

Ex. 4

Ex. 5

Ex. 6

Ex. 7(A)

CBP

0

211

389

47

41 4,816 40

CRCL

0

0

0

0

9

19

0

FEMA

0

5

5

46

21

105

0

FLETC

0

1

0

16

11

39

3

I&A

0

0

3

4

11

0

0

ICE

2

25 2,041 17 13,418 25,931 58

NPPD

0

0

5

25

9

896

5

OIG

0

11

3

8

21

95

18

OPS

1

0

0

0

1

10

0

PRIV

6

2

7

27

61

142

28

S&T

1

0

5

5

5

6

0

TSA

1

23

137

22

69

217

26

USCG

3

1

6

20

39

133

42

USCIS

0

121 1,750

92 41,503 49,679 21

USSS

1

1

12

11

19

204

41

AGENCY OVERALL

15

401 4,363 340 55,238 82,292 282

Ex. 7(B)

Ex. 7(C)

Ex. 7(D)

Ex. 7(E)

Ex. 7(F)

0

4,830

5 4,730

5

0

8

0

2

0

0

11

0

5

0

0

8

0

6

4

4

1

7

3

0

5

25,915 26 24,706 17

0

6,022

0 5,969 12

0

83

9

22

11

0

10

0

0

0

1

27

0

40

1

0

2

0

3

0

1

30

0

8

1

3

94

38

38

0

0

65,338 1 61,742 0

0

203

14 190

2

14

102,582 100 97,464 53

Ex. 8
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0

Ex. 9
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0

VI. Administrative Appeals of Initial Determinations of FOIA Requests A. Received, Processed, and Pending Administrative Appeals

Component
CBP FEMA *** FLETC
ICE OGC OIG

No. of Appeals Pending as of Start of Fiscal Year 16
60 0 0 111 14

No. of Appeals Received in Fiscal Year 346
16 7 350 92 17

No. of Appeals Processed in Fiscal Year 354
45 5 317 179 3

No. of Appeals Pending as of End of Fiscal Year 8
31 2 33 24 28

*** FEMA began processing appeals in FY 2013.
6

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 22 of 133

TSA

11

18

22

7

USCG

40

34

45

29

USCIS

105

1,959

2,001

63

USSS

11 †††

66

75

2

AGENCY OVERALL

368

2,905

3,046

227

B. Disposition of Administrative Appeals – All Processed Appeals

Component

Number Affirmed on Appeal

CBP

51

FEMA

13

FLETC

4

ICE

110

OGC

85

OIG

0

TSA

11

USCG

9

USCIS

571

USSS

28

AGENCY OVERALL

882

Number Partially Affirmed & Partially Reversed/Remanded
on Appeal 49
3 0 8 9 0 2 0 850 29
950

Number Completely Reversed/Remanded
on Appeal
151 2 0
107 14 1 6 24 380 8 693

Number of Appeals Closed for Other Reasons
103 27 1 92 71 2 3 12 200 10 521

Total
354 45 5 317 179 3 22 45 2,001 75 3,046

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

Component CBP

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

0

4

18

8

7

193

2

0

189

3

198

3

0

0

FEMA

0

1

0

4

4

7

0

0

0

0

1

0

0

0

FLETC

0

0

0

1

2

4

1

0

0

0

0

1

0

0

ICE

0

2

16

1

26

120

1

0

102

0

95

0

0

0

OGC

3

0

5

0

13

9

2

0

28

0

32

3

0

0

OIG

0

0

0

0

0

1

1

0

1

0

0

0

0

0

TSA

1

2

4

0

5

5

0

0

2

0

0

0

0

0

USCG

0

0

2

0

3

8

1

0

1

0

2

0

0

0

USCIS

0

1

24

4

653 793

1

0

976

0

925

0

0

0

USSS

0

1

0

15

1

12

23

0

11

0

17

0

0

0

AGENCY OVERALL 4

11

69

33

714 1,152 32

0 1,310 3 1,270 7

0

0

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

Component

Records Referred at No Records Initial
Request Level

Request Withdrawn

FeeRelated Reason

Records not Reasonably Described

Improper Request for
Other Reasons

Not Agency Record

Duplicate Request or
Appeal

Request in Litigation

Appeal Based Solely on Denial for Expedited Processing

Other *Explain in chart
below

CBP

72

4

5

8

0

10

0

0

0

FEMA

0

4

20

3

0

0

0

0

0

0

4

0

0

††† Number of appeals pending in Fiscal Year corrected due to component reporting error in FY 2012
7

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 23 of 133

FLETC

1

0

ICE

69

0

OGC

25

0

OIG

0

0

TSA

1

1

USCG

2

0

USCIS

0

0

USSS

4

0

AGENCY OVERALL

174

9

1

0

0

0

23

0

0

0

0

0

6

0

0

0

0

0

0

0

0

0

0

1

2

0

0

1

5

4

0

1

0

0

0

0

0

0

0

1

0

0

0

0

0

0

1

1

0

190

0

10

0

0

0

2

0

0

55

11

6

207

2

12

2

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

Component CBP

Description Adequacy of Search Records Alternatively Available Untimely (>60 days)

No. of Times Used 2 1 1

0

0

2

16

1

84

0

2

0

0

0

2

0

0

0

6

3

114

Total 4

FEMA

N/A

0

0

FLETC ICE

N/A Fugitive Disentitlement Upheld

0

0

16

16

OGC
OIG TSA USCG USCIS
USSS AGENCY OVERALL

Adequacy of Search Constructive Denial Coordinated by Another Processing Office
Improper Appeal
Moot N/A N/A N/A
Coordinated by Another Office Previously Furnished Opened in Error

36

2

84

39

7

2

2

0

3

0

0

0

0

2

2

6

2

114

8

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 24 of 133

C. (4) Response Times for Administrative Appeals

Component CBP FEMA
FLETC ICE OGC OIG TSA
USCG USCIS USSS AGENCY OVERALL

Median Number of Days 12 546 21 16 134 58 38 124
17.81 22 30

Average Number of Days 16.78 641.51 38.60 22.16 169.73 89.66 58.68 235.18 17.79 35.30 132.54

Lowest Number of Days 1 1 10 1 10 9 1 3 1 9 1

Highest Number of Days 256 1,611 120 233 1,344 202 234 941 185 103 1,611

C. (5) Ten Oldest Pending Administrative Appeals

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal

Date of Receipt

N/A

CBP

Number of Days Pending

0

N/A 2013-09-27 2013-09-27 2013-09-25 2013-09-25 2013-09-25 2013-09-23 2013-09-06 2013-09-06

0

2

2

4

4

4

6

17

17

FEMA

Date of Receipt

2010-11-22

Number of Days Pending

721

2010-08-27 779

2010-05-06 858

2010-04-12 876

2010-02-17 914

2009-12-11 2009-08-31 2009-06-25

954

1,024

1,070

2009-02-26 2008-11-20

1,154

1,218

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A 2013-09-16 2013-07-15

FLETC

Number of Days Pending

0

0

0

0

0

0

0

0

11

55

ICE OGC OIG

Date of Receipt

2013-04-12 2013-03-29 2013-03-29 2013-03-14 2013-03-14 2013-03-14 2013-03-14 2013-01-30 2013-01-24 2013-01-23

Number of Days Pending

119

129

129

140

140

140

140

170

174

175

Date of Receipt

2013-07-22 2013-07-16 2013-07-12 2013-07-12 2013-06-18 2013-02-25 2013-02-25 2012-09-05 2012-08-29 2012-06-21

Number of Days Pending

50

54

56

56

73

153

153

269

273

321

Date of Receipt

2012-07-25 2012-07-05 2012-07-03 2012-06-28 2012-06-14 2011-03-09 2010-11-10 2010-09-15 2009-01-14 2008-11-14

Number of Days Pending

298

312

313

316

326

649

728

767

1,182

1,222

Date of Receipt

N/A

N/A

N/A 2013-09-12 2013-09-09 2013-09-06 2013-09-04 2013-08-19 2013-07-12 2012-11-15

TSA

Number of Days Pending

0

0

0

13

16

17

19

30

56

220

USCG

Date of Receipt

2012-09-21 2012-08-27 2012-08-02 2012-07-30 2012-07-11 2012-07-11 2012-01-07 2011-10-05 2011-04-04 2009-03-10

Number of Days Pending

257

275

292

295

308

308

436

500

631

1,146

USCIS

Date of Receipt

2013-09-11 2013-09-11 2013-09-09 2013-09-09 2013-09-09 2013-09-04 2013-08-30 2013-08-28 2013-08-23 2013-08-14

9

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 25 of 133

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal

Number of Days Pending

14

14

15

15

15

18

22

23

27

33

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A 2013-09-10 2012-09-28

USSS

Number of Days Pending

0

0

0

0

0

0

0

0

15

252

AGENCY

Date of Receipt

2010-05-06 2010-04-12 2010-02-17 2009-12-11 2009-08-31 2009-06-25 2009-02-26 2009-01-14 2008-11-20 2008-11-14

OVERALL

Number of Days Pending

858

876

914

954

1,024

1,070

1,154

1,182

1,218

1,222

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

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Median No. of Days
129 6 100.5 10 32 45 35 22 2 7 5 6 11 15.76 11
11

Simple

Average No. of Days
142.02

Lowest No. of Days
1

6.07

1

151.37

1

19.26

1

30.93

7

52.79

1

44.22

1

29.22

1

2.75

1

16.47

1

6.75

1

7.4

1

10.83

1

19.73

1

10.79

1

36.71

1

Highest No. of Days
544 12 923 181 49 273 243 119 13 149 18 20 20 397 20
923

Median No. of Days 66.5
12 94 N/A 35.5 37 25 54 4 38 94 231 35 25.35 92
37.5

Complex

Average No. of Days
94.86

Lowest No. of Days
1

15.8

1

147.96

1

N/A

N/A

50.86

1

63.01

2

37.26

1

71.2

7

5.86

1

62.89

1

110.17

67

288.44

21

97.29

2

28.08

1

223.4

21

92.65

1

Highest No. of Days
509 81 899 N/A 290 590 362 304 19 441 184 2,120 983 531 1,510
2,120

Median No. of Days
23 N/A N/A N/A N/A 19 13.5 117 N/A 16.5 93
1 N/A 23.98 N/A
21

Expedited

Average No. of Days
38.44

Lowest No. of Days
1

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

28.76

1

13.5

11

117

117

N/A

N/A

21.3

9

93

93

1

1

N/A

N/A

39.09

5

N/A

N/A

44.01

1

Highest No. of Days
119 N/A N/A N/A N/A 149 16 117 N/A 58 93
1 N/A 219 N/A
219

B. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted

Component
CBP CRCL FEMA FLETC I&A
ICE NPPD OIG

Median No. of Days
79 3 109 17 N/A 46 55 27

Simple

Average No. of Days

Lowest No. of Days

120.48

1

3.8

2

139.39

1

20.27

1

N/A

N/A

51.31

1

55.95

1

32.9

1

Highest No. of Days
544 6
532 69 N/A 273 243 111

Median No. of Days
79 15.5 138 N/A 66.5 50 38.5 69

Complex

Average No. of Days

Lowest No. of Days

105.96

1

19.27

2

172.63

1

N/A

N/A

105.25

11

72.51

1

51.23

3

80.03

10

Expedited

Highest No. Median No. Average No. Lowest No. of Days of Days of Days of Days

509

23

38.44

1

81

N/A

N/A

N/A

899

N/A

N/A

N/A

N/A

N/A

N/A

N/A

281

N/A

N/A

N/A

519

18

31.64

1

362

13.5

13.5

11

304

117

117

117

Highest No. of Days
119 N/A N/A N/A N/A 149 16 117

10

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 26 of 133

Component
OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Median No. of Days
1 14 9 13 11 26.72 16
16.5

Simple

Average No. of Days

Lowest No. of Days

1.44

1

14

14

9

8

11.45

1

11.22

1

27.66

1

17

15

38.85

1

Highest No. of Days
3 14 10 20 20 397 20

Median No. of Days
8 32.85
94 273 30 27.4 140

544

58.25

Complex

Average No. of Days

Lowest No. of Days

9.5

3

28.77

4

110.17

63

322.49

21

68.81

6

34.36

2

238.28

24

Expedited

Highest No. Median No. Average No. Lowest No. of Days of Days of Days of Days

19

N/A

N/A

N/A

43

58

58

58

184

93

93

93

2,120

N/A

N/A

N/A

703

N/A

N/A

N/A

465

26.37

41.3

5

1,500

N/A

N/A

N/A

Highest No. of Days N/A
58 93 N/A N/A 219 N/A

101.37

1

2,120

26.37

56.12

1

219

C. Processed Requests – Response Time in Day Increments

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS
USSS AGENCY OVERALL

1-20 Days
1,730 28 38 82 3
9,380 5,154
38 20 151 20 441 2,070 11,947
720

21-40 Days
828 0 31 23 7 6,132 3,041 27 0 18 0 0 0 8,598
0

31,822 18,705

41-60 Days
1,071 0 64 9 2
7,080 3,019
14 0 10 0 0 0 732
0
12,001

61-80 Days
434 0 57 6 2
5,230 1,196
6 0 8 0 0 0 379
0

(1) Simple Requests

81100 Days
359

101120 Days
288

121140 Days
316

0

0

0

59

67

65

1

0

0

0

0

0

1,922 1,182 506

657 1,862 88

1

2

0

0

0

0

2

2

1

0

0

0

0

0

0

0

0

0

121

63

52

0

0

0

7,318 3,122 3,466 1,028

141160 Days 724
0 61 0 0 966 0 0 0 1 0 0 0 21
0
1,773

161180 Days 354
0 49 0 0 1,257 0 0 0 0 0 0 0 16
0
1,676

181200 Days 194
0 47 1 0 404 0 0 0 0 0 0 0 10
0
656

201300 Days 2,561
0 112
0 0 78 1 0 0 0 0 0 0 25
0
2,777

301400 Days 746
0 52 0 0 0 0 0 0 0 0 0 0 3
0
801

401+ Days
3 0 54 0 0 0 0 0 0 0 0 0 0 314
0

Total
9,608 28 756 122 14
34,137 15,018
88 20 193 20 441 2,070 22,281 720

371 85,516

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV

1-20 Days
60 35 37 0 26 815 59 5 14 96

21-40 Days
42 8 53 0 30 651 41 13 0 68

41-60 Days
47 1 58 0 21 307 21 8 0 42

61-80 Days
30 0 73 0 8 241 9 9 0 26

(2) Complex Requests

81100 Days

101120 Days

121140 Days

21

20

14

1

0

0

32

12

6

0

0

0

3

2

0

139

164

147

4

3

2

3

2

3

0

0

0

13

18

13

141160 Days
27 0 11 0 1 150 0 4 0 12

161180 Days
13 0 7 0 2 101 0 1 0 5

181200 Days
11 0 12 0 2 21 1 1 0 5

201300 Days
32 0 33 0 3 53 0 0 0 18

301400 Days
4 0 18 0 0 17 2 1 0 0

401+ Days
3 0 29 0 0 11 0 0 0 1

11

Total
324 45 381 0 98 2,817 142 50 14 317

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 27 of 133

S&T

0

0

0

1

3

0

1

0

0

1

0

0

0

6

TSA

0

141

83

48

53

42

41

36

30

28

123 147 304

1,076

USCG

4

559

150

60

35

27

13

16

18

11

42

26

64

1,025

USCIS

32,284 56,052 6,862 6,402 876

807

321 111

53

21

49

6 2,820 106,664

USSS

0

250

83

58

47

36

42

19

35

27

55

39

143

834

AGENCY OVERALL

33,435 57,908 7,683 6,965 1,230 1,133 603 387

265

141 408 260 3,375 113,793

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

1-20 Days
15 0 0 0 0 10 2 0 0 8 0 3 0 14 0
52

21-40 Days
5 0 0 0 0 4 0 0 0 0 0 0 0 7 0

41-60 Days
5 0 0 0 0 1 0 0 0 2 0 0 0 6 0

(3) Requests Granted Expedited Processing

61-80 Days
1

81100 Days
1

101120 Days
5

121140 Days
0

141160 Days
0

161180 Days
0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

1

0

0

1

0

0

0

0

0

0

0

0

0

1

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

1

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

1

0

1

0

0

0

0

0

0

0

0

0

16

14

2

3

7

0

1

0

181200 Days
0 0 0 0 0 0 0 0 0 0 0 0 0 1 0
1

201300 Days
0 0 0 0 0 0 0 0 0 0 0 0 0 1 0
1

301400 Days
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0

401+ Days
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0

Total
32 0 0 0 0 17 2 1 0 10 1 3 0 31 0
97

D. Pending Requests – All Pending Perfected Requests

Component
CBP CRCL FEMA FLETC I&A
ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number Pending 40,062
0 343
3 0 5,359 4,539 6 0 5 0 68 265 1,757 100
52,507

Simple Median No.
of Days 122 N/A 156 10 N/A 54 37 8.5 N/A 4 N/A 9 13 18.5 1

Average No. of Days
151.2 N/A 195.07 22 N/A 75.52 39.18 29.83 N/A 4.6 N/A 9.12 11.31 22.46 5.49

13

51.43

Number Pending
197 3 217 0 36 837 25 42 0 38 1 556 892 8,180 677
11,701

Complex Median No.
of Days 68 4 55 N/A 23.5 82 18 46 N/A .5 136 236
225.5 15.07 304

Average No. of Days 98.2 3.33 131.67 N/A 27.19 89.52 39.72 85.38 N/A 91.63 136 290.73 293.91 20.76 355.77

55

127.83

Number Pending
0 0 0 0 0 2 0 3 0 0 0 0 0 3 0
8

Expedited Median No.
of Days N/A N/A N/A N/A N/A 13.5 N/A 179 N/A N/A N/A N/A N/A
108.92 N/A

Average No. of Days N/A N/A N/A N/A N/A 13.5 N/A 162 N/A N/A N/A N/A N/A 102.52 N/A

61.21

69.51

12

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 28 of 133

E. Pending Requests – Ten Oldest Pending Perfected Requests

Component

Sub-Row Heading

Date of Receipt CBP Number of Days
Pending

CRCL

Date of Receipt
Number of Days Pending

FEMA

Date of Receipt
Number of Days Pending

FLETC

Date of Receipt
Number of Days Pending

Date of Receipt I&A Number of Days
Pending

Date of Receipt ICE Number of Days
Pending

10th

9th

8th

2012-01-27 2012-01-27 2012-01-27

423

423

423

N/A

N/A

N/A

0

0

0

2010-06-23 2010-04-26 2010-04-12

825

866

876

N/A

N/A

N/A

0

0

0

2013-08-03 2013-08-03 2013-08-03

40

40

40

2012-05-29 2012-05-24 2012-03-08

338

340

395

7th

6th

5th

4th

3rd

2nd

2012-01-27 2012-01-27 2012-01-26 2012-01-26 2012-01-25 2012-01-25

423

423

424

424

425

425

N/A

N/A

N/A

N/A 09-30-2013 2013-09-25

0

0

0

0

1

4

2010-04-02 2010-02-19 2010-01-20 2009-11-27 2009-07-08 2008-02-03

882

912

929

964

1,062

1,420

N/A

N/A

N/A

N/A 2013-09-16 2013-09-16

0

0

0

0

11

11

2013-08-01 2013-07-30 2013-07-24 2013-07-23 2013-07-23 2013-06-26

42

42

44

48

49

67

2012-02-27 2012-02-14 2012-02-13 2011-12-01 2011-12-01 2011-12-01

403

411

412

462

462

462

Oldest Request 2012-01-25
425 2013-09-24
5 2007-09-07
1,520 2013-07-26
46 2013-02-16
158 2011-10-05
520

NPPD OIG OPS

Date of Receipt 2013-05-16 2013-05-16 2013-05-16 2013-05-16 2013-05-16 2013-05-16 2013-05-16 2013-04-25 2012-11-10 2012-10-31

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

95

95

95

2013-03-05 2013-03-01 2013-02-28

147

149

150

N/A

N/A

N/A

0

0

0

95 2013-02-08
163 N/A
0

95

95

95

110

222

2013-02-01 2013-01-16 2013-01-16 2012-04-24 2012-04-24

168

180

180

362

362

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

230 2011-12-08
457 N/A
0

PRIV

Date of Receipt 2013-03-11 2013-02-27 2013-02-15 2012-10-31 2012-10-08 2012-08-07 2012-08-06 2012-08-03 2012-04-25 2012-03-16

Number of Days Pending

143

151

159

230

246

289

290

291

361

389

Date of Receipt

N/A

N/A

N/A

S&T Number of Days Pending

0

0

0

Date of Receipt 2010-03-22 2010-2-25 2010-02-25

TSA Number of Days Pending

891

908

908

USCG

Date of Receipt 2010-02-24 2010-02-23 2010-02-23

Number of Days Pending

909

910

910

USCIS

Date of Receipt 2013-01-03 2012-12-31 2012-12-24

Number of Days Pending

188

190

194

USSS

Date of Receipt 2007-06-29 2007-06-29 2007-06-29

Number of Days Pending

1,568

1,568

1,568

AGENCY Date of Receipt 2007-06-29 2007-06-29 2007-06-29

OVERALL Number of Days Pending

1,568

1,568

1,568

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

2010-02-16 2010-01-29 2010-01-15 2010-01-05 2009-11-23 2009-10-26

915

922

931

939

964

986

2010-02-22 2010-02-18 2010-01-11 2009-12-29 2009-12-08 2009-11-30

911

913

935

943

957

963

2012-12-12 2012-12-05 2012-11-28 2012-11-19 2012-10-26 2012-07-11

202

207

212

218

233

308

2007-06-29 2007-06-29 2007-06-29 2007-06-29 2007-06-05 2007-01-09

1,568

1,568

1,568

1,568

1,586

1,688

2007-06-29 2007-06-29 2007-06-29 2007-06-05 2007-06-05 2007-01-07

1,568

1,568

1,568

1,568

1,586

1,688

2013-03-20 136
2008-12-18 1,199
2009-11-25 965
2012-04-19 365
2006-12-01 1,713
2006-12-01 1,713

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

13

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 29 of 133

Component
CBP CRCL FEMA FLETC I&A
ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number Granted
32 0 0 0 0 17 0 4 0 10 0 2 0 31 0 96

Number Denied
423 0 0 0 2 46 0 14 0 49 1 21 0
821 7
1,384

Median Number of Days to Adjudicate
1 N/A N/A N/A
2 2 N/A 8.5 N/A 3 7 1 N/A 5 1 2

Average Number of Days to Adjudicate
1.48 N/A N/A N/A
2 3.87 N/A 8.66 N/A 5.12 7.33 1.64 N/A 5.74
1 4.09

Number Adjudicated within 10 Calendar
Days 449
0 0 0 2 57 0 15 0 55 0 22 0 759 7
1,366

B. Requests for Fee Waiver

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number Granted
10 0 0 0 4 33 1 0 0 0 0 0 0 68 0 116

Number Denied
29 0 0 0 4 33 3 17 0 2 0 52 0 111 0 251

Median Number of Days to Adjudicate 1 N/A N/A N/A 4 1 2 4 N/A 7 N/A 0 N/A 4 N/A
2

Average Number of Days to Adjudicate 8.62 N/A N/A N/A 7.25 4.86 2 7.23 N/A 6.07 N/A 1.94 N/A 6.16 N/A
4.90

IX. FOIA Personnel and Costs

Component

Personnel

Costs
14

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 30 of 133

CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL
X.

Number of “Full Time
FOIA Employees”
34 1 16 1 2 48 5 4 0 12 1 12 12 229 16
393

Number of “Equivalent Full-Time
FOIA Employees”
16.22 0 20 .55 1
8.75 0 .25 .33 4 0 0
28.96 126.45
4.15
210.66

Total Number of “Full-Time FOIA Staff” (Col. 1 + Col.
2) 50.22
1 36 1.55 3 56.75 5 4.25 .33 16 1 12 40.96 355.45 20.15
603.66

Fees Collected for Processing Requests

Processing Costs
$4,422,723.41 $108,717.00 $3,195,049.00 $161,453.53 $158,000.00 $4,381,562.00 $484,580.00 $320,230.88 $39,000.00 $2,188,886.04 $79,864.00 $1,053,609.00 $2,755,407.37 $20,245,268.00 $1,755,401.25
$41,359,751.48

Component CBP CRCL FEMA
FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG
USCIS USSS AGENCY OVERALL

Total Amount of Fees Collected $312,014.15 $0.00 $3,215.00 $119.00 $0.00 $2,691.10 $1,040.60 $76.45 $0.00 $97.00 $0.00 $0.00 $37,155.11 $4,066.83 $0.00
$360,475.24

Litigation - Related Costs

Total Costs

$376,815.71 $0.00
$29,000.00 $0.00 $0.00
2,351,390.78 $0.00
39,075.80 $0.00
$250,000.00 $0.00
$14,512.00 $0.00
$331,726.15 $273,129.40
$3,665,649.84

$4,799,539.12 $108,717.00 3,224,049.00 $161,453.53 $158,000.00 $6,732,952.78 $494,580.00 $359,306.68 $39,000.00 $2,438,886.04 $79.864.00 $1,068,121.00 $2,755,407.37 $20,576,994.15 $2,028,530.65
$45,025,401.32

Percentage of Total Costs 7.05% 0.00% 0.10% 0.07% 0.00% 0.06% 0.21% 0.02% 0.00% 0.00% 0.00% 0.00% 1.35% 0.02% 0.00% 0.87%

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.

15

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 31 of 133

XII. Backlogs, Consultations, and Comparisons A. Backlogs of FOIA Requests and Administrative Appeals

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OGC OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Backlogged Requests as of the End of Fiscal Year 37,848 0 496 1 12 4,714 3,099 0 34 0 20 1 546 877 3,394 719 51,761

Number of Backlogged Appeals as of End of Fiscal Year 0 0 31 1 0 32 0 13 28 0 0 0 7 29 3 1 145

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

Component
CBP CRCL FEMA FLETC I&A
ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Consultations Received from Other Agencies that Were
Pending at Your Agency as of Start of the Fiscal Year
5 0 2 0 4 4 0 0 0 0 ‡‡‡ 0 10 6 3 10 §§§
44

Number of Consultations Received from Other
Agencies During the Fiscal Year
66 2 8 1 11 95 0 5 10 32 3 8 0 56 21
318

Number of Consultations Received from Other Agencies that Were
Processed by Your Agency During the Fiscal Year 45 2 9 1 15 54 0 5 10 21 3 3 3 58 19
248

Number of Consultations Received from Other
Agencies that were Pending at Your Agency as of the End of the Fiscal Year 26 0 1 0 0 45 0 0 0 11 0 15 3 1 12
114

‡‡‡ Corrected number due to component reporting error in FY 2012. §§§ Corrected number due to component reporting error in FY 2012.
16

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 32 of 133

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

Component

Sub-Row Heading

Date of Receipt CBP Number of Days
Pending

CRCL

Date of Receipt
Number of Days Pending

Date of Receipt

FEMA Number of Days Pending

Date of Receipt

FLETC Number of Days Pending

10th 2013-06-10
79 N/A
0 N/A
0 N/A
0

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Request

2013-05-22 2013-05-07 2013-02-21 2013-01-11 2012-12-13 2012-06-28 2012-05-31 2012-04-10 2012-03-16

91

102

155

182

201

316

336

372

389

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A 2013-09-13

0

0

0

0

0

0

0

0

12

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

I&A ICE NPPD OIG OPS PRIV S&T TSA

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
Date of Receipt
Number of Days Pending

N/A 0
2013-04-10 121 N/A 0 N/A 0 N/A 0
2013-09-16 11 N/A 0
2013-05-20 93

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

2013-04-10 2013-04-04 2013-03-28 2013-03-22 2013-02-14 2013-02-14 2013-02-14 2013-02-14 2012-11-02

121

125

130

134

160

160

160

160

228

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

2013-09-11 2013-09-05 2013-08-09 2013-08-06 2013-08-01 2013-07-16 2013-06-11 2013-04-26 2013-03-26

14

18

36

39

42

54

78

109

132

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

2012-04-10 2012-03-30 2011-09-16 2011-09-16 2011-09-15 2010-10-28 2010-09-03 2010-06-15 2009-12-16

372

379

513

513

514

737

774

831

951

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A 2012-01-26 2011-05-05 2011-03-21

USCG

Number of Days Pending

0

0

0

0

0

0

0

424

608

641

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A 2013-05-08

USCIS Number of Days Pending

0

0

0

0

0

0

0

0

0

100

USSS

Date of Receipt
Number of Days Pending

AGENCY Date of Receipt OVERALL Number of Days
Pending

2013-06-20
71 2011-05-10
605

2013-06-06 2013-04-03

81

126

2011-05-05 2011-03-21

608

641

2013-03-19 2013-02-13 2012-12-14 2011-05-10 2010-10-08 2010-10-08 2010-10-08

137

161

200

605

750

750

750

2010-10-28 2010-10-08 2010-10-08 2010-10-08 2010-09-03 2010-06-15 2009-12-16

737

750

750

750

774

831

951

17

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 33 of 133

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

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Requests Received

Received During Fiscal Year from Last Year's
Annual Report

Received During Fiscal Year from Current Annual
Report

33,243

41,381

84

73

761

798

109

113

96

109

24,073

34,161

7,105

15,187

180

170

60

45

899

798

36

26

861

909

3,700

3,468

117,787

132,797

1,595

1,499

190,589

231,534

Number of Requests Processed

Processed During Fiscal Year from Last Year's
Annual Report

Processed During Fiscal Year from Current Annual
Report

26,571

14,635

87

73

952

564

102

122

115

78

21,220

30,818

4,891

12,942

166

142

60

45

868

840

37

26

949

851

3,256

3,098

145,278

138,523

1,343

1,575

205,893

204,332

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

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual Report
10,648 0
306 2 3
2,903 **** 2,288 11 0 23 0 542 782 10,727 778
29,013

Number of Backlogged Requests as of End of the Fiscal Year from Current Annual Report
37,848 0
496 1 12
4,714 3,099
34 0 20 1 546 877 3,394 719 51,761

**** Number of backlogged requests in Fiscal Year corrected due to component reporting error in FY 2012
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E. (1) Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged

Component
CBP FEMA ††††
FLETC ICE OGC OIG TSA
USCG USCIS USSS AGENCY OVERALL

Number of Appeals Received

Received During Fiscal Year from Last Year's
Annual Report

Received During Fiscal Year from Current Annual
Report

474

346

60

16

1

7

288

350

113

92

19

17

32

18

35

34

1,349

1,959

34

66

2,405

2,905

Number of Appeals Processed

Processed During Fiscal Year from Last Year's
Annual Report

Processed During Fiscal Year from Current Annual
Report

476

354

0

45

1

5

303

317

161

179

19

3

25

22

51

45

1,431

2,001

23

75

2,490

3,046

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

Component
CBP FEMA ‡‡‡‡
FLETC ICE OGC OIG TSA
USCG USCIS USSS AGENCY OVERALL

Number of Backlogged Appeals as of End of the Fiscal Year from Previous Annual Report 0 60 0 0 99 13 10 33 10 0
225

Number of Backlogged Appeals as of End of the Fiscal Year from Current Annual Report 0 31 1 32 13 28 7 29 3 1
145

†††† Number of appeals received in Fiscal Year corrected due to component reporting error in FY 2012 ‡‡‡‡ Number of appeals received in Fiscal Year corrected due to component reporting error in FY 2012
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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) provides recommendations for resolving individual and employer problems with the United States Citizenship and Immigration Services in order to ensure national security and the integrity of the legal immigration system.
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 Secretariat (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 Advisor's 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.
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The Office of Public Affairs (OPA) coordinates the public affairs activities of all of the Department’s 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:
United States 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, including 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 Department’s 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.
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The Directorate for National Protection and Programs (NPPD) leads the national effort to protect and enhance the resilience of the Nation’s physical and cyber infrastructure. The Office of Health Affairs (OHA) coordinates all medical activities of the Department of Homeland Security 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 nation's 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 the Department of Homeland Security. The Coast Guard protects the maritime economy and the environment, defends our maritime borders, and saves those in peril. United States 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 America’s security and resiliency by providing knowledge products and innovative technology solutions for the Homeland Security Enterprise. The United States Secret Service (USSS) safeguards the nation's 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 Chief FOIA Officer Privacy Office U.S. Department of Homeland Security 245 Murray Lane, SW, Mail Stop 0655 Washington, DC 20528-0655

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

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 Lee's Summit, MO 64064-8010
Office for Civil Rights and Civil Liberties Fernando Pineiro, Jr. Ph: 202-357-7672; 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, Acting 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 Terry Cochran Ph: 202-646-3323; Fax: 202-646-3347 Disclosure Branch 1800 South Bell Street, Fourth Floor, Mail Stop 3005 Arlington, Virginia 20598-3005

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Federal Law Enforcement Training Center 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, Acting 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 Yvonne Coates 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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EXHIBIT B

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 42 of 133
Department of Homeland Security

Privacy Office 2012 Freedom of Information Act Report to the Attorney General of the United States February 2013

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 43 of 133
Message from the Acting Chief Freedom of Information Act Officer 

I am pleased to present the Department of Homeland Security’s (DHS or Department) Annual Freedom of Information Act (FOIA) Report to the Attorney General for 2012. This is the first report produced during my tenure as the Department’s Acting Chief Privacy Officer and Acting Chief FOIA Officer and the fourth to reflect President Obama’s call for openness and transparency in Federal Government operations. This report highlights the unprecedented number of FOIA requests and appeals the Department received this fiscal year, and the sizable reduction of its backlog of requests and appeals.
DHS receives the largest number of FOIA requests of any federal department or agency in each fiscal year (FY). It also has the largest backlog of pending FOIA requests. Since President Obama took office, DHS has experienced a steady annual increase in the number of FOIA requests from 103,093 in FY 2009, to 130,098 in FY 2010, to 175,656 in FY 2011. This trend continued in FY 2012: DHS received a record-setting 190,589 requests, an 85 percent increase over FY 2009. Despite this increase during FY 2012, DHS processed 205,895 requests and reduced its backlog of pending requests from 42,371 to 28,553. This decrease in the backlog is even more significant since the Department closed over 47,000 more perfected requests that were placed in the complex track in FY 2012 than in FY 2011. In fact, 55 percent of all closed requests in FY 2012 were complex compared to only 44 percent in FY 2011.
The 33 percent decrease in the backlog this year, despite an increasing volume of requests, was due to the multi-pronged efforts of all components. DHS took several steps to reduce the FOIA backlog including the use of the business management strategy Six Sigma, student interns, and contractors, as well as detailing FOIA Specialists in Headquarters to the components needing assistance to reduce their backlog. Additionally, the DHS Privacy Office (or Office) met with component FOIA Officers and FOIA officials from other federal agencies to gain insight into how technology, training, and staff development can converge to reduce the backlog, particularly through day-to-day case management.
DHS also made great strides in processing FOIA appeals. Although DHS experienced a 20 percent increase in the number of FOIA appeals received in FY 2012 compared with FY 2011, the appeals backlog decreased by 50 percent, from 327 in FY 2011 to 165 in FY 2012. DHS also decreased the average processing time to close out an appeal by 56 percent, from 106 days in FY 2011 to 47 days in FY 2012. Almost every DHS component shortened the interval between the receipt of an appeal and the closing of an appeal. For example, U.S. Citizenship and Immigration Services (USCIS) received 58 percent of the Department’s FOIA appeals, but was successful in reducing the average response time for appeals by 53 percent, from 52 days in FY 2011 to 24 days in FY 2012. The Office of the General Counsel (OGC) decreased its average turnaround by 60 percent, from 700 days to 278 days, while the average response time for Immigration and Customs Enforcement (ICE) dropped by 30 percent, from 40 days to 28 days.
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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 44 of 133 I am proud of the great work our Department has accomplished. I direct your attention to the pages that follow and look forward to providing even better and more responsive customer service in the new year. Sincerely, Jonathan R. Cantor Acting 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 ......................................................................................................................3 
 A. Received, Processed and Pending FOIA Requests ............................................3 
 B. (1) Disposition of FOIA Requests - All Processed Requests ............................4 
 (2) Dispostion of FOIA Requests - “Other” Reasons for “Full Denials 
 Based on Reasons Other than Exemptions” from Section V, B(1) Chart....4 
 (3) Disposition of FOIA Requests - Number of Times Exemptions Applied....5 

VI. Administrative Appeals of Initial Determinations of FOIA Requests .............................6 
 A. Received, Processed, and Pending Administrative Appeals..............................6 
 B. Disposition of Administrative Appeals - All Processed Appeals ......................6 
 C. (1) Reasons for Denial on Appeal - Number of Times Exemptions Applied ....7 
 (2) Reasons for Denial on Appeal - Reasons Other than Exemptions ...............7 
 (3) Reasons for Denial on Appeal - “Other” Reasons from Section VI, C(2) 
 Chart.............................................................................................................8 
 (4) Response Times for Administrative Appeals...............................................9 
 (5) Ten Oldest Pending Administrative Appeals ...............................................9 

VII. FOIA Requests: Response Times for Processed and Pending Requests........................10 
 A. Processed Requests - Response Time for All Processed Perfected Requests..10 
 B. Processed Requests - Response Time for Perfected Requests in Which 
 Information was Granted .................................................................................10 
 C. Processed Requests - Response Time in Day Increments ...............................11 
 (1) Simple Requests Response Time in Day Increments.................................11 
 (2) Complex Requests Response Time in Day Increments .............................11 
 (3) Requests Granted Expedited Processing Response Time in Day 
 Increments..................................................................................................12 
 D. Pending Requests - All Pending Perfected Requests .......................................12 
 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 ..................................................................................14 

IX. FOIA Personnel and Costs.................................................................................................15 

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

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

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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 46 of 133 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 ...................................................................18 
 D. (1) Comparison of Numbers of Requests from Previous and Current 

Annual Report - Requests Received, Processed, and Backlogged ............19 
 (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.....24 
 APPENDIX C: Names, Addresses, and Contact Information For DHS FOIA 

Officers ........................................................................................25 

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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 47 of 133

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 Drive 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. 


3. Requests for this report in paper form may also be directed to Delores J. Barber, 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.

2. Brief description why requests are not granted:

The records maintained by the Department often contain private information on individuals or involve law enforcement matters. Because law enforcement records are of such interest to subjects of investigation, victims of crime, and the public at large, these records are often requested under the Freedom of Information Act. 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 Center

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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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 48 of 133

n. NPPD National Protection and Programs Directorate

o. OGC Office of the General Counsel

p. OHA Office of Health Affairs

q. OIG

Office of Inspector General

r. OLA Office of Legislative Affairs

s. OPA Office of Public Affairs

t. OPS

Office of Operations Coordination and Planning

u. PLCY Office of Policy

v. PRIV Privacy Office

w. S&T Science and Technology Directorate

x. TSA

Transportation Security Administration

y. USCG United States Coast Guard

z. USCIS United States Citizenship and Immigration Services

aa. USSS United States Secret Service

bb. US-VISIT United States Visitor and Immigrant Status Indicator Technology

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 requests 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.

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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.*
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 where an agency determines that it must search beyond its Privacy Act “systems of records” or where 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 DHS’s Privacy Act “mixed systems of records” as if they are subject to the Privacy Act’s 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.
* Pursuant to 5 U.S.C. § 552(b)(3) as amended by sec. 564 of Public Law 111-83, a statute enacted after October 28, 2009, can qualify as an Exemption 3 law only if it cites specifically to 5 U.S.C. § 552(b)(3).
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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 50 of 133
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.
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 which reasonably describes such records and is made in accordance with published rules stating the time, place, fees (if any) and procedures to be followed.
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
Page ix


Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 51 of 133 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 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
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IV. Exemption 3 Statutes

Statute
6 U.S.C. § 133(a)(1)
8 U.S.C. § 1202(f) (Immigration and Nationality Act)
10 U.S.C. § 130b

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 the issuance or refusal of visas to enter the United States

Medina-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); Judicial Watch, Inc. v. U.S. Dep't of State, 650 F. Supp. 2d 28, 33 (D.D.C. 2009); Smith v. DOJ, No. 81-CV813, 1983 U.S. Dist. LEXIS 10878, at *13-14 (N.D.N.Y. Dec. 13, 1983).

Personally identifiable information pertaining to members of the armed forces assigned to "routinely deployable unit[s]" and certain employees of DOD and DHS

Hiken v. DOD, 521 F. Supp. 2d 1047, 1062 (N.D. Cal. 2007); O'Keefe v. DOD, 463 F. Supp. 2d 317, 325 (E.D.N.Y. 2006); Windel v. United States, No. A02306, 2005 WL 846206, at *2.

Number of Times Relied upon per Component

FEMA

3

OIG

1

USCIS

1

USCG

3

10 U.S.C. § 424

Organization or any function of, and certain information pertaining to, employees of the Defense Intelligence Agency, the National Reconnaissance Office, and the National Geospatial-Intelligence Agency

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).

USCG

2

Mendoza v. DEA, No. 07-5006,

2007 U.S. App. LEXIS 22175

Wiretap requests and the content (D.C. Cir. Sept. 14, 2007) (per

18 U.S.C. §§ 2510-20

of any wire, oral, or electronic curiam); Lam Lek Chong v. DEA, communication obtained through 929 F.2d 729, 733 (D.C. Cir.

USSS

5

wiretaps

1991); Payne v. DOJ, No. 96-

30840, slip op. at 5-6 (5th Cir.

July 11, 1997).

18 U.S.C. 2722(a)

Prohibits the disclosure of personal information from a motor vehicle record

OIG

1

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

Certain records containing identifying information pertaining to children involved in criminal proceedings

Tampico v. EOUSA, No. 04¬2285, slip op. at 8 (D.D.C. Apr. 29, 2005).

ICE

1

Total Number of Times Relied upon
by Agency 4
1
3
2
5 1 1

1




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 53 of 133

Statute 26 U.S.C. §§ 6103, 6105
41 U.S.C. § 253b(m)(1)

Type of Information Withheld

Case Citation

Certain tax return information and certain tax convention information

Church of Scientology v. IRS, 484 U.S. 9, 15 (1987) (26 U.S.C. § 6103); Pac. Fisheries, Inc. v. IRS, No. 09-35618, 2010 WL 3611645, at *2 (9th Cir. September 15, 2010)(unpublished disposition); Tax Analysts v. IRS, 217 F. Supp. 2d 23, 27-29 (D.D.C. 2002) (26 U.S.C. § 6105).

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

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. Dep't 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).

Number of Times Relied upon per Component

USCIS

2,533

FEMA

6

FLETC

2

ICE

7

MGMT

4

NPPD

2

PRIV

2

S&T

3

USCG

2

Total Number of Times Relied upon
by Agency 2,533
28

42 U.S.C. § 262a

Enhanced control of dangerous biological agents and toxins/bioterrorism information

S&T

1

46 U.S.C. § 70103(d)

Facility security plans, vessel security plans, and port vulnerability assessments

PLCY

1

CBP

775

Information obtained or developed in carrying out

Tooley v. Bush, No. 06-306, 2006 WL 3783142, at *19 (D.D.C. Dec.

ICE

401

49 U.S.C. § 114(s)

security under the authority of 21, 2006), aff’d on other grounds, the Aviation and Transportation 586 F. 3d 1006 (D.C. Cir. 2009;

PRIV

6

Security Act or under chapter 449 of this title

Gordon v. FBI, 390 F. Supp. 2d 897, 900 (N.D. Cal. 2004).

TSA

101

USCG

4

50 U.S.C. § 403g

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”

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).

USCG USSS

3 3

1 1 1,287
6

2




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 54 of 133

Statute

Type of Information Withheld

Case Citation

Fed. R. Crim. P. 6(e), enacted by Act of July 30, 1977, Pub. L. No. 95-78, 91 Stat.319

Certain records pertaining to grand jury proceedings

Sussman v. USMS, 494 F.3d 1106, 1113 (D.C. Cir. 2007); Fund for Constitutional Gov't v. Nat'l Archives & Records Serv., 656 F.2d 856, 867-68 (D.C. Cir. 1981); Durham v. U.S. Atty. Gen., No. 06-843, 2008 WL 620744, at *2 (E.D. Tex. Mar. 3, 2008); Cozen O'Connor v. U.S. Dep't of Treasury, 570 F. Supp. 2d 749, 776 (E.D. Pa. 2008).

Number of Times Relied upon per Component

Total Number of Times Relied upon
by Agency

ICE

2

USCIS

2

11

USSS

7

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

Component†
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Requests Pending as of Start of
Fiscal Year 5,040** 6 547** 5 23**
50 12** 100**
5 9 0 0** 37** 1 661 471** 43,568** 608** 51,143**

Number of Requests Received in Fiscal Year
33,243 84 761 109 96
24,073 124 7,105 19 180 60 26 730 36 861 3,700
117,787 1,595
190,589

Number of Requests Processed in Fiscal Year
26,571 87 952 102 115
21,220 116 4,891 17 166 60 26 709 37 949 3,256
145,278 1,343
205,895

Number of Requests Pending as of End of
Fiscal Year 11,712 3 356 12 4 2,903 20 2,314 7 23 0 0 58 0 573 915 16,077 860
35,837

† The following information is important to interpret the FOIA request data presented in this Annual Report: 1) PRIV processes and reports on FOIA requests for itself, the Office of the Secretary (including the Military Advisor’s Office and the Office of Intergovernmental Affairs), and the following components: CISOMB, DNDO, ESEC, OHA, OLA, and OPA; 2) MGMT processed and reported on FOIA requests for itself and for CFO through September 30, 2012; 3) NPPD processes and reports on FOIA requests for itself, US-VISIT and for NCSC. Readers of the Annual Report should consider the contents of this footer to apply, as appropriate, to all tables in the report. ** Corrected number due to component reporting error in FY 2011.

3




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 55 of 133

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

No. of Component Full
Grants

CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

2,152 8
152 22 10 326 30 33 4 13 3 3 20 4 97 2,257 16,555 26
21,715

No. of Partial Grants/ Partial Denials
10,530

No. of Full Denials Based on
Exemptions
53

No Records
6,282

25

0

45

296

18

109

28

5

17

32

1

44

15,978

741

945

51

2

13

4,652

9

67

1

0

3

93

15

25

22

0

29

1

4

11

98

12

54

17

0

5

166

33

223

260

92

438

86,270

102

12,536

199

10

762

Number of Full Denials Based on Reasons Other than Exemptions

All Records Referred

Request Withdrawn

FeeRelated Reason

Not Improper Reasonably FOIA Described Request

Not Agency Record

Duplicate Request

1,231 4,541

44

5

325

1,117

200

3

3

0

1

0

0

2

20

16

0

3

3

1

11

5

1

0

3

9

7

1

6

3

2

1

9

0

3

2,596

63

15

16

360

17

84

9

1

3

2

2

0

2

15

36

3

1

61

5

4

5

0

0

1

3

0

0

1

2

0

0

10

3

0

4

1

0

0

1

0

0

4

3

0

0

0

0

0

157

12

8

185

102

12

26

7

0

1

2

0

0

1

33

50

5

80

124

17

14

39

103

6

4

4

0

43

3,146

157

162

2

14,574 4,234 7,517

7

35

1

0

3

35

19

118,719 1,097 21,608 7,288 5,027

250

306

15,590 5,448 7,927

Other Total

91 26,571

0

87

323

952

4

102

4

115

79 21,220

1

116

5

4,891

0

17

4

166

0

60

0

26

23

709

0

37

107

949

10 3,256

23 145,278

246 1,343

920 205,895

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

Coordinated by Another Office

49

CBP

Records Publicly Available

36

91

Unable to Locate Requester

6

CRCL

N/A

0

0

FEMA

Nonresponsive to Requests for Additional Information

323

323

Coordinated by Another Office

1

FLETC

4

Glomar Response

3

Aggregated

1

I&A

4

Records Publicly Available

3

4




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 56 of 133

Component ICE
MGMT NPPD OGC OIG OPS PLCY
PRIV
S&T
TSA
USCG USCIS

Description Fugitive Litigation
Records Publicly Available
Glomar Response Records Publicly Available
N/A
Coordinated by Another Processing Office Records Publicly Available Unable to Locate Requester
N/A
N/A
Aggregated Litigation Records Publicly Available Sent in Error
N/A
Glomar Response Nonresponsive to Requests for Additional
Information Records Publicly Available
Nonresponsive to Requests for Additional Information
Unable to Locate Records

No. of Times Used 75 4 1 3 2
0 1 1 2 0 0 2 3 17 1
0
43 61 3
10
23

Total 79 1 5 0 4 0 0
23
0
107
10 23

5




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 57 of 133

Component USSS

Description
Coordinated by Another Office Nonresponsive to Requests for Additional
Information
Not Subject to FOIA Records Referred Not Responsive
Sent in Error Statute of Limitation Passed Unable to Locate Requester

No. of Times Used 1 184
1 16 16 22 6

Total 246

AGENCY OVERALL

920

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

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Ex. 1 1

Ex. 2 245

Ex. 3 775

Ex. 4 87

Ex. 5

Ex. 6

Ex. 7(A)

88 10,270 78

0

0

0

0

14

25

0

0

24

9

136

57

252

2

0

0

2

7

1

19

1

7

0

0

0

2

25

3

1

34

411

31

2,750 13,602 81

0

0

4

26

5

34

0

0

1

2

28

11

219

7

0

0

0

0

0

1

0

1

4

2

4

29

94

29

0

0

0

1

0

95

0

1

0

1

0

3

1

0

2

3

8

13

43

96

0

0

0

4

5

4

18

0

1

62

101

21

42

157

1

5

0

14

13

74

228

100

0

101 2,536 186 50,977 55,638 20

1

6

15

1

21

159

6

20

480 3,884 559 54,121 80,933 328

Ex.

Ex.

Ex.

Ex.

Ex.

7(B) 7(C) 7(D) 7(E) 7(F)

0

10,342 22 10,259

0

0

3

0

0

0

0

10

1

1

0

0

4

0

3

1

2

6

6

31

1

1,031 13,464 33 14,013 86

0

3

0

8

0

0

3,874

0

4,150

6

0

0

0

0

0

0

76

7

11

1

0

88

0

8

1

0

0

0

0

0

0

26

0

21

8

0

4

0

5

0

12

32

0

19

1

0

73

3

7

1

0

71,431

3

65,318

0

0

161

16

131

2

1,045 99,597 91 93,985 108

Ex. 8
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0

Ex. 9
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0

VI. Administrative Appeals of Initial Determinations of FOIA Requests A. Received, Processed, and Pending Administrative Appeals

Component CBP
FLETC ICE

No. of Appeals Pending as of Start of Fiscal Year 18
0
40

No. of Appeals Received in Fiscal Year 474
1
288

No. of Appeals Processed in Fiscal Year 476
1
303

No. of Appeals Pending as of End of Fiscal Year 16
0
25

6




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 58 of 133

OGC‡

150**

113

161

102

OIG

14

19

19

14

TSA

4

32

25

11

USCG

49

35

51

33

USCIS

186**

1,349

1,431

104

USSS

0

34

23

11

AGENCY OVERALL

461**

2,345

2,490

316

B. Disposition of Administrative Appeals – All Processed Appeals

Component

Number Affirmed on Appeal

CBP

118

FLETC

1

ICE

168

OGC

72

OIG

8

TSA

13

USCG

29

USCIS

501

USSS

1

AGENCY OVERALL

911

Number Partially Affirmed & Partially Reversed/Remanded
on Appeal 120 0 63 17 2 2 0 605 1
810

Number Completely Reversed/Remanded
on Appeal
111 0 0 27 1 6 12 231 2
390

Number of Appeals Closed for Other Reasons
127 0 72 45 8 4 10 94 19
379

Total
476 1 303 161 19 25 51 1,431 23 2,490

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

Component CBP

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

0

11

24

8

11

242

7

0

232

1

239

8

0

0

FLETC

0

0

0

0

0

0

0

0

0

0

1

1

0

0

ICE

0

0

0

2

4

48

6

2

45

0

35

0

0

0

OGC

1

1

1

2

10

10

1

0

26

0

24

2

0

0

OIG

0

1

0

0

1

6

1

0

5

0

0

0

0

0

TSA

0

2

1

0

0

1

0

0

0

0

0

0

0

0

USCG

0

1

1

0

26

9

14

0

2

0

0

0

0

0

USCIS

0

0

31

2

608 592

0

0

756

0

692

2

0

0

USSS

0

0

0

0

0

1

1

0

1

0

0

0

0

0

AGENCY OVERALL 1

16

58

14

660 909

30

2

1,067

1

991

13

0

0

‡ OGC processes FOIA appeals for: CRCL, FEMA, I&A, MGMT, NPPD, OHA, OPS, PLCY, PRIV, S&T and USVISIT.
 ** Corrected number due to component reporting error in FY 2011.

7

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 59 of 133

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

Component

Records Referred at No Records Initial
Request Level

Request Withdrawn

CBP

51

8

3

FLETC

0

0

0

ICE

0

0

4

OGC

21

1

13

OIG

0

0

0

TSA

2

0

0

USCG

8

0

1

USCIS

0

0

0

USSS

3

0

0

AGENCY OVERALL

85

9

21

FeeRelated Reason
13 0 0 5 0 0 1 0 0
19

Records not Reasonably Described

Improper Request for
Other Reasons

Not Agency Record

Duplicate Request or
Appeal

Request in Litigation

Appeal Based Solely on Denial for Expedited Processing

Other *Explain in chart
below

0

20

0

12

1

0

19

0

0

0

0

0

0

0

0

58

0

1

2

0

7

2

2

0

2

8

0

23

0

0

0

0

0

3

5

0

4

0

0

0

0

3

0

0

0

0

0

0

0

0

72

0

22

0

0

0

0

0

0

0

1

15

0

2

156

0

37

12

18

57

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

Component CBP

Description Constructive Denial
Moot

No. of Times Used 18 1

Total 19

FLETC ICE

N/A Moot

0

0

7

7

OGC

Adequacy of Search Constructive Denial Coordinated by Another Processing Office Need Additional Information to Process Appeal Vaughn Index Not Provided by FOIA Office

13

3

2

23

4

1

Moot

2

OIG

5

Not an Appeal

3

Constructive Denial

1

TSA

3

Glomar Response

2

USCG

N/A

0

0

USSS

N/A

AGENCY OVERALL

0

0

57

8




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 60 of 133

C. (4) Response Times for Administrative Appeals

Component CBP
FLETC ICE OGC OIG TSA
USCG USCIS USSS AGENCY OVERALL

Median Number of Days 12.5 18 25 230 104 72.5 243 23 26 23

Average Number of Days 17.87 18 28.85 278.81 194.16 73.21 273 24.59 26.83 47.15

Lowest Number of Days 1 18 1 2 7 15 22 1 11 1

Highest Number of Days 208 18 86 1,299 903 168 639 123 76 1,299

C. (5) Ten Oldest Pending Administrative Appeals

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal

Date of Receipt

2012-09-18 2012-09-18 2012-09-14 2012-09-12 2012-09-10 2012-09-10 2012-09-10 2012-09-10 2012-09-10 2012-09-06

CBP

Number of Days Pending

9

9

10

13

15

15

15

15

15

17

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

FLETC

Number of Days Pending

0

0

0

0

0

0

0

0

0

0

Date of Receipt

2012-09-28 2012-09-15 2012-09-12 2012-09-12 2012-09-11 2012-09-10 2012-09-07 2012-09-06 2012-09-04 2012-09-04

ICE

Number of Days Pending

1

10

13

13

14

15

16

17

19

19

OGC OIG TSA USCG

Date of Receipt

2010-08-27 2010-08-20 2010-08-10 2008-11-13 2008-03-04 2008-02-26 2007-08-10 2007-05-21 2007-05-01 2006-09-20

Number of Days Pending

528

533

541

972

1,149

1,154

1,288

1,345

1,359

1,511

Date of Receipt

2012-07-05 2012-07-03 2012-06-28 2012-06-14 2012-05-24 2011-03-09 2010-11-10 2010-09-15 2009-01-14 2008-11-14

Number of Days Pending

61

62

65

75

89

398

477

516

931

971

Date of Receipt

2012-09-06 2012-08-07 2012-07-25 2012-07-18 2012-03-27 2012-03-15 2012-02-02 2012-01-30 2012-01-25 2012-01-04

Number of Days Pending

17

38

47

52

131

139

168

171

174

188

Date of Receipt

2010-09-17 2010-06-30 2010-06-18 2010-06-10 2010-06-09 2010-05-10 2010-01-25 2009-12-01 2009-11-16 2009-03-10

Number of Days Pending

514

569

577

583

584

605

675

711

721

895

USCIS

Date of Receipt

2012-09-11 2012-09-10 2012-09-04 2012-09-04 2012-08-30 2012-08-29 2012-08-29 2012-08-29 2012-08-29 2012-08-29

Number of Days Pending

14

15

19

19

21

22

22

22

22

22

9




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 61 of 133

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal

USSS

Date of Receipt

2012-09-27 2012-09-24 2012-09-24 2012-09-24 2012-09-24 2012-09-24 2012-09-24 2012-09-24 2012-09-24 2012-09-05

Number of Days Pending

2

5

5

5

5

5

5

5

5

18

AGENCY

Date of Receipt

2009-03-10 2009-01-14 2008-11-14 2008-11-13 2008-03-04 2008-02-26 2007-08-10 2007-05-21 2007-05-01 2006-09-20

OVERALL

Number of Days Pending

895

931

971

972

1,149

1,154

1,288

1,345

1,359

1,511

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

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Median No. of Days
118 6 146 6 8 19 9.5 33 4.5 12 2 2 7 12 7 7 103 19
44

Simple

Average No. of Days

Lowest No. of Days

106.83

1

5.86

2

247.98

1

15.29

1

9

6

24.34

1

13.67

1

27.37

1

4.8

2

14.78

2

2.5

1

4.8

1

9.6

1

11

1

8.56

1

10.09

1

86.41

1

17.75

3

72

1

Highest No. of Days
462 16 1,780 194 14 180 40 159 9 55 7 12 53 50 20 494 480 20

Median No. of Days 87.5
13 86 N/A 23 26 30 61 21 39 6.5 10 55 58 158 39 101 44

1,780

98

Complex

Average No. of Days

Lowest No. of Days

84.25

1

23.54

3

359.38

1

N/A

N/A

60.82

1

42.83

1

35.61

1

100.35

1

129

2

51.87

11

8.77

3

12.1

1

70.18

7

81

35

200.79

21

65.31

3

98.5

1

129.87

21

98.60

1

Highest No. of Days
324 132 1,075 N/A 348 373 162 387 380 211 33 37 412 228 773 491 579 1,648
1,648

Median No. of Days
1 4 8 N/A N/A 8 50 39 N/A 35 N/A N/A 189 N/A N/A N/A 23 235.5
22

Expedited

Average No. of Days

Lowest No. of Days

1

1

4

4

8

8

N/A

N/A

N/A

N/A

12.29

8

50

30

39

39

N/A

N/A

35

35

N/A

N/A

N/A

N/A

189

189

N/A

N/A

N/A

N/A

N/A

N/A

49.64

3

324.5

14

59.67

1

Highest No. of Days
1 4 8 N/A N/A 23 70 39 N/A 35 N/A N/A 189 N/A N/A N/A 285 813
813

B. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT

Median No. of Days
101 2.5 151 9 N/A 24 7.5

Simple

Average No. of Days

Lowest No. of Days

88.69

1

2.75

2

236.13

0

23.9

1

N/A

N/A

28.2

1

10.79

1

Highest No. of Days
462 4
1780 194 N/A 181 33

Median No. of Days
104 15 86 N/A 48 38 30

Complex

Average No. of Days

Lowest No. of Days

91.63

1

28.67

3

319.03

1

N/A

N/A

101.93

1

52.37

1

38

1

Expedited

Highest No. Median No. Average No. Lowest No. of Days of Days of Days of Days

324

1

1

1

132

4

4

4

1280

0

0

0

N/A

N/A

N/A

N/A

348

N/A

N/A

N/A

373

8

12.29

8

162

50

50

30

Highest No. of Days
1 4 0 N/A N/A 23 70

10




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 62 of 133

Component
NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Median No. of Days
24 7 12.5 1 N/A 11 14 9 7 129 15
46

Simple

Average No. of Days

Lowest No. of Days

31.02

1

7

7

16.63

2

1.5

1

N/A

N/A

16.82

1

15

1

10.2

1

10.31

1

105.86

1

12.86

3

71.72

1

Highest No. of Days
159 7 55 3
N/A 36 50 18 494 390 19

Median No. of Days
103 5 40 8 16 67 58
245.5 37 126
112.5

1,780

125

Complex

Average No. of Days

Lowest No. of Days

124.15

3

58.8

2

54.15

12

11.5

3

18

8

81.53

8

81

35

261.9

21

65.34

9

118.96

1

224.9

21

Expedited

Highest No. Median No. Average No. Lowest No. of Days of Days of Days of Days

309

N/A

N/A

N/A

223

N/A

N/A

N/A

211

35

35

35

33

N/A

N/A

N/A

37

N/A

N/A

N/A

412

189

189

189

228

N/A

N/A

N/A

707

N/A

N/A

N/A

491

N/A

N/A

N/A

579

23

46.87

4

1648

235.5

324.5

14

Highest No. of Days N/A N/A
35 N/A N/A 189 N/A N/A N/A 285 813

118.41

1

1,648

22

58.57

1

813

C. Processed Requests – Response Time in Day Increments

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS
USSS AGENCY OVERALL

1-20 Days
3,993 49 56 36 4
10,397 19
1,947 6 72 24 5 239 26
297 2,625 7,151
136

21-40 Days
2,157 0 70 6 0
5,353 5
1,682 0 9 0 0 25 2 0 106
1,231
0

41-60 Days
1,052 0 84 1 0
2,947 0
1,065 0 7 0 0 1 1 0 30
1,216
0

27,082 10,646 6,404

61-80 Days
1,122 0 58 1 0
511 0 29 0 0 0 0 0 0 0 4 1,210
0
2,935

(1) Simple Requests

81100 Days
1,454

101120 Days
3,472

121140 Days
3,895

0

0

0

30

27

43

1

0

0

0

0

0

198

64

25

0

0

0

7

5

1

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

6

2

5

803 1,202 4,038

0

0

0

2,499 4,772 8,007

141160 Days 2,628
0 32 0 0 18 0 2 0 0 0 0 0 0 0 2 5,974
0
8,656

161180 Days 2,276
0 21 0 0 8 0 0 0 0 0 0 0 0 0 5 352
0
2,662

181200 Days 1,439
0 16 3 0 0 0 0 0 0 0 0 0 0 0 0 164
0
1,622

201300 Days 1,834
0 71 0 0 0 0 0 0 0 0 0 0 0 0 3 377
0
2,285

301400 Days 20
0 62 0 0 0 0 0 0 0 0 0 0 0 0 1 40
0
123

401+ Days
1 0 190 0 0 0 0 0 0 0 0 0 0 0 0 1 547
0

Total
25,343 49 760 48 4
19,521 24
4,738 6 88 24 5 265 29 297
2,790 24,305
136

739 78,432

Component
CBP CRCL

1-20 Days
190 29

21-40 41-60 61-80 Days Days Days

128

75

51

2

9

1

(2) Complex Requests

81-100 Days

101120 Days

121140 Days

37

129 139

0

0

1

141160 Days
52
0

161180 Days
43
0

181200 Days

201300 Days

301400 Day
s

401+ Days

39

24

1

0

0

0

0

0

Total
908 42

11




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 63 of 133

FEMA FLETC
I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

8

13

24

21

39

5

2

0

0

0

4

1

75

192

0

0

0

0

0

0

0

0

0

0

0

0

0

0

43

28

0

3

0

5

4

3

3

0

7

3

0

99

659

429 212

115

93

75

30

20

23

22

12

2

0

1,692

15

44

17

2

3

1

0

0

1

0

0

0

0

83

34

20

18

20

8

12

10

6

5

4

26

2

0

165

5

1

0

0

0

0

0

0

0

0

1

3

0

10

9

27

11

7

4

5

3

0

0

0

1

0

0

67

28

2

0

0

0

0

0

0

0

0

0

0

0

30

17

4

0

0

0

0

0

0

0

0

0

0

0

21

28

34

19

20

12

7

6

7

11

2

1

0

1

148

0

1

3

2

0

0

0

0

0

0

1

0

0

7

0

153

53

38

26

30

35

20

22

32

109 88 100

706

15

221

65

53

24

20

14

13

9

10

10

5

2

461

20,603 3,681 4,849 10,461 10,953 7,449 9,411 14,459 15,121 1,761 2,254 68 4,986 106,056

0

519 208

120

65

22

14

15

7

20

36

23

75

1,124

21,683 5,307 5,563 10,914 11,264 7,760 9,669 14,595 15,245 1,890 2,486 196 5,239 111,811

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

1-20 Days
5 1 1 0 0 5 0 0 0 0 0 0 0 0 0 0 29 1
42

21-40 Days
0 0 0 0 0 2 1 1 0 1 0 0 0 0 0 0 2 0

41-60 Days
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

(3) Requests Granted Expedited Processing

61-80 Days

81100 Days

101120 Days

121140 Days

141160 Days

161180 Days

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

1

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

2

0

0

0

0

0

0

0

0

0

1

0

7

0

3

0

0

0

1

0

181200 Days
0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0
1

201300 Days
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0

301400 Days
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1
1

401+ Days
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1
1

Total
5 1 1 0 0 7 2 1 0 1 0 0 1 0 0 0 33 4
56

D. Pending Requests – All Pending Perfected Requests

Component
CBP CRCL

Number Pending 11,628
0

Simple Median No.
of Days 84
N/A

Average No. of Days
92.08
N/A

Number Pending
84
3

Complex Median No.
of Days 61
21

Average No. of Days 59.62
20

Number Pending
0
0

Expedited Median No.
of Days N/A
N/A

Average No. of Days N/A
N/A

12




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 64 of 133

Component
FEMA FLETC
I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

Number Pending
149 12 0 2783 0 2265 0 2 0 0 10 0 20 109 942 94 7
18,021

Simple Median No.
of Days 237 12.5 N/A 32 N/A 23 N/A 8 N/A N/A 5 N/A 11.5 7 27 11 14

Average No. of Days
320.97 14.25 N/A
31 N/A 24.69 N/A
8 N/A N/A 5.1 N/A 11 10.08 46 11.87 40.00

45

72.49

Number Pending
117 0 4 120 20 49 7 21 0 0 41 0 542 799 14,734 774 0
16,918

Complex Median No.
of Days 63 N/A 37 29 44.5 45 212 40 N/A N/A 15 N/A
212.5 175 34 170 N/A

Average No. of Days 129.62 N/A 49.75 75 54.05 44.37 138.57 66.05 N/A N/A 28.2 N/A 269.17 228.5 40 308.66 N/A

37

69.44

Number Pending
0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 1 0
2

Expedited Median No.
of Days N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A 604 N/A N/A 397 N/A
501

Average No. of Days N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A 604 N/A N/A 397 N/A
500.50

E. Pending Requests – Ten Oldest Pending Perfected Requests

Component

Sub-Row Heading

Date of Receipt CBP Number of Days
Pending

CRCL

Date of Receipt
Number of Days Pending

FEMA

Date of Receipt
Number of Days Pending

FLETC

Date of Receipt
Number of Days Pending

Date of Receipt I&A Number of Days
Pending

Date of Receipt ICE Number of Days
Pending

MGMT

Date of Receipt
Number of Days Pending

10th

9th

8th

2011-10-06 2011-10-06 2011-05-27

248

248

341

N/A

N/A

N/A

0

0

0

2010-02-03 2010-01-26 2010-01-20

668

674

678

2012-09-25 2012-09-21 2012-09-17

4

6

10

N/A

N/A

N/A

0

0

0

2011-11-30 2011-11-29 2011-11-28

212

213

214

2012-08-06 2012-07-25 2012-07-23

39

47

49

7th

6th

5th

4th

3rd

2nd

2011-05-26 2011-05-26 2011-05-26 2011-05-26 2011-05-25 2011-05-25

342

342

342

342

343

343

N/A

N/A

N/A

N/A 2012-09-26 2012-09-18

0

0

0

0

3

9

2010-01-08 2009-11-27 2009-11-12 2009-10-21 2009-10-05 2009-03-06

685

713

723

738

749

897

2012-09-12 2012-09-11 2012-09-06 2012-09-06 2012-09-06 2012-08-15

13

14

17

17

17

32

N/A

N/A

N/A 2012-09-13 2012-08-07 2012-07-24

0

0

0

12

38

48

2011-11-28 2011-11-28 2011-10-06 2011-10-05 2011-10-05 2011-07-25

214

214

248

249

249

301

2012-07-16 2012-07-07 2012-06-01 2012-05-31 2012-05-07 2012-04-27

54

59

78

85

102

108

Oldest Request 2011-05-25
343 2012-09-13
12 2007-09-07
1,269 2012-07-26
46 2012-04-24
111 2010-11-22
470 2012-04-12
119

NPPD

Date of Receipt 2012-07-09 2012-06-27 2012-05-23 2012-05-22 2012-05-21 2012-05-07 2012-05-07 2012-05-07 2012-04-25 2012-04-12

Number of Days Pending

59

66

90

91

92

102

102

102

110

119

Date of Receipt

N/A

N/A

N/A 2012-09-25 2012-09-05 2012-05-09 2011-11-30 2011-11-30 2011-11-30 2011-11-30

OGC

Number of Days Pending

0

0

0

4

18

100

212

212

212

212

13




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 65 of 133

Component

Sub-Row Heading

Date of Receipt OIG Number of Days
Pending

Date of Receipt OPS Number of Days
Pending

PLCY

Date of Receipt
Number of Days Pending

Date of Receipt

10th

9th

8th

2012-07-16 2012-05-21 2012-04-24

54

92

111

N/A

N/A

N/A

0

0

0

N/A

N/A

N/A

0

0

0

2012-08-22 2012-08-21 2012-08-21

7th

6th

5th

4th

3rd

2nd

2012-04-24 2012-04-23 2012-04-16 2012-04-05 2012-03-23 2012-02-07

111

112

117

124

133

165

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

2012-08-21 2012-08-21 2012-08-07 2012-05-18 2012-04-25 2012-03-16

Oldest Request 2011-12-08
206 N/A
0 N/A
0 2011-12-13

PRIV

Number of Days Pending

27

28

28

28

28

38

93

110

138

203

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

S&T Number of Days Pending

0

0

0

0

0

0

0

0

0

Date of Receipt 2009-10-26 2009-09-01 2009-07-06 2009-06-10 2009-01-02 2008-12-18 2008-10-29 2008-06-19 2004-11-01

TSA Number of Days Pending

735

772

813

830

939

948

982

1,073

1,986

USCG

Date of Receipt 2009-12-08 2009-12-01 2009-11-30 2009-11-25 2009-11-23 2009-10-01 2009-09-25 2009-07-22 2009-07-21

Number of Days Pending

706

711

712

714

716

751

755

801

802

USCIS

Date of Receipt 2011-07-07 2011-07-05 2011-06-29 2011-06-17 2011-05-10 2011-05-02 2011-03-09 2011-03-07 2011-03-07

Number of Days Pending

313

315

319

327

354

360

398

400

400

USSS

Date of Receipt 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17

Number of Days Pending

1,493

1,493

1,493

1,493

1,493

1,493

1,493

1,493

1,493

AGENCY Date of Receipt 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2004-11-01

OVERALL Number of Days Pending

1,493

1,493

1,493

1,493

1,493

1,493

1,493

1,493

1,986

N/A 0
2004-10-27 1,989
2009-01-12 933
2011-03-03 402
2006-10-17 1,493
2004-10-27 1,989

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

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG

Number Granted
5 1 1 0 0 7 2 1 0 1 0 0 1 0 3 0

Number Denied
2 0 1 0 0 98 0 0 0 14 0 0 6 0 32 0

Median Number of Days to Adjudicate
1 1 8 N/A N/A 1 1.5 8 N/A 3 N/A N/A 8 N/A 2 N/A

Average Number of Days to Adjudicate
27 1 8 N/A N/A 2.75 1.5 8 N/A 4.73 N/A N/A 8.86 N/A 2.8 N/A

Number Adjudicated within 10 Calendar
Days 6 1 2
N/A N/A 101
2 1 N/A 15 N/A N/A 6 N/A 35 N/A

14




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 66 of 133

Component
USCIS USSS AGENCY OVERALL

Number Granted
33 4 59

Number Denied
901 68 1,122

Median Number of Days to Adjudicate
5 10 4

Average Number of Days to Adjudicate
6.77 10.63 6.63

Number Adjudicated within 10 Calendar
Days 786
36
991

B. Requests for Fee Waiver

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number Granted
12 0 0 0 1 29 5 0 0 0 0 0 4 0 20 0 60 0 131

Number Denied
2 0 1 0 6 63 0 0 0 22 0 0 8 3 52 0 88 0 245

Median Number of Days to Adjudicate 11 N/A 6 N/A 2 2 1 N/A N/A 2 N/A N/A 10.5 7 2 N/A 1 N/A 1

Average Number of Days to Adjudicate 20.79 N/A 6 N/A 2 4.05 1.2 N/A N/A 2.82 N/A N/A 14.92 7 2.8 N/A 1 N/A 3.35

IX. FOIA Personnel and Costs

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS

Number of “Full Time
FOIA Employees”
39 1 9 1 2 29.5 0.75 4 0.5 2 0

Personnel
Number of “Equivalent Full-Time
FOIA Employees”
15.38 0 8 0.3 0 0 0 1 0
1.25 0.33

Total Number of “Full-Time FOIA Staff” (Col. 1 + Col.
2) 54.38
1
17
1.3
2
29.5
0.75
5
0.5
3.25
0.33

Processing Costs
$4,500,687.17 $105,211.00 $4,259,260.51 $128,275.00 $186,000.00 $3,653,919.00 $88,500.00 $433,508.00 $50,000.00 $330,721.33 $38,000.00

Costs
Litigation - Related Costs
$4,393.58 $0.00
$70,120.69 $0.00 $0.00
$1,058,905.00 $0.00
$6,219.32 $150,000.00 $104,336.70
$1,000.00

Total Costs
$4,505,080.75 $105,211.00 $4,329,381.20 $128,275.00 $186,000.00 $4,712,824.00 $88,500.00 $439,727.32 $200,000.00 $435,058.03 $39,000.00

15




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 67 of 133

Component
PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of “Full Time
FOIA Employees”
0 14.5
1 10 11 210 18
353.25

Personnel
Number of “Equivalent Full-Time
FOIA Employees”
0.2 1.25
0 2 7.5 3 4.15
44.36

Total Number of “Full-Time FOIA Staff” (Col. 1 + Col.
2) 0.2
15.75
1
12
18.5
213
22.15
397.61

X. Fees Collected for Processing Requests

Processing Costs
$21,000.00 $2,330,524.70
$77,368.00 $1,078,019.00 $1,313,855.00 $15,993,127.16 $2,160,152.71 $36,748,128.58

Component CBP CRCL FEMA
FLETC I&A ICE
MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Total Amount of Fees Collected $329,416.94 $0.00 $7,331.60 $330.70 $0.00 $2,676.50 $0.00 $25.00 $0.00 $277.90 $0.00 $0.00 $0.00 $900.60 $0.00 $83,336.34 $11,595.23 $0.00 $435,890.81

Costs

Litigation - Related Costs

Total Costs

$0.00 $0.00 $0.00 $29,173.10 $0.00 $368,504.10 $92,221.14
$1,884,873.63

$21,000.00 $2,330,524.70
$77,368.00 $1,107,192.10 $1,313,855.00 $16,361,631.26 $2,252,373.85
$38,633,002.21

Percentage of Total Costs 6.70% 0.00% 0.03% 0.57% 0.12% 0.22% 1.18% 0.00% 0.00% 0.08% 0.00% 0.00% 0.00% 0.00% 0.00% 0.78% 0.07% 0.00% 1.19%

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 CRCL

Number of Backlogged Requests as of the End of Fiscal Year 10,648
0

Number of Backlogged Appeals as of End of Fiscal Year 0
N/A

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Component
FEMA FLETC
I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Backlogged Requests as of the End of Fiscal Year 306 2 3 2,443 13 2,288 5 11 0 0 5 0 542
782 10,727
778 28,553

Number of Backlogged Appeals as of End of Fiscal Year N/A 0 0 0 N/A N/A 99 13 N/A N/A N/A N/A 10
33 10 0 165

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

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD OGC
OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Consultations Received from Other Agencies that Were
Pending at Your Agency as of Start of the Fiscal Year
1 0 2** 0 1** 0 0 0 0 0 0 0 0 0 16 14 0 9 43**

Number of Consultations Received from Other
Agencies During the Fiscal Year
50 4 9 4 24 88 0 0 1 2 5 13 24 6 16 6 75 11
338

Number of Consultations Received from Other Agencies that Were
Processed by Your Agency During the Fiscal Year 46 4 9 4 22 84 0 0 1 2 5 13 21 6 22 14 72 11
336

Number of Consultations Received from Other
Agencies that were Pending at Your Agency as of the End of the Fiscal Year 5 0 2 0 3 4 0 0 0 0 0 0 3 0 10 6 3 9
45

** Corrected number due to component reporting error in FY 2011.
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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 69 of 133

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

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Request

Date of Receipt

N/A

N/A

N/A

N/A

N/A 2012-07-19 2012-06-28 2012-05-31 2012-04-10 2012-04-09

CBP Number of Days Pending

0

0

0

0

0

51

65

85

121

122

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

CRCL

Number of Days Pending

0

0

0

0

0

0

0

0

0

0

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A 2011-08-23 2011-03-27

FEMA Number of Days Pending

0

0

0

0

0

0

0

0

280

385

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

FLETC Number of Days Pending

0

0

0

0

0

0

0

0

0

0

I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA

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 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

N/A 0
N/A 0
N/A 0
N/A 0
N/A 0
N/A 0
N/A 0
N/A 0
N/A 0
N/A 0
2012-07-23 49

N/A

N/A

N/A

N/A

N/A

N/A 2012-09-18 2012-08-29 2012-04-03

0

0

0

0

0

0

9

22

126

N/A

N/A

N/A

N/A

N/A 2012-09-07 2012-07-30 2012-07-19 2012-05-04

0

0

0

0

0

16

44

51

103

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A 2012-09-26 2012-08-16 2011-11-20

0

0

0

0

0

0

3

31

218

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

2012-04-10 2012-03-30 2011-09-16 2011-09-16 2011-09-15 2011-04-20 2010-10-28 2010-09-03 2010-06-15

121

128

262

262

263

368

486

523

580

Date of Receipt

N/A

USCG

Number of Days Pending

0

Date of Receipt

N/A

USCIS Number of Days Pending

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A 2012-06-06 2012-05-03 2012-01-26 2011-05-05 2011-03-21 2010-10-05

0

81

104

173

357

390

502

N/A

N/A

N/A

N/A 2012-09-26 2012-09-24 2012-08-24

0

0

0

0

3

5

25

18




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 70 of 133

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Request

USSS

Date of Receipt
Number of Days Pending

AGENCY Date of Receipt OVERALL Number of Days
Pending

N/A
0 2011-05-05
357

2012-02-08 2012-02-08

164

164

2011-03-27 2011-03-21

385

390

2012-01-13
181 2010-10-28
486

2012-01-13 2011-09-21 2011-05-10 2010-10-08 2010-10-08 2010-10-08

181

259

354

499

499

499

2010-10-08 2010-10-08 2010-10-08 2010-10-05 2010-09-03 2010-06-15

499

499

499

502

523

580

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

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Requests Received

Received During Fiscal Year from Last Year's
Annual Report

Received During Fiscal Year from Current Annual
Report

32,107

33,243

73

84

820

761

134

109

71

96

16,502

24,073

180

124

2,886**

7,105

43

19

175

180

37

60

26

26

1,317

730

33

36

926

861

3,882

3,700

115,545

117,787

897

1,595

175,654**

190,589

Number of Requests Processed

Processed During Fiscal Year from Last Year's
Annual Report

Processed During Fiscal Year from Current Annual
Report

27,818

26,571

74

87

1,100**

952

141

102

54

115

16,488

21,220

182

116

2,951

4,891

58

17

170

166

37

60

24

26

1,327

709

33

37

694

949

3,708

3,256

89,835

145,278

898

1,343

145,592**

205,895

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

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD

Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual Report
4,356 6
485 5
22** 18 3 65**

Number of Backlogged Requests as of End of the Fiscal Year from Current Annual Report
10,648 0
306 2 3
2,443 13
2,288

** Corrected number due to components reporting error in FY 2011.

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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 71 of 133

Component
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual Report
5 0 0 0 4 0 580 471** 35,780 571** 42,371**

Number of Backlogged Requests as of End of the Fiscal Year from Current Annual Report
5 11 0 0 5 0 542 782 10,727 778
28,553

E. (1) Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged

Component
CBP FLETC
ICE OGC OIG TSA USCG USCIS USSS AGENCY OVERALL

Number of Appeals Received

Received During Fiscal Year from Last Year's
Annual Report

Received During Fiscal Year from Current Annual
Report

338

474

1

1

245

288

114

113

12

19

41

32

44

35

1,079

1,349

43

34

1,917

2,345

Number of Appeals Processed

Processed During Fiscal Year from Last Year's
Annual Report

Processed During Fiscal Year from Current Annual
Report

343

476

1

1

230

303

164

161

14

19

46

25

41

51

1,049

1,431

45

23

1,933

2,490

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

Component
CBP FLETC
ICE OGC OIG TSA USCG USCIS USSS AGENCY OVERALL

Number of Backlogged Appeals as of End of the Fiscal Year from Previous Annual Report 0 0 18 141 12 2 49 105 0
327

Number of Backlogged Appeals as of End of the Fiscal Year from Current Annual Report 0 0 0 99 13 10 33 10 0
165

20




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 72 of 133
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 Privacy Office (PRIV) works to preserve and enhance privacy protections for all individuals and to promote transparency of Department operations.
The Office for Civil Rights and Civil Liberties (CRCL) provides legal and policy advice to Department leadership on civil rights and civil liberties issues, investigates and resolves complaints, and provides leadership to Equal Employment Opportunity Programs.
The Office of Inspector General (OIG) is responsible for conducting and supervising audits, investigations, and inspections relating to the programs and operations of the Department, and recommends ways for the Department to carry out its responsibilities in the most effective, efficient, and economical manner possible.
The Citizenship and Immigration Services Ombudsman (CISOMB) provides recommendations for resolving individual and employer problems with the United States Citizenship and Immigration Services in order to ensure national security and the integrity of the legal immigration system.
The Office of Legislative Affairs (OLA) serves as primary liaison to members of Congress and their staffs.
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 Public Affairs (OPA) coordinates the public affairs activities of all of the Department’s components and offices.
The Office of the Executive Secretariat (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 Military Advisor's Office advises on facilitating, coordinating, and executing policy, procedures, preparedness activities, and operations between the Department and the Department of Defense.
21

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 73 of 133

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.
Department Components and Directorates:
The Directorate for National Protection and Programs (NPPD) leads the national effort to protect and enhance the resilience of the Nation’s physical and cyber infrastructure.
The Directorate for Science and Technology (S&T) strengthens America’s security and resiliency by providing knowledge products and innovative technology solutions for the Homeland Security Enterprise.
The Directorate for Management (MGMT) is responsible for Department budgets and appropriations, expenditure of funds, accounting and finance, procurement, human resources, information technology systems, facilities and equipment, and the identification and tracking of performance measurements.
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 Office of Health Affairs (OHA) coordinates all medical activities of the Department of Homeland Security to ensure appropriate preparation for and response to incidents having medical significance.
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.
The Office of Operations Coordination and Planning (OPS) provides Departmental Leadership situational awareness, promotes information sharing, integrates and synchronizes strategic operations and planning, and administers the DHS continuity program.
The Federal Law Enforcement Training Center (FLETC) provides career-long training to law enforcement professionals to help them fulfill their responsibilities safely and proficiently.
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 Transportation Security Administration (TSA) protects the nation's transportation systems to ensure secure freedom of movement for people and commerce.

22




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 74 of 133
United States 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, including immigration and drug laws.
United States Citizenship and Immigration Services (USCIS) grants immigration and citizenship benefits, promotes awareness and understanding of citizenship, and ensures the integrity of our immigration system.
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 United States Coast Guard (USCG) is one of the five armed forces of the United States and the only military organization within the Department of Homeland Security. The Coast Guard protects the maritime economy and the environment, defends our maritime borders, and saves those in peril.
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 United States Secret Service (USSS) safeguards the nation's 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.

23




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 75 of 133
APPENDIX B: Organization of the Department of Homeland Security Chart
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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 76 of 133

APPENDIX C: Names, Addresses, and Contact Information for DHS FOIA Officers

Department of Homeland Security Chief FOIA Officer

Jonathan R. Cantor Acting Chief FOIA Officer Privacy Office U.S. Department of Homeland Security 245 Murray Drive, SW, Mail Stop 0655 Washington, DC 20528-0655

Delores J. Barber Deputy Chief FOIA Officer Privacy Office U.S. Department of Homeland Security 245 Murray Drive, SW, Mail Stop 0655 Washington, DC 20528-0655

Department of Homeland Security Component FOIA Officers

Privacy Office James V.M.L. Holzer, I Senior Director, FOIA Operations Ph: 202-343-1743; Fax: 202-343-4011 U.S. Department of Homeland Security 245 Murray Drive, 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 Drive, SW, Mail Stop 0655 Washington, DC 20528-0655

Privacy Office Sabrina Burroughs Director, Disclosure Policy and FOIA Program Development Ph: 202-343-1743; Fax: 202-343-4011 U.S. Department of Homeland Security 245 Murray Drive, 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) 2100 2nd St., S.W. Washington, DC 20593-0001

U.S. Citizenship and Immigration Services Jill Eggleston Ph: 816-350-5521; Fax: 816-350-5785 National Records Center, FOIA/PA Office P. O. Box 648010 Lee's Summit, MO 64064-8010

U.S. Customs and Border Protection Jacky J. Saint Juste, Acting Ph: 202-325-0150; Fax: 202-325-0230 FOIA Division 90 K Street NE, 9th Floor Washington, DC 20229-1181

Office for Civil Rights and Civil Liberties Fernando Pineiro, Jr. Ph: 202-357-7672; 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

Federal Emergency Management Agency Monique Booker-Kasper, Acting Ph: 202-646-3323; Fax: 202-646-3347 Disclosure Branch 1800 South Bell Street, Fourth Floor, Mail Stop 3005 Arlington, Virginia 20598-3005

25




Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 77 of 133

Federal Law Enforcement Training Center William Dooley Ph: 912-267-4512; Fax: 912-267-3113 Building No.681, Suite 187B Glynco, GA 31524
Office of the General Counsel Cynthia Martin, Acting Ph: 202-282-9822; Fax: 202-282-9186 U.S. Department of Homeland Security Washington, DC 20528-0001
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 Katherine Gallo Ph: 202-254-4001; Fax: 202-254-4398 U.S. Department of Homeland Security 245 Murray Drive, Bldg. 410, Mail Stop 2600 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, Acting 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
Office of Policy Traci Ballard Ph: 202-447-3497; Fax: 202-282-9512 U.S. Department of Homeland Security 245 Murray Drive, SW, Mail Stop 0445 Washington, DC 20528-0445
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 Drive, Building T-5 Washington, DC 20223
Transportation Security Administration Yvonne Coates 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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EXHIBIT C

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 79 of 133
Department of Homeland Security

Privacy Office 2011 Freedom of Information Act Report to the Attorney General of the United States February 2012

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 80 of 133
Message from the Chief Freedom of Information Act Officer
I am delighted to present the Department of Homeland Security’s (DHS) Annual Freedom of Information Act (FOIA) Report to the Attorney General for 2011. This is the third such report produced during my tenure as the Department’s Chief Privacy Officer and Chief FOIA Officer and the third to reflect President Obama’s call for openness and transparency in Federal Government operations. The highlight of this year’s report is the unprecedented number of FOIA requests the Department received overall, the near doubling of requests submitted to two DHS components, U.S. Customs and Border Protection (CBP) and U.S. Immigration and Customs Enforcement (ICE), and an additional 20 percent increase in requests coming in to United States Citizenship and Immigration Services (USCIS), the DHS component that receives the most FOIA requests.
To analyze these numbers more closely, in Fiscal Year 2011 DHS received a total of 175,656 FOIA requests, up 45,558 or 35 percent from Fiscal Year 2010’s total of 130,098. We processed 145,631 requests, an increase from 138,651 in 2010. These requests were almost equally divided between simple requests (requests anticipated to involve a small volume of material or which will be able to be processed relatively quickly) and complex requests (requests that are anticipated to involve a voluminous amount of material to review or will be time-consuming to process). We received 64,895 simple requests and 64,792 complex requests, respectively. For 98,401 of these cases (57 percent), DHS released responsive information. The percentage of FOIA requests with information released is even higher—81 percent—when the 17,731 requests that are duplicative or withdrawn altogether and/or seek records that do not exist or, alternatively, fall under the purview of another agency are eliminated.
The increased volume of incoming requests did not preclude a timely response. Almost across the board, DHS components shortened the interval between the receipt of a simple perfected request and its final disposition. CBP, for example, reduced its median response time for simple perfected requests from 24 days in FY10 to 4 in FY11 or 83 percent. The Office for Civil Rights and Civil Liberties (CRCL) decreased its median turnaround from 22 days to 7 or 68 percent, while the Office of Inspector General average response time dropped from 11.05 days to 8.57, or 22 percent. In some cases, the response time for complex requests also fell significantly. The Federal Emergency Management Administration (FEMA)’s response time dropped from 390 days in Fiscal Year 2010 to 102 in Fiscal Year 2011 or 74 percent. The United States Coast Guard (USCG) cut its response time from 56 days to 45 (20 percent), and the Office of General Counsel reduced its average response time of 474.57 days in FY10 to 296.69 in FY11— 37 percent.
Here at DHS we have experienced a 64 percent increase in the number of FOIA requests received since President Obama took Office and called for greater transparency and openness. What do these numbers mean in terms of the President’s mandate? It is clear that the concepts of government accountability through the Freedom of Information Act that the President expressed upon assuming office has gained widespread acceptance among the public, that they are turning
Page ii 


Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 81 of 133 first to the FOIA process to seek information about federal activities and using the full power of the law to find out what they want, perhaps need, to know. Certainly this is the case at DHS, where we celebrate this development to better acquaint our constituency with the panoply of programs and activities we carry out on their behalf. I direct your attention to the pages that follow and look forward to providing even better and more responsive customer service in the new Fiscal Year. Mary Ellen Callahan Chief Freedom of Information Act Officer U.S. Department of Homeland Security
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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 82 of 133
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 ......................................................................................................................3 
 A. Received, Processed and Pending FOIA Requests ............................................3 
 B. (1) Disposition of FOIA Requests - All Processed Requests ............................3 
 (2) Dispostion of FOIA Requests - “Other” Reasons for “Full Denials Based 
 on 
 Reasons Other than Exemptions” from Section V, B(1) Chart .........................4 
 (3) Disposition of FOIA Requests - Number of Times Exemptions Applied....5 

VI. Administrative Appeals of Initial Determinations of FOIA Requests .............................6 
 A. Received, Processed, and Pending Administrative Appeals..............................6 
 B. Disposition of Administrative Appeals - All Processed Appeals ......................6 
 C. (1) Reasons for Denial on Appeal - Number of Times Exemptions Applied ....6 
 (2) Reasons for Denial on Appeal - Reasons Other than Exemptions ...............7 
 (3) Reasons for Denial on Appeal - “Other” Reasons from Section VI, C(2) 
 Chart.........................................................................................................................7 
 (4) Response Times for Administrative Appeals...............................................7 
 (5) Ten Oldest Pending Administrative Appeals ...............................................8 

VII. FOIA Requests: Response Times for Processed and Pending Requests..........................8 
 A. Processed Requests - Response Time for All Processed Perfected Requests....8 
 B. Processed Requests - Response Time for Perfected Requests in Which 
 Information 
 was Granted ......................................................................................................9 
 C. Processed Requests - Response Time in Day Increments ...............................10 
 (1) Simple Requests Response Time in Day Increments.................................10 
 (2) Complex Requests Response Time in Day Increments .............................10 
 (3) Requests Granted Expedited Processing Response Time in Day 
 Increments ..............................................................................................................11 
 D. Pending Requests - All Pending Perfected Requests .......................................11 
 E. Pending Requests - Ten Oldest Pending Perfected Requests ..........................12 

VIII. Requests for Expedited Processing and Requests for Fee Waivers ...............................13 
 A. Requests for Expedited Processing ..................................................................13 
 B. Requests for Fee Waiver ..................................................................................13 

IX. FOIA Personnel and Costs.................................................................................................14 

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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 83 of 133

X. Fees Collected for Processing Requests ............................................................................15 


XI. FOIA Regulations (Including Fee Schedule)....................................................................15 


XII. Backlogs, Consultations, and Comparisons......................................................................15 
 A. Backlogs of FOIA Requests and Administrative Appeals...............................15 
 B. Consultations on FOIA Requests - Received, Processed, and Pending 
 Consultations..........................................................................................................16 
 C. Consultations on FOIA Requests - Ten Oldest Consultations Received from Other 
 Agencies and Pending......................................................................................16 


D. (1) Comparison of Numbers of Requests from Previous and Current Annual

Report -


Requests Received, Processed, and Backlogged .............................................17 


(2) Comparison of Backlogged Requests from Previous and Current Annual 


Report.....................................................................................................................18


E. (1) Comparison of Numbers of Administrative Appeals from Previous and

Current 


Annual Report - Appeals Received, Processed, and Backlogged....................19 


(2) Comparison of Backlogged Administrative Appeals from Previous and

Current 


Annual Report ..................................................................................................19




APPENDICES. .................................................................................................................20


APPENDIX A: Composition of the Department of Homeland Security...............20 


APPENDIX B: Organization of the Department of Homeland Security Chart.....24 


APPENDIX C: Names, Addresses, and Contact Information For DHS FOIA 
 Officers ..................................................................................................................25 


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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 84 of 133

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 Drive SW, Building 410 


STOP-0665 


Washington, DC 20528-0665 


Phone: 703-235-0790; Fax: 703-235-0443 


2. This report can be downloaded from the DHS FOIA website at 
 http://www.dhs.gov/FOIA. 


3. Requests for this report in paper form may also be directed to Delores J. Barber, 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.

2. Brief description why requests are not granted:

The Department of Homeland Security (DHS or the Department) has the primary responsibility to lead the unified national effort to secure the country and preserve our freedoms. It follows that the records maintained by the Department often involve law enforcement matters. Because law enforcement records are of such interest to subjects of investigation, victims of crime, and the public at large, these records are often requested under the Freedom of Information Act. 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. Further, until the issuance of Milner v. Department of the Navy, 131 S.Ct. 1259 (2011), in March of this year, the Department commonly cited exemption 2 to protect against disclosure of certain types of information the release of which is likely to risk circumvention of laws or regulations.

III. Acronyms, Definitions, and Exemptions

1. Agency-specific acronyms or other terms.

a. CBP

United States 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

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h. FLETC Federal Law Enforcement Training Center

i. I&A

Office of Intelligence and Analysis

j. IGA

Office of Intergovernmental Affairs

k. ICE

United States Immigration and Customs Enforcement

l. MGMT Management Directorate

m. NCSC National Cyber Security Center

n. NPPD National Protection and Programs Directorate

o. OGC Office of the General Counsel

p. OHA Office of Health Affairs

q. OIG

Office of the Inspector General

r. OLA Office of Legislative Affairs

s. OPA Office of Public Affairs

t. OPS

Office of Operations Coordination and Planning

u. PLCY Office of Policy

v. PRIV Privacy Office

w. S&T

Science and Technology Directorate

x. TSA

Transportation Security Administration

y. USCG United States Coast Guard

z. USCIS United States Citizenship and Immigration Services

aa. USSS United States Secret Service

bb. US-VISIT United States Visitor and Immigrant Status Indicator Technology

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 requests 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 provided its views on the record to

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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.*
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 where an agency determines that it must search beyond its Privacy Act “systems of records” or where 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 DHS’s Privacy Act “mixed systems of records” as if they are subject to the Privacy Act’s 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 a 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
* Pursuant to 5 U.S.C. § 552(b)(3) as amended by sec. 564 of Public Law 111-83, a statute enacted after October 28, 2009 can qualify as an Exemption 3 law only if it cites specifically to 5 U.S.C. § 552(b)(3).
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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 87 of 133
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.
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 which reasonably describes such records and is made in accordance with published rules stating the time, place, fees (if any) and procedures to be followed.
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.
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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 88 of 133
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 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
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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 89 of 133

IV. Exemption 3 Statutes

Statute 5 U.S.C. app. 3 § 7(b) 6 U.S.C. § 133
8 U.S.C. § 1202(f) (Immigration and Nationality Act)

Type of Information Withheld
Names of employees who provide information or complaints to the Inspector General
Critical Infrastructure Information

Case Citation

Certain records pertaining to the issuance or refusal of visas to enter the United States

Medina-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); Judicial Watch, Inc. v. U.S. Dep't of State, 650 F. Supp. 2d 28, 33 (D.D.C. 2009); Smith v. DOJ, No. 81-CV813, 1983 U.S. Dist. LEXIS 10878, at *13-14 (N.D.N.Y. Dec. 13, 1983).

Number of Times Relied upon per Component

OIG

1

FEMA

3

USCIS

1

Total Number of Times Relied upon
by Agency 1 3
1

10 U.S.C. § 424

Organization or any function of, and certain information pertaining to, employees of the Defense Intelligence Agency, the National Reconnaissance Office, and the National Geospatial-Intelligence Agency

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).

USCG

1

1

18 U.S.C. §§ 2510-20 26 U.S.C. §§ 6103, 6105

Wiretap requests and the content of any wire, oral, or electronic communication obtained through wiretaps

Mendoza v. DEA, No. 07-5006, 2007 U.S. App. LEXIS 22175 (D.C. Cir. Sept. 14, 2007) (per curiam); Lam Lek Chong v. DEA, 929 F.2d 729, 733 (D.C. Cir. 1991); Payne v. DOJ, No. 9630840, slip op. at 5-6 (5th Cir. July 11, 1997).

Certain tax return information and certain tax convention information

Church of Scientology v. IRS, 484 U.S. 9, 15 (1987) (26 U.S.C. § 6103); Pac. Fisheries, Inc. v. IRS, No. 09-35618, 2010 WL 3611645, at *2 (9th Cir. September 15, 2010)(unpublished disposition); Tax Analysts v. IRS, 217 F. Supp. 2d 23, 27-29 (D.D.C. 2002) (26 U.S.C. § 6105).

USSS USCIS

5 1,082

5 1,082

1 


Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 90 of 133

Statute
41 U.S.C. § 253b(m)(1)
41 U.S.C. § 423(a)(1) 46 U.S.C. § 70103(d) 49 U.S.C. § 114(s) 50 U.S.C. § 403g

Type of Information Withheld

Case Citation

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

Margolin v. NASA, No. 09-CV00421-LRH-VPC, 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, 2004 WL 1900562 (D.C. Cir. Aug. 25, 2004).

Number of Times Relied upon per Component

FEMA

1

FLETC

1

ICE

6

MGMT

6

NPPD

2

OPS

3

PRIV

1

S&T

2

USCIS

4

US-VISIT

2

Legal & Safety Employer

Contractor bid or proposal

Research, Inc. v. U.S. Dep't of the

information; source selection

Army, No. Civ. S001748, 2001

USCG

5

information

WL 34098652, at *3-4 (E.D. Cal.

2001) (dictum).

Security plans and other information related to plans

USCG

3

CBP

646

Information obtained or developed in carrying out

Tooley v. Bush, No. 06-306, 2006 WL 3783142, at *19 (D.D.C. Dec.

ICE

37

security under the authority of 21, 2006), aff’d on other grounds, the Aviation and Transportation 586 F. 3d 1006 (D.C. Cir. 2009;

OIG

1

Security Act or under chapter 449 of this title

Gordon v. FBI, 390 F. Supp. 2d 897, 900 (N.D. Cal. 2004).

PRIV

8

TSA

100

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”

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).

USCG USSS

1 1

Total Number of Times Relied upon
by Agency
28
5 3 792
2

50 U.S.C. app. § 2170(c)

CFIUS Filing Material

PRIV

1

1

2 


Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 91 of 133

Statute Fed. R. Crim. P. 6(e)

Type of Information Withheld

Case Citation

Certain records pertaining to grand jury proceedings

Sussman v. USMS, 494 F.3d 1106, 1113 (D.C. Cir. 2007); Fund for Constitutional Gov't v. Nat'l Archives & Records Serv., 656 F.2d 856, 867-68 (D.C. Cir. 1981); Durham v. U.S. Atty. Gen., No. 06-843, 2008 WL 620744, at *2 (E.D. Tex. Mar. 3, 2008); Cozen O'Connor v. U.S. Dep't of Treasury, 570 F. Supp. 2d 749, 776 (E.D. Pa. 2008).

Number of Times Relied upon per Component

Total Number of Times Relied upon
by Agency

USCIS

8

11

USSS

3

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

Component†
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT

Number of Requests Pending as of Start of
Fiscal Year 796 7 855 12 5‡ 36 13 47 20§ 4 0 0 45 1 429 530**
14,921†† 629 118‡‡

Number of Requests Received in Fiscal Year
32,107 73 820 134 71
16,502 180 318 43 175 37 26 1,317 33 926 3,882
115,545 897 2,570

Number of Requests Processed in Fiscal Year
27,818 74
1,139 141 54 16,488 182 270 58 170 37 24 1,327 33 694 3,708 89,835 898 2,681

Number of Requests Pending as of End of
Fiscal Year 5,085 6 536 5 22 50 11 95 5 9 0 2 35 1 661 704 40,631 628 7

† The following information is important to interpret the FOIA request data presented in this Annual Report: 1) PRIV processes and reports on FOIA requests for itself, the Office of the Secretary (including the Military Advisor’s Office and the Office of Intergovernmental Affairs), and the following components: CISOMB, DNDO, ESEC, OHA, OLA, and OPA; 2) MGMT processes and reports on FOIA requests for itself and for CFO; 3) NPPD processes and reports on FOIA requests for itself and for NCSC; and 4) although US-VISIT is an element of NPPD, it processes its own FOIA requests and its request data is reported as if it were a component. Readers of the Annual Report should consider the contents of this footer to apply, as necessary, to all tables in the report. ‡ Corrected number due to component reporting error in FY 2010. § Corrected number due to component reporting error in FY 2010. ** Corrected number due to component reporting error in FY 2010. †† Corrected number due to component reporting error in FY 2010. ‡‡ Corrected number due to component reporting error in FY 2010.
3 


Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 92 of 133

Component† AGENCY OVERALL

Number of Requests Pending as of Start of
Fiscal Year
18,468§§

Number of Requests Received in Fiscal Year
175,656

Number of Requests Processed in Fiscal Year
145,631

Number of Requests Pending as of End of
Fiscal Year
48,493

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

No. of Component Full
Grants

CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

2,158 18 276 28 6 556 21 13 9 14 9 4 22 4 62
2,238 9,723
36 6
15,203

No. of Partial Grants/ Partial Denials
18,955

No. of Full Denials Based on
Exemptions
65

No Records
4,603

21

0

25

327

37

153

37

2

34

3

8

22

11,576

222

1,017

56

11

25

165

0

19

8

0

12

67

11

37

10

1

11

4

1

10

96

0

49

12

3

4

160

39

70

558

109

502

48,285

71

8,117

190

34

342

2,668

0

1

Number of Full Denials Based on Reasons Other than Exemptions

All Records Referred

Request Withdrawn

FeeRelated Reason

Not Improper Reasonably FOIA Described Request

Not Agency Record

Duplicate Request

399

62

54

27

1,278

62

90

4

2

0

1

3

0

0

32

111

9

25

68

8

20

7

12

2

0

13

1

4

3

2

1

4

2

2

1

2,446

75

28

31

351

9

103

54

1

3

7

1

1

0

0

13

0

2

38

9

2

17

6

0

0

0

5

1

8

3

2

0

26

0

0

2

1

0

2

0

1

0

0

0

0

1

2

0

1

773

13

0

143

116

34

45

7

1

0

2

0

0

0

26

57

3

47

15

3

25

26

149

13

8

9

9

36

2,832

157

69

0

13,656 4,564 2,297

0

100

0

6

117

35

8

0

3

0

0

0

0

0

83,198

614

15,053 6,636

768

184

306

15,695 4,743 2,633

Other Total

65 27,818

0

74

73 1,139

1

141

0

54

74 16,488

2

182

9

270

0

58

2

170

0

37

1

24

36 1,327

0

33

187

694

51 3,708

64 89,835

30

898

3

2,681

598 145,631

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

Component CBP FEMA
FLETC

Description Coordinated by Another Office
Records Publicly Available
Unable to Locate Requester Nonresponsive to Requests for Additional
Information
Coordinated by Another Office

No. of Times Used 9 45 11 73
1

Total 65 73 1

§§ Corrected number due to components reporting error in FY 2010.
4

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 93 of 133

Component ICE
MGMT NPPD OIG PLCY
PRIV
TSA
USCG USCIS
USSS

Description Fugitive Litigation Lost File
Records Publicly Available
Records Publicly Available Unable to Locate Requester
Sent in Error Aggregated Litigation Records Publicly Available Sent in Error Glomar Response Nonresponsive to Requests for Additional Information Records Publicly Available Nonresponsive to Requests for Additional Information Unable to Locate Records Information Illegible Records Publicly Available Requester Refused Letter Statute of Limitation Past Unable to Locate Requester

No. of Times Used 63 10 1 2 9 2 1 13 4 14 5 14 170 3
51 64 1 1 10 15 3

Total 74 2 9 2 1
36
187
51 64
30

US-VISIT

Coordinated by Another Office

3

3

AGENCY OVERALL

598

B. (3) Disposition of FOIA Requests – 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

0

2,549 646

103

71 18,843 31

0

18,808 22

5,450

2

0

0

CRCL

0

0

0

0

14

21

0

0

3

0

0

0

0

0

FEMA

0

16

11

155

40

251

0

0

11

0

14

0

0

0

FLETC

0

4

1

10

8

30

1

0

3

0

4

0

0

0

I&A

2

10

0

0

3

8

1

0

5

4

4

0

0

0

ICE

0

2,920 44

36

82

8,054

71

4

8,061 32 7,991 57

0

0

MGMT

1

2

6

27

4

13

2

0

6

0

0

1

0

0

NPPD

0

33

2

17

3

144

0

0

120

0

12

9

0

0

5 


Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 94 of 133

Component

Ex. 1

Ex. 2

Ex. 3

Ex. 4

Ex. 5

Ex. 6

Ex. 7(A)

OGC

0

0

0

0

5

6

0

OIG

1

5

2

3

21

65

11

OPS

1

2

1

2

0

9

1

PLCY

0

0

0

0

1

2

0

PRIV

3

8

10

14

34

93

1

S&T

0

1

2

4

5

11

0

TSA

0

111

100

25

39

143

1

USCG

3

12

10

22

93

656

77

USCIS

0

12,084 1,095

85 31,165 30,197 27

USSS

8

49

9

6

13

158

17

US-VISIT

0

1

2

1

0

6

0

AGENCY OVERALL

19 17,807 1,941 510 31,601 58,710 241

Ex.

Ex.

Ex.

Ex.

Ex.

7(B) 7(C) 7(D) 7(E) 7(F)

0

0

0

0

0

0

54

6

4

1

0

1

0

5

1

0

1

0

0

0

0

9

0

15

1

0

1

0

2

0

0

23

0

16

1

0

79

6

10

0

0

38,928

8

36,114

0

0

157

8

126

1

0

2,197

0

2,407

0

4 68,467 86 52,174 74

Ex. 8
0 0 0 0 0 0 0 0 0 0 0
0

Ex. 9
0 0 0 0 0 0 0 0 0 0 0
0

VI. Administrative Appeals of Initial Determinations of FOIA Requests A. Received, Processed, and Pending Administrative Appeals

Component
CBP FLETC
ICE OGC***
OIG TSA USCG USCIS USSS AGENCY OVERALL

No. of Appeals Pending as of Start of Fiscal Year 23 0 25 201††† 16 9 46‡‡‡ 89 2 411§§§

No. of Appeals Received in Fiscal Year 338 1 245 114 12 41 44 1,079 43
1,917

No. of Appeals Processed in Fiscal Year 343 1 230 164 14 46 41 1,049 45
1,933

No. of Appeals Pending as of End of Fiscal Year 18 0 40 151 14 4 49 119 0
395

B. Disposition of Administrative Appeals – All Processed Appeals

Component
CBP FLETC
ICE OGC OIG TSA

Number Affirmed on Appeal
116 1 130 51 7 26

Number Partially Affirmed & Partially Reversed/Remanded
on Appeal 111
0
13
12
4
6

Number Completely Reversed/Remanded
on Appeal
80 0 54 49 1 9

Number of Appeals Closed for Other Reasons
36 0 33 52 2 5

Total
343 1 230 164 14 46

*** OGC processes FOIA appeals for: CRCL, FEMA, I&A, MGMT, NPPD, OHA, OPS, PLCY, PRIV, S&T and US-VISIT. ††† Corrected number due to component reporting error in FY 2010. ‡‡‡ Corrected number due to component reporting error in FY 2010. §§§ Corrected number due to components reporting error in FY 2010.
6

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 95 of 133

Component

Number Affirmed on Appeal

USCG

9

USCIS

253

USSS

25

AGENCY OVERALL

618

Number Partially Affirmed & Partially Reversed/Remanded
on Appeal 0
479
13
638

Number Completely Reversed/Remanded
on Appeal
24 217
6
440

Number of Appeals Closed for Other Reasons
8 100 1
237

Total
41 1,049
45 1,933

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

Component CBP

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

0

85

18

14

15

175

6

0

168

1

150

2

0

0

FLETC

0

0

1

0

0

1

0

0

0

0

0

0

0

0

ICE

0

30

2

1

5

39

3

0

40

0

16

0

0

0

OGC

2

6

2

1

11

13

2

0

3

1

5

0

0

0

OIG

0

0

0

0

4

4

2

0

7

1

1

0

0

0

TSA

0

4

9

0

2

3

0

0

2

0

1

0

0

0

USCG

0

3

1

4

33

12

25

0

11

0

0

0

0

0

USCIS

0

266

18

1

487 416

0

0

574

1

540

0

0

0

USSS

0

4

5

0

3

11

3

0

11

2

6

0

0

0

AGENCY OVERALL 2

398

56

21

560 674

41

0

816

6

719

2

0

0

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

Component

No

Records

All Records Referred

Request Withdrawn

CBP

3

6

5

FLETC

0

0

0

ICE

0

1

1

OGC

21

3

31

OIG

0

0

0

TSA

1

0

2

USCG

2

0

1

USCIS

0

0

0

USSS

20

0

0

AGENCY OVERALL

47

10

40

FeeRelated Reason
2 0 1 1 0 1 1 0 0
6

Not Reasonably Described
2 0 0 4 0 1 0 0 0
7

Improper FOIA Request
14 0 19 0 0 0 0 100 1
134

Not Agency Record
1 0 0 0 0 0 0 0 0
1

Duplicate Request

Request in Litigation

Appeal Based Solely on Denial for Expedited Processing

1

0

0

0

0

0

1

0

0

3

11

1

0

0

0

1

1

0

0

1

0

0

0

0

0

0

0

6

13

1

Other
2 0 10 16 2 7 17 0 0
54

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

Component CBP
FLETC ICE

Description Moot N/A Moot

No. of Times Used 2 0 10

Total 2 0 10
7 


Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 96 of 133

Component
OGC
OIG TSA USCG USCIS USSS AGENCY OVERALL

Description Adequacy of Search
Moot
Statute of Limitation Past
Unable to Locate Requester
Not an Appeal
Moot Constructive Denial
Moot N/A N/A

No. of Times Used 9
3
3
1 1
1 7 17 0 0

Total
16
2 7 17 0 0 54

C. (4) Response Times for Administrative Appeals

Component CBP
FLETC ICE OGC OIG TSA
USCG USCIS USSS AGENCY OVERALL

Median Number of Days 20 31 32 659 557 54 135 60 20 44

Average Number of Days 20.80 31 40 700.48 441.86 71.09 102 52 32 106.40

Lowest Number of Days 1 31 1 46 38 3 12 1 12 1

Highest Number of Days 126 31 135 1,527 851 315 422 179 137 1,527

C. (5) Ten Oldest Pending Administrative Appeals

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal

Date of Receipt

2011-09-20 2011-09-20 2011-09-20 2011-09-14 2011-09-14 2011-09-14 2011-09-13 2011-09-13 2011-09-13 2011-09-07

CBP

Number of Days Pending

9

9

9

13

13

13

14

14

14

18

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

FLETC

Number of Days Pending

0

0

0

0

0

0

0

0

0

0

Date of Receipt

2011-08-29 2011-08-24 2011-08-23 2011-08-17 2011-08-11 2011-08-03 2011-08-01 2011-07-29 2011-07-08 2011-07-06

ICE

Number of Days Pending

25

28

29

33

37

43

45

46

61

63

OGC

Date of Receipt

2007-09-30 2007-09-27 2007-09-14 2007-08-20 2007-08-10 2007-07-25 2007-05-21 2007-05-01 2006-12-26 2006-09-20

Number of Days Pending

1,001

1,003

1,012

1,016

1,036

1,048

1,093

1,107

1,194

1,259

8 


Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 97 of 133

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal

Date of Receipt

2011-03-09 2011-01-26 2010-11-15 2010-11-10 2010-10-27 2010-09-15 2010-09-15 2009-01-14 2008-11-25 2008-11-14

OIG

Number of Days Pending

145

174

222

224

234

263

263

698

734

741

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A 2011-09-28 2011-09-21 2011-08-15 2011-06-02

TSA

Number of Days Pending

0

0

0

0

0

0

4

9

36

88

USCG

Date of Receipt

2010-06-09 2010-06-09 2010-06-09 2010-05-12 2010-05-10 2010-05-01 2010-04-30 2009-12-01 2009-11-19 2009-03-10

Number of Days Pending

333

333

333

352

354

359

360

460

467

644

USCIS USSS

Date of Receipt

2011-07-06 2011-07-06 2011-07-06 2011-07-06 2011-07-06 2011-07-06 2011-07-06 2011-07-06 2011-07-06 2011-07-06

Number of Days Pending

59

59

59

59

59

59

59

59

59

59

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

Number of Days Pending

0

0

0

0

0

0

0

0

0

0

AGENCY

Date of Receipt

2007-09-30 2007-09-27 2007-09-14 2007-08-20 2007-08-10 2007-07-25 2007-05-21 2007-05-01 2006-12-26 2006-09-20

OVERALL Number of
Days Pending

1,001

1,003

1,012

1,016

1,036

1,048

1,093

1,107

1,194

1,259

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

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD OGC
OIG OPS PLCY PRIV S&T TSA USCG USCIS

Median No. of Days
4 7 369 12.5 23 7 8 27 10.5 8 1 4 6 8 N/A 5 55

Simple

Average No. of Days

Lowest No. of Days

36.49

1

8.90

1

395.19

1

27.56

1

22.56

4

14.05

1

10.79

1

49.90

1

17.50

1

8.57

1

3.11

1

4.22

1

6.72

1

12.14

1

N/A

N/A

11.50

1

61.41

1

Highest No. of Days
261 25 1,182 235 44 347 62 28 94 33 15 8 19 55 N/A 520 737

Median No. of Days
60 63 102 N/A 15.5 20 33 121.5 240 17.5 10 7 41 47 91 45 69

Complex

Average No. of Days

Lowest No. of Days

65.85

1

117.76

3

216.00

1

N/A

N/A

28.39

1

34.08

1

34.76

5

127.26

3

296.69

10

29.93

3

9.17

1

8.40

1

74.71

3

62.40

32

128.27

1

43.80

1

74.32

1

Highest No. of Days
213 434 1,368 N/A 105 357 121 483 851 139 23 20 476 131 998 695 873

Median No. of Days
1.5 N/A 487 N/A N/A 17.5 N/A N/A N/A N/A N/A N/A 391 N/A
5 N/A 17

Expedited

Average No. of Days

Lowest No. of Days

2.75

1

N/A

N/A

537.78

279

N/A

N/A

N/A

N/A

18.50

1

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

391

391

N/A

N/A

5

5

N/A

N/A

44.59

6

Highest No. of Days
7 N/A 836 N/A N/A 45 N/A N/A N/A N/A N/A N/A 391 N/A
5 N/A 187

9 


Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 98 of 133

Component
USSS US-VISIT AGENCY OVERALL

Median No. of Days
14
9
11

Simple

Average No. of Days

Lowest No. of Days

14.28

1

10.00

1

37.40

1

Highest No. of Days
20
293
1,182

Median No. of Days
80
29
68

Complex

Average No. of Days

Lowest No. of Days

250.90

21

76.00

11

78.31

1

Highest No. of Days 1,529
251
1,529

Median No. of Days
76
N/A
17

Expedited

Average No. of Days

Lowest No. of Days

76

76

N/A

N/A

155.10

1

Highest No. of Days
76
N/A
836

B. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

Median No. of Days
4 6.5 370.5 14.5 31 9 14 30 11 8 1 4.5 7.5 10 N/A 6 74 2 2
12

Simple

Average No. of Days

Lowest No. of Days

26.59

1

7.38

1

399.13

1

29.40

1

33.33

25

15.90

1

16.00

1

32.10

1

15.44

1

9.03

1

2.60

1

4.50

1

7.50

7

16.36

1

N/A

N/A

8.70

1

77.19

1

2.00

2

3.00

7

38.98

1

Highest No. of Days
261 20 1,182 165 44 170 62 132 35 22 7 8 8 41 N/A 218 636 2 1

Median No. of Days
71 63 113 N/A 33 32 33 113.5 31.5 18.5 10 8 53 47 157.5 34 82 159 23

1,182

79

Complex

Average No. of Days

Lowest No. of Days

74.02

1

122.89

3

227.27

1

N/A

N/A

43.67

1

43.68

1

34.00

14

127.26

1

42.67

10

30.72

4

10.82

1

10.11

1

91.93

3

62.40

26

180.31

1

59.35

1

90.10

1

314.61

25

23.00

23

Expedited

Highest No. Median No. Average No. Lowest No. of Days of Days of Days of Days

213

1

2.43

1

434

N/A

N/A

N/A

1,368

369.5

367.00

279

N/A

N/A

N/A

N/A

105

N/A

N/A

N/A

319

24

23.50

1

107

N/A

N/A

N/A

483

N/A

N/A

N/A

87

N/A

N/A

N/A

139

N/A

N/A

N/A

23

N/A

N/A

N/A

18

N/A

N/A

N/A

476

391

391.00

391

131

N/A

N/A

N/A

998

N/A

N/A

N/A

429

N/A

N/A

N/A

873

17

44.59

6

1,529

N/A

N/A

N/A

23

N/A

N/A

N/A

Highest No. of Days
7 N/A 450 N/A N/A 45 N/A N/A N/A N/A N/A N/A 391 N/A N/A N/A 187 N/A N/A

91.59

1

1,529

16

89.52

1

450

C. Processed Requests – Response Time in Day Increments

Component
CBP CRCL FEMA FLETC I&A ICE MGMT

1-20 Days
16,497 48 8 82 3
11,080 80

21-40 Days
1,069 1 3 15 5
1,655 18

41-60 Days
1,199 0 1 11 1
917 0

61-80 Days
1,241 0 1 5 0
223 1

(1) Simple Requests

81100 Days

101120 Days

121140 Days

1,506 1,028 1,279

0

0

0

0

3

3

5

3

3

0

0

0

95

32

16

0

0

0

141160 Days 1,132
0 6 0 0 15 0

161180 Days 306
0 15 1 0 2 0

181200 Days 147
0 7 0 0 2 0

201300 Days 64
0 49 1 0 1 0

301400 Days
0 0 46 0 0 1 0

401+ Days
0 0 122 0 0 0 0

Total
25,468 49 264 126 9
14,039 99

10 


Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 99 of 133

NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

22

42

10

2

3

2

4

1

3

2

3

16

5

0

0

1

0

0

0

0

0

0

82

2

0

0

0

0

0

0

0

0

0

19

0

0

0

0

0

0

0

0

0

0

9

0

0

0

0

0

0

0

0

0

0

843

0

0

0

0

0

0

0

0

0

0

23

3

2

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

1,987

70

20

16

9

8

19

4

7

0

13

4,657 2,274 2,948 2,517 1,158 1,560 2,364 137

35

20

33

68

0

0

0

0

0

0

0

0

0

0

2,623

44

2

0

1

2

1

0

2

1

5

38,147 5,206 5,111 4,006 2,778 2,638 3,689 1,295 371 179 169

0

0

94

0

0

22

0

0

84

0

0

19

0

0

9

0

0

843

0

0

28

0

0

0

5

2

2,160

9 1,121 18,833

0

0

68

0

0

2,681

61 1,245 64,895

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

1-20 Days
293 7 74 0 25
1,256 23 16 4 32 17 15 53 0 116 84
10,350 0 1
12,366

21-40 Days
118 2
142 0 7
513 35 14 4 13 1 0 49 2 93 421 2,170 145 2
3,731

41-60 Days
112 2 94 0 2
280 22 16 0 6 0 0 31 1 63 166 7,406 174 0
8,375

61-80 Days
131 4 68 0 7 159 2 14 3 1 0 0 9 1 46 0 11,736 41 1

(2) Complex Requests

81100 Days
113

101120 Days
64

121140 Days
99

1

1

1

59

37

34

0

0

0

2

1

0

81

49

41

0

3

1

13

16

17

2

0

1

3

2

1

0

0

0

0

0

0

13

9

9

0

0

1

48

27

39

0

6

46

3,954 6,311 9,929

33

97

13

0

0

0

12,223 4,322 6,623 10,232

141160 Days 86
1 33 0 0 19 0 18 3 0 0 0 11 0 47 28 1,783 20 0
2,049

161180 Days 20
0 29 0 0 16 0 8 0 0 0 0 4 0 29 33 144 10 0
293

181200 Days
6 1 18 0 0 11 0 6 0 0 0 0 3 0 37 24 57 16 0
179

201300 Days
3 2 84 0 0 11 0 30 2 0 0 0 5 0 103 174 154 43 1
612

301400 Days
0 2 43 0 0 7 0 8 0 0 0 0 4 0 25 65 56 32 0
242

401+ Days
0 1 162 0 0 0 0 1 17 0 0 0 5 0 21 86 3,105 147 0
3,545

Total
1,045 25 877 0 44
2,443 86 177 36 58 18 15 205 5 694
1,133 57,155
771 5
64,792

Component
CBP CRCL FEMA FLETC I&A ICE

1-20 Days
8 0 0 0 0 3

21-40 Days
0 0 0 0 0 2

41-60 Days
0 0 0 0 0 1

(3) Requests Granted Expedited Processing

61-80 Days

81100 Days

101120 Days

121140 Days

141160 Days

161180 Days

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

181200 Days
0
0
0
0
0
0

201300 Days
0
0
1
0
0
0

301400 Days
0
0
1
0
0
0

401+ Days
0 0 7 0 0 0

Total
8 0 9 0 0 6

11 


Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 100 of 133

Component
MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

1-20 Days
0 0 0 0 0 0 0 0 1 0 6 0 0
18

21-40 Days
0 0 0 0 0 0 0 0 0 0 0 0 0
2

41-60 Days
0 0 0 0 0 0 0 0 0 0 1 0 0
2

(3) Requests Granted Expedited Processing

61-80 Days
0

81100 Days
0

101120 Days
0

121140 Days
0

141160 Days
0

161180 Days
0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

2

0

0

0

0

0

0

0

0

1

0

0

0

0

0

0

0

0

2

0

0

1

0

0

181200 Days
0 0 0 0 0 0 0 0 0 0 1 0 0
1

201300 Days
0 0 0 0 0 0 0 0 0 0 0 0 0
1

301400 Days
0 0 0 0 0 0 1 0 0 0 0 0 0
2

401+ Days
0 0 0 0 0 0 0 0 0 0 0 0 0
7

Total
0 0 0 0 0 0 1 0 1 0 10 1 0
36

D. Pending Requests – All Pending Perfected Requests

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

Number Pending
4,894 0 94 5 0 18 2 33 0 4 0 0 24 0 0
186 6,734
54 7
12,055

Simple Median No.
of Days 66 N/A 36 103 N/A 7 8 14 N/A 4.5 N/A N/A 2 N/A N/A 12 70 11 14

Average No. of Days
65.12 N/A 43.44 93.00 N/A 10.67 8.00 15.33 N/A 4.50 N/A N/A 3.79 N/A N/A 68.46 68.35 10.26 40.00

68

66.19

Number Pending
191 6
442 0 21 32 9 61 5 5 0 2 12 0 661 500 32,949 558 0
35,453

Complex Median No.
of Days 36 53
306.5 N/A 101 25 15 98 415 14 N/A 8.5 13.5 N/A 158
5 77 229 N/A

Average No. of Days 43.87 42.50 378.82 N/A 108.67 65.66 25.00 104.25 330.00 13.40 N/A 8.50 59.42 N/A 193.07 223.66 77.96 382.20 N/A

79

90.53

Number Pending
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 4 4 0
8

Expedited Median No.
of Days 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 99 177 N/A
141

Average No. of Days 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 114.91 313.50 N/A
214.20

12 


Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 101 of 133

E. Pending Requests – Ten Oldest Pending Perfected Requests

Component

Sub-Row Heading

Date of Receipt CBP Number of Days
Pending

CRCL

Date of Receipt
Number of Days Pending

FEMA

Date of Receipt
Number of Days Pending

FLETC

Date of Receipt
Number of Days Pending

Date of Receipt I&A Number of Days
Pending

Date of Receipt ICE Number of Days
Pending

MGMT

Date of Receipt
Number of Days Pending

NPPD

Date of Receipt
Number of Days Pending

OGC

Date of Receipt
Number of Days Pending

Date of Receipt OIG Number of Days
Pending

Date of Receipt OPS Number of Days
Pending

PLCY

Date of Receipt
Number of Days Pending

PRIV

Date of Receipt
Number of Days Pending

Date of Receipt S&T Number of Days
Pending

Date of Receipt TSA Number of Days
Pending

USCG

Date of Receipt
Number of Days Pending

USCIS

Date of Receipt
Number of Days Pending

USSS

Date of Receipt
Number of Days Pending

US-VISIT Date of Receipt

10th

9th

8th

2011-01-13 2011-01-13 2011-01-08

181

181

184

N/A

N/A

N/A

0

0

0

2008-12-18 2008-12-03 2008-12-01

1,016

1,031

1,033

N/A

N/A

N/A

0

0

0

2011-05-10 2011-05-02 2011-04-18

103

109

119

2011-05-11 2011-04-27 2011-04-26

100

110

111

2011-09-23 2011-09-23 2011-09-23

6

6

6

2011-02-23 2011-01-25 2011-01-19

157

177

181

N/A

N/A

N/A

0

0

0

N/A 2011-09-29 2011-09-29

0

2

2

N/A

N/A

N/A

0

0

0

N/A

N/A

N/A

0

0

0

2011-09-14 2011-09-14 2011-09-14

13

13

13

N/A

N/A

N/A

0

0

0

2008-10-02 2008-08-20 2008-08-13

749

779

784

2009-07-08 2009-06-29 2009-06-19

568

575

581

2010-06-24 2010-06-23 2010-06-11

317

318

326

2006-02-02 2006-02-02 2006-01-19

1,420

1,420

1,430

N/A

N/A

N/A

7th

6th

5th

4th

3rd

2nd

2011-01-07 2011-01-07 2011-01-07 2011-01-07 2011-01-07 2011-01-07

185

185

185

185

185

185

N/A 2011-09-28 2011-09-02 2011-08-08 2011-08-08 2011-08-02

0

2

28

53

53

59

2008-10-28 2008-10-03 2008-09-10 2008-08-08 2008-07-16 2008-06-11

1,067

1,092

1,115

1,148

1,171

1,206

N/A

N/A 2011-08-04 2011-07-07 2011-05-10 2011-03-31

0

0

41

61

103

131

2011-03-29 2011-03-02 2011-01-26 2011-01-26 2010-12-13 2010-12-07

133

152

176

176

205

209

2011-04-26 2011-04-07 2011-02-24 2011-01-31 2011-01-28 2010-11-22

111

124

154

171

172

217

2011-09-19 2011-09-17 2011-09-12 2011-09-12 2011-08-31 2011-08-30

10

10

15

15

23

24

2011-01-04 2010-11-18 2010-11-17 2010-11-15 2010-11-01 2010-10-04

191

221

222

224

233

252

N/A

N/A 2011-09-16 2010-12-18 2010-08-12 2010-08-06

0

0

15

287

415

421

2011-09-22 2011-09-22 2011-09-19 2011-09-19 2011-09-13 2011-09-12

7

7

10

10

14

15

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A 2011-09-21

0

0

0

0

0

8

2011-09-14 2011-09-13 2011-09-02 2011-08-11 2011-05-16 2011-04-19

13

14

21

37

99

118

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

2008-06-23 2008-06-19 2008-06-19 2008-06-17 2006-08-02 2004-11-01

820

822

822

824

1,294

1,735

2009-06-10 2009-06-03 2009-06-02 2009-05-27 2009-05-26 2009-05-26

588

593

594

598

599

599

2010-06-03 2010-05-20 2010-05-18 2010-04-30 2010-04-09 2010-04-02

332

341

343

355

369

374

2006-01-19 2006-01-19 2006-01-19 2006-01-19 2005-12-02 2005-12-02

1,430

1,430

1,430

1,430

1,461

1,461

2011-09-21 2011-09-20 2011-09-14 2011-09-12 2011-09-07 2011-06-15

Oldest Request 2010-11-26
214 2011-08-01
60 2007-09-07
1,484 2011-03-31
131 2010-10-01
253 2010-05-17
350 2011-04-15
121 2010-06-21
325 2010-05-05
514 2011-09-07
18 N/A
0 2011-09-20
9 2010-05-07
355 N/A
0 2004-10-27
1,738 2009-01-12
695 2010-03-30
376 2005-11-30
1,463 2011-03-09

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Component

Sub-Row Heading

10th

9th

8th

Number of Days Pending

0

0

0

AGENCY Date of Receipt 2006-01-19 2006-01-19 2006-01-19

OVERALL Number of Days Pending

1,430

1,430

1,430

7th

6th

5th

4th

3rd

2nd

7

8

12

14

17

77

2006-01-19 2006-01-19 2005-12-02 2005-12-02 2005-11-30 2004-11-01

1,430

1,430

1,461

1,461

1,463

1,735

Oldest Request
147
2004-10-27
1,738

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

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

Number Granted
8 0 0 1 0 6 0 0 0 0 0 0 1 0 1 0 14 5 0 36

Number Denied
8 0 4 0 0 65 1 0 0 19 0 0 9 0 14 0 1,409 0 0 1,529

Median Number of Days to Adjudicate
1 N/A 10
6 N/A
1 1 N/A N/A 5 N/A N/A 9.5 N/A 1 N/A 1 1 N/A 1

Average Number of Days to Adjudicate
5.69 N/A 10.00 6.00 N/A 3.00 1.00 N/A N/A 5.53 N/A N/A 10.80 N/A 1.33 N/A 7.93 2.40 N/A 6.88

Number Adjudicated within 10 Calendar
Days 13 N/A 4 1 N/A 69 1 N/A N/A 18 N/A N/A 6 N/A 15 N/A
1,255 5
N/A
1,377

B. Requests for Fee Waiver

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS

Number Granted
1 0 0 1 0 56 1 0 0 0 0

Number Denied
12 0 1 5 8 8 1 0 0 12 0

Median Number of Days to Adjudicate 1.5 N/A 28 9 1 5 1 N/A N/A 3 N/A

Average Number of Days to Adjudicate 1.93 N/A 28.00 11.83 7.25 14.00 1.00 N/A N/A 17.42 N/A

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Component
PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

Number Granted
0 1 0 4 0 29 0 0 93

Number Denied
0 5 0 15 0 93 0 0 160

Median Number of Days to Adjudicate N/A 12.5 N/A 1 N/A 1 N/A N/A
1

Average Number of Days to Adjudicate N/A 16.83 N/A 2.00 N/A 1.00 N/A N/A
6.12

IX. FOIA Personnel and Costs

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

Number of “Full Time
FOIA Employees”
27 0.5 9 1 1 22 1 1 0.5 4 0.33 0.4 15 1 10 22 188 17 3
323.73

Personnel
Number of “Equivalent Full-Time
FOIA Employees”
11.86 0 11
0.50 0 0 0 0 0
0.65 0 0 1 0 2
26.30 7.35 4.15
0
64.81

Total Number of “Full-Time FOIA Staff” (Col. 1 + Col.
2) 38.86 0.50
20 1.50
1 22 1 1 0.50 4.65 0.33 0.40 16 1 12 48.30 195.35 21.15 3
388.54

Processing Costs
$4,947,584.53 $45,000.00
$4,538,289.00 $167,523.00 $103,000.00 $1.799,029.00 $118,000.00 $89,000.00 $221,731.00 $387,117.80 $35,000.00 $40,000.00 $1,961,231.17 $74,872.00 $1,004,565.00 $2,828,075.48 $13,273,035.26 $1,499,134.00 $229,514.00
$33,361,701.24

Costs
Litigation - Related Costs
$3,921.92 $0.00
$76,412.50 $0.00 $0.00
$1,012,000.00 $0.00 $0.00
$150,000.00 $90,158.00
$0.00 $0.00 $0.00 $0.00 $86,283.25 $0.00 $317,966.90 $219,637.63 $0.00 $1,956,380.20

Total Costs
$4,951,506.45 $45,000.00
$4,614,701.50 $167,523.00 $103,000.00 $2,811,029.00 $118,000.00 $89,000.00 $371,731.00 $477,275.80 $35,000.00 $40,000.00 $1,961,231.17 $74,872.00 $1,090,848.25 $2,828,075.48
$13,591,002.16 $1,718,717.63 $229,514.00
$35,318,081.44

X. Fees Collected for Processing Requests

Component CBP CRCL FEMA

Total Amount of Fees Collected $331,291.66 $0.00 $1,516.79

Percentage of Total Costs 6.70% 0.00% 0.03%
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Component FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS
US-VISIT AGENCY OVERALL

Total Amount of Fees Collected $960.80 $128.00
$3,971.90 $1,397.00
$0.00 $0.00 $95.50 $0.00 $0.00 $0.00 $0.00 $414.70 $22,138.26 $7,021.82 $0.00 $435.00 $369,371.43

Percentage of Total Costs 0.57% 0.12% 0.22% 1.18% 0.00% 0.00% 0.02% 0.00% 0.00% 0.00% 0.00% 0.04% 0.78% 0.05% 0.00% 0.19% 1.11%

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 CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS

Number of Backlogged Requests as of the End of Fiscal Year 4,356 6 485 5 21 18 3 63 5 0 0 0 4 0 580 527 35,780

Number of Backlogged Appeals as of End of Fiscal Year**** 0 N/A N/A 0 N/A 18 N/A N/A 141 12 N/A N/A N/A N/A 2 49 105

**** OGC processes FOIA appeals for: CRCL, FEMA, I&A, MGMT, NPPD, OHA, OPS, PLCY, PRIV, S&T and US-VISIT
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Component USSS
US-VISIT AGENCY OVERALL

Number of Backlogged Requests as of the End of Fiscal Year 562
2
42,417

Number of Backlogged Appeals as of End of Fiscal Year**** 0
0
327

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

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD OGC
OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

Number of Consultations Received from Other Agencies that Were
Pending at Your Agency as of Start of the Fiscal Year
4 0 16 0 3†††† 0 1 0 0 0 0 0 0 0‡‡‡‡ 21 13 3§§§§ 8***** 0 69†††††

Number of Consultations Received from Other
Agencies During the Fiscal Year
27 0 11 1 15 93 6 0 0 16 2 29 26 10 40 25 60 38 6 405

Number of Consultations Received from Other Agencies that Were
Processed by Your Agency During the Fiscal Year 30 0 27 1 18 93 7 0 0 16 2 29 26 10 45 24 63 36 6 433

Number of Consultations Received from Other
Agencies that were Pending at Your Agency as of the End of the Fiscal Year 1 0 0 0 0 0 0 0 0 0 0 0 0 0 16 14 0 10 0
41

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

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Request

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A 2011-09-12

CBP Number of Days Pending

0

0

0

0

0

0

0

0

0

14

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

CRCL

Number of Days Pending

0

0

0

0

0

0

0

0

0

0

†††† Corrected number due to component reporting error in FY 2010. ‡‡‡‡ Corrected number due to component reporting error in FY 2010. §§§§ Corrected number due to component reporting error in FY 2010. ***** Corrected number due to component reporting error in FY 2010. ††††† Corrected number due to components reporting error in FY 2010.
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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 106 of 133

Component

Sub-Row Heading

FEMA

Date of Receipt
Number of Days Pending

FLETC

Date of Receipt
Number of Days Pending

Date of Receipt I&A Number of Days
Pending

Date of Receipt ICE Number of Days
Pending

MGMT

Date of Receipt
Number of Days Pending

NPPD

Date of Receipt
Number of Days Pending

OGC

Date of Receipt
Number of Days Pending

Date of Receipt OIG Number of Days
Pending

Date of Receipt OPS Number of Days
Pending

PLCY

Date of Receipt
Number of Days Pending

PRIV

Date of Receipt
Number of Days Pending

Date of Receipt S&T Number of Days
Pending

Date of Receipt TSA Number of Days
Pending

USCG

Date of Receipt
Number of Days Pending

USCIS

Date of Receipt
Number of Days Pending

USSS

Date of Receipt
Number of Days Pending

Date of Receipt US-VISIT Number of Days
Pending

AGENCY Date of Receipt OVERALL Number of Days
Pending

10th N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 2011-07-27
48 2011-04-26
111 N/A
0 2011-09-21
8 N/A
0 2010-09-08
268

9th

8th

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

2011-07-07 2011-05-12

62

101

2011-04-08 2011-03-21

123

137

N/A

N/A

0

0

2011-08-03 2011-06-14

43

79

N/A

N/A

0

0

2010-09-03 2010-08-04

272

292

7th N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 2011-05-05
106 2011-02-08
165 N/A
0 2011-06-14
79 N/A
0 2010-06-28
318

6th

5th

4th

3rd

2nd

Oldest Request

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

2011-04-20 2010-10-28 2010-09-03 2010-06-24 2010-06-15 2009-12-16

117

235

272

322

329

449

2011-01-13 2010-09-08 2010-08-04 2010-06-28 2010-03-11 2009-12-24

182

268

292

318

394

447

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

2011-05-10 2011-03-10 2010-10-08 2010-10-08 2010-10-08 2010-06-20

103

146

248

248

248

325

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

2010-06-24 2010-06-20 2010-06-15 2010-03-11 2009-12-24 2009-12-16

322

325

329

394

447

449

18 


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

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

Number of Requests Received

Received During Fiscal Year from Last Year's
Annual Report

Received During Fiscal Year from Current Annual
Report

18,948

32,107

20

73

760

820

145

134

46

71

8,523

16,502

256

180

155

318

41

43

187

175

47

37

37

26

1,113

1,317

39

33

716

926

4,102

3,882

91,503

115,545

1,526

897

1,934

2,570

130,098

175,656

Number of Requests Processed

Processed During Fiscal Year from Last Year's
Annual Report

Processed During Fiscal Year from Current Annual
Report

18,639

27,818

24

74

794

1,139

169

141

48

54

8,570

16,488

253

182

127

270

35

58

192

170

47

37

55

24

1,163

1,327

40

33

557

694

3,958

3,708

100,872

89,835

1,451

898

1,657

2,681

138,651

145,631

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

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA

Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual Report
601 6
810 12 5‡‡‡‡‡ 27 1 33 20§§§§§ 1 0 0 15 1 378

Number of Backlogged Requests as of End of the Fiscal Year from Current Annual Report
4,356 6
485 5 21 18 3 63 5 0 0 0 4 0
580

‡‡‡‡‡ Corrected number due to component reporting error in FY 2010. §§§§§ Corrected number due to component reporting error in FY 2010.
19

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 108 of 133

Component
USCG USCIS USSS US-VISIT AGENCY OVERALL

Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual Report
407 8,209 573 118******
11,217

Number of Backlogged Requests as of End of the Fiscal Year from Current Annual Report
527 35,780
562 2
42,417

E. (1) Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged

Component
CBP FLETC
ICE OGC OIG†††††† TSA USCG USCIS USSS AGENCY OVERALL

Number of Appeals Received

Received During Fiscal Year from Last Year's
Annual Report

Received During Fiscal Year from Current Annual
Report

450

338

1

1

25

245

157

114

0

12

21

41

42

44

2,004

1,079

40

43

2,740

1,917

Number of Appeals Processed

Processed During Fiscal Year from Last Year's
Annual Report

Processed During Fiscal Year from Current Annual
Report

815

343

1

1

331

230

134

164

0

14

14

46

62

41

3,924

1,049

44

45

5,325

1,933

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

Component
CBP FLETC
ICE OGC OIG TSA USCG USCIS USSS AGENCY OVERALL

Number of Backlogged Appeals as of End of the Fiscal Year from Previous Annual Report 0 0 19 176‡‡‡‡‡‡ 0 7 48 3 2
255

Number of Backlogged Appeals as of End of the Fiscal Year from Current Annual Report 0 0 18 141 12 2 49 105 0
327

****** Corrected number due to component reporting error in FY 2010.
 †††††† OIG began processing their own FOIA appeals at the start of FY 2011 and did not receive or process any 
 appeals in FY 2010. 
 ‡‡‡‡‡‡ Corrected number due to component reporting error in FY 2010.

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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 Privacy Office (PRIV) works to preserve and enhance privacy protections for all individuals, to promote transparency of Department operations, and to serve as a leader in the federal privacy community.
The Office for Civil Rights and Civil Liberties (CRCL) provides legal and policy advice to Department leadership on civil rights and civil liberties issues, investigates and resolves complaints, and provides leadership to Equal Employment Opportunity Programs.
The Office of Inspector General is responsible for conducting and supervising audits, investigations, and inspections relating to the programs and operations of the Department, recommending ways for the Department to carry out its responsibilities in the most effective, efficient, and economical manner possible.
The Citizenship and Immigration Services Ombudsman provides recommendations for resolving individual and employer problems with the United States Citizenship and Immigration Services in order to ensure national security and the integrity of the legal immigration system, increase efficiencies in administering citizenship and immigration services, and improve customer service.
The Office of Legislative Affairs serves as primary liaison to members of Congress and their staffs, the White House and Executive Branch, and to other federal agencies and governmental entities that have roles in assuring national security.
The Office of the General Counsel integrates approximately 1700 lawyers from throughout the Department into an effective, client-oriented, full-service legal team and comprises a headquarters office with subsidiary divisions and the legal programs for eight Department components. The Office of the General Counsel includes the ethics division for the Department.
The Office of Public Affairs coordinates the public affairs activities of all of the Department’s components and offices, and serves as the federal government’s lead public information office during a national emergency or disaster. Led by the Assistant Secretary for Public Affairs, it comprises the press office, incident and strategic communications, speechwriting, Web content management, and employee communications.
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The Office of Counternarcotics Enforcement (CNE) coordinates policy and operations to stop the entry of illegal drugs into the United States, and to track and sever the connections between illegal drug trafficking and terrorism.
The Office of the Executive Secretariat (ESEC) provides all manner of direct support to the Secretary and Deputy Secretary, as well as related support to leadership and management across the Department. This support takes many forms, the most well known being accurate and timely dissemination of information and written communications from throughout the Department and our homeland security partners to the Secretary and Deputy Secretary.
The Military Advisor's Office advises on facilitating, coordinating, and executing policy, procedures, preparedness activities, and operations between the Department and the Department of Defense.
Office of Intergovernmental Affairs (IGA): IGA has the mission of promoting an integrated national approach to homeland security by ensuring, coordinating, and advancing federal interaction with state, local, tribal, and territorial governments.
Department Components and Directorates:
The Directorate for National Protection and Programs (NPPD) leads the national effort to protect and enhance the resilience of the Nation’s physical and cyber infrastructure.
The Directorate for Science and Technology is the primary research and development arm of the Department. It provides federal, state, and local officials with the technology and capabilities to protect the homeland.
The Directorate for Management is responsible for Department budgets and appropriations, expenditure of funds, accounting and finance, procurement; human resources, information technology systems, facilities and equipment, and the identification and tracking of performance measurements.
The Office of Policy is the primary policy formulation and coordination component for the Department of Homeland Security. It provides a centralized, coordinated focus to the development of Department-wide, long-range planning to protect the United States.
The Office of Health Affairs coordinates all medical activities of the Department of Homeland Security to ensure appropriate preparation for and response to incidents having medical significance.
The Office of Intelligence and Analysis (I&A) is responsible for using information and intelligence from multiple sources to identify and assess current and future threats to the United States.
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The Office of Operations Coordination and Planning (OPS) provides decision support and enables the Secretary’s execution of responsibilities across the homeland security enterprise by promoting situational awareness and information sharing, integrating and synchronizing strategic operations and planning, and administering the DHS continuity program.
The Federal Law Enforcement Training Center provides career-long training to law enforcement professionals to help them fulfill their responsibilities safely and proficiently.
The Domestic Nuclear Detection Office 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 Transportation Security Administration (TSA) protects the nation's transportation systems to ensure freedom of movement for people and commerce.
United States Customs and Border Protection (CBP) is one of the Department of Homeland Security’s largest and most complex components, with a priority mission of keeping terrorists and their weapons out of the U.S. It also has a responsibility for securing and facilitating trade and travel while enforcing hundreds of U.S. regulations, including immigration and drug laws.
United States Citizenship and Immigration Services (USCIS) secures America’s promise as a nation of immigrants by providing accurate and useful information to our customers, granting immigration and citizenship benefits, promoting an awareness and understanding of citizenship, and ensuring the integrity of our immigration system.
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 United States Coast Guard is one of the five armed forces of the United States and the only military organization within the Department of Homeland Security. The Coast Guard protects the maritime economy and the environment, defends our maritime borders, and saves those in peril.
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 United States Secret Service (USSS) safeguards the nation's 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.
23

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APPENDIX B: Organization of the Department of Homeland Security Chart
24

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 113 of 133

APPENDIX C: Names, Addresses, and Contact Information for DHS FOIA Officers

Department of Homeland Security Chief FOIA Officer

Mary Ellen Callahan Chief FOIA Officer Privacy Office U.S. Department of Homeland Security 245 Murray Drive SW, Building 410 STOP-0665 Washington, DC 20528-0665

Delores J. Barber Deputy Chief FOIA Officer Privacy Office U.S. Department of Homeland Security 245 Murray Drive SW, Building 410 STOP-0665 Washington, DC 20528-0665

Department of Homeland Security Component FOIA Officers

Privacy Office James V.M.L. Holzer, I, CIPP/G Director, Disclosure and FOIA Operations Ph: 703-235-0790; Fax: 703-235-0443 U.S. Department of Homeland Security 245 Murray Drive SW, Building 410 STOP-0665 Washington, DC 20528-0665
U.S. Citizenship and Immigration Services Jill Eggleston Ph: 816-350-5521; Fax: 816-350-5785 National Records Center, FOIA/PA Office P. O. Box 648010 Lee's Summit, MO 64064-8010
Office for Civil Rights and Civil Liberties Fernando Pineiro, Jr. Ph: 202-357-7672; Fax: 202-357-1196 DHS-CRCL-FOIA U.S. Department of Homeland Security 245 Murray Lane, SW, Bldg 410, M/S 0190 Washington, DC 20528-0001
U.S. Coast Guard Gaston Brewer, Acting Ph: 202-475-3525 Fax: 202-475-3929 Commandant (CG-611) 2100 2nd St., S.W. Washington, DC 20593-0001
U.S. Customs and Border Protection Dorothy Pullo Ph: 202-325-0150; Fax: 202-325-0230 FOIA Division 799 9th Street NW Washington, DC 20229-1181

Privacy Office Sabrina Burroughs Director, Disclosure Policy and FOIA Program Development Ph: 703-235-0790; Fax: 703-235-0443 U.S. Department of Homeland Security 245 Murray Drive SW, Building 410 STOP-0665 Washington, DC 20528-0665
Federal Emergency Management Agency Dr. Anthony M. Bennett Ph: 202-646-3323; Fax: 202-646-3347 500 C Street, SW, Room 840 Washington, DC 20472
Federal Law Enforcement Training Center Marty Zimmerman-Pate Ph: 912-267-3103; Fax: 912-267-3113 Building No.681, Suite 187B Glynco, GA 31524
Office of the General Counsel Fernando Pineiro, Jr., Acting Ph: 202-357-7672; Fax: 202-357-1196 U.S. Department of Homeland Security Washington, DC 20528-0001
U.S. Immigration and Customs Enforcement Catrina Pavlik-Keenan Ph: 202-732-0600; Fax: 202-732-0660 500 12th Street, SW, M/S 5009 Washington, DC 20536-5009

25

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 114 of 133

Office of Inspector General Katherine Gallo Ph: 202-254-4001; Fax: 202-254-4398 U.S. Department of Homeland Security 245 Murray Drive, Bldg. 410, M/S 2600 Washington, DC 20528-0001
Office of Intelligence and Analysis Tony Tucker Ph: 202-447-4190; Fax: 202-282-8191 U.S. Department of Homeland Security Washington, DC 20528-0001
Directorate for Management Mark Dorgan Ph: 703-235-0755; Fax: 703-235-0443 U.S. Department of Homeland Security Washington, DC 20528-0001
Directorate for National Protection and Programs Gayle Worthy 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: 202-357-7626; Fax: 202-357-7678 U.S. Department of Homeland Security Washington, DC 20528-0001
Office of Health Affairs Audrey Swann Ph: 202-254-5619; Fax: 202-254-6094 U.S. Department of Homeland Security Washington, DC 20528-0001
Office of Policy Traci Ballard Ph: 202-447-3497; Fax: 202-282-9512 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 Drive, Building 410 Washington, DC 20223

Transportation Security Administration Yvonne Coates Ph: 1-866-FOIA-TSA; Fax: 571-227-1406 601 S. 12th Street, TSA-20 11th Floor, East Tower Arlington, VA 22202-4220
Office of US-VISIT Michael Johnson Ph: 202-298-5200; Fax: 202-295-5457 U.S. Department of Homeland Security Washington, DC 20528-0675

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 115 of 133
EXHIBIT D

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 116 of 133
Budget-in-Brief
Fiscal Year 2015
FY 2015 Budget in Brief
Homeland Security
www.dhs.gov

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Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 118 of 133
Secretary’s Message
The President's Fiscal Year (FY) 2015 Budget Request for $38.2 billion for the Department of Homeland Security (DHS) reflects our continued commitment to the security of our homeland and the American public. Homeland security is the most important mission any government can provide to its people.
DHS must be agile and vigilant in continually adapting to evolving threats and hazards. We must stay one step ahead of the next attack, the next cyber attack, and the next natural disaster. In the homeland security world, no news is good news, and no news is often the result of the hard work, vigilance, and dedication of the men and women of DHS who prevent bad things you never hear about, or at least help the public protect itself and recover from the storm we cannot prevent.
The basic missions of the Department of Homeland Security are, and should continue to be, preventing terrorism and enhancing security; securing and managing our borders; enforcing and administering our immigration laws; safeguarding cyberspace; strengthening national preparedness and resilience. The President's FY 2015 budget request provides the resources necessary to further strengthen these efforts.
Sincerely,

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 119 of 133
Table of Contents
I. Overview ................................................................................................................................................ 1 Department of Homeland Security Funding Priorities ........................................................................... 9 Preventing Terrorism and Enhancing Security ................................................................................. 10 Securing and Managing Our Borders................................................................................................ 12 Enforcing and Administering Our Immigration Laws ...................................................................... 13 Safeguarding and Securing Cyberspace ............................................................................................ 14 Preparing for and Responding to Disasters ....................................................................................... 15 Opportunity, Growth, and Security Initiative.................................................................................... 16
II. Summary Information by Organization................................................................................................ 17 Departmental Management and Operations ........................................................................................ 19 Analysis and Operations ...................................................................................................................... 31 Office of Inspector General ................................................................................................................. 37 Customs and Border Protection ........................................................................................................... 41 U.S. Immigration and Customs Enforcement....................................................................................... 57 Transportation Security Administration ............................................................................................... 67 U.S. Coast Guard ................................................................................................................................. 75 U.S. Secret Service .............................................................................................................................. 87 National Protection and Programs Directorate ..................................................................................... 95 Office of Health Affairs ..................................................................................................................... 107 Federal Emergency Management Agency ......................................................................................... 119 U.S. Citizenship and Immigration Services ...................................................................................... 133 Federal Law Enforcement Training Center ....................................................................................... 139 Science and Technology Directorate ................................................................................................. 145 Domestic Nuclear Detection Office .................................................................................................. 153
III. Resource Tables ................................................................................................................................. 161 FYs 2013–2015 President’s Budget Build ......................................................................................... 163 Fiscal Year 2013–2015 Homeland and Non-Homeland Allocations ................................................. 167

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 120 of 133
Overview

Fiscal Year 2015 Overview

FY 2013 Revised Enacted 1

FY 2014 Enacted 2

FY 2015 Pres. Budget 3

FY 2015 +/- FY 2014

Total Budget Authority:

$

Less: Mandatory, Fee, and Trust Funds:

Gross Discretionary Budget Authority:

Less: Discretionary Offsetting Fees: Net Discretionary Budget Authority: Less: FEMA Disaster Relief - Major Disasters Cap Adjustment: Less: Rescission of Prior-Year Carryover - Regular Appropriations

Supplemental: 5

Adjusted Net Discretionary Budget Authority: $

$000 59,209,964 $ (11,308,307)
47,901,657 (3,553,282) 44,348,375 (6,075,554)
(151,463) 38,121,358 11,483,313 $

$000 60,655,168 $ (11,526,210)
49,128,958 (3,733,428) 45,395,530 (5,626,386)
(543,968) 39,225,176
-$

$000 60,918,787 $ (11,890,496)
49,028,291 (4,414,798) 44,613,493 (6,437,793)
38,175,700
-

$000 263,619 (364,286)
(100,667) (681,370) (782,037) (811,407) 543,968 (1,049,476)
-

1/ FY 2013 Revised Enacted: • Reflects across the board rescissions of 0.1% and 0.032% pursuant to P.L. 113-6. • Reflects funds sequestered pursuant to section 251 A(7)(A) of the Balance Budget and Emergency Deficit Control Act of 1985, as amended by the Budget Control Act of 2011. • Reflects a transfer of $22.8 million from FEMA Disaster Relief Fund (DRF) to OIG pursuant to P.L. 113-6. • Excludes USCG Overseas Contingency Operations funding of $240.605 million provided in P.L. 113-6. • Includes FEMA Disaster Relief base funds of $553.562 million and an additional $6.075 billion for major disasters declared pursuant to the Stafford Act and designated by the Congress as being for disaster relief pursuant to section 251 (b)(2)(D) of the Balance Budget and Emergency Deficit Control Act of 1985 (BBEDCA), as amended by the Budget Control Act of 2011. • Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $53,134,410. • Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $41,826,103. • Net Discretionary Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $38,272,821.
2/ FY 2014 Enacted: • Reflects a transfer of $24 million from FEMA DRF to OIG pursuant to P.L. 113-76. • Excludes USCG Overseas Contingency Operations funding of $227.0 million provided in P.L. 113-76. • Includes FEMA Disaster Relief base funds of $570.522 million and an additional $5.626 billion for major disasters declared pursuant to the Stafford Act and designated by the Congress as being for disaster relief pursuant to section 251 (b)(2)(D) of the BBEDCA of 1985, as amended by the Budget Control Act of 2011. • Reflects the following technical adjustments: $33.522 million increase for TSA - Aviation Security revised fee levels; $15.042 million decrease for USCG Health Care Fund Contribution; $3.741 million increase for CBP Small Airports. • Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $55,028,782 • Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $43,502,572. • Net Discretionary Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $39,769,144.
3/ FY 2015 President's Budget: • Reflects a proposed transfer of $24 million from FEMA DRF to OIG. • Includes FEMA Disaster Relief base funds of $371.672 million and an additional $6.438 billion for major disasters declared pursuant to the Stafford Act and designated by the Congress as being for disaster relief pursuant to section 251 (b)(2)(D) of the BBEDCA of 1985, as amended by the Budget Control Act of 2011. • Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment is: $54,480,994. • Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $42,590,498. • Net Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $38,175,700.
4/ Rescissions of Prior Year Unobligated Balances: • FY 2013 - Pursuant to P.L. 113-6, reflects rescissions of prior year unobligated balances of -$151.463 million • FY 2014 - Pursuant to P.L. 113-76, reflects rescissions of prior year unobligated balances of -$543.968 million.
5/ In order to obtain comparable figures, Net Discretionary, Gross Discretionary, and Total Budget Authority excludes: • FY 2013 supplemental funding provided in P.L. 113-2 (Disaster Relief Appropriations Act 2013) and sequestered pursuant to 251 A(7)(A) of the Balance Budget and Emergency Deficit Control Act of 1985, as amended by the Budget Control Act of 2011: OIG ($2.850 million), CBP ($1.584 million), ICE ($0.812 million), USCG ($260.521 million), USSS ($0.285 million), FEMA ($11.210 billion), S&T ($3.087 million), DNDO ($3.676 million). • Excludes FEMA NFIF ($9.7 billion) increase in borrowing authority provided in P.L. 113-1.

1

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 121 of 133
Overview
Total Budget Authority
Dollars in Thousands

60,000,000 50,000,000 40,000,000 30,000,000 20,000,000 10,000,000
-

59,$25099,2,0996,4964

60,655,168

60,918,787

$11,308,307

$11,526,210

$11,890,496

$47,901,657

$49,128,958

$49,028,291

Mandatory, Fees, Trust Funds
Gross Discretionary

• FY 2015 Gross Discretionary funding decreases by $101 million, or 0.2 percent, under FY 2014. • FY 2015 estimated mandatory fees and trusts budget authority increases by $364 million, or 3.2 percent over FY 2014.
• FY 2015 Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment is: $54,480,994.
• FY 2015 Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $42,590,498. • FY 2015 Net Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $38,175,700.
• Excludes FY 2013 Net Sequestered Supplemental funding of $11.5 billion.

3

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Overview
FY 2015 Percent of Total Budget Authority by Organization $60,918,787,000

FEMA: Grants FLETC, OIG,

FEMA 20%

4% USCIS

OHA 1%

5%

S&T

NPPD 5%

2% DNDO
0.5%

USSS 3%

Dept. Ops 1%
A&O

USCG

0.5%

16% TSA
12%

CBP ICE 21% 9%

Notes:
• Departmental Operations is comprised of the Office of the Secretary & Executive Management, DHS Headquarters Consolidation, the Office of the Undersecretary for Management, the Office of the Chief Financial Officer, and the Office of the Chief Information Officer.

5

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 123 of 133
Overview

Total Budget Authority by Organization
Gross Discretionary, Mandatory, Fees, and Trust Funds

FY 2013 Revised Enacted 1

FY 2014 Enacted2

FY 2015 Pres. Budget3

FY 2015 +/FY 2014

FY 2015 +/FY 2014

$000

$000

$000

$000

%

Departmental Operations 4

$ 708,695 $

728,269 $

748,024 $ 19,755

2.7%

Analysis and Operations (A&O)

301,853

300,490

302,268

1,778

0.6%

Office of the Inspector General (OIG)

137,910

139,437

145,457

6,020

4.3%

U.S. Customs & Border Protection (CBP)

11,736,990

12,445,616

12,764,835

319,219

2.6%

U.S. Immigration & Customs Enforcement (ICE)

5,627,660

5,614,361

5,359,065

(255,296)

-4.5%

Transportation Security Administration (TSA)

7,193,757

7,364,510

7,305,098

(59,412)

-0.8%

U.S. Coast Guard (USCG)

9,972,425

10,214,999

9,796,995

(418,004)

-4.1%

U.S. Secret Service (USSS)

1,808,313

1,840,272

1,895,905

55,633

3.0%

National Protection and Programs Directorate (NPPD)

2,638,634

2,813,213

2,857,666

44,453

1.6%

Office of Health Affairs (OHA)

126,324

126,763

125,767

(996)

-0.8%

Federal Emergency Management Agency (FEMA)

11,865,196

11,553,899

12,496,517

942,618

8.2%

FEMA: Grant Programs

2,373,540

2,530,000

2,225,469

(304,531)

-12.0%

U.S. Citizenship & Immigration Services (USCIS)

3,378,348

3,219,142

3,259,885

40,743

1.3%

Federal Law Enforcement Training Center (FLETC)

243,111

258,730

259,595

865

0.3%

Science &Technology Directorate (S&T)

794,227

1,220,212

1,071,818

(148,394) -12.2%

Domestic Nuclear Detection Office (DNDO)

302,981

TOTAL BUDGET AUTHORITY:

$ 59,209,964 $ Less: Mandatory, Fee, and Trust Funds: (11,308,307)

GROSS DISC. BUDGET AUTHORITY:

Less: Discretionary Offsetting Fees:

47,901,657 (3,553,282)

285,255 60,655,168 $ (11,526,210) 49,128,958 (3,733,428)

304,423 60,918,787 $ (11,890,496) 49,028,291 (4,414,798)

19,168 263,619 (364,286) (100,667) (681,370)

6.7% 0.4% 3.2% -0.2% 18.3%

NET DISC. BUDGET AUTHORITY:

$

Less: FEMA Disaster Relief - Major Disasters Cap Adjustment: $
Less: Rescission of Prior-Year Carryover - Regular Appropriations: 5

44,348,375 $ (6,075,554) $
(151,463)

45,395,530 $ (5,626,386) $
(543,968)

44,613,493 $ (6,437,793) $
-

(782,037) (811,407) 543,968

-1.7% 14.4% -100.0%

ADJUSTED NET DISC. BUDGET AUTHORITY: 4 Supplemental: 6

$ 38,121,358 $ 39,225,176 $ 38,175,700 $ (1,049,476)

$ 11,483,313

-

-

-

-2.7% -

1/ FY 2013 Revised Enacted: • Reflects across the board rescissions of 0.1% and 0.032% pursuant to P.L. 113-6. • Reflects funds sequestered pursuant to section 251 A(7)(A) of the Balance Budget and Emergency Deficit Control Act of 1985, as amended by the Budget Control Act of 2011. • Reflects a transfer of $22.8 million from FEMA Disaster Relief Fund (DRF) to OIG pursuant to P.L. 113-6. • Excludes USCG Overseas Contingency Operations funding of $240.605 million provided in P.L. 113-6. • Includes FEMA Disaster Relief base funds of $553.562 million and an additional $6.075 billion for major disasters declared pursuant to the Stafford Act and designated by the Congress as being for disaster relief pursuant to section 251 (b)(2)(D) of the Balance Budget and Emergency Deficit Control Act of 1985 (BBEDCA), as amended by the Budget Control Act of 2011. • Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $53,134,410. • Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $41,826,103. • Net Discretionary Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $38,272,821.

2/ FY 2014 Enacted: • Reflects a transfer of $24 million from FEMA DRF to OIG pursuant to P.L. 113-76. • Excludes USCG Overseas Contingency Operations funding of $227.0 million provided in P.L. 113-76. • Includes FEMA Disaster Relief base funds of $570.522 million and an additional $5.626 billion for major disasters declared pursuant to the Stafford Act and designated by the Congress as being for disaster relief pursuant to section 251 (b)(2)(D) of the BBEDCA of 1985, as amended by the Budget Control Act of 2011. • Reflects the following technical adjustments: $33.522 million increase for TSA - Aviation Security revised fee levels; $15.042 million decrease for USCG Health Care Fund Contribution; $3.741 million increase for CBP Small Airports. • Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $55,028,782 • Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $43,502,572. • Net Discretionary Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $39,769,144.
3/ FY 2015 President's Budget: • Reflects a proposed transfer of $24 million from FEMA DRF to OIG. • Includes FEMA Disaster Relief base funds of $371.672 million and an additional $6.438 billion for major disasters declared pursuant to the Stafford Act and designated by the Congress as being for disaster relief pursuant to section 251 (b)(2)(D) of the BBEDCA of 1985, as amended by the Budget Control Act of 2011. • Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment is: $54,480,994. • Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $42,590,498. • Net Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $38,175,700.

4/ Departmental Operations is comprised of the Office of the Secretary & Executive Management, DHS Headquarters Consolidation, the Office of the Undersecretary for Management, the Office of the Chief Financial Officer, and the Office of the Chief Information Officer.
5/ Rescissions of Prior Year Unobligated Balances: • FY 2013 - Pursuant to P.L. 113-6, reflects rescissions of prior year unobligated balances of -$151.463 million • FY 2014 - Pursuant to P.L. 113-76, reflects rescissions of prior year unobligated balances of -$543.968 million.
6/ In order to obtain comparable figures, Net Discretionary, Gross Discretionary, and Total Budget Authority excludes: • FY 2013 supplemental funding provided in P.L. 113-2 (Disaster Relief Appropriations Act 2013) and sequestered pursuant to 251 A(7)(A) of the Balance Budget and Emergency Deficit Control Act of 1985, as amended by the Budget Control Act of 2011: OIG ($2.850 million), CBP ($1.584 million), ICE ($0.812 million), USCG ($260.521 million), USSS ($0.285 million), FEMA ($11.210 billion), S&T ($3.087 million), DNDO ($3.676 million). • Excludes FEMA NFIF ($9.7 billion) increase in borrowing authority provided in P.L. 113-1.

7

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EXHIBIT E

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 125 of 133
Budget-in-Brief
Fiscal Year 2014
Homeland Security
www.dhs.gov

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“Today, a decade after the creation of a Cabinet-level agency bearing that name, homeland security has come to mean much more … it means the coordinated work of hundreds of thousands of dedicated and skilled professionals, and more than ever, of the American public, of our businesses and families, communities and faith-based groups.”
Secretary Janet Napolitano Third Annual Address on the State of Homeland Security: “The Evolution and Future of Homeland
Security” February 26, 2013

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 127 of 133
Table of Contents
I. Overview ................................................................................................................................................ 1 Department of Homeland Security (DHS) Vision and Mission ............................................................. 1
II. FY 2014 Highlights ................................................................................................................................ 6 Fiscal Year 2014 Budget Request ......................................................................................................... 6 A Day in the Life of Homeland Security.............................................................................................. 29 Efficiency Review and Progress........................................................................................................... 33 FY 2014 National Preparedness Grant Program .................................................................................. 36 DHS Cybersecurity Capabilities........................................................................................................... 44 Risk-Based Security for the Transportation Environment ................................................................... 46 Law Enforcement Collaboration on Active Shooter Prevention .......................................................... 47 Research, Development, and Innovation .............................................................................................. 49 Transforming the Disaster Workforce.................................................................................................. 51 Travel and Trade .................................................................................................................................. 52 Workforce Verification and Fraud Detection ....................................................................................... 59 Use of Evidence and Evaluation in the 2014 Budget ........................................................................... 60 FYs 2009–2012 Select Key Initiatives & Reforms .............................................................................. 64
III. Summary Information by Organization................................................................................................ 85 Departmental Management and Operations ........................................................................................ 87 Analysis and Operations ...................................................................................................................... 97 Office of Inspector General ............................................................................................................... 103 Customs and Border Protection ......................................................................................................... 109 U.S. Immigration and Customs Enforcement..................................................................................... 121 Transportation Security Administration ............................................................................................. 131 U.S. Coast Guard ............................................................................................................................... 139 U.S. Secret Service ............................................................................................................................ 151 National Protection and Programs Directorate ................................................................................... 157 Office of Health Affairs ..................................................................................................................... 165 Federal Emergency Management Agency ......................................................................................... 171 U.S. Citizenship and Immigration Services ...................................................................................... 183 Federal Law Enforcement Training Center ....................................................................................... 189

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Science and Technology Directorate ................................................................................................. 193 Domestic Nuclear Detection Office .................................................................................................. 199 IV. Resource Tables ................................................................................................................................. 205 FYs 2012–2014 President’s Budget Build ......................................................................................... 207 Fiscal Year 2012–2014 Homeland and Non-Homeland Allocations ................................................. 211

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 129 of 133
Overview
Department of Homeland Security
OUR VISION Preserving our freedoms, protecting America …we secure our homeland. Our Mission The Department of Homeland Security will lead the unified national effort to secure America. We will prevent and deter terrorist attacks and protect against and respond to threats and hazards to the nation. We will ensure safe and secure borders, welcome lawful immigrants and visitors and promote the free-flow of commerce.
1

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FY 2014 Highlights

Fiscal Year 2014 Overview

Net Discretionary: Discretionary Fees: Less rescission of prior year funds: 4 Gross Discretionary Mandatory, Fee, Trust Funds: Total Budget Authority:

FY 2012 Revised Enacted 1
$000
$ 46,381,144

FY 2013 Annualized
CR 2
$000
$ 46,560,550

FY 2014 Pres. Budget 3
$000 $ 44,672,346

FY 2014 +/- FY 2012
$000 $ (1,708,798)

3,515,166

3,639,720

3,785,021

(196,468)

(131,412)

-

49,699,841

50,068,858

48,457,367

10,271,646

10,616,486

11,501,970

$ 59,971,487 $ 60,685,344 $ 59,959,337

269,855 -
(1,438,943)
1,230,324 $ (208,619)

Supplemental: 5

$ $ 12,071,908

$

$

-

-

-

1/ FY 2012 Revised Enacted:

• Reflects a transfer of $24 million from FEMA to OIG pursuant to P.L. 112-74.

• Excludes USCG Overseas Contingency Operations funding of $258.0 million P.L. 112-74.

• Includes $63.5 million transfer to USCG - AC&I from DoD pursuant to P.L. 112-74.

• Includes FEMA Disaster Relief base funds of $700 million and an additional $6.4 billion enacted separately

pursuant to the Budget Control Act.

2/ FY 2013 Annualized CR: • FY 2013 Annualized CR reflects FY 2012 Enacted pursuant to P.L. 112-74 less rescission of prior year unobligated balances plus 0.612% increase. • Reflects a transfer of $24 million from FEMA to OIG pursuant to P.L. 112-74. • Excludes USCG Overseas Contingency Operations funding of $258.0 million P.L. 112-74. Excludes $63.5 million transfer to USCG - AC&I from DoD pursuant to P.L. 112-74. • Includes FEMA Disaster Relief base funds of $700 million and an additional $6.4 billion enacted separately pursuant to the Budget Control Act. • Reflects a technical adjustment of $76.090 million for TSA - Aviation Security revised fee levels. • Excludes USCG Overseas Contingency Operations of $258.0 million P.L. 112-74. • Includes $63.5 million transfer to USCG - AC&I from DoD pursuant to P.L. 112-74. • Reflects FEMA Disaster Relief base funds of $700 million and an additional $6.4 billion enacted separately pursuant to the Budget Control Act. • Reflects a technical adjustment of $24.062 million to revise the FPS offsetting fee levels. • Reflects technical adjustments of $438.653 million to revise USCIS fee levels. "

3/ FY 2014 President's Budget: • Reflects a proposed transfer of $24 million from FEMA to OIG.
• Includes FEMA Disaster Relief base funds of $570 million ($570.522) and an additional $5.6 billion ($5,626.386) for major disasters declared pursuant to the Stafford Act and designated by the Congress as being for disaster relief pursuant to section 251 (b)(2)(D) of the Balance Budget and Emergency Deficit Control Act of 1985 (BBEDCA), as amended by the Budget Control Act of 2011.
• Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment is: $54,332,951 • Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $42,830,981. • Net Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $39,045,960.

"4/ Rescissions of Prior Year Unobligated Balances: • FY 2012 - Pursuant to P.L. 112-74, reflects FY 2012 rescissions of prior year unobligated balances of -$196.468 million. Excludes rescissions from Working Capital Fund $5.201 million and CT Fund $0.96 million. • FY 2013 - Reflects rescissions of prior year unobligated balances of -$131.412 million. "
"5/ In order to obtain comparable figures, Net Discretionary, Gross Discretionary, and Total Budget Authority excludes: • FY 2013 supplemental funding pursuant to P.L. 113-2 (Disaster Relief Appropriations Act 2013): CBP ($1.667 million), ICE ($0.855 million), USCG ($274.233 million), USSS ($0.300 million), FEMA ($11.787 billion), S&T ($3.249 million), DNDO ($3.869 million). • Excludes FEMA NFIF ($9.7 billion) increase in borrowing authority provided in P.L. 113-1.

TOTAL BUDGET AUTHORITY
3

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 131 of 133
FY 2014 Highlights
Dollars in Thousands

60,000,000 50,000,000

$60,167,956

$60,816,756

$59,959,337

$10,271,646

$10,616,486

$11,501,970

40,000,000 30,000,000 20,000,000

$49,896,310

$50,200,270

Mandatory, Fees, Trust
$48,457,367 Funds
Gross Discretionary

10,000,000

0
FY 2012 Revised Enacted

FY 2013 Annualized
CR

FY 2014 President's
Budget

• FY 2014 Gross Discretionary funding decreases by $1.4 billion, or 2.8 percent, over FY 2012
• FY 2014 estimated mandatory fees and trusts budget authority increased by $1.2 billion, or 11.9 percent over FY 2012.
• FY 2014 Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment is: $54,332,951.
• FY 2014 Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $42,830,981.
• FY 2014 Net Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $39,045,960.
• FY 2013 Supplemental funding of $12.0 billion is excluded.
FY 2014 Percent of Total Budget Authority By Organization
4

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 132 of 133
FY 2014 Highlights
$59,959,337,000
Notes: • Departmental Operations is comprised of the Office of the Secretary & Executive Management, DHS Headquarters Consolidation, the Office of the Undersecretary for Management, the Office of the Chief Financial Officer, and the Office of the Chief Information Officer.
TOTAL BUDGET AUTHORITY BY ORGANIZATION
Gross Discretionary, Mandatory, Fees, and Trust Funds 5

Case 3:15-cv-01181-JD Document 1-1 Filed 03/12/15 Page 133 of 133
FY 2014 Highlights

FY 2012 Revised Enacted 1
$000

FY 2013 Annualized CR 2
$000

FY 2014 Pres. Budget 3
$000

FY 2014 +/FY 2012
$000

FY 14 +/-
FY 12
%

Departmental Operations 4 Analysis and Operations (A&O)

$ 804,136 338,068

Office of the Inspector General (OIG) U.S. Customs & Border Protection (CBP) U.S. Immigration & Customs Enforcement (ICE) Transportation Security Administration (TSA) U.S. Coast Guard (USCG) U.S. Secret Service (USSS) National Protection and Programs Directorate (NPPD) Office of Health Affairs (OHA) Federal Emergency Management Agency (FEMA) FEMA: Grant Programs U.S. Citizenship & Immigration Services (USCIS) Federal Law Enforcement Training Center (FLETC) Science &Technology Directorate (S&T) Domestic Nuclear Detection Office (DNDO)

141,000 11,781,438 5,982,977 7,855,938 10,422,410 1,914,445 2,525,688
165,049 11,638,525 2,285,403 3,078,465
271,413 673,000 290,000

TOTAL BUDGET AUTHORITY:

$ 60,167,956

Less: Mandatory, Fee, and Trust Funds

10,271,646

Less: Discretionary Offsetting Fees

3,515,166

$ 802,768 339,957
141,863 11,863,849 5,878,209 7,910,532 10,497,057 1,920,706 2,804,087
168,356 11,867,560 2,308,826 3,077,782
272,703 671,807 290,695
$ 60,816,756 $ 10,616,486
3,639,720

$

810,773

309,228

143,309 12,900,103 5,341,722 7,398,295 9,793,981 1,801,389 2,568,543
131,797 11,327,685 2,123,200 3,219,466
271,429 1,527,096
291,320

$ 59,959,337 $ 11,501,970
3,785,021

$ 6,637 (28,840)
2,309 1,118,665 (641,255) (457,643) (628,429) (113,056)
42,855 (33,252) (310,840) (162,203) 141,001
16 854,096
1,320
$ (208,619) $ 1,230,324
269,855

1% -8%
2% 9% -11% -6% -6% -6% 2% -20% -3% -7% 5% 0% 127% 0%
-0.34% 11.59%
7%

NET DISC. BUDGET AUTHORITY:
Less Rescission of Prior-Year Carryover - Regular Appropriations: 5

$ 46,381,144 $ 46,560,550 $ 44,672,346

(196,468)

(131,412)

-

$ (1,708,798) - -

ADJUSTED NET DISC. BUDGET AUTHORITY: 4

$ 46,184,675 $ 46,429,138 $ 44,672,346

$ (1,512,329)

-3%

Supplemental: 6

-

$ 12,071,908

-

- -

"1/ FY 2012 Revised Enacted: • Reflects a transfer of $24 million from FEMA to OIG pursuant to P.L. 112-74. • Excludes USCG Overseas Contingency Operations funding of $258.0 million P.L. 112-74. • Includes $63.5 million transfer to USCG - AC&I from DoD pursuant to P.L. 112-74. • Includes FEMA Disaster Relief base funds of $700 million and an additional $6.4 billion enacted separately for major disasters pursuant to the Budget Control Act. "2/ FY 2013 Annualized CR: • FY 2013 Annualized CR reflects FY 2012 Enacted pursuant to P.L. 112-74 less rescission of prior year unobligated balances plus 0.612% increase. • Reflects a transfer of $24 million from FEMA to OIG pursuant to P.L. 112-74. • Excludes USCG Overseas Contingency Operations funding of $258.0 million P.L. 112-74. • Excludes $63.5 million transfer to USCG - AC&I from DoD pursuant to P.L. 112-74. • Includes FEMA Disaster Relief base funds of $700 million and an additional $6.4 billion enacted separately for major disasters pursuant to the Budget Control Act. " "3/ FY 2014 President's Budget: • Reflects a proposed transfer of $24 million from FEMA to OIG. • Includes FEMA Disaster Relief base funds of $570 million ($570.522) and an additional $5.6 billion ($5,626.386) for major disasters pursuant to the Budget Control Act. • Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment is: $54,332,951 • Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $42,830,981. • Net Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $39,045,960. "4/ Departmental Operations is comprised of the Office of the Secretary & Executive Management, DHS Headquarters Consolidation, the Office of the Undersecretary for Management, the Office of the Chief Financial Officer, and the Office of the Chief Information Officer. and the National Special Security Events Fund (NSSE)." "5/ Rescissions of Prior Year Unobligated Balances: • FY 2012 - Pursuant to P.L. 112-74, reflects FY 2012 rescissions of prior year unobligated balances of -$196.468 million. Excludes rescission from Working Capital Fund $5.201 million and CT Fund $0.96 million. • FY 2013 - Reflects rescissions of prior year unobligated balances of -$131.412 million. "6/ In order to obtain comparable figures, Net Discretionary, Gross Discretionary, and Total Budget Authority excludes: • FY 2013 supplemental funding pursuant to P.L. 113-2 (Disaster Relief Appropriations Act 2013): CBP ($1.667 million), ICE ($0.855 million),
USCG ($274.233 million), USSS ($0.300 million), FEMA ($11.787 billion), S&T ($3.249 million), DNDO ($3.869 million). • Excludes FEMA NFIF ($9.7 billion) increase in borrowing authority provided in P.L. 113-1.

6

Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 2 of 22

1 (counsel for Plaintiffs continued)

2 Matt Adams, WSBA No. 28287
3 (application for pro hac vice admission forthcoming) Northwest Immigrant Rights Project
4 615 Second Avenue, Suite 400 Seattle, WA 98104
5 Telephone: (206) 957-8611 Facsimile: (206) 587-4025
6 Email: matt@nwirp.org

7 Trina Realmuto (CA SBN 201088)

National Immigration Project

8

of the National Lawyers Guild

9

14 Beacon St., Suite 602 Boston, MA 02108

10 Telephone: (617) 227-9727 ext. 8 Facsimile: (617) 227-5495

11 Email: trina@nipnlg.org

12 Mary Kenney (WV Bar 2011)

13

Melissa Crow (DC Bar 453487) (applications for pro hac vice admission forthcoming)

14 American Immigration Council 1331 G Street NW, Suite 200

15 Washington, DC 20005

Telephone: (202) 507-7512 16 Facsimile: (202) 742-5619

17 Email: mkenney@immcouncil.org

18 Counsel for Plaintiffs

19

20

21

22

23

24

25

26

27

28

FOIA Complaint for Declaratory and Inj. Relief

Case No.

Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 3 of 22

1

INTRODUCTION

2

1. Plaintiffs are three immigration attorneys and eleven noncitizens who

3 filed Freedom of Information Act (“FOIA”) requests with Defendant UNITED STATES
4 CUSTOMS AND BORDER PROTECTION (“CBP”), an agency within the Department
5
of Homeland Security (“DHS”). Each of the Plaintiffs have waited for more than twenty 6

7 days for their FOIA request(s) to be processed by CBP, and most have waited for over a

8 year. Plaintiffs seek information that is critical to determining their eligibility or—in the

9 case of the attorney Plaintiffs—their clients’ eligibility for lawful permanent residence or

10 other immigration relief. Plaintiffs’ efforts to determine eligibility or file immigration

11 applications are stymied for as long as their FOIA requests continue to linger—
12 unprocessed—at CBP.
13

14

2. Despite FOIA’s mandate that an agency issue a response within 20

15 business days of a FOIA request, CBP routinely fails to respond to FOIA requests within

16 the statutory period. Plaintiffs seek to represent a national class of individuals who have

17 filed FOIA requests with CBP, but have not received a response from CBP within 20
18 business days, the period mandated by FOIA. 5 U.S.C. § 552(a)(6)(A)(I). 19
3. CBP’s FOIA backlog has grown exponentially. At the close of fiscal year 20
(“FY”) 2013, CBP had close to 38,000 FOIA requests that had been pending for more 21 22 than 20 business days.1 The FY 2013 backlog was more than nine times greater than it

23

24

25 1 See Declaration of Stacy Tolchin in Support of Complaint for Declaratory and

26

Injunctive Relief Under the Freedom of Information Act (“Tolchin Dec.”) at Exh. A, Department of Homeland Security, Privacy Office, 2013 Freedom of Information Act Report to

27 the Attorney General of the United States (“DHS FOIA Annual Report 2013”) at 18. DHS has not yet published its FY 2014 FOIA Annual Report; FY 2013 statistics are the most recent figures

28 available.

FOIA Complaint for Declaratory and Inj. Relief

Case No.

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Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 4 of 22

1 had been just two years earlier, at the close of FY 2011.2

2

4. CBP contributed to this ever-growing backlog by processing fewer cases

3 each year between FY 2011 and 2013.3

4

5.

CBP has significantly more funding than its two counterparts within

5

DHS—United States Citizenship and Immigration Services (“USCIS”) and Immigration 6

7 and Customs Enforcement (“ICE”).4 Despite this, its FOIA backlog is significantly

8 greater than either agency.5 In fact, although CBP received only 41,381 FOIA requests in

9 FY 2013, in comparison with 132,797 requests received by USCIS, CBP’s backlog grew

10 during that year while USCIS reduced its backlog.6

11

6.

Plaintiffs and the Proposed Class suffer harm due to CBP’s failure to

12

respond to their requests because—without the information that they requested through 13

14 FOIA—they are unable to ascertain the legal significance of their or their clients’ past

15 interactions with border officials. CBP’s delay also prevents Plaintiffs and the Proposed

16 Class from moving forward with applications for which they or their clients may be

17 eligible, and causes unnecessary emotional hardship for those left in legal limbo while

18 they wait to obtain the records that hold the key to assessing their immigration options in 19

20 2 Id. at 18; Tolchin Dec. at Exh. C, Department of Homeland Security, Privacy Office, 2011

Freedom of Information Act Report to the Attorney General of the United States (“DHS FOIA

21 Annual Report 2011”) at 19.

22

3 Tolchin Dec. at Exh. A, DHS FOIA Annual Report 2013 at 3; Tolchin Dec. at Exh. C, DHS FOIA Annual Report 2011 at 3; Tolchin Dec. at Exh. B, Department of Homeland Security,

23 Privacy Office, 2012 Freedom of Information Act Report to the Attorney General of the United States (“DHS FOIA Annual Report 2012”) at 3.

24 4 For at least the last three fiscal years, CBP’s budget was almost double that of ICE and almost

three times as much as USCIS. CBP received between 11 and 12.5 million dollars each of these 25 years, while ICE received less than 6 million, and USCIS less than 3.5 million. See Tolchin Dec.

26

at Exh. E, “DHS Budget in Brief, Fiscal Year 2014” at 6; Tolchin Dec. at Exh. D, “DHS Budget in Brief, Fiscal Year 2015” at 7.

27 5 Tolchin Dec. at Exh. A, DHS FOIA Annual Report 2013 at 16. 6 Id. at 3, 16.

28

FOIA Complaint for Declaratory and Inj. Relief

Case No.

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Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 5 of 22

1 the United States.

2

7.

Due to this backlog and the ensuing harm it causes, Plaintiffs seek class

3 certification, declaratory, and injunctive relief ordering CBP to respond to FOIA requests
4 which have been pending for more than 20 business days, and ordering CBP to timely
5
process future requests as required by FOIA. 5 U.S.C. §§ 552(a)(6); 552(a)(3). 6

7

JURISDICTION AND VENUE

8

8. This Court has jurisdiction under 5 U.S.C. § 552 et seq. (FOIA statute), 28

9 U.S.C. § 1331 (federal question), and 28 U.S.C. § 2201 (declaratory judgment).

10

9. Venue is proper under 5 U.S.C. § 552(a)(4)(B) and 28 U.S.C. § 1391(e)(1)

11 because this is a civil action in which Defendant is a national agency; because Plaintiffs
12 Isidro de Jesus Rodriguez Sanchez, Nelida Ornelas Renteria, and Santos Miguel Flores
13

14 Aguilar reside in this judicial district; and there is no real property involved in this action.

15

10. Plaintiffs have exhausted any and all administrative remedies in

16 connection with their FOIA requests, as detailed below.

17

PARTIES

18

11. Plaintiff Meredith R. BROWN is an immigration attorney in Glendale,

19 California. She currently has numerous FOIA requests filed with CBP on behalf of her
20 clients that have been pending for over 20 business days.
21

22

12. Plaintiff Kelly RYAN is an immigration attorney in Denver, Colorado.

23 She currently has numerous FOIA requests filed with CBP on behalf of her clients that

24 have been pending for over 20 business days.

25

13. Plaintiff Jeri FLYNN is an immigration attorney in Baton Rouge,

26 Louisiana. She currently has numerous FOIA requests filed with CBP on behalf of her
27 clients that have been pending for over 20 business days.
28

FOIA Complaint for Declaratory and Inj. Relief

Case No.

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Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 6 of 22

1

14. Plaintiff Isidro de Jesus RODRIGUEZ SANCHEZ resides in Hayward,

2 California. He currently has a FOIA request filed with CBP that has been pending for
3 over 20 business days.
4 15. Plaintiff Nelida Ornelas RENTERIA resides in Oakland, California. She
5 currently has a FOIA request filed with CBP that has been pending for over 20 business
6
7 days.

8

16. Plaintiff Santos Miguel FLORES AGUILAR resides in San Jose,

9 California. He currently has a FOIA request filed with CBP that has been pending for

10 over 20 business days.

11 17. Plaintiff Emma QUEZADA resides in Murietta, California. She currently has a
12 FOIA request filed with CBP that has been pending for over 20 business days.
13

14

18. Plaintiff Manuel Cruz RENDON resides in Los Angeles, California. He

15 currently has a FOIA request filed with CBP that has been pending for over 20 business

16 days.

17

19. Plaintiff Orlanda URBINA resides in North Hollywood, California. She

18 currently has a FOIA request filed with CBP that has been pending for over 20 business
19 days.
20 20. Plaintiff Juan de DOIS CRUZ ROJAS resides in Picabo, Idaho. He
21
22 currently has a FOIA request filed with CBP that has been pending for over 20 business

23 days.

24

21. Plaintiff Maria de Jesus CALDERON RUIZ resides in Alpaugh,

25 California. She currently has a FOIA request filed with CBP that has been pending for
26 over 20 business days.
27 22. Plaintiff Cristina Lucero ROMERO resides in Carthage, North Carolina.
28

FOIA Complaint for Declaratory and Inj. Relief

Case No.

4

Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 7 of 22

1 She currently has a FOIA request filed with CBP that has been pending for over 20

2 business days.

3 23. Plaintiff Noe ZARAGOZA-QUIROZ resides in Nashville, Tennessee. He
4 currently has a FOIA request filed with CBP that has been pending for over 20 business
5
days. 6

7

24. Plaintiff Maico MONTOYA-ARELLANO resides in Nashville,

8 Tennessee. He currently has a FOIA request filed with CBP that has been pending for

9 over 20 business days.

10

25. Defendant UNITED STATES CUSTOMS AND BORDER

11 PROTECTION (“CBP”) is a component agency of DHS and is an agency within the
12 meaning of 5 U.S.C. § 552(f)(1). Among other duties, CBP is responsible for enforcing
13

14 immigration laws at the borders and other ports of entry to the United States. CBP

15 inspects all individuals seeking entry to the United States, including U.S. citizens, lawful

16 permanent residents, nonimmigrants, and asylum seekers. CBP has authority to admit or

17 exclude individuals, issue “expedited removal” orders, parole noncitizens into the United
18 States, and permit them to withdraw applications for admission. CBP has in its 19
possession, custody, and control the records Plaintiffs seek. 20

21

22

FACTUAL ALLEGATIONS

23

CBP’s Processing Times and Backlog

24

26. The statutory time period for a FOIA response is 20 business days. 5

25 U.S.C. § 552(a)(6)(A)(i).
26 27. At the close of fiscal year (“FY”) 2013, there were close to 38,000
27 requests pending at CBP. CBP’s average FOIA processing times and its backlog have
28

FOIA Complaint for Declaratory and Inj. Relief

Case No.

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Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 8 of 22

1 been growing substantially for at least the past three years.

2

28. DHS defines “backlog” as the “number of requests or administrative

3 appeals pending at an agency at the end of the fiscal year that are beyond the statutory
4 time period for a response.”7
5 29. DHS reported that CBP received 32,107 FOIA requests in FY 2011,
6
7 33,243 FOIA requests in FY 2012, and 41,381 FOIA requests in FY 2013.8

8

30. DHS reported that CBP had a backlog of 4,365 requests at the close of FY

9 2011.9 In FY 2012, this number increased to 10,648 pending requests.10 By the end of

10 FY 2013, the backlog grew exponentially to 37,848 pending FOIA requests.11 Over the

11 course of these three fiscal years, the backlog grew by a total of 23,213 requests;
12 consequently, in FY 2013, the backlog was over nine times larger than it was in 2011.
13

14

31. The increase in the number of FOIA requests filed in FY 2011 through

15 FY 2013 is much less than the increase in backlogged requests during this same period.

16 Indeed, DHS reported a dramatic decrease in the number of requests that CBP processed

17 each year: from 27,818 requests processed in FY 2011 down to only 14,635 requests
18 processed in FY 2013. 12 19
32. Upon information and belief, CBP is not practicing a “first come-first 20
served” policy in responding to FOIA requests, and instead is processing newer requests 21 22 in a more expeditious manner than those already present in the backlog. For instance, the

23

24 7 Tolchin Dec. at Exh. A, DHS FOIA Annual Report 2013 at vii.

8 Tolchin Dec. at Exh. A, DHS FOIA Annual Report 2013 at 3; Tolchin Dec. at Exh. B, DHS

25 FOIA Annual Report 2012 at 3; Tolchin Dec. at Exh. C, DHS FOIA Annual Report 2011 at 3.

26

9 Tolchin Dec. at Exh. C, DHS FOIA Annual Report 2011 at 16. 10 Tolchin Dec. at Exh. B, DHS FOIA Annual Report 2012 at 16.

27 11 Tolchin Dec. at Exh. A, DHS FOIA Annual Report 2013 at 16. 12 Tolchin Dec. at Exh. A, DHS FOIA Annual Report 2013 at 3; Tolchin Dec. at Exh. B, DHS

28 FOIA Annual Report 2012 at 3; Tolchin Dec. at Exh. C, DHS FOIA Annual Report 2011 at 3.

FOIA Complaint for Declaratory and Inj. Relief

Case No.

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Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 9 of 22

1 2013 DHS Annual FOIA Report shows that CBP processed 1,730 new FOIA requests

2 within the 20 day statutory period, while its backlog grew exponentially.13
3 33. The statistics demonstrate that CBP is not prioritizing reducing its backlog
4 of pending FOIA requests.
5 34. Any effort that CBP has made to clear this backlog has been wholly
6
7 inadequate and ineffectual.

8

35. CBP’s backlog is ten times larger than the backlog for USCIS, the agency

9 responsible for adjudicating immigration applications and for processing FOIA requests
10 seeking copies of an individual’s “alien registration file” (commonly referred to as the “A
11 file”). Although USCIS received almost three times the number of FOIA requests as CBP
12 in FY 2013—132,797 requests in comparison to CBP’s 41,381—it was able to reduce its
13 14 backlog of pending cases by more than two-thirds.14 As a result, DHS reported a backlog
15 of just 3,394 cases for USCIS at the close of FY 2013, compared to the 37,848 cases for
16 CBP.15

17

36. CBP’s backlog is nine times greater than the backlog for ICE, the agency

18 responsible for prosecuting immigration cases and enforcing immigration laws, even

19 though CBP received only roughly 20 percent more FOIA requests in 2013 (CBP
20 received 41,381 requests compared to ICE’s 34,161).16
21

22

37. No exceptional circumstances exist warranting a delay in processing CBP

23 FOIA requests. An agency’s failure to keep up with the pace of FOIA requests is not an

24 “exceptional circumstance.” Indeed, USCIS received a much greater increase in the

25

26 13 Tolchin Dec. at Exh. A, DHS FOIA Annual Report 2013 at 11. 27 14 Id. at 3, 18.
15 Id. at 16. 28 16 Id. at 18.

FOIA Complaint for Declaratory and Inj. Relief

Case No.

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Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 10 of 22

1 number of requests in 2013 but was still able to reduce its backlog. 5 U.S.C. §

2 552(a)(6)(C)(i).
3 38. CBP has failed to timely respond to Plaintiffs’ FOIA requests in the 20
4 business days required by statute, and has a pattern and practice of failing to do so with
5 respect to the majority of FOIA requests it receives. CBP has not demonstrated due
6
7 diligence in responding to Plaintiffs’ FOIA requests or in clearing out the backlog of

8 overdue FOIA requests.

9

39. Moreover, CBP has more funding than any of the fourteen agencies within

10 DHS, including USCIS, ICE, FEMA, the U.S. Coast Guard, and the U.S. Secret
11 Service.17 Further, in the last two fiscal years, CBP received the second largest increase 12
in funding of the 14 other agencies within DHS.18 13

14

15

Harm to Plaintiffs and Proposed Class Members

16

40. CBP records often are critical evidence in immigration cases. A

17 noncitizen’s past interactions with CBP may affect his or her ability to qualify for lawful
18 permanent resident status. For example, to adjust to lawful permanent resident status, a 19
noncitizen must document that he or she was “inspected and admitted or paroled” into the 20
United States. 8 U.S.C. § 1255(a). At all U.S. ports of entry, CBP is the agency 21 22 responsible for determining who is to be admitted or paroled into the United States. CBP
23 maintains records of many of the admission and parole decisions it makes with respect to

24 noncitizens. In many adjustment of status cases, these records are the only evidence that

25 the applicant can produce to demonstrate that he or she was admitted or paroled and
26 27 17 Tolchin Dec. at Exh. D, DHS Budget in Brief, Fiscal Year 2015 at 7.
18 Tolchin Dec. at Exh. E, DHS Budget in Brief, Fiscal Year 2014 at 6; Tolchin Dec. at Exh. D, 28 DHS Budget in Brief, Fiscal Year 2015 at 7.

FOIA Complaint for Declaratory and Inj. Relief

Case No.

8

Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 11 of 22

1 therefore eligible for lawful permanent resident status.

2

41. Additionally, pursuant to 8 U.S.C. § 1225(b), CBP issues “expedited

3 removal orders” against some individuals apprehended at the border who attempted entry
4 without proper documentation. Other individuals are permitted to withdraw their
5
applications for admission and depart the United States without having an expedited 6

7 removal order entered against them. 8 U.S.C. § 1225(a)(4). Many individuals who are

8 turned away at the border are uncertain if they were issued expedited removal orders or

9 simply permitted to withdraw their applications for admission.

10

42. For those individuals who are issued expedited removal orders, they are, at

11 a minimum, inadmissible to the United States for a five-year period and, consequently,
12 ineligible for an immigrant or nonimmigrant visa and ineligible to adjust status during this
13

14 period. In addition, if CBP documentation shows that the expedited removal order was

15 issued based on an allegedly false claim to U.S. citizenship, the person may be found to be

16 permanently inadmissible. See 8 U.S.C. § 1182(a)(6)(C)(ii). Moreover, even if the five-

17 year period has elapsed, the existence of the prior expedited removal order may affect
18 future visa and adjustment applications that have a discretionary component. 19
43. Individuals who have returned to the United States after prior interactions 20
with CBP, and their attorneys, are harmed by CBP’s failure to timely process their FOIA 21 22 requests. To understand their situations, assess their options, and make life decisions,
23 these individuals, as well as lawyers advising them, need to know if CBP previously

24 admitted or paroled them into the United States or issued an expedited removal order. If

25 the FOIA production reveals that CBP issued an expedited removal order, these
26 individuals potentially face additional grounds of inadmissibility, some of which may
27 require an additional waiver application. Other individuals who have returned to the
28

FOIA Complaint for Declaratory and Inj. Relief

Case No.

9

Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 12 of 22

1 United States may potentially face criminal prosecution, see 8 U.S.C. §§ 1325 and 1326,

2 and a similar summary removal process known as reinstatement of removal, see 8 U.S.C.
3 § 1231(a)(5).
4 Plaintiffs’ FOIA Requests
5 44. Plaintiff Brown is an immigration attorney in Glendale, California who
6
7 represents clients before component agencies of DHS and the Executive Office for

8 Immigration Review (EOIR), which consists of the immigration courts and the Board of

9 Immigration Appeals. She has been practicing immigration law for approximately 17
10 years.
11 45. Plaintiff Brown regularly files FOIA requests on behalf of and at the
12 request of her clients, who seek information maintained by DHS agencies, including CBP.
13 14 Plaintiff Brown requires the information requested from CBP in order to adequately
15 advise and represent her clients, including in defending against removal from the United

16 States and applying for affirmative immigration benefits, such as applications for lawful

17 permanent resident status. The requested information may affect her clients’ eligibility for

18 different forms of immigration benefits; it is therefore essential that she obtain the
19 information from CBP before filing for any immigration benefits.
20 46. Plaintiff Brown currently has approximately 32 CBP FOIA requests that
21
22 have been pending for more than 14 months.

23

47. Plaintiff Ryan is an immigration attorney in Denver, Colorado who

24 represents clients before component agencies of DHS and EOIR. She has been practicing

25 immigration law for approximately seven years.
26 48. Plaintiff Ryan regularly files FOIA requests on behalf of and at the request
27 of her clients, who seek information maintained by DHS agencies, including CBP.
28

FOIA Complaint for Declaratory and Inj. Relief

Case No.

10

Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 13 of 22

1 Plaintiff Ryan requires the information requested from CBP in order to adequately advise

2 and represent her clients, including in defending against removal from the United States
3 and applying for affirmative immigration benefits, such as applications for lawful
4 permanent resident status. The requested information may affect her clients’ eligibility for
5 different forms of immigration benefits; it is therefore essential that she obtain the
6
7 information from CBP before filing for any immigration benefits.

8

49. Plaintiff Ryan currently has approximately 25 CBP FOIA requests that

9 have been pending for more than 20 business days, including at least nine requests that

10 have been pending for more than a year.
11 50. Plaintiff Jeri Flynn is an immigration attorney in Baton Rouge, Louisiana
12 who represents clients before component agencies of DHS and EOIR. She has been
13
14 practicing law for approximately 36 years.

15

51. Plaintiff Flynn regularly files FOIA requests on behalf of and at the request of her

16 clients, who seek information maintained by DHS agencies, including CBP. Plaintiff Flynn

17 requires the information requested from CBP in order to adequately advise and represent her
18 clients, including in defending against removal from the United States and applying for affirmative 19
immigration benefits, such as applications for lawful permanent resident status. The requested 20
information may affect her clients’ eligibility for different forms of immigration benefits; it is 21 22 therefore essential that she obtain the information from CBP before filing for any immigration
23 benefits.

24

52. Plaintiff Flynn currently has approximately seven CBP FOIA requests that

25 have been pending for more than 20 business days, including 7 that have been pending for

26 over a year.
27 53.
28

Plaintiff Isidro de Jesus Rodriguez Sanchez, through his attorney, filed a

FOIA Complaint for Declaratory and Inj. Relief

Case No.

11

Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 14 of 22

1 FOIA request with CBP on June 17, 2013, seeking information about a possible past

2 expedited removal order issued by CBP at the United States border. CBP issued a receipt

3 for his FOIA request, number CBP-2013-019829. Although Plaintiff Rodriguez
4 Sanchez’s FOIA has been pending with CBP for 20 months, he has not received the
5
requested information. 6

7

54. Plaintiff Rodriguez Sanchez has been in the United States for 14 years and

8 has three United States citizen children. His attorney requires a response to his pending

9 FOIA request to determine if he is eligible for lawful permanent resident status.

10

55. Plaintiff Nelida Ornelas Renteria, through her attorney, filed a FOIA

11 request with CBP on April 1, 2013, seeking information about a past encounter with CBP,
12 and whether it disqualifies her from applying for lawful permanent resident status. CBP
13

14 issued a receipt for her FOIA request, number CBP-2013-011307. Although Plaintiff

15 Ornelas Renteria’s FOIA has been pending with CBP for 23 months, she has not received

16 the requested information.

17

56. Plaintiff Ornelas Renteria has been in the United States since 2003 and is

18 married to a United States citizen. Her attorney requires the information sought in the

19 FOIA request filed with CBP in order to determine her eligibility for lawful permanent
20 resident status.
21

22

57. Plaintiff Santos Miguel Flores Aguilar, through his attorney, filed a FOIA

23 request with CBP on April 10, 2013, inquiring about a past encounter with border patrol,

24 in order to determine whether any such encounter would disqualify him from applying for

25 lawful permanent resident status. CBP issued a receipt for his FOIA request, number CBP-
26 2013-014823. Although Plaintiff Flores Aguilar’s FOIA has been pending with CBP for
27 almost 23 months, he has not yet received the requested information.
28

FOIA Complaint for Declaratory and Inj. Relief

Case No.

12

Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 15 of 22

1

58. Plaintiff Flores Aguilar has resided in the United States since 2006, is

2 married to a United States citizen, and has one United States citizen child. The requested
3 information will enable his attorney to determine whether his wife can petition for a visa
4 on his behalf, and whether he can then apply for lawful permanent residence.
5 59. Plaintiff Emma Quezada, through her attorney, filed a FOIA request with
6
7 CBP on May 1, 2013, seeking information from CBP records about entries into and exits

8 from the United States that she made at the United States/Mexico border. CBP issued a

9 temporary receipt for her FOIA request, Number 4071. Although Plaintiff Quezada’s
10 FOIA has been pending with CBP for 22 months, she has not received the requested
11 information.
12 60. Plaintiff Quezada has applied to USCIS to adjust her status to lawful
13 14 permanent resident. In order for USCIS to approve her application, she must provide
15 evidence of her admission into the United States by CBP in 2005. Her FOIA request

16 seeks information from CBP records documenting this admission. A USCIS officer

17 specifically requested such documentation at her January 26, 2015 interview on her

18 adjustment application. Plaintiff Quezada will not be able to continue with her adjustment

19 application without this documentation. Plaintiff Quezada has three United States citizen
20 children and owns a home in the United States.
21

22

61. Plaintiff Manuel Cruz Rendon, through his attorney, filed a FOIA request

23 with CBP on March 2, 2013, seeking information from CBP records regarding his

24 encounters with CBP agents at the United States/Mexico border. CBP issued a receipt for

25 his FOIA request, number CBP-2014-015797. Although Plaintiff Cruz Rendon’s FOIA
26 has been pending with CBP for 24 months, he has not received the requested information.
27 62. Plaintiff Cruz Rendon wishes to apply to adjust his status to lawful
28

FOIA Complaint for Declaratory and Inj. Relief

Case No.

13

Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 16 of 22

1 permanent resident. His wife is prepared to submit a visa petition on his behalf, a

2 necessary prerequisite to his filing an adjustment of status application with USCIS.
3 Plaintiff Cruz Rendon seeks the requested information to determine if he will be eligible
4 to adjust his status.
5 63. Plaintiff Orlanda Urbina, through her attorney, filed a FOIA request with
6
7 CBP on October 21, 2013, seeking any information from CBP records regarding

8 interactions she may have had with CBP officers from 1999 to the present. CBP did not

9 issue a FOIA receipt. Although Plaintiff Urbina’s FOIA has been pending with CBP for

10 16 months, she has not received the requested information.
11 64. Plaintiff Urbina has a United States citizen daughter, United States citizen
12 mother, and lawful permanent resident father. The requested information is necessary for
13
14 her attorney to assess her eligibility for immigration benefits.

15

65. Plaintiff Juan de Dios Cruz Rojas, through his attorney, filed a FOIA

16 request with CBP on July 26, 2013, seeking information about any encounters he may

17 have had with CBP agents. CBP issued a receipt for his FOIA request, number CBP-2013-
18 024525. Although Plaintiff Cruz Rojas’ FOIA has been pending with CBP for 20 months, 19
he has not received the requested information. 20
66. Plaintiff Cruz Rojas has lived in the United States for 15 years and has 21 22 three U.S. citizen children, two U.S. citizen siblings, lawful permanent resident parents
23 and sibling, and U.S. citizen in-laws. The requested information is necessary for his

24 attorney to assess his eligibility for immigration benefits.

25

67. Plaintiff Maria de Jesus Calderon Ruiz, through her attorney, filed a FOIA

26 request with CBP on June 26, 2013, inquiring as to any records issued by CBP in
27 approximately 1993 in San Ysidro, California. CBP issued a receipt for this FOIA
28

FOIA Complaint for Declaratory and Inj. Relief

Case No.

14

Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 17 of 22

1 request, number CBP-2013-021129. Although her FOIA has been pending with CBP for

2 20 months, she has not yet received the requested information.
3 68. Plaintiff Calderon Ruiz has resided in the United States since
4 approximately 1993 and is married to a United States citizen. She has three United States
5 citizen children. Her attorney seeks a response to the FOIA request to determine whether
6
7 Plaintiff’s Calderon Ruiz’s husband may file a visa petition on her behalf and whether she

8 can apply for lawful permanent residence.

9

69. Plaintiff Cristina Lucero Romero, through her attorney, filed a FOIA

10 request with CBP on August 7, 2014, inquiring as to any CBP records evidencing an order
11 of expedited removal. CBP issued a receipt for the FOIA, number CBP-2014-041050.
12 Although her FOIA has been pending for 7 months, she has not yet received the requested
13
14 records.

15

70. Plaintiff Lucero Romero is married to a United States citizen and has two

16 United States citizen children. One of her children is currently hospitalized due to

17 anorexia nervosa. Her attorney requires the requested information in order to counsel
18 Plaintiff Lucero Romero’s husband about filing a visa petition on her behalf, and to 19
counsel her about filing an application for lawful permanent residence. 20
71. Plaintiff Noe Zaragoza-Quiroz, through his attorney, filed a FOIA request 21 22 with CBP on February 26, 2014, requesting records regarding his exact date of entry into
23 the United States so that he could apply for lawful permanent residence. CBP issued a

24 receipt for the FOIA, number CBP-2014-015234. His FOIA request has been pending for

25 one year and he has not received a response.
26 72. Plaintiff Zaragoza-Quiroz is married to a United States citizen and has two
27 United States citizen children from a prior marriage, of whom he has sole custody. His
28

FOIA Complaint for Declaratory and Inj. Relief

Case No.

15

Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 18 of 22

1 United States citizen wife is suffering from a significant back injury, and he cares for her

2 as well. Information from Plaintiff Noe Zaragoza-Quiroz’s CBP FOIA request is vital to
3 determining his eligibility for permanent resident status; if he returned to the United States
4 prior to April 1, 1998, he is eligible for residency.
5 73. Plaintiff Maico Montoya-Arellano Maico, through his attorney, filed a
6
7 FOIA request with CBP on March 21, 2014, requesting records regarding his date of entry

8 into the United States so that he can become a lawful permanent resident. CBP issued a

9 receipt for the FOIA, number CBP-2014-018093. His FOIA request has been pending for
10 almost one year, and he has not received a response.
11 74. Plaintiff Montoya-Arellano Maico is married to a United States citizen and
12 has two U.S. citizen children from this marriage. He has worked as a contractor for the
13 14 same company for many years. He cannot move forward on his application for lawful
15 permanent resident status until the response to the FOIA is received.

16

17

CLASS ACTION ALLEGATIONS

18

75. Pursuant to Federal Rules of Civil Procedure 23(a) and (b), Plaintiffs bring

19 this action on behalf of themselves and all other similarly situated individuals. Plaintiffs
20 seek injunctive relief that applies generally to the Proposed Class, as described below.
21

22

76. The Proposed Class consists of:

23

All individuals who have filed FOIA requests with CBP which have been pending

for more than 20 business days and all individuals who will file FOIA requests

24

with CBP.

25

77. The Proposed Class is so numerous that joinder of all members is

26 impracticable. The number of individuals who filed FOIA requests with CBP is not
27 known with precision by Plaintiffs, but is easily ascertainable by Defendant. DHS’ 2013
28

FOIA Complaint for Declaratory and Inj. Relief

Case No.

16

Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 19 of 22

1 FOIA Annual Report indicates that there were 37,848 pending requests in the CBP

2 backlog. Of that group, it is unknown how many requests are still pending. Hence,
3 Plaintiffs estimate that the number of requests pending for more than 20 business days is
4 in the thousands.
5 78. Common questions of law and fact bind the members of the Proposed
6
7 Class. These include, but are not limited to: whether CBP’s pattern or practice of failing

8 to timely respond to FOIA requests within the 20-day statutory period violates the FOIA,

9 5 U.S.C. § 552(a)(6)(A)(i).

10

79. The claims of the named Plaintiffs are typical of the claims of the

11 Proposed Class as a whole.
12 80. Plaintiffs know of no conflict between their interests and those of the
13

14 Proposed Class. The members of the Proposed Class are ascertainable and identifiable

15 through notice and discovery. In defending their own rights, the individual Plaintiffs will

16 defend the rights of all class members fairly and adequately.

17

81. Plaintiffs are represented in this case by counsel with deep knowledge of

18 immigration and FOIA law, and extensive experience litigating class actions and complex

19 cases. Plaintiffs’ attorneys have the requisite level of expertise to adequately prosecute this
20 case on their behalf and on behalf of the Proposed Class.
21

22

82. Defendants have failed to act on grounds generally applicable to each

23 member of the Proposed Class by failing to respond to FOIA requests in a timely fashion.

24

83. A class action is superior to other methods available for the fair and

25 efficient adjudication of this controversy because joinder of all members of the class is
26 impracticable.
27

28

FOIA Complaint for Declaratory and Inj. Relief

Case No.

17

Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 20 of 22

1

CAUSES OF ACTION

2

COUNT ONE

3 (Violation of FOIA)

4

(on behalf of named Plaintiffs and the Proposed Class)

5

84. Plaintiffs incorporate the allegations in the paragraphs above as though

6 fully set forth here.
7 85. Defendant is obligated under 5 U.S.C. § 552(a)(3) to conduct a reasonable
8 search for records responsive to FOIA requests and to issue a determination concerning
9 each request within the time period set forth in 5 U.S.C. § 552(a)(6)—20 working days, to
10
11 be extended by no more than 10 working days in the event that the agency notifies the

12 requester in writing of the existence of “unusual circumstances.”

13

86. Defendant has a nationwide pattern and practice of failing to respond to

14 FOIA requests within the statutory time period. No legal basis exists for the Defendant’s

15 nationwide pattern and practice of failing to meet the statutory deadline with respect to the
16 FOIA requests it receives.
17

18

87. Exceptional circumstances do not justify CBP’s delay in processing FOIA

19 requests, and CBP has not exercised due diligence in responding to and clearing the

20 backlog of pending FOIA requests.

21

88. Defendant has failed to respond to FOIA requests of Plaintiffs and

22 Proposed Class members, to make timely determinations concerning these requests, and to

23 disclose responsive records within the statutory time frame, in violation of 5 U.S.C. §§
24
552(a)(3) and (a)(6)(A) and the regulations promulgated thereunder. 25

26

89. Defendant’s failure to make determinations concerning Plaintiffs’ requests

27 for records within the statutory time period constitutes a constructive denial of Plaintiffs’

28

FOIA Complaint for Declaratory and Inj. Relief

Case No.

18

Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 21 of 22

1 requests, and Plaintiffs are deemed to have exhausted their administrative remedies. 5

2 U.S.C. § 552(a)(6)(C)(i). 3

4 PRAYER FOR RELIEF
5

6 WHEREFORE, Plaintiffs pray that this Court grant the following relief:

7

(1) Certify a class pursuant to Federal Rule of Civil Procedure 23 in

8

accordance with this Complaint’s allegations;

9 (2) Declare that CBP’s failure to timely conduct reasonable and timely
10 searches for records responsive to Plaintiffs’ and Proposed Class
11

12

members’ FOIA requests and its refusal to disclose such records within

13

the statutory time frame violate the FOIA;

14

(3) Issue a nationwide injunction requiring Defendant to respond to CBP

15

FOIA requests that have been pending for more than 20 business days,

16 within 60 business days of the Court’s order or as the Court deems
17 appropriate;
18
(4) Order CBP to respond to FOIA requests of Proposed Class members as 19

20

mandated by 5 U.S.C. § 552(a)(6)(A)(i);

21

(5) Award costs and reasonable attorney fees incurred under 5 U.S.C. §

22

552(a)(4)(E); and

23

(6) Grant such further relief as the Court deems just and proper.

24

25

26

27

28

FOIA Complaint for Declaratory and Inj. Relief

Case No.

19

Case 3:15-cv-01181-JD Document 1 Filed 03/12/15 Page 22 of 22

1 Dated: March 12, 2015

Respectfully submitted,

2

Stacy Tolchin, (CA SBN 217431)

3

Law Offices of Stacy Tolchin

634 S. Spring St., Suite 500A

4

Los Angeles, CA 90014

Telephone: (213) 622-7450

5

Facsimile: (213) 622-7233

Email: Stacy@Tolchinimmigration.com 6

7

Matt Adams, WSBA No. 28287

(application for pro hac vice admission forthcoming)

8

Northwest Immigrant Rights Project

615 Second Avenue, Suite 400

9

Seattle, WA 98104

Telephone: (206) 957-811

10

Email: matt@nwirp.org

11 Trina Realmuto (CA SBN 201088)

12

National Immigration Project

of the National Lawyers Guild

13

14 Beacon St., Suite 602

14

Boston, MA 02108 Telephone: (617) 227-9727 ext. 8

15

Facsimile: (617) 227-5495

Email: trina@nipnlg.org

16

Mary Kenney (WV Bar 2011)

17

Melissa Crow (DC Bar 453487)

18

(applications for pro hac vice admission forthcoming)

19

American Immigration Council

1331 G Street NW, Suite 200

20

Washington, DC 20005

Telephone: (202) 507-7522

21

Facsimile: (202) 742-5619 (fax)

22

Email: mkenney@immcouncil.org

23

Counsel for Plaintiffs

24

By: s/Stacy Tolchin

25

Stacy Tolchin

26

27

28

FOIA Complaint for Declaratory and Inj. Relief

Case No.

20

 
 Case 3:15-cv-01181-JD Document 22 Filed 04/22/15 Page 1 of 26

1 Stacy Tolchin (CA SBN 217431) Law Offices of Stacy Tolchin
2 634 S. Spring St., Suite 500A 3 Los Angeles, CA 90014
Telephone: (213) 622-7450 4 Facsimile: (213) 622-7233
Email: Stacy@Tolchinimmigration.com 5
(continued on next page) 6

7

8

UNITED STATES DISTRICT COURT FOR THE

9

NORTHERN DISTRICT OF CALIFORNIA

10

SAN FRANCISCO/ OAKLAND DIVISION

11

12 Meredith R. BROWN; Jorge RODRIGUEZ-

CHOI; Lizz CANNON; Kelly RYAN; Jeri 13 FLYNN; Arturo DOMINGUEZ COBOS; Isidro

14

de Jesus RODRIGUEZ SANCHEZ; Nelida ORNELAS RENTERIA; Manuel CRUZ

15 RENDON; Orlanda URBINA; Juan de DIOS CRUZ ROJAS; Maria de Jesus CALDERON

16 RUIZ; Cristina Lucero RAMIREZ; Carolina

CASTOR-LARA; Efren ESCOBEDO; Delmy 17 GONZALEZ-ORDENEZ; Artemio Alejandro

18 PICHARDO-DELGADO; and Farook ASRALI,

19

Plaintiffs,

Case No. CV 15-01181-JD
First Amended Complaint for Declaratory and Injunctive Relief Under the Freedom of Information Act
Class Action

20

v.

21 UNITED STATES CUSTOMS AND BORDER

22

PROTECTION; and DEPARTMENT OF HOMELAND SECURITY,

23 Defendants.
24

25

26

27

28

First Amended FOIA Complaint for Declaratory and Inj. Relief

Case No. CV 15-01181-JD

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 1 of 40

1 Stacy Tolchin (CA SBN 217431) Law Offices of Stacy Tolchin
2 634 S. Spring St., Suite 500A 3 Los Angeles, CA 90014
Telephone: (213) 622-7450 4 Facsimile: (213) 622-7233
Email: Stacy@Tolchinimmigration.com 5
(continued on next page) 6

7

8

UNITED STATES DISTRICT COURT FOR THE

9

NORTHERN DISTRICT OF CALIFORNIA

10

SAN FRANCISCO / OAKLAND DIVISION

11

12 Meredith R. BROWN; Jorge RODRIGUEZ-

CHOI; Lizz CANNON; Kelly RYAN; Jeri 13 FLYNN; Arturo DOMINGUEZ COBOS; Isidro

14

de Jesus RODRIGUEZ SANCHEZ; Nelida ORNELAS RENTERIA; Manuel CRUZ

15 RENDON; Orlanda URBINA; Juan de DIOS CRUZ ROJAS; Maria de Jesus CALDERON

16 RUIZ; Cristina Lucero RAMIREZ; Carolina

CASTOR-LARA; Efren ESCOBEDO; Delmy 17 GONZALEZ-ORDENEZ; Artemio Alejandro

18 PICHARDO-DELGADO; and Farook ASRALI,

19

Plaintiffs,

Case No. CV 15- 01181-JD
Second Declaration of Stacy Tolchin in Support of Complaint for Declaratory and Injunctive Relief Under the Freedom of Information Act and Motion for Class Certification

20

v.

21 UNITED STATES CUSTOMS AND BORDER

22

PROTECTION; and DEPARTMENT OF HOMELAND SECURITY,

23 Defendants.
24

25

26

27

28 Second Tolchin Dec. in Support of FOIA Complaint

Case No. CV 15- 01181-JD

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 2 of 40

1 (counsel for Plaintiffs continued)

2 Matt Adams, WSBA No. 28287
3 (admitted pro hac vice) Northwest Immigrant Rights Project
4 615 Second Avenue, Suite 400 Seattle, WA 98104
5 Telephone: (206) 957-8611 Facsimile: (206) 587-4025
6 Email: matt@nwirp.org

7 Trina Realmuto (CA SBN 201088)

National Immigration Project

8

of the National Lawyers Guild

9

14 Beacon St., Suite 602 Boston, MA 02108

10 Telephone: (617) 227-9727 ext. 8 Facsimile: (617) 227-5495

11 Email: trina@nipnlg.org

12 Mary Kenney (WV Bar 2011)

13

Melissa Crow (DC Bar 453487) (admitted pro hac vice)

14 American Immigration Council 1331 G Street NW, Suite 200

15 Washington, DC 20005

Telephone: (202) 507-7512 16 Facsimile: (202) 742-5619

17 Email: mkenney@immcouncil.org

18 Counsel for Plaintiffs

19

20

21

22

23

24

25

26

27

28

Second Tolchin Dec. in Support of FOIA Complaint

Case No. CV 15- 01181-JD

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 3 of 40

1 Pursuant to 28 U.S.C. § 1746, I hereby declare as follows:

2

1. My business address is Law Offices of Stacy Tolchin, 634 S. Spring St., Suite

3 500A, Los Angeles, CA 90014. I am co-counsel for Plaintiffs in the pending
4 litigation entitled Brown et al. v. U. S. Customs and Border Protection. I have
5
attached documents from the internet that are referred to in Plaintiffs’ complaint, 6

7

brought under the Freedom of Information Act (“FOIA”).

8

2. The Department of Homeland Security, Privacy Office, 2013 Freedom of

9

Information Act Report to the Attorney General of the United States is available

10

online at http://www.dhs.gov/sites/default/files/publications/privacy-foia-annual-

11 report-fy-2013-dhs_1.pdf (last visited Apr. 14, 2015) and is attached as Exhibit
12 A.
13

14

3. The Department of Homeland Security, Privacy Office, 2012 Freedom of

15

Information Act Report to the Attorney General of the United States is available

16

online at http://www.dhs.gov/sites/default/files/publications/foia/privacy-foia-

17

annual-report-fy-2012-dhs.pdf (last visited Apr. 14, 2015) and is attached as

18

Exhibit B.

19 4. The Department of Homeland Security, Privacy Office, 2011 Freedom of
20 Information Act Report to the Attorney General of the United States is available
21

22

online at http://www.dhs.gov/xlibrary/assets/privacy/privacy-foia-annual-report-

23

fy-2011-dhs.pdf (last visited Apr. 14, 2015) and is attached as Exhibit C.

24

5. The annual Budget in Brief for the Department of Homeland Security, FY 2015,

25

is available online at

26 http://www.dhs.gov/sites/default/files/publications/FY15BIB.pdf (last visited Apr.
27 14, 2015). The document is included up to page 7, as the document is over 200
28

Second Tolchin Dec. in Support of FOIA Complaint

Case No. CV 15- 01181-JD

1

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 4 of 40

1

pages and too voluminous to include in its totality. Blank pages from the report

2

have been omitted. This document is attached as Exhibit D.

3 6. The annual Budget in Brief for the Department of Homeland Security, FY 2014,
4 is available online at
5
http://www.dhs.gov/sites/default/files/publications/MGMT/FY%202014%20BIB 6

7

%20-%20FINAL%20-508%20Formatted%20(4).pdf (last visited Apr. 14, 2015).

8

The document is included up to page 6, as the document is over 200 pages and too

9

voluminous to include in its totality. Blank pages from the report have been

10

omitted. This document is attached as Exhibit E.

11 7. The Department of Homeland Security, Privacy Office, 2014 Freedom of
12 Information Act Report to the Attorney General of the United States is available
13

14

online at http://www.dhs.gov/sites/default/files/publications/dhs-chief-foia-

15

officer-reports-fy-2014.pdf (last visited Apr. 14, 2015) and is attached as Exhibit

16

F.

17

8. In the course of this litigation I collected various declarations associated with this

18

litigation.

19 9. The declaration of Attorney Plaintiff Meredith Brown is attached as Exhibit G.
20 10. The declaration of Attorney Plaintiff Jorge Rodriguez-Choi is attached as Exhibit
21

22

H, including a list of his pending CBP FOIA requests.

23

11. The declaration of Attorney Plaintiff Lizz Cannon is attached as Exhibit I.

24

12. The declaration of Attorney Plaintiff Jeri Flynn is attached as Exhibit J.

25

13. The declaration of Attorney Plaintiff Kelly Ryan is attached as Exhibit K.

26 14. My declaration in support of the motion for class certification is attached as
27 Exhibit L.
28

Second Tolchin Dec. in Support of FOIA Complaint

Case No. CV 15- 01181-JD

2

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 5 of 40

1

15. The declaration of counsel Trina Realmuto in support of the motion for class

2

certification is attached as Exhibit M.

3 16. The declaration of counsel Matt Adams in support of the motion for class
4 certification is attached as Exhibit N.
5
17. The declaration of counsel Mary Kenney in support of the motion for class 6

7

certification is attached as Exhibit O.

8

18. The declaration of counsel Melissa Crow in support of the motion for class

9

certification is attached as Exhibit P.

10

11

12 I declare under penalty of perjury that the above information is true and correct to the
13
14 best of my knowledge. Executed this 22nd day of April 2015 at Los Angeles, CA.

15 s/ Stacy Tolchin

16

Stacy Tolchin

Law Offices of Stacy Tolchin

17

634 S. Spring St., Suite 500A

18

Los Angeles, CA 90014 Telephone: (213) 622-7450

19

Facsimile: (213) 622-7233

Email: Stacy@Tolchinimmigration.com

20

21

22

23

24

25

26

27

28

Second Tolchin Dec. in Support of FOIA Complaint

Case No. CV 15- 01181-JD

3

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 6 of 40

1

Exhibit List

2

Page

3 A. DHS FOIA Annual Report 2013………………………………………………….1
4 B. DHS FOIA Annual Report 2012……………………………………………….. 36
5
C. DHS FOIA Annual Report 2011………………………………………………...72 6

7

D. DHS Budget in Brief 2015……………………………………………………...108

8

E. DHS Budget in Brief 2014……………………………………………………...115

9

F. DHS FOIA Annual Report 2014……………………………………………….124

10

G. Declaration of Attorney Plaintiff Meredith Brown …………………………….160

11 H. Declaration of Attorney Plaintiff Jorge Rodriguez-Choi ………………………164
12 I. Declaration of Attorney Plaintiff Lizz Cannon ………………………………...169
13

14

J. Declaration of Attorney Plaintiff Jeri Flynn …………………………………...172

15

K. Declaration of Attorney Plaintiff Kelly Ryan ………………………………….175

16

L. Declaration of Stacy Tolchin in support of motion for class certification ….....178

17

M. Declaration of counsel Trina Realmuto in support of motion for class

18

certification……………………………………………………………………..181

19

N. Declaration of counsel Matt Adams in support of motion for class

certification……………………………………………………………………..184

20

O. Declaration of counsel Mary Kenney in support of motion for class

21

certification……………………………………………………………………..187

22

P. Declaration of counsel Melissa Crow in support of motion for class certification

23

………………………………………………………………………………….190

24

25

26

27

28

Second Tolchin Dec. in Support of FOIA Complaint

Case No. CV 15- 01181-JD

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 7 of 40
          
   EXHIBITA

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 8 of 40
Department of Homeland Security
Privacy Office 2013 Freedom of Information Act Report to the Attorney General of the United States February 2014
1

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 9 of 40
Message from the Chief Freedom of Information Act Officer
I direct your attention to the report that follows and look forward to providing even better and more responsive customer service in the new year.
As has been the case for several years, DHS continues to receive the largest number of FOIA requests of any federal department or agency in each fiscal year (FY), receiving almost 30 percent of all requests received by the Federal Government. Since President Obama took office, DHS has experienced a 45 percent increase in the number of FOIA requests received. In FY 2009, DHS received 103,093 requests, which was already the largest volume of requests. That volume surged each year: 130,098 in FY 2010; 175,656 in FY 2011; and 190,589 in FY 2012. In FY 2013, DHS received a staggering 231,534 FOIA requests.
The volume of requests the Department receives may be due in large part to the interest of the public in DHS's mission and the function of its components. Of particular interest to the public are immigration-related records under the purview of U.S. Customs and Border Protection (CBP), U.S. Immigration and Customs Enforcement (ICE), the Office of Biometric Identity Management (OBIM) within the National Protection and Program Directorate (NPPD), and U.S. Citizenship and Immigration Services (USCIS). These components continue to receive the largest number of requests, receiving 97 percent of all requests in FY 2013.
As a result, DHS also has the largest backlog of pending FOIA requests. In last year’s annual report, DHS highlighted a 33 percent decrease in the backlog. In FY 2013 however, the backlog increased from 28,553 to 53,598 due in part to the record-setting number of requests received. Components that process requests seeking immigration-related records (e.g., copies of the Alien File, entry/exit records, detention and deportation records) have the largest backlogs in the Department, with CBP, ICE, NPPD and USCIS comprising 95 percent of the total DHS backlog.
Notably, DHS enjoyed a successful year in closing out the department’s ten oldest requests and appeals pending as posted in the FY 2012 report. In this past fiscal year, DHS closed 87 percent of last year’s oldest component pending requests as reported in FY 2012. This includes closing all 10 of the oldest DHS agency-wide cases pending as of end of FY 2012. Additionally, DHS closed 86 percent of the 10 combined oldest component appeals pending as of end of FY 2012. This includes closing seven of the oldest DHS agency wide appeals pending as of end of FY 2012. Closing 87 percent of the ten oldest pending requests and 86 percent of the combined oldest component appeals pending represents a significant step not only toward reducing overall backlogs, but also to improving FOIA administration across DHS.
During this reporting period, DHS continues to take steps to enhance its FOIA program by focusing its efforts on eliminating the backlog of overdue requests, offering enhanced training opportunities, and deploying advanced technology. Additionally, the DHS Privacy Office initiated several actions to ensure policy compliance and provide oversight of FOIA processing within the components. DHS issued guidance on the application of Exemption 6, the posting of congressional correspondence logs, and the handling of fee waivers or claims of membership in a preferential fee category. Additionally, DHS monitored monthly and quarterly data processing statistics in its sustained effort toward closing the oldest requests. As a result, many components reported reducing their backlog of overdue requests. For example, USCIS reduced its backlog from 10,727 at the end of FY 2012 to 3,394 at the
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Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 10 of 40 end of FY 2013, a 68 percent reduction. DHS will continue to seek opportunities to improve the efficiency and cost-effectiveness of its FOIA operations. I am proud of the great work our Department has accomplished. Sincerely, Karen Neuman Chief Freedom of Information Act Officer U.S. Department of Homeland Security
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Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 11 of 40
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 ......................................................................................................................3 A. Received, Processed, and Pending FOIA Requests ...........................................3 B. (1) Disposition of FOIA Requests - All Processed Requests ............................4 (2) Dispostion of FOIA Requests - “Other” Reasons for “Full Denials Based on Reasons Other than Exemptions” from Section V, B(1) Chart....4 (3) Disposition of FOIA Requests - Number of Times Exemptions Applied....6
VI. Administrative Appeals of Initial Determinations of FOIA Requests .............................6 A. Received, Processed, and Pending Administrative Appeals..............................6 B. Disposition of Administrative Appeals - All Processed Appeals ......................7 C. (1) Reasons for Denial on Appeal - Number of Times Exemptions Applied ....7 (2) Reasons for Denial on Appeal - Reasons Other than Exemptions ...............7 (3) Reasons for Denial on Appeal - “Other” Reasons from Section VI, C(2) Chart .............................................................................................................8 (4) Response Times for Administrative Appeals...............................................9 (5) Ten Oldest Pending Administrative Appeals ...............................................9
VII. FOIA Requests: Response Times for Processed and Pending Requests........................10 A. Processed Requests - Response Time for All Processed Perfected Requests..10 B. Processed Requests - Response Time for Perfected Requests in Which Information was Granted .................................................................................10 C. Processed Requests - Response Time in Day Increments ...............................11 (1) Simple Requests Response Time in Day Increments.................................11 (2) Complex Requests Response Time in Day Increments .............................11 (3) Requests Granted Expedited Processing Response Time in Day Increments ..................................................................................................12 D. Pending Requests - All Pending Perfected Requests .......................................12 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..................................................................................14
IX. FOIA Personnel and Costs.................................................................................................15
X. Fees Collected for Processing Requests ............................................................................15
XI. FOIA Regulations (Including Fee Schedule)....................................................................15
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Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 12 of 40 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....................................................................................................16 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 ............................................................................................18 E. (1) Comparison of Numbers of Administrative Appeals from Previous
and Current Annual Report - Appeals Received, Processed, and Backlogged ................................................................................................19 (2) Comparison of Backlogged Administrative Appeals from Previous and Current Annual Report...............................................................................19 APPENDICES. .................................................................................................................20 APPENDIX A: Composition of the Department of Homeland Security...............20 APPENDIX B: Organization of the Department of Homeland Security Chart.....23 APPENDIX C: Names, Addresses, and Contact Information For DHS FOIA
Officers ........................................................................................24
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Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 13 of 40

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 Drive 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.

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.

2. Brief description why requests are not granted:

The records maintained by the Department often contain private information on individuals or involve law enforcement matters. Because law enforcement records are of such interest to subjects of investigation, victims of crime, and the public at large, these records are often requested under the Freedom of Information Act. 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 Center

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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Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 14 of 40

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.*

* 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
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Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 15 of 40
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 DHS’s Privacy Act “mixed systems of records” as if they are subject to the Privacy Act’s 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
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Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 16 of 40
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
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Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 17 of 40 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 10

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 18 of 40

IV. Exemption 3 Statutes

Statute 10 U.S.C. § 130b
10 U.S.C. § 424 18 U.S.C. § 1461 18 U.S.C. §§ 2510-20 18 U.S.C. § 2722(a)

Type of Information Withheld

Case Citation

Personally identifiable information pertaining to members of the armed forces assigned to "routinely deployable unit[s]" and certain employees of DOD and DHS
Organization or any function of, and certain information pertaining to, employees of the Defense Intelligence Agency
Mailing Obscene or CrimeInciting Matter

Hiken v. DOD, 521 F. Supp. 2d 1047, 1062 (N.D. Cal. 2007); O'Keefe v. DOD, 463 F. Supp. 2d 317, 325 (E.D.N.Y. 2006); Windel v. United States, No. A02306, 2005 WL 846206, at *2.
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).

Wiretap requests and the content of any wire, oral, or electronic communication obtained through wiretaps

Mendoza v. DEA, No. 07-5006, 2007 U.S. App. LEXIS 22175 (D.C. Cir. Sept. 14, 2007) (per curiam); Lam Lek Chong v. DEA, 929 F.2d 729, 733 (D.C. Cir. 1991); Payne v. DOJ, No. 9630840, slip op. at 5-6 (5th Cir. July 11, 1997).

Prohibits the disclosure of personal information from a motor vehicle record

Number of Times Relied upon per Component

USCG

1

USCG

1

USSS

1

USSS

1

OIG

2

Total Number of Times Relied upon
by Agency 1
1
1
1
2

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

Information related to child pornography victims

Tampico v. EOUSA, No. 04¬2285, slip op. at 8 (D.D.C. Apr. 29, 2005).

ICE

6

6

26 U.S.C. §§ 6103
31 U.S.C. § 5319 (Bank Secrecy Act)

Certain tax return information and certain tax convention information

Church of Scientology v. IRS, 484 U.S. 9, 15 (1987) (26 U.S.C. § 6103); Pac. Fisheries, Inc. v. IRS, No. 09-35618, 2010 WL 3611645, at *2 (9th Cir. September 15, 2010)(unpublished disposition); Tax Analysts v. IRS, 217 F. Supp. 2d 23, 27-29 (D.D.C. 2002) (26 U.S.C. § 6105).

Reports pertaining to monetary instruments transactions filed under subchapter II of chapter 53 of title 31 and records of those reports

Hulsten v. DEA No.10-4112, 2011 U.S. Dist. LEXIS 25788, at *7-8 (N.D. Iowa Mar. 11, 2011); Berger v. IRS, 487 F. Supp. 2d 482, 496-97 (D.N.J. 2007), aff'd on other grounds, 288 F. App'x 829 (3d Cir. 2008), cert. denied, 129 S. Ct. 2789 (U.S. 2009); Sciba v. Bd. of Governors of the Fed. Reserve Sys., No. 04-1011, 2005 WL 3201206, at *6 (D.D.C. Nov. 4, 2005).

USCIS
ICE USSS

1,740
2 1

1,740 3

1 11

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 19 of 40

Statute U.S.C. § 4702(b)

Type of Information Withheld

Case Citation

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

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. Dep't 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).

Number of Times Relied upon per Component

CBP

1

FEMA

5

ICE

1

NPPD

5

PRIV

3

S&T

3

TSA

3

Total Number of Times Relied upon
by Agency
22

Legal & Safety Employer

Contractor bid or proposal

Research, Inc. v. U.S. Dep't of the

41 U.S.C. § 2102

information; source selection

Army, No. Civ. S001748, 2001

CBP

1

1

information

WL34098652, at *3-4 (E.D. Cal.

2001) dictum).

42 U.S.C. § 262a(h)

Enhanced control of dangerous biological agents and toxins/bioterrorism information

S&T

2

2

49 U.S.C. § 114(s)

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), aff’d on other grounds, 586 F. 3d 1006 (D.C. Cir. 2009; Gordon v. FBI, 390 F. Supp. 2d 897, 900 (N.D. Cal. 2004).

49 U.S.C. § 1114(c) (Transportation Safety Act of 1974)
50 U.S.C. § 403-1(i)(1) (National Security Act of 1947)

Certain "cockpit voice or video recorder recording[s] or transcript[s] of communications by and between flight crew members and ground stations pertaining to [] incident[s] investigated by the [National Transportation Safety] Board"
Intelligence sources and methods

McGilvra v. NTSB, 840 F. Supp. 100, 102 (D.Colo. 1993)
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).

50 U.S.C. § 403g

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”

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).

CBP ICE PRIV
OIG TSA USCG
PRIV
CBP I&A PRIV USCG USSS ICE

369 2,031
1
1 133 2
2
18 3 1 2 9 1

2,401 136 2 34

2 12

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 20 of 40

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. Dep't of Commerce, 317 F.3d 275, 284 (D.C. Cir. 2003); Times Publ'g Co. v. U.S. Dep't of Commerce, 236 F.3d 1286, 1292 (11th Cir. 2001).

Fed. R. Crim. P. 6(e), enacted by Act of July 30, 1977, Pub. L. No. 95-78, 91 Stat.319

Certain records pertaining to grand jury proceedings

Sussman v. USMS, 494 F.3d 1106, 1113 (D.C. Cir. 2007); Fund for Constitutional Gov't v. Nat'l Archives & Records Serv., 656 F.2d 856, 867-68 (D.C. Cir. 1981); Durham v. U.S. Atty. Gen., No. 06-843, 2008 WL 620744, at *2 (E.D. Tex. Mar. 3, 2008); Cozen O'Connor v. U.S. Dep't of Treasury, 570 F. Supp. 2d 749, 776 (E.D. Pa. 2008).

Number of Times Relied upon per Component

Total Number of Times Relied upon
by Agency

S&T

1

1

USCIS

10

10

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

Component †
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS

Number of Requests Pending as of Start of
Fiscal Year 13,513 3 326‡ 12
3 2,903§ 2,395
23 0 85 ** 1 573 760†† 17,024‡‡ 853 §§

Number of Requests Received in Fiscal Year
41,381 73 798 113 109
34,161 15,187
170 45 798 26 909 3,468 132,797 1,499

Number of Requests Processed in Fiscal Year
14,635 73 564 122 78
30,818 12,942
142 45 840 26 851 3,098 138,523 1,575

Number of Requests Pending as of End of
Fiscal Year 40,259 3 560 3 34 6,246 4,640 51 0 43 1 631 1,130 11,298 777

† The following information is important to interpret the FOIA request data presented in this Annual Report: PRIV processes and reports on FOIA requests for itself, the Office of the Secretary (including the Military Advisor’s Office and the Office of Intergovernmental Affairs), and the following components: CISOMB, DNDO, ESEC, MGMT, OHA, OGC, OLA, OPA, and PLCY; Readers of the Annual Report should consider the contents of this footer to apply, as appropriate, to all tables in the report. ‡ Number of requests pending as pf start of fiscal year corrected due to component reporting error in FY 2012 §
There are an unknown number of referred requests from USCIS that were not logged in as of the date of this report, and, therefore are not reflected in the backlog number reported by ICE. Until those requests are processed, it is impossible for DHS to determine if the requests are valid requests that should be reported; DHS will provide revised numbers if necessary once the requests are evaluated. ** Number of requests pending as pf start of fiscal year corrected due to component reporting error in FY 2012 †† Number of requests pending as pf start of fiscal year corrected due to component reporting error in FY 2012 ‡‡ Number of requests pending as pf start of fiscal year corrected due to component reporting error in FY 2012 §§ Number of requests pending as pf start of fiscal year corrected due to component reporting error in FY 2012
3
13

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 21 of 40

Component † AGENCY OVERALL

Number of Requests Pending as of Start of
Fiscal Year
38,474

Number of Requests Received in Fiscal Year
231,534

Number of Requests Processed in Fiscal Year
204,332

Number of Requests Pending as of End of
Fiscal Year
65,676

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

No. of Component Full
Grants

CBP CRCL FEMA FLETC I&A
ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

1,344 18 103 14 2 229
2,888 8 10 49 0
104 2,271 11,774
26
18,840

No. of Partial Grants/ Partial Denials
4,891

No. of Full Denials Based on
Exemptions
58

No Records
3,072

17

0

28

115

8

85

41

9

31

14

3

35

26,867

503

1,104

7,833

13

2,136

84

18

21

12

1

16

149

49

70

8

1

9

188

103

93

192

49

294

79,635 3,515 16,073

254

45

875

Number of Full Denials Based on Reasons Other than Exemptions

All Records Referred

Request Withdrawn

FeeRelated Reason

Not Improper Reasonably FOIA Described Request

Not Agency Record

Duplicate Request

70

92

20

236

4,435

79

289

3

3

0

0

4

0

0

5

96

4

25

61

3

47

4

8

0

0

9

6

0

5

1

0

3

8

4

0

762

67

5

25

397

0

78

0

1

0

0

40

0

0

2

1

1

0

3

2

0

4

0

0

0

0

2

0

107

11

2

221

97

24

8

7

0

0

1

0

0

0

6

71

1

126

122

6

9

1

179

7

8

2

12

39

1,133

94

234

0

9,184 4,706 12,172

12

33

2

15

16

35

5

120,300 4,378 23,942 2,121

701

276

660

14,378 4,879 12,647

Other Total

49 14,635

0

73

12

564

0

122

3

78

781 30,818

31 12,942

2

142

0

45

53

840

0

26

22

851

44 3,098

3 138,523

257 1,575

1,210 204,332

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

Component CBP

Description Coordinated by Another Office
Records Publicly Available Unable to Locate Requestor
Sent in Error

No. of Times Used 15 17 10 7

Total 49

CRCL

N/A

0

0

Coordinated by Another Processing Office

2

FEMA

Records Publicly Available

6

12

Unable to Locate Requestor

4

FLETC

N/A

0

0

4 14

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 22 of 40

Component I&A
ICE
NPPD OIG OPS PRIV
S&T TSA USCG USCIS

Description N/A

No. of Times Used 0

Aggregated

1

Fugitive Disentitlement

532

Litigation

4

Records Publicly Available

1

Referred Documents are Not Responsive

160

Unable to Locate Requestor

83

Duplicate

31

Records Publicly Available

2

N/A

0

Aggregated

3

Coordinated by Another Program Office

7

Litigation

2

Records Publicly Available

31

Unable to Locate Requestor

10

N/A

0

Aggregated

4

Records Publically Available

6

Unable to Locate Requestor, etc.

12

N/A

0

Unable to Locate Requestor

3

Total 0
781
31 2 0 53
0 22 0 3

5 15

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 23 of 40

Component

Description

No. of Times Used

Total

Coordinated by Another Office

1

Nonresponsive to Requests for Additional

Information

173

Opened in Error

6

USSS

Records Publicly Available

2

257

Records Referred Not Responsive

27

Statute of Limitation Passed

26

Unable to Locate Requestor

22

AGENCY OVERALL

1,210

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

Component

Ex. 1

Ex. 2

Ex. 3

Ex. 4

Ex. 5

Ex. 6

Ex. 7(A)

CBP

0

211

389

47

41 4,816 40

CRCL

0

0

0

0

9

19

0

FEMA

0

5

5

46

21

105

0

FLETC

0

1

0

16

11

39

3

I&A

0

0

3

4

11

0

0

ICE

2

25 2,041 17 13,418 25,931 58

NPPD

0

0

5

25

9

896

5

OIG

0

11

3

8

21

95

18

OPS

1

0

0

0

1

10

0

PRIV

6

2

7

27

61

142

28

S&T

1

0

5

5

5

6

0

TSA

1

23

137

22

69

217

26

USCG

3

1

6

20

39

133

42

USCIS

0

121 1,750

92 41,503 49,679 21

USSS

1

1

12

11

19

204

41

AGENCY OVERALL

15

401 4,363 340 55,238 82,292 282

Ex. 7(B)

Ex. 7(C)

Ex. 7(D)

Ex. 7(E)

Ex. 7(F)

0

4,830

5 4,730

5

0

8

0

2

0

0

11

0

5

0

0

8

0

6

4

4

1

7

3

0

5

25,915 26 24,706 17

0

6,022

0 5,969 12

0

83

9

22

11

0

10

0

0

0

1

27

0

40

1

0

2

0

3

0

1

30

0

8

1

3

94

38

38

0

0

65,338 1 61,742 0

0

203

14 190

2

14

102,582 100 97,464 53

Ex. 8
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0

Ex. 9
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0

VI. Administrative Appeals of Initial Determinations of FOIA Requests A. Received, Processed, and Pending Administrative Appeals

Component
CBP FEMA *** FLETC
ICE OGC OIG

No. of Appeals Pending as of Start of Fiscal Year 16
60 0 0 111 14

No. of Appeals Received in Fiscal Year 346
16 7 350 92 17

No. of Appeals Processed in Fiscal Year 354
45 5 317 179 3

No. of Appeals Pending as of End of Fiscal Year 8
31 2 33 24 28

*** FEMA began processing appeals in FY 2013.
6
16

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 24 of 40

TSA

11

18

22

7

USCG

40

34

45

29

USCIS

105

1,959

2,001

63

USSS

11 †††

66

75

2

AGENCY OVERALL

368

2,905

3,046

227

B. Disposition of Administrative Appeals – All Processed Appeals

Component

Number Affirmed on Appeal

CBP

51

FEMA

13

FLETC

4

ICE

110

OGC

85

OIG

0

TSA

11

USCG

9

USCIS

571

USSS

28

AGENCY OVERALL

882

Number Partially Affirmed & Partially Reversed/Remanded
on Appeal 49
3 0 8 9 0 2 0 850 29
950

Number Completely Reversed/Remanded
on Appeal
151 2 0
107 14 1 6 24 380 8 693

Number of Appeals Closed for Other Reasons
103 27 1 92 71 2 3 12 200 10 521

Total
354 45 5 317 179 3 22 45 2,001 75 3,046

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

Component CBP

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

0

4

18

8

7

193

2

0

189

3

198

3

0

0

FEMA

0

1

0

4

4

7

0

0

0

0

1

0

0

0

FLETC

0

0

0

1

2

4

1

0

0

0

0

1

0

0

ICE

0

2

16

1

26

120

1

0

102

0

95

0

0

0

OGC

3

0

5

0

13

9

2

0

28

0

32

3

0

0

OIG

0

0

0

0

0

1

1

0

1

0

0

0

0

0

TSA

1

2

4

0

5

5

0

0

2

0

0

0

0

0

USCG

0

0

2

0

3

8

1

0

1

0

2

0

0

0

USCIS

0

1

24

4

653 793

1

0

976

0

925

0

0

0

USSS

0

1

0

15

1

12

23

0

11

0

17

0

0

0

AGENCY OVERALL 4

11

69

33

714 1,152 32

0 1,310 3 1,270 7

0

0

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

Component

Records Referred at No Records Initial
Request Level

Request Withdrawn

FeeRelated Reason

Records not Reasonably Described

Improper Request for
Other Reasons

Not Agency Record

Duplicate Request or
Appeal

Request in Litigation

Appeal Based Solely on Denial for Expedited Processing

Other *Explain in chart
below

CBP

72

4

5

8

0

10

0

0

0

FEMA

0

4

20

3

0

0

0

0

0

0

4

0

0

††† Number of appeals pending in Fiscal Year corrected due to component reporting error in FY 2012
7
17

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 25 of 40

FLETC

1

0

ICE

69

0

OGC

25

0

OIG

0

0

TSA

1

1

USCG

2

0

USCIS

0

0

USSS

4

0

AGENCY OVERALL

174

9

1

0

0

0

23

0

0

0

0

0

6

0

0

0

0

0

0

0

0

0

0

1

2

0

0

1

5

4

0

1

0

0

0

0

0

0

0

1

0

0

0

0

0

0

1

1

0

190

0

10

0

0

0

2

0

0

55

11

6

207

2

12

2

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

Component CBP

Description Adequacy of Search Records Alternatively Available Untimely (>60 days)

No. of Times Used 2 1 1

0

0

2

16

1

84

0

2

0

0

0

2

0

0

0

6

3

114

Total 4

FEMA

N/A

0

0

FLETC ICE

N/A Fugitive Disentitlement Upheld

0

0

16

16

OGC
OIG TSA USCG USCIS
USSS AGENCY OVERALL

Adequacy of Search Constructive Denial Coordinated by Another Processing Office
Improper Appeal
Moot N/A N/A N/A
Coordinated by Another Office Previously Furnished Opened in Error

36

2

84

39

7

2

2

0

3

0

0

0

0

2

2

6

2

114

8 18

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 26 of 40

C. (4) Response Times for Administrative Appeals

Component CBP FEMA
FLETC ICE OGC OIG TSA
USCG USCIS USSS AGENCY OVERALL

Median Number of Days 12 546 21 16 134 58 38 124
17.81 22 30

Average Number of Days 16.78 641.51 38.60 22.16 169.73 89.66 58.68 235.18 17.79 35.30 132.54

Lowest Number of Days 1 1 10 1 10 9 1 3 1 9 1

Highest Number of Days 256 1,611 120 233 1,344 202 234 941 185 103 1,611

C. (5) Ten Oldest Pending Administrative Appeals

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal

Date of Receipt

N/A

CBP

Number of Days Pending

0

N/A 2013-09-27 2013-09-27 2013-09-25 2013-09-25 2013-09-25 2013-09-23 2013-09-06 2013-09-06

0

2

2

4

4

4

6

17

17

FEMA

Date of Receipt

2010-11-22

Number of Days Pending

721

2010-08-27 779

2010-05-06 858

2010-04-12 876

2010-02-17 914

2009-12-11 2009-08-31 2009-06-25

954

1,024

1,070

2009-02-26 2008-11-20

1,154

1,218

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A 2013-09-16 2013-07-15

FLETC

Number of Days Pending

0

0

0

0

0

0

0

0

11

55

ICE OGC OIG

Date of Receipt

2013-04-12 2013-03-29 2013-03-29 2013-03-14 2013-03-14 2013-03-14 2013-03-14 2013-01-30 2013-01-24 2013-01-23

Number of Days Pending

119

129

129

140

140

140

140

170

174

175

Date of Receipt

2013-07-22 2013-07-16 2013-07-12 2013-07-12 2013-06-18 2013-02-25 2013-02-25 2012-09-05 2012-08-29 2012-06-21

Number of Days Pending

50

54

56

56

73

153

153

269

273

321

Date of Receipt

2012-07-25 2012-07-05 2012-07-03 2012-06-28 2012-06-14 2011-03-09 2010-11-10 2010-09-15 2009-01-14 2008-11-14

Number of Days Pending

298

312

313

316

326

649

728

767

1,182

1,222

Date of Receipt

N/A

N/A

N/A 2013-09-12 2013-09-09 2013-09-06 2013-09-04 2013-08-19 2013-07-12 2012-11-15

TSA

Number of Days Pending

0

0

0

13

16

17

19

30

56

220

USCG

Date of Receipt

2012-09-21 2012-08-27 2012-08-02 2012-07-30 2012-07-11 2012-07-11 2012-01-07 2011-10-05 2011-04-04 2009-03-10

Number of Days Pending

257

275

292

295

308

308

436

500

631

1,146

USCIS

Date of Receipt

2013-09-11 2013-09-11 2013-09-09 2013-09-09 2013-09-09 2013-09-04 2013-08-30 2013-08-28 2013-08-23 2013-08-14

9 19

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 27 of 40

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal

Number of Days Pending

14

14

15

15

15

18

22

23

27

33

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A 2013-09-10 2012-09-28

USSS

Number of Days Pending

0

0

0

0

0

0

0

0

15

252

AGENCY

Date of Receipt

2010-05-06 2010-04-12 2010-02-17 2009-12-11 2009-08-31 2009-06-25 2009-02-26 2009-01-14 2008-11-20 2008-11-14

OVERALL

Number of Days Pending

858

876

914

954

1,024

1,070

1,154

1,182

1,218

1,222

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

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Median No. of Days
129 6 100.5 10 32 45 35 22 2 7 5 6 11 15.76 11
11

Simple

Average No. of Days
142.02

Lowest No. of Days
1

6.07

1

151.37

1

19.26

1

30.93

7

52.79

1

44.22

1

29.22

1

2.75

1

16.47

1

6.75

1

7.4

1

10.83

1

19.73

1

10.79

1

36.71

1

Highest No. of Days
544 12 923 181 49 273 243 119 13 149 18 20 20 397 20
923

Median No. of Days 66.5
12 94 N/A 35.5 37 25 54 4 38 94 231 35 25.35 92
37.5

Complex

Average No. of Days
94.86

Lowest No. of Days
1

15.8

1

147.96

1

N/A

N/A

50.86

1

63.01

2

37.26

1

71.2

7

5.86

1

62.89

1

110.17

67

288.44

21

97.29

2

28.08

1

223.4

21

92.65

1

Highest No. of Days
509 81 899 N/A 290 590 362 304 19 441 184 2,120 983 531 1,510
2,120

Median No. of Days
23 N/A N/A N/A N/A 19 13.5 117 N/A 16.5 93
1 N/A 23.98 N/A
21

Expedited

Average No. of Days
38.44

Lowest No. of Days
1

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

28.76

1

13.5

11

117

117

N/A

N/A

21.3

9

93

93

1

1

N/A

N/A

39.09

5

N/A

N/A

44.01

1

Highest No. of Days
119 N/A N/A N/A N/A 149 16 117 N/A 58 93
1 N/A 219 N/A
219

B. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted

Component
CBP CRCL FEMA FLETC I&A
ICE NPPD OIG

Median No. of Days
79 3 109 17 N/A 46 55 27

Simple

Average No. of Days

Lowest No. of Days

120.48

1

3.8

2

139.39

1

20.27

1

N/A

N/A

51.31

1

55.95

1

32.9

1

Highest No. of Days
544 6
532 69 N/A 273 243 111

Median No. of Days
79 15.5 138 N/A 66.5 50 38.5 69

Complex

Average No. of Days

Lowest No. of Days

105.96

1

19.27

2

172.63

1

N/A

N/A

105.25

11

72.51

1

51.23

3

80.03

10

Expedited

Highest No. Median No. Average No. Lowest No. of Days of Days of Days of Days

509

23

38.44

1

81

N/A

N/A

N/A

899

N/A

N/A

N/A

N/A

N/A

N/A

N/A

281

N/A

N/A

N/A

519

18

31.64

1

362

13.5

13.5

11

304

117

117

117

Highest No. of Days
119 N/A N/A N/A N/A 149 16 117

10

20

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 28 of 40

Component
OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Median No. of Days
1 14 9 13 11 26.72 16
16.5

Simple

Average No. of Days

Lowest No. of Days

1.44

1

14

14

9

8

11.45

1

11.22

1

27.66

1

17

15

38.85

1

Highest No. of Days
3 14 10 20 20 397 20

Median No. of Days
8 32.85
94 273 30 27.4 140

544

58.25

Complex

Average No. of Days

Lowest No. of Days

9.5

3

28.77

4

110.17

63

322.49

21

68.81

6

34.36

2

238.28

24

Expedited

Highest No. Median No. Average No. Lowest No. of Days of Days of Days of Days

19

N/A

N/A

N/A

43

58

58

58

184

93

93

93

2,120

N/A

N/A

N/A

703

N/A

N/A

N/A

465

26.37

41.3

5

1,500

N/A

N/A

N/A

Highest No. of Days N/A
58 93 N/A N/A 219 N/A

101.37

1

2,120

26.37

56.12

1

219

C. Processed Requests – Response Time in Day Increments

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL
Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV

1-20 Days
1,730 28 38 82 3
9,380 5,154
38 20 151 20 441 2,070 11,947
720

21-40 Days
828 0 31 23 7 6,132 3,041 27 0 18 0 0 0 8,598
0

31,822 18,705

41-60 Days
1,071 0 64 9 2
7,080 3,019
14 0 10 0 0 0 732
0
12,001

61-80 Days
434 0 57 6 2
5,230 1,196
6 0 8 0 0 0 379
0

(1) Simple Requests

81100 Days
359

101120 Days
288

121140 Days
316

0

0

0

59

67

65

1

0

0

0

0

0

1,922 1,182 506

657 1,862 88

1

2

0

0

0

0

2

2

1

0

0

0

0

0

0

0

0

0

121

63

52

0

0

0

7,318 3,122 3,466 1,028

141160 Days 724
0 61 0 0 966 0 0 0 1 0 0 0 21
0
1,773

161180 Days 354
0 49 0 0 1,257 0 0 0 0 0 0 0 16
0
1,676

181200 Days 194
0 47 1 0 404 0 0 0 0 0 0 0 10
0
656

201300 Days 2,561
0 112
0 0 78 1 0 0 0 0 0 0 25
0
2,777

301400 Days 746
0 52 0 0 0 0 0 0 0 0 0 0 3
0
801

401+ Days
3 0 54 0 0 0 0 0 0 0 0 0 0 314
0

Total
9,608 28 756 122 14
34,137 15,018
88 20 193 20 441 2,070 22,281 720

371 85,516

1-20 Days
60 35 37 0 26 815 59 5 14 96

21-40 Days
42 8 53 0 30 651 41 13 0 68

41-60 Days
47 1 58 0 21 307 21 8 0 42

61-80 Days
30 0 73 0 8 241 9 9 0 26

(2) Complex Requests

81100 Days

101120 Days

121140 Days

21

20

14

1

0

0

32

12

6

0

0

0

3

2

0

139

164

147

4

3

2

3

2

3

0

0

0

13

18

13

141160 Days
27 0 11 0 1 150 0 4 0 12

161180 Days
13 0 7 0 2 101 0 1 0 5

181200 Days
11 0 12 0 2 21 1 1 0 5

201300 Days
32 0 33 0 3 53 0 0 0 18

301400 Days
4 0 18 0 0 17 2 1 0 0

401+ Days
3 0 29 0 0 11 0 0 0 1

11

Total
324 45 381 0 98 2,817 142 50 14 317

21

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 29 of 40

S&T

0

0

0

1

3

0

1

0

0

1

0

0

0

6

TSA

0

141

83

48

53

42

41

36

30

28

123 147 304

1,076

USCG

4

559

150

60

35

27

13

16

18

11

42

26

64

1,025

USCIS

32,284 56,052 6,862 6,402 876

807

321 111

53

21

49

6 2,820 106,664

USSS

0

250

83

58

47

36

42

19

35

27

55

39

143

834

AGENCY OVERALL

33,435 57,908 7,683 6,965 1,230 1,133 603 387

265

141 408 260 3,375 113,793

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

1-20 Days
15 0 0 0 0 10 2 0 0 8 0 3 0 14 0
52

21-40 Days
5 0 0 0 0 4 0 0 0 0 0 0 0 7 0

41-60 Days
5 0 0 0 0 1 0 0 0 2 0 0 0 6 0

(3) Requests Granted Expedited Processing

61-80 Days
1

81100 Days
1

101120 Days
5

121140 Days
0

141160 Days
0

161180 Days
0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

1

0

0

1

0

0

0

0

0

0

0

0

0

1

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

1

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

1

0

1

0

0

0

0

0

0

0

0

0

16

14

2

3

7

0

1

0

181200 Days
0 0 0 0 0 0 0 0 0 0 0 0 0 1 0
1

201300 Days
0 0 0 0 0 0 0 0 0 0 0 0 0 1 0
1

301400 Days
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0

401+ Days
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0

Total
32 0 0 0 0 17 2 1 0 10 1 3 0 31 0
97

D. Pending Requests – All Pending Perfected Requests

Component
CBP CRCL FEMA FLETC I&A
ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number Pending 40,062
0 343
3 0 5,359 4,539 6 0 5 0 68 265 1,757 100
52,507

Simple Median No.
of Days 122 N/A 156 10 N/A 54 37 8.5 N/A 4 N/A 9 13 18.5 1

Average No. of Days
151.2 N/A 195.07 22 N/A 75.52 39.18 29.83 N/A 4.6 N/A 9.12 11.31 22.46 5.49

13

51.43

Number Pending
197 3
217 0 36 837 25 42 0 38 1 556 892 8,180 677
11,701

Complex Median No.
of Days 68 4 55 N/A 23.5 82 18 46 N/A .5 136 236
225.5 15.07 304

Average No. of Days 98.2 3.33 131.67 N/A 27.19 89.52 39.72 85.38 N/A 91.63 136 290.73 293.91 20.76 355.77

55

127.83

Number Pending
0 0 0 0 0 2 0 3 0 0 0 0 0 3 0
8

Expedited Median No.
of Days N/A N/A N/A N/A N/A 13.5 N/A 179 N/A N/A N/A N/A N/A
108.92 N/A

Average No. of Days N/A N/A N/A N/A N/A 13.5 N/A 162 N/A N/A N/A N/A N/A 102.52 N/A

61.21

69.51

12

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Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 30 of 40

E. Pending Requests – Ten Oldest Pending Perfected Requests

Component

Sub-Row Heading

Date of Receipt CBP Number of Days
Pending

CRCL

Date of Receipt
Number of Days Pending

FEMA

Date of Receipt
Number of Days Pending

FLETC

Date of Receipt
Number of Days Pending

Date of Receipt I&A Number of Days
Pending

Date of Receipt ICE Number of Days
Pending

10th

9th

8th

2012-01-27 2012-01-27 2012-01-27

423

423

423

N/A

N/A

N/A

0

0

0

2010-06-23 2010-04-26 2010-04-12

825

866

876

N/A

N/A

N/A

0

0

0

2013-08-03 2013-08-03 2013-08-03

40

40

40

2012-05-29 2012-05-24 2012-03-08

338

340

395

7th

6th

5th

4th

3rd

2nd

2012-01-27 2012-01-27 2012-01-26 2012-01-26 2012-01-25 2012-01-25

423

423

424

424

425

425

N/A

N/A

N/A

N/A 09-30-2013 2013-09-25

0

0

0

0

1

4

2010-04-02 2010-02-19 2010-01-20 2009-11-27 2009-07-08 2008-02-03

882

912

929

964

1,062

1,420

N/A

N/A

N/A

N/A 2013-09-16 2013-09-16

0

0

0

0

11

11

2013-08-01 2013-07-30 2013-07-24 2013-07-23 2013-07-23 2013-06-26

42

42

44

48

49

67

2012-02-27 2012-02-14 2012-02-13 2011-12-01 2011-12-01 2011-12-01

403

411

412

462

462

462

Oldest Request 2012-01-25
425 2013-09-24
5 2007-09-07
1,520 2013-07-26
46 2013-02-16
158 2011-10-05
520

NPPD OIG OPS

Date of Receipt 2013-05-16 2013-05-16 2013-05-16 2013-05-16 2013-05-16 2013-05-16 2013-05-16 2013-04-25 2012-11-10 2012-10-31

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

95

95

95

2013-03-05 2013-03-01 2013-02-28

147

149

150

N/A

N/A

N/A

0

0

0

95 2013-02-08
163 N/A
0

95

95

95

110

222

2013-02-01 2013-01-16 2013-01-16 2012-04-24 2012-04-24

168

180

180

362

362

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

230 2011-12-08
457 N/A
0

PRIV

Date of Receipt 2013-03-11 2013-02-27 2013-02-15 2012-10-31 2012-10-08 2012-08-07 2012-08-06 2012-08-03 2012-04-25 2012-03-16

Number of Days Pending

143

151

159

230

246

289

290

291

361

389

Date of Receipt

N/A

N/A

N/A

S&T Number of Days Pending

0

0

0

Date of Receipt 2010-03-22 2010-2-25 2010-02-25

TSA Number of Days Pending

891

908

908

USCG

Date of Receipt 2010-02-24 2010-02-23 2010-02-23

Number of Days Pending

909

910

910

USCIS

Date of Receipt 2013-01-03 2012-12-31 2012-12-24

Number of Days Pending

188

190

194

USSS

Date of Receipt 2007-06-29 2007-06-29 2007-06-29

Number of Days Pending

1,568

1,568

1,568

AGENCY Date of Receipt 2007-06-29 2007-06-29 2007-06-29

OVERALL Number of Days Pending

1,568

1,568

1,568

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

2010-02-16 2010-01-29 2010-01-15 2010-01-05 2009-11-23 2009-10-26

915

922

931

939

964

986

2010-02-22 2010-02-18 2010-01-11 2009-12-29 2009-12-08 2009-11-30

911

913

935

943

957

963

2012-12-12 2012-12-05 2012-11-28 2012-11-19 2012-10-26 2012-07-11

202

207

212

218

233

308

2007-06-29 2007-06-29 2007-06-29 2007-06-29 2007-06-05 2007-01-09

1,568

1,568

1,568

1,568

1,586

1,688

2007-06-29 2007-06-29 2007-06-29 2007-06-05 2007-06-05 2007-01-07

1,568

1,568

1,568

1,568

1,586

1,688

2013-03-20 136
2008-12-18 1,199
2009-11-25 965
2012-04-19 365
2006-12-01 1,713
2006-12-01 1,713

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

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Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 31 of 40

Component
CBP CRCL FEMA FLETC I&A
ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number Granted
32 0 0 0 0 17 0 4 0 10 0 2 0 31 0 96

Number Denied
423 0 0 0 2 46 0 14 0 49 1 21 0 821 7
1,384

Median Number of Days to Adjudicate
1 N/A N/A N/A
2 2 N/A 8.5 N/A 3 7 1 N/A 5 1 2

Average Number of Days to Adjudicate
1.48 N/A N/A N/A
2 3.87 N/A 8.66 N/A 5.12 7.33 1.64 N/A 5.74
1 4.09

Number Adjudicated within 10 Calendar
Days 449
0 0 0 2 57 0 15 0 55 0 22 0 759 7
1,366

B. Requests for Fee Waiver

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number Granted
10 0 0 0 4 33 1 0 0 0 0 0 0 68 0 116

Number Denied
29 0 0 0 4 33 3 17 0 2 0 52 0 111 0 251

Median Number of Days to Adjudicate 1 N/A N/A N/A 4 1 2 4 N/A 7 N/A 0 N/A 4 N/A
2

Average Number of Days to Adjudicate 8.62 N/A N/A N/A 7.25 4.86 2 7.23 N/A 6.07 N/A 1.94 N/A 6.16 N/A
4.90

IX. FOIA Personnel and Costs

Component

Personnel

24

Costs
14

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 32 of 40

CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL
X.

Number of “Full Time
FOIA Employees”
34 1 16 1 2 48 5 4 0 12 1 12 12 229 16
393

Number of “Equivalent Full-Time
FOIA Employees”
16.22 0 20 .55 1
8.75 0 .25 .33 4 0 0
28.96 126.45
4.15
210.66

Total Number of “Full-Time FOIA Staff” (Col. 1 + Col.
2) 50.22
1 36 1.55 3 56.75 5 4.25 .33 16 1 12 40.96 355.45 20.15
603.66

Fees Collected for Processing Requests

Processing Costs
$4,422,723.41 $108,717.00 $3,195,049.00 $161,453.53 $158,000.00 $4,381,562.00 $484,580.00 $320,230.88 $39,000.00 $2,188,886.04 $79,864.00 $1,053,609.00 $2,755,407.37 $20,245,268.00 $1,755,401.25
$41,359,751.48

Component CBP CRCL FEMA
FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG
USCIS USSS AGENCY OVERALL

Total Amount of Fees Collected $312,014.15 $0.00 $3,215.00 $119.00 $0.00 $2,691.10 $1,040.60 $76.45 $0.00 $97.00 $0.00 $0.00 $37,155.11 $4,066.83 $0.00
$360,475.24

Litigation - Related Costs

Total Costs

$376,815.71 $0.00
$29,000.00 $0.00 $0.00
2,351,390.78 $0.00
39,075.80 $0.00
$250,000.00 $0.00
$14,512.00 $0.00
$331,726.15 $273,129.40
$3,665,649.84

$4,799,539.12 $108,717.00 3,224,049.00 $161,453.53 $158,000.00 $6,732,952.78 $494,580.00 $359,306.68 $39,000.00 $2,438,886.04 $79.864.00 $1,068,121.00 $2,755,407.37 $20,576,994.15 $2,028,530.65
$45,025,401.32

Percentage of Total Costs 7.05% 0.00% 0.10% 0.07% 0.00% 0.06% 0.21% 0.02% 0.00% 0.00% 0.00% 0.00% 1.35% 0.02% 0.00% 0.87%

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.

15 25

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 33 of 40

XII. Backlogs, Consultations, and Comparisons A. Backlogs of FOIA Requests and Administrative Appeals

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OGC OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Backlogged Requests as of the End of Fiscal Year 37,848 0 496 1 12 4,714 3,099 0 34 0 20 1 546 877 3,394 719 51,761

Number of Backlogged Appeals as of End of Fiscal Year 0 0 31 1 0 32 0 13 28 0 0 0 7 29 3 1 145

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

Component
CBP CRCL FEMA FLETC I&A
ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Consultations Received from Other Agencies that Were
Pending at Your Agency as of Start of the Fiscal Year
5 0 2 0 4 4 0 0 0 0 ‡‡‡ 0 10 6 3 10 §§§
44

Number of Consultations Received from Other
Agencies During the Fiscal Year
66 2 8 1 11 95 0 5 10 32 3 8 0 56 21
318

Number of Consultations Received from Other Agencies that Were
Processed by Your Agency During the Fiscal Year 45 2 9 1 15 54 0 5 10 21 3 3 3 58 19
248

Number of Consultations Received from Other
Agencies that were Pending at Your Agency as of the End of the Fiscal Year 26 0 1 0 0 45 0 0 0 11 0 15 3 1 12
114

‡‡‡ Corrected number due to component reporting error in FY 2012. §§§ Corrected number due to component reporting error in FY 2012.
16
26

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 34 of 40

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

Component

Sub-Row Heading

Date of Receipt CBP Number of Days
Pending

CRCL

Date of Receipt
Number of Days Pending

Date of Receipt

FEMA Number of Days Pending

Date of Receipt

FLETC Number of Days Pending

10th 2013-06-10
79 N/A
0 N/A
0 N/A
0

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Request

2013-05-22 2013-05-07 2013-02-21 2013-01-11 2012-12-13 2012-06-28 2012-05-31 2012-04-10 2012-03-16

91

102

155

182

201

316

336

372

389

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A 2013-09-13

0

0

0

0

0

0

0

0

12

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

I&A ICE NPPD OIG OPS PRIV S&T TSA

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
Date of Receipt
Number of Days Pending

N/A 0
2013-04-10 121 N/A 0 N/A 0 N/A 0
2013-09-16 11 N/A 0
2013-05-20 93

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

2013-04-10 2013-04-04 2013-03-28 2013-03-22 2013-02-14 2013-02-14 2013-02-14 2013-02-14 2012-11-02

121

125

130

134

160

160

160

160

228

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

2013-09-11 2013-09-05 2013-08-09 2013-08-06 2013-08-01 2013-07-16 2013-06-11 2013-04-26 2013-03-26

14

18

36

39

42

54

78

109

132

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

2012-04-10 2012-03-30 2011-09-16 2011-09-16 2011-09-15 2010-10-28 2010-09-03 2010-06-15 2009-12-16

372

379

513

513

514

737

774

831

951

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A 2012-01-26 2011-05-05 2011-03-21

USCG

Number of Days Pending

0

0

0

0

0

0

0

424

608

641

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A 2013-05-08

USCIS Number of Days Pending

0

0

0

0

0

0

0

0

0

100

USSS

Date of Receipt
Number of Days Pending

AGENCY Date of Receipt OVERALL Number of Days
Pending

2013-06-20
71 2011-05-10
605

2013-06-06 2013-04-03

81

126

2011-05-05 2011-03-21

608

641

2013-03-19 2013-02-13 2012-12-14 2011-05-10 2010-10-08 2010-10-08 2010-10-08

137

161

200

605

750

750

750

2010-10-28 2010-10-08 2010-10-08 2010-10-08 2010-09-03 2010-06-15 2009-12-16

737

750

750

750

774

831

951

17 27

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 35 of 40

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

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Requests Received

Received During Fiscal Year from Last Year's
Annual Report

Received During Fiscal Year from Current Annual
Report

33,243

41,381

84

73

761

798

109

113

96

109

24,073

34,161

7,105

15,187

180

170

60

45

899

798

36

26

861

909

3,700

3,468

117,787

132,797

1,595

1,499

190,589

231,534

Number of Requests Processed

Processed During Fiscal Year from Last Year's
Annual Report

Processed During Fiscal Year from Current Annual
Report

26,571

14,635

87

73

952

564

102

122

115

78

21,220

30,818

4,891

12,942

166

142

60

45

868

840

37

26

949

851

3,256

3,098

145,278

138,523

1,343

1,575

205,893

204,332

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

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual Report
10,648 0
306 2 3
2,903 **** 2,288 11 0 23 0 542 782 10,727 778
29,013

Number of Backlogged Requests as of End of the Fiscal Year from Current Annual Report
37,848 0
496 1 12
4,714 3,099
34 0 20 1 546 877 3,394 719 51,761

**** Number of backlogged requests in Fiscal Year corrected due to component reporting error in FY 2012
18
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Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 36 of 40

E. (1) Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged

Component
CBP FEMA ††††
FLETC ICE OGC OIG TSA
USCG USCIS USSS AGENCY OVERALL

Number of Appeals Received

Received During Fiscal Year from Last Year's
Annual Report

Received During Fiscal Year from Current Annual
Report

474

346

60

16

1

7

288

350

113

92

19

17

32

18

35

34

1,349

1,959

34

66

2,405

2,905

Number of Appeals Processed

Processed During Fiscal Year from Last Year's
Annual Report

Processed During Fiscal Year from Current Annual
Report

476

354

0

45

1

5

303

317

161

179

19

3

25

22

51

45

1,431

2,001

23

75

2,490

3,046

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

Component
CBP FEMA ‡‡‡‡
FLETC ICE OGC OIG TSA
USCG USCIS USSS AGENCY OVERALL

Number of Backlogged Appeals as of End of the Fiscal Year from Previous Annual Report 0 60 0 0 99 13 10 33 10 0
225

Number of Backlogged Appeals as of End of the Fiscal Year from Current Annual Report 0 31 1 32 13 28 7 29 3 1
145

†††† Number of appeals received in Fiscal Year corrected due to component reporting error in FY 2012 ‡‡‡‡ Number of appeals received in Fiscal Year corrected due to component reporting error in FY 2012
19
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Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 37 of 40
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) provides recommendations for resolving individual and employer problems with the United States Citizenship and Immigration Services in order to ensure national security and the integrity of the legal immigration system.
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 Secretariat (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 Advisor's 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.
20
30

Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 38 of 40
The Office of Public Affairs (OPA) coordinates the public affairs activities of all of the Department’s 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:
United States 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, including 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 Department’s 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.
21
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Case 3:15-cv-01181-JD Document 22-1 Filed 04/22/15 Page 39 of 40
The Directorate for National Protection and Programs (NPPD) leads the national effort to protect and enhance the resilience of the Nation’s physical and cyber infrastructure. The Office of Health Affairs (OHA) coordinates all medical activities of the Department of Homeland Security 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 nation's 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 the Department of Homeland Security. The Coast Guard protects the maritime economy and the environment, defends our maritime borders, and saves those in peril. United States 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 America’s security and resiliency by providing knowledge products and innovative technology solutions for the Homeland Security Enterprise. The United States Secret Service (USSS) safeguards the nation's 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 Chief FOIA Officer Privacy Office U.S. Department of Homeland Security 245 Murray Lane, SW, Mail Stop 0655 Washington, DC 20528-0655

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

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 Lee's Summit, MO 64064-8010
Office for Civil Rights and Civil Liberties Fernando Pineiro, Jr. Ph: 202-357-7672; 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, Acting 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 Terry Cochran Ph: 202-646-3323; Fax: 202-646-3347 Disclosure Branch 1800 South Bell Street, Fourth Floor, Mail Stop 3005 Arlington, Virginia 20598-3005

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Federal Law Enforcement Training Center 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, Acting 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 Yvonne Coates 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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          
   EXHIBITB

Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 4 of 40
Department of Homeland Security
Privacy Ofﬁce 201 Freedom of Information Act Report to the Attorney General of the United States February 2013
36

Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 5 of 40
Message from the Acting Chief Freedom of Information Act Officer
I am pleased to present the Department of Homeland Security’s (DHS or Department) Annual Freedom of Information Act (FOIA) Report to the Attorney General for 2012. This is the first report produced during my tenure as the Department’s Acting Chief Privacy Officer and Acting Chief FOIA Officer and the fourth to reflect President Obama’s call for openness and transparency in Federal Government operations. This report highlights the unprecedented number of FOIA requests and appeals the Department received this fiscal year, and the sizable reduction of its backlog of requests and appeals.
DHS receives the largest number of FOIA requests of any federal department or agency in each fiscal year (FY). It also has the largest backlog of pending FOIA requests. Since President Obama took office, DHS has experienced a steady annual increase in the number of FOIA requests from 103,093 in FY 2009, to 130,098 in FY 2010, to 175,656 in FY 2011. This trend continued in FY 2012: DHS received a record-setting 190,589 requests, an 85 percent increase over FY 2009. Despite this increase during FY 2012, DHS processed 205,895 requests and reduced its backlog of pending requests from 42,371 to 28,553. This decrease in the backlog is even more significant since the Department closed over 47,000 more perfected requests that were placed in the complex track in FY 2012 than in FY 2011. In fact, 55 percent of all closed requests in FY 2012 were complex compared to only 44 percent in FY 2011.
The 33 percent decrease in the backlog this year, despite an increasing volume of requests, was due to the multi-pronged efforts of all components. DHS took several steps to reduce the FOIA backlog including the use of the business management strategy Six Sigma, student interns, and contractors, as well as detailing FOIA Specialists in Headquarters to the components needing assistance to reduce their backlog. Additionally, the DHS Privacy Office (or Office) met with component FOIA Officers and FOIA officials from other federal agencies to gain insight into how technology, training, and staff development can converge to reduce the backlog, particularly through day-to-day case management.
DHS also made great strides in processing FOIA appeals. Although DHS experienced a 20 percent increase in the number of FOIA appeals received in FY 2012 compared with FY 2011, the appeals backlog decreased by 50 percent, from 327 in FY 2011 to 165 in FY 2012. DHS also decreased the average processing time to close out an appeal by 56 percent, from 106 days in FY 2011 to 47 days in FY 2012. Almost every DHS component shortened the interval between the receipt of an appeal and the closing of an appeal. For example, U.S. Citizenship and Immigration Services (USCIS) received 58 percent of the Department’s FOIA appeals, but was successful in reducing the average response time for appeals by 53 percent, from 52 days in FY 2011 to 24 days in FY 2012. The Office of the General Counsel (OGC) decreased its average turnaround by 60 percent, from 700 days to 278 days, while the average response time for Immigration and Customs Enforcement (ICE) dropped by 30 percent, from 40 days to 28 days.
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Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 6 of 40 I am proud of the great work our Department has accomplished. I direct your attention to the pages that follow and look forward to providing even better and more responsive customer service in the new year. Sincerely, Jonathan R. Cantor Acting Chief Freedom of Information Act Officer U.S. Department of Homeland Security
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Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 7 of 40
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 ......................................................................................................................3 A. Received, Processed and Pending FOIA Requests ............................................3 B. (1) Disposition of FOIA Requests - All Processed Requests ............................4 (2) Dispostion of FOIA Requests - “Other” Reasons for “Full Denials Based on Reasons Other than Exemptions” from Section V, B(1) Chart....4 (3) Disposition of FOIA Requests - Number of Times Exemptions Applied....5
VI. Administrative Appeals of Initial Determinations of FOIA Requests .............................6 A. Received, Processed, and Pending Administrative Appeals..............................6 B. Disposition of Administrative Appeals - All Processed Appeals ......................6 C. (1) Reasons for Denial on Appeal - Number of Times Exemptions Applied....7 (2) Reasons for Denial on Appeal - Reasons Other than Exemptions ...............7 (3) Reasons for Denial on Appeal - “Other” Reasons from Section VI, C(2) Chart.............................................................................................................8 (4) Response Times for Administrative Appeals...............................................9 (5) Ten Oldest Pending Administrative Appeals ...............................................9
VII. FOIA Requests: Response Times for Processed and Pending Requests........................10 A. Processed Requests - Response Time for All Processed Perfected Requests..10 B. Processed Requests - Response Time for Perfected Requests in Which Information was Granted .................................................................................10 C. Processed Requests - Response Time in Day Increments ...............................11 (1) Simple Requests Response Time in Day Increments.................................11 (2) Complex Requests Response Time in Day Increments .............................11 (3) Requests Granted Expedited Processing Response Time in Day Increments ..................................................................................................12 D. Pending Requests - All Pending Perfected Requests.......................................12 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..................................................................................14
IX. FOIA Personnel and Costs.................................................................................................15
X. Fees Collected for Processing Requests ............................................................................16
XI. FOIA Regulations (Including Fee Schedule)....................................................................16
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Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 8 of 40 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 ...................................................................18 D. (1) Comparison of Numbers of Requests from Previous and Current
Annual Report - Requests Received, Processed, and Backlogged ............19 (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.....24 APPENDIX C: Names, Addresses, and Contact Information For DHS FOIA
Officers ........................................................................................25
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Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 9 of 40

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 Drive 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.

3. Requests for this report in paper form may also be directed to Delores J. Barber, 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.

2. Brief description why requests are not granted:

The records maintained by the Department often contain private information on individuals or involve law enforcement matters. Because law enforcement records are of such interest to subjects of investigation, victims of crime, and the public at large, these records are often requested under the Freedom of Information Act. 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 Center

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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Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 10 of 40

n. NPPD National Protection and Programs Directorate

o. OGC Office of the General Counsel

p. OHA Office of Health Affairs

q. OIG

Office of Inspector General

r. OLA Office of Legislative Affairs

s. OPA Office of Public Affairs

t. OPS

Office of Operations Coordination and Planning

u. PLCY Office of Policy

v. PRIV Privacy Office

w. S&T

Science and Technology Directorate

x. TSA

Transportation Security Administration

y. USCG United States Coast Guard

z. USCIS United States Citizenship and Immigration Services

aa. USSS United States Secret Service

bb. US-VISIT United States Visitor and Immigrant Status Indicator Technology

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 requests 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.

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Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 11 of 40
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.*
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 where an agency determines that it must search beyond its Privacy Act “systems of records” or where 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 DHS’s Privacy Act “mixed systems of records” as if they are subject to the Privacy Act’s 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.
* Pursuant to 5 U.S.C. § 552(b)(3) as amended by sec. 564 of Public Law 111-83, a statute enacted after October 28, 2009, can qualify as an Exemption 3 law only if it cites specifically to 5 U.S.C. § 552(b)(3).
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Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 12 of 40
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.
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 which reasonably describes such records and is made in accordance with published rules stating the time, place, fees (if any) and procedures to be followed.
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
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Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 13 of 40 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 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
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IV. Exemption 3 Statutes

Statute
6 U.S.C. § 133(a)(1)
8 U.S.C. § 1202(f) (Immigration and Nationality Act)
10 U.S.C. § 130b

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 the issuance or refusal of visas to enter the United States

Medina-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); Judicial Watch, Inc. v. U.S. Dep't of State, 650 F. Supp. 2d 28, 33 (D.D.C. 2009); Smith v. DOJ, No. 81-CV813, 1983 U.S. Dist. LEXIS 10878, at *13-14 (N.D.N.Y. Dec. 13, 1983).

Personally identifiable information pertaining to members of the armed forces assigned to "routinely deployable unit[s]" and certain employees of DOD and DHS

Hiken v. DOD, 521 F. Supp. 2d 1047, 1062 (N.D. Cal. 2007); O'Keefe v. DOD, 463 F. Supp. 2d 317, 325 (E.D.N.Y. 2006); Windel v. United States, No. A02306, 2005 WL 846206, at *2.

Number of Times Relied upon per Component

FEMA

3

OIG

1

USCIS

1

USCG

3

10 U.S.C. § 424

Organization or any function of, and certain information pertaining to, employees of the Defense Intelligence Agency, the National Reconnaissance Office, and the National Geospatial-Intelligence Agency

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).

USCG

2

Mendoza v. DEA, No. 07-5006,

2007 U.S. App. LEXIS 22175

Wiretap requests and the content (D.C. Cir. Sept. 14, 2007) (per

18 U.S.C. §§ 2510-20

of any wire, oral, or electronic curiam); Lam Lek Chong v. DEA, communication obtained through 929 F.2d 729, 733 (D.C. Cir.

USSS

5

wiretaps

1991); Payne v. DOJ, No. 96-

30840, slip op. at 5-6 (5th Cir.

July 11, 1997).

18 U.S.C. 2722(a)

Prohibits the disclosure of personal information from a motor vehicle record

OIG

1

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

Certain records containing identifying information pertaining to children involved in criminal proceedings

Tampico v. EOUSA, No. 04¬2285, slip op. at 8 (D.D.C. Apr. 29, 2005).

ICE

1

Total Number of Times Relied upon
by Agency 4
1
3
2
5 1 1

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Statute 26 U.S.C. §§ 6103, 6105
41 U.S.C. § 253b(m)(1)

Type of Information Withheld

Case Citation

Certain tax return information and certain tax convention information

Church of Scientology v. IRS, 484 U.S. 9, 15 (1987) (26 U.S.C. § 6103); Pac. Fisheries, Inc. v. IRS, No. 09-35618, 2010 WL 3611645, at *2 (9th Cir. September 15, 2010)(unpublished disposition); Tax Analysts v. IRS, 217 F. Supp. 2d 23, 27-29 (D.D.C. 2002) (26 U.S.C. § 6105).

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

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. Dep't 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).

Number of Times Relied upon per Component

USCIS

2,533

FEMA

6

FLETC

2

ICE

7

MGMT

4

NPPD

2

PRIV

2

S&T

3

USCG

2

Total Number of Times Relied upon
by Agency 2,533
28

42 U.S.C. § 262a

Enhanced control of dangerous biological agents and toxins/bioterrorism information

S&T

1

46 U.S.C. § 70103(d)

Facility security plans, vessel security plans, and port vulnerability assessments

PLCY

1

CBP

775

Information obtained or developed in carrying out

Tooley v. Bush, No. 06-306, 2006 WL 3783142, at *19 (D.D.C. Dec.

ICE

401

49 U.S.C. § 114(s)

security under the authority of 21, 2006), aff’d on other grounds, the Aviation and Transportation 586 F. 3d 1006 (D.C. Cir. 2009;

PRIV

6

Security Act or under chapter 449 of this title

Gordon v. FBI, 390 F. Supp. 2d 897, 900 (N.D. Cal. 2004).

TSA

101

USCG

4

50 U.S.C. § 403g

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”

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).

USCG USSS

3 3

1 1 1,287
6

2 47

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Statute

Type of Information Withheld

Case Citation

Fed. R. Crim. P. 6(e), enacted by Act of July 30, 1977, Pub. L. No. 95-78, 91 Stat.319

Certain records pertaining to grand jury proceedings

Sussman v. USMS, 494 F.3d 1106, 1113 (D.C. Cir. 2007); Fund for Constitutional Gov't v. Nat'l Archives & Records Serv., 656 F.2d 856, 867-68 (D.C. Cir. 1981); Durham v. U.S. Atty. Gen., No. 06-843, 2008 WL 620744, at *2 (E.D. Tex. Mar. 3, 2008); Cozen O'Connor v. U.S. Dep't of Treasury, 570 F. Supp. 2d 749, 776 (E.D. Pa. 2008).

Number of Times Relied upon per Component

ICE

2

USCIS

2

USSS

7

Total Number of Times Relied upon
by Agency
11

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

Component†
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Requests Pending as of Start of
Fiscal Year 5,040** 6 547** 5 23**
50 12** 100**
5 9 0 0** 37** 1 661 471** 43,568** 608** 51,143**

Number of Requests Received in Fiscal Year
33,243 84 761 109 96
24,073 124 7,105 19 180 60 26 730 36 861 3,700
117,787 1,595
190,589

Number of Requests Processed in Fiscal Year
26,571 87 952 102 115
21,220 116 4,891 17 166 60 26 709 37 949 3,256
145,278 1,343
205,895

Number of Requests Pending as of End of
Fiscal Year 11,712 3 356 12 4 2,903 20 2,314 7 23 0 0 58 0 573 915 16,077 860
35,837

† The following information is important to interpret the FOIA request data presented in this Annual Report: 1) PRIV processes and reports on FOIA requests for itself, the Office of the Secretary (including the Military Advisor’s Office and the Office of Intergovernmental Affairs), and the following components: CISOMB, DNDO, ESEC, OHA, OLA, and OPA; 2) MGMT processed and reported on FOIA requests for itself and for CFO through September 30, 2012; 3) NPPD processes and reports on FOIA requests for itself, US-VISIT and for NCSC. Readers of the Annual Report should consider the contents of this footer to apply, as appropriate, to all tables in the report. ** Corrected number due to component reporting error in FY 2011.
3
48

Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 17 of 40

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

No. of Component Full
Grants

CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

2,152 8
152 22 10 326 30 33 4 13 3 3 20 4 97 2,257 16,555 26
21,715

No. of Partial Grants/ Partial Denials
10,530

No. of Full Denials Based on
Exemptions
53

No Records
6,282

25

0

45

296

18

109

28

5

17

32

1

44

15,978

741

945

51

2

13

4,652

9

67

1

0

3

93

15

25

22

0

29

1

4

11

98

12

54

17

0

5

166

33

223

260

92

438

86,270

102

12,536

199

10

762

Number of Full Denials Based on Reasons Other than Exemptions

All Records Referred

Request Withdrawn

FeeRelated Reason

Not Improper Reasonably FOIA Described Request

Not Agency Record

Duplicate Request

1,231 4,541

44

5

325

1,117

200

3

3

0

1

0

0

2

20

16

0

3

3

1

11

5

1

0

3

9

7

1

6

3

2

1

9

0

3

2,596

63

15

16

360

17

84

9

1

3

2

2

0

2

15

36

3

1

61

5

4

5

0

0

1

3

0

0

1

2

0

0

10

3

0

4

1

0

0

1

0

0

4

3

0

0

0

0

0

157

12

8

185

102

12

26

7

0

1

2

0

0

1

33

50

5

80

124

17

14

39

103

6

4

4

0

43

3,146

157

162

2

14,574 4,234 7,517

7

35

1

0

3

35

19

118,719 1,097 21,608 7,288 5,027

250

306

15,590 5,448 7,927

Other Total

91 26,571

0

87

323

952

4

102

4

115

79 21,220

1

116

5

4,891

0

17

4

166

0

60

0

26

23

709

0

37

107

949

10 3,256

23 145,278

246 1,343

920 205,895

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

Coordinated by Another Office

49

CBP

Records Publicly Available

36

91

Unable to Locate Requester

6

CRCL

N/A

0

0

FEMA

Nonresponsive to Requests for Additional Information

323

323

Coordinated by Another Office

1

FLETC

4

Glomar Response

3

Aggregated

1

I&A

4

Records Publicly Available

3

4 49

Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 18 of 40

Component ICE
MGMT NPPD OGC OIG OPS PLCY
PRIV
S&T
TSA
USCG USCIS

Description Fugitive Litigation
Records Publicly Available
Glomar Response Records Publicly Available
N/A
Coordinated by Another Processing Office Records Publicly Available Unable to Locate Requester
N/A
N/A
Aggregated Litigation Records Publicly Available Sent in Error
N/A
Glomar Response Nonresponsive to Requests for Additional
Information Records Publicly Available
Nonresponsive to Requests for Additional Information
Unable to Locate Records

No. of Times Used 75 4 1 3 2
0 1 1 2 0 0 2 3 17 1
0
43 61 3
10
23

Total 79 1 5 0 4 0 0
23
0
107
10 23

5 50

Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 19 of 40

Component USSS

Description
Coordinated by Another Office Nonresponsive to Requests for Additional
Information
Not Subject to FOIA Records Referred Not Responsive
Sent in Error Statute of Limitation Passed Unable to Locate Requester

No. of Times Used 1 184
1 16 16 22 6

Total 246

AGENCY OVERALL

920

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

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Ex. 1 1

Ex. 2 245

Ex. 3 775

Ex. 4 87

Ex. 5

Ex. 6

Ex. 7(A)

88 10,270 78

0

0

0

0

14

25

0

0

24

9

136

57

252

2

0

0

2

7

1

19

1

7

0

0

0

2

25

3

1

34

411

31

2,750 13,602 81

0

0

4

26

5

34

0

0

1

2

28

11

219

7

0

0

0

0

0

1

0

1

4

2

4

29

94

29

0

0

0

1

0

95

0

1

0

1

0

3

1

0

2

3

8

13

43

96

0

0

0

4

5

4

18

0

1

62

101

21

42

157

1

5

0

14

13

74

228

100

0

101 2,536 186 50,977 55,638 20

1

6

15

1

21

159

6

20

480 3,884 559 54,121 80,933 328

Ex.

Ex.

Ex.

Ex.

Ex.

7(B) 7(C) 7(D) 7(E) 7(F)

0

10,342 22 10,259

0

0

3

0

0

0

0

10

1

1

0

0

4

0

3

1

2

6

6

31

1

1,031 13,464 33 14,013 86

0

3

0

8

0

0

3,874

0

4,150

6

0

0

0

0

0

0

76

7

11

1

0

88

0

8

1

0

0

0

0

0

0

26

0

21

8

0

4

0

5

0

12

32

0

19

1

0

73

3

7

1

0

71,431

3

65,318

0

0

161

16

131

2

1,045 99,597 91 93,985 108

Ex. 8
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0

Ex. 9
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0

VI. Administrative Appeals of Initial Determinations of FOIA Requests A. Received, Processed, and Pending Administrative Appeals

Component CBP
FLETC ICE

No. of Appeals Pending as of Start of Fiscal Year 18
0
40

No. of Appeals Received in Fiscal Year 474
1
288

No. of Appeals Processed in Fiscal Year 476
1
303

No. of Appeals Pending as of End of Fiscal Year 16
0
25

6 51

Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 20 of 40

OGC‡

150**

113

161

102

OIG

14

19

19

14

TSA

4

32

25

11

USCG

49

35

51

33

USCIS

186**

1,349

1,431

104

USSS

0

34

23

11

AGENCY OVERALL

461**

2,345

2,490

316

B. Disposition of Administrative Appeals – All Processed Appeals

Component

Number Affirmed on Appeal

CBP

118

FLETC

1

ICE

168

OGC

72

OIG

8

TSA

13

USCG

29

USCIS

501

USSS

1

AGENCY OVERALL

911

Number Partially Affirmed & Partially Reversed/Remanded
on Appeal 120 0 63 17 2 2 0 605 1
810

Number Completely Reversed/Remanded
on Appeal
111 0 0 27 1 6 12 231 2
390

Number of Appeals Closed for Other Reasons
127 0 72 45 8 4 10 94 19
379

Total
476 1 303 161 19 25 51 1,431 23 2,490

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

Component CBP

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

0

11

24

8

11

242

7

0

232

1

239

8

0

0

FLETC

0

0

0

0

0

0

0

0

0

0

1

1

0

0

ICE

0

0

0

2

4

48

6

2

45

0

35

0

0

0

OGC

1

1

1

2

10

10

1

0

26

0

24

2

0

0

OIG

0

1

0

0

1

6

1

0

5

0

0

0

0

0

TSA

0

2

1

0

0

1

0

0

0

0

0

0

0

0

USCG

0

1

1

0

26

9

14

0

2

0

0

0

0

0

USCIS

0

0

31

2

608 592

0

0

756

0

692

2

0

0

USSS

0

0

0

0

0

1

1

0

1

0

0

0

0

0

AGENCY OVERALL 1

16

58

14

660 909

30

2

1,067

1

991

13

0

0

‡ OGC processes FOIA appeals for: CRCL, FEMA, I&A, MGMT, NPPD, OHA, OPS, PLCY, PRIV, S&T and USVISIT. ** Corrected number due to component reporting error in FY 2011.
7
52

Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 21 of 40

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

Component

Records Referred at No Records Initial
Request Level

Request Withdrawn

CBP

51

8

3

FLETC

0

0

0

ICE

0

0

4

OGC

21

1

13

OIG

0

0

0

TSA

2

0

0

USCG

8

0

1

USCIS

0

0

0

USSS

3

0

0

AGENCY OVERALL

85

9

21

FeeRelated Reason
13 0 0 5 0 0 1 0 0
19

Records not Reasonably Described

Improper Request for
Other Reasons

Not Agency Record

Duplicate Request or
Appeal

Request in Litigation

Appeal Based Solely on Denial for Expedited Processing

Other *Explain in chart
below

0

20

0

12

1

0

19

0

0

0

0

0

0

0

0

58

0

1

2

0

7

2

2

0

2

8

0

23

0

0

0

0

0

3

5

0

4

0

0

0

0

3

0

0

0

0

0

0

0

0

72

0

22

0

0

0

0

0

0

0

1

15

0

2

156

0

37

12

18

57

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

Component CBP

Description Constructive Denial
Moot

No. of Times Used 18 1

Total 19

FLETC ICE

N/A Moot

0

0

7

7

OGC

Adequacy of Search Constructive Denial Coordinated by Another Processing Office Need Additional Information to Process Appeal Vaughn Index Not Provided by FOIA Office

13

3

2

23

4

1

Moot

2

OIG

5

Not an Appeal

3

Constructive Denial

1

TSA

3

Glomar Response

2

USCG

N/A

0

0

USSS

N/A

AGENCY OVERALL

0

0

57

8 53

Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 22 of 40

C. (4) Response Times for Administrative Appeals

Component CBP
FLETC ICE OGC OIG TSA
USCG USCIS USSS AGENCY OVERALL

Median Number of Days 12.5 18 25 230 104 72.5 243 23 26 23

Average Number of Days 17.87 18 28.85 278.81 194.16 73.21 273 24.59 26.83 47.15

Lowest Number of Days 1 18 1 2 7 15 22 1 11 1

Highest Number of Days 208 18 86 1,299 903 168 639 123 76 1,299

C. (5) Ten Oldest Pending Administrative Appeals

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal

Date of Receipt

2012-09-18 2012-09-18 2012-09-14 2012-09-12 2012-09-10 2012-09-10 2012-09-10 2012-09-10 2012-09-10 2012-09-06

CBP

Number of Days Pending

9

9

10

13

15

15

15

15

15

17

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

FLETC

Number of Days Pending

0

0

0

0

0

0

0

0

0

0

Date of Receipt

2012-09-28 2012-09-15 2012-09-12 2012-09-12 2012-09-11 2012-09-10 2012-09-07 2012-09-06 2012-09-04 2012-09-04

ICE

Number of Days Pending

1

10

13

13

14

15

16

17

19

19

OGC OIG TSA USCG

Date of Receipt

2010-08-27 2010-08-20 2010-08-10 2008-11-13 2008-03-04 2008-02-26 2007-08-10 2007-05-21 2007-05-01 2006-09-20

Number of Days Pending

528

533

541

972

1,149

1,154

1,288

1,345

1,359

1,511

Date of Receipt

2012-07-05 2012-07-03 2012-06-28 2012-06-14 2012-05-24 2011-03-09 2010-11-10 2010-09-15 2009-01-14 2008-11-14

Number of Days Pending

61

62

65

75

89

398

477

516

931

971

Date of Receipt

2012-09-06 2012-08-07 2012-07-25 2012-07-18 2012-03-27 2012-03-15 2012-02-02 2012-01-30 2012-01-25 2012-01-04

Number of Days Pending

17

38

47

52

131

139

168

171

174

188

Date of Receipt

2010-09-17 2010-06-30 2010-06-18 2010-06-10 2010-06-09 2010-05-10 2010-01-25 2009-12-01 2009-11-16 2009-03-10

Number of Days Pending

514

569

577

583

584

605

675

711

721

895

USCIS

Date of Receipt

2012-09-11 2012-09-10 2012-09-04 2012-09-04 2012-08-30 2012-08-29 2012-08-29 2012-08-29 2012-08-29 2012-08-29

Number of Days Pending

14

15

19

19

21

22

22

22

22

22

9 54

Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 23 of 40

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal

USSS

Date of Receipt

2012-09-27 2012-09-24 2012-09-24 2012-09-24 2012-09-24 2012-09-24 2012-09-24 2012-09-24 2012-09-24 2012-09-05

Number of Days Pending

2

5

5

5

5

5

5

5

5

18

AGENCY

Date of Receipt

2009-03-10 2009-01-14 2008-11-14 2008-11-13 2008-03-04 2008-02-26 2007-08-10 2007-05-21 2007-05-01 2006-09-20

OVERALL

Number of Days Pending

895

931

971

972

1,149

1,154

1,288

1,345

1,359

1,511

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

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Median No. of Days
118 6 146 6 8 19 9.5 33 4.5 12 2 2 7 12 7 7 103 19
44

Simple

Average No. of Days

Lowest No. of Days

106.83

1

5.86

2

247.98

1

15.29

1

9

6

24.34

1

13.67

1

27.37

1

4.8

2

14.78

2

2.5

1

4.8

1

9.6

1

11

1

8.56

1

10.09

1

86.41

1

17.75

3

72

1

Highest No. of Days
462 16 1,780 194 14 180 40 159 9 55 7 12 53 50 20 494 480 20

Median No. of Days 87.5
13 86 N/A 23 26 30 61 21 39 6.5 10 55 58 158 39 101 44

1,780

98

Complex

Average No. of Days

Lowest No. of Days

84.25

1

23.54

3

359.38

1

N/A

N/A

60.82

1

42.83

1

35.61

1

100.35

1

129

2

51.87

11

8.77

3

12.1

1

70.18

7

81

35

200.79

21

65.31

3

98.5

1

129.87

21

98.60

1

Highest No. of Days
324 132 1,075 N/A 348 373 162 387 380 211 33 37 412 228 773 491 579 1,648
1,648

Median No. of Days
1 4 8 N/A N/A 8 50 39 N/A 35 N/A N/A 189 N/A N/A N/A 23 235.5
22

Expedited

Average No. of Days

Lowest No. of Days

1

1

4

4

8

8

N/A

N/A

N/A

N/A

12.29

8

50

30

39

39

N/A

N/A

35

35

N/A

N/A

N/A

N/A

189

189

N/A

N/A

N/A

N/A

N/A

N/A

49.64

3

324.5

14

59.67

1

Highest No. of Days
1 4 8 N/A N/A 23 70 39 N/A 35 N/A N/A 189 N/A N/A N/A 285 813
813

B. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT

Median No. of Days
101 2.5 151 9 N/A 24 7.5

Simple

Average No. of Days

Lowest No. of Days

88.69

1

2.75

2

236.13

0

23.9

1

N/A

N/A

28.2

1

10.79

1

Highest No. of Days
462 4
1780 194 N/A 181 33

Median No. of Days
104 15 86 N/A 48 38 30

Complex

Average No. of Days

Lowest No. of Days

91.63

1

28.67

3

319.03

1

N/A

N/A

101.93

1

52.37

1

38

1

Expedited

Highest No. Median No. Average No. Lowest No. of Days of Days of Days of Days

324

1

1

1

132

4

4

4

1280

0

0

0

N/A

N/A

N/A

N/A

348

N/A

N/A

N/A

373

8

12.29

8

162

50

50

30

Highest No. of Days
1 4 0 N/A N/A 23 70

10

55

Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 24 of 40

Component
NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Median No. of Days
24 7 12.5 1 N/A 11 14 9 7 129 15
46

Simple

Average No. of Days

Lowest No. of Days

31.02

1

7

7

16.63

2

1.5

1

N/A

N/A

16.82

1

15

1

10.2

1

10.31

1

105.86

1

12.86

3

71.72

1

Highest No. of Days
159 7 55 3
N/A 36 50 18 494 390 19

Median No. of Days
103 5 40 8 16 67 58
245.5 37 126
112.5

1,780

125

Complex

Average No. of Days

Lowest No. of Days

124.15

3

58.8

2

54.15

12

11.5

3

18

8

81.53

8

81

35

261.9

21

65.34

9

118.96

1

224.9

21

Expedited

Highest No. Median No. Average No. Lowest No. of Days of Days of Days of Days

309

N/A

N/A

N/A

223

N/A

N/A

N/A

211

35

35

35

33

N/A

N/A

N/A

37

N/A

N/A

N/A

412

189

189

189

228

N/A

N/A

N/A

707

N/A

N/A

N/A

491

N/A

N/A

N/A

579

23

46.87

4

1648

235.5

324.5

14

Highest No. of Days N/A N/A
35 N/A N/A 189 N/A N/A N/A 285 813

118.41

1

1,648

22

58.57

1

813

C. Processed Requests – Response Time in Day Increments

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS
USSS AGENCY OVERALL

1-20 Days
3,993 49 56 36 4
10,397 19
1,947 6 72 24 5 239 26
297 2,625 7,151
136

21-40 Days
2,157 0 70 6 0
5,353 5
1,682 0 9 0 0 25 2 0 106
1,231
0

41-60 Days
1,052 0 84 1 0
2,947 0
1,065 0 7 0 0 1 1 0 30
1,216
0

27,082 10,646 6,404

61-80 Days
1,122 0 58 1 0
511 0 29 0 0 0 0 0 0 0 4 1,210
0
2,935

(1) Simple Requests

81100 Days
1,454

101120 Days
3,472

121140 Days
3,895

0

0

0

30

27

43

1

0

0

0

0

0

198

64

25

0

0

0

7

5

1

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

6

2

5

803 1,202 4,038

0

0

0

2,499 4,772 8,007

141160 Days 2,628
0 32 0 0 18 0 2 0 0 0 0 0 0 0 2 5,974
0
8,656

161180 Days 2,276
0 21 0 0 8 0 0 0 0 0 0 0 0 0 5 352
0
2,662

181200 Days 1,439
0 16 3 0 0 0 0 0 0 0 0 0 0 0 0 164
0
1,622

201300 Days 1,834
0 71 0 0 0 0 0 0 0 0 0 0 0 0 3 377
0
2,285

301400 Days 20
0 62 0 0 0 0 0 0 0 0 0 0 0 0 1 40
0
123

401+ Days
1 0 190 0 0 0 0 0 0 0 0 0 0 0 0 1 547
0

Total
25,343 49 760 48 4
19,521 24
4,738 6 88 24 5 265 29 297
2,790 24,305
136

739 78,432

Component
CBP CRCL

1-20 Days
190 29

21-40 41-60 61-80 Days Days Days

128

75

51

2

9

1

(2) Complex Requests

81-100 Days

101120 Days

121140 Days

37

129 139

0

0

1

141160 Days
52
0

161180 Days
43
0

181200 Days

201300 Days

301400 Day
s

401+ Days

39

24

1

0

0

0

0

0

Total
908 42

11 56

Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 25 of 40

FEMA FLETC
I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

8

13

24

21

39

5

2

0

0

0

4

1

75

192

0

0

0

0

0

0

0

0

0

0

0

0

0

0

43

28

0

3

0

5

4

3

3

0

7

3

0

99

659

429 212

115

93

75

30

20

23

22

12

2

0

1,692

15

44

17

2

3

1

0

0

1

0

0

0

0

83

34

20

18

20

8

12

10

6

5

4

26

2

0

165

5

1

0

0

0

0

0

0

0

0

1

3

0

10

9

27

11

7

4

5

3

0

0

0

1

0

0

67

28

2

0

0

0

0

0

0

0

0

0

0

0

30

17

4

0

0

0

0

0

0

0

0

0

0

0

21

28

34

19

20

12

7

6

7

11

2

1

0

1

148

0

1

3

2

0

0

0

0

0

0

1

0

0

7

0

153

53

38

26

30

35

20

22

32

109 88 100

706

15

221

65

53

24

20

14

13

9

10

10

5

2

461

20,603 3,681 4,849 10,461 10,953 7,449 9,411 14,459 15,121 1,761 2,254 68 4,986 106,056

0

519 208

120

65

22

14

15

7

20

36

23

75

1,124

21,683 5,307 5,563 10,914 11,264 7,760 9,669 14,595 15,245 1,890 2,486 196 5,239 111,811

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

1-20 Days
5 1 1 0 0 5 0 0 0 0 0 0 0 0 0 0 29 1
42

21-40 Days
0 0 0 0 0 2 1 1 0 1 0 0 0 0 0 0 2 0

41-60 Days
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0

(3) Requests Granted Expedited Processing

61-80 Days

81100 Days

101120 Days

121140 Days

141160 Days

161180 Days

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

1

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

2

0

0

0

0

0

0

0

0

0

1

0

7

0

3

0

0

0

1

0

181200 Days
0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0
1

201300 Days
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
0

301400 Days
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1
1

401+ Days
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1
1

Total
5 1 1 0 0 7 2 1 0 1 0 0 1 0 0 0 33 4
56

D. Pending Requests – All Pending Perfected Requests

Component
CBP CRCL

Number Pending 11,628
0

Simple Median No.
of Days 84
N/A

Average No. of Days
92.08
N/A

Number Pending
84
3

Complex Median No.
of Days 61
21

Average No. of Days 59.62
20

Number Pending
0
0

Expedited Median No.
of Days N/A
N/A

Average No. of Days N/A
N/A

12

57

Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 26 of 40

Component
FEMA FLETC
I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

Number Pending
149 12 0 2783 0 2265 0 2 0 0 10 0 20 109 942 94 7
18,021

Simple Median No.
of Days 237 12.5 N/A 32 N/A 23 N/A 8 N/A N/A 5 N/A 11.5 7 27 11 14

Average No. of Days
320.97 14.25 N/A
31 N/A 24.69 N/A
8 N/A N/A 5.1 N/A 11 10.08 46 11.87 40.00

45

72.49

Number Pending
117 0 4 120 20 49 7 21 0 0 41 0 542 799 14,734 774 0
16,918

Complex Median No.
of Days 63 N/A 37 29 44.5 45 212 40 N/A N/A 15 N/A
212.5 175 34 170 N/A

Average No. of Days 129.62 N/A 49.75 75 54.05 44.37 138.57 66.05 N/A N/A 28.2 N/A 269.17 228.5 40 308.66 N/A

37

69.44

Number Pending
0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 1 0
2

Expedited Median No.
of Days N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A 604 N/A N/A 397 N/A
501

Average No. of Days N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A 604 N/A N/A 397 N/A
500.50

E. Pending Requests – Ten Oldest Pending Perfected Requests

Component

Sub-Row Heading

Date of Receipt CBP Number of Days
Pending

CRCL

Date of Receipt
Number of Days Pending

FEMA

Date of Receipt
Number of Days Pending

FLETC

Date of Receipt
Number of Days Pending

Date of Receipt I&A Number of Days
Pending

Date of Receipt ICE Number of Days
Pending

MGMT

Date of Receipt
Number of Days Pending

10th

9th

8th

2011-10-06 2011-10-06 2011-05-27

248

248

341

N/A

N/A

N/A

0

0

0

2010-02-03 2010-01-26 2010-01-20

668

674

678

2012-09-25 2012-09-21 2012-09-17

4

6

10

N/A

N/A

N/A

0

0

0

2011-11-30 2011-11-29 2011-11-28

212

213

214

2012-08-06 2012-07-25 2012-07-23

39

47

49

7th 2011-05-26
342 N/A
0 2010-01-08
685 2012-09-12
13 N/A
0 2011-11-28
214 2012-07-16
54

6th

5th

4th

3rd

2nd

2011-05-26 2011-05-26 2011-05-26 2011-05-25 2011-05-25

342

342

342

343

343

N/A

N/A

N/A 2012-09-26 2012-09-18

0

0

0

3

9

2009-11-27 2009-11-12 2009-10-21 2009-10-05 2009-03-06

713

723

738

749

897

2012-09-11 2012-09-06 2012-09-06 2012-09-06 2012-08-15

14

17

17

17

32

N/A

N/A 2012-09-13 2012-08-07 2012-07-24

0

0

12

38

48

2011-11-28 2011-10-06 2011-10-05 2011-10-05 2011-07-25

214

248

249

249

301

2012-07-07 2012-06-01 2012-05-31 2012-05-07 2012-04-27

59

78

85

102

108

Oldest Request 2011-05-25
343 2012-09-13
12 2007-09-07
1,269 2012-07-26
46 2012-04-24
111 2010-11-22
470 2012-04-12
119

NPPD

Date of Receipt 2012-07-09 2012-06-27 2012-05-23 2012-05-22 2012-05-21 2012-05-07 2012-05-07 2012-05-07 2012-04-25 2012-04-12

Number of Days Pending

59

66

90

91

92

102

102

102

110

119

Date of Receipt

N/A

N/A

N/A 2012-09-25 2012-09-05 2012-05-09 2011-11-30 2011-11-30 2011-11-30 2011-11-30

OGC

Number of Days Pending

0

0

0

4

18

100

212

212

212

212

13 58

Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 27 of 40

Component

Sub-Row Heading

Date of Receipt OIG Number of Days
Pending

Date of Receipt OPS Number of Days
Pending

PLCY

Date of Receipt
Number of Days Pending

Date of Receipt

10th

9th

8th

2012-07-16 2012-05-21 2012-04-24

54

92

111

N/A

N/A

N/A

0

0

0

N/A

N/A

N/A

0

0

0

2012-08-22 2012-08-21 2012-08-21

7th 2012-04-24
111 N/A
0 N/A
0 2012-08-21

6th

5th

4th

3rd

2nd

2012-04-23 2012-04-16 2012-04-05 2012-03-23 2012-02-07

112

117

124

133

165

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

2012-08-21 2012-08-07 2012-05-18 2012-04-25 2012-03-16

Oldest Request 2011-12-08
206 N/A
0 N/A
0 2011-12-13

PRIV

Number of Days Pending

27

28

28

28

28

38

93

110

138

203

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

S&T Number of Days Pending

0

0

0

0

0

0

0

0

0

Date of Receipt 2009-10-26 2009-09-01 2009-07-06 2009-06-10 2009-01-02 2008-12-18 2008-10-29 2008-06-19 2004-11-01

TSA Number of Days Pending

735

772

813

830

939

948

982

1,073

1,986

USCG

Date of Receipt 2009-12-08 2009-12-01 2009-11-30 2009-11-25 2009-11-23 2009-10-01 2009-09-25 2009-07-22 2009-07-21

Number of Days Pending

706

711

712

714

716

751

755

801

802

USCIS

Date of Receipt 2011-07-07 2011-07-05 2011-06-29 2011-06-17 2011-05-10 2011-05-02 2011-03-09 2011-03-07 2011-03-07

Number of Days Pending

313

315

319

327

354

360

398

400

400

USSS

Date of Receipt 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17

Number of Days Pending

1,493

1,493

1,493

1,493

1,493

1,493

1,493

1,493

1,493

AGENCY Date of Receipt 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2006-10-17 2004-11-01

OVERALL Number of Days Pending

1,493

1,493

1,493

1,493

1,493

1,493

1,493

1,493

1,986

N/A 0
2004-10-27 1,989
2009-01-12 933
2011-03-03 402
2006-10-17 1,493
2004-10-27 1,989

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

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG

Number Granted
5 1 1 0 0 7 2 1 0 1 0 0 1 0 3 0

Number Denied
2 0 1 0 0 98 0 0 0 14 0 0 6 0 32 0

Median Number of Days to Adjudicate
1 1 8 N/A N/A 1 1.5 8 N/A 3 N/A N/A 8 N/A 2 N/A

Average Number of Days to Adjudicate
27 1 8 N/A N/A 2.75 1.5 8 N/A 4.73 N/A N/A 8.86 N/A 2.8 N/A

Number Adjudicated within 10 Calendar
Days 6 1 2
N/A N/A 101
2 1 N/A 15 N/A N/A 6 N/A 35 N/A
14

59

Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 28 of 40

Component
USCIS USSS AGENCY OVERALL

Number Granted
33 4 59

Number Denied
901 68 1,122

Median Number of Days to Adjudicate
5 10 4

Average Number of Days to Adjudicate
6.77 10.63 6.63

Number Adjudicated within 10 Calendar
Days 786
36
991

B. Requests for Fee Waiver

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number Granted
12 0 0 0 1 29 5 0 0 0 0 0 4 0 20 0 60 0 131

Number Denied
2 0 1 0 6 63 0 0 0 22 0 0 8 3 52 0 88 0 245

Median Number of Days to Adjudicate 11 N/A 6 N/A 2 2 1 N/A N/A 2 N/A N/A 10.5 7 2 N/A 1 N/A 1

Average Number of Days to Adjudicate 20.79 N/A 6 N/A 2 4.05 1.2 N/A N/A 2.82 N/A N/A 14.92 7 2.8 N/A 1 N/A 3.35

IX. FOIA Personnel and Costs

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS

Number of “Full Time
FOIA Employees”
39 1 9 1 2 29.5 0.75 4 0.5 2 0

Personnel
Number of “Equivalent Full-Time
FOIA Employees”
15.38 0 8 0.3 0 0 0 1 0
1.25 0.33

Total Number of “Full-Time FOIA Staff” (Col. 1 + Col.
2) 54.38
1
17
1.3
2
29.5
0.75
5
0.5
3.25
0.33

Processing Costs
$4,500,687.17 $105,211.00 $4,259,260.51 $128,275.00 $186,000.00 $3,653,919.00 $88,500.00 $433,508.00 $50,000.00 $330,721.33 $38,000.00

Costs
Litigation - Related Costs
$4,393.58 $0.00
$70,120.69 $0.00 $0.00
$1,058,905.00 $0.00
$6,219.32 $150,000.00 $104,336.70
$1,000.00

Total Costs
$4,505,080.75 $105,211.00 $4,329,381.20 $128,275.00 $186,000.00 $4,712,824.00 $88,500.00 $439,727.32 $200,000.00 $435,058.03 $39,000.00

15 60

Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 29 of 40

Component
PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of “Full Time
FOIA Employees”
0 14.5
1 10 11 210 18
353.25

Personnel
Number of “Equivalent Full-Time
FOIA Employees”
0.2 1.25
0 2 7.5 3 4.15
44.36

Total Number of “Full-Time FOIA Staff” (Col. 1 + Col.
2) 0.2
15.75
1
12
18.5
213
22.15
397.61

X. Fees Collected for Processing Requests

Processing Costs
$21,000.00 $2,330,524.70
$77,368.00 $1,078,019.00 $1,313,855.00 $15,993,127.16 $2,160,152.71 $36,748,128.58

Component CBP CRCL FEMA
FLETC I&A ICE
MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Total Amount of Fees Collected $329,416.94 $0.00 $7,331.60 $330.70 $0.00 $2,676.50 $0.00 $25.00 $0.00 $277.90 $0.00 $0.00 $0.00 $900.60 $0.00 $83,336.34 $11,595.23 $0.00 $435,890.81

Costs

Litigation - Related Costs

Total Costs

$0.00 $0.00 $0.00 $29,173.10 $0.00 $368,504.10 $92,221.14
$1,884,873.63

$21,000.00 $2,330,524.70
$77,368.00 $1,107,192.10 $1,313,855.00 $16,361,631.26 $2,252,373.85
$38,633,002.21

Percentage of Total Costs 6.70% 0.00% 0.03% 0.57% 0.12% 0.22% 1.18% 0.00% 0.00% 0.08% 0.00% 0.00% 0.00% 0.00% 0.00% 0.78% 0.07% 0.00% 1.19%

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 CRCL

Number of Backlogged Requests as of the End of Fiscal Year 10,648
0

Number of Backlogged Appeals as of End of Fiscal Year 0
N/A

16 61

Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 30 of 40

Component
FEMA FLETC
I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Backlogged Requests as of the End of Fiscal Year 306 2 3 2,443 13 2,288 5 11 0 0 5 0 542
782 10,727
778 28,553

Number of Backlogged Appeals as of End of Fiscal Year N/A 0 0 0 N/A N/A 99 13 N/A N/A N/A N/A 10
33 10 0 165

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

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD OGC
OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Consultations Received from Other Agencies that Were
Pending at Your Agency as of Start of the Fiscal Year
1 0 2** 0 1** 0 0 0 0 0 0 0 0 0 16 14 0 9 43**

Number of Consultations Received from Other
Agencies During the Fiscal Year
50 4 9 4 24 88 0 0 1 2 5 13 24 6 16 6 75 11
338

Number of Consultations Received from Other Agencies that Were
Processed by Your Agency During the Fiscal Year 46 4 9 4 22 84 0 0 1 2 5 13 21 6 22 14 72 11
336

Number of Consultations Received from Other
Agencies that were Pending at Your Agency as of the End of the Fiscal Year 5 0 2 0 3 4 0 0 0 0 0 0 3 0 10 6 3 9
45

** Corrected number due to component reporting error in FY 2011.
17 62

Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 31 of 40

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

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Request

Date of Receipt

N/A

N/A

N/A

N/A

N/A 2012-07-19 2012-06-28 2012-05-31 2012-04-10 2012-04-09

CBP Number of Days Pending

0

0

0

0

0

51

65

85

121

122

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

CRCL

Number of Days Pending

0

0

0

0

0

0

0

0

0

0

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A 2011-08-23 2011-03-27

FEMA Number of Days Pending

0

0

0

0

0

0

0

0

280

385

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

FLETC Number of Days Pending

0

0

0

0

0

0

0

0

0

0

I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA

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 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

N/A 0
N/A 0
N/A 0
N/A 0
N/A 0
N/A 0
N/A 0
N/A 0
N/A 0
N/A 0
2012-07-23 49

N/A

N/A

N/A

N/A

N/A

N/A 2012-09-18 2012-08-29 2012-04-03

0

0

0

0

0

0

9

22

126

N/A

N/A

N/A

N/A

N/A 2012-09-07 2012-07-30 2012-07-19 2012-05-04

0

0

0

0

0

16

44

51

103

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A 2012-09-26 2012-08-16 2011-11-20

0

0

0

0

0

0

3

31

218

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

2012-04-10 2012-03-30 2011-09-16 2011-09-16 2011-09-15 2011-04-20 2010-10-28 2010-09-03 2010-06-15

121

128

262

262

263

368

486

523

580

Date of Receipt

N/A

USCG

Number of Days Pending

0

Date of Receipt

N/A

USCIS Number of Days Pending

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A 2012-06-06 2012-05-03 2012-01-26 2011-05-05 2011-03-21 2010-10-05

0

81

104

173

357

390

502

N/A

N/A

N/A

N/A 2012-09-26 2012-09-24 2012-08-24

0

0

0

0

3

5

25

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Case 3:15-cv-01181-JD Document 22-2 Filed 04/22/15 Page 32 of 40

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Request

USSS

Date of Receipt
Number of Days Pending

AGENCY Date of Receipt OVERALL Number of Days
Pending

N/A
0 2011-05-05
357

2012-02-08 2012-02-08

164

164

2011-03-27 2011-03-21

385

390

2012-01-13
181 2010-10-28
486

2012-01-13 2011-09-21 2011-05-10 2010-10-08 2010-10-08 2010-10-08

181

259

354

499

499

499

2010-10-08 2010-10-08 2010-10-08 2010-10-05 2010-09-03 2010-06-15

499

499

499

502

523

580

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

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Requests Received

Received During Fiscal Year from Last Year's
Annual Report

Received During Fiscal Year from Current Annual
Report

32,107

33,243

73

84

820

761

134

109

71

96

16,502

24,073

180

124

2,886**

7,105

43

19

175

180

37

60

26

26

1,317

730

33

36

926

861

3,882

3,700

115,545

117,787

897

1,595

175,654**

190,589

Number of Requests Processed

Processed During Fiscal Year from Last Year's
Annual Report

Processed During Fiscal Year from Current Annual
Report

27,818

26,571

74

87

1,100**

952

141

102

54

115

16,488

21,220

182

116

2,951

4,891

58

17

170

166

37

60

24

26

1,327

709

33

37

694

949

3,708

3,256

89,835

145,278

898

1,343

145,592**

205,895

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

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD

Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual Report
4,356 6
485 5 22** 18 3 65**

Number of Backlogged Requests as of End of the Fiscal Year from Current Annual Report
10,648 0
306 2 3
2,443 13
2,288

** Corrected number due to components reporting error in FY 2011.

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Component
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual Report
5 0 0 0 4 0 580 471** 35,780 571** 42,371**

Number of Backlogged Requests as of End of the Fiscal Year from Current Annual Report
5 11 0 0 5 0 542 782 10,727 778
28,553

E. (1) Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged

Component
CBP FLETC
ICE OGC OIG TSA USCG USCIS USSS AGENCY OVERALL

Number of Appeals Received

Received During Fiscal Year from Last Year's
Annual Report

Received During Fiscal Year from Current Annual
Report

338

474

1

1

245

288

114

113

12

19

41

32

44

35

1,079

1,349

43

34

1,917

2,345

Number of Appeals Processed

Processed During Fiscal Year from Last Year's
Annual Report

Processed During Fiscal Year from Current Annual
Report

343

476

1

1

230

303

164

161

14

19

46

25

41

51

1,049

1,431

45

23

1,933

2,490

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

Component
CBP FLETC
ICE OGC OIG TSA USCG USCIS USSS AGENCY OVERALL

Number of Backlogged Appeals as of End of the Fiscal Year from Previous Annual Report 0 0 18 141 12 2 49 105 0
327

Number of Backlogged Appeals as of End of the Fiscal Year from Current Annual Report 0 0 0 99 13 10 33 10 0
165

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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 Privacy Office (PRIV) works to preserve and enhance privacy protections for all individuals and to promote transparency of Department operations.
The Office for Civil Rights and Civil Liberties (CRCL) provides legal and policy advice to Department leadership on civil rights and civil liberties issues, investigates and resolves complaints, and provides leadership to Equal Employment Opportunity Programs.
The Office of Inspector General (OIG) is responsible for conducting and supervising audits, investigations, and inspections relating to the programs and operations of the Department, and recommends ways for the Department to carry out its responsibilities in the most effective, efficient, and economical manner possible.
The Citizenship and Immigration Services Ombudsman (CISOMB) provides recommendations for resolving individual and employer problems with the United States Citizenship and Immigration Services in order to ensure national security and the integrity of the legal immigration system.
The Office of Legislative Affairs (OLA) serves as primary liaison to members of Congress and their staffs.
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 Public Affairs (OPA) coordinates the public affairs activities of all of the Department’s components and offices.
The Office of the Executive Secretariat (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 Military Advisor's Office advises on facilitating, coordinating, and executing policy, procedures, preparedness activities, and operations between the Department and the Department of Defense.
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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.
Department Components and Directorates:
The Directorate for National Protection and Programs (NPPD) leads the national effort to protect and enhance the resilience of the Nation’s physical and cyber infrastructure.
The Directorate for Science and Technology (S&T) strengthens America’s security and resiliency by providing knowledge products and innovative technology solutions for the Homeland Security Enterprise.
The Directorate for Management (MGMT) is responsible for Department budgets and appropriations, expenditure of funds, accounting and finance, procurement, human resources, information technology systems, facilities and equipment, and the identification and tracking of performance measurements.
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 Office of Health Affairs (OHA) coordinates all medical activities of the Department of Homeland Security to ensure appropriate preparation for and response to incidents having medical significance.
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.
The Office of Operations Coordination and Planning (OPS) provides Departmental Leadership situational awareness, promotes information sharing, integrates and synchronizes strategic operations and planning, and administers the DHS continuity program.
The Federal Law Enforcement Training Center (FLETC) provides career-long training to law enforcement professionals to help them fulfill their responsibilities safely and proficiently.
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 Transportation Security Administration (TSA) protects the nation's transportation systems to ensure secure freedom of movement for people and commerce.
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United States 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, including immigration and drug laws. United States Citizenship and Immigration Services (USCIS) grants immigration and citizenship benefits, promotes awareness and understanding of citizenship, and ensures the integrity of our immigration system. 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 United States Coast Guard (USCG) is one of the five armed forces of the United States and the only military organization within the Department of Homeland Security. The Coast Guard protects the maritime economy and the environment, defends our maritime borders, and saves those in peril. 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 United States Secret Service (USSS) safeguards the nation's 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

Jonathan R. Cantor Acting Chief FOIA Officer Privacy Office U.S. Department of Homeland Security 245 Murray Drive, SW, Mail Stop 0655 Washington, DC 20528-0655

Delores J. Barber Deputy Chief FOIA Officer Privacy Office U.S. Department of Homeland Security 245 Murray Drive, SW, Mail Stop 0655 Washington, DC 20528-0655

Department of Homeland Security Component FOIA Officers

Privacy Office James V.M.L. Holzer, I Senior Director, FOIA Operations Ph: 202-343-1743; Fax: 202-343-4011 U.S. Department of Homeland Security 245 Murray Drive, 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 Drive, SW, Mail Stop 0655 Washington, DC 20528-0655

Privacy Office Sabrina Burroughs Director, Disclosure Policy and FOIA Program Development Ph: 202-343-1743; Fax: 202-343-4011 U.S. Department of Homeland Security 245 Murray Drive, 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) 2100 2nd St., S.W. Washington, DC 20593-0001

U.S. Citizenship and Immigration Services Jill Eggleston Ph: 816-350-5521; Fax: 816-350-5785 National Records Center, FOIA/PA Office P. O. Box 648010 Lee's Summit, MO 64064-8010

U.S. Customs and Border Protection Jacky J. Saint Juste, Acting Ph: 202-325-0150; Fax: 202-325-0230 FOIA Division 90 K Street NE, 9th Floor Washington, DC 20229-1181

Office for Civil Rights and Civil Liberties Fernando Pineiro, Jr. Ph: 202-357-7672; 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

Federal Emergency Management Agency Monique Booker-Kasper, Acting Ph: 202-646-3323; Fax: 202-646-3347 Disclosure Branch 1800 South Bell Street, Fourth Floor, Mail Stop 3005 Arlington, Virginia 20598-3005

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Federal Law Enforcement Training Center William Dooley Ph: 912-267-4512; Fax: 912-267-3113 Building No.681, Suite 187B Glynco, GA 31524
Office of the General Counsel Cynthia Martin, Acting Ph: 202-282-9822; Fax: 202-282-9186 U.S. Department of Homeland Security Washington, DC 20528-0001
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 Katherine Gallo Ph: 202-254-4001; Fax: 202-254-4398 U.S. Department of Homeland Security 245 Murray Drive, Bldg. 410, Mail Stop 2600 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, Acting 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
Office of Policy Traci Ballard Ph: 202-447-3497; Fax: 202-282-9512 U.S. Department of Homeland Security 245 Murray Drive, SW, Mail Stop 0445 Washington, DC 20528-0445
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 Drive, Building T-5 Washington, DC 20223
Transportation Security Administration Yvonne Coates 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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          
   EXHIBITC

Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 1 of 40
Department of Homeland Security
Privacy Ofﬁce 201 Freedom of Information Act Report to the Attorney General of the United States February 2012
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Message from the Chief Freedom of Information Act Officer
I am delighted to present the Department of Homeland Security’s (DHS) Annual Freedom of Information Act (FOIA) Report to the Attorney General for 2011. This is the third such report produced during my tenure as the Department’s Chief Privacy Officer and Chief FOIA Officer and the third to reflect President Obama’s call for openness and transparency in Federal Government operations. The highlight of this year’s report is the unprecedented number of FOIA requests the Department received overall, the near doubling of requests submitted to two DHS components, U.S. Customs and Border Protection (CBP) and U.S. Immigration and Customs Enforcement (ICE), and an additional 20 percent increase in requests coming in to United States Citizenship and Immigration Services (USCIS), the DHS component that receives the most FOIA requests.
To analyze these numbers more closely, in Fiscal Year 2011 DHS received a total of 175,656 FOIA requests, up 45,558 or 35 percent from Fiscal Year 2010’s total of 130,098. We processed 145,631 requests, an increase from 138,651 in 2010. These requests were almost equally divided between simple requests (requests anticipated to involve a small volume of material or which will be able to be processed relatively quickly) and complex requests (requests that are anticipated to involve a voluminous amount of material to review or will be time-consuming to process). We received 64,895 simple requests and 64,792 complex requests, respectively. For 98,401 of these cases (57 percent), DHS released responsive information. The percentage of FOIA requests with information released is even higher—81 percent—when the 17,731 requests that are duplicative or withdrawn altogether and/or seek records that do not exist or, alternatively, fall under the purview of another agency are eliminated.
The increased volume of incoming requests did not preclude a timely response. Almost across the board, DHS components shortened the interval between the receipt of a simple perfected request and its final disposition. CBP, for example, reduced its median response time for simple perfected requests from 24 days in FY10 to 4 in FY11 or 83 percent. The Office for Civil Rights and Civil Liberties (CRCL) decreased its median turnaround from 22 days to 7 or 68 percent, while the Office of Inspector General average response time dropped from 11.05 days to 8.57, or 22 percent. In some cases, the response time for complex requests also fell significantly. The Federal Emergency Management Administration (FEMA)’s response time dropped from 390 days in Fiscal Year 2010 to 102 in Fiscal Year 2011 or 74 percent. The United States Coast Guard (USCG) cut its response time from 56 days to 45 (20 percent), and the Office of General Counsel reduced its average response time of 474.57 days in FY10 to 296.69 in FY11— 37 percent.
Here at DHS we have experienced a 64 percent increase in the number of FOIA requests received since President Obama took Office and called for greater transparency and openness. What do these numbers mean in terms of the President’s mandate? It is clear that the concepts of government accountability through the Freedom of Information Act that the President expressed upon assuming office has gained widespread acceptance among the public, that they are turning
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Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 3 of 40 first to the FOIA process to seek information about federal activities and using the full power of the law to find out what they want, perhaps need, to know. Certainly this is the case at DHS, where we celebrate this development to better acquaint our constituency with the panoply of programs and activities we carry out on their behalf. I direct your attention to the pages that follow and look forward to providing even better and more responsive customer service in the new Fiscal Year.
Mary Ellen Callahan 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 ......................................................................................................................3 A. Received, Processed and Pending FOIA Requests ............................................3 B. (1) Disposition of FOIA Requests - All Processed Requests ............................3 (2) Dispostion of FOIA Requests - “Other” Reasons for “Full Denials Based on Reasons Other than Exemptions” from Section V, B(1) Chart .........................4 (3) Disposition of FOIA Requests - Number of Times Exemptions Applied....5
VI. Administrative Appeals of Initial Determinations of FOIA Requests .............................6 A. Received, Processed, and Pending Administrative Appeals..............................6 B. Disposition of Administrative Appeals - All Processed Appeals ......................6 C. (1) Reasons for Denial on Appeal - Number of Times Exemptions Applied....6 (2) Reasons for Denial on Appeal - Reasons Other than Exemptions ...............7 (3) Reasons for Denial on Appeal - “Other” Reasons from Section VI, C(2) Chart.........................................................................................................................7 (4) Response Times for Administrative Appeals...............................................7 (5) Ten Oldest Pending Administrative Appeals ...............................................8
VII. FOIA Requests: Response Times for Processed and Pending Requests..........................8 A. Processed Requests - Response Time for All Processed Perfected Requests....8 B. Processed Requests - Response Time for Perfected Requests in Which Information was Granted ......................................................................................................9 C. Processed Requests - Response Time in Day Increments ...............................10 (1) Simple Requests Response Time in Day Increments.................................10 (2) Complex Requests Response Time in Day Increments .............................10 (3) Requests Granted Expedited Processing Response Time in Day Increments ..............................................................................................................11 D. Pending Requests - All Pending Perfected Requests.......................................11 E. Pending Requests - Ten Oldest Pending Perfected Requests ..........................12
VIII. Requests for Expedited Processing and Requests for Fee Waivers ...............................13 A. Requests for Expedited Processing..................................................................13 B. Requests for Fee Waiver..................................................................................13
IX. FOIA Personnel and Costs.................................................................................................14
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Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 5 of 40
X. Fees Collected for Processing Requests ............................................................................15 XI. FOIA Regulations (Including Fee Schedule)....................................................................15 XII. Backlogs, Consultations, and Comparisons......................................................................15
A. Backlogs of FOIA Requests and Administrative Appeals...............................15 B. Consultations on FOIA Requests - Received, Processed, and Pending Consultations..........................................................................................................16 C. Consultations on FOIA Requests - Ten Oldest Consultations Received from Other
Agencies and Pending......................................................................................16 D. (1) Comparison of Numbers of Requests from Previous and Current Annual Report -
Requests Received, Processed, and Backlogged .............................................17 (2) Comparison of Backlogged Requests from Previous and Current Annual Report.....................................................................................................................18 E. (1) Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report - Appeals Received, Processed, and Backlogged....................19 (2) Comparison of Backlogged Administrative Appeals from Previous and Current Annual Report ..................................................................................................19 APPENDICES. .................................................................................................................20 APPENDIX A: Composition of the Department of Homeland Security...............20 APPENDIX B: Organization of the Department of Homeland Security Chart.....24 APPENDIX C: Names, Addresses, and Contact Information For DHS FOIA Officers ..................................................................................................................25
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Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 6 of 40

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 Drive SW, Building 410 STOP-0665 Washington, DC 20528-0665 Phone: 703-235-0790; Fax: 703-235-0443

2. This report can be downloaded from the DHS FOIA website at http://www.dhs.gov/FOIA.

3. Requests for this report in paper form may also be directed to Delores J. Barber, 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.

2. Brief description why requests are not granted:

The Department of Homeland Security (DHS or the Department) has the primary responsibility to lead the unified national effort to secure the country and preserve our freedoms. It follows that the records maintained by the Department often involve law enforcement matters. Because law enforcement records are of such interest to subjects of investigation, victims of crime, and the public at large, these records are often requested under the Freedom of Information Act. 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. Further, until the issuance of Milner v. Department of the Navy, 131 S.Ct. 1259 (2011), in March of this year, the Department commonly cited exemption 2 to protect against disclosure of certain types of information the release of which is likely to risk circumvention of laws or regulations.

III. Acronyms, Definitions, and Exemptions

1. Agency-specific acronyms or other terms.

a. CBP

United States 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

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h. FLETC Federal Law Enforcement Training Center

i. I&A

Office of Intelligence and Analysis

j. IGA

Office of Intergovernmental Affairs

k. ICE

United States Immigration and Customs Enforcement

l. MGMT Management Directorate

m. NCSC National Cyber Security Center

n. NPPD National Protection and Programs Directorate

o. OGC Office of the General Counsel

p. OHA Office of Health Affairs

q. OIG

Office of the Inspector General

r. OLA Office of Legislative Affairs

s. OPA Office of Public Affairs

t. OPS

Office of Operations Coordination and Planning

u. PLCY Office of Policy

v. PRIV Privacy Office

w. S&T

Science and Technology Directorate

x. TSA

Transportation Security Administration

y. USCG United States Coast Guard

z. USCIS United States Citizenship and Immigration Services

aa. USSS United States Secret Service

bb. US-VISIT United States Visitor and Immigrant Status Indicator Technology

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 requests 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 provided its views on the record to

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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.*
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 where an agency determines that it must search beyond its Privacy Act “systems of records” or where 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 DHS’s Privacy Act “mixed systems of records” as if they are subject to the Privacy Act’s 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 a 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
* Pursuant to 5 U.S.C. § 552(b)(3) as amended by sec. 564 of Public Law 111-83, a statute enacted after October 28, 2009 can qualify as an Exemption 3 law only if it cites specifically to 5 U.S.C. § 552(b)(3).

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Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 9 of 40
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.
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 which reasonably describes such records and is made in accordance with published rules stating the time, place, fees (if any) and procedures to be followed.
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.

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Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 10 of 40
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 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
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IV. Exemption 3 Statutes

Statute 5 U.S.C. app. 3 § 7(b) 6 U.S.C. § 133
8 U.S.C. § 1202(f) (Immigration and Nationality Act)

Type of Information Withheld
Names of employees who provide information or complaints to the Inspector General
Critical Infrastructure Information

Case Citation

Certain records pertaining to the issuance or refusal of visas to enter the United States

Medina-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); Judicial Watch, Inc. v. U.S. Dep't of State, 650 F. Supp. 2d 28, 33 (D.D.C. 2009); Smith v. DOJ, No. 81-CV813, 1983 U.S. Dist. LEXIS 10878, at *13-14 (N.D.N.Y. Dec. 13, 1983).

Number of Times Relied upon per Component

OIG

1

FEMA

3

USCIS

1

Total Number of Times Relied upon
by Agency 1 3
1

10 U.S.C. § 424

Organization or any function of, and certain information pertaining to, employees of the Defense Intelligence Agency, the National Reconnaissance Office, and the National Geospatial-Intelligence Agency

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).

USCG

1

1

18 U.S.C. §§ 2510-20 26 U.S.C. §§ 6103, 6105

Wiretap requests and the content of any wire, oral, or electronic communication obtained through wiretaps

Mendoza v. DEA, No. 07-5006, 2007 U.S. App. LEXIS 22175 (D.C. Cir. Sept. 14, 2007) (per curiam); Lam Lek Chong v. DEA, 929 F.2d 729, 733 (D.C. Cir. 1991); Payne v. DOJ, No. 9630840, slip op. at 5-6 (5th Cir. July 11, 1997).

Certain tax return information and certain tax convention information

Church of Scientology v. IRS, 484 U.S. 9, 15 (1987) (26 U.S.C. § 6103); Pac. Fisheries, Inc. v. IRS, No. 09-35618, 2010 WL 3611645, at *2 (9th Cir. September 15, 2010)(unpublished disposition); Tax Analysts v. IRS, 217 F. Supp. 2d 23, 27-29 (D.D.C. 2002) (26 U.S.C. § 6105).

USSS USCIS

5 1,082

5 1,082

1 82

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Statute
41 U.S.C. § 253b(m)(1)
41 U.S.C. § 423(a)(1) 46 U.S.C. § 70103(d) 49 U.S.C. § 114(s) 50 U.S.C. § 403g

Type of Information Withheld

Case Citation

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

Margolin v. NASA, No. 09-CV00421-LRH-VPC, 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, 2004 WL 1900562 (D.C. Cir. Aug. 25, 2004).

Number of Times Relied upon per Component

FEMA

1

FLETC

1

ICE

6

MGMT

6

NPPD

2

OPS

3

PRIV

1

S&T

2

USCIS

4

US-VISIT

2

Legal & Safety Employer

Contractor bid or proposal

Research, Inc. v. U.S. Dep't of the

information; source selection

Army, No. Civ. S001748, 2001

USCG

5

information

WL 34098652, at *3-4 (E.D. Cal.

2001) (dictum).

Security plans and other information related to plans

USCG

3

CBP

646

Information obtained or developed in carrying out

Tooley v. Bush, No. 06-306, 2006 WL 3783142, at *19 (D.D.C. Dec.

ICE

37

security under the authority of 21, 2006), aff’d on other grounds, the Aviation and Transportation 586 F. 3d 1006 (D.C. Cir. 2009;

OIG

1

Security Act or under chapter 449 of this title

Gordon v. FBI, 390 F. Supp. 2d 897, 900 (N.D. Cal. 2004).

PRIV

8

TSA

100

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”

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).

USCG USSS

1 1

Total Number of Times Relied upon
by Agency
28
5 3 792
2

50 U.S.C. app. § 2170(c)

CFIUS Filing Material

PRIV

1

1

2 83

Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 13 of 40

Statute Fed. R. Crim. P. 6(e)

Type of Information Withheld

Case Citation

Certain records pertaining to grand jury proceedings

Sussman v. USMS, 494 F.3d 1106, 1113 (D.C. Cir. 2007); Fund for Constitutional Gov't v. Nat'l Archives & Records Serv., 656 F.2d 856, 867-68 (D.C. Cir. 1981); Durham v. U.S. Atty. Gen., No. 06-843, 2008 WL 620744, at *2 (E.D. Tex. Mar. 3, 2008); Cozen O'Connor v. U.S. Dep't of Treasury, 570 F. Supp. 2d 749, 776 (E.D. Pa. 2008).

Number of Times Relied upon per Component

USCIS

8

USSS

3

Total Number of Times Relied upon
by Agency
11

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

Component†
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT

Number of Requests Pending as of Start of
Fiscal Year 796 7 855 12 5‡ 36 13 47 20§ 4 0 0 45 1 429 530**
14,921†† 629 118‡‡

Number of Requests Received in Fiscal Year
32,107 73 820 134 71
16,502 180 318 43 175 37 26 1,317 33 926 3,882
115,545 897 2,570

Number of Requests Processed in Fiscal Year
27,818 74
1,139 141 54 16,488 182 270 58 170 37 24 1,327 33 694 3,708 89,835 898 2,681

Number of Requests Pending as of End of
Fiscal Year 5,085 6 536 5 22 50 11 95 5 9 0 2 35 1 661 704 40,631 628 7

† The following information is important to interpret the FOIA request data presented in this Annual Report: 1) PRIV processes and reports on FOIA requests for itself, the Office of the Secretary (including the Military Advisor’s Office and the Office of Intergovernmental Affairs), and the following components: CISOMB, DNDO, ESEC, OHA, OLA, and OPA; 2) MGMT processes and reports on FOIA requests for itself and for CFO; 3) NPPD processes and reports on FOIA requests for itself and for NCSC; and 4) although US-VISIT is an element of NPPD, it processes its own FOIA requests and its request data is reported as if it were a component. Readers of the Annual Report should consider the contents of this footer to apply, as necessary, to all tables in the report. ‡ Corrected number due to component reporting error in FY 2010. § Corrected number due to component reporting error in FY 2010. ** Corrected number due to component reporting error in FY 2010. †† Corrected number due to component reporting error in FY 2010. ‡‡ Corrected number due to component reporting error in FY 2010.
3
84

Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 14 of 40

Component† AGENCY OVERALL

Number of Requests Pending as of Start of
Fiscal Year
18,468§§

Number of Requests Received in Fiscal Year
175,656

Number of Requests Processed in Fiscal Year
145,631

Number of Requests Pending as of End of
Fiscal Year
48,493

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

No. of Component Full
Grants

CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

2,158 18 276 28 6 556 21 13 9 14 9 4 22 4 62
2,238 9,723
36 6
15,203

No. of Partial Grants/ Partial Denials
18,955

No. of Full Denials Based on
Exemptions
65

No Records
4,603

21

0

25

327

37

153

37

2

34

3

8

22

11,576

222

1,017

56

11

25

165

0

19

8

0

12

67

11

37

10

1

11

4

1

10

96

0

49

12

3

4

160

39

70

558

109

502

48,285

71

8,117

190

34

342

2,668

0

1

Number of Full Denials Based on Reasons Other than Exemptions

All Records Referred

Request Withdrawn

FeeRelated Reason

Not Improper Reasonably FOIA Described Request

Not Agency Record

Duplicate Request

399

62

54

27

1,278

62

90

4

2

0

1

3

0

0

32

111

9

25

68

8

20

7

12

2

0

13

1

4

3

2

1

4

2

2

1

2,446

75

28

31

351

9

103

54

1

3

7

1

1

0

0

13

0

2

38

9

2

17

6

0

0

0

5

1

8

3

2

0

26

0

0

2

1

0

2

0

1

0

0

0

0

1

2

0

1

773

13

0

143

116

34

45

7

1

0

2

0

0

0

26

57

3

47

15

3

25

26

149

13

8

9

9

36

2,832

157

69

0

13,656 4,564 2,297

0

100

0

6

117

35

8

0

3

0

0

0

0

0

83,198

614

15,053 6,636

768

184

306

15,695 4,743 2,633

Other Total

65 27,818

0

74

73 1,139

1

141

0

54

74 16,488

2

182

9

270

0

58

2

170

0

37

1

24

36 1,327

0

33

187

694

51 3,708

64 89,835

30

898

3

2,681

598 145,631

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

Component CBP FEMA
FLETC

Description Coordinated by Another Office
Records Publicly Available
Unable to Locate Requester Nonresponsive to Requests for Additional
Information
Coordinated by Another Office

No. of Times Used 9 45 11 73
1

Total 65 73 1

§§ Corrected number due to components reporting error in FY 2010.
4 85

Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 15 of 40

Component ICE
MGMT NPPD OIG PLCY
PRIV
TSA
USCG USCIS
USSS

Description Fugitive Litigation Lost File
Records Publicly Available
Records Publicly Available Unable to Locate Requester
Sent in Error Aggregated Litigation Records Publicly Available Sent in Error Glomar Response Nonresponsive to Requests for Additional Information Records Publicly Available Nonresponsive to Requests for Additional Information Unable to Locate Records Information Illegible Records Publicly Available Requester Refused Letter Statute of Limitation Past Unable to Locate Requester

No. of Times Used 63 10 1 2 9 2 1 13 4 14 5 14 170 3
51 64 1 1 10 15 3

Total 74 2 9 2 1
36
187
51 64
30

US-VISIT

Coordinated by Another Office

3

3

AGENCY OVERALL

598

B. (3) Disposition of FOIA Requests – 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

0

2,549 646

103

71 18,843 31

0

18,808 22

5,450

2

0

0

CRCL

0

0

0

0

14

21

0

0

3

0

0

0

0

0

FEMA

0

16

11

155

40

251

0

0

11

0

14

0

0

0

FLETC

0

4

1

10

8

30

1

0

3

0

4

0

0

0

I&A

2

10

0

0

3

8

1

0

5

4

4

0

0

0

ICE

0

2,920 44

36

82

8,054

71

4

8,061 32 7,991 57

0

0

MGMT

1

2

6

27

4

13

2

0

6

0

0

1

0

0

NPPD

0

33

2

17

3

144

0

0

120

0

12

9

0

0

5

86

Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 16 of 40

Component

Ex. 1 Ex. 2

Ex. 3

Ex. 4

Ex. 5

Ex. 6

Ex. 7(A)

OGC

0

0

0

0

5

6

0

OIG

1

5

2

3

21

65

11

OPS

1

2

1

2

0

9

1

PLCY

0

0

0

0

1

2

0

PRIV

3

8

10

14

34

93

1

S&T

0

1

2

4

5

11

0

TSA

0

111

100

25

39

143

1

USCG

3

12

10

22

93

656

77

USCIS

0

12,084 1,095

85 31,165 30,197 27

USSS

8

49

9

6

13

158

17

US-VISIT

0

1

2

1

0

6

0

AGENCY OVERALL

19 17,807 1,941 510 31,601 58,710 241

Ex.

Ex.

Ex.

Ex.

Ex.

7(B) 7(C) 7(D) 7(E) 7(F)

0

0

0

0

0

0

54

6

4

1

0

1

0

5

1

0

1

0

0

0

0

9

0

15

1

0

1

0

2

0

0

23

0

16

1

0

79

6

10

0

0

38,928

8

36,114

0

0

157

8

126

1

0

2,197

0

2,407

0

4 68,467 86 52,174 74

Ex. 8
0 0 0 0 0 0 0 0 0 0 0
0

Ex. 9
0 0 0 0 0 0 0 0 0 0 0
0

VI. Administrative Appeals of Initial Determinations of FOIA Requests A. Received, Processed, and Pending Administrative Appeals

Component
CBP FLETC
ICE OGC***
OIG TSA USCG USCIS USSS AGENCY OVERALL

No. of Appeals Pending as of Start of Fiscal Year 23 0 25 201††† 16 9 46‡‡‡ 89 2 411§§§

No. of Appeals Received in Fiscal Year 338 1 245 114 12 41 44 1,079 43
1,917

No. of Appeals Processed in Fiscal Year 343 1 230 164 14 46 41 1,049 45
1,933

No. of Appeals Pending as of End of Fiscal Year 18 0 40 151 14 4 49 119 0
395

B. Disposition of Administrative Appeals – All Processed Appeals

Component
CBP FLETC
ICE OGC OIG TSA

Number Affirmed on Appeal
116 1 130 51 7 26

Number Partially Affirmed & Partially Reversed/Remanded
on Appeal 111
0
13
12
4
6

Number Completely Reversed/Remanded
on Appeal
80 0 54 49 1 9

Number of Appeals Closed for Other Reasons
36 0 33 52 2 5

Total
343 1 230 164 14 46

*** OGC processes FOIA appeals for: CRCL, FEMA, I&A, MGMT, NPPD, OHA, OPS, PLCY, PRIV, S&T and US-VISIT. ††† Corrected number due to component reporting error in FY 2010. ‡‡‡ Corrected number due to component reporting error in FY 2010. §§§ Corrected number due to components reporting error in FY 2010.
6
87

Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 17 of 40

Component

Number Affirmed on Appeal

USCG

9

USCIS

253

USSS

25

AGENCY OVERALL

618

Number Partially Affirmed & Partially Reversed/Remanded
on Appeal 0
479
13
638

Number Completely Reversed/Remanded
on Appeal
24 217 6
440

Number of Appeals Closed for Other Reasons
8 100 1
237

Total
41 1,049
45 1,933

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

Component CBP

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

0

85

18

14

15

175

6

0

168

1

150

2

0

0

FLETC

0

0

1

0

0

1

0

0

0

0

0

0

0

0

ICE

0

30

2

1

5

39

3

0

40

0

16

0

0

0

OGC

2

6

2

1

11

13

2

0

3

1

5

0

0

0

OIG

0

0

0

0

4

4

2

0

7

1

1

0

0

0

TSA

0

4

9

0

2

3

0

0

2

0

1

0

0

0

USCG

0

3

1

4

33

12

25

0

11

0

0

0

0

0

USCIS

0

266

18

1

487 416

0

0

574

1

540

0

0

0

USSS

0

4

5

0

3

11

3

0

11

2

6

0

0

0

AGENCY OVERALL 2

398

56

21

560 674

41

0

816

6

719

2

0

0

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

Component

No

Records

All Records Referred

Request Withdrawn

CBP

3

6

5

FLETC

0

0

0

ICE

0

1

1

OGC

21

3

31

OIG

0

0

0

TSA

1

0

2

USCG

2

0

1

USCIS

0

0

0

USSS

20

0

0

AGENCY OVERALL

47

10

40

FeeRelated Reason
2 0 1 1 0 1 1 0 0
6

Not Reasonably Described
2 0 0 4 0 1 0 0 0
7

Improper FOIA Request
14 0 19 0 0 0 0 100 1
134

Not Agency Record
1 0 0 0 0 0 0 0 0
1

Duplicate Request

Request in Litigation

Appeal Based Solely on Denial for Expedited Processing

1

0

0

0

0

0

1

0

0

3

11

1

0

0

0

1

1

0

0

1

0

0

0

0

0

0

0

6

13

1

Other
2 0 10 16 2 7 17 0 0
54

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

Component CBP
FLETC ICE

Description Moot N/A Moot

No. of Times Used 2 0 10

88

Total 2 0 10
7

Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 18 of 40

Component
OGC
OIG TSA USCG USCIS USSS AGENCY OVERALL

Description Adequacy of Search
Moot
Statute of Limitation Past
Unable to Locate Requester
Not an Appeal
Moot Constructive Denial
Moot N/A N/A

No. of Times Used 9
3
3
1 1
1 7 17 0 0

Total
16
2 7 17 0 0 54

C. (4) Response Times for Administrative Appeals

Component CBP
FLETC ICE OGC OIG TSA
USCG USCIS USSS AGENCY OVERALL

Median Number of Days 20 31 32 659 557 54 135 60 20 44

Average Number of Days 20.80 31 40 700.48 441.86 71.09 102 52 32 106.40

Lowest Number of Days 1 31 1 46 38 3 12 1 12 1

Highest Number of Days 126 31 135 1,527 851 315 422 179 137 1,527

C. (5) Ten Oldest Pending Administrative Appeals

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal

Date of Receipt

2011-09-20 2011-09-20 2011-09-20 2011-09-14 2011-09-14 2011-09-14 2011-09-13 2011-09-13 2011-09-13 2011-09-07

CBP

Number of Days Pending

9

9

9

13

13

13

14

14

14

18

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

FLETC

Number of Days Pending

0

0

0

0

0

0

0

0

0

0

Date of Receipt

2011-08-29 2011-08-24 2011-08-23 2011-08-17 2011-08-11 2011-08-03 2011-08-01 2011-07-29 2011-07-08 2011-07-06

ICE

Number of Days Pending

25

28

29

33

37

43

45

46

61

63

OGC

Date of Receipt

2007-09-30 2007-09-27 2007-09-14 2007-08-20 2007-08-10 2007-07-25 2007-05-21 2007-05-01 2006-12-26 2006-09-20

Number of Days Pending

1,001

1,003

1,012

1,016

1,036

1,048

1,093

1,107

1,194

1,259

8 89

Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 19 of 40

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal

Date of Receipt

2011-03-09 2011-01-26 2010-11-15 2010-11-10 2010-10-27 2010-09-15 2010-09-15 2009-01-14 2008-11-25 2008-11-14

OIG

Number of Days Pending

145

174

222

224

234

263

263

698

734

741

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A 2011-09-28 2011-09-21 2011-08-15 2011-06-02

TSA

Number of Days Pending

0

0

0

0

0

0

4

9

36

88

USCG

Date of Receipt

2010-06-09 2010-06-09 2010-06-09 2010-05-12 2010-05-10 2010-05-01 2010-04-30 2009-12-01 2009-11-19 2009-03-10

Number of Days Pending

333

333

333

352

354

359

360

460

467

644

USCIS USSS

Date of Receipt

2011-07-06 2011-07-06 2011-07-06 2011-07-06 2011-07-06 2011-07-06 2011-07-06 2011-07-06 2011-07-06 2011-07-06

Number of Days Pending

59

59

59

59

59

59

59

59

59

59

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

Number of Days Pending

0

0

0

0

0

0

0

0

0

0

AGENCY

Date of Receipt

2007-09-30 2007-09-27 2007-09-14 2007-08-20 2007-08-10 2007-07-25 2007-05-21 2007-05-01 2006-12-26 2006-09-20

OVERALL Number of
Days Pending

1,001

1,003

1,012

1,016

1,036

1,048

1,093

1,107

1,194

1,259

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

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD OGC
OIG OPS PLCY PRIV S&T TSA USCG USCIS

Median No. of Days
4 7 369 12.5 23 7 8 27 10.5 8 1 4 6 8 N/A 5 55

Simple

Average No. of Days

Lowest No. of Days

36.49

1

8.90

1

395.19

1

27.56

1

22.56

4

14.05

1

10.79

1

49.90

1

17.50

1

8.57

1

3.11

1

4.22

1

6.72

1

12.14

1

N/A

N/A

11.50

1

61.41

1

Highest No. of Days
261 25 1,182 235 44 347 62 28 94 33 15 8 19 55 N/A 520 737

Median No. of Days
60 63 102 N/A 15.5 20 33 121.5 240 17.5 10 7 41 47 91 45 69

Complex

Average No. of Days

Lowest No. of Days

65.85

1

117.76

3

216.00

1

N/A

N/A

28.39

1

34.08

1

34.76

5

127.26

3

296.69

10

29.93

3

9.17

1

8.40

1

74.71

3

62.40

32

128.27

1

43.80

1

74.32

1

Highest No. of Days
213 434 1,368 N/A 105 357 121 483 851 139 23 20 476 131 998 695 873

Median No. of Days
1.5 N/A 487 N/A N/A 17.5 N/A N/A N/A N/A N/A N/A 391 N/A
5 N/A 17

Expedited

Average No. of Days

Lowest No. of Days

2.75

1

N/A

N/A

537.78

279

N/A

N/A

N/A

N/A

18.50

1

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

391

391

N/A

N/A

5

5

N/A

N/A

44.59

6

Highest No. of Days
7 N/A 836 N/A N/A 45 N/A N/A N/A N/A N/A N/A 391 N/A
5 N/A 187

9 90

Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 20 of 40

Component
USSS US-VISIT AGENCY OVERALL

Median No. of Days
14
9
11

Simple

Average No. of Days

Lowest No. of Days

14.28

1

10.00

1

37.40

1

Highest No. of Days
20
293
1,182

Median No. of Days
80
29
68

Complex

Average No. of Days

Lowest No. of Days

250.90

21

76.00

11

78.31

1

Highest No. of Days 1,529
251
1,529

Median No. of Days
76
N/A
17

Expedited

Average No. of Days

Lowest No. of Days

76

76

N/A

N/A

155.10

1

Highest No. of Days
76
N/A
836

B. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

Median No. of Days
4 6.5 370.5 14.5 31 9 14 30 11 8 1 4.5 7.5 10 N/A 6 74 2 2
12

Simple

Average No. of Days

Lowest No. of Days

26.59

1

7.38

1

399.13

1

29.40

1

33.33

25

15.90

1

16.00

1

32.10

1

15.44

1

9.03

1

2.60

1

4.50

1

7.50

7

16.36

1

N/A

N/A

8.70

1

77.19

1

2.00

2

3.00

7

38.98

1

Highest No. of Days
261 20 1,182 165 44 170 62 132 35 22 7 8 8 41 N/A 218 636 2 1

Median No. of Days
71 63 113 N/A 33 32 33 113.5 31.5 18.5 10 8 53 47 157.5 34 82 159 23

1,182

79

Complex

Average No. of Days

Lowest No. of Days

74.02

1

122.89

3

227.27

1

N/A

N/A

43.67

1

43.68

1

34.00

14

127.26

1

42.67

10

30.72

4

10.82

1

10.11

1

91.93

3

62.40

26

180.31

1

59.35

1

90.10

1

314.61

25

23.00

23

Expedited

Highest No. Median No. Average No. Lowest No. of Days of Days of Days of Days

213

1

2.43

1

434

N/A

N/A

N/A

1,368

369.5

367.00

279

N/A

N/A

N/A

N/A

105

N/A

N/A

N/A

319

24

23.50

1

107

N/A

N/A

N/A

483

N/A

N/A

N/A

87

N/A

N/A

N/A

139

N/A

N/A

N/A

23

N/A

N/A

N/A

18

N/A

N/A

N/A

476

391

391.00

391

131

N/A

N/A

N/A

998

N/A

N/A

N/A

429

N/A

N/A

N/A

873

17

44.59

6

1,529

N/A

N/A

N/A

23

N/A

N/A

N/A

Highest No. of Days
7 N/A 450 N/A N/A 45 N/A N/A N/A N/A N/A N/A 391 N/A N/A N/A 187 N/A N/A

91.59

1

1,529

16

89.52

1

450

C. Processed Requests – Response Time in Day Increments

Component
CBP CRCL FEMA FLETC I&A ICE MGMT

1-20 Days
16,497 48 8 82 3
11,080 80

21-40 Days
1,069 1 3 15 5
1,655 18

41-60 Days
1,199 0 1 11 1
917 0

61-80 Days
1,241 0 1 5 0
223 1

(1) Simple Requests

81100 Days

101120 Days

121140 Days

1,506 1,028 1,279

0

0

0

0

3

3

5

3

3

0

0

0

95

32

16

0

0

0

141160 Days 1,132
0 6 0 0 15 0

161180 Days 306
0 15 1 0 2 0

181200 Days 147
0 7 0 0 2 0

201300 Days 64
0 49 1 0 1 0

301400 Days
0 0 46 0 0 1 0

401+ Days
0 0 122 0 0 0 0

Total
25,468 49 264 126 9
14,039 99

10 91

Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 21 of 40

NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

22

42

10

2

3

2

4

1

3

2

3

16

5

0

0

1

0

0

0

0

0

0

82

2

0

0

0

0

0

0

0

0

0

19

0

0

0

0

0

0

0

0

0

0

9

0

0

0

0

0

0

0

0

0

0

843

0

0

0

0

0

0

0

0

0

0

23

3

2

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

1,987

70

20

16

9

8

19

4

7

0

13

4,657 2,274 2,948 2,517 1,158 1,560 2,364 137

35

20

33

68

0

0

0

0

0

0

0

0

0

0

2,623

44

2

0

1

2

1

0

2

1

5

38,147 5,206 5,111 4,006 2,778 2,638 3,689 1,295 371 179 169

0

0

94

0

0

22

0

0

84

0

0

19

0

0

9

0

0

843

0

0

28

0

0

0

5

2

2,160

9 1,121 18,833

0

0

68

0

0

2,681

61 1,245 64,895

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

1-20 Days
293 7 74 0 25
1,256 23 16 4 32 17 15 53 0 116 84
10,350 0 1
12,366

21-40 Days
118 2
142 0 7 513 35 14 4 13 1 0 49 2 93 421 2,170 145 2
3,731

41-60 Days
112 2 94 0 2
280 22 16 0 6 0 0 31 1 63 166 7,406 174 0
8,375

61-80 Days
131 4 68 0 7 159 2 14 3 1 0 0 9 1 46 0 11,736 41 1

(2) Complex Requests

81100 Days
113

101120 Days
64

121140 Days
99

1

1

1

59

37

34

0

0

0

2

1

0

81

49

41

0

3

1

13

16

17

2

0

1

3

2

1

0

0

0

0

0

0

13

9

9

0

0

1

48

27

39

0

6

46

3,954 6,311 9,929

33

97

13

0

0

0

12,223 4,322 6,623 10,232

141160 Days 86
1 33 0 0 19 0 18 3 0 0 0 11 0 47 28 1,783 20 0
2,049

161180 Days 20
0 29 0 0 16 0 8 0 0 0 0 4 0 29 33 144 10 0
293

181200 Days
6 1 18 0 0 11 0 6 0 0 0 0 3 0 37 24 57 16 0
179

201300 Days
3 2 84 0 0 11 0 30 2 0 0 0 5 0 103 174 154 43 1
612

301400 Days
0 2 43 0 0 7 0 8 0 0 0 0 4 0 25 65 56 32 0
242

401+ Days
0 1 162 0 0 0 0 1 17 0 0 0 5 0 21 86 3,105 147 0
3,545

Total
1,045 25 877 0 44
2,443 86 177 36 58 18 15 205 5 694
1,133 57,155
771 5
64,792

Component
CBP CRCL FEMA FLETC I&A ICE

1-20 Days
8 0 0 0 0 3

21-40 Days
0 0 0 0 0 2

41-60 Days
0 0 0 0 0 1

(3) Requests Granted Expedited Processing

61-80 Days

81100 Days

101120 Days

121140 Days

141160 Days

161180 Days

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

181200 Days
0
0
0
0
0
0

201300 Days
0
0
1
0
0
0

301400 Days
0
0
1
0
0
0

401+ Days
0 0 7 0 0 0

Total
8 0 9 0 0 6

11

92

Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 22 of 40

Component
MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

1-20 Days
0 0 0 0 0 0 0 0 1 0 6 0 0
18

21-40 Days
0 0 0 0 0 0 0 0 0 0 0 0 0
2

41-60 Days
0 0 0 0 0 0 0 0 0 0 1 0 0
2

(3) Requests Granted Expedited Processing

61-80 Days
0

81100 Days
0

101120 Days
0

121140 Days
0

141160 Days
0

161180 Days
0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

2

0

0

0

0

0

0

0

0

1

0

0

0

0

0

0

0

0

2

0

0

1

0

0

181200 Days
0 0 0 0 0 0 0 0 0 0 1 0 0
1

201300 Days
0 0 0 0 0 0 0 0 0 0 0 0 0
1

301400 Days
0 0 0 0 0 0 1 0 0 0 0 0 0
2

401+ Days
0 0 0 0 0 0 0 0 0 0 0 0 0
7

Total
0 0 0 0 0 0 1 0 1 0 10 1 0
36

D. Pending Requests – All Pending Perfected Requests

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

Number Pending
4,894 0 94 5 0 18 2 33 0 4 0 0 24 0 0
186 6,734
54 7
12,055

Simple Median No.
of Days 66 N/A 36 103 N/A 7 8 14 N/A 4.5 N/A N/A 2 N/A N/A 12 70 11 14

Average No. of Days
65.12 N/A 43.44 93.00 N/A 10.67 8.00 15.33 N/A 4.50 N/A N/A 3.79 N/A N/A 68.46 68.35 10.26 40.00

68

66.19

Number Pending
191 6 442 0 21 32 9 61 5 5 0 2 12 0
661 500 32,949 558 0
35,453

Complex Median No.
of Days 36 53
306.5 N/A 101 25 15 98 415 14 N/A 8.5 13.5 N/A 158
5 77 229 N/A

Average No. of Days 43.87 42.50 378.82 N/A 108.67 65.66 25.00 104.25 330.00 13.40 N/A 8.50 59.42 N/A 193.07 223.66 77.96 382.20 N/A

79

90.53

Number Pending
0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 4 4 0
8

Expedited Median No.
of Days 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 99 177 N/A
141

Average No. of Days 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 114.91 313.50 N/A
214.20

12 93

Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 23 of 40

E. Pending Requests – Ten Oldest Pending Perfected Requests

Component

Sub-Row Heading

Date of Receipt CBP Number of Days
Pending

CRCL

Date of Receipt
Number of Days Pending

FEMA

Date of Receipt
Number of Days Pending

FLETC

Date of Receipt
Number of Days Pending

Date of Receipt I&A Number of Days
Pending

Date of Receipt ICE Number of Days
Pending

MGMT

Date of Receipt
Number of Days Pending

NPPD

Date of Receipt
Number of Days Pending

OGC

Date of Receipt
Number of Days Pending

Date of Receipt OIG Number of Days
Pending

Date of Receipt OPS Number of Days
Pending

PLCY

Date of Receipt
Number of Days Pending

PRIV

Date of Receipt
Number of Days Pending

Date of Receipt S&T Number of Days
Pending

Date of Receipt TSA Number of Days
Pending

USCG

Date of Receipt
Number of Days Pending

USCIS

Date of Receipt
Number of Days Pending

USSS

Date of Receipt
Number of Days Pending

US-VISIT Date of Receipt

10th

9th

8th

2011-01-13 2011-01-13 2011-01-08

181

181

184

N/A

N/A

N/A

0

0

0

2008-12-18 2008-12-03 2008-12-01

1,016

1,031

1,033

N/A

N/A

N/A

0

0

0

2011-05-10 2011-05-02 2011-04-18

103

109

119

2011-05-11 2011-04-27 2011-04-26

100

110

111

2011-09-23 2011-09-23 2011-09-23

6

6

6

2011-02-23 2011-01-25 2011-01-19

157

177

181

N/A

N/A

N/A

0

0

0

N/A 2011-09-29 2011-09-29

0

2

2

N/A

N/A

N/A

0

0

0

N/A

N/A

N/A

0

0

0

2011-09-14 2011-09-14 2011-09-14

13

13

13

N/A

N/A

N/A

0

0

0

2008-10-02 2008-08-20 2008-08-13

749

779

784

2009-07-08 2009-06-29 2009-06-19

568

575

581

2010-06-24 2010-06-23 2010-06-11

317

318

326

2006-02-02 2006-02-02 2006-01-19

1,420

1,420

1,430

N/A

N/A

N/A

7th

6th

5th

4th

3rd

2nd

2011-01-07 2011-01-07 2011-01-07 2011-01-07 2011-01-07 2011-01-07

185

185

185

185

185

185

N/A 2011-09-28 2011-09-02 2011-08-08 2011-08-08 2011-08-02

0

2

28

53

53

59

2008-10-28 2008-10-03 2008-09-10 2008-08-08 2008-07-16 2008-06-11

1,067

1,092

1,115

1,148

1,171

1,206

N/A

N/A 2011-08-04 2011-07-07 2011-05-10 2011-03-31

0

0

41

61

103

131

2011-03-29 2011-03-02 2011-01-26 2011-01-26 2010-12-13 2010-12-07

133

152

176

176

205

209

2011-04-26 2011-04-07 2011-02-24 2011-01-31 2011-01-28 2010-11-22

111

124

154

171

172

217

2011-09-19 2011-09-17 2011-09-12 2011-09-12 2011-08-31 2011-08-30

10

10

15

15

23

24

2011-01-04 2010-11-18 2010-11-17 2010-11-15 2010-11-01 2010-10-04

191

221

222

224

233

252

N/A

N/A 2011-09-16 2010-12-18 2010-08-12 2010-08-06

0

0

15

287

415

421

2011-09-22 2011-09-22 2011-09-19 2011-09-19 2011-09-13 2011-09-12

7

7

10

10

14

15

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A 2011-09-21

0

0

0

0

0

8

2011-09-14 2011-09-13 2011-09-02 2011-08-11 2011-05-16 2011-04-19

13

14

21

37

99

118

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

2008-06-23 2008-06-19 2008-06-19 2008-06-17 2006-08-02 2004-11-01

820

822

822

824

1,294

1,735

2009-06-10 2009-06-03 2009-06-02 2009-05-27 2009-05-26 2009-05-26

588

593

594

598

599

599

2010-06-03 2010-05-20 2010-05-18 2010-04-30 2010-04-09 2010-04-02

332

341

343

355

369

374

2006-01-19 2006-01-19 2006-01-19 2006-01-19 2005-12-02 2005-12-02

1,430

1,430

1,430

1,430

1,461

1,461

2011-09-21 2011-09-20 2011-09-14 2011-09-12 2011-09-07 2011-06-15

Oldest Request 2010-11-26
214 2011-08-01
60 2007-09-07
1,484 2011-03-31
131 2010-10-01
253 2010-05-17
350 2011-04-15
121 2010-06-21
325 2010-05-05
514 2011-09-07
18 N/A
0 2011-09-20
9 2010-05-07
355 N/A
0 2004-10-27
1,738 2009-01-12
695 2010-03-30
376 2005-11-30
1,463 2011-03-09

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Component

Sub-Row Heading

10th

9th

8th

Number of Days Pending

0

0

0

AGENCY Date of Receipt 2006-01-19 2006-01-19 2006-01-19

OVERALL Number of Days Pending

1,430

1,430

1,430

7th 7 2006-01-19 1,430

6th

5th

4th

3rd

2nd

8

12

14

17

77

2006-01-19 2005-12-02 2005-12-02 2005-11-30 2004-11-01

1,430

1,461

1,461

1,463

1,735

Oldest Request
147
2004-10-27
1,738

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

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD
OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

Number Granted
8 0 0 1 0 6 0 0 0 0 0 0 1 0 1 0 14 5 0 36

Number Denied
8 0 4 0 0 65 1 0 0 19 0 0 9 0 14 0 1,409 0 0 1,529

Median Number of Days to Adjudicate
1 N/A 10
6 N/A
1 1 N/A N/A 5 N/A N/A 9.5 N/A 1 N/A 1 1 N/A 1

Average Number of Days to Adjudicate
5.69 N/A 10.00 6.00 N/A 3.00 1.00 N/A N/A 5.53 N/A N/A 10.80 N/A 1.33 N/A 7.93 2.40 N/A 6.88

Number Adjudicated within 10 Calendar
Days 13 N/A 4 1 N/A 69 1 N/A N/A 18 N/A N/A 6 N/A 15 N/A
1,255 5
N/A
1,377

B. Requests for Fee Waiver

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS

Number Granted
1 0 0 1 0 56 1 0 0 0 0

Number Denied 12 0 1 5 8 8 1 0 0 12 0
95

Median Number of Days to Adjudicate 1.5 N/A 28 9 1 5 1 N/A N/A 3 N/A

Average Number of Days to Adjudicate 1.93 N/A 28.00 11.83 7.25 14.00 1.00 N/A N/A 17.42 N/A

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Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 25 of 40

Component
PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

Number Granted
0 1 0 4 0 29 0 0 93

Number Denied
0 5 0 15 0 93 0 0 160

Median Number of Days to Adjudicate N/A 12.5 N/A 1 N/A 1 N/A N/A
1

Average Number of Days to Adjudicate N/A 16.83 N/A 2.00 N/A 1.00 N/A N/A
6.12

IX. FOIA Personnel and Costs

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

Number of “Full Time
FOIA Employees”
27 0.5 9 1 1 22 1 1 0.5 4 0.33 0.4 15 1 10 22 188 17 3
323.73

Personnel
Number of “Equivalent Full-Time
FOIA Employees”
11.86 0 11
0.50 0 0 0 0 0
0.65 0 0 1 0 2
26.30 7.35 4.15
0
64.81

Total Number of “Full-Time FOIA Staff” (Col. 1 + Col.
2) 38.86 0.50
20 1.50
1 22 1 1 0.50 4.65 0.33 0.40 16 1 12 48.30 195.35 21.15 3
388.54

Processing Costs
$4,947,584.53 $45,000.00
$4,538,289.00 $167,523.00 $103,000.00 $1.799,029.00 $118,000.00 $89,000.00 $221,731.00 $387,117.80 $35,000.00 $40,000.00 $1,961,231.17 $74,872.00 $1,004,565.00 $2,828,075.48 $13,273,035.26 $1,499,134.00 $229,514.00
$33,361,701.24

Costs
Litigation - Related Costs
$3,921.92 $0.00
$76,412.50 $0.00 $0.00
$1,012,000.00 $0.00 $0.00
$150,000.00 $90,158.00
$0.00 $0.00 $0.00 $0.00 $86,283.25 $0.00 $317,966.90 $219,637.63 $0.00 $1,956,380.20

Total Costs
$4,951,506.45 $45,000.00
$4,614,701.50 $167,523.00 $103,000.00 $2,811,029.00 $118,000.00 $89,000.00 $371,731.00 $477,275.80 $35,000.00 $40,000.00 $1,961,231.17 $74,872.00 $1,090,848.25 $2,828,075.48
$13,591,002.16 $1,718,717.63 $229,514.00
$35,318,081.44

X. Fees Collected for Processing Requests

Component CBP CRCL FEMA

Total Amount of Fees Collected $331,291.66 $0.00 $1,516.79

96

Percentage of Total Costs 6.70% 0.00% 0.03%
15

Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 26 of 40

Component FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS
US-VISIT AGENCY OVERALL

Total Amount of Fees Collected $960.80 $128.00
$3,971.90 $1,397.00
$0.00 $0.00 $95.50 $0.00 $0.00 $0.00 $0.00 $414.70 $22,138.26 $7,021.82 $0.00 $435.00 $369,371.43

Percentage of Total Costs 0.57% 0.12% 0.22% 1.18% 0.00% 0.00% 0.02% 0.00% 0.00% 0.00% 0.00% 0.04% 0.78% 0.05% 0.00% 0.19% 1.11%

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 CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS

Number of Backlogged Requests as of the End of Fiscal Year 4,356 6 485 5 21 18 3 63 5 0 0 0 4 0 580 527 35,780

Number of Backlogged Appeals as of End of Fiscal Year**** 0 N/A N/A 0 N/A 18 N/A N/A 141 12 N/A N/A N/A N/A 2 49 105

**** OGC processes FOIA appeals for: CRCL, FEMA, I&A, MGMT, NPPD, OHA, OPS, PLCY, PRIV, S&T and US-VISIT
16
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Component USSS
US-VISIT AGENCY OVERALL

Number of Backlogged Requests as of the End of Fiscal Year 562
2
42,417

Number of Backlogged Appeals as of End of Fiscal Year**** 0
0
327

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

Component
CBP CRCL FEMA FLETC I&A
ICE MGMT NPPD OGC
OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

Number of Consultations Received from Other Agencies that Were
Pending at Your Agency as of Start of the Fiscal Year
4 0 16 0 3†††† 0 1 0 0 0 0 0 0 0‡‡‡‡ 21 13 3§§§§ 8***** 0 69†††††

Number of Consultations Received from Other
Agencies During the Fiscal Year
27 0 11 1 15 93 6 0 0 16 2 29 26 10 40 25 60 38 6 405

Number of Consultations Received from Other Agencies that Were
Processed by Your Agency During the Fiscal Year 30 0 27 1 18 93 7 0 0 16 2 29 26 10 45 24 63 36 6 433

Number of Consultations Received from Other
Agencies that were Pending at Your Agency as of the End of the Fiscal Year 1 0 0 0 0 0 0 0 0 0 0 0 0 0 16 14 0 10 0
41

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

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Request

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A 2011-09-12

CBP Number of Days Pending

0

0

0

0

0

0

0

0

0

14

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

CRCL

Number of Days Pending

0

0

0

0

0

0

0

0

0

0

†††† Corrected number due to component reporting error in FY 2010. ‡‡‡‡ Corrected number due to component reporting error in FY 2010. §§§§ Corrected number due to component reporting error in FY 2010. ***** Corrected number due to component reporting error in FY 2010. ††††† Corrected number due to components reporting error in FY 2010.
17
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Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 28 of 40

Component

Sub-Row Heading

FEMA

Date of Receipt
Number of Days Pending

FLETC

Date of Receipt
Number of Days Pending

Date of Receipt I&A Number of Days
Pending

Date of Receipt ICE Number of Days
Pending

MGMT

Date of Receipt
Number of Days Pending

NPPD

Date of Receipt
Number of Days Pending

OGC

Date of Receipt
Number of Days Pending

Date of Receipt OIG Number of Days
Pending

Date of Receipt OPS Number of Days
Pending

PLCY

Date of Receipt
Number of Days Pending

PRIV

Date of Receipt
Number of Days Pending

Date of Receipt S&T Number of Days
Pending

Date of Receipt TSA Number of Days
Pending

USCG

Date of Receipt
Number of Days Pending

USCIS

Date of Receipt
Number of Days Pending

USSS

Date of Receipt
Number of Days Pending

Date of Receipt US-VISIT Number of Days
Pending

AGENCY Date of Receipt OVERALL Number of Days
Pending

10th N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 2011-07-27
48 2011-04-26
111 N/A
0 2011-09-21
8 N/A
0 2010-09-08
268

9th

8th

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

N/A

N/A

0

0

2011-07-07 2011-05-12

62

101

2011-04-08 2011-03-21

123

137

N/A

N/A

0

0

2011-08-03 2011-06-14

43

79

N/A

N/A

0

0

2010-09-03 2010-08-04

272

292

7th N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 N/A
0 2011-05-05
106 2011-02-08
165 N/A
0 2011-06-14
79 N/A
0 2010-06-28
318

6th

5th

4th

3rd

2nd

Oldest Request

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

2011-04-20 2010-10-28 2010-09-03 2010-06-24 2010-06-15 2009-12-16

117

235

272

322

329

449

2011-01-13 2010-09-08 2010-08-04 2010-06-28 2010-03-11 2009-12-24

182

268

292

318

394

447

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

2011-05-10 2011-03-10 2010-10-08 2010-10-08 2010-10-08 2010-06-20

103

146

248

248

248

325

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

2010-06-24 2010-06-20 2010-06-15 2010-03-11 2009-12-24 2009-12-16

322

325

329

394

447

449

18 99

Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 29 of 40

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

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA USCG USCIS USSS US-VISIT AGENCY OVERALL

Number of Requests Received

Received During Fiscal Year from Last Year's
Annual Report

Received During Fiscal Year from Current Annual
Report

18,948

32,107

20

73

760

820

145

134

46

71

8,523

16,502

256

180

155

318

41

43

187

175

47

37

37

26

1,113

1,317

39

33

716

926

4,102

3,882

91,503

115,545

1,526

897

1,934

2,570

130,098

175,656

Number of Requests Processed

Processed During Fiscal Year from Last Year's
Annual Report

Processed During Fiscal Year from Current Annual
Report

18,639

27,818

24

74

794

1,139

169

141

48

54

8,570

16,488

253

182

127

270

35

58

192

170

47

37

55

24

1,163

1,327

40

33

557

694

3,958

3,708

100,872

89,835

1,451

898

1,657

2,681

138,651

145,631

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

Component
CBP CRCL FEMA FLETC I&A ICE MGMT NPPD OGC OIG OPS PLCY PRIV S&T TSA

Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual Report
601 6
810 12 5‡‡‡‡‡ 27 1 33 20§§§§§ 1 0 0 15 1 378

Number of Backlogged Requests as of End of the Fiscal Year from Current Annual Report
4,356 6
485 5 21 18 3 63 5 0 0 0 4 0
580

‡‡‡‡‡ Corrected number due to component reporting error in FY 2010. §§§§§ Corrected number due to component reporting error in FY 2010.
19

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Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 30 of 40

Component
USCG USCIS USSS US-VISIT AGENCY OVERALL

Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual Report
407 8,209 573 118******
11,217

Number of Backlogged Requests as of End of the Fiscal Year from Current Annual Report
527 35,780
562 2
42,417

E. (1) Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged

Component
CBP FLETC
ICE OGC OIG†††††† TSA USCG USCIS USSS AGENCY OVERALL

Number of Appeals Received

Received During Fiscal Year from Last Year's
Annual Report

Received During Fiscal Year from Current Annual
Report

450

338

1

1

25

245

157

114

0

12

21

41

42

44

2,004

1,079

40

43

2,740

1,917

Number of Appeals Processed

Processed During Fiscal Year from Last Year's
Annual Report

Processed During Fiscal Year from Current Annual
Report

815

343

1

1

331

230

134

164

0

14

14

46

62

41

3,924

1,049

44

45

5,325

1,933

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

Component
CBP FLETC
ICE OGC OIG TSA USCG USCIS USSS AGENCY OVERALL

Number of Backlogged Appeals as of End of the Fiscal Year from Previous Annual Report 0 0 19 176‡‡‡‡‡‡ 0 7 48 3 2
255

Number of Backlogged Appeals as of End of the Fiscal Year from Current Annual Report 0 0 18 141 12 2 49 105 0
327

****** Corrected number due to component reporting error in FY 2010. †††††† OIG began processing their own FOIA appeals at the start of FY 2011 and did not receive or process any appeals in FY 2010. ‡‡‡‡‡‡ Corrected number due to component reporting error in FY 2010.
20
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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 Privacy Office (PRIV) works to preserve and enhance privacy protections for all individuals, to promote transparency of Department operations, and to serve as a leader in the federal privacy community.
The Office for Civil Rights and Civil Liberties (CRCL) provides legal and policy advice to Department leadership on civil rights and civil liberties issues, investigates and resolves complaints, and provides leadership to Equal Employment Opportunity Programs.
The Office of Inspector General is responsible for conducting and supervising audits, investigations, and inspections relating to the programs and operations of the Department, recommending ways for the Department to carry out its responsibilities in the most effective, efficient, and economical manner possible.
The Citizenship and Immigration Services Ombudsman provides recommendations for resolving individual and employer problems with the United States Citizenship and Immigration Services in order to ensure national security and the integrity of the legal immigration system, increase efficiencies in administering citizenship and immigration services, and improve customer service.
The Office of Legislative Affairs serves as primary liaison to members of Congress and their staffs, the White House and Executive Branch, and to other federal agencies and governmental entities that have roles in assuring national security.
The Office of the General Counsel integrates approximately 1700 lawyers from throughout the Department into an effective, client-oriented, full-service legal team and comprises a headquarters office with subsidiary divisions and the legal programs for eight Department components. The Office of the General Counsel includes the ethics division for the Department.
The Office of Public Affairs coordinates the public affairs activities of all of the Department’s components and offices, and serves as the federal government’s lead public information office during a national emergency or disaster. Led by the Assistant Secretary for Public Affairs, it comprises the press office, incident and strategic communications, speechwriting, Web content management, and employee communications.
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The Office of Counternarcotics Enforcement (CNE) coordinates policy and operations to stop the entry of illegal drugs into the United States, and to track and sever the connections between illegal drug trafficking and terrorism.
The Office of the Executive Secretariat (ESEC) provides all manner of direct support to the Secretary and Deputy Secretary, as well as related support to leadership and management across the Department. This support takes many forms, the most well known being accurate and timely dissemination of information and written communications from throughout the Department and our homeland security partners to the Secretary and Deputy Secretary.
The Military Advisor's Office advises on facilitating, coordinating, and executing policy, procedures, preparedness activities, and operations between the Department and the Department of Defense.
Office of Intergovernmental Affairs (IGA): IGA has the mission of promoting an integrated national approach to homeland security by ensuring, coordinating, and advancing federal interaction with state, local, tribal, and territorial governments.
Department Components and Directorates:
The Directorate for National Protection and Programs (NPPD) leads the national effort to protect and enhance the resilience of the Nation’s physical and cyber infrastructure.
The Directorate for Science and Technology is the primary research and development arm of the Department. It provides federal, state, and local officials with the technology and capabilities to protect the homeland.
The Directorate for Management is responsible for Department budgets and appropriations, expenditure of funds, accounting and finance, procurement; human resources, information technology systems, facilities and equipment, and the identification and tracking of performance measurements.
The Office of Policy is the primary policy formulation and coordination component for the Department of Homeland Security. It provides a centralized, coordinated focus to the development of Department-wide, long-range planning to protect the United States.
The Office of Health Affairs coordinates all medical activities of the Department of Homeland Security to ensure appropriate preparation for and response to incidents having medical significance.
The Office of Intelligence and Analysis (I&A) is responsible for using information and intelligence from multiple sources to identify and assess current and future threats to the United States.
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The Office of Operations Coordination and Planning (OPS) provides decision support and enables the Secretary’s execution of responsibilities across the homeland security enterprise by promoting situational awareness and information sharing, integrating and synchronizing strategic operations and planning, and administering the DHS continuity program.
The Federal Law Enforcement Training Center provides career-long training to law enforcement professionals to help them fulfill their responsibilities safely and proficiently.
The Domestic Nuclear Detection Office 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 Transportation Security Administration (TSA) protects the nation's transportation systems to ensure freedom of movement for people and commerce.
United States Customs and Border Protection (CBP) is one of the Department of Homeland Security’s largest and most complex components, with a priority mission of keeping terrorists and their weapons out of the U.S. It also has a responsibility for securing and facilitating trade and travel while enforcing hundreds of U.S. regulations, including immigration and drug laws.
United States Citizenship and Immigration Services (USCIS) secures America’s promise as a nation of immigrants by providing accurate and useful information to our customers, granting immigration and citizenship benefits, promoting an awareness and understanding of citizenship, and ensuring the integrity of our immigration system.
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 United States Coast Guard is one of the five armed forces of the United States and the only military organization within the Department of Homeland Security. The Coast Guard protects the maritime economy and the environment, defends our maritime borders, and saves those in peril.
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 United States Secret Service (USSS) safeguards the nation's 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

Mary Ellen Callahan Chief FOIA Officer Privacy Office U.S. Department of Homeland Security 245 Murray Drive SW, Building 410 STOP-0665 Washington, DC 20528-0665

Delores J. Barber Deputy Chief FOIA Officer Privacy Office U.S. Department of Homeland Security 245 Murray Drive SW, Building 410 STOP-0665 Washington, DC 20528-0665

Department of Homeland Security Component FOIA Officers

Privacy Office James V.M.L. Holzer, I, CIPP/G Director, Disclosure and FOIA Operations Ph: 703-235-0790; Fax: 703-235-0443 U.S. Department of Homeland Security 245 Murray Drive SW, Building 410 STOP-0665 Washington, DC 20528-0665
U.S. Citizenship and Immigration Services Jill Eggleston Ph: 816-350-5521; Fax: 816-350-5785 National Records Center, FOIA/PA Office P. O. Box 648010 Lee's Summit, MO 64064-8010
Office for Civil Rights and Civil Liberties Fernando Pineiro, Jr. Ph: 202-357-7672; Fax: 202-357-1196 DHS-CRCL-FOIA U.S. Department of Homeland Security 245 Murray Lane, SW, Bldg 410, M/S 0190 Washington, DC 20528-0001
U.S. Coast Guard Gaston Brewer, Acting Ph: 202-475-3525 Fax: 202-475-3929 Commandant (CG-611) 2100 2nd St., S.W. Washington, DC 20593-0001
U.S. Customs and Border Protection Dorothy Pullo Ph: 202-325-0150; Fax: 202-325-0230 FOIA Division 799 9th Street NW Washington, DC 20229-1181

Privacy Office Sabrina Burroughs Director, Disclosure Policy and FOIA Program Development Ph: 703-235-0790; Fax: 703-235-0443 U.S. Department of Homeland Security 245 Murray Drive SW, Building 410 STOP-0665 Washington, DC 20528-0665
Federal Emergency Management Agency Dr. Anthony M. Bennett Ph: 202-646-3323; Fax: 202-646-3347 500 C Street, SW, Room 840 Washington, DC 20472
Federal Law Enforcement Training Center Marty Zimmerman-Pate Ph: 912-267-3103; Fax: 912-267-3113 Building No.681, Suite 187B Glynco, GA 31524
Office of the General Counsel Fernando Pineiro, Jr., Acting Ph: 202-357-7672; Fax: 202-357-1196 U.S. Department of Homeland Security Washington, DC 20528-0001
U.S. Immigration and Customs Enforcement Catrina Pavlik-Keenan Ph: 202-732-0600; Fax: 202-732-0660 500 12th Street, SW, M/S 5009 Washington, DC 20536-5009

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Office of Inspector General Katherine Gallo Ph: 202-254-4001; Fax: 202-254-4398 U.S. Department of Homeland Security 245 Murray Drive, Bldg. 410, M/S 2600 Washington, DC 20528-0001
Office of Intelligence and Analysis Tony Tucker Ph: 202-447-4190; Fax: 202-282-8191 U.S. Department of Homeland Security Washington, DC 20528-0001
Directorate for Management Mark Dorgan Ph: 703-235-0755; Fax: 703-235-0443 U.S. Department of Homeland Security Washington, DC 20528-0001
Directorate for National Protection and Programs Gayle Worthy 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: 202-357-7626; Fax: 202-357-7678 U.S. Department of Homeland Security Washington, DC 20528-0001
Office of Health Affairs Audrey Swann Ph: 202-254-5619; Fax: 202-254-6094 U.S. Department of Homeland Security Washington, DC 20528-0001
Office of Policy Traci Ballard Ph: 202-447-3497; Fax: 202-282-9512 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 Drive, Building 410 Washington, DC 20223

Transportation Security Administration Yvonne Coates Ph: 1-866-FOIA-TSA; Fax: 571-227-1406 601 S. 12th Street, TSA-20 11th Floor, East Tower Arlington, VA 22202-4220
Office of US-VISIT Michael Johnson Ph: 202-298-5200; Fax: 202-295-5457 U.S. Department of Homeland Security Washington, DC 20528-0675

107

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          
   EXHIBITD

Case 3:15-cv-01181-JD Document 22-3 Filed 04/22/15 Page 38 of 40
Budget-in-Brief
Fiscal Year 2015
FY 2015 Budget in Brief
Homeland Security
www.dhs.gov
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Secretary’s Message
The President's Fiscal Year (FY) 2015 Budget Request for $38.2 billion for the Department of Homeland Security (DHS) reflects our continued commitment to the security of our homeland and the American public. Homeland security is the most important mission any government can provide to its people. DHS must be agile and vigilant in continually adapting to evolving threats and hazards. We must stay one step ahead of the next attack, the next cyber attack, and the next natural disaster. In the homeland security world, no news is good news, and no news is often the result of the hard work, vigilance, and dedication of the men and women of DHS who prevent bad things you never hear about, or at least help the public protect itself and recover from the storm we cannot prevent. The basic missions of the Department of Homeland Security are, and should continue to be, preventing terrorism and enhancing security; securing and managing our borders; enforcing and administering our immigration laws; safeguarding cyberspace; strengthening national preparedness and resilience. The President's FY 2015 budget request provides the resources necessary to further strengthen these efforts.
Sincerely,
109

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Table of Contents
I. Overview ................................................................................................................................................ 1 Department of Homeland Security Funding Priorities ........................................................................... 9 Preventing Terrorism and Enhancing Security ................................................................................. 10 Securing and Managing Our Borders................................................................................................ 12 Enforcing and Administering Our Immigration Laws ...................................................................... 13 Safeguarding and Securing Cyberspace............................................................................................ 14 Preparing for and Responding to Disasters ....................................................................................... 15 Opportunity, Growth, and Security Initiative.................................................................................... 16
II. Summary Information by Organization................................................................................................ 17 Departmental Management and Operations ........................................................................................ 19 Analysis and Operations ...................................................................................................................... 31 Office of Inspector General ................................................................................................................. 37 Customs and Border Protection ........................................................................................................... 41 U.S. Immigration and Customs Enforcement....................................................................................... 57 Transportation Security Administration ............................................................................................... 67 U.S. Coast Guard ................................................................................................................................. 75 U.S. Secret Service .............................................................................................................................. 87 National Protection and Programs Directorate..................................................................................... 95 Office of Health Affairs ..................................................................................................................... 107 Federal Emergency Management Agency ......................................................................................... 119 U.S. Citizenship and Immigration Services ...................................................................................... 133 Federal Law Enforcement Training Center ....................................................................................... 139 Science and Technology Directorate ................................................................................................. 145 Domestic Nuclear Detection Office .................................................................................................. 153
III. Resource Tables ................................................................................................................................. 161 FYs 2013–2015 President’s Budget Build ......................................................................................... 163 Fiscal Year 2013–2015 Homeland and Non-Homeland Allocations ................................................. 167
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Overview

Fiscal Year 2015 Overview

FY 2013 Revised Enacted 1

FY 2014 Enacted 2

FY 2015 Pres. Budget 3

FY 2015 +/- FY 2014

Total Budget Authority:

$

Less: Mandatory, Fee, and Trust Funds:

Gross Discretionary Budget Authority:

Less: Discretionary Offsetting Fees: Net Discretionary Budget Authority: Less: FEMA Disaster Relief - Major Disasters Cap Adjustment: Less: Rescission of Prior-Year Carryover - Regular Appropriations

Supplemental: 5

Adjusted Net Discretionary Budget Authority: $

$000 59,209,964 $ (11,308,307)
47,901,657 (3,553,282) 44,348,375 (6,075,554)
(151,463) 38,121,358 11,483,313 $

$000 60,655,168 $ (11,526,210)
49,128,958 (3,733,428) 45,395,530 (5,626,386)
(543,968) 39,225,176
-$

$000 60,918,787 $ (11,890,496)
49,028,291 (4,414,798) 44,613,493 (6,437,793)
38,175,700
-

$000 263,619 (364,286)
(100,667) (681,370) (782,037) (811,407) 543,968 (1,049,476)
-

1/ FY 2013 Revised Enacted: • Reflects across the board rescissions of 0.1% and 0.032% pursuant to P.L. 113-6. • Reflects funds sequestered pursuant to section 251 A(7)(A) of the Balance Budget and Emergency Deficit Control Act of 1985, as amended by the Budget Control Act of 2011. • Reflects a transfer of $22.8 million from FEMA Disaster Relief Fund (DRF) to OIG pursuant to P.L. 113-6. • Excludes USCG Overseas Contingency Operations funding of $240.605 million provided in P.L. 113-6. • Includes FEMA Disaster Relief base funds of $553.562 million and an additional $6.075 billion for major disasters declared pursuant to the Stafford Act and designated by the Congress as being for disaster relief pursuant to section 251 (b)(2)(D) of the Balance Budget and Emergency Deficit Control Act of 1985 (BBEDCA), as amended by the Budget Control Act of 2011. • Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $53,134,410. • Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $41,826,103. • Net Discretionary Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $38,272,821.
2/ FY 2014 Enacted: • Reflects a transfer of $24 million from FEMA DRF to OIG pursuant to P.L. 113-76. • Excludes USCG Overseas Contingency Operations funding of $227.0 million provided in P.L. 113-76. • Includes FEMA Disaster Relief base funds of $570.522 million and an additional $5.626 billion for major disasters declared pursuant to the Stafford Act and designated by the Congress as being for disaster relief pursuant to section 251 (b)(2)(D) of the BBEDCA of 1985, as amended by the Budget Control Act of 2011. • Reflects the following technical adjustments: $33.522 million increase for TSA - Aviation Security revised fee levels; $15.042 million decrease for USCG Health Care Fund Contribution; $3.741 million increase for CBP Small Airports. • Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $55,028,782 • Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $43,502,572. • Net Discretionary Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $39,769,144.
3/ FY 2015 President's Budget: • Reflects a proposed transfer of $24 million from FEMA DRF to OIG. • Includes FEMA Disaster Relief base funds of $371.672 million and an additional $6.438 billion for major disasters declared pursuant to the Stafford Act and designated by the Congress as being for disaster relief pursuant to section 251 (b)(2)(D) of the BBEDCA of 1985, as amended by the Budget Control Act of 2011. • Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment is: $54,480,994. • Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $42,590,498. • Net Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $38,175,700.
4/ Rescissions of Prior Year Unobligated Balances: • FY 2013 - Pursuant to P.L. 113-6, reflects rescissions of prior year unobligated balances of -$151.463 million • FY 2014 - Pursuant to P.L. 113-76, reflects rescissions of prior year unobligated balances of -$543.968 million.
5/ In order to obtain comparable figures, Net Discretionary, Gross Discretionary, and Total Budget Authority excludes: • FY 2013 supplemental funding provided in P.L. 113-2 (Disaster Relief Appropriations Act 2013) and sequestered pursuant to 251 A(7)(A) of the Balance Budget and Emergency Deficit Control Act of 1985, as amended by the Budget Control Act of 2011: OIG ($2.850 million), CBP ($1.584 million), ICE ($0.812 million), USCG ($260.521 million), USSS ($0.285 million), FEMA ($11.210 billion), S&T ($3.087 million), DNDO ($3.676 million). • Excludes FEMA NFIF ($9.7 billion) increase in borrowing authority provided in P.L. 113-1.

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Overview
Total Budget Authority
Dollars in Thousands

60,000,000 50,000,000 40,000,000 30,000,000 20,000,000 10,000,000
-

59,$25099,2,0996,4964

60,655,168

60,918,787

$11,308,307

$11,526,210

$11,890,496

$47,901,657

$49,128,958

$49,028,291

Mandatory, Fees, Trust Funds
Gross Discretionary

• FY 2015 Gross Discretionary funding decreases by $101 million, or 0.2 percent, under FY 2014. • FY 2015 estimated mandatory fees and trusts budget authority increases by $364 million, or 3.2 percent over FY 2014.
• FY 2015 Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment is: $54,480,994.
• FY 2015 Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $42,590,498. • FY 2015 Net Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $38,175,700.
• Excludes FY 2013 Net Sequestered Supplemental funding of $11.5 billion.

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Overview
FY 2015 Percent of Total Budget Authority by Organization $60,918,787,000

FEMA: Grants FLETC, OIG,

FEMA 20%

4% USCIS

OHA 1%

5%

S&T

NPPD 5%

2% DNDO
0.5%

USSS 3%

Dept. Ops 1%
A&O

USCG

0.5%

16% TSA
12%

CBP ICE 21% 9%

Notes:
• Departmental Operations is comprised of the Office of the Secretary & Executive Management, DHS Headquarters Consolidation, the Office of the Undersecretary for Management, the Office of the Chief Financial Officer, and the Office of the Chief Information Officer.

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Overview

Total Budget Authority by Organization
Gross Discretionary, Mandatory, Fees, and Trust Funds

FY 2013 Revised Enacted 1

FY 2014 Enacted2

FY 2015 Pres. Budget3

FY 2015 +/FY 2014

FY 2015 +/FY 2014

$000

$000

$000

$000

%

Departmental Operations 4

$ 708,695 $

728,269 $

748,024 $ 19,755

2.7%

Analysis and Operations (A&O)

301,853

300,490

302,268

1,778

0.6%

Office of the Inspector General (OIG)

137,910

139,437

145,457

6,020

4.3%

U.S. Customs & Border Protection (CBP)

11,736,990

12,445,616

12,764,835

319,219

2.6%

U.S. Immigration & Customs Enforcement (ICE)

5,627,660

5,614,361

5,359,065

(255,296)

-4.5%

Transportation Security Administration (TSA)

7,193,757

7,364,510

7,305,098

(59,412)

-0.8%

U.S. Coast Guard (USCG)

9,972,425

10,214,999

9,796,995

(418,004)

-4.1%

U.S. Secret Service (USSS)

1,808,313

1,840,272

1,895,905

55,633

3.0%

National Protection and Programs Directorate (NPPD)

2,638,634

2,813,213

2,857,666

44,453

1.6%

Office of Health Affairs (OHA)

126,324

126,763

125,767

(996)

-0.8%

Federal Emergency Management Agency (FEMA)

11,865,196

11,553,899

12,496,517

942,618

8.2%

FEMA: Grant Programs

2,373,540

2,530,000

2,225,469

(304,531)

-12.0%

U.S. Citizenship & Immigration Services (USCIS)

3,378,348

3,219,142

3,259,885

40,743

1.3%

Federal Law Enforcement Training Center (FLETC)

243,111

258,730

259,595

865

0.3%

Science &Technology Directorate (S&T)

794,227

1,220,212

1,071,818

(148,394) -12.2%

Domestic Nuclear Detection Office (DNDO)

302,981

TOTAL BUDGET AUTHORITY:

$ 59,209,964 $ Less: Mandatory, Fee, and Trust Funds: (11,308,307)

GROSS DISC. BUDGET AUTHORITY:

Less: Discretionary Offsetting Fees:

47,901,657 (3,553,282)

285,255 60,655,168 $ (11,526,210) 49,128,958 (3,733,428)

304,423 60,918,787 $ (11,890,496) 49,028,291 (4,414,798)

19,168 263,619 (364,286) (100,667) (681,370)

6.7% 0.4% 3.2% -0.2% 18.3%

NET DISC. BUDGET AUTHORITY:

$

Less: FEMA Disaster Relief - Major Disasters Cap Adjustment: $
Less: Rescission of Prior-Year Carryover - Regular Appropriations: 5

44,348,375 $ (6,075,554) $
(151,463)

45,395,530 $ (5,626,386) $
(543,968)

44,613,493 $ (6,437,793) $
-

(782,037) (811,407) 543,968

-1.7% 14.4% -100.0%

ADJUSTED NET DISC. BUDGET AUTHORITY: 4 Supplemental: 6

$ 38,121,358 $ 39,225,176 $ 38,175,700 $ (1,049,476)

$ 11,483,313

-

-

-

-2.7% -

1/ FY 2013 Revised Enacted: • Reflects across the board rescissions of 0.1% and 0.032% pursuant to P.L. 113-6. • Reflects funds sequestered pursuant to section 251 A(7)(A) of the Balance Budget and Emergency Deficit Control Act of 1985, as amended by the Budget Control Act of 2011. • Reflects a transfer of $22.8 million from FEMA Disaster Relief Fund (DRF) to OIG pursuant to P.L. 113-6. • Excludes USCG Overseas Contingency Operations funding of $240.605 million provided in P.L. 113-6. • Includes FEMA Disaster Relief base funds of $553.562 million and an additional $6.075 billion for major disasters declared pursuant to the Stafford Act and designated by the Congress as being for disaster relief pursuant to section 251 (b)(2)(D) of the Balance Budget and Emergency Deficit Control Act of 1985 (BBEDCA), as amended by the Budget Control Act of 2011. • Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $53,134,410. • Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $41,826,103. • Net Discretionary Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $38,272,821.

2/ FY 2014 Enacted: • Reflects a transfer of $24 million from FEMA DRF to OIG pursuant to P.L. 113-76. • Excludes USCG Overseas Contingency Operations funding of $227.0 million provided in P.L. 113-76. • Includes FEMA Disaster Relief base funds of $570.522 million and an additional $5.626 billion for major disasters declared pursuant to the Stafford Act and designated by the Congress as being for disaster relief pursuant to section 251 (b)(2)(D) of the BBEDCA of 1985, as amended by the Budget Control Act of 2011. • Reflects the following technical adjustments: $33.522 million increase for TSA - Aviation Security revised fee levels; $15.042 million decrease for USCG Health Care Fund Contribution; $3.741 million increase for CBP Small Airports. • Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $55,028,782 • Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $43,502,572. • Net Discretionary Request excluding DRF Major Disasters Cap Adjustment and rescissions of prior year carryover balances is: $39,769,144.
3/ FY 2015 President's Budget: • Reflects a proposed transfer of $24 million from FEMA DRF to OIG. • Includes FEMA Disaster Relief base funds of $371.672 million and an additional $6.438 billion for major disasters declared pursuant to the Stafford Act and designated by the Congress as being for disaster relief pursuant to section 251 (b)(2)(D) of the BBEDCA of 1985, as amended by the Budget Control Act of 2011. • Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment is: $54,480,994. • Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $42,590,498. • Net Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $38,175,700.

4/ Departmental Operations is comprised of the Office of the Secretary & Executive Management, DHS Headquarters Consolidation, the Office of the Undersecretary for Management, the Office of the Chief Financial Officer, and the Office of the Chief Information Officer.
5/ Rescissions of Prior Year Unobligated Balances: • FY 2013 - Pursuant to P.L. 113-6, reflects rescissions of prior year unobligated balances of -$151.463 million • FY 2014 - Pursuant to P.L. 113-76, reflects rescissions of prior year unobligated balances of -$543.968 million.
6/ In order to obtain comparable figures, Net Discretionary, Gross Discretionary, and Total Budget Authority excludes: • FY 2013 supplemental funding provided in P.L. 113-2 (Disaster Relief Appropriations Act 2013) and sequestered pursuant to 251 A(7)(A) of the Balance Budget and Emergency Deficit Control Act of 1985, as amended by the Budget Control Act of 2011: OIG ($2.850 million), CBP ($1.584 million), ICE ($0.812 million), USCG ($260.521 million), USSS ($0.285 million), FEMA ($11.210 billion), S&T ($3.087 million), DNDO ($3.676 million). • Excludes FEMA NFIF ($9.7 billion) increase in borrowing authority provided in P.L. 113-1.

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          
   EXHIBITE

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 6 of 40
Budget-in-Brief
Fiscal Year 2014
Homeland Security
www.dhs.gov
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“Today, a decade after the creation of a Cabinet-level agency bearing that name, homeland security has come to mean much more … it means the coordinated work of hundreds of thousands of dedicated and skilled professionals, and more than ever, of the American public, of our businesses and families, communities and faith-based groups.”
Secretary Janet Napolitano Third Annual Address on the State of Homeland Security: “The Evolution and Future of Homeland
Security” February 26, 2013
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Table of Contents
I. Overview ................................................................................................................................................ 1 Department of Homeland Security (DHS) Vision and Mission ............................................................. 1
II. FY 2014 Highlights ................................................................................................................................ 6 Fiscal Year 2014 Budget Request ......................................................................................................... 6 A Day in the Life of Homeland Security.............................................................................................. 29 Efficiency Review and Progress........................................................................................................... 33 FY 2014 National Preparedness Grant Program .................................................................................. 36 DHS Cybersecurity Capabilities........................................................................................................... 44 Risk-Based Security for the Transportation Environment ................................................................... 46 Law Enforcement Collaboration on Active Shooter Prevention .......................................................... 47 Research, Development, and Innovation.............................................................................................. 49 Transforming the Disaster Workforce.................................................................................................. 51 Travel and Trade .................................................................................................................................. 52 Workforce Verification and Fraud Detection....................................................................................... 59 Use of Evidence and Evaluation in the 2014 Budget ........................................................................... 60 FYs 2009–2012 Select Key Initiatives & Reforms .............................................................................. 64
III. Summary Information by Organization................................................................................................ 85 Departmental Management and Operations ........................................................................................ 87 Analysis and Operations ...................................................................................................................... 97 Office of Inspector General ............................................................................................................... 103 Customs and Border Protection ......................................................................................................... 109 U.S. Immigration and Customs Enforcement..................................................................................... 121 Transportation Security Administration ............................................................................................. 131 U.S. Coast Guard ............................................................................................................................... 139 U.S. Secret Service ............................................................................................................................ 151 National Protection and Programs Directorate................................................................................... 157 Office of Health Affairs ..................................................................................................................... 165 Federal Emergency Management Agency ......................................................................................... 171 U.S. Citizenship and Immigration Services ...................................................................................... 183 Federal Law Enforcement Training Center ....................................................................................... 189
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Science and Technology Directorate ................................................................................................. 193 Domestic Nuclear Detection Office .................................................................................................. 199 IV. Resource Tables ................................................................................................................................. 205 FYs 2012–2014 President’s Budget Build ......................................................................................... 207 Fiscal Year 2012–2014 Homeland and Non-Homeland Allocations ................................................. 211
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Overview
Department of Homeland Security
OUR VISION Preserving our freedoms, protecting America …we secure our homeland. Our Mission The Department of Homeland Security will lead the unified national effort to secure America. We will prevent and deter terrorist attacks and protect against and respond to threats and hazards to the nation. We will ensure safe and secure borders, welcome lawful immigrants and visitors and promote the free-flow of commerce.
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FY 2014 Highlights

Fiscal Year 2014 Overview

Net Discretionary: Discretionary Fees: Less rescission of prior year funds: 4 Gross Discretionary Mandatory, Fee, Trust Funds: Total Budget Authority:

FY 2012 Revised Enacted 1
$000
$ 46,381,144

FY 2013 Annualized
CR 2
$000
$ 46,560,550

FY 2014 Pres. Budget 3
$000 $ 44,672,346

FY 2014 +/- FY 2012
$000 $ (1,708,798)

3,515,166

3,639,720

3,785,021

(196,468)

(131,412)

-

49,699,841

50,068,858

48,457,367

10,271,646

10,616,486

11,501,970

$ 59,971,487 $ 60,685,344 $ 59,959,337

269,855 -
(1,438,943)
1,230,324 $ (208,619)

Supplemental: 5

$ $ 12,071,908

$

$

-

-

-

1/ FY 2012 Revised Enacted:

• Reflects a transfer of $24 million from FEMA to OIG pursuant to P.L. 112-74.

• Excludes USCG Overseas Contingency Operations funding of $258.0 million P.L. 112-74.

• Includes $63.5 million transfer to USCG - AC&I from DoD pursuant to P.L. 112-74.

• Includes FEMA Disaster Relief base funds of $700 million and an additional $6.4 billion enacted separately

pursuant to the Budget Control Act.

2/ FY 2013 Annualized CR: • FY 2013 Annualized CR reflects FY 2012 Enacted pursuant to P.L. 112-74 less rescission of prior year unobligated balances plus 0.612% increase. • Reflects a transfer of $24 million from FEMA to OIG pursuant to P.L. 112-74. • Excludes USCG Overseas Contingency Operations funding of $258.0 million P.L. 112-74. Excludes $63.5 million transfer to USCG - AC&I from DoD pursuant to P.L. 112-74. • Includes FEMA Disaster Relief base funds of $700 million and an additional $6.4 billion enacted separately pursuant to the Budget Control Act. • Reflects a technical adjustment of $76.090 million for TSA - Aviation Security revised fee levels. • Excludes USCG Overseas Contingency Operations of $258.0 million P.L. 112-74. • Includes $63.5 million transfer to USCG - AC&I from DoD pursuant to P.L. 112-74. • Reflects FEMA Disaster Relief base funds of $700 million and an additional $6.4 billion enacted separately pursuant to the Budget Control Act. • Reflects a technical adjustment of $24.062 million to revise the FPS offsetting fee levels. • Reflects technical adjustments of $438.653 million to revise USCIS fee levels. "

3/ FY 2014 President's Budget: • Reflects a proposed transfer of $24 million from FEMA to OIG.
• Includes FEMA Disaster Relief base funds of $570 million ($570.522) and an additional $5.6 billion ($5,626.386) for major disasters declared pursuant to the Stafford Act and designated by the Congress as being for disaster relief pursuant to section 251 (b)(2)(D) of the Balance Budget and Emergency Deficit Control Act of 1985 (BBEDCA), as amended by the Budget Control Act of 2011.
• Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment is: $54,332,951 • Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $42,830,981. • Net Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $39,045,960.

"4/ Rescissions of Prior Year Unobligated Balances: • FY 2012 - Pursuant to P.L. 112-74, reflects FY 2012 rescissions of prior year unobligated balances of -$196.468 million. Excludes rescissions from Working Capital Fund $5.201 million and CT Fund $0.96 million. • FY 2013 - Reflects rescissions of prior year unobligated balances of -$131.412 million. "
"5/ In order to obtain comparable figures, Net Discretionary, Gross Discretionary, and Total Budget Authority excludes: • FY 2013 supplemental funding pursuant to P.L. 113-2 (Disaster Relief Appropriations Act 2013): CBP ($1.667 million), ICE ($0.855 million), USCG ($274.233 million), USSS ($0.300 million), FEMA ($11.787 billion), S&T ($3.249 million), DNDO ($3.869 million). • Excludes FEMA NFIF ($9.7 billion) increase in borrowing authority provided in P.L. 113-1.

TOTAL BUDGET AUTHORITY
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FY 2014 Highlights
Dollars in Thousands

60,000,000 50,000,000

$60,167,956

$60,816,756

$59,959,337

$10,271,646

$10,616,486

$11,501,970

40,000,000 30,000,000 20,000,000

$49,896,310

$50,200,270

Mandatory, Fees, Trust
$48,457,367 Funds
Gross Discretionary

10,000,000

0
FY 2012 Revised Enacted

FY 2013 Annualized
CR

FY 2014 President's
Budget

x FY 2014 Gross Discretionary funding decreases by $1.4 billion, or 2.8 percent, over FY 2012
x FY 2014 estimated mandatory fees and trusts budget authority increased by $1.2 billion, or 11.9 percent over FY 2012.
x FY 2014 Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment is: $54,332,951.
x FY 2014 Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $42,830,981.
x FY 2014 Net Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $39,045,960.
x FY 2013 Supplemental funding of $12.0 billion is excluded.
FY 2014 Percent of Total Budget Authority By Organization
4 121

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 13 of 40
FY 2014 Highlights
$59,959,337,000
Notes: • Departmental Operations is comprised of the Office of the Secretary & Executive Management, DHS Headquarters Consolidation, the Office of the Undersecretary for Management, the Office of the Chief Financial Officer, and the Office of the Chief Information Officer.
TOTAL BUDGET AUTHORITY BY ORGANIZATION
Gross Discretionary, Mandatory, Fees, and Trust Funds 5 122

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 14 of 40
FY 2014 Highlights

FY 2012 Revised Enacted 1
$000

FY 2013 Annualized CR 2
$000

FY 2014 Pres. Budget 3
$000

FY 2014 +/FY 2012
$000

FY 14 +/-
FY 12
%

Departmental Operations 4 Analysis and Operations (A&O)

$ 804,136 338,068

Office of the Inspector General (OIG) U.S. Customs & Border Protection (CBP) U.S. Immigration & Customs Enforcement (ICE) Transportation Security Administration (TSA) U.S. Coast Guard (USCG) U.S. Secret Service (USSS) National Protection and Programs Directorate (NPPD) Office of Health Affairs (OHA) Federal Emergency Management Agency (FEMA) FEMA: Grant Programs U.S. Citizenship & Immigration Services (USCIS) Federal Law Enforcement Training Center (FLETC) Science &Technology Directorate (S&T) Domestic Nuclear Detection Office (DNDO)

141,000 11,781,438
5,982,977 7,855,938 10,422,410 1,914,445 2,525,688
165,049 11,638,525
2,285,403 3,078,465
271,413 673,000 290,000

TOTAL BUDGET AUTHORITY:

$ 60,167,956

Less: Mandatory, Fee, and Trust Funds

10,271,646

Less: Discretionary Offsetting Fees

3,515,166

$ 802,768 339,957
141,863 11,863,849 5,878,209 7,910,532 10,497,057 1,920,706 2,804,087
168,356 11,867,560 2,308,826 3,077,782
272,703 671,807 290,695
$ 60,816,756 $ 10,616,486
3,639,720

$

810,773

309,228

143,309 12,900,103
5,341,722 7,398,295 9,793,981 1,801,389 2,568,543
131,797 11,327,685
2,123,200 3,219,466
271,429 1,527,096
291,320

$ 59,959,337 $ 11,501,970
3,785,021

$ 6,637 (28,840)
2,309 1,118,665 (641,255) (457,643) (628,429) (113,056)
42,855 (33,252) (310,840) (162,203) 141,001
16 854,096
1,320
$ (208,619) $ 1,230,324
269,855

1% -8%
2% 9% -11% -6% -6% -6% 2% -20% -3% -7% 5% 0% 127% 0%
-0.34% 11.59%
7%

NET DISC. BUDGET AUTHORITY:
Less Rescission of Prior-Year Carryover - Regular Appropriations: 5

$ 46,381,144 $ 46,560,550 $ 44,672,346

(196,468)

(131,412)

-

$ (1,708,798) - -

ADJUSTED NET DISC. BUDGET AUTHORITY: 4

$ 46,184,675 $ 46,429,138 $ 44,672,346

$ (1,512,329)

-3%

Supplemental: 6

-

$ 12,071,908

-

- -

"1/ FY 2012 Revised Enacted: • Reflects a transfer of $24 million from FEMA to OIG pursuant to P.L. 112-74. • Excludes USCG Overseas Contingency Operations funding of $258.0 million P.L. 112-74. • Includes $63.5 million transfer to USCG - AC&I from DoD pursuant to P.L. 112-74. • Includes FEMA Disaster Relief base funds of $700 million and an additional $6.4 billion enacted separately for major disasters pursuant to the Budget Control Act. "2/ FY 2013 Annualized CR: • FY 2013 Annualized CR reflects FY 2012 Enacted pursuant to P.L. 112-74 less rescission of prior year unobligated balances plus 0.612% increase. • Reflects a transfer of $24 million from FEMA to OIG pursuant to P.L. 112-74. • Excludes USCG Overseas Contingency Operations funding of $258.0 million P.L. 112-74. • Excludes $63.5 million transfer to USCG - AC&I from DoD pursuant to P.L. 112-74. • Includes FEMA Disaster Relief base funds of $700 million and an additional $6.4 billion enacted separately for major disasters pursuant to the Budget Control Act. " "3/ FY 2014 President's Budget: • Reflects a proposed transfer of $24 million from FEMA to OIG. • Includes FEMA Disaster Relief base funds of $570 million ($570.522) and an additional $5.6 billion ($5,626.386) for major disasters pursuant to the Budget Control Act. • Total Budget Authority Request excluding DRF Major Disasters Cap Adjustment is: $54,332,951 • Gross Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $42,830,981. • Net Discretionary Request excluding DRF Major Disasters Cap Adjustment is: $39,045,960. "4/ Departmental Operations is comprised of the Office of the Secretary & Executive Management, DHS Headquarters Consolidation, the Office of the Undersecretary for Management, the Office of the Chief Financial Officer, and the Office of the Chief Information Officer. and the National Special Security Events Fund (NSSE)." "5/ Rescissions of Prior Year Unobligated Balances: • FY 2012 - Pursuant to P.L. 112-74, reflects FY 2012 rescissions of prior year unobligated balances of -$196.468 million. Excludes rescission from Working Capital Fund $5.201 million and CT Fund $0.96 million. • FY 2013 - Reflects rescissions of prior year unobligated balances of -$131.412 million. "6/ In order to obtain comparable figures, Net Discretionary, Gross Discretionary, and Total Budget Authority excludes: • FY 2013 supplemental funding pursuant to P.L. 113-2 (Disaster Relief Appropriations Act 2013): CBP ($1.667 million), ICE ($0.855 million),
USCG ($274.233 million), USSS ($0.300 million), FEMA ($11.787 billion), S&T ($3.249 million), DNDO ($3.869 million). • Excludes FEMA NFIF ($9.7 billion) increase in borrowing authority provided in P.L. 113-1.

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          
   EXHIBITF

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 16 of 40
Department of Homeland Security
Privacy Office 2014 Freedom of Information Act Report to the Attorney General of the United States
February 2015
124

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 17 of 40

Message from the Chief Freedom of Information Act Officer
I am pleased to present the Department of Homeland Security’s (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 agency’s 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 Department’s backlog. The Privacy Office continued to implement a multi-pronged approach to reduce the Department’s 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 CBP’s 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).
125

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Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 18 of 40 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 year’s 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 Department’s 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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Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 19 of 40
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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Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 20 of 40 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
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Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 21 of 40

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

Page vi

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Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 22 of 40

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
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Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 23 of 40
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 DHS’s Privacy Act “mixed systems of records” as if they are subject to the Privacy Act’s 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
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Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 24 of 40
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
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Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 25 of 40 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 133

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 26 of 40

IV. Exemption 3 Statutes

Statute

Type of Information Withheld

Case Citation

6 U.S.C. § 133(a)(1)
8 U.S.C. § 1202(f) (Immigration and Nationality Act)

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

Medina-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 *1314 (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. § 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.”

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. Michael’s 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. Ass’n 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)).

18 U.S.C §1461

Mailing obscene or crimeinciting matter

Number of Times Relied upon per Component

NPPD

1

PRIV

1

USCIS

1

USCG

1

ICE

1

USSS

1

Total Number of Times Relied upon
by Agency 2
1
1
1 1

1 134

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 27 of 40

Statute

Type of Information Withheld

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.

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

Prohibits the disclosure of personal information from a motor vehicle record

Case Citation

Number of Times Relied upon per Component

Total Number of Times Relied upon
by Agency

USCIS

1

1

OIG

3

3

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

Information related to child pornography victims

Tampico v. EOUSA, No. 04¬2285, slip op. at 8 (D.D.C. Apr. 29, 2005).

ICE

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); O’Keefe 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
31 U.S.C. § 5319 (Bank Secrecy Act)

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).

Reports pertaining to monetary instruments transactions filed under subchapter II of chapter 53 of title 31 and records of those reports

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), aff’d on other grounds, 288 F. App’x 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).

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), aff’d on other grounds, 586 F. 3d 1006 (D.C. Cir. 209; Gordon v. FBI 390 F. Supp. 2d 897,900 (N.D. Cal. 2004).

41 U.S.C. § 2102

Contractor bid or proposal information; source selection information

Legal & Safety Employer Research, Inc. v. U.S. Dep’t of the Army, No. Civ. S001748, 2001 WL34098652, at *3-4 (E.D. Cal. 2001) (dictum).

USCIS
ICE USSS
FEMA USCG FEMA USCIS

135

31

31

2

2

1,769

1,769

1 2
1

5

6

1

2 3
1
2

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 28 of 40

Statute 41 U.S.C. § 4702(b)

Type of Information Withheld

Case Citation

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

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. Dep’t 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).

Number of Times Relied upon per Component

S&T

6

Total Number of Times Relied upon
by Agency
6

42 U.S.C. § 262a(h)

Enhanced control of dangerous biological agents and toxins/bioterrorism information

S&T

3

3

42 U.S.C. § 2162 (Atomic Energy Act)

Life threatening controlled chemical agents

Meeropol 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. 1986).

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.

S&T USCIS

49 U.S.C. § 114

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

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), aff’d on other grounds, 586 F.3d 1006 (D.C. Cir. 2009); Gordon v. FBI, 390 F. Supp. 2d 897, 900 (N.D. Cal. 2004).

50 U.S.C. Section § 403g

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”

ACLU v. DOJ, 681 F.3d 61, 7275 (2d Cir. 2012); 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, 541F. 3d 205 (3d Cir. 2008).

CBP ICE OIG PRIV TSA USSS
I&A USCG USCIS USSS

1
1
1,104 2,018
1 15 60 59
16 5 14 6

1 1 3,257
41

3 136

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 29 of 40

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. Dep’t of Commerce, 317 F.3d 275, 284 (D.C. Cir. 2003); Times Publ’g Co. v. U.S. Dep’t of Commerce, 236 F.3d 1286, 1292 (11th Cir. 2001); Lessner v. U.S. Dep’t 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).

Number of Times Relied upon per Component

S&T

1

USCIS

2

USSS

1

Total Number of Times Relied upon
by Agency
1
3

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

Component ‡
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Requests Pending as of Start of
Fiscal Year 41,907 § 3 560 3
34 6,234** 4,758††
51 0 43 1 546 936‡‡ 11,293 §§ 728*** 67,097 †††

Number of Requests Received in Fiscal Year
47,261 80 772 103 244
85,081 7,775 177
59 705 68 859 3,203 143,794 1,061 291,242

Number of Requests Processed in Fiscal Year
51,056 74 508 99 255
33,644 5,581 166
59 665 68 491 2,620 141,700 1,045 238,031

Number of Requests Pending as of End of
Fiscal Year 38,122 9 824 7 23 57,671 6,952 62 0 83 1 914 1,519 13,387 744
120,308

§ 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.
4
137

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 30 of 40

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

No. of Component Full
Grants

CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

2,065 5 73 11 7 344 428 16 9 36 11 89
1,801 11,684
72
16,651

No. of Partial Grants/ Partial Denials
15,899

No. of Full Denials Based on
Exemptions
80

No Records
9,840

18

1

44

144

8

62

38

1

32

21

6

101

27,002

699

1,522

2,038

7

1,284

103

7

27

11

7

23

144

25

50

11

7

13

113

9

64

224

28

333

82,666 5,315 16,892

171

12

402

Number of Full Denials Based on Reasons Other than Exemptions

All Records Referred

Request Withdrawn

FeeRelated Reason

Not Improper Reasonably FOIA Described Request

Not Agency Record

Duplicate Request

28

605

13

158

8,861 6,696 6,694

0

1

0

2

0

2

0

1

79

3

19

76

0

27

0

0

3

0

6

8

0

20

1

3

42

25

28

1

862

98

6

102

782

264

87

1,702

16

2

12

63

2

24

3

1

0

2

4

1

0

6

3

0

0

0

0

0

111

16

5

110

141

7

9

8

2

0

7

0

8

1

15

39

0

128

22

1

4

1

152

6

4

7

11

33

853

135

153

1

5,773 4,527 13,694

2

12

0

19

6

10

4

128,603 6,212 30,689 3,612 1,160

194

610

15,766 11,565 20,578

Other Total

117 1 16 0 26 1,876 3 2 0 11 0 3 20 7 335

51,056 74 508 99 255
33,644 5,581 166
59 665 68 491 2,620 141,700 1,045

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

1

1

Coordinated by Another Processing Office

1

FEMA

Litigation

1

16

Unable to Locate Requestor

14

FLETC

N/A

0

0

I&A

N/A

0

0

5 138

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 31 of 40

Component ICE NPPD OIG OPS PRIV S&T TSA
USCG USCIS USSS AGENCY OVERALL

Description Fugitive Disentitlement
Litigation Referred Documents are Not Responsive
Unable to Locate Requestor
Coordinated by Another Processing Office
Unable to Locate Requester
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
Unable to Locate Requester
Unable to Locate Documents
Non Responsive to Requests for Additional Information
Unable to Locate Requester Records Referred Non Responsive

No. of Times Used 1,361 12 352 151
3
2
0 5 4 1 1 0
2 1
16 4
7
313 10 12

Total 1,876
3 2 0 11 0 3 20 7 335 2,393

6 139

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 32 of 40

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

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Ex. 1
0 0 1 0 6 20 1 0 0 4 0 0 6 19 2
59

Ex. 2
170 0 1 1 1 28 0 1 2 1 0 7 1 112 0
325

Ex. 3
1,104 0 7 0 16
2,043 1 4 0 16 11 60 10
1,790 69
5,131

Ex. 4 Ex. 5 Ex. 6

Ex. 7(A)

29

33 13,218 45

0

7

19

3

29

18

130

0

8

8

37

0

1

7

55

0

59

8,438 25,801 141

40

13

1,401

12

0

24

109

24

0

1

10

10

27

42

137

4

8

8

13

0

18

53

126

1

18

33

161

57

159 37,597 48,623 34

0

11

113

10

396 46,293 89,953 341

Ex. 7(B)

Ex. 7(C)

Ex. 7(D)

Ex. 7(E)

Ex. 7(F)

Ex. 8

Ex. 9

204

13,293 12 13,272

9

0

0

0

3

0

0

0

0

0

0

19

0

11

0

0

0

0

6

0

4

3

0

0

0

20

0

56

1

0

0

773 25,675 167 24,729 86

0

0

1

1,526

0

1,585

6

0

0

0

103

14

21

2

0

0

0

7

0

4

0

0

0

0

21

0

40

9

0

0

0

0

0

6

4

0

0

0

38

1

3

2

0

0

0

138

48

54

2

0

0

0

67,260

0

68,471

0

0

0

0

114

6

142

1

0

0

978 108,259 248 108,398 125

0

0

VI. Administrative Appeals of Initial Determinations of FOIA Requests A. Received, Processed, and Pending Administrative Appeals

Component
CBP FEMA FLETC
ICE OGC OIG TSA USCG USCIS USSS AGENCY OVERALL

No. of Appeals Pending as of Start of Fiscal Year 16‡‡‡
31 2 33 24 28 7 29 63 2 235§§§

No. of Appeals Received in Fiscal Year 1,004
16 2 477 93 16 35 32 1,926 33 3,634

No. of Appeals Processed in Fiscal Year 991
17 4 339 101 25 36 28 1,919 30 3,490

No. of Appeals Pending as of End of Fiscal Year 29
30 0 171 16 19 6 33 70 5 379

B. Disposition of Administrative Appeals – All Processed Appeals

Component
CBP FEMA FLETC

Number Affirmed on Appeal
112 10 3

Number Partially Affirmed & Partially Reversed/Remanded
on Appeal
79
0
0

Number Completely Reversed/Remanded
on Appeal
514
1 0

Number of Appeals Closed for Other Reasons
286
6 1

Total
991 17 4

‡‡‡ 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.
7
140

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 33 of 40

Component

Number Affirmed on Appeal

ICE

126

OGC

62

OIG

14

TSA

7

USCG

12

USCIS

524

USSS

10

AGENCY OVERALL

880

Number Partially Affirmed & Partially Reversed/Remanded
on Appeal 14 4 7 5 1 742 1
853

Number Completely Reversed/Remanded
on Appeal
103 16 0 9 9 368 13
1,033

Number of Appeals Closed for Other Reasons
96 19 4 15 6 285 6
724

Total
339 101 25 36 28 1,919 30 3,490

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

Component CBP

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

0

8

10

5

5

350

3

0

346

0

344

3

0

0

FEMA

0

0

0

2

1

5

0

0

1

0

0

0

0

0

FLETC

0

0

0

0

0

0

0

0

0

0

0

0

0

0

ICE

0

3

21

2

31

129

2

0

103

0

88

0

0

0

OGC

0

0

3

2

3

9

7

0

11

0

15

0

0

0

OIG

0

0

0

0

2

10

0

0

17

0

0

0

0

0

TSA USCG

0

2

4

0

3

10

1

0

2

0

0

0

0

0

0

0

1

2

4

10

2

0

4

0

1

0

0

0

USCIS USSS

0

6

10

3

541 637

1

0

876

0

871

0

0

0

0

0

0

0

0

2

0

0

2

0

0

0

0

0

AGENCY OVERALL 0

19 49

16

590 1,162 16

0 1,362 0 1,319 3

0

0

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

Component

Records Referred at No Records Initial
Request Level

Request Withdrawn

FeeRelated Reason

Records not Reasonably Described

Improper Request for
Other Reasons

Not Agency Record

Duplicate Request or
Appeal

Request in Litigation

Appeal Based Solely on Denial for Expedited Processing

Other *Explain in chart
below

CBP

31

2

FEMA

2

1

FLETC

0

0

ICE

73

0

OGC

10

0

OIG

0

0

TSA

2

0

USCG

0

0

USCIS

0

0

USSS

10

0

AGENCY OVERALL

128

3

16

1

1

0

0

2

0

0

6

1

0

0

0

0

4

0

3

0

0

1

30

5

0

183

5

66

3

0

1

0

0

0

0

0

0

0

0

2

4

0

0

2

0

2

0

1

0

0

0

0

0

1

4

0

0

0

0

0

0

0

0

1

0

275

0

7

0

0

4

0

0

0

6

469

5

74

7

1

0

0

1

0

0

5

21

2

52

0

3

0

0

0

1

0

0

0

6

8

80

8 141

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 34 of 40

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

Component CBP FEMA

Description N/A
Unable to Locate Requester

No. of Times Used 0 1

FLETC

N/A

0

ICE OGC OIG

Fugitive Disentitlement Upheld

21

Adequacy of the Search

16

Appeal Moot

12

Appeal Not Timely

2

Denial of Request Fee Waiver

2

Improper Appeal

2

Records Publically Available

1

Requester Category Determination

12

Vaughn Index Not Required During Administrative Process

5

Appeal Moot

3

TSA

N/A

0

USCG

Unable to Locate Requester

1

USCIS

N/A

0

Total 0 1 0 21
52
3 0 1 0

USSS

Coordinated by Another Program Office Previously Furnished

1 2
1

AGENCY OVERALL

C. (4) Response Times for Administrative Appeals

Component CBP FEMA
FLETC ICE OGC OIG TSA
USCG USCIS USSS AGENCY OVERALL

Median Number of Days 3
188 47 25 45 360 145 318.5 37.68 35 41.34

Average Number of Days 10.01 137.76 87.33 61.81 65.14 324 147.17 317.14 41.87 34.67 111.54

142

Lowest Number of Days 1 16 47 1 2 11 17 1 1 1 1

80
Highest Number of Days 193 1,071 168 542 492 888 414 892 171 74 1,071
9

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 35 of 40

C. (5) Ten Oldest Pending Administrative Appeals

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal

Date of Receipt

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

CBP

Number of Days Pending

13

13

84

148

148

202

207

207

209

216

FEMA

Date of Receipt

2012-10-12

Number of Days Pending

501

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

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

FLETC

Number of Days Pending

0

0

0

0

0

0

0

0

0

0

Date of Receipt

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

ICE

Number of Days Pending

371

371

372

382

392

392

407

407

432

440

OGC OIG

Date of Receipt

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

Number of Days Pending

24

27

27

37

47

69

84

108

258

235

Date of Receipt

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

Number of Days Pending

305

327

457

526

548

571

986

1,025

1,440

1,480

Date of Receipt

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

TSA

Number of Days Pending

72

112

115

157

159

171

189

220

243

475

USCG

Date of Receipt

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

Number of Days Pending

321

331

335

361

383

397

416

428

550

1,404

USCIS

Date of Receipt

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

Number of Days Pending

12

12

15

15

15

15

15

15

38

53

Date of Receipt

N/A

N/A

N/A

N/A

N/A 2014-09-05 2014-08-27 2014-08-13 2014-08-08 2014-06-24

USSS

Number of Days Pending

0

0

0

0

0

17

23

33

36

68

AGENCY

Date of Receipt

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

OVERALL

Number of Days Pending

986

1,007

1,025

1,134

1,282

1,328

1,404

1,412

1,440

1,480

10 143

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 36 of 40

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

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Median No. of Days
5 7 11 9 23 3 124 20 1 4 6.5 1 9 19.18 12
9

Simple

Average No. of Days
6.83

Lowest No. of Days
1

9.61

1

10.9

2

18.31

1

29.84

1

35.37

1

114.47

1

31.52

1

2.55

1

5.37

1

8.83

1

2.89

1

9.21

1

20.32

1

12.58

1

21.24

1

Highest No. of Days
20 20 20 122 134 550 222 248 14 20 30 20 20 357 20
550

Median No. of Days
277 15 154 N/A 31 30 30 100 7 55 56.5 130.5 48 32.2 93.5
51.5

Complex

Average No. of Days
262.52

Lowest No. of Days
1

24.43

4

213.82

21

N/A

N/A

56.31

1

69.88

1

45.44

1

124.55

12

8

1

82.48

21

87.13

19

259.47

21

92.77

4

28.37

3

207.12

21

111.59

1

Highest No. of Days 1,055
83 1,770 N/A 427 643 480 654
19 404 342 1,235 1,153 393 1,820
1,820

Median No. of Days
4 N/A 468 N/A N/A 63 11 177.5 N/A N/A 17.5 172 24 28.09 N/A
26

Expedited

Average No. of Days
42.8

Lowest No. of Days
1

N/A

N/A

468

81

N/A

N/A

N/A

N/A

98.7

1

11

11

141

6

N/A

N/A

N/A

N/A

17.5

15

172

172

39.33

9

43.54

14

N/A

N/A

103.49

1

Highest No. of Days
194 N/A 855 N/A N/A 632 11 203 N/A N/A 20 172 91 110 N/A
855

B. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted

Component
CBP CRCL FEMA FLETC I&A
ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Median No. of Days
9 13.5 7.5
6 23 3 127 19 1 9 15.5 1 9 29.46 13
9

Simple

Average No. of Days

Lowest No. of Days

9.14

1

11.83

3

9.83

4

8.5

1

23

12

35.38

1

115.66

1

33.33

2

3.3

1

10.05

1

14.5

2

2.72

1

9.45

1

30.5

1

13

13

22.01

1

Highest No. of Days
20 19 19 29 34 550 193 248 14 20 24 19 20 357 13
550

Median No. of Days
306 37 154 N/A 55 30 38.5 110.5 10 68 60 184 48 34.94 160.5
57.5

Complex

Average No. of Days

Lowest No. of Days

283.46

1

37.62

15

241.72

21

N/A

N/A

58.43

9

71.57

1

56.61

1

133.99

15

10.56

3

99.65

21

61

41

309.03

21

78.19

6

36.81

3

312.18

29

Expedited

Highest No. Median No. Average No. Lowest No. of Days of Days of Days of Days

1,055

3

30.12

1

83

N/A

N/A

N/A

1,770

468

468

81

N/A

N/A

N/A

N/A

115

N/A

N/A

N/A

643

27

92.13

8

480

N/A

N/A

N/A

654

203

186

152

19

N/A

N/A

N/A

404

N/A

N/A

N/A

342

N/A

N/A

N/A

1,234

172

172

172

829

26

44

9

393

28.77

51.28

14

1,820

N/A

N/A

N/A

Highest No. of Days
194 N/A 855 N/A N/A 632 N/A 203 N/A N/A N/A 172 91 110 N/A

127.91

1

1,820

28.77

168.90

8

855

11 144

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 37 of 40

C. Processed Requests – Response Time in Day Increments

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS
USSS AGENCY OVERALL

1-20 Days
3,313 33 21 69 47
23,583 929 42 33 463 57 192 1,558
14,230
273

21-40 Days
0 0 0 13 43 662 660 22 0 0 3 0 0 10,517
0

48,843 11,920

41-60 Days
0 0 0 9 14 561 1,294 8 0 0 0 0 0 2,404
0
4,290

61-80 Days
0 0 0 6 8 345 757 2 0 0 0 0 0 249
0
1,367

(1) Simple Requests

81-100 Days

101120 Days

121140 Days

0

0

0

0

0

0

0

0

0

1

0

1

4

1

2

389

477 370

873

2,289 3,048

2

3

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

110

37

27

0

0

0

1,379 2,807 3,448

141160 Days
0 0 0 0 0 459 1,821 0 0 0 0 0 0 11
0
2,291

161180 Days
0 0 0 0 0 381 304 0 0 0 0 0 0 12
0
697

181200 Days
0 0 0 0 0 493 80 0 0 0 0 0 0 6
0
579

201300 Days
0 0 0 0 0 1,573 2 2 0 0 0 0 0 26
0
1,603

301400 Days
0 0 0 0 0 435 0 0 0 0 0 0 0 2
0
437

401+ Days
0 0 0 0 0 26 0 0 0 0 0 0 0 0
0
26

Total
3,1313 33 21 99 119
29,75 12,057
81 33 463 60 192 1,558 27,631 273
75,687

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

1-20 Days
67 22 0 0 62 1,346 58 4 25 0 1 0 20 31,524 0
33,129

21-40 Days
1,396 10 58 0 37 989 39 12 0 72 0 61 378
53,598 92
56,742

41-60 Days
969 2 44 0 25 334 25 9 0 42 4 36 237 18,081 21
19,829

61-80 Days
845 2 26 0 14 176 10 7 0 24 2 18 93 1,292 19
2,528

(2) Complex Requests

81-100 Days

101120 Days

121140 Days

721

974 1,003

1

0

0

37

21

21

0

0

0

9

6

6

112

108

119

1

4

2

6

7

4

0

0

0

18

10

4

0

0

0

15

15

8

97

63

25

455

220

111

34

18

11

1,506 1,446 1,314

141160 Days 1,181
0 61 0 6 148 1 6 0 8 0 5 18 61 17
1,512

161180 Days 1,646
0 23 0 0 74 1 2 0 7 0 9 10 32 8
1,812

181200 Days 2,062
0 17 0 5 85 0 5 0 2 0 10 13 35 6
2,240

201300 Days 7,081
0 54 0 4 268 4 10 0 8 0 19 40 68 25
7,581

301400 Days 8,722
0 64 0 2 103 0 0 0 4 1 26 23 5 13
8,963

401+ Days
4,819 0 59 0 1 28 2 3 0 3 0 76 38
2,516 46
7,591

Total
31,486 37 485 0 177
3,890 147 75 25 202
8 298 1,055 107,998 310
146,193

12 145

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 38 of 40

Component
CBP CRCL FEMA FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

1-20 Days
18 0 0 0 0 30 1 1 0 0 2 0 2 4 0
58

21-40 Days
0 0 0 0 0 23 0 0 0 0 0 0 2 2 0
27

41-60 Days
0 0 0 0 0 8 0 0 0 0 0 0 0 0 0
8

(3) Requests Granted Expedited Processing

61-80 Days

81100 Days

101120 Days

121140 Days

141160 Days

161180 Days

1

0

1

1

2

0

0

0

0

0

0

0

0

1

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

8

5

9

7

13

4

0

0

0

0

0

0

0

0

0

0

1

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

0

1

0

1

1

0

0

0

0

1

1

1

0

0

0

0

0

0

0

0

0

11

8

11

8

17

4

181200 Days
2 0 0 0 0 6 0 0 0 0 0 0 0 0 0
8

201300 Days
0 0 0 0 0 7 0 2 0 0 0 0 0 0 0
9

301400 Days
0 0 0 0 0 4 0 0 0 0 0 0 0 0 0
4

401+ Days
0 0 1 0 0 3 0 0 0 0 0 0 0 0 0
4

Total
25 0 2 0 0 127 1 4 0 0 2 1 6 9 0
177

D. Pending Requests – All Pending Perfected Requests

Component
CBP CRCL FEMA FLETC I&A
ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number Pending
1,287 0 41 7 1
57,044 4,434
1 0 23 0 51 227 927 83
64,126

Simple Median No.
of Days 24 N/A 11 13 5 148 83 7 N/A 6 N/A 11 11
10.28 6

Average No. of Days
32.37 N/A 11.34 12.29
5 146.7 77.15
7 N/A 7.57 N/A 10.86 10.91 16.15 8.55

11

28.82

Number Pending 35,562
9 768
0 21 627 35 61 0 100 1 903 1,292 11,421 659
51,459

Complex Median No.
of Days 185 27 177.5 N/A 109 31 41 100 N/A 55 61 212 230 18.5 264

Average No. of Days 192.46 40.56 221.73 N/A 178.9 65.84 54.77 134.49 N/A 83.11 61 286.9 319.37 21.05 386.32

100

157.42

Number Pending
2 0 0 1 1 7 1 0 0 1 0 0 7 3 0
23

Expedited Median No.
of Days 102.5 N/A N/A
8 6 47 11 N/A N/A 39 N/A N/A 178 82.2 N/A
43

Average No. of Days 102.5 N/A N/A 8 6 58.29 11 N/A N/A 39 N/A N/A 146.29 84.4 N/A
56.81

E. Pending Requests – Ten Oldest Pending Perfected Requests

Component

Sub-Row Heading

Date of Receipt CBP Number of Days
Pending

CRCL Date of Receipt

10th

9th

8th

7th

2012-11-08 2012-11-08 2012-11-08 2012-11-08

482

482

482

482

N/A 2014-09-24 201409-24 2014-09-24

6th

5th

4th

3rd

2nd

2012-11-07 2012-11-07 2012-11-07 2012-11-06 2012-10-23

482

483

483

484

494

2014-09-03 2014-08-25 2014-08-25 2014-07-30 2014-05-19

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

13

146

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 39 of 40

Component

Sub-Row Heading

Number of Days

Pending

FEMA

Date of Receipt
Number of Days Pending

FLETC

Date of Receipt
Number of Days Pending

Date of Receipt I&A Number of Days
Pending

Date of Receipt ICE Number of Days
Pending

10th

9th

8th

0

1

4

2012-03-09 2012-03-05 2012-03-05

644

648

648

N/A

N/A

N/A

0

0

0

2014-05-15 2014-04-29 2014-04-10

100

111

124

2013-06-24 2013-06-24 2013-05-21

327

327

350

7th
4 2012-02-27
653 2014-09-2-
1 2014-01-20
182 2013-04-30
365

6th

5th

4th

3rd

2nd

19

26

26

44

96

2012-02-08 2012-02-06 2011-11-28 2011-01-03 2010-09-10

665

667

715

944

1,020

2014-09-24 2014-09-11 2014-09-11 2014-09-11 2014-09-09

4

13

13

13

15

2013-10-22 2013-10-18 2013-09-27 2013-08-01 2013-07-22

244

246

260

300

308

2013-04-17 2013-04-10 2012-11-15 2012-11-15 2012-11-04

374

379

478

478

485

Oldest Request
136 2007-09-07
1,761 2014-08-22
27 2013-02-12
420 2012-10-10
503

NPPD OIG OPS

Date of Receipt 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 2014-01-06

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

185

185

185

185

2013-08-30 2013-08-06 2013-08-06 2013-06-17

280

297

297

332

N/A

N/A

N/A

N/A

0

0

0

0

185

185

191

192

192

2013-06-13 2013-05-20 2013-03-13 2013-03-01 2013-02-28

334

351

399

407

408

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

192 2013-02-01
526 N/A
0

PRIV

Date of Receipt 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 2013-07-08

Number of Days Pending

220

233

236

238

238

242

258

263

263

298

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A 2014-07-18

S&T Number of Days Pending

0

0

0

0

0

0

0

0

0

52

Date of Receipt 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

TSA

Number of Days Pending

1,030

1,074

1,082

1,133

1,135

1,141

1,158

1,172

1,189

1,217

USCG

Date of Receipt 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 2009-11-25

Number of Days Pending

1,091

1,102

1,109

1,115

1,123

1,139

1,143

1,167

1,169

1,223

USCIS

Date of Receipt 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 2013-11-21

Number of Days Pending

173

175

178

178

179

180

181

184

215

223

USSS

Date of Receipt 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 2006-12-01

Number of Days Pending

1,336

1,430

1,440

1,505

1,677

1,682

1,725

1,750

1,946

1,970

AGENCY 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 2006-12-01

OVERALL Number of Days Pending

1,430

1,440

1,505

1,677

1,682

1,725

1,750

1,761

1,946

1,970

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

Component
CBP CRCL FEMA FLETC I&A

Number Granted
28 0 2 1 1

Number Denied
2,376 0 16 0 11

Median Number of Days to Adjudicate
1 N/A 11
8 6

Average Number of Days to Adjudicate
12.89 N/A 56.43
8 5.1

Number Adjudicated within 10 Calendar
Days 1,824
0 13 0 12
14

147

Case 3:15-cv-01181-JD Document 22-4 Filed 04/22/15 Page 40 of 40

Component
ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number Granted
39 1 1 0 2 0 1 5 10 0 91

Number Denied
95 0 17 0 26 2 6 1 833 21 3,404

Median Number of Days to Adjudicate
1 11 9 N/A 1 1 1 24 5 1 5

Average Number of Days to Adjudicate
1 11 9.22 N/A 3.45 1 2.65 39.33 5.96 1 12

Number Adjudicated within 10 Calendar
Days 134
0 11 0 28 1 7 1 752 21
2,840

B. Requests for Fee Waiver

Component
CBP CRCL FEMA FLETC I&A
ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number Granted
25 0 2 2 6 104 16 0 0 3 1 0 1 72 0 232

Number Denied
439 0 2 2 40 89 0 2 0 8 4 0 1
197 0
784

Median Number of Days to Adjudicate 145 N/A 3.5 44 5 1 1 65.5 N/A 1 2 N/A 55.5 3 N/A 3.5

Average Number of Days to Adjudicate 129.93 N/A 4.75 40.75 7 1 7.38 65.5 N/A 1 1.8 N/A 55.5 5.28 N/A 28.55

IX. FOIA Personnel and Costs

Component
CBP CRCL FEMA FLETC I&A ICE NPPD

Number of “Full Time
FOIA Employees”
39 1 13 1 2 33 4

Personnel
Number of “Equivalent Full-Time
FOIA Employees”
18.26 0
15.29 .55 .70 16 3

Total Number of “Full-Time FOIA Staff” (Col. 1 + Col.
2) 57.26
1
28.29
1.55
2.7
49
7

Processing Costs
$5,287,415.00 $113,346.00 $2,956,689.30 $161,453.53 $205,145.00 $9,581,485.00 $873,910.00

Costs

Litigation - Related Costs

Total Costs

$40,778.73 $0.00 $0.00 $0.00 $0.00
$899,749.00 $56,000.00

$5,328,193.73 $113,346.00 $2,956,689.30 $161,453.53 $205,145.00 $10,481,234.00 $929,910.00
15

148

Case 3:15-cv-01181-JD Document 22-5 Filed 04/22/15 Page 1 of 40

Component
OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of “Full Time
FOIA Employees”
4 0 16 0 8 14 212 17
364

Personnel
Number of “Equivalent Full-Time
FOIA Employees”
.25 .33 1 .50 3.1 22.85 9.5 4.15
95.48

Total Number of “Full-Time FOIA Staff” (Col. 1 + Col.
2) 4.25
.33
17
.50
11.1
36.85
221.5
21.15
459.48

X. Fees Collected for Processing Requests

Processing Costs
$335,686.30 $38,000.00 $3,282,034.00 $79,864.00 $1,117,747.30 $3,009,229.68 $20,469,919.15 $1,853,071.75 $49,364,996.01

Component CBP CRCL FEMA
FLETC I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS
AGENCY OVERALL

Total Amount of Fees Collected $313,036.28 $0.00 $1,608.00 $0.00 $0.00 $0.00 $2,500.00 $3,700.50 $0.00 $0.00 $497.00 $0.00 $22,376.56 $5,487.80 $0.00 $349,206.14

Costs

Litigation - Related Costs

Total Costs

$69,539.70 $2,000.00 $15,000.00 $28,966.50 $22,895.00
$0.00 $768,637.08 $429,318.05
$2,332,884.06

$405,226.00 $40,000.00 $3,297,034.00 $108,830.50 $1,140,642.30 $3,009,229.68 $21,238,556.23 $2,282,389.80
$51,697,880.07

Percentage of Total Costs 5.92% 0.00% 0.05% 0.00% 0.00% 0.00% 0.29% 1.10% 0.00% 0.00% 0.62% 0.00% 0.74% 0.03% 0.00% 0.71%

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 CRCL FEMA FLETC I&A
ICE

Number of Backlogged Requests as of the End of Fiscal Year 34,307 3 709 1 22 56,863

Number of Backlogged Appeals as of End of Fiscal Year 8 0 30 0 0 43
16

149

Case 3:15-cv-01181-JD Document 22-5 Filed 04/22/15 Page 2 of 40

Component
NPPD OGC OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Backlogged Requests as of the End of Fiscal Year 3,592
0 48 0 64 1 924 1,261 5,026 659
103,480

Number of Backlogged Appeals as of End of Fiscal Year 0
11 17 0 0 0 12 33 2 4
160

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

Component
CBP CRCL FEMA FLETC I&A
ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Consultations Received from Other Agencies that Were
Pending at Your Agency as of Start of the Fiscal Year
32**** 0 1 0 0 45 0 0 0
31 †††† 0 15 3 1 12
140

Number of Consultations Received from Other
Agencies During the Fiscal Year
66 4 4 0 23 65 1 7 1 19 8 15 22 53 31
319

Number of Consultations Received from Other Agencies that Were
Processed by Your Agency During the Fiscal Year 42 4 4 0 17 67 1 6 1 27 8 19 7 52 24
279

Number of Consultations Received from Other
Agencies that were Pending at Your Agency as of the End of the Fiscal Year 56 0 1 0 6 43 0 1 0 23 0 11 18 2 19
180

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

Component

Sub-Row Heading

Date of Receipt CBP Number of Days
Pending

CRCL

Date of Receipt
Number of Days Pending

10th 2013-05-22
349 N/A
0

9th

8th

7th

6th

5th

4th

3rd

2nd

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

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

0

0

0

0

0

0

0

0

0

**** 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
150

Case 3:15-cv-01181-JD Document 22-5 Filed 04/22/15 Page 3 of 40

Component

Sub-Row Heading

10th

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Request

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A 2014-03-18

FEMA Number of Days Pending

0

0

0

0

0

0

0

0

0

168

Date of Receipt

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

FLETC Number of Days Pending

0

0

0

0

0

0

0

0

0

0

I&A ICE NPPD OIG OPS PRIV S&T TSA

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
Date of Receipt
Number of Days Pending

N/A 0
2013-06-24 320 N/A 0 N/A 0 N/A 0 N/A 0 N/A 0
2014-06-16 74

N/A

N/A

N/A 2014-09-03 2014-08-26 2014-08-26 2014-08-12 2014-08-12 2014-07-14

0

0

0

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

372

372

372

372

410

410

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A 2014-02-21

0

0

0

0

0

0

0

0

157

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

N/A

N/A

N/A

N/A 2014-08-07 2014-07-24 2013-11-25 2013-08-06 2013-08-01

0

0

0

0

38

48

214

289

292

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

0

0

0

0

0

0

0

0

0

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

267

305

527

609

971

1,008

USCG USCIS

Date of Receipt 2014-04-29 2014-04-02 2014-03-31 2014-03-25

Number of Days Pending

112

130

132

136

Date of Receipt

N/A

N/A

N/A

N/A

Number of Days Pending

0

0

0

0

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

185

202

232

329

866

899

N/A

N/A

N/A

N/A 2014-09-26 2013-10-31

0

0

0

0

3

237

USSS

Date of Receipt
Number of Days Pending

AGENCY Date of Receipt OVERALL Number of Days
Pending

2014-04-11
123 2013-02-14
410

2014-03-25 2014-03-06

136

149

2013-02-14 2013-02-13

410

419

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

172

197

209

277

384

419

458

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

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 CRCL FEMA FLETC

Number of Requests Received

Received During Fiscal Year from Last Year’s
Annual Report

Received During Fiscal Year from Current Annual
Report

41,381

47,261

73

80

798

772

113

103

Number of Requests Processed

Processed During Fiscal Year from Last Year’s
Annual Report

Processed During Fiscal Year from Current Annual
Report

14,635

51,056

73

74

564

508

122

99

18

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Case 3:15-cv-01181-JD Document 22-5 Filed 04/22/15 Page 4 of 40

Component
I&A ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Requests Received

Received During Fiscal Year from Last Year’s
Annual Report

Received During Fiscal Year from Current Annual
Report

109

244

34,161

85,081

15,187 170

7,775 177

45

59

798

705

26

68

909

859

3,468 132,797

3,203 143,794

1,499

1,061

231,534

291,242

Number of Requests Processed

Processed During Fiscal Year from Last Year’s
Annual Report

Processed During Fiscal Year from Current Annual
Report

78

255

30,818

33,644

12,942

5,581

142

166

45

59

840

665

26

68

851

491

3,292‡‡‡‡

2,620

138,523

141,700

1,575

1,045

204,526§§§§

238,031

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

Component
CBP CRCL FEMA FLETC I&A
ICE NPPD OIG OPS PRIV S&T TSA USCG USCIS USSS AGENCY OVERALL

Number of Backlogged Requests as of End of the Fiscal Year from Previous Annual Report
37,848 0
496 1 12
4,714 3,099
34 0 20 1 546 877 3,394 533***** 51,575 †††††

Number of Backlogged Requests as of End of the Fiscal Year from Current Annual Report
34,307 3
709 1 22
56,863 3,592
48 0 64 1 924 1,261 5,026 659 103,480

‡‡‡‡ Number of Processed During Fiscal Year from Last Year’s 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 Year’s Annual Report corrected due to component reporting error in FY 2013. ††††† Id.
19
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E. (1) Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged

Component
CBP FEMA FLETC
ICE OGC OIG TSA USCG USCIS USSS AGENCY OVERALL

Number of Appeals Received

Received During Fiscal Year from Last Year’s
Annual Report

Received During Fiscal Year from Current Annual
Report

346

1,004

16

16

7

2

350

477

92

93

17

16

18

35

34 1,959

32 1,926

66

33

2,905

3,634

Number of Appeals Processed

Processed During Fiscal Year from Last Year’s
Annual Report

Processed During Fiscal Year from Current Annual
Report

354

991

45

17

5

4

317

339

179

101

3

25

22

36

45 2,001

28 1,919

75

30

3,046

3,490

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

Component
CBP FEMA FLETC
ICE OGC OIG TSA USCG USCIS USSS AGENCY OVERALL

Number of Backlogged Appeals as of End of the Fiscal Year from Previous Annual Report 0 31 1 32 11 ‡‡‡‡‡ 28 7 29 3 1 143 §§§§§

Number of Backlogged Appeals as of End of the Fiscal Year from Current Annual Report 8 30 0 43 11 17 12 33 2 4
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
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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 Advisor’s 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
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The Office of Public Affairs (OPA) coordinates the public affairs activities of all of the Department’s 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 Department’s 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 Nation’s physical and cyber infrastructure.
22
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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 Nation’s 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 America’s security and resiliency by providing knowledge products and innovative technology solutions for the Homeland Security Enterprise. The United States Secret Service (USSS) safeguards the Nation’s 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 Chief FOIA Officer Privacy Office U.S. Department of Homeland Security 245 Murray Lane, SW, Mail Stop 0655 Washington, DC 20528-0655

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

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 Lee’s 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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   EXHIBITG

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   EXHIBITH

Case 3:15-cv-01181-JD Document 22-5 Filed 04/22/15 Page 18 of 40
DECLARATION OF JORGE RODRIGUEZ-CHOI
I, Jorge Rodriguez-Choi, hereby declare and state:
1. I am an attorney licensed to practice before the state of California. I have offices in both San Francisco and Oakland, California. My business addresses are 1440 Broadway, Suite 811, Oakland, CA 94612 and 555 California Street, Suite 4925, San Francisco, CA 94104.
2. I graduated from the University of California at Berkeley, and I have practiced immigration and naturalization law exclusively since 1997. I am currently an active member with the American Immigration Lawyers Association.
3. My practice is comprised of comprehensive immigration services including: family-based visas, visas for victims of crime and domestic violence, permanent residence, naturalization, waivers, asylum, deferred action, criminal plea consulting, as well as removal and deportation defense. My work involves representing noncitizen clients before the U.S. Department of Homeland Security (DHS), the Executive Office for Immigration Review (EOIR), and the immigration courts.
4. I currently have about 15 open cases in my office involving noncitizen clients.
5. On behalf of and at the request of clients, I regularly file Freedom of Information Act (FOIA) requests to obtain information regarding Department of Homeland Security records. Many of the FOIA requests that I file on behalf of and at the request of my clients are intended to obtain records from U.S. Customs and Border Protection (CBP).
6. My clients and I are generally seeking all CBP records pertaining to my clients’ cases. These records may include information about the clients’ entries into and exits from the United States. It is critical that I obtain this information before my clients file for relief, because their eligibility can be adversely affected by information contained in the CBP records. For example, my clients’ eligibility for lawful permanent residence depends upon when they entered the United
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States and whether or when they left or returned to the United States. Therefore, it is essential that I obtain CBP records on behalf of and at the request of my clients before they file for relief.
7. In the CBP FOIA requests that I file on behalf of and at the request of my clients, we also usually request information regarding any border investigations or apprehensions, as well as any expedited removal orders. This information is necessary for me to properly advise and counsel my clients, because their eligibility for relief may be adversely affected by what is contained in CBP records. By way of example, clients who are apprehended at the border may or may not be issued expedited removal orders. It is important that I obtain these records on behalf of and at the request of my clients to find out whether or not they have received expedited removal orders. Clients who have received expedited removal orders may not be eligible for lawful permanent residency, so it is necessary to review the CBP records before filing.
8. I currently have approximately 15 pending CBP FOIA requests which have been pending for more than 20 business days.
9. CBP FOIA delays are a severe problem for me as an attorney seeking to advocate for the best interests of my clients. Many forms of relief have strict filing deadlines, and thus, waiting months for CBP FOIA results can be disastrous or impossible. However, filing before receiving CBP records can also be risky, because clients may not recall border incidents accurately, or may not have understood what legally occurred.
10. After the filing of the lawsuit in Brown et. al. v. CBP on March 12, 2015, I received a slew of responses to pending CBP FOIA requests that I filed on behalf of clients. Between March 23rd and March 27th, I received 4 responses. I believe that these were issued in response to the lawsuit, because prior to the filing of the suit the responses from CBP were taking an extended period, many times in excess of one year. For instance on March 24, 2015 I received a final response to the CPB FOIAs for Isidro Rodriguez Sanchez filed on June 17, 2013; Nelida Ornelas Renteria filed on June 4, 2014; Santos Miguel Flores Aguilar filed on April 10, 2013 and refiled on June 4, 2014; Maria de Jesus Calderon filed June 26, 2013.
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   EXHIBITI

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   EXHIBITJ

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   EXHIBITK

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   EXHIBITL

Case 3:15-cv-01181-JD Document 22-5 Filed 04/22/15 Page 36 of 40

1

DECLARATION OF STACY TOLCHIN

2

IN SUPPORT OF MOTION FOR CLASS CERTIFICATION

3 I, Stacy Tolchin, declare under penalty of perjury as follows:

4 1. I am an attorney licensed to practice by the State of California, and am admitted to practice
5
before the United States Supreme Court; the United States Court of Appeals for the Ninth, 6

7

Tenth, and Second Circuits; and the United States District Court for the Northern District of

8

California, Eastern District of California, Central District of California, and Southern District

9

of California.

10 2. My business address is Law Offices of Stacy Tolchin, 634 S. Spring St. Suite 500A, Los

11 Angeles, California. I practice throughout the state of California.
12 3. I received my Juris Doctorate from the University of California at Los Angeles in 2001, and
13 have been practicing law for over 13 years.
14
15 4. I am a recipient of the American Immigration Lawyers Association’s 2009 Jack Wasserman

16

Award for Excellence in Immigration Litigation, the 2009 American Civil Liberties Union of

17

Southern California Equal Justice Advocacy Award, the 2008 National Immigration Law

18

Center Annual Award, the 2007 “Unsung Hero” Award for the National Lawyers Guild of the

19 Bay Area, and was recognized in 2003 by the Arab-American Anti-Discrimination
20 Committee of San Francisco. I was also named to “Super Lawyers” from 2012-2015.
21
5. I am a member of the Board of Directors of the National Immigration Project for the National 22

23

Lawyers Guild, a member of the Ninth Circuit Rules Committee, a member of the National

24

Lawyers Guild, the Los Angeles County Bar Association immigration section, and the

25

American Immigration Lawyers Association.

26 6. I specialize in immigration-related litigation before the federal courts. Cases I have litigated
27 include: Menendez-Gonzalez v. Holder, No. 11-73554, 2015 WL 1089189 (9th Cir. Mar. 13,
28 2015) (successful petition for review challenging Board of Immigration Appeals’ failure to

178 1

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1

remove deportation order after conviction was vacated); Mendiola v. Holder, 576 F. App'x

2

828 (10th Cir. 2014)(petition for review in Tenth Circuit challenging removal of a lawful

3

permanent resident based on change in law); Bains v. Holder, 584 F. App'x 574 (9th Cir.

4 2014) (petition for review challenging removal order based on changed circumstances arising
5
in India); Duran Gonzales v. U.S. Dep't of Homeland Sec., 712 F.3d 1271 (9th Cir. 2013) 6

7

(class action litigation involving applications for lawful permanent residency when the

8

applicants had been previously deported); Huerta v. Holder, 484 F. App'x 172 (9th Cir. 2012)

9

(petition for review based on ineffective assistance of counsel); Padilla-Padilla v. Gonzales,

10

463 F.3d 972 (9th Cir. 2006) (challenge to Board of Immigration Appeals’ failure to follow

11 its internal regulations); Silaya v. Mukasey, 524 F.3d 1066 (9th Cir. 2008) (finding that
12 victim of gang-rape in the Philippines had suffered past persecution based on her father’s
13
political opinion); Husyev v. Mukasey, 528 F.3d 1172 (9th Cir. 2008) (finding that courts 14

15

have jurisdiction to review agency’s failure to follow asylum regulations); Hassine v.

16

Johnson, 2014 WL 5035173 (E.D.Cal. 2014) (petition for de novo naturalization case and

17

award of attorneys’ fees); Zavala v. Ridge, 310 F. Supp. 2d 1071 (N.D. Cal. 2004)

18

(Department of Homeland Security’s “automatic stay” regulation that keeps non-citizens in

19 custody while their immigration cases are pending, even after an immigration judge has
20 ordered their release, is facially unconstitutional); Singh v. Still, 470 F.Supp.2d 1064 (N.D.
21
Cal 2007) (successful petition for writ of mandamus challenging Department of Homeland 22

23

Security’s unreasonable delay in the adjudication of applications for permanent residency);

24

Shahwan v. Chertoff, C 05 4218 MMC (N.D. Cal. 2005) (granting petition for writ of habeas

25

corpus where petitioner was not informed when he traveled on “advance parole” that he

26

would be ineligible for a bond hearing before an immigration judge); and Araujo v. INS, 301

27 F. Supp. 2d 1095 (N.D. Cal. 2004) (Federal Tort Claims Act action finding that the United
28
States government was liable for damages to a non-citizen for unlawful deportation).

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1 7. My office regularly files Freedom of Information Act (“FOIA”) requests on behalf of our

2

noncitizen clients, seeking information about past interactions at the border and ports of entry

3

in order to best represent our clients in defending against removal proceedings or in

4 determining if they are eligible to apply for lawful permanent resident status.
5
8. I also am familiar with litigation under the FOIA and have filed district court FOIA litigation 6

7

in the following cases: Osorio v. United States Customs and Border Protection, CV 14-

8

01758-DOC-AN (C.D. Cal), Shaikh v. Department of State, CV 14- 05352 -PSG (SH) (C.D.

9

Cal), Angeles-Badillo v. Customs and Border Protection, CV 13-02958-CAB-RBB (S.D.

10

Cal), and Segovia v. Department of State, CV13-8364 SVW (MANx) (C.D. Cal).

11 9. Neither the Law Offices of Stacy Tolchin nor I personally are receiving reimbursement from
12 the individual plaintiffs or class members in this case. All counsel in this case are qualified
13
and capable of adequately and fairly representing the interests of the class. 14

15 16 I declare under penalty of perjury that the foregoing is true and correct. Executed in Los Angeles,

17 California on April 14, 2015. 18

19

By: S/ Stacy Tolchin

20

Stacy Tolchin

Declarant

21

22

23

24

25

26

27

28

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   EXHIBITM

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EXHIBIT N

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DECLARATION OF MATT ADAMS I, Matt Adams, hereby declare:
1) I am an attorney at law, admitted in the State of Washington and currently employed by Northwest Immigrant Rights Project (NWIRP) in Seattle, Washington. I am counsel of record for Plaintiffs in this case.
2) I am employed as the Legal Director for Northwest Immigrant Rights Project's (NWIRP), at 615 Second Ave., Ste. 400, Seattle, Washington, 98104. I have been working as an immigration attorney at NWIRP for the last sixteen years. From June 1998 to July of 2005, I worked at NWIRP’s Eastern Washington office, in Granger, Washington, first as a Staff Attorney and later as the Directing Attorney of that office. In July of 2006, I assumed my current position as Legal Director of NWIRP, working from the Seattle office. In this role, I am responsible for supervising all attorneys and legal staff and directing all litigation by NWIRP on behalf of clients before the federal district courts and the Court of Appeals.
3) I have extensive experience on cases focusing on immigrant rights. During the last sixteen years, I have litigated cases and personally argued on behalf of immigrants before Immigration Judges; the Board of Immigration Appeals; Federal District Courts, including the Eastern and Western Districts of Washington; the Northern, Central, and Southern Districts of California; and the Ninth Circuit Court of Appeals. I have represented prevailing petitioners before Ninth Circuit Court of Appeals in the following published cases: Duran-Gonzales v. DHS, 702 F.3d 504 (9th Cir. 2013) (Court of Appeals reversed its prior opinion, finding that class members benefit from retroactivity test where agency changes rules pursuant to Supreme Court’s decision in Brand X); Chay Ixcot v. Holder, 646 F.3d 1202 (9th Cir. 2011) (vacating reinstatement order as unlawful retroactive bar to asylum claim); Lopez-Birrueta v. Holder, 633 F.3d 1211(9th Cir. 2011) (rejecting agency’s
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restrictive interpretation of battery for purposes of establishing eligibility for cancellation of removal for victims of domestic violence); Cortez-Guillen v. Holder, 623 F.3d 933 (9th Cir. 2010) (holding that agency is bound by elements as laid out in plain language of statute with regards to the realistic probability test, and accordingly, Alaskan coercion statute does not categorically qualify as aggravated felony crime of violence); Bromfield v. Mukasey, 543 F.3d 1071 (9th Cir. 2008) (establishing a pattern and practice of persecution targeting gay men in Jamaica); Mandujano-Real v. Mukasey, 526 F.3d 585 (9th Cir. 2008) (finding that petitioner’s concession while unrepresented did not preclude him from challenging legal basis on appeal and further holding that ID theft conviction did not constitute aggravated felony theft conviction); Suazo Perez v. Mukasey, 512 F.3d 1222 (9th Cir. 2008) (finding that domestic violence statute in question did not categorically constitute a deportable offense); Hosseini v. Gonzales, 471 F.3d 953 (9th Cir. 2006) (granting relief under the Convention Against Torture to asylum applicant who had been charged as having being engaged in terrorist activities); Hernandez-Guadarrama v. Ashcroft, 394 F.3d 674 (9th Cir. 2005) (holding that the government could not rely on the statements made by witnesses where the government deported those witnesses); Perez-Gonzalez v. Ashcroft, 379 F.3d 783 (9th Cir. 2004) (preventing government from reinstating prior deportation order where person had a pending application for residence along with the corresponding waiver); Garcia-Lopez v. Ashcroft, 334 F.3d 840 (9th Cir. 2003) (requiring DHS to afford full effect to modification of conviction from felony to misdemeanor); and CastroCortez v. INS, 239 F.3d 1037 (9th Cir. 2001) (prohibiting retroactive application of reinstatement to person who were deported prior to change in law).
4) I also have experience as a class action litigator. I have litigated five class actions on behalf of immigrants: Khoury v. Asher, 3 F.Supp.3d 877 (W.D. Wash. 2014) (class certification and declaratory relief granted on behalf of class, detained immigrants unlawfully subjected to mandatory
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detention); B-H- v. USCIS, 2013 WL 5913323, C11-2108RAJ (W.D. Wash. 2013) (approving nation-wide class settlement, challenge to asylum work authorization denials); Roshandel v. Chertoff, 554 F.Supp.2d 1194 (W.D.Wash. 2008) (successful class action on behalf of 450 naturalization applicants); Duran Gonzales v. U.S. Dept. of Homeland Sec., 239 F.R.D. 620 (W.D.Wash. 2006) (certification granted for circuit-wide class); Franco-Gonzalez v. Holder, Case No. 2:10-02211-DMG (C.D. Cal. 2011), 2011 U.S. Dist. LEXIS 158130 (C.D. Cal. Nov. 21, 2011) (granting class certification) and 2013 U.S. Dist. LEXIS 186258 (C.D. Cal. Apr. 23, 2013) (granting permanent injunction ordering the government to provide free legal representation to immigrants with serious mental disabilities).
5) I have twice been awarded the American Immigration Lawyer’s Association Jack Wasserman Memorial Award for Excellence in Litigation; most recently, in 2014 for my work on the litigation team in Franco-Gonzalez v. Holder, establishing the right to counsel for detained persons with serious mental disorders. I have also received the 2013 Access to Justice Advocacy Award and the 2008 Access to Justice Leadership Award, from the Washington State Bar, and the 2005 Washington State Chapter AILA Award for Most Significant Impact in Pro Bono Litigation.
6) Neither myself, NWIRP, or our co-counsel are receiving reimbursement from the individual plaintiffs or class members in this case. All counsel in this case are qualified and capable of adequately and fairly representing the interests of the class.
I declare under penalty of perjury that the foregoing is true and correct. Executed in Seattle, WA on March 31, 2015.
By: _S/ Matt Adams________________ Matt Adams
NW Immigrant Rights Project 615 Second Avenue, Suite 400 Seattle, WA 98104 206.957.8611
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1 (counsel for Plaintiffs continued)

2 Matt Adams, WSBA No. 28287
3 (admitted pro hac vice) Northwest Immigrant Rights Project
4 615 Second Avenue, Suite 400 Seattle, WA 98104
5 Telephone: (206) 957-8611 Facsimile: (206) 587-4025
6 Email: matt@nwirp.org

7 Trina Realmuto (CA SBN 201088)

National Immigration Project

8

of the National Lawyers Guild

9

14 Beacon St., Suite 602 Boston, MA 02108

10 Telephone: (617) 227-9727 ext. 8 Facsimile: (617) 227-5495

11 Email: trina@nipnlg.org

12 Mary Kenney (WV Bar 2011)

13

Melissa Crow (DC Bar 453487) (admitted pro hac vice)

14 American Immigration Council 1331 G Street NW, Suite 200

15 Washington, DC 20005

Telephone: (202) 507-7512 16 Facsimile: (202) 742-5619

17 Email: mkenney@immcouncil.org

18 Counsel for Plaintiffs

19

20

21

22

23

24

25

26

27

28

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1

INTRODUCTION

2

1. Plaintiffs are five immigration attorneys and thirteen noncitizens who

3 filed Freedom of Information Act (“FOIA”) requests with Defendant United States
4 Customs And Border Protection (“CBP”), an agency within the Department of Homeland
5
Security (“DHS”). Each of the Plaintiffs have waited for more than twenty days for his 6

7 or her FOIA request(s) to be processed by Defendants, and most have waited for over a

8 year. Plaintiffs seek information that is critical to determining their eligibility or—in the

9 case of the attorney Plaintiffs—their clients’ eligibility for lawful permanent residence or

10 other immigration relief. Plaintiffs’ efforts to determine eligibility or file immigration

11 applications are stymied for as long as their FOIA requests continue to linger—
12 unprocessed—at CBP.
13

14

2. FOIA mandates that an agency issue a response within 20 business days of

15 receiving a FOIA request, see 5 U.S.C. § 552(a)(6)(A)(I).

16

3. CBP routinely fails to respond to FOIA requests within the statutory

17 period.

18

4. Plaintiffs seek to represent a national class of individuals who have filed

19 FOIA requests with CBP, but have not received a response from CBP within 20 business
20 days. CBP’s FOIA backlog has grown exponentially. At the close of fiscal year (“FY”)
21

22 2014, CBP had 34,307 FOIA requests that had been pending for more than 20 business

23 days.1 The FY 2014 backlog was almost eight times greater than it had been just three

24

25

26

1

See Second Declaration of Stacy Tolchin in Support of Amended Complaint for

Declaratory and Injunctive Relief Under the Freedom of Information Act and Motion for

27 Class Certification (“Second Tolchin Dec.”) at Exh. F, Department of Homeland Security, Privacy Office, 2014 Freedom of Information Act Report to the Attorney

28 General of the United States (“DHS FOIA Annual Report 2014”) at 19.

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1 years earlier, at the close of FY 2011.2

2

5. CBP contributed to this ever-growing backlog by processing fewer cases each

3 year between FY 2011 and 2013.3 In FY 2014, CBP processed 51,056 requests,
4 substantially more than the 26,571 requests processed in FY 2013 and the 27,818 requests
5 processed in FY 2012.4 Yet CBP’s 2014 processing did not substantially reduce its FOIA
6

7 backlog, which was 37,848 in FY 2013 and 34,307 in FY 2014, a reduction of only 3,795

8 requests, less than ten percent.5

9

6. CBP has significantly more funding than its two counterparts within DHS—

10 United States Citizenship and Immigration Services (“USCIS”) and United States
11 Immigration and Customs Enforcement (“ICE”).6 Despite this, its FOIA backlog is 12

13

14

2
15

Id. at 19; Second Tolchin Dec. at Exh. C, Department of Homeland Security, Privacy

Office, 2011 Freedom of Information Act Report to the Attorney General of the United States

16 (“DHS FOIA Annual Report 2011”) at 19.

17 3

Second Tolchin Dec. at Exh. A, Department of Homeland Security, Privacy Office, 2013

Freedom of Information Act Report to the Attorney General of the United States (“DHS FOIA 18 Annual Report 2013”) at 3; Second Tolchin Dec. at Exh. C, DHS FOIA Annual Report 2011 at 3;

19 Second Tolchin Dec. at Exh. B, Department of Homeland Security, Privacy Office, 2012 Freedom of Information Act Report to the Attorney General of the United States (“DHS FOIA

20 Annual Report 2012”) at 3.

21 4

Second Tolchin Dec. at Exh. F, DHS FOIA Annual Report 2014 at 4; Second Tolchin

22

Dec. at Exh. A, DHS FOIA Annual Report 2013 at 3; Second Tolchin Dec. at Exh. C, DHS FOIA Annual Report 2012 at 3.

23 5

Second Tolchin Dec. at Exh. A, DHS FOIA Annual Report 2013 at 18; Second Tolchin

24 Dec. at Exh. F, DHS FOIA Annual Report 2014 at 19.

25 6

For at least the last three fiscal years, CBP’s budget was almost double that of ICE and

26

almost three times as much as USCIS. CBP received between 11 and 12.5 million dollars each of these years, while ICE received less than 6 million, and USCIS less than 3.5 million. See Second

27 Tolchin Dec. at Exh. E, DHS Budget in Brief, Fiscal Year 2014 at 6; Second Tolchin Dec. at Exh. D, DHS Budget in Brief, Fiscal Year 2015 at 7.

28

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1 significantly greater than USCIS.7

2

7.

Plaintiffs and the Proposed Class suffer harm due to Defendants’ failure to

3 respond to their requests because—without the information that they have requested
4 through FOIA—they are unable to ascertain the legal significance of their or their clients’
5
past interactions with border officials. Defendants’ delay also prevents Plaintiffs and the 6

7 Proposed Class from moving forward with applications for which they or their clients may

8 be eligible, and causes unnecessary emotional hardship for those left in legal limbo while

9 they wait to obtain the records that hold the key to assessing their immigration options in

10 the United States.

11

8.

Due to this backlog and the ensuing harm it causes, Plaintiffs seek class

12

certification, declaratory relief, and injunctive relief ordering CBP to respond to FOIA 13

14 requests which have been pending for more than 20 business days, and ordering CBP to

15 timely process future requests as required by FOIA. 5 U.S.C. §§ 552(a)(6); 552(a)(3).

16

JURISDICTION AND VENUE

17

9. This Court has jurisdiction under 5 U.S.C. § 552 et seq. (FOIA statute), 28

18 U.S.C. § 1331 (federal question), and 28 U.S.C. § 2201 (declaratory judgment).
19 10. Venue is proper under 5 U.S.C. § 552(a)(4)(B) and 28 U.S.C. § 1391(e)(1)
20 because this is a civil action in which Defendant is a national agency; because Plaintiffs
21
22 Jorge Rodriguez-Choi, Arturo Dominguez Cobos, Isidro de Jesus Rodriguez Sanchez,

23 and Nelida Ornelas Renteria, reside in this judicial district; and there is no real property

24 involved in this action.

25

11. Plaintiffs have exhausted any and all administrative remedies in

26

27 7
28

Second Tolchin Dec. at Exh. A, DHS FOIA Annual Report 2013 at 16.

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1 connection with their FOIA requests, as detailed below.

2

PARTIES

3 12. Plaintiff Meredith R. BROWN is an immigration attorney in Glendale,
4 California. She currently has numerous FOIA requests filed with CBP on behalf of her
5
clients that have been pending for over 20 business days. 6

7

13. Plaintiff Jorge RODRIGUEZ-CHOI is an immigration attorney with

8 offices in San Francisco and Oakland, California. He currently has numerous FOIA

9 requests filed with CBP on behalf of his clients that have been pending for over 20

10 business days.
11 14. Plaintiff Lizz CANNON is an immigration attorney in Cambridge,
12 Massachusetts. She currently has numerous FOIA requests filed with CBP on behalf of
13
14 her clients that have been pending for over 20 business days.

15

15. Plaintiff Kelly RYAN is an immigration attorney in Denver, Colorado.

16 She had numerous FOIA requests filed with CBP on behalf of her clients that were

17 pending for over 20 business days at the time of the initial filing of this lawsuit on March

18 12, 2015.
19 16. Plaintiff Jeri FLYNN is an immigration attorney in Baton Rouge,
20 Louisiana. She currently has numerous FOIA requests filed with CBP on behalf of her
21
22 clients that have been pending for over 20 business days.

23

17. Plaintiff Arturo DOMINGUEZ COBOS resides in San Francisco,

24 California. He currently has a FOIA request filed with CBP that has been pending for
25 over 20 business days.
26 18. Plaintiff Isidro de Jesus RODRIGUEZ SANCHEZ resides in Hayward,
27 California. He currently has a FOIA request filed with CBP that has been pending for
28

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1 over 20 business days.

2

19. Plaintiff Nelida Ornelas RENTERIA resides in Oakland, California. She

3 currently has a FOIA request filed with CBP that has been pending for over 20 business
4 days.
5
20. Plaintiff Manuel Cruz RENDON resides in Los Angeles, California. He 6

7 currently has a FOIA request filed with CBP that has been pending for over 20 business

8 days.

9

21. Plaintiff Orlanda URBINA resides in North Hollywood, California. She

10 currently has a FOIA request filed with CBP that has been pending for over 20 business
11 days.
12 22. Plaintiff Juan de DIOS CRUZ ROJAS resides in Picabo, Idaho. He
13
14 currently has a FOIA request filed with CBP that has been pending for over 20 business

15 days.

16

23. Plaintiff Maria de Jesus CALDERON RUIZ resides in Alpaugh,

17 California. She currently has a FOIA request filed with CBP that has been pending for

18 over 20 business days.
19 24. Plaintiff Cristina Lucero RAMIREZ resides in Carthage, North Carolina.
20 She currently has a FOIA request filed with CBP that has been pending for over 20
21
22 business days.

23

25. Plaintiff Carolina CASTOR-LARA resides in Antioch, Tennessee. She

24 currently has a FOIA request filed with CBP that has been pending for over 20 business
25 days.
26 26. Plaintiff Efren ESCOBEDO resides in Garland, Texas. He currently has a
27 FOIA request filed with CBP that has been pending for over 20 business days.
28

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1

27. Plaintiff Delmy GONZALEZ-ORDONEZ resides in Aurora, Colorado.

2 She currently has a FOIA request filed with CBP that has been pending for over 20
3 business days.
4 28. Plaintiff Artemio Alejandro PICHARDO-DELGADO resides in
5 Indianapolis, Indiana. He currently has a FOIA request filed with CBP that has been
6
7 pending for over 20 business days.

8

29. Plaintiff Farook ASRALI resides in Sunrise, Florida. He currently has a

9 FOIA request filed with CBP that has been pending for over 20 business days.

10

30. Defendant CBP is a component agency of DHS and is an agency within

11 the meaning of 5 U.S.C. § 552(f)(1). Among other duties, CBP is responsible for
12 enforcing immigration laws at the borders and other ports of entry to the United States.
13

14 CBP inspects all individuals seeking entry to the United States, including U.S. citizens,

15 lawful permanent residents, nonimmigrants, and asylum seekers. CBP has authority to

16 admit or exclude individuals, issue “expedited removal” orders, parole noncitizens into

17 the United States, and permit them to withdraw applications for admission. CBP has in
18 its possession, custody, and control the records Plaintiffs seek. 19
31. Defendant DHS is an executive agency of the United States with 20
responsibility for enforcing the immigration laws of the United States. In addition to 21 22 CBP, DHS houses at least two additional immigration-related component agencies: ICE
23 and USCIS.

24

25

26

27

28

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1

FACTUAL ALLEGATIONS

2

CBP’s Processing Times and Backlog

3 32. The statutory time period for a FOIA response is 20 business days. 5
4 U.S.C. § 552(a)(6)(A)(i).
5
33. At the close of FY 2014, there were 34,307 requests pending at CBP. 6

7 CBP’s average FOIA processing times and its backlog grew substantially from FY 2011-

8 2013, and has remained roughly the same in FY 2014.

9

34. DHS defines “backlog” as the “number of requests or administrative

10 appeals pending at an agency at the end of the fiscal year that are beyond the statutory
11 time period for a response.”8 12
35. DHS reported that CBP received 32,107 FOIA requests in FY 2011, 13
14 33,243 FOIA requests in FY 2012, 41,381 FOIA requests in FY 2013, and 47,261 FOIA
15 requests in FY 2014.9

16

36. DHS reported that CBP had a backlog of 4,365 requests at the close of FY

17 2011.10 In FY 2012, this number increased to 10,648 pending requests.11 By the end of 18 FY 2013, the backlog grew exponentially to 37,848 pending FOIA requests.12 In FY 19

20

21
8
22

Second Tolchin Dec. at Exh. A, DHS FOIA Annual Report 2013 at vii.

9
23

Second Tolchin Dec. at Exh. A, DHS FOIA Annual Report 2013 at 3; Second Tolchin

Dec. at Exh. B, DHS FOIA Annual Report 2012 at 3; Second Tolchin Dec. at Exh. C, DHS FOIA

24 Annual Report 2011 at 3. Tolchin Dec at Exh. F., DHS FOIA Annual Report 2014 at 4.

25 10 26 11 27
12
28

Second Tolchin Dec. at Exh. C, DHS FOIA Annual Report 2011 at 16. Second Tolchin Dec. at Exh. B, DHS FOIA Annual Report 2012 at 16. Second Tolchin Dec. at Exh. A, DHS FOIA Annual Report 2013 at 16.

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1 2014, the backlog remained roughly the same at 34,307 decreasing less than ten percent.13
2 Over the course of these four fiscal years, the backlog grew by a total of 29,942 requests;
3 consequently, in FY 2014, the backlog was almost eight times larger than it was in 2011.
4 37. The increase in the number of FOIA requests filed in FY 2011 through FY
5 2013 is much less than the increase in backlogged requests during this same period.
6 7 Indeed, DHS reported a dramatic decrease in the number of requests that CBP processed
8 each year: from 27,818 requests processed in FY 2011 down to only 14,635 requests

9 processed in FY 2013.14 In FY 2014, CBP processed 51,056 requests, after having
10 received 47,261 that year, but only marginally reduced its backlog.15 11
38. Any effort that CBP has made to clear this backlog has been wholly 12
inadequate and ineffectual. Even were CBP able to continue to reduce its backlog at the 13 14 pace set in FY 2014—which is questionable given its documented history of failing to
15 address its backlog in prior years—CBP would not dispose of its current backlog for 9.6
16 years.16

17

39. CBP’s backlog is almost seven times larger than the backlog for USCIS

18 (the agency responsible for adjudicating immigration applications and for processing
19 FOIA requests seeking copies of an individual’s “alien registration file”--commonly
20 referred to as the “A file”), even though DHS reported a backlog of just 5,026 cases for
21

22
13
23

Second Tolchin Dec. at Exh. F, DHS FOIA Annual Report 2014 at 19.

24 14 Second Tolchin Dec. at Exh. A, DHS FOIA Annual Report 2013 at 3; Second Tolchin Dec. at Exh. B, DHS FOIA Annual Report 2012 at 3; Second Tolchin Dec. at Exh. C, DHS FOIA
25 Annual Report 2011 at 3.

26 15 27
16
28

Second Tolchin Dec. at Exh. F, DHS FOIA Annual Report 2014 at 4. Second Tolchin Dec. at Exh. F, DHS FOIA Annual Report 2014 at 4, 19.

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1 USCIS at the close of FY 2014, compared to the 34,307cases for CBP.17

2

40. No exceptional circumstances exist warranting a delay in processing CBP

3 FOIA requests. An agency’s failure to keep up with the pace of FOIA requests is not an
4 “exceptional circumstance.”
5
41. CBP has failed to timely respond to Plaintiffs’ FOIA requests in the 20 6

7 business days required by statute, and has a pattern or practice of failing to do so with

8 respect to the majority of FOIA requests it receives. CBP has not demonstrated due

9 diligence in responding to Plaintiffs’ FOIA requests or in clearing out the backlog of
10 overdue FOIA requests.
11 42. Moreover, CBP has more funding than any of the fourteen agencies within
12 DHS, including USCIS, ICE, FEMA, the U.S. Coast Guard, and the U.S. Secret
13 14 Service.18 Further, in the last two fiscal years, CBP received the second largest increase
15 in funding of the 14 other agencies within DHS.19

16

17

Harm to Plaintiffs and Proposed Class Members

18

43. CBP records often are critical evidence in immigration cases. A

19 noncitizen’s past interactions with CBP may affect his or her ability to qualify for lawful
20 permanent resident status. For example, to adjust to lawful permanent resident status, a
21

22 noncitizen must document that he or she was “inspected and admitted or paroled” into the

23 United States. 8 U.S.C. § 1255(a). At all U.S. ports of entry, CBP is the agency

24

25 17

Id. at 16.

26 18

Second Tolchin Dec. at Exh. D, DHS Budget in Brief, Fiscal Year 2015 at 7.

27 19

Second Tolchin Dec. at Exh. E, DHS Budget in Brief, Fiscal Year 2014 at 6; Second

28 Tolchin Dec. at Exh. D, DHS Budget in Brief, Fiscal Year 2015 at 7.

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1 responsible for determining who is to be admitted or paroled into the United States. CBP

2 maintains records of many of the admission and parole decisions it makes with respect to

3 noncitizens. In many adjustment of status cases, these records are the only evidence that
4 the applicant can produce to demonstrate that he or she was admitted or paroled and
5
therefore eligible for lawful permanent resident status. 6

7

44. Additionally, pursuant to 8 U.S.C. § 1225(b), CBP issues “expedited

8 removal orders” against some individuals apprehended at the border who attempted entry

9 without proper documentation. Other individuals are permitted to withdraw their

10 applications for admission and depart the United States without having an expedited
11 removal order entered against them. 8 U.S.C. § 1225(a)(4). Many individuals who are
12 turned away at the border are uncertain if they were issued expedited removal orders or
13
14 simply permitted to withdraw their applications for admission.

15

45. Those individuals who are issued expedited removal orders are, at a

16 minimum, inadmissible to the United States for a five-year period and, consequently,

17 ineligible for an immigrant or nonimmigrant visa and ineligible to adjust status during this
18 period. In addition, if CBP documentation shows that the expedited removal order was 19
issued based on an allegedly false claim to U.S. citizenship, the person may be found to be 20
permanently inadmissible. See 8 U.S.C. § 1182(a)(6)(C)(ii). Moreover, even if the five21 22 year period has elapsed, the existence of the prior expedited removal order may affect
23 future visa and adjustment applications that have a discretionary component.

24

46. Individuals who have returned to the United States after prior interactions

25 with CBP, and their attorneys, are harmed by CBP’s failure to timely process their FOIA
26 requests. To understand their situations, assess their options, and make life decisions,
27 these individuals, as well as lawyers advising them, need to know if CBP previously
28

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1 admitted or paroled them into the United States or issued an expedited removal order. If
2 the FOIA production reveals that CBP issued an expedited removal order, these
3 individuals potentially face additional grounds of inadmissibility, some of which may
4 require an additional waiver application. Other individuals who have returned to the
5 United States may potentially face criminal prosecution, see 8 U.S.C. §§ 1325 and 1326,
6 7 and a summary removal process known as reinstatement of removal, see 8 U.S.C. §
8 1231(a)(5).

9

Plaintiffs’ FOIA Requests

10

47. Plaintiff Brown is an immigration attorney in Glendale, California who

11 represents clients before component agencies of DHS and the Executive Office for
12 Immigration Review (EOIR), which consists of the immigration courts and the Board of
13

14 Immigration Appeals. She has been practicing immigration law for approximately 17

15 years.

16

48. Plaintiff Brown regularly files FOIA requests on behalf of and at the

17 request of her clients, who seek information maintained by DHS agencies, including CBP.
18 Plaintiff Brown requires the information requested from CBP in order to adequately 19
advise and represent her clients, including in defending against removal from the United 20
States and applying for affirmative immigration benefits, such as applications for lawful 21 22 permanent resident status. The requested information may affect her clients’ eligibility for
23 different forms of immigration benefits; it is therefore essential that she obtain the

24 information from CBP before filing for any immigration benefits.

25

49. Plaintiff Brown currently has approximately 45 CBP FOIA requests that

26 have been pending for more than 20 business days. After Plaintiffs filed the original
27 complaint in this case on March 12, 2015, Plaintiff Brown received a slew of responses to
28

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1 pending CBP FOIA requests. Between March 23 and March 31, 2015, she received
2 approximately 20 responses to FOIA requests that were filed on behalf of her clients.
3 Upon information and belief, these responses were issued in response to this lawsuit.
4 Plaintiff Brown continues to file CBP FOIA requests on behalf of her clients,
5 50. Plaintiff Rodriguez-Choi is an immigration attorney with offices in San
6 7 Francisco and Oakland, California who represents clients before component agencies of
8 DHS and EOIR. He has been practicing immigration law for approximately 17 years.

9

51. Plaintiff Rodriguez-Choi regularly files FOIA request on behalf of and at

10 the request of his clients, who seek information maintained by DHS agencies, including
11 CBP. Plaintiff Rodriguez-Choi requires the information requested from CBP in order to
12 adequately advise and represent his clients, including defending against removal from the
13
14 United States and applying for affirmative immigration benefits, such as applications for

15 lawful permanent resident status. The requested information may affect his clients’

16 eligibility for different forms of immigration benefits; it is therefore essential that he

17 obtain the information from CBP before filing for any immigration benefits.

18

52. Plaintiff Rodriguez-Choi currently has approximately 15 CBP FOIA

19 requests that have been pending for more than 20 business days.
20 53. Plaintiff Cannon is an immigration attorney in Cambridge, Massachusetts
21

22 who represents clients before component agencies of DHS and EOIR. She has been

23 practicing immigration law for approximately 6 years.

24

54. Plaintiff Cannon regularly files FOIA request on behalf of and at the

25 request of her clients, who seek information maintained by DHS agencies, including CBP.
26 Plaintiff Cannon requires the information requested from CBP in order to adequately
27 advise and represent her clients, including defending against removal from the United
28

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1 States and applying for affirmative immigration benefits, such as applications for lawful
2 permanent resident status. The requested information may affect her clients’ eligibility for
3 different forms of immigration benefits; it is therefore essential that she obtain the
4 information from CBP before filing for any immigration benefits.
5 55. Plaintiff Cannon currently has approximately seven CBP FOIA requests
6 7 that have been pending for more than 20 business days, including at least two requests that
8 have been pending for a year or more.

9

56. Plaintiff Ryan is an immigration attorney in Denver, Colorado who

10 represents clients before component agencies of DHS and EOIR. She has been practicing
11 immigration law for approximately seven years.
12 57. Plaintiff Ryan regularly files FOIA requests on behalf of and at the request
13
14 of her clients, who seek information maintained by DHS agencies, including CBP.

15 Plaintiff Ryan requires the information requested from CBP in order to adequately advise

16 and represent her clients, including in defending against removal from the United States

17 and applying for affirmative immigration benefits, such as applications for lawful

18 permanent resident status. The requested information may affect her clients’ eligibility for

19 different forms of immigration benefits; it is therefore essential that she obtain the
20 information from CBP before filing for any immigration benefits.
21

22

58. At the time of the initial filing of this case, Plaintiff Ryan had

23 approximately 13 CBP FOIA requests that had been pending for more than 20 business

24 days. After the March 12, 2015 filing of this case, Plaintiff Ryan received a slew of
25 responses to pending CBP FOIA requests, including responses to at least nine requests
26 that had been pending for more than one year. Between March 23 and March 25, 2015,
27 she received 11 responses to FOIA requests that were filed on behalf of her clients. Upon
28

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Case 3:15-cv-01181-JD Document 22 Filed 04/22/15 Page 16 of 26

1 information and belief, these responses were issued in response to this lawsuit. Plaintiff

2 Ryan will continue to file CBP FOIA requests on behalf of her clients,

3 59. Plaintiff Flynn is an immigration attorney in Baton Rouge, Louisiana who
4 represents clients before component agencies of DHS and EOIR. She has been practicing
5
law for approximately 36 years. 6

7

60. Plaintiff Flynn regularly files FOIA requests on behalf of and at the request of her

8 clients, who seek information maintained by DHS agencies, including CBP. Plaintiff Flynn

9 requires the information requested from CBP in order to adequately advise and represent her
10 clients, including in defending against removal from the United States and applying for affirmative
11 immigration benefits, such as applications for lawful permanent resident status. The requested
12 information may affect her clients’ eligibility for different forms of immigration benefits; it is
13 14 therefore essential that she obtain the information from CBP before filing for any immigration
15 benefits.

16

61. Plaintiff Flynn currently has approximately four CBP FOIA requests that

17 have been pending for more than 20 business days, including one that has been pending
18 for more than two years. 19
62. Plaintiff Dominguez Cobos, through his attorney, filed a FOIA request 20
with CBP on August 18, 2014, seeking information about his entry into the United States 21 22 to support his application for lawful permanent residence. CBP issued a receipt for his
23 FOIA request, number CBP-2014-041458. Although Plaintiff Dominguez Cobos’ FOIA

24 request has been pending for 8 months, he has not received the requested information.

25

63. Plaintiff Dominguez Cobos, who has lived in the United States since 2000,

26 is married to a United States citizen. The requested information is necessary to determine
27 if he is eligible for lawful permanent residence.
28

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1

64. Plaintiff Rodriguez Sanchez, through his attorney, filed a FOIA request

2 with CBP on June 17, 2013, seeking information about a possible past expedited removal
3 order issued by CBP at the United States border. CBP issued a receipt for his FOIA
4 request, number CBP-2013-019829. Although Plaintiff Rodriguez Sanchez’s FOIA
5 request has been pending with CBP for 19 months, he has not received the requested
6
7 information.

8

65. Plaintiff Rodriguez Sanchez has been in the United States for 14 years and

9 has three United States citizen children. His attorney requires a response to his pending
10 FOIA request to determine if he is eligible for lawful permanent resident status.
11 66. Plaintiff Ornelas Renteria, through her attorney, filed a FOIA request with
12 CBP on April 1, 2013, seeking information about a past encounter with CBP, and whether
13 14 it disqualifies her from applying for lawful permanent resident status. CBP issued a
15 receipt for her FOIA request, number CBP-2013-011307. Although Plaintiff Ornelas

16 Renteria’s FOIA request has been pending with CBP for 24 months, she has not received

17 the requested information.

18

67. Plaintiff Ornelas Renteria has been in the United States since 2003 and is

19 married to a United States citizen. Her attorney requires the information sought in the
20 FOIA request filed with CBP in order to determine her eligibility for lawful permanent
21

22 resident status.

23

68. Plaintiff Cruz Rendon, through his attorney, filed a FOIA request with

24 CBP on March 2, 2013, seeking information regarding his encounters with CBP agents at
25 the United States/Mexico border. CBP issued a receipt for his FOIA request, number
26 CBP-2014-015797. Although Plaintiff Cruz Rendon’s FOIA request has been pending
27 with CBP for 25 months, he has not received the requested information.
28

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1

69. Plaintiff Cruz Rendon wishes to apply to adjust his status to lawful

2 permanent resident. His wife is prepared to submit a visa petition on his behalf, a

3 necessary prerequisite to his filing an adjustment of status application with USCIS.
4 Plaintiff Cruz Rendon seeks the requested information to determine if he will be eligible
5
to adjust his status. 6

7

70. Plaintiff Urbina, through her attorney, filed a FOIA request with CBP on

8 October 21, 2013, seeking information regarding any interactions she may have had with

9 CBP officers from 1999 to the present. CBP did not issue a FOIA receipt. Although
10 Plaintiff Urbina’s FOIA request has been pending with CBP for 17 months, she has not
11 received the requested information.
12 71. Plaintiff Urbina has a United States citizen daughter, United States citizen
13 14 mother, and lawful permanent resident father. The requested information is necessary for
15 her attorney to assess her eligibility for immigration benefits.

16

72. Plaintiff Cruz Rojas, through his attorney, filed a FOIA request with CBP

17 on July 26, 2013, seeking information about any encounters he may have had with CBP

18 agents. CBP issued a receipt for his FOIA request, number CBP-2013-024525. Although

19 Plaintiff Cruz Rojas’ FOIA has been pending with CBP for 20 months, he has not received
20 the requested information.
21

22

73. Plaintiff Cruz Rojas has lived in the United States for 15 years and has

23 three U.S. citizen children, two U.S. citizen siblings, lawful permanent resident parents

24 and sibling, and U.S. citizen in-laws. The requested information is necessary for his
25 attorney to assess his eligibility for immigration benefits.
26 74. Plaintiff Calderon Ruiz, through her attorney, filed a FOIA request with
27 CBP on June 26, 2013, inquiring as to any records issued by CBP in approximately 1993
28

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Case No. CV 15-01181-JD

16

Case 3:15-cv-01181-JD Document 22 Filed 04/22/15 Page 19 of 26

1 in San Ysidro, California. CBP issued a receipt for this FOIA request, number CBP-2013-
2 021129. Although her FOIA request has been pending with CBP for 19 months, she has
3 not yet received the requested information.
4 75. Plaintiff Calderon Ruiz has resided in the United States since
5 approximately 1993 and is married to a United States citizen. She has three United States
6 7 citizen children. Her attorney seeks a response to the FOIA request to determine whether
8 Plaintiff Calderon Ruiz’s husband may file a visa petition on her behalf and whether she

9 can apply for lawful permanent residence.

10

76. Plaintiff Lucero Ramirez, through her attorney, filed a FOIA request with

11 CBP on August 7, 2014, inquiring as to any CBP records evidencing an order of expedited
12 removal. CBP issued a receipt for the FOIA, number CBP-2014-041050. Although her
13

14 FOIA request has been pending for 8 months, she has not yet received the requested

15 records.

16

77. Plaintiff Lucero Ramirez is married to a United States citizen and has two

17 United States citizen children. Her attorney requires the requested information in order to
18 counsel Plaintiff Lucero Ramirez’s husband about filing a visa petition on her behalf, and 19
to counsel her about filing an application for lawful permanent residence. 20
78. Plaintiff Castor-Lara, through her attorney, filed a FOIA request with CBP 21 22 on October 28, 2014, requesting records regarding her date of entry into the United States
23 in order to determine if she is eligible to apply for lawful permanent resident status. CBP

24 issued a receipt for the FOIA, number CBP-OFO-2015-003774. Although her FOIA
25 request has been pending for 5 months, she has not received a response.
26 79. Plaintiff Castor-Lara is married to a lawful permanent resident with a
27 pending application for naturalization. She has resided in the United States for 12 years
28

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Case No. CV 15-01181-JD

17

Case 3:15-cv-01181-JD Document 22 Filed 04/22/15 Page 20 of 26

1 and has three United States citizen children. She requires information from CBP in order
2 for her attorney to determine if she may apply for lawful permanent resident status once
3 her husband becomes a U.S. citizen.
4 80. Plaintiff Gonzalez-Ordonez, through her attorney, filed a FOIA request
5 with CBP on April 14, 2014, seeking information about any entries into the United States
6 7 she may have made. CBP issued a receipt for her FOIA request, number
8 CBP2014021792. Although Plaintiff Gonzalez-Ordonez ’s FOIA request has been

9 pending with CBP for 12 months, she has not received the requested information.

10

81. Plaintiff Gonzalez-Ordonez is married to a United States citizen. The

11 requested information is necessary for her attorney to determine if she is eligible for any
12 immigration benefit.
13

14

82. Plaintiff Pichardo-Delgado, through his attorney, filed a FOIA request

15 with CBP on July 18, 2014, seeking information about his interactions with CBP when he

16 first attempted to enter the United States 10 to 12 years ago. CBP issued a receipt for his

17 FOIA request, number CBP-2014-037520. Although Plaintiff Pichardo-Delgado’s FOIA
18 request has been pending with CBP for approximately 9 months, he has not received the 19
requested information. 20
83. Plaintiff Pichardo-Delgado is married to a United States citizen. He and 21 22 his wife have two children, who also are United States citizens. They also live with his
23 two United States stepchildren. The requested information is necessary for his attorney to

24 determine if he is eligible for lawful permanent residence.

25

84. Plaintiff Asrali, through his attorney, filed a FOIA request with CBP on

26 May 12, 2014, seeking information about any entries he made into the United States and
27 copies of any CBP forms documenting these entries. CBP issued a receipt for his FOIA
28

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Case 3:15-cv-01181-JD Document 22 Filed 04/22/15 Page 21 of 26

1 request, number CBP-2014-026336. Although Plaintiff Asrali’s FOIA request has been

2 pending with CBP for 11 months, he has not received the requested information.
3 85. Plaintiff Asrali has been living in the United States for 25 years. His sister
4 and his brother are applicants for lawful permanent residency. The requested information
5 is necessary for his attorney to determine if he is eligible to apply for any immigration
6
7 benefit.

8

86. On March 12, 2015, Plaintiffs filed the initial complaint in this action.

9 Santos Miguel Flores Aguilar, Emma Quezada, Maico Montoya-Arellano, and Noe
10 Zaragoza-Quiroz were previously named as plaintiffs in addition to current Plaintiffs
11 Meredith R. Brown, Kelly Ryan, Jeri Flynn, Isidro De Jesus Rodriguez Sanchez, Nelida
12 Ornelas Renteria, Manuel Cruz Rendon, Orlanda Urbina, Juan De Dios Cruz Rojas, Maria
13 14 De Jesus Calderon Ruiz, and Cristina Lucero Ramirez. After the filing of the March 12,
15 2015 complaint, CBP issued responses to the FOIA requests for Plaintiffs Flores Aguilar,

16 Quezada, Montoya-Arellano, and Zaragoza-Quiroz. FOIA requests for these four

17 plaintiffs had been pending before CBP for between one year and 23 months when the
18 lawsuit was filed. On information and belief, this litigation prompted CBP to issue 19
responses to these plaintiffs. 20
87. This First Amended Complaint includes additional plaintiffs, including 21 22 attorneys Rodriguez-Choi and Cannon, as well as noncitizen plaintiffs Dominguez Cobos,
23 Castor-Lara, Escobedo, Gonzalez-Ordenez, Pichardo-Delgado, and Asrali,

24

25

26

27

28

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Case 3:15-cv-01181-JD Document 22 Filed 04/22/15 Page 22 of 26

1

CLASS ACTION ALLEGATIONS

2

88. Pursuant to Federal Rules of Civil Procedure 23(a) and (b), Plaintiffs bring

3 this action on behalf of themselves and all other similarly situated individuals. Plaintiffs
4 seek injunctive relief that applies generally to the Proposed Class, as described below.
5
89. The Proposed Class consists of: 6

7

All individuals who have filed FOIA requests with CBP which have been pending

for more than 20 business days, and all individuals who will file FOIA requests

8

with CBP that will remain pending for more than 20 business days.

9

90. The Proposed Class is so numerous that joinder of all members is

10 impracticable. The number of individuals who filed FOIA requests with CBP is not
11 known with precision by Plaintiffs, but is easily ascertainable by Defendant. DHS’ 2014
12 FOIA Annual Report indicates that there were 34,307 pending requests in the CBP
13
14 backlog. Of that group, it is unknown how many requests are still pending. Hence,

15 Plaintiffs estimate that the number of requests pending for more than 20 business days is

16 in the thousands.

17

91. Common questions of law and fact bind the members of the Proposed

18 Class. These include, but are not limited to: whether CBP’s pattern or practice of failing

19 to timely respond to FOIA requests within the 20-day statutory period violates the FOIA,
20 5 U.S.C. § 552(a)(6)(A)(i).
21

22

92. The claims of the named Plaintiffs are typical of the claims of the

23 Proposed Class as a whole.

24

93. Plaintiffs know of no conflict between their interests and those of the

25 Proposed Class. The members of the Proposed Class are ascertainable and identifiable
26 through notice and discovery. In defending their own rights, the individual Plaintiffs will
27 defend the rights of all class members fairly and adequately.
28

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Case 3:15-cv-01181-JD Document 22 Filed 04/22/15 Page 23 of 26

1

94. Plaintiffs are represented in this case by counsel with deep knowledge of

2 immigration and FOIA law, and extensive experience litigating class actions and complex
3 cases. Plaintiffs’ attorneys have the requisite level of expertise to adequately prosecute this
4 case on their behalf and on behalf of the Proposed Class.
5 95. Defendants have failed to act on grounds generally applicable to each
6
7 member of the Proposed Class by failing to respond to FOIA requests in a timely fashion.

8

96. A class action is superior to other methods available for the fair and

9 efficient adjudication of this controversy because joinder of all members of the class is

10 impracticable.

11 CAUSES OF ACTION
12 COUNT ONE
13

14

(Violation of FOIA) (on behalf of named Plaintiffs and the Proposed Class)

15 97. Plaintiffs incorporate the allegations in the paragraphs above as though
16 fully set forth here.
17

18

98. Defendant is obligated under 5 U.S.C. § 552(a)(3) to conduct a reasonable

19 search for records responsive to FOIA requests and to issue a determination concerning

20 each request within the time period set forth in 5 U.S.C. § 552(a)(6)—20 working days, to

21 be extended by no more than 10 working days in the event that the agency notifies the
22 requester in writing of the existence of “unusual circumstances.” 23
99. Defendant has a nationwide pattern or practice of failing to respond to 24
FOIA requests within the statutory time period. No legal basis exists for the Defendant’s 25
26 nationwide pattern or practice of failing to meet the statutory deadline with respect to the
27 FOIA requests it receives.

28

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Case 3:15-cv-01181-JD Document 22 Filed 04/22/15 Page 24 of 26

1

100. Exceptional circumstances do not justify CBP’s delay in processing FOIA

2 requests, and CBP has not exercised due diligence in responding to and clearing the
3 backlog of pending FOIA requests.
4 101. Defendant has failed to respond to FOIA requests of Plaintiffs and
5 Proposed Class members, to make timely determinations concerning these requests, and to
6
7 disclose responsive records within the statutory time frame, in violation of 5 U.S.C. §§

8 552(a)(3) and (a)(6)(A) and the regulations promulgated thereunder.

9

102. Defendant’s failure to make determinations concerning Plaintiffs’ requests

10 for records within the statutory time period constitutes a constructive denial of Plaintiffs’
11 requests, and Plaintiffs are deemed to have exhausted their administrative remedies. 5
12 U.S.C. § 552(a)(6)(C)(i).
13

14

15

PRAYER FOR RELIEF

16 WHEREFORE, Plaintiffs pray that this Court grant the following relief:
17 (1) Certify a class pursuant to Federal Rule of Civil Procedure 23 in
18
accordance with this Complaint’s allegations; 19

20

(2) Declare that CBP’s failure to conduct reasonable and timely searches for

21

records responsive to Plaintiffs’ and Proposed Class members’ FOIA

22

requests and its refusal to disclose such records within the statutory time

23

frame violate the FOIA;

24 (3) Issue a nationwide injunction requiring Defendant to respond to CBP
25 FOIA requests that have been pending for more than 20 business days,
26
within 60 business days of the Court’s order or as the Court deems 27

28

appropriate;

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1

(4) Order CBP to respond to FOIA requests of Proposed Class members as

2

mandated by 5 U.S.C. § 552(a)(6)(A)(i);

3 (5) Award costs and reasonable attorney fees incurred under 5 U.S.C. §
4 552(a)(4)(E); and
5
(6) Grant such further relief as the Court deems just and proper. 6

7 Dated: April 22, 2015 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

Respectfully submitted,
Stacy Tolchin, (CA SBN 217431) Law Offices of Stacy Tolchin 634 S. Spring St., Suite 500A Los Angeles, CA 90014 Telephone: (213) 622-7450 Facsimile: (213) 622-7233 Email: Stacy@Tolchinimmigration.com
Matt Adams, WSBA No. 28287 (admitted pro hac vice) Northwest Immigrant Rights Project 615 Second Avenue, Suite 400 Seattle, WA 98104 Telephone: (206) 957-811 Email: matt@nwirp.org
Trina Realmuto (CA SBN 201088) National Immigration Project
of the National Lawyers Guild 14 Beacon St., Suite 602 Boston, MA 02108 Telephone: (617) 227-9727 ext. 8 Facsimile: (617) 227-5495 Email: trina@nipnlg.org
Mary Kenney (WV Bar 2011) Melissa Crow (DC Bar 453487) (admitted pro hac vice) American Immigration Council 1331 G Street NW, Suite 200 Washington, DC 20005 Telephone: (202) 507-7522 Facsimile: (202) 742-5619 (fax) Email: mkenney@immcouncil.org

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1

Counsel for Plaintiffs

2

3

By: s/Stacy Tolchin

Stacy Tolchin

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

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25

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First Amended FOIA Complaint for Declaratory and Inj. Relief

Case No. CV 15-01181-JD

24

 
 1

2

3

4

UNITED STATES DISTRICT COURT

5

NORTHERN DISTRICT OF CALIFORNIA

6
MEREDITH R. BROWN, et al., 7
Plaintiffs, 8
v. 9
U.S. CUSTOMS AND BORDER 10 PROTECTION, et al.,

11

Defendants.

Case No. 15-cv-01181-JD
ORDER DENYING MOTION TO DISMISS Re: Dkt. No. 26

United States District Court Northern District of California

12

13

Plaintiffs submitted Freedom of Information Act (“FOIA”) requests to defendants United

14 States Customs and Border Protection and Department of Homeland Security (together, “CBP”)

15 that have gone unanswered far beyond the deadline Congress mandated. They allege a single

16 claim in this putative class action: CBP has violated FOIA by engaging in a pattern and practice

17 of failing to respond to FOIA requests within the statutory timeline. Dkt. No. 22. Defendants

18 move to dismiss the complaint for failure to state a claim and for lack of standing. Dkt. No. 26.

19 The Court denies the motion.

20

BACKGROUND

21

As alleged in the complaint, CBP is responsible for generating and maintaining records

22 about individuals seeking entry into the United States. First Amended Complaint, Dkt. No. 22 at

23 ¶¶ 30, 43-46. It has the authority to admit or exclude individuals, parole noncitizens into the US,

24 and issue expedited removal orders or permit them to withdraw applications for admission. Id. at

25 ¶ 30. CBP’s records are critical to noncitizens and their attorneys in evaluating immigration

26 options and the possibility of remaining legally in the United States. Id. at ¶¶ 7, 43-46. The

27 records are often the only evidence noncitizens have to show that they entered this country legally

28 and may be eligible for lawful residency status or other immigration relief. Id. at ¶¶ 43-46. As

1 plaintiffs allege:

2

to adjust to lawful permanent resident status, a noncitizen must

3

document that he or she was “inspected and admitted or paroled”

into the United States. 8 U.S.C. § 1255(a). At all U.S. ports of

4

entry, CBP is the agency responsible for determining who is to be

admitted or paroled into the United States. CBP maintains records

5

of many of the admission and parole decisions it makes with respect

to noncitizens. In many adjustment of status cases, these records are

6

the only evidence that the applicant can produce to demonstrate that

he or she was admitted or paroled and therefore eligible for lawful

7

permanent resident status.

8 Id. at ¶ 43. Consequently, CBP records are often dispositive evidence in immigration cases, and

9 delays in getting the records leave noncitizens and their lawyers “in legal limbo” that inflicts

10 substantial hardship and distress. Id. at ¶ 7.

11

Plaintiffs are five immigration attorneys who regularly file FOIA requests on behalf of

United States District Court Northern District of California

12 their clients, and thirteen noncitizens who have filed FOIA requests as part of their efforts to

13 remain legally in the United States. Id. at ¶¶ 47 et seq. They allege that CBP has failed to answer

14 the requests in a timely manner and that some of them have waited for one year or more without a

15 response. See, e.g., id. at ¶¶ 49, 55, 61, 64, 66, 68. CBP does not seriously dispute that it has

16 failed to respond to plaintiffs’ FOIA requests within the statutory timelines. See, e.g., Dkt. No. 29

17 at 2 n.1. Plaintiffs also allege that CBP’s FOIA backlog -- the number of requests that have gone

18 unanswered past the statutory deadline -- has swelled over the last few years and will require

19 almost 10 years to zero out at the current pace. Id. at ¶¶ 33-38. Plaintiffs seek to represent a class

20 of “[a]ll individuals who have filed FOIA requests with CBP which have been pending for more

21 than 20 business days, and all individuals who will file FOIA requests with CBP” and experience

22 similar delay. Id. at ¶ 89. The single claim is for a pattern and practice of violating FOIA’s

23 response timeline. Id. at ¶¶ 98-102.

24

DISCUSSION

25 I. 26

STANDARDS A complaint may survive a Rule 12(b)(6) motion to dismiss if it alleges “enough facts to

27 state a claim to relief that is plausible on its face.” Bell Atl. Corp. v. Twombly, 550 U.S. 544, 570

28 (2007). “A claim has facial plausibility when the plaintiff pleads factual content that allows the 2

1 court to draw the reasonable inference that the defendant is liable for the misconduct alleged.”

2 Ashcroft v. Iqbal, 556 U.S. 662, 678 (2009) (citing Twombly, 550 U.S. at 556). In evaluating a

3 motion to dismiss, the Court must assume that the plaintiff’s allegations are true and must draw all

4 reasonable inferences in his or her favor. Usher v. City of Los Angeles, 828 F.2d 556, 561 (9th

5 Cir. 1987). But the Court need not “‘accept as true allegations that are merely conclusory,

6 unwarranted deductions of fact, or unreasonable inferences.’” In re Gilead Scis. Sec. Litig., 536

7 F.3d 1049, 1055 (9th Cir. 2008) (quoting Sprewell v. Golden State Warriors, 266 F.3d 979, 988

8 (9th Cir. 2001)). CBP’s facial attack on the complaint under 12(b)(1) is evaluated using the same

9 standards. Terenkian v. Republic of Iraq, 694 F.3d 1122, 1131 (9th Cir. 2012).

10 II. THE FOIA CLAIM

11

The main thrust of CBP’s motion to dismiss is that violation of the FOIA response

United States District Court Northern District of California

12 deadline is not a cognizable claim. Dkt. No. 26 at 3-8. This argument flies in the face of FOIA’s

13 plain meaning and several cases finding that unexcused delay is a perfectly valid claim.

14

The statutory setting is straightforward. “The basic purpose of FOIA is to ensure an

15 informed citizenry, vital to the functioning of a democratic society, needed to check against

16 corruption and to hold the governors accountable to the governed.” N.L.R.B. v. Robbins Tire &

17 Rubber Co., 437 U.S. 214, 242 (1978). To that end, Congress mandated that an agency receiving

18 a FOIA request has 20 business days to make a “determination” about whether to comply with the

19 request. 5 U.S.C. § 552(a)(6)(A)(i). The agency can extend that 20-day timeline by 10 days to 30

20 business days if “unusual circumstances” warrant additional time. Id. § 552(a)(6)(B)(i). Unusual

21 circumstances involve complications such as the need to search for documents in multiple

22 facilities, “a voluminous amount of separate and distinct records” for a single request, or the need

23 to consult with another agency. Id. § 552(a)(6)(B)(iii). “If the agency does not make a

24 ‘determination’ within the relevant statutory time period, the requester may file suit without

25 exhausting administrative appeal remedies.” Citizens for Responsibility and Ethics in Wash. v.

26 Fed. Election Comm’n, 711 F.3d 180, 185 (D.C. Cir. 2013) (hereinafter “CREW”).

27

Once a lawsuit is filed, “FOIA imposes no limits on courts’ equitable powers in enforcing

28 its terms.” Payne Enterprises, Inc. v. United States, 837 F.2d 486, 494 (D.C. Cir. 1988) (citing 3

1 Renegotiation Bd. v. Bannercraft Clothing Co., 415 U.S. 1, 19-20 (1974)); see also 5 U.S.C. §

2 552(a)(4)(B) (district courts authorized to “enjoin the agency from withholding agency records

3 and to order the production of any agency records improperly withheld from the complainant”).

4 An agency may seek additional time from the court to respond to a request if it demonstrates

5 “exceptional circumstances,” which are different from the “unusual circumstances” defined in the

6 statute. CREW, 711 F.3d at 185; see also 5 U.S.C. § 552(a)(6)(C)(i). But as FOIA states,

7 “‘exceptional circumstances’ does not include a delay that results from a predictable agency

8 workload of requests under this section, unless the agency demonstrates reasonable progress in

9 reducing its backlog of pending requests.” 5 U.S.C. § 552(a)(6)(C)(ii).

10

The government says that the case should be dismissed because an agency’s failure to meet

11 the response deadline is not an actionable violation of FOIA. Dkt. No. 26 at 4. That argument is

United States District Court Northern District of California

12 wholly at odds with the statute and cases construing it. FOIA’s intended purpose is to assure

13 timely public access to governmental information and records. As Congress stated,

14 “‘[i]nformation is often useful only if it is timely. Thus, excessive delay by the agency in its

15 response is often tantamount to denial.’” Gilmore v. U.S. Dep’t of Energy, 33 F. Supp. 2d 1184,

16 1187 (N.D. Cal. 1998) (quoting H. Rep. No. 876, 93d Cong., 2d Sess. (1974) (discussing “the

17 intent of this bill that the affected agencies be required to respond to inquiries and administrative

18 appeals within specific time limits”)). The denial of access to government records in a timely

19 fashion is precisely the harm FOIA is intended to prevent.

20

Consequently, courts have repeatedly found that an agency’s failure to respond to a FOIA

21 request within the statutory time limits violates FOIA and allows the aggrieved party to sue. See,

22 e.g., Payne, 837 F.2d at 494 (“[W]e agree with the holding of the Ninth Circuit in Long” that

23 “‘unreasonable delays in disclosing non-exempt documents violate the intent and purpose of the

24 FOIA, and the courts have a duty to prevent these abuses.’”) (quoting Long v. IRS, 693 F.2d 907,

25 910 (9th Cir. 1982)); Our Children’s Earth Found. v. Nat’l Marine Fisheries Serv., Nos. 14–4365

26 SC and 14–1130 SC, 2015 WL 4452136, at *7 (N.D. Cal. July 20, 2015) (“‘an agency’s failure to

27 comply with the FOIA’s time limits is, by itself, a violation of the FOIA’”) (quoting Gilmore, 33

28 F. Supp. 2d at 1187); S. Yuba River Citizens League v. Nat’l Marine Fisheries Serv., No. CIV. S4

1 06-2845 LKK/JFM, 2008 WL 2523819, at *5 (E.D. Cal. June 20, 2008) (same). While these

2 holdings arise specifically under FOIA, they reflect the general principle that a person suffers an

3 injury redressable in court when denied information that must, pursuant to a statute, be disclosed.

4 See Akebia Therapeutics Inc. v. FibroGen, Inc., 793 F.3d 1108, 1111 (9th Cir. 2015) (citing Fed.

5 Elections Comm’n v. Akins, 524 U.S. 11, 21 (1998)).

6

CBP’s response to these dispositive holdings could not be less persuasive. The

7 government grudgingly acknowledges that “[s]ome Northern District of California decisions have

8 recognized claims for delay in responding to FOIA requests” -- which of course overlooks the

9 decisions outside this District that reach the same conclusion -- but urges the Court to discount

10 them because they pre-date the District of Columbia Circuit opinion in CREW. Dkt. No. 26 at 6

11 n.6; see also id. at 5-7. In the government’s view, CREW undercuts these cases because it holds

United States District Court Northern District of California

12 that the failure to meet FOIA’s deadlines has no legal consequence other than “an agency’s

13 forfeiture of the exhaustion of administrative remedies defense.” Id. at 6 n.6.

14

This argument is tantamount to a willful misreading of CREW. The case says nothing at

15 all about the vitality of a FOIA claim based on a violation of the response deadline. The sole

16 “question presented” in CREW “concerns when a FOIA requester must exhaust administrative

17 appeal remedies before filing suit.” 711 F.3d at 184. CREW held that when an agency fails to

18 respond to a FOIA request within the statutory timeline, it cannot invoke an administrative

19 exhaustion argument to keep cases out of court. Id. at 189-90; see also Our Children’s Earth

20 Found. v. Nat’l Marine Fisheries Serv., No. 14–1130 SC, 2015 WL 1458156, at *9 (N.D. Cal.

21 Mar. 30, 2015) (CREW addresses only the question of when a FOIA requester can sue). This

22 holding is not remotely germane to the government’s argument here that plaintiffs cannot plead a

23 FOIA violation based on delay. CBP concedes that exhaustion is not an issue in this case -- it

24 makes no suggestion that the plaintiffs were required to seek administrative relief before filing

25 suit. See, e.g., Dkt. No. 26 at 8 (suggesting “individual” lawsuits as an “adequate remedy” for the

26 plaintiffs). The lack of any argument about exhaustion severs any possible connection to CREW.

27 If anything, the tea leaves the government strains to read in CREW suggest that an untimely

28 response is a breach of FOIA’s requirements. See 711 F.3d at 186 (noting FOIA “requires” a 5

1 response “within the relevant time period”).

2

CBP attacks the complaint on a few ancillary grounds that are equally misdirected. For

3 example, in a variation on the theme that FOIA does not allow suit over inaction, CBP contends

4 that a FOIA claim may be predicated only on the “withholding of documents.” See, e.g., Dkt. No.

5 26 at 4. This argument is poorly taken. It founders on the case law described above that permits a

6 claim based on delay, and requires an interpretation of “withholding” that makes little sense. CBP

7 appears to believe that an actionable “withholding” occurs only when an agency locates

8 documents and refuses to produce them. But it points to nothing in the statute or a decision that

9 supports such a restrictive definition, and simply disregards the reality that failing to respond to a

10 FOIA request is as much a withholding as intentionally locking away responsive information.

11 See, e.g., Gilmore, 33 F. Supp. 2d at 1186-87.

United States District Court Northern District of California

12

CBP also contends that plaintiffs cannot sue on a pattern and practice of FOIA delays.

13 Relying mainly on the District of Columbia Circuit opinion in Payne, CBP says that a pattern and

14 practice claim requires specific allegations of future harm and that a plaintiff has standing to bring

15 that claim only when actual or imminent future harm is alleged. Dkt. No. 26 at 8-12.

16

Once again, CBP’s position is bereft of support. It does not cite a single case holding that

17 specific allegations of futurity are essential to a pattern and practice claim or standing under FOIA.

18 To the contrary, several cases have allowed pattern and practice claims for unreasonable delay --

19 and recognized a plaintiff’s standing to bring them -- “even where the plaintiff’s FOIA request had

20 already been resolved.” Gilmore, 33 F. Supp. 2d at 1186 (and cases cited therein). In Payne itself,

21 the case on which CBP hangs its hat, the court sustained a claim for undue delay despite the fact

22 that the agency had released the specific documents that prompted the lawsuit. Payne, 837 F.2d at

23 491. And even if allegations of future harm were required, plaintiffs have stated enough facts to

24 infer it here. Plaintiffs include several immigration attorneys, some of whom have practiced for

25 decades, who “regularly file[]” FOIA requests on behalf of their clients. See Dkt. No. 22 at ¶¶ 48,

26 51, 54, 57, 60. It is more than plausible to infer that they will continue to make regular FOIA

27 requests for the CBP documents that are critical for their work, and continue to experience

28 improper delays. 6

1

As a final challenge, CBP contends that the case should be dismissed because plaintiffs do

2 not identify a “discrete policy or practice” behind the delayed responses. See Dkt. No. 26 at 12-

3 15. This argument is also ill considered. None of the cases CBP cites require that a plaintiff name

4 a specific policy at the pleading stage to maintain a FOIA “pattern or practice” claim. To the

5 contrary, the District of Columbia Circuit has indicated that any agency’s practice of delayed

6 disclosure may be challenged when it is “informal, rather than articulated in regulations or an

7 official statement of policy.” Payne, 837 F.2d at 491. CBP’s argument also misconstrues the

8 pleading standards plaintiffs need to meet. Rule 8 requires only that the complaint provide “a

9 short and plain statement of the claim showing the pleader is entitled to relief.” Fed. R. Civ. P.

10 8(a)(2). It does not require a detailed recitation of policy chapter and verse to survive a Rule

11 12(b)(6) challenge. The complaint here describes a longstanding and pervasive practice of

United States District Court Northern District of California

12 unreasonable delay in CBP’s response to FOIA requests. That amply satisfies Rule 8.

13

CONCLUSION

14

Plaintiffs have adequately alleged a FOIA violation. Defendants should file an answer to

15 the complaint within 10 days of this order.

16

IT IS SO ORDERED.

17 Dated: September 17, 2015

18

19

________________________

JAMES DONATO

20

United States District Judge

21

22

23

24

25

26

27

28 7

 
 Case 3:15-cv-01181-JD Document 66 Filed 09/30/16 Page 1 of 3

IN THE UNITED STATES DISTRICT COURT

FOR THE NORTHERN DISTRICT OF CALIFORNIA

SAN FRANCISCO / OAKLAND DIVISION

MEREDITH R. BROWN, et al., Plaintiffs,
v. UNITED STATES CUSTOMS AND BORDER PROTECTION, et al.,
Defendants.

) ) Case No.: 15-cv-01181-JD ) ) ) JOINT STIPULATION OF DISMISSAL ) AND [PROPOSED] ORDER ) ) ) ) ) ) ) ) )

IT IS HEREBY STIPULATED AND AGREED, by and between the parties, that this action shall be dismissed with prejudice pursuant to Federal Rule of Civil Procedure 41(a)(1)(A)(ii).

DATED: September 30, 2016

Respectfully submitted,
/s/ Stacy Tolchin STACY TOLCHIN (CA SBN 217431) Law Offices of Stacy Tolchin 634 S. Spring St., Suite 500A Los Angeles, CA 90014 Telephone: (213) 622-7450 Facsimile: (213) 622-7233 stacy@tolchinimmigration.com

JOINT STIPULATION OF DISMISSAL CASE NO. 3:15-CV-01181-JD
1

Case 3:15-cv-01181-JD Document 66 Filed 09/30/16 Page 2 of 3
MATT ADAMS, WSBA No. 28287* Northwest Immigrant Rights Project 615 Second Avenue, Suite 400 Seattle, WA 98104 Telephone: (206) 957-811 matt@nwirp.org
TRINA REALMUTO (CA SBN 201088) National Immigration Project Of the National Lawyers Guild 14 Beacon St., Suite 602 Boston, MA 02108 Telephone: (617) 227-9727 ext. 8 trina@nipnlg.org
MARY KENNEY (WV Bar 2011)* MELISSA CROW (DC Bar 453487)* American Immigration Council 1331 G Street NW, Suite 200 Washington, DC 20005 Telephone: (202) 507-7522 Facsimile: (202) 742-5617 mkenney@immcouncil.org
Counsel for Plaintiffs

JOINT STIPULATION OF DISMISSAL CASE NO. 3:15-CV-01181-JD

BENJAMIN C. MIZER Principal Deputy Assistant Attorney General
ELIZABETH J. SHAPIRO Deputy Director, Federal Programs Branch
/s/ Emily B. Nestler EMILY B. NESTLER D.C. Bar #973886 Trial Attorney U.S. Department of Justice Civil Division, Federal Programs Branch 20 Massachusetts Avenue NW Washington, D.C. 20530 Telephone: (202) 616-8489 Facsimile: (202) 616-8470 emily.b.nestler@usdoj.gov Counsel for Defendants
2

Case 3:15-cv-01181-JD Document 66 Filed 09/30/16 Page 3 of 3

[PROPOSED] ORDER The parties having so stipulated and agreed, it is hereby SO ORDERED. The abovereferenced case is hereby DISMISSED with prejudice.

Date: 2FWREHU

____________________ JAMES DONATO United States District Judge

JOINT STIPULATION OF DISMISSAL CASE NO. 3:15-CV-01181-JD
3

 
 Case: 3:15-cv-1181 As of: 01/15/2017 01:59 PM PST 1 of 13
ADRMOP,CLOSED,PROTO,REFSET−JSC,STAYED
U.S. District Court California Northern District (San Francisco) CIVIL DOCKET FOR CASE #: 3:15−cv−01181−JD

Brown et al v. Customs and Border Protection Assigned to: Hon. James Donato Referred to: Magistrate Judge Jacqueline Scott Corley (Settlement) Cause: 05:552 Freedom of Information Act
Plaintiff

Date Filed: 03/12/2015 Date Terminated: 10/03/2016 Jury Demand: None Nature of Suit: 895 Freedom of Information Act Jurisdiction: U.S. Government Defendant

Meredith R Brown

represented by Mary A Kenney American Immigration Council 1331 G St. NW Suite 200 Washington, DC 20005 202−507−7512 Fax: 202−742−5619 Email: mkenney@immcouncil.org ATTORNEY TO BE NOTICED

Matthew Hyrum Adams Northwest Immigrant Rights Project 615 Second Ave., Ste. 400 Seattle, WA 98104 206−957−8611 Fax: 206−587−4025 Email: matt@nwirp.org PRO HAC VICE ATTORNEY TO BE NOTICED

Melissa E Crow American Immigration Council 1331 G St. NW Suite 200 Washington, DC 20005 202−507−7523 Fax: 202−742−5619 Email: mcrow@immcouncil.org ATTORNEY TO BE NOTICED

Trina Ann Realmuto National Immigration Project of the National Lawyers Guiild 14 Beacon Street Suite 602 Boston, MA 02108 617−227−9727 Fax: 617−227−5495 Email: trina@nipnlg.org ATTORNEY TO BE NOTICED

Stacy Eva Tolchin Law Offices of Stacy Tolchin 634 S. Spring St. Suite 500A Los Angeles, CA 94104 213−622−7450 Fax: 213−622−7233 Email: stacy@tolchinimmigration.com ATTORNEY TO BE NOTICED

Case: 3:15-cv-1181 As of: 01/15/2017 01:59 PM PST 2 of 13

Plaintiff Kelly Ryan
Plaintiff Jeri Flynn
Plaintiff Isidro de Jesus RODRIGUEZ SANCHEZ

represented by Mary A Kenney (See above for address) ATTORNEY TO BE NOTICED
Matthew Hyrum Adams (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Melissa E Crow (See above for address) ATTORNEY TO BE NOTICED
Trina Ann Realmuto (See above for address) ATTORNEY TO BE NOTICED
Stacy Eva Tolchin (See above for address) ATTORNEY TO BE NOTICED
represented by Mary A Kenney (See above for address) ATTORNEY TO BE NOTICED
Matthew Hyrum Adams (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Melissa E Crow (See above for address) ATTORNEY TO BE NOTICED
Trina Ann Realmuto (See above for address) ATTORNEY TO BE NOTICED
Stacy Eva Tolchin (See above for address) ATTORNEY TO BE NOTICED
represented by Mary A Kenney (See above for address) ATTORNEY TO BE NOTICED
Matthew Hyrum Adams (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED
Melissa E Crow (See above for address) ATTORNEY TO BE NOTICED
Trina Ann Realmuto (See above for address) ATTORNEY TO BE NOTICED

Case: 3:15-cv-1181 As of: 01/15/2017 01:59 PM PST 3 of 13

Stacy Eva Tolchin (See above for address) ATTORNEY TO BE NOTICED

Plaintiff Nelida ORNELAS RENTERIA

represented by Mary A Kenney (See above for address) ATTORNEY TO BE NOTICED

Matthew Hyrum Adams (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Melissa E Crow (See above for address) ATTORNEY TO BE NOTICED

Trina Ann Realmuto (See above for address) ATTORNEY TO BE NOTICED

Stacy Eva Tolchin (See above for address) ATTORNEY TO BE NOTICED

Plaintiff Santos Miguel FLORES AGUILAR

represented by Mary A Kenney (See above for address) ATTORNEY TO BE NOTICED

Matthew Hyrum Adams (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Melissa E Crow (See above for address) ATTORNEY TO BE NOTICED

Trina Ann Realmuto (See above for address) ATTORNEY TO BE NOTICED

Stacy Eva Tolchin (See above for address) ATTORNEY TO BE NOTICED

Plaintiff Emma QUEZADA

represented by Mary A Kenney (See above for address) ATTORNEY TO BE NOTICED

Matthew Hyrum Adams (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Melissa E Crow (See above for address) ATTORNEY TO BE NOTICED

Trina Ann Realmuto

Case: 3:15-cv-1181 As of: 01/15/2017 01:59 PM PST 4 of 13

(See above for address) ATTORNEY TO BE NOTICED

Stacy Eva Tolchin (See above for address) ATTORNEY TO BE NOTICED

Plaintiff Manuel CRUZ RENDON

represented by Mary A Kenney (See above for address) ATTORNEY TO BE NOTICED

Matthew Hyrum Adams (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Melissa E Crow (See above for address) ATTORNEY TO BE NOTICED

Trina Ann Realmuto (See above for address) ATTORNEY TO BE NOTICED

Stacy Eva Tolchin (See above for address) ATTORNEY TO BE NOTICED

Plaintiff Orlanda URBINA

represented by Mary A Kenney (See above for address) ATTORNEY TO BE NOTICED

Matthew Hyrum Adams (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Melissa E Crow (See above for address) ATTORNEY TO BE NOTICED

Trina Ann Realmuto (See above for address) ATTORNEY TO BE NOTICED

Stacy Eva Tolchin (See above for address) ATTORNEY TO BE NOTICED

Plaintiff Juan de DIOS CRUZ ROJAS

represented by Mary A Kenney (See above for address) ATTORNEY TO BE NOTICED

Matthew Hyrum Adams (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Melissa E Crow (See above for address)

Case: 3:15-cv-1181 As of: 01/15/2017 01:59 PM PST 5 of 13

ATTORNEY TO BE NOTICED

Trina Ann Realmuto (See above for address) ATTORNEY TO BE NOTICED

Stacy Eva Tolchin (See above for address) ATTORNEY TO BE NOTICED

Plaintiff Maria de Jesus CALDERON RUIZ

represented by Mary A Kenney (See above for address) ATTORNEY TO BE NOTICED

Matthew Hyrum Adams (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Melissa E Crow (See above for address) ATTORNEY TO BE NOTICED

Trina Ann Realmuto (See above for address) ATTORNEY TO BE NOTICED

Stacy Eva Tolchin (See above for address) ATTORNEY TO BE NOTICED

Plaintiff Cristina Lucero RAMIREZ

represented by Mary A Kenney (See above for address) ATTORNEY TO BE NOTICED

Matthew Hyrum Adams (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Melissa E Crow (See above for address) ATTORNEY TO BE NOTICED

Trina Ann Realmuto (See above for address) ATTORNEY TO BE NOTICED

Stacy Eva Tolchin (See above for address) ATTORNEY TO BE NOTICED

Plaintiff Noe ZARAGOZA−QUIROZ

represented by Mary A Kenney (See above for address) ATTORNEY TO BE NOTICED

Matthew Hyrum Adams (See above for address) PRO HAC VICE ATTORNEY TO BE NOTICED

Case: 3:15-cv-1181 As of: 01/15/2017 01:59 PM PST 6 of 13

Plaintiff Maico MONTOYA−ARELLANO

Melissa E Crow (See above for address) ATTORNEY TO BE NOTICED
Trina Ann Realmuto (See above for address) ATTORNEY TO BE NOTICED
Stacy Eva Tolchin (See above for address) ATTORNEY TO BE NOTICED
represented by Mary A Kenney (See above for address) ATTORNEY TO BE NOTICED
Matthew Hyrum Adams (See above for address) ATTORNEY TO BE NOTICED
Melissa E Crow (See above for address) ATTORNEY TO BE NOTICED
Trina Ann Realmuto (See above for address) ATTORNEY TO BE NOTICED
Stacy Eva Tolchin (See above for address) ATTORNEY TO BE NOTICED

V. Defendant U.S. Customs and Border Protection
Defendant Department of Homeland Security

represented by Emily B. Nestler United States Department of Justice Civil Division, Federal Programs Branch 20 Massachusetts Avenue, NW Washington, DC 20530 202−616−8489 Fax: 202−616−8470 Email: emily.b.nestler@usdoj.gov LEAD ATTORNEY ATTORNEY TO BE NOTICED
represented by Emily B. Nestler (See above for address) LEAD ATTORNEY ATTORNEY TO BE NOTICED

Date Filed 03/12/2015

# Docket Text
1 Class Action COMPLAINT against All Defendants (Filing fee $ 400, receipt number 0971−9355475). Filed by Santos Miguel FLORES AGUILAR, Maria de Jesus CALDERON RUIZ, Flynn Jeri, Emma QUEZADA, Orlanda URBINA, Kelly Ryan, Cristina Lucero RAMIREZ, Maico MONTOYA−ARELLANO, Manuel CRUZ RENDON, Meredith R Brown, Isidro de Jesus RODRIGUEZ SANCHEZ, Juan de

Case: 3:15-cv-1181 As of: 01/15/2017 01:59 PM PST 7 of 13

03/12/2015 03/12/2015 03/12/2015
03/12/2015
03/12/2015 03/12/2015 03/13/2015 03/13/2015
03/13/2015 03/18/2015

DIOS CRUZ ROJAS, Noe ZARAGOZA−QUIROZ, Nelida ORNELAS RENTERIA. (Attachments: # 1 Declaration Exhs in Support)(Tolchin, Stacy) (Filed on 3/12/2015) Modified on 3/12/2015 (cjlS, COURT STAFF). (Entered: 03/12/2015)
2 Civil Cover Sheet by Meredith R Brown, Maria de Jesus CALDERON RUIZ, Manuel CRUZ RENDON, Santos Miguel FLORES AGUILAR, Flynn Jeri, Maico MONTOYA−ARELLANO, Nelida ORNELAS RENTERIA, Emma QUEZADA, Cristina Lucero RAMIREZ, Isidro de Jesus RODRIGUEZ SANCHEZ, Kelly Ryan, Orlanda URBINA, Noe ZARAGOZA−QUIROZ, Juan de DIOS CRUZ ROJAS . (Attachments: # 1 Exhibit)(Tolchin, Stacy) (Filed on 3/12/2015) (Entered: 03/12/2015)
3 Proposed Summons. (Tolchin, Stacy) (Filed on 3/12/2015) (Entered: 03/12/2015)
4 Case assigned to Magistrate Judge Kandis A. Westmore.
Counsel for plaintiff or the removing party is responsible for serving the Complaint or Notice of Removal, Summons and the assigned judge's standing orders and all other new case documents upon the opposing parties. For information, visit E−Filing A New Civil Case at http://cand.uscourts.gov/ecf/caseopening.
Standing orders can be downloaded from the court's web page at www.cand.uscourts.gov/judges. Upon receipt, the summons will be issued and returned electronically. Counsel is required to send chambers a copy of the initiating documents pursuant to L.R. 5−1(e)(7). A scheduling order will be sent by Notice of Electronic Filing (NEF) within two business days. (cjlS, COURT STAFF) (Filed on 3/12/2015) (Entered: 03/12/2015)
5 CONSENT/DECLINATION to Proceed Before a US Magistrate Judge by Meredith R Brown, Maria de Jesus CALDERON RUIZ, Manuel CRUZ RENDON, Santos Miguel FLORES AGUILAR, Flynn Jeri, Maico MONTOYA−ARELLANO, Nelida ORNELAS RENTERIA, Emma QUEZADA, Cristina Lucero RAMIREZ, Isidro de Jesus RODRIGUEZ SANCHEZ, Kelly Ryan, Orlanda URBINA, Noe ZARAGOZA−QUIROZ, Juan de DIOS CRUZ ROJAS.. (Tolchin, Stacy) (Filed on 3/12/2015) (Entered: 03/12/2015)
6 Initial Case Management Scheduling Order with ADR Deadlines: Case Management Statement due by 6/2/2015. Case Management Conference set for 6/9/2015 01:30 PM in Courtroom 4, 3rd Floor, Oakland. (cjlS, COURT STAFF) (Filed on 3/12/2015) (Entered: 03/12/2015)
7 Summons Issued as to Customs and Border Protection. (cjlS, COURT STAFF) (Filed on 3/12/2015) (Entered: 03/12/2015)
8 NOTICE of Appearance by Trina Ann Realmuto (Realmuto, Trina) (Filed on 3/13/2015) (Entered: 03/13/2015)
9 CLERK'S NOTICE OF IMPENDING REASSIGNMENT TO A U.S. DISTRICT COURT JUDGE: The Clerk of this Court will now randomly reassign this case to a District Judge because either (1) a party has not consented to the jurisdiction of a Magistrate Judge, or (2) time is of the essence in deciding a pending judicial action for which the necessary consents to Magistrate Judge jurisdiction have not been secured. You will be informed by separate notice of the district judge to whom this case is reassigned. ALL HEARING DATES PRESENTLY SCHEDULED BEFORE THE CURRENT MAGISTRATE JUDGE ARE VACATED AND SHOULD BE RE−NOTICED FOR HEARING BEFORE THE JUDGE TO WHOM THIS CASE IS REASSIGNED. This is a text only docket entry; there is no document associated with this notice. (sisS, COURT STAFF) (Filed on 3/13/2015) (Entered: 03/13/2015)
10 ORDER REASSIGNING CASE. Case reassigned to Judge Hon. James Donato for all further proceedings. Magistrate Judge Kandis A. Westmore no longer assigned to the case. Signed by the Executive Committee on March 13, 2015. (cjlS, COURT STAFF) (Filed on 3/13/2015) (Entered: 03/13/2015)
11 MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 305, receipt number 0971−9368770.) filed by Meredith R Brown, Maria de Jesus CALDERON RUIZ, Manuel CRUZ RENDON, Santos Miguel FLORES AGUILAR, Jeri Flynn, Maico MONTOYA−ARELLANO, Nelida ORNELAS RENTERIA, Emma QUEZADA,

Case: 3:15-cv-1181 As of: 01/15/2017 01:59 PM PST 8 of 13

03/23/2015 03/23/2015 03/23/2015
03/24/2015 03/24/2015
03/26/2015
03/27/2015 04/01/2015
04/07/2015 04/07/2015 04/22/2015

Cristina Lucero RAMIREZ, Isidro de Jesus RODRIGUEZ SANCHEZ, Kelly Ryan, Orlanda URBINA, Noe ZARAGOZA−QUIROZ, Juan de DIOS CRUZ ROJAS. (Attachments: # 1 Appendix Certificate of Good Standing)(Crow, Melissa) (Filed on 3/18/2015) (Entered: 03/18/2015)
12 CASE MANAGEMENT SCHEDULING ORDER: Case Management Statement due by 6/3/2015. Case Management Conference set for 6/10/2015 01:30 PM in Courtroom 11, 19th Floor, San Francisco.. Signed by Judge James Donato on 3/23/15. (lrc, COURT STAFF) (Filed on 3/23/2015) (Entered: 03/23/2015)
13 ORDER by Judge James Donato granting 11 Motion for Pro Hac Vice as to Melissa Crow. (lrc, COURT STAFF) (Filed on 3/23/2015) (Entered: 03/23/2015)
14 MOTION for leave to appear in Pro Hac Vice ( Filing fee $ 305, receipt number 0971−9382041.) filed by Meredith R Brown, Maria de Jesus CALDERON RUIZ, Manuel CRUZ RENDON, Santos Miguel FLORES AGUILAR, Jeri Flynn, Maico MONTOYA−ARELLANO, Nelida ORNELAS RENTERIA, Emma QUEZADA, Cristina Lucero RAMIREZ, Isidro de Jesus RODRIGUEZ SANCHEZ, Kelly Ryan, Orlanda URBINA, Noe ZARAGOZA−QUIROZ, Juan de DIOS CRUZ ROJAS. (Attachments: # 1 Certificate of Good Standing)(Kenney, Mary) (Filed on 3/23/2015) (Entered: 03/23/2015)
15 ORDER by Judge James Donato granting 14 Motion for Pro Hac Vice as to Mary Kenney. (lrcS, COURT STAFF) (Filed on 3/24/2015) (Entered: 03/24/2015)
16 CERTIFICATE OF SERVICE by Meredith R Brown, Maria de Jesus CALDERON RUIZ, Manuel CRUZ RENDON, Santos Miguel FLORES AGUILAR, Jeri Flynn, Maico MONTOYA−ARELLANO, Nelida ORNELAS RENTERIA, Emma QUEZADA, Cristina Lucero RAMIREZ, Isidro de Jesus RODRIGUEZ SANCHEZ, Kelly Ryan, Orlanda URBINA, Noe ZARAGOZA−QUIROZ, Juan de DIOS CRUZ ROJAS re 12 Case Management Scheduling Order, (Tolchin, Stacy) (Filed on 3/24/2015) (Entered: 03/24/2015)
17 MOTION & [PROPOSED] ORDER for leave to appear in Pro Hac Vice ( Filing fee $ 305, receipt number 0971−9394221.) filed by Meredith R Brown, Maria de Jesus CALDERON RUIZ, Manuel CRUZ RENDON, Santos Miguel FLORES AGUILAR, Jeri Flynn, Maico MONTOYA−ARELLANO, Nelida ORNELAS RENTERIA, Emma QUEZADA, Cristina Lucero RAMIREZ, Isidro de Jesus RODRIGUEZ SANCHEZ, Kelly Ryan, Orlanda URBINA, Noe ZARAGOZA−QUIROZ, Juan de DIOS CRUZ ROJAS. (Attachments: # 1 Certificate of Good Standing)(Adams, Matthew) (Filed on 3/26/2015) Modified on 3/27/2015 (aaaS, COURT STAFF). (Entered: 03/26/2015)
18 ORDER by Judge James Donato granting 17 Motion for Pro Hac Vice as to Matt Adams. (lrc, COURT STAFF) (Filed on 3/27/2015) (Entered: 03/27/2015)
19 SUMMONS Returned Executed (FOIA) by Santos Miguel FLORES AGUILAR, Maria de Jesus CALDERON RUIZ, Jeri Flynn, Emma QUEZADA, Orlanda URBINA, Kelly Ryan, Cristina Lucero RAMIREZ, Maico MONTOYA−ARELLANO, Manuel CRUZ RENDON, Meredith R Brown, Isidro de Jesus RODRIGUEZ SANCHEZ, Juan de DIOS CRUZ ROJAS, Noe ZARAGOZA−QUIROZ, Nelida ORNELAS RENTERIA. All Defendants. (Attachments: # 1 Exhibit Confirmation of service)(Tolchin, Stacy) (Filed on 4/1/2015) (Entered: 04/01/2015)
20 NOTICE of Appearance by Emily B Nestler (Nestler, Emily) (Filed on 4/7/2015) (Entered: 04/07/2015)
21 STIPULATION re 1 Complaint,, Extension of time to Respond to Plaintiffs' Complaint filed by Customs and Border Protection. (Nestler, Emily) (Filed on 4/7/2015) (Entered: 04/07/2015)
22 AMENDED COMPLAINT against All Defendants. Filed bySantos Miguel FLORES AGUILAR, Maria de Jesus CALDERON RUIZ, Jeri Flynn, Emma QUEZADA, Orlanda URBINA, Kelly Ryan, Cristina Lucero RAMIREZ, Maico MONTOYA−ARELLANO, Manuel CRUZ RENDON, Meredith R Brown, Isidro de Jesus RODRIGUEZ SANCHEZ, Juan de DIOS CRUZ ROJAS, Noe ZARAGOZA−QUIROZ, Nelida ORNELAS RENTERIA. (Attachments: # 1 Exhibit

Case: 3:15-cv-1181 As of: 01/15/2017 01:59 PM PST 9 of 13

04/22/2015
04/28/2015 04/30/2015 04/30/2015 05/18/2015 05/19/2015 06/01/2015
06/08/2015 06/10/2015 06/12/2015
06/12/2015

Exhs 1−40, # 2 Exhibit Exhs 41−80, # 3 Exhibit Exhs 81−120, # 4 Exhibit Exhs 121−160, # 5 Exhibit Exhs 161−200, # 6 Exhibit Exhs 201−214)(Tolchin, Stacy) (Filed on 4/22/2015) (Entered: 04/22/2015)
23 MOTION to Certify Class filed by Meredith R Brown, Maria de Jesus CALDERON RUIZ, Manuel CRUZ RENDON, Santos Miguel FLORES AGUILAR, Jeri Flynn, Maico MONTOYA−ARELLANO, Nelida ORNELAS RENTERIA, Emma QUEZADA, Cristina Lucero RAMIREZ, Isidro de Jesus RODRIGUEZ SANCHEZ, Kelly Ryan, Orlanda URBINA, Noe ZARAGOZA−QUIROZ, Juan de DIOS CRUZ ROJAS. Motion Hearing set for 5/27/2015 09:30 AM in Courtroom 11, 19th Floor, San Francisco before Hon. James Donato. Responses due by 5/6/2015. Replies due by 5/13/2015. (Attachments: # 1 Proposed Order Proposed Order)(Tolchin, Stacy) (Filed on 4/22/2015) (Entered: 04/22/2015)
24 STIPULATION WITH PROPOSED ORDER re 23 MOTION to Certify Class Stipulation to Extend Dates filed by Customs and Border Protection, Department of Homeland Security. (Nestler, Emily) (Filed on 4/28/2015) (Entered: 04/28/2015)
25 Order by Hon. James Donato granting 24 Stipulation to Extend Dates. (jdlc1S, COURT STAFF) (Filed on 4/30/2015) (Entered: 04/30/2015)
Set/Reset Deadlines as to 23 MOTION to Certify Class . Motion Hearing set for 7/8/2015 10:00 AM in Courtroom 11, 19th Floor, San Francisco before Hon. James Donato. (lrcS, COURT STAFF) (Filed on 4/30/2015) (Entered: 05/01/2015)
26 MOTION to Dismiss Plaintiffs' First Amended Complaint filed by Customs and Border Protection, Department of Homeland Security. Motion Hearing set for 7/8/2015 10:00 AM in Courtroom 11, 19th Floor, San Francisco before Hon. James Donato. Responses due by 6/1/2015. Replies due by 6/8/2015. (Attachments: # 1 Proposed Order)(Nestler, Emily) (Filed on 5/18/2015) (Entered: 05/18/2015)
27 CLERK'S NOTICE. (This is a text−only entry generated by the court. There is no document associated with this entry.) Case Management Statement due by 7/1/2015. Case Management Conference continued to 7/8/2015 10:00 AM in Courtroom 11, 19th Floor, San Francisco. (lrcS, COURT STAFF) (Filed on 5/19/2015) (Entered: 05/19/2015)
28 RESPONSE (re 26 MOTION to Dismiss Plaintiffs' First Amended Complaint ) filed byMeredith R Brown, Maria de Jesus CALDERON RUIZ, Manuel CRUZ RENDON, Santos Miguel FLORES AGUILAR, Jeri Flynn, Maico MONTOYA−ARELLANO, Nelida ORNELAS RENTERIA, Emma QUEZADA, Cristina Lucero RAMIREZ, Isidro de Jesus RODRIGUEZ SANCHEZ, Kelly Ryan, Orlanda URBINA, Noe ZARAGOZA−QUIROZ, Juan de DIOS CRUZ ROJAS. (Tolchin, Stacy) (Filed on 6/1/2015) (Entered: 06/01/2015)
29 REPLY (re 26 MOTION to Dismiss Plaintiffs' First Amended Complaint ) filed byDepartment of Homeland Security, U.S. Customs and Border Protection. (Nestler, Emily) (Filed on 6/8/2015) (Entered: 06/08/2015)
30 MOTION for Extension of Time to File Response/Reply as to 23 MOTION to Certify Class Pursuant to Civil Local Rule 6−3 filed by Department of Homeland Security, U.S. Customs and Border Protection. (Attachments: # 1 Declaration of Emily B. Nestler, # 2 Proposed Order)(Nestler, Emily) (Filed on 6/10/2015) (Entered: 06/10/2015)
31 RESPONSE (re 30 MOTION for Extension of Time to File Response/Reply as to 23 MOTION to Certify Class Pursuant to Civil Local Rule 6−3 ) filed byMeredith R Brown, Maria de Jesus CALDERON RUIZ, Manuel CRUZ RENDON, Santos Miguel FLORES AGUILAR, Jeri Flynn, Maico MONTOYA−ARELLANO, Nelida ORNELAS RENTERIA, Emma QUEZADA, Cristina Lucero RAMIREZ, Isidro de Jesus RODRIGUEZ SANCHEZ, Kelly Ryan, Orlanda URBINA, Noe ZARAGOZA−QUIROZ, Juan de DIOS CRUZ ROJAS. (Attachments: # 1 Proposed Order Proposed Order)(Tolchin, Stacy) (Filed on 6/12/2015) (Entered: 06/12/2015)
32 CLERK'S NOTICE. (This is a text−only entry generated by the court. There is no document associated with this entry.) Telephone Call Re: defendants' 30 Motion for Enlargement of Time set for 6/15/2015 02:00 PM before Hon. James Donato. Parties

Case: 3:15-cv-1181 As of: 01/15/2017 01:59 PM PST 10 of 13

06/15/2015 06/22/2015 07/01/2015
07/01/2015
07/01/2015
07/10/2015
07/13/2015
07/13/2015 07/22/2015

are instructed to contact CourtCall at 866−582−6878 to schedule their appearance before the Court for the hearing.(lrcS, COURT STAFF) (Filed on 6/12/2015). (Entered: 06/12/2015)
33 Minute Entry for proceedings held before Hon. James Donato: Status Conference held on 6/15/2015.FTR Time Not Used. (lrcS, COURT STAFF) (Date Filed: 6/15/2015) (Entered: 06/15/2015)
34 NOTICE by Department of Homeland Security, U.S. Customs and Border Protection re 23 MOTION to Certify Class and Discovery in Connection Therewith (Nestler, Emily) (Filed on 6/22/2015) (Entered: 06/22/2015)
35 STIPULATION WITH PROPOSED ORDER re 33 Status Conference filed by Meredith R Brown, Maria de Jesus CALDERON RUIZ, Manuel CRUZ RENDON, Santos Miguel FLORES AGUILAR, Jeri Flynn, Maico MONTOYA−ARELLANO, Nelida ORNELAS RENTERIA, Emma QUEZADA, Cristina Lucero RAMIREZ, Isidro de Jesus RODRIGUEZ SANCHEZ, Kelly Ryan, Orlanda URBINA, Noe ZARAGOZA−QUIROZ, Juan de DIOS CRUZ ROJAS. (Tolchin, Stacy) (Filed on 7/1/2015) (Entered: 07/01/2015)
36 Order by Hon. James Donato denying 35 Stipulation to Continue Case Management Conference. The case management conference scheduled for July 8, 2015 at 10:00 a.m. will remain on calendar, and the joint case management statement is due, as scheduled, on July 1, 2015. The Court will set filing deadlines for the motion for class certification once the motion to dismiss has been ruled on. (This is a text−only entry. There is no document associated with this entry.) (jdlc1S, COURT STAFF) (Filed on 7/1/2015) (Entered: 07/01/2015)
37 JOINT CASE MANAGEMENT STATEMENT filed by Meredith R Brown, Maria de Jesus CALDERON RUIZ, Manuel CRUZ RENDON, Santos Miguel FLORES AGUILAR, Jeri Flynn, Maico MONTOYA−ARELLANO, Nelida ORNELAS RENTERIA, Emma QUEZADA, Cristina Lucero RAMIREZ, Isidro de Jesus RODRIGUEZ SANCHEZ, Kelly Ryan, Orlanda URBINA, Noe ZARAGOZA−QUIROZ, Juan de DIOS CRUZ ROJAS. (Tolchin, Stacy) (Filed on 7/1/2015) (Entered: 07/01/2015)
38 Minute Entry for proceedings held before Hon. James Donato: Motion Hearing held on 7/8/2015. re 26 MOTION to Dismiss Plaintiffs' First Amended Complaint filed by U.S. Customs and Border Protection, Department of Homeland Security, CASE REFERRED to Magistrate Judge Magistrate Corley for Settlement Conference Replies due by 8/26/2015. Motion Hearing set for 9/9/2015 10:00 AM in Courtroom 11, 19th Floor, San Francisco before Hon. James Donato.Court Reporter Name Rhonda Aquilina. (lrcS, COURT STAFF) (Date Filed: 7/10/2015) (Entered: 07/10/2015)
39 TRANSCRIPT ORDER by Meredith R Brown, Maria de Jesus CALDERON RUIZ, Manuel CRUZ RENDON, Santos Miguel FLORES AGUILAR, Jeri Flynn, Maico MONTOYA−ARELLANO, Nelida ORNELAS RENTERIA, Emma QUEZADA, Cristina Lucero RAMIREZ, Isidro de Jesus RODRIGUEZ SANCHEZ, Kelly Ryan, Orlanda URBINA, Noe ZARAGOZA−QUIROZ, Juan de DIOS CRUZ ROJAS for Court Reporter Rhonda Aquilina. (Tolchin, Stacy) (Filed on 7/13/2015) (Entered: 07/13/2015)
40 TRANSCRIPT ORDER by Department of Homeland Security, U.S. Customs and Border Protection for Court Reporter Rhonda Aquilina. (Nestler, Emily) (Filed on 7/13/2015) (Entered: 07/13/2015)
41 Transcript of Proceedings held on 07/08/2015, before Judge James Donato. Court Reporter Rhonda Aquilina, Telephone number 415−264−0580. Per General Order No. 59 and Judicial Conference policy, this transcript may be viewed only at the Clerks Office public terminal or may be purchased through the Court Reporter until the deadline for the Release of Transcript Restriction.After that date it may be obtained through PACER. Any Notice of Intent to Request Redaction, if required, is due no later than 5 business days from date of this filing. (Re 40 Transcript Order ) Release of Transcript Restriction set for 10/20/2015. (Related documents(s) 40 ) (Aquilina, Rhonda) (Filed on 7/22/2015) (Entered: 07/22/2015)

Case: 3:15-cv-1181 As of: 01/15/2017 01:59 PM PST 11 of 13

07/29/2015 08/07/2015
08/10/2015 08/14/2015

CASE REFERRED to Magistrate Judge Jacqueline Scott Corley for Settlement (ahm, COURT STAFF) (Filed on 7/29/2015) (Entered: 07/29/2015)
42 NOTICE AND ORDER REGARDING SETTLEMENT CONFERENCE. Settlement Conference set for 9/8/2015 09:30 AM in Courtroom F, 15th Floor, San Francisco. Signed by Magistrate Judge Jacqueline Scott Corley on 8/7/2015. (ahm, COURT STAFF) (Filed on 8/7/2015) (Entered: 08/07/2015)
43 RESPONSE (re 23 MOTION to Certify Class ) filed byDepartment of Homeland Security, U.S. Customs and Border Protection. (Attachments: # 1 Declaration of Patrick A. Howard)(Nestler, Emily) (Filed on 8/10/2015) (Entered: 08/10/2015)
44 CLERK'S NOTICE Regarding Time of Settlement Conference. TO ALL PARTIES AND COUNSEL OF RECORD: Please take notice that the settlement conference scheduled for September 8, 2015 shall commence at 10:00 a.m., before Magistrate Judge Jacqueline Scott Corley, in Courtroom F, 15th Floor, Federal Building, 450 Golden Gate Avenue in San Francisco.

(This is a text only docket entry, there is no document associated with this notice.)

08/26/2015
09/03/2015 09/04/2015 09/08/2015 09/08/2015 09/08/2015

(ahm, COURT STAFF) (Filed on 8/14/2015) (Entered: 08/14/2015)
45 REPLY (re 23 MOTION to Certify Class ) filed byMeredith R Brown, Maria de Jesus CALDERON RUIZ, Manuel CRUZ RENDON, Santos Miguel FLORES AGUILAR, Jeri Flynn, Maico MONTOYA−ARELLANO, Nelida ORNELAS RENTERIA, Emma QUEZADA, Cristina Lucero RAMIREZ, Isidro de Jesus RODRIGUEZ SANCHEZ, Kelly Ryan, Orlanda URBINA, Noe ZARAGOZA−QUIROZ, Juan de DIOS CRUZ ROJAS. (Attachments: # 1 Declaration Exhibits)(Tolchin, Stacy) (Filed on 8/26/2015) (Entered: 08/26/2015)
46 CLERK'S NOTICE Continuing Motion Hearing. (This is a text−only entry generated by the court. There is no document associated with this entry.), Set/Reset Deadlines as to 23 MOTION to Certify Class . Motion Hearing continued to 9/23/2015 10:00 AM in Courtroom 11, 19th Floor, San Francisco before Hon. James Donato. (lrcS, COURT STAFF) (Filed on 9/3/2015) (Entered: 09/03/2015)
47 Consent MOTION to Continue Hearing on Motion for Class Certification filed by Department of Homeland Security, U.S. Customs and Border Protection. (Nestler, Emily) (Filed on 9/4/2015) (Entered: 09/04/2015)
48 Order by Hon. James Donato on 47 Stipulated Request. Pursuant to the parties' stipulation, the hearing on 23 MOTION to Certify Class is continued to 10/7/2015 10:00 AM in Courtroom 11, 19th Floor, San Francisco before Hon. James Donato. (jdlc1S, COURT STAFF) (Filed on 9/8/2015) (Entered: 09/08/2015)
Set/Reset Deadlines as to 23 MOTION to Certify Class . Motion Hearing set for 10/7/2015 10:00 AM in Courtroom 11, 19th Floor, San Francisco before Hon. James Donato. (lrcS, COURT STAFF) (Filed on 9/8/2015) (Entered: 09/09/2015)
49 Minute Entry for proceedings held before Magistrate Judge Jacqueline Scott Corley: Settlement Conference held on 9/8/2015. Case did not settle. Further telephone conference set for 8:30 a.m. on 9/17/2015. (Not Reported)

Plaintiff Attorneys: Stacy Tolchin; Mary Kenny; Trina Realmuto; Matt Adams. Defendant Attorney: Emily Nestler.

09/17/2015 09/17/2015

This is a text only Minute Entry (ahm, COURT STAFF) (Date Filed: 9/8/2015) (Entered: 09/09/2015)
50 ORDER by Judge James Donato denying 26 Motion to Dismiss. Defendants should file an answer to the complaint within 10 days of this order. (jdlc1S, COURT STAFF) (Filed on 9/17/2015) (Entered: 09/17/2015)
51 Minute Entry for proceedings held before Magistrate Judge Jacqueline Scott Corley: Telephone Settlement Conference held on 9/17/2015. Case did not settle. Parties are encouraged to contact the Court at any time if they believe further settlement discussions may be productive. (Not Reported)

Case: 3:15-cv-1181 As of: 01/15/2017 01:59 PM PST 12 of 13

09/25/2015 10/07/2015
10/08/2015 10/09/2015
10/12/2015 11/02/2015 11/09/2015 11/09/2015
01/07/2016

Plaintiff Attorneys: Stacy Tolchin; Mary Kenny; Trina Realmuto; Matt Adams. Defendant Attorney: Emily Nestler.
This is a text only Minute Entry (ahm, COURT STAFF) (Date Filed: 9/17/2015) (Entered: 09/18/2015)
52 ANSWER to Amended Complaint byDepartment of Homeland Security, U.S. Customs and Border Protection. (Nestler, Emily) (Filed on 9/25/2015) (Entered: 09/25/2015)
53 Minute Entry for proceedings held before Hon. James Donato: Motion Hearing held on 10/7/2015. re 23 MOTION to Certify Class filed by Isidro de Jesus RODRIGUEZ SANCHEZ, Emma QUEZADA, Nelida ORNELAS RENTERIA, Orlanda URBINA, Manuel CRUZ RENDON, Cristina Lucero RAMIREZ, Juan de DIOS CRUZ ROJAS, Santos Miguel FLORES AGUILAR, Jeri Flynn, Meredith R Brown, Kelly Ryan, Maico MONTOYA−ARELLANO, Maria de Jesus CALDERON RUIZ, Noe ZARAGOZA−QUIROZ Court Reporter Name JoAnn Bryce. (lrcS, COURT STAFF) (Date Filed: 10/7/2015) (Entered: 10/08/2015)
54 TRANSCRIPT ORDER by Department of Homeland Security, U.S. Customs and Border Protection for Court Reporter Jo Ann Bryce. (Nestler, Emily) (Filed on 10/8/2015) (Entered: 10/08/2015)
55 Transcript of Proceedings held on 10/7/15, before Judge James Donato. Court Reporter Jo Ann Bryce, telephone number 510−910−5888, joann_bryce@cand.uscourts.gov. Per General Order No. 59 and Judicial Conference policy, this transcript may be viewed only at the Clerk's Office public terminal or may be purchased through the Court Reporter until the deadline for the Release of Transcript Restriction after 90 days. After that date, it may be obtained through PACER. Any Notice of Intent to Request Redaction, if required, is due no later than 5 business days from date of this filing. (Re 54 Transcript Order ) Release of Transcript Restriction set for 1/7/2016. (Related documents(s) 54 ) (Bryce, Joann) (Filed on 10/9/2015) (Entered: 10/09/2015)
56 TRANSCRIPT ORDER by Meredith R Brown, Maria de Jesus CALDERON RUIZ, Manuel CRUZ RENDON, Santos Miguel FLORES AGUILAR, Jeri Flynn, Maico MONTOYA−ARELLANO, Nelida ORNELAS RENTERIA, Emma QUEZADA, Cristina Lucero RAMIREZ, Isidro de Jesus RODRIGUEZ SANCHEZ, Kelly Ryan, Orlanda URBINA, Noe ZARAGOZA−QUIROZ, Juan de DIOS CRUZ ROJAS for Court Reporter Jo Ann Bryce. (Tolchin, Stacy) (Filed on 10/12/2015) (Entered: 10/12/2015)
57 STATUS REPORT by Meredith R Brown, Maria de Jesus CALDERON RUIZ, Manuel CRUZ RENDON, Santos Miguel FLORES AGUILAR, Jeri Flynn, Maico MONTOYA−ARELLANO, Nelida ORNELAS RENTERIA, Emma QUEZADA, Cristina Lucero RAMIREZ, Isidro de Jesus RODRIGUEZ SANCHEZ, Kelly Ryan, Orlanda URBINA, Noe ZARAGOZA−QUIROZ, Juan de DIOS CRUZ ROJAS. (Tolchin, Stacy) (Filed on 11/2/2015) (Entered: 11/02/2015)
58 NOTICE by Department of Homeland Security, U.S. Customs and Border Protection of Decision in Hajro v. USCIS, Nos. 11−17948, 12−17765 (9th Cir. filed on Dec. 17, 2012) (Attachments: # 1 Exhibit)(Nestler, Emily) (Filed on 11/9/2015) (Entered: 11/09/2015)
59 ORDER re 23 Motion to Certify Class: The Court accepts the parties' proposed briefing schedule re Motion to Certify Class (Dkt. No. 57 ), except that the parties are directed to file updated and revised briefs, rather than filing just supplemental briefs. Please do not incorporate prior filings by reference or refer to previously filed materials. The currently pending motion for class certification (Dkt. No. 23 ) is terminated. Signed by Judge James Donato on 11/9/2015. (This is a text−only entry. There is no document associated with this entry.) (jdlc1S, COURT STAFF) (Filed on 11/9/2015) (Entered: 11/09/2015)
60 Proposed Order Stipulated Privacy Act Protective Order by Department of Homeland Security, U.S. Customs and Border Protection. (Nestler, Emily) (Filed on 1/7/2016) (Entered: 01/07/2016)

Case: 3:15-cv-1181 As of: 01/15/2017 01:59 PM PST 13 of 13

01/15/2016 03/16/2016 03/18/2016
03/22/2016 05/03/2016

61 Order by Hon. James Donato re 60 Stipulated Protective Order. The parties' stipulated protective order is approved, except that for those provisions that conflict with the Court's Standing Orders (e.g., relating to the filing of discovery motions rather than discovery dispute letters), the Court's Standing Orders will govern. (This is a text−only entry. There is no document associated with this entry.) (jdlc1S, COURT STAFF) (Filed on 1/15/2016) (Entered: 01/15/2016)
62 Joint MOTION to Stay Case Pending Referral to a Settlement Conference with Magistrate Judge filed by Department of Homeland Security, U.S. Customs and Border Protection. Responses due by 3/16/2016. (Nestler, Emily) (Filed on 3/16/2016) (Entered: 03/16/2016)
63 Order re 62 Joint Motion: The parties have advised the Court that they are in settlement negotiations. The Court refers the case to Magistrate Judge Corley for a settlement conference within 60 days, her schedule permitting. The Court stays the case in all other respects pending completion of the settlement conference. The Court vacates the current briefing schedule re class certification pending further order. See Dkt. Nos. 57 , 59 . (This is a text−only entry. There is no document associated with this entry.) (jdlc1S, COURT STAFF) (Filed on 3/18/2016) (Entered: 03/18/2016)
64 NOTICE AND ORDER REGARDING SETTLEMENT CONFERENCE. Settlement Conference set for 5/3/2016 at 09:30 AM in Courtroom F, 15th Floor, San Francisco. Signed by Magistrate Judge Jacqueline Scott Corley on 3/22/2016. (ahm, COURT STAFF) (Filed on 3/22/2016) (Entered: 03/22/2016)
65 Minute Entry for proceedings held before Magistrate Judge Jacqueline Scott Corley: Settlement Conference held on 5/3/2016. Settlement in principle reached. (Not Reported)(Time in Court: 7.25 hours)

Plaintiff Attorneys: Stacy Tolchin; Matt Adams; Trina Realmuto; Mary Kenny. Defendant Attorney: Emily Nestler.

09/30/2016 10/03/2016

This is a text only Minute Entry (ahm, COURT STAFF) (Date Filed: 5/3/2016) (Entered: 05/04/2016)
66 Joint Stipulation of Dismissal and (Proposed) Order filed by Meredith R Brown, Maria de Jesus CALDERON RUIZ, Manuel CRUZ RENDON, Santos Miguel FLORES AGUILAR, Jeri Flynn, Maico MONTOYA−ARELLANO, Nelida ORNELAS RENTERIA, Emma QUEZADA, Cristina Lucero RAMIREZ, Isidro de Jesus RODRIGUEZ SANCHEZ, Kelly Ryan, Orlanda URBINA, Noe ZARAGOZA−QUIROZ, Juan de DIOS CRUZ ROJAS. (Tolchin, Stacy) (Filed on 9/30/2016) Modified on 10/3/2016 (hdjS, COURT STAFF). (Entered: 09/30/2016)
67 ORDER DISMISSING CASE. Signed by Judge James Donato on 10/3/2016. (jdlc1S, COURT STAFF) (Filed on 10/3/2016) (Entered: 10/03/2016)

 
 1
UNITED STATES DISTRICT COURT FOR THE 2
NORTHERN DISTRICT OF CALIFORNIA 3
SAN FRANCISCO/OAKLAND DIVISION 4

5 Meredith R. BROWN; Jorge RODRIGUEZ-CHOI; Lizz
6 CANNON; Kelly RYAN; Jeri FLYNN; Arturo DOMINGUEZ COBOS; Isidro de Jesus RODRIGUEZ
7 SANCHEZ; Nelida ORNELAS RENTERIA; Manuel 8 CRUZ RENDON; Orlanda URBINA; Juan de DIOS
CRUZ ROJAS; Maria de Jesus CALDERON RUIZ; 9 Cristina Lucero RAMIREZ; Carolina CASTOR-LARA;
Efren ESCOBEDO; Delmy GONZALEZ-ORDENEZ; 10 Artemio Alejandro PICHARDO-DELGADO; and Farook
ASRALI, 11

Plaintiffs, 12

13

v.

UNITED STATES CUSTOMS AND BORDER 14 PROTECTION; and DEPARTMENT OF HOMELAND 15 SECURITY,

16

Defendants.

Case No. 4:15-cv-01181-JD SETTLEMENT AGREEMENT

17

18

SETTLEMENT AGREEMENT

19

This Settlement Agreement is entered into by and between Meredith R. Brown, Jorge

20 Rodriguez-Choi, Lizz Cannon, Kelly Ryan, Jeri Flynn, Arturo Dominguez Cobos, Isidro de Jesus

21 Rodriguez Sanchez, Nelida Ornelas Renteria, Manuel Cruz Rendon, Orlanda Urbina, Juan de Dios
22 Cruz Rojas, Maria de Jesus Calderon Ruiz, Cristina Lucero Ramirez, Carolina Castor-Lara, Efren
23 Escobedo, Delmy Gonzalez-Ordenez, Artemio Alejandro Pichardo-Delgado, and Farook Asrali
24 ("Plaintiffs"), and United States Customs and Border Protection ("CBP") and Department of
25 26 Homeland Security ("DHS") (collectively "Defendants"). Plaintiffs and Defendants are referred to
27 collectively herein as the "Parties." Out of a mutual desire to resolve all of the claims in the above-

28

1

1 captioned case (the "Action"), and any and all other claims, complaints, or issues that have been or
2
3 could have been asserted by Plaintiffs against Defendants related to matters alleged in the Action,
4 without need for further litigation and without admission of any liability, the Parties hereby

5 stipulate and agree as follows:
6 WHEREAS, on March 12, 2015, Plaintiffs filed this putative class action alleging that CBP,
7 8 a component ofDHS, had a pattern or practice of failing to respond to requests filed under the 9 Freedom oflnformation Act ("FOIA") within the time periods mandated by the statute, 5 U.S.C. §

10 552(a)(6);

11

WHEREAS, Plaintiffs are five immigration attorneys who file FOIA requests with CBP on

12 behalf of their clients, and thirteen noncitizens who each filed a FOIA request with CBP. The
13 FOIA requests of all Plaintiffs had been pending for between seven (7) and twenty-four (24)
14
months at the time that the suit was filed. Plaintiffs brought this action on behalf of themselves, and 15

16 also sought to certify a class of all individuals who have filed FOIA requests with CBP which bave

17 been pending for more than 20 business days, and all individuals who will file FOIA requests with

18 CBP that will remain pending for more than 20 business days.

19

WHEREAS, after the lawsuit was filed, Defendant CBP responded to Plaintiffs' pending

20 FOIA requests. All of Plaintiffs' FOIA requests have now been resolved;
21 WHEREAS, although Plaintiffs' Complaint was filed as a putative class action, no class has
22
been certified; 23

24

WHEREAS, at the close of FY 2014, Defendant CBP had a

25 backlog of 34,307 FOIA requests that had been pending for more than 20 business days;

26

WHEREAS, CBP has made significant progress in clearing the backlog of pending FOIA

27

28

2

1 requests such that the backlog has now been reduced to 3,187 (as of June 24, 2016) with
2
3 backlogged requests consisting generally of complex requests. Currently, Defendant CBP generally
4 is able to respond to most non-complex FOIA requests within 20 days;

5

WHEREAS, Plaintiffs' case was brought pursuant to FOIA, 5 U.S.C. § 552(a)(6), which

6 reads in part:
7 (A) Each agency, upon any request for records made under paragraph (1 ), (2), or (3) of this
8 subsection, shall-

9

(i) determine within 20 days (excepting Saturdays, Sundays, and legal public holidays) after

10

the receipt of any such request whetper to comply with such request and shall immediately

11

notify the person making such request of such determination and the reasons therefor, and of

the right of such person to appeal to the head of the agency any adverse determination; and 12

13

(ii) make a determination with respect to any appeal within twenty days (excepting

Saturdays, Sundays, and legal public holidays) after the receipt of such appeal. If on appeal 14
the denial of the request for records is in whole or in part upheld,, the agency shall notify the

15

person making such request of the provisions for judicial review of that determination under

paragraph (4) ofthis subsection. 16

17

The 20-day period under clause (i) shall commence on the date on which the request is first

18

received by the appropriate component of the agency, but in any event not later than ten

days after the request is first received by any component of the agency that is designated in

19

the agency's regulations under this section to receive requests under this section. The 20-

20

day period shall not be tolled by the agency except-

21

(I) that the agency may make one request to the requester for information and toll the 20-

22

day period while it is awaiting such information that it has reasonably requested from the

requester under this section; or

23

24

(II) if necessary to clarify with the requester issues regarding fee assessment. In either

case, the agency's receipt of the requester's response to the agency's request for information

25

or clarification ends the tolling period.

26

27

28

3

1
(B)
2 3 4 5 6 7 8 9 10
11
12
13
14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

(i) In unusual circumstances as specified in this subparagraph, the time limits prescribed in either clause (i) or clause (ii) of subparagraph (A) may be extended by written notice to the person making such request setting forth the unusual circumstances for such extension and the date on which a determination is expected to be dispatched. No such notice shall specify a date that would result in an extension for more than ten working days, except as provided in clause (ii) of this subparagraph.
(ii) With respect to a request for which a written notice under clause (i) extends the time limits prescribed under clause (i) of subparagraph (A), the agency shall notify the person making the request if the request cannot be processed within the time limit specified in that clause and shall provide the person an opportunity to limit the scope of the request so that it may be processed within that time limit or an opportunity to anange with the agency an alternative time frame for processing the request or a modified request. To aid the requester, each agency shall make available its FOIA Public Liaison, who shall assist in the resolution of any disputes between the requester and the agency. Refusal by the person to reasonably modify the request or arrange such an alternative time frame shall be considered as a factor in determining whether exceptional circumstances exist for purposes of subparagraph (C).
(iii) As used in this subparagraph, "unusual circumstances" means, but only to the extent reasonably necessary to the proper processing of the particular requests-
(I) the need to search for and collect the requested records from field facilities or other establishments that are separate from the office processing the request;
(II) the need to search for, collect, and appropriately examine a voluminous amount of separate and distinct records which are demanded in a single request; or
(III) the need for consultation, which shall be conducted with all practicable speed, with another agency having a substantial interest in the determination of the request or among two or more components of the agency having substantial subject-matter interest therein.
(iv) Each agency may promulgate regulations, pursuant to notice and receipt of public comment, providing for the aggregation of certain requests by the same requestor, or by a group ofrequestors acting in concert, if the agency reasonably believes that such requests actually constitute a single request, which would otherwise satisfy the unusual circumstances
4

1
2
3 (C)
4 5 6 7 8 9 10 11 12 13 14

specified in this subparagraph, and the requests involve clearly related matters. Multiple requests involving unrelated matters shall not be aggregated.
(i) Any person making a request to any agency for records under paragraph (1 ), (2), or (3) of this subsection shall be deemed to have exhausted his administrative remedies with respect to such request if the agency fails to comply with the applicable time limit provisions of this paragraph. If the Government can show exceptional circumstances exist and that the agency is exercising due diligence in responding to the request, the court may retain jurisdiction and allow the agency additional time to complete its review of the records. Upon any determination by an agency to comply with a request for records, the records shall be made promptly available to such person making such request. Any notification of denial of any request for records under this subsection shall set forth the names and titles or positions of each person responsible for the denial of such request.
(ii) For purposes of this subparagraph, the term "exceptional circumstances" does not include a delay that results from a predictable agency workload of requests under this section, unless the agency demonstrates reasonable progress in reducing its backlog of pending requests.

15 (iii) Refusal by a person to reasonably modify the scope of a request or arrange an

16

alternative time frame for processing a request (or a modified request) under clause (ii) after

being given an opportunity to do so by the agency to whom the person made the request 17
shall be considered as a factor in determining whether exceptional circumstances exist for

18

purposes of this subparagraph.

19

WHEREAS, on May 18,2015, Defendants moved to dismiss Plaintiffs' Amended

20 Complaint. Plaintiffs filed an opposition on June 1, 2015, and Defendants replied on June 8, 2015.
21 The District Court denied Defendants' motion to dismiss on July 8, 2015, and issued a written
22
decision on September 17, 2015. The District Court ruled that "an agency's failure to respond to 23

24 FOIA request within the statutory time limits violates FOIA and allows the aggrieved party to sue."

25

WHEREAS, Defendant CBP received 41,381 FOIA requests in FY 2013,47,261 FOIA

26 requests in FY 2014, 52,290 FOIAs request in FY 2015. In FY 2016, Defendant CBP has been able

27 to process an average of 5,790 requests per month, specifically 6,839 in October 2015, 4,944 in

28

5

1
November 2015, 7,121 in December 2015, 6,820 in January 2016, 6,215 in February 2016, 6,426 in 2 3 March 2016, 5,581 in April2016, 4,853 in May 2016,3,420 in June 2016,4,359 in July 2016, and
4 7,116 in August 2016. Defendants have implemented processes and devoted staff to ensure timely
5 compliance with this level ofFOIA requests. Defendants are committed to continuing their effmis

6 to timely process FOIA requests filed with Defendant CBP.

7 WHEREAS, the Parties wish to resolve the disputes that are the subject of the Action
8 without the expense and drain on resources that may be associated with protracted litigation;
9 NOW THEREFORE, in consideration of the mutual promises set forth herein, the receipt
10
11 and sufficiency of which are hereby acknowledged, the Parties agree as follows:

12

1. Posting of CBP's Monthly FOIA Statistics. For three years following the effective

13 date of this Agreement, on a monthly basis, Defendant CBP agrees to post to its website the DHS
14 monthly FOIA report for CBP. A copy of the cmrent format for the report is attached hereto as 15
Exhibit A. 16
2. Distribution of CBP FOIA Materials. Within two months from the effective date of 17
this Agreement, upon request from CBP, Plaintiffs' counsel agree to distribute to attorneys written 18
19 materials that are provided by CBP and intended to facilitate electronic filing and streamlining of
20 FOIA requests. However, CBP has no obligation to provide such materials.

21

3. FOIA Trainings. Within one year of the effective date of this Agreement, Plaintiffs'

22 counsel commit to provide three national trainings that will address facilitating electronic filing and

23 streamlining ofFOIA requests filed with CBP. The conference hosts will invite CBP to participate
24
in at least one of these trainings, but CBP has no obligation to attend such training. 25

26

4. Payment. Defendants agree to pay attorneys' fees and costs in the amount of

27 $135,000 (the "Payment").

28

6

1 5. Dismissal of the Action with Prejudice. Within seven (7) days from the receipt of
2 the Payment, Plaintiffs agree to have their counsel file a Stipulation of Dismissal with Prejudice, in
3
4 the form of Exhibit B attached hereto, pursuant to Federal Rules of Civil Procedure 23 and 41.

5

6. Release. Plaintiffs hereby release and forever discharge Defendants, and their

6 components, administrators, officers, employees, and agents from any and all claims, demands,

7 obligations, losses, causes of action, costs, expenses, attorneys' fees, liabilities and indemnities,
8 whether known or unknown, based on the claims that are the subject ofthis litigation. Except as
9 specifically provided by Paragraph 4 of this Agreement, the Parties hereby release and waive claims
10
11 for costs, expenses, or attorneys' fees related to this litigation.

12

7. No Admission of Liability. This Agreement has been entered into by the Parties

13 solely for the purposes of compromising disputed claims without protracted legal proceedings and

14 avoiding the expense and risk of litigation. Therefore, this Agreement is not intended as and shall

15 not be deemed an admission of liability by either party of the merit or lack of merit of the opposing
16 party's claims and defenses. This Agreement is a Settlement Agreement and is the result of a
17
Compromise Offer and Negotiation, and Federal Rule of Evidence 408 shall apply accordingly. 18

19

8. Binding Successors. This Agreement shall be binding upon and inure to the benefit

20 of the Pmiies and their respective successors, transferees, licensees, agents, heirs, and assigns.

21

9. Jointly Drafted Agreement. This Agreement shall be considered a jointly drafted

22 agreement and shall not be construed against any party as the drafter.
23 10. Merger Clause. This Agreement constitutes the entire agreement and understanding
24 between the Parties regarding the Action and administrative proceedings related to the Action. Any
25
statement, representation, agreement, or understanding, in oral or written form, that is not contained 26

27 in this Agreement shall not be enforced, recognized, or used to interpret this Agreement.

28

7

1 11. Amendments. This Agreement cannot be modified or amended except through
2
written instrument that specifically refers to this Agreement and that is signed by the Parties or their 3
4 counsel acting with authority. No provision of this Agreement may be waived or altered except

5 through a written waiver or amendment signed by the Parties or their counsel acting with authority.

6

12. Severability and Voidability. Except as expressly stated with respect to particular

7 provisions in this Agreement, if any provision of this Agreement is determined by a court or
8 administrative body to be illegal, invalid, or unenforceable, this Agreement will be construed as if
9 the severed term or provision had never comprised'a part of this Agreement, and the remaining
10
11 terms and provisions of this Agreement will remain in full force and effect and will not be affected

12 by the severed term or provision or by its severance from this Agreement.

13

13. Authorization of Signatories. Each person signing this Agreement represents and

14 warrants that he or she has full authority to execute the Agreement on behalf of the pmiy or entity
15 on whose behalf he or she signs.
16 14. Execution. This Agreement may be executed in counterpatis, each of which
17 constitutes an original, and all of which constitute one and the same agreement. Facsimiles or
18
19 electronic versions of signatures shall constitute acceptable, binding signatures for purposes of this

20 Agreement.

21

15. Choice of Law. Federal law shall apply to interpret and enforce this Agreement.

22

23

24 AND NOW, by their signatures below, the parties, by and through counsel, indicate their
25
26 consent to the terms and conditions set forth above.

27

28

8

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28

BY:
Date:~. ~ 110\(p

BENJAMIN C. MIZER Principal Deputy Assistant Attorney General

Trial Attorney U.S. Department of Justice Civil Division, Federal Programs Branch 20 Massachusetts Avenue NW Washington, D.C. 20530 Telephone: (202) 616-8489 Facsimile: (202) 616-8470 emilY:b.nest1er@usdoj .gov
s '
Tolch rin St., Suite 500A Los Angeles, CA 900 14 Telephone: (213) 622-7450 Facsimile: (213) 622-7233 stacy@tolchinimmigration.com
MATT ADAMS, WSBA No. 28287 Northwest Immigrant Rights Project 615 Second Avenue, Suite 400 Seattle, WA 98104 Telephone: (206) 957-811 matt@nwirp.org
TRINA REALMUTO (CA SBN 201088) National Immigration Project of the National Lawyers Guild 14 Beacon St., Suite 602 Boston, MA 021 08 Telephone: (617) 227-9727 ext. 8 trina@nipnlg.org
9

1

2

MARY KENNEY (WV Bar 2011)

3

MELISSA CROW (DC Bar 453487) American Immigration Council

4

1331 G Street NW, Suite 200

Washington, DC 20005

5

Telephone: (202) 507-7522

Facsimile: (202) 742-5617

6

mkenney@immcouncil.org

7

Counselfor Plaintiffs

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

10

EXHIBIT A

MONTHLY REPORTING: REQUESTS PROCESSED UNDER FOIA ONLY

Reporting Month

_·_] October 2014

_l~--~-~~-· Component/Directorate

c# -

-

''" .··- -c-

- _ Processed anclPendingFOTA Requests·

I How many open FOIA requests do you currently have?

2 Total number ofFOIA requests your component has received to-date in this FY:

Answer -

3 Total number ofFOIA requests your component has RECEIVED in this reporting period:

--

-

-

4 Total number or FOIA requests your component has CLOSED/PROCESSED in this reporting period:

5 Total number of FOIA processors currently employed in your office:

\# ·_- -

-

-- -

Pn)cesse~ _f{eqll_~sts;..R,espot1se.J:ill!einJ;:iay Incre111ents c• ·-

Ofthe open FOIA requests in your component. how many were received within the last 6 20 business days?

~- ,- DfitcR,ange

Answer

10/02/2014 10/31/2014

Of the open FOIA requests in your component. how many were received 21-40 business

7 days ago?

09/04/2014 10/01/2014

OCthe open FOlA requests in your component how many were received 41-60 business

8 days ago?

08/06/2014 09/03/2014

Of the open FOIA requests in your component. how many were received 61-80 business

9 days ago?

07/09/2014 08/05/2014

Of the open FOIA requests in your component, how many were received 81-100 business

10 days ago?

06/10/2014 07/08/2014

Of the open FO lA requests in your component how many were received I01-120 11 business days ago?

05/12/2014 06/09/2014

Of the open FOIA requests in your component, how many were received 121-140 12 business days ago?

04/14/2014 05/09/2014

Of the open FOIA requests in your component, how many were receivecii41-I 60 13 business Jays ago

03/17/2014 04/11/2014

Of the open FOIA requests in your component, how many were received 161- I 80 14 business days ago?

02/14/2014 03/14/2014

Of the open FO lA requests in your component, how many were received 181-200 15 business clays ago?

01/16/2014 02/13/2014

Ofthe open FOIA requests in your component, how many were received 201-300 16 business days ago?

08/21/2013 01/15/2014

Of the open FO lA requests in your component, how many were received 301-400 17 business days ago?)

04/01/2013 08/20/2013

OCtile open FOIA requests in your component, how many were received 401 or more 18 business clays ago?

03/29/2013

1st 2nd 3rd
4th 5th 6th 7th 8th 9th
10th

Information on Component/Directorate's Ten Oldest Requests

lc- ·.

Request#:

I

_._

FOIA (a)(2)(D)*Pqsti_l1~S __

'-

-c· - - .---

.

.. -

#ofPages

.·_ ..

'>·

-

I

Date Posted

Request#:

I

I

Request#:

L_

J

Request#:

I

J

Request#:

L_

I

Request#:

I

I

Cumulative Number of FOIA responses posted pursuant to (a)(2)(D) in FOIA Reading Room

this FY?

__ #-·: -_.-,-_._•_.-. c• _- • -_.•-- _ <

·; Proioesse!;l andP-enclingAomlnistratlveAppeals -.

-

--

1 How many open Administrative Appeals do you currently have? 2 Total number of Administrative Appeals your component has received to-date in this FY:

-------

3 Total number of Administrative Appeals your component has RECEIVED in this reporting period:

Answer
-

4 Total number of Administrative Appeals your component has PROCESSED in this reporting period:

-

~¥

lc·-·--· ••.·-•. --•-.-Process~dA<fmlnistratl~e ft.RP:e:at~2 ~es~-~~~'l"i~e l~ baY:Inctemen~k

_'

....
---

,.-..- ____ :_

._
pate 'Ran~e

·•---

.-_.- An·-s-we-r

Of the open Administrative Appeals in your component, how many were received 5 within the last 20 business days?

10/02/2014 10/31/2014

Of the open Administrative Appeals in your component, how many were received 6 21-40 business days ago?

09/04/2014 10/01/2014

Of the open Administrative Appeals in your component, how many were received 7 41-60 business days ago?

08/06/2014 09/03/2014

Of the open Administrative Appeals in your component, how many were received 8 61-80 business days ago?

07/09/2014 08/05/2014

Of the open Administrative Appeals in your component, how many were received 9 81-100 business days ago?

06/10/2014 07/08/2014

Of the open Administrative Appeals in your component, how many were received 10 101-120 business days ago?

05/12/2014 06/09/2014

Of the open Administrative Appeals in your component, how many were received 11 121-140 business days ago?

04/14/2014 05/09/2014

Of the open Administrative Appeals in your component, how many were received 12 141-160 business days ago

03/17/2014 04/11/2014

Of the open Administrative Appeals in your component, how many were received 13 161-180 business days ago?

02/14/2014 03/14/2014

Of the open Administrative Appeals in your component, how many were received 14 181-200 business days ago?

01/16/2014 02/13/2014

Of the open Administrative Appeals in your component, how many were received 15 201-300 business days ago?

08/21/2013 01/15/2014

Of the open Administrative Appeals in your component, how many were received 16 301-400 business days ago?

04/01/2013 08/20/2013

Of the open Administrative Appeals in your component, how many were received 401 17 or more business days ago?

03/29/2013

*Section (a)(2)(D) of the Freedom of Information Act, as amended, instructs agencies to make publicly available records that "have become or are likely to become the subject of subsequent requests for substantially the same records."

18

Information on Component/Directorate's Ten Oldest Administrative Appeals

5th 6th 7th 8th 9th 1Oth

I

Senior Agency Officials' Calendars posted in FOIA Reading Room this reporting period:

I Official's Name:

#of Pages
II .• .·:·

Official's Name: I

I· · · · · · ·.· ·~·-

I Official's Name:

I · •· !Cumulative Number of Calendars posted in FOIA Reading Room this FY? ·····•:

.·

2

Executed Contracts and Grants (posted immediately after released pursuant to one FOIA request) posted in FOIA Reading Room this reporting period:

Date Range
. ·. .

.·.·· .
.

~~···
#of Pages

Date Posted

Request#:

I

Request#:

I

Request#:

I

Request#:

I

Request#:

I

Request#:

I

Request#:

I

Cumulative Number of Contracts and Grants Posted in FOIA Reading Room this FY? Management Directives and Instructions (Policies, Handbooks, and Official Guidance) 3 posted in FOIA Reading Room this reporting period:
I Document Title:

.

-

·.·•. ·.c

.·

.•

.,

I
I'
1-.
I>
1:'•.
...·-

<
. I··
. ' ..
-.

.#of Pages

Date Posted

I DocumentTitle:
I Document Title: I Document Title: I DocumentTitle:
I Document Title:
I DocumentTitle:
I Document Title:

..

-
'• ·. 1·•:•

--.

.

..

. ·.

.

Cumulative Number of Management Directives and Instructions posted in FOIA Reading Room this FY?

FOIA logs 4

Date Posted

. .·
Date Range

..
FOIA Logs posted in FOIA Reading Room this reporting period:

IFOIA Logs posted in FOIA Reading Room this FY:
*Pursuant to August 26, 2009 memorandum, "Proactive Disclosure and Departmental Compliance with Subsection (a)(2) of the IFreedom of Information Act (FOIA)," available at http://www.archives.gov/ogis/dhs-foia.pdf.

EXHIBITB

IN THE UNITED STATES DISTRICT COURT

FOR THE NORTHERN DISTRICT OF CALIFORNIA

SAN FRANCISCO I OAKLAND DIVISION

MEREDITH R. BROWN, et al.,
Plaintiffs,
v.
UNITED STATES CUSTOMS AND BORDER PROTECTION, eta!.,
Defendants.

) ) Case No.: 3: 15-cv-01181-JD ) ) ) JOINT STIPULATION OF DISMISSAL ) AND[PROPOSED]ORDER ) ) ) ) ) ) ) )

------------------------------)

IT IS HEREBY STIPULATED AND AGREED, by and between the parties, that this action shall be dismissed with prejudice pursuant to Federal Rule of Civil Procedure 41 (a)(1 )(A)(ii).

DATED: - - - -, 2016

Respectfully submitted,
Is/ Stacy Tolchin STACY TOLCHIN (CA SBN 217431) Law Offices of Stacy Tolchin 634 S. Spring St., Suite 500A Los Angeles, CA 90014 Telephone: (213) 622-7450 Facsimile: (213) 622-7233 stacy@tolchinimmigration.com

JOINT STIPULATION OF DISMISSAL CASE NO. 3:15-CV-01181-JD

MATT ADAMS, WSBA No.. 28287* Northwest Immigrant Rights Project 615 Second Avenue, Suite 400 Seattle, WA 981 04 Telephone: (206) 957-811 matt@nwirp.org
TRINA REALMUTO (CA SBN 201 088) National Immigration Project Of the National Lawyers Guild 14 Beacon St., Suite 602 Boston, MA 021 08 Telephone: (617) 227-9727 ext. 8 trina@nipnlg.org
MARY KENNEY (WV Bar 2011)* MELISSA CROW (DC Bar 453487)* American Immigration Council 1331 G Street NW, Suite 200 Washington, DC 20005 Telephone: (202) 507-7522 Facsimile: (202) 742-5617 mkenney@immcouncil.org
Counselfor Plaintiffs

JOINT STIPULATION OF DISMISSAL CASE NO. 3:15-CV-01181-JD

BENJAMIN C. MIZER Principal Deputy Assistant Attorney General
ELIZABETH J. SHAPIRO Deputy Director, Federal Programs Branch
Is/ Emily B. Nestler EMILY B. NESTLER D.C. Bar #973886 Trial Attorney U.S. Department of Justice Civil Division, Federal Programs Branch 20 Massachusetts Avenue NW Washington, D.C. 20530 Telephone: (202) 616-8489 Facsimile: (202) 616-8470 emily. b .nestler@usdoj. gov Counsel for Defendants
2

[PROPOSED] ORDER The parties having so stipulated and agreed, it is hereby SO ORDERED. The abovereferenced case is hereby DISMISSED with prejudice.

Date:

JAMES DONATO United States District Judge

JOINT STIPULATION OF DISMISSAL CASE NO. 3:15-CV-01181-JD
3