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					Description of document:                 Department of Homeland Security (DHS) records provided
                                         to Chairman Darrell Issa, House Oversight and
                                         Government Reform Committee, concerning the
                                         administration of the Freedom of Information Act (FOIA),
                                         2011

Requested:                               10-December-2011

Released date:                           02-May-2012

Posted date:                             18-March-2013

Source of document:                      Chief FOIA Officer
                                         The Privacy Office
                                         U.S. Department of Homeland Security
                                         245 Murray Drive SW
                                         STOP-0655
                                         Washington, D.C. 20528-0655
                                         Online FOIA request submission form

Note:                                    This is one of several files on the same subject for various
                                         agencies available on governmentattic.org. See:
                                         http://www.governmentattic.org/5docs/chairmanIssa.htm




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                                                                            U.S. Department of Homeland Security
                                                                            Washington, OC 20528




                                                                            Homeland
                                                                            Security
                                           May 2, 2012




Re: DHS/OS/PRIV 12-0130



This is our first interim response to your Freedom of Information Act (FOIA) request to the
Department ofHomeland Security (DHS), dated December 10,2010, and received by this office
on December 13,2010. You are requesting two types of records: 1.) an electronic copy ofthe
records provided to the Honorable Chairman Darrell Issa, whose office had in January 2011
asked our agency for various data concerning the administration of the FOIA; 2.) a copy of any
correspondence whatsoever sent to Chairman Issa's office on the subject of the January 2011
inquiry, and any correspondence sent to Chairman Issa's office on the subject FOIA.

To date, we have completed processing 130 pages of documents responsive to your request. Of
those 130 pages I have determined that 129 pages of the records are releasable in their entirety,
and 1 page is partially releasable pursuant to Title 5 U.S.C. § 552 (b)(6), FOIA Exemption 6.

FOIA Exemption 6 exempts from disclosure personnel or medical files and similar files the
release of which would cause a clearly unwarranted invasion of personal privacy. This requires a
balancing of the public's right to disclosure against the individual's right to privacy. The privacy
interests of the individuals in the records you have requested outweigh any minimal public
interest in disclosure of the information. Any private interest you may have in that information
does not factor into the aforementioned balancing test.

You have a right to appeal the above withholding determination; however, we do request that
you hold any appeals in abeyance pending the issuance of our final response to your request.
Your agreement to do so will have no affect on the adjudication of your appeal. If you do decide
to appeal, you must send your appeal and a copy of this letter, within 60 days of the date of our
final response, to: Associate General Counsel (General Law), U.S. Department of Homeland
Security, Washington, D.C. 20528, following the procedures outlined in the DHS regulations at 6
C.F.R. § 5.9. Your envelope and letter should be marked "FOIA Appeal." Copies ofthe FOIA
and DHS regulations are available at www.dhs.gov/foia.

The Office of Government Information Services (OGIS) also mediates disputes between FOIA
requesters and Federal agencies as a non-exclusive alternative to litigation. If you are requesting
access to your own records (which is considered a Privacy Act request), you should know that
OGIS does not have the authority to handle requests made under the Privacy Act of 1974. If you
wish to contact OGIS, you may email them at ogis@nara.gov or call 1-877-684-6448.

Provisions of the FOIA allow us to recover part of the cost of complying with your request. In
this instance, because the cost is below the $14 minimum, there is no charge. 6 CFR §
5.ll(d)(4).

If you need to contact our office again about this matter, please refer to DHS/OS/PRIV 12-0130.
This office can be reached at 703-235-0790.

                                            Sincerely,




Enclosure(s): Responsive Documents, 130 pages
                                                                                 U.S. Department of Homeland ec11rity
                                                                                 Washington, DC 20528




                                                                                 Hom.eland
                                                                                 Security
                                                  June 14, 2011


The Honorable Darrell Issa
Chairman
Committee on Oversight and Gov~rnment Reform
U.S. House of Representatives
Washington, DC 20515

Dear Chairman Issa:

Thank you for your May 24,2011 letter regarding the Department of Homeland Security's (DHS)
Freedom oflnformation Act (FOIA) procedures and compliance. This letter responds to your
request seeking information about the Department's responses to requests under the FOIA over the
past five years, including logs of all requests, communications with requesters, and court orders
providing for the payment of attorneys' fees in FOIA litigation. We appreciate the willingness of
Committee staff to work with us to narrow your request to the extent that Department components
do not track all of the requested information in any readily retrievable form.

The FOIA provides individuals the right to request access to federal agency records or information,
and DHS takes its responsibility to uphold this right seriously. In its FOIA activities department-
wide, DHS strives to adhere to the principal theme of President Obama's 2009 FOIA Memorandum:
"In the face of doubt, openness prevails." 1

DHS began its operations with a large, inherited FOIA backlog, a consequence of the substantial
backlogs already carried by the various federal agencies brought under its aegis in 2003. When the
new Department was stood up, it generated a flood of requests because of its status and mission.
The result was a 98,396-request backlog at the end of FY 2006- the largest federal FOIA backlog in
history. 2 Despite resource constraints during that period in addition to the fact that from 2006 to
2009 the number of total requests to the Department held relatively constant, in the last three years
DHS reduced its backlog by over 80%. At the end ofFY 2009, the backlog was 18,787.

Under my leadership, DHS continues to implement improvements throughout its FOIA program.
For example, in 2010, the DHS Privacy Office coordinated the processing of approximately 160,000
FOIA requests and worked with component leadership to ensure adequate FOIA resources were
available to address both backlog and incoming FOIA requests. As of September 30,2010, the
DHS-wide backlog was 11,383, despite a concomitant 26% increase in FOIA requests.

1
  The President's FOIA memorandum of January 21, 2009 is available at
http://www.justice.gov/oip/foia guide09/presidential-foia.pdf.
2
  DHS started collecting backlog information from its components in June 2006. The FY 2006 and FY 2007 numbers
above are derived from that data. The Department of Justice (DOJ) required backlog reporting effective FY 2008. The
above FY 2008 and FY 2009 information come from DHS annual FOIA reports to the Attorney General.
In response to Item 1 of your request, the DHS FOIA program is decentralized; not all of the
Department's components track and store the information in the Excel format as you requested.
However, we have enclosed the DHS FOIA logs from all components for January 2009 to May 31,
2011 in either Excel or Portable Document Format (PDF). Moreover, consistent with the Chief
FOIA Officer's directions, beginning with the January 2009 records and continuing to the present,
DHS components have posted logs of FOIA requests on DHS public websites, totaling 8,606 pages?
These FOIA logs provide valuable insight into the types of information sought by the public through
the FOIA request process, making the logs useful tools in understanding what DHS operations are of
particular interest to the public. Please see our FOIA Logs section available on the DHS FOIA
Library at: http://www.dhs.gov/xfoialfoia-library-freguently-reguested-records.shtm#5.

As it pertains to Item 2 of your request, we have enclosed, in Excel format, a summary of each FOIA
request submitted to DHS more than 45 days prior to May 24, 2011, and to which DHS has not yet
issued a complete and final response. Our FOIA tracking systems tracks both FOIA requests and
requests made by individuals for records about themselves, which are submitted pursuant to the
Privacy Act. Since we are not equipped to remove electronic references to Privacy Act requests,
they are included in the enclosed log, which we are providing in response to the first two items of
your letter.

While our public disclosure of information about Privacy Act requests may be prohibited by statute,
we are nevertheless providing it in response to your request and pursuant to your authority under 5
U.S.C. § 552a(b)(9). We ask, however, that you not disclose this log outside the Committee. Not
only do we want to protect the individual privacy interests it reflects, but we also want to continue to
encourage requests under the Privacy Act and FOIA. Furthermore, some of the records provided in
response to these requests contain additional information that may be protected from public
disclosure, such as Sensitive Security Information.

In accordance with our discussions with Committee staff and in response to the third item of your
letter, we include a description of the DHS FOIA Office system for tracking and storing
correspondence in lieu of copies of the actual correspondence associated with requests more than 45
days old. Additionally, DHS will make available, upon request, specific correspondence files that
the committee identifies. The DHS FOIA Office creates a hard-copy file for each FOIA request. In
each file , DHS FOIA Office keeps the original request, all correspondence between DHS FOIA
Office and the requester, a hard-copy log describing all activity regarding the request, and any
documents processed in response to the request. Much of the correspondence is routine: letters
acknowledging receipt of a request; notifying requesters of fees; requesting additional information
required to locate responsive records; and informing requesters of the status oftheir requests. DHS
FOIA Office records the details of any phone calls with a requester in the hard-copy log. Emails
between the DHS FOIA Office and the requester are printed and placed in the file. The DHS FOIA
Office neither tracks nor stores these records in its electronic tracking system.

On behalf of all of the Department's components, we appreciate your flexibility regarding items four
and five of your letter pertaining to court actions and payment of attorney's fees. As we have

3
    This number covers parts of three fiscal years: FY 2009 (2,512); FY 2010 (3,308); FY 2011 thru May 2011 (2,786).



                                                            2
advised Committee staff, we enter into settlement agreements at times that include provisions for
payment of attorneys' fees, but court orders requiring them are rare and we do not track infmmation
on settlements containing attorneys' fee provisions in any database. The Department's annual FOIA
report to the Attorney General describes litigation related costs in chart IX (see Appendix 1). These
reports are available on the DHS website at: http://www.dhs.gov/xfoia/foia-library-freguently-
reguested-records.shtm#S. Additionally, the following components were able to produce a limited
number of records responsive to your request: U.S. Customs and Border Protection (CBP), United
States Coast Guard (USCG), and the United States Citizenship and Immigration Services (USCIS).
Below are brief summaries of orders and Stipulation for Compromise, which are also included as
attachments to this response.

   •   In the matter of Rashad Ahmad Refaat El Badrawi v. DHS, (D. Conn. 3:07-cv-00372-JCH), a
       FOIA case in which the issue of attorneys' fees was resolved by a Stipulation for
       Compromise Settlement, filed on February 17,2010, in which several agencies (including
       CBP) agreed to pay attorneys' fees in a total amount of $48,000. The CBP contribution to
       this payment was $10,000. It is not entirely clear if this result is responsive to the request
       since this payment was the result of a settlement agreement but, as noted in the Agreement,
       the payment was "So Ordered" by USDC Judge Janet Hall on February 16, 2010.

   •   In the matter of Citizens for Responsibility and Ethics in Washington (CREW) v. DHS,
       (D.D.C. CV 08-1046 -JDB), the Court issued orders awarding attorneys' fees at two separate
       times. The first order required CBP to pay $45,274.40 in fees/costs. The second document is
       a signed stipulation of settlement in which CBP agreed to pay $6,732.90 to settle all
       remaining claims with respect to the Part 1 litigation. Part 2 of the litigation resulted in no
       additional fees because both CBP and CREW agreed to a joint stipulation of dismissal after
       production of the records concluded.

   •   In the matter of Kevin Poulsen v. United States Customs and Border Protection, (N.D. Cal.
       3:06-CV-01743-SI), the Court issued ordered attorneys' fees and costs in the amount of
       $66,861.39.

   •   In the matter of Judicial Watch v. DHS, (D.D.C. 08-1723-JDB), the court ordered attorneys'
       fees and costs in the amount of$1,992.25. (USCIS)

   •   In the matter of Steven Legarrea-Arreola, et al. v. Michael Cherto.!J et al., (M.D. La. 1:06-
       0083), the Court issued orders awarding attorneys' fees in the total amount of $2,599.60.
       (US CIS).

   •   In the matter of Carlos Froilan Gandiaga v. Department ofHomeland Security (DHS) and
       United States Citizenship and Immigration Services (USCIS), (D. Colo. 08-cv-00570-REB-
       MEH), US CIS agreed to pay attorneys' fees in the amount of $6,000.

   •   In the matter of Harry Spirides v. United States Coast Guard, (S.D. Ga. 4:08-CV-109-JRH-
       GRS), the Court issued orders awarding attorneys' fees in the total amount of$15,000.
       (USCG).



                                                  3
(b) (6)




          

    Appendix 1 FOIA Personnel and Costs

                          Personnel                                                         Costs
                          Number of
            Number of                   Total Number
Component                "Equivalent
            "Full Time                  of "Full-Time                                 Litigation- Related
                          Full-Time                            Processing Costs                             Total Costs
              FOIA                       FOIA Starr•                                         Costs
                            FOIA
            Employees"                 (Col. 1 + Col. 2)
                         Employees"
  CBP           37           14.4            51.4                    4, 167,537.38            328, 122.00      4,495,659.38
  CRCL          I            0                 I                        82,359.00                   0.00           82,359.00
  FEMA          9           23.86           32.86                    5,623,049.59             174,023.18        5,797,072.77
 FLETC          I            0.3              1.3                      130,000.00                   0.00          130,000.00
  I&A           I            0                 I                       115,000.00                   0.00          115,000.00
   ICE          20           0                20                      I ,736,158.07           626,211.64       2,362,369.71
 MGMT           I            0                 I                       101 ,000.00                  0.00          101 ,000.00
  NPPD          I           0.25             1.25                      117,454.00                   0.00          117,454.00
  OGC           I           0.75             1.75                       85,000.00              75,000.00          160,000.00
  OIG           4            0.5             4.5                       349,535.80              90,158.00         439,693.80
  OPS          0.33          0                .33                           34,000                  0.00           34,000.00
  PLCY          I            0                 I                        65,000.00                   0.00           65,000.00
  PRIV          IS           2                17                     4,682,209.62                   0.00       4,682,209.62
  S&T           0            2                2                             97,500                  0.00              97,500
  TSA          8.28          .5              8.78                      961 ,480.00             41,861.10        I ,003,341.1 0
  USCG          22          26.63           48.63                    2,828,075.48                   0.00       2,828,075.48
 US CIS        217           1.8            218.8                   13,693,853 .82            261,052.30       13,954,906.12
  usss          17          4.15            21.15                     1,615,4 15.30           389,334.09        2,004, 749.39
US-VISIT        J            0.5              1.5                      245,000.00                   0.00         245,000.00
AGENCY
              357.61        77.64           420.25                  36,678,628.06           1,985,762.31      38,664,390.37
OVERALL




                                                           5
                                    FOIA LITIGATION

                     Court Ordered Payment of Costs or Attorney Fees

                                    San Francisco Report

Responses to Congressional Inquiry:

#4

 Identify any federal action in which the agency has been ordered to pay attorneys’ fees
or costs incurred by a FOIA requestor:

         Kevin Poulsen v. United States Customs and Border Protection, Case No. 06-CV-
         01743-SI (N.D.Ca.)

#5 Provide a copy of the court order directing payment

         See attached file: “Poulsen – Order re Attorney Fees.pdf”

Time spent gathering information on this Congressional Request:

     •   5/31/11 - 0.5 hour - GS-14 (Martin)

     •   5/31/11 - initiating inquiry, verifying data, preparing report
         6/01/11 – 0.5 hour – GS-15 (Wong)


                                               Submitted,

                                               /s/

                                               Martha Wong
                                               Assistant Chief Counsel, San Francisco
USCIS FOIA litigation where attorney fees and costs were awarded


1. Center For Human Rights & Constitutional Law, FND vs. Janet Napolitano, et al, Case No.
CV10-7073R(RCx), United States District Court, Central District of California.

2. Rashad Ahmad Refaat El Badrawi v. Department of Homeland Security, Department of
State, Department of Justice and Department of Labor, Case No. 3:07-CV-372, United States
District Court for the District of Connecticut.

3. Florence and Nia Austin vs. U.S. Citizenship and Immigration Services, et al, Case No. 08-
CV-1117 DDS/JJG, United States District Court for the District of Minnesota.

4. Carlos Frolan Gandiaga v. United States Department of Homeland Security, and United
States Citizenship and Immigration Services, Civil Action No. 08-cv-00570-REB-MEH, United
States District Court for the District of Colorado.

5. Steven Legarrea-Arreola, Carmen Legarrea, Individually and on behalf of Augustin Legarrea-
Garcia, Deceased, Carmen Legarrea Bojorquez v. U.S. Department of Homeland Security,
Case No. 1-06-0084, United States District Court for the Middle District of Tennessee at
Nashville.
                                    FOIA LITIGATION

                     Court Ordered Payment of Costs or Attorney Fees

                                    San Francisco Report

Responses to Congressional Inquiry:

#4

 Identify any federal action in which the agency has been ordered to pay attorneys’ fees
or costs incurred by a FOIA requestor:

         Kevin Poulsen v. United States Customs and Border Protection, Case No. 06-CV-
         01743-SI (N.D.Ca.)

#5 Provide a copy of the court order directing payment

         See attached file: “Poulsen – Order re Attorney Fees.pdf”

Time spent gathering information on this Congressional Request:

     •   5/31/11 - 0.5 hour - GS-14 (Martin)

     •   5/31/11 - initiating inquiry, verifying data, preparing report
         6/01/11 – 0.5 hour – GS-15 (Wong)


                                               Submitted,

                                               /s/

                                               Martha Wong
                                               Assistant Chief Counsel, San Francisco
                       IN THE UNITED STATES DISTRICT COURT
                      FOR THE MIDDLE DISTRICT OF TENNESSEE
                                NASHVILLE DIVISION


STEVEN LEGARREA-ARREOLA, et al.             )
                                            )
v.                                          )NO.l:06-0083
                                            ) JUDGE CAMPBELL
MICHAEL CHERTOFF, et al.                    )


                                           ORDER

       Pending before the Court is Plaintiff Steven Legarrea-Arreloa's Motion for Attorney's Fees

and Costs (Docket No. 20), to which no opposition has been filed.

       Plaintiffs Motion is GRANTED, and Plaintiff is awarded a total of$2,599.60 in attorney's

fees and costs against Defendants.

       IT IS SO ORDERED.


                                                 w    \~             Ca..-._wo
                                                     TODD J. CAMPBELL
                                                     UNITED STATES DISTRICT JUDGE
       Case 1:08-cv-01046-JDB Document 62                  Filed 12/07/10 Page 1 of 4




                            UNITED STATES DISTRICT COURT
                            FOR THE DISTRICT OF COLUMBIA

                                               )
CITIZENS FOR RESPONSIBILITY                    )
AND ETIDCS IN WASHINGTON,                      )
                                               )
               Plaintiff,                      )      Civil Action No. 08·1046 (JDB)
                                               )
       v.                                      )         ECF
                                               )
U.S. DEPARTMENT OF                             )                             FILED
HOMELAND SECURITY,                             )
                                               )                               DEC 0 7 2010
               Defendant.                      )                         Clerk, U.S. District & Bankruptcy
                                                                        Courts for the District of Columbia

               STIPULATION OF SETTLEMENT OF PART I LITIGATION

       Plaintiff, Citizens for Responsibility and Ethics in Washington ("CREW''), and defendant,

United States Department of Homeland Security ("DHS"), by and through undersigned counsel,

hereby settle and compromise any and all outstanding claims arising from the "Part I" litigation (as

defined in paragraph I below) in the above-entitled lawsuit brought under the Freedom of

Information Act ("FOIA"), 5 U.S.C. § 552, as amended, and stipulate and agree to the following

provisions:

       1.      Plaintiffs March 17, 2008 FOIA request sought records from U.S. Customs and

Border Protection ("CBP"), a component ofDHS, relating to the "U.S.-Mexico border fence." See

Compl. [Docket Entry ("D.E.") 1],    ~   7. Plaintiff's two-part FOIA request sought the following

records:

       a) [A]ny and all records dating from January 20, 2001 to the present reflecting
       communications concerning Ray L. Hunt, Hunt Consolidated, Inc., or any properties
       known to be owned by Ray L. Hunt and/or Hunt Consolidated, Inc., and the
       construction of fencing along the border between the U.S. and Mexico ("Part I"
       request/litigation); and
       Case 1:08-cv-01046-JDB Document 62                    Filed 12/07/10 Page 2 of 4




       b) [A]ll records discussing or reflecting where fencing should be constructed along
       the U.S. border with Mexico" ("Part II" request/litigation).



       2.      The "Part I" litigation was the subject of a partial disclosure order, CREW v. DHS,

648 F. Supp. 2d 152 (D.D.C. 2009), and a subsequent unpublished fee award by this Court. See

Mem. Op. and Order dated April 21, 2010 ("April 21, 2010 Order") (D.E. 54) (granting in part

plaintiffs motion for an award of attorneys' fees and costs pursuant to 5 U.S.C. § 552(a)(4)(1)).

DHS has paid the entire amount of the Court's April 21, 2010 fee award. In its April21, 2010

Order, the Court stated the following:

       If CREW later seeks attorneys' fees and costs in connection with the second part of
       this bifurcated case, and the Court concludes that it is entitled to them, the award will
       be only for work done specifically on the second part of this case. Work done in
       support of both parts - such as preparing and filing the complaint - has been
       compensated by the award here.

Id. at 6 n.4. Thus, this Stipulation does not purport to resolve any issues arising from the Part II

litigation that were expressly reserved by the Court's Apri121, 2010 Order.

       3.      Defendant filed a protective notice of appeal oftheApril21, 2010 Order, which was

captioned as CREW v. DHS, Case No. 10-5211 (D.C. Cir.). The parties stipulate and agree that the

sole outstanding issue relating to the Part I request involves the additional fees incurred by plaintiff

in connection with the appeal of the Court's April 21, 2010 fee award. Thus, by settling the

supplemental fee issue, this Stipulation of Settlement constitutes the full and complete satisfaction

of any and all outstanding claims arising from plaintiffs Part I request.

       4.      Plaintiff has provided defendant with the attached itemized hourly breakdown of

additional attorney time, totaling 15.75 hours, that CREW attorneys expended in connection with

appeal in Case No. 10-5211. Defendant reviewed the breakdown and, upon consideration ofthe


                                                   2
       Case 1:08-cv-01046-JDB Document 62                   Filed 12/07/10 Page 3 of 4




billings and applicable Laffey rates for CREW attorneys, has offered to settle the appellate fee issue

without requiring plaintiffto file a supplemental fee petition with the Court. CREW has agreed to

settle the supplemental fee claim for the amount stated in the following paragraph.

        4.      Specifically, defendant shall promptly pay $6,732.90 (six thousand seven hundred

thirty two dollars and 90 cents) in attorneys' fees and costs. Payment of this money will be made

by electronic funds transfer promptly after notification of the Court's entry of this Stipulation using

the information previously provided by counsel for plaintiff to counsel for defendant to effectuate

the transfer.

        5.      This Stipulation of Settlement does not constitute an admission of liability or fault

on the part of defendant, the United States, its agents, servants, or employees, and is entered into by

both parties for the sole purpose of compromising disputed claims and avoiding the expenses and

risks of further litigation ofthe Part I request.

        6.      This Stipulation of Settlement is binding upon and inures to the benefit of the parties

hereto and their respective successors and assigns.

        7.      The Court retains jurisdiction over enforcement of any of the provisions of this

Stipulation of Settlement.



        [Remainder of page intentionally blank]




                                                    3
      Case 1:08-cv-01046-JDB Document 62                  Filed 12/07/10 Page 4 of 4




       8.      Upon execution and filing ofthis Stipulation of Settlement by counsel for Plaintiff

and by counsel for Defendant, any and all remaining issues relating to the Part I litigation are

waived.

                                    Respectfully submitted,


Is/ David L. Sobel                              RONALD C. MACHEN JR., DC BAR #447889
DAVID L. SOBEL, D.C. Bar No. 360418             United States Attorney for the District of
1818 N Street, N.W.                              Columbia
Suite 410
Washington, DC 20036                            RUDOLPH CONTRERAS, D.C. BAR# 434122
(202) 246-6180                                  Chief, Civil Division

(Counsel for Plaintiff)                         By:         Is/
                                                      JOHN G. INTERRANTE, PA Bar# 61373
                                                      Assistant United States Attorney
                                                      Civil Division
                                                      555 4th Street, N.W., Room E-4806
                                                       Washington, D.C. 20530
                                                      Tel:      202.514.7220
                                                      Fax:      202.514.8770
                                                      Email:    John.lnterrante@usdoj.gov

                                                Of counsel:

                                                Simon Fisherow
                                                U.S. Customs and Border Protection

                                                (Counsel for Defendant)



                               (_1"\...
       It is SO ORDERED this __ _ _ day ofj._<..e.-J>Ur-, 2010.



                                                      Jo~e~~t--
                                                      United States District Judge




                                               4
         Case 1:08-cv-01046-JDB Document 54               Filed 04/21/10 Page 1 of 6



                            UNITED STATES DISTRICT COURT
                            FOR THE DISTRICT OF COLUMBIA



 CITIZENS FOR RESPONSIBILITY AND
 ETHICS IN WASHINGTON,

         Plaintiff,
                v.                                        Civil Action No. 08-1046 (JDB)
 UNITED STATES DEPARTMENT OF
 HOMELAND SECURITY,

         Defendant.


                          MEMORANDUM OPINION and ORDER

       Before the Court is [50] Citizens for Responsibility and Ethics in Washington's

("CREW's") motion for an award of attorneys' fees and costs pursuant to 5 U.S.C. §

552(a)(4)(E)(i). In Freedom of Information Act cases such as this, a court "may assess against

the United States reasonable attorney fees and other litigation costs reasonably incurred in any

case . . . in which the complainant has substantially prevailed." 5 U.S.C. § 552(a)(4)(E)(i). Here,

CREW seeks $49,916 in fees and $350 in costs. See Pl.'s Mot. for Attorneys' Fees ("Pl.'s Mot.")

[Docket Entry 50], at 8; Pl.'s Reply in Supp. of Mot. for Attorneys' Fees ("Pl.'s Reply") [Docket

Entry 53], at 8. The Department of Homeland Security concedes that CREW is entitled to

attorneys' fees, but contends that the amount of fees its seeks is "unreasonable." Def.'s Opp'n to

Pl.'s Mot. for Attorneys' Fees ("Def.'s Opp'n") [Docket Entry 52], at 2.

       Where, as here, "a plaintiff is deemed eligible and entitled [to attorneys' fees under the

Freedom of Information Act], the court focuses on the proper amount of the fee award." Summer

v. Dep't of Justice, 477 F. Supp. 2d 56, 63 (D.D.C. 2007). The "usual method of calculating
           Case 1:08-cv-01046-JDB Document 54              Filed 04/21/10 Page 2 of 6



reasonable attorney's fees is to multiply the hours reasonably expended in the litigation by a

reasonable hourly fee, producing the 'lodestar' amount." Bd. of Trs. of Hotel and Rest.

Employees Local 25 v. JPR, Inc., 136 F.3d 794, 801 (D.C. Cir. 1988). Although applicants

seeking attorneys' fees bear the burden of establishing reasonable hourly rates, see Covington v.

District of Columbia, 57 F.3d 1101, 1107 (D.C. Cir. 1995), the Department of Homeland

Security does not challenge the hourly rates CREW uses to calculate its fee request.1 Rather, the

Department "disputes that Plaintiff supports its fee request with sufficient documentation under

established precedent in this jurisdiction." Def.'s Opp'n at 7.

       Fee applicants also bear the burden of establishing the hours worked on a case. See Role

Models, 353 F.3d at 970; Covington, 57 F.3d at 1107. Here, CREW has submitted billing

statements for the three attorneys who represented it in this action. See Pl.'s Mot., Decl. of David

Sobel ("Sobel Decl."), Ex. A (Sobel's Billing Summary); Pl.'s Mot., Decl. of Anne Weismann

("Weismann Decl."), Ex. A (Weismann's Billing Summary); Pl.'s Mot., Decl. of Melanie Sloan

("Sloan Decl."), Ex. A (Sloan's Billing Summary). Each statement lists eleven tasks that counsel

undertook in litigating this action, and the time each attorney spent on the activity. CREW's

attorneys also indicated that they "exercise[d] . . . billing judgment," and "adjusted downward the

time for which [they] seek compensation." Sobel Decl. at ¶ 5; see also Weismann Decl. at ¶ 5

("In addition, in calculating my hours for purposes of recovering my fees, I exercised

considerable billing judgment.").



       1
         CREW has used the prevailing market rates set by the United States Attorney's Office
for the District of Columbia to calculate its hourly rate, see Pl.'s Mot., Ex. A (United States
Attorney's Office matrix), which the D.C. Circuit has "said litigants may rely on when seeking
fees," Role Models Am., Inc. v. Brownlee, 353 F.3d 962, 970 (D.C. Cir. 2004).

                                                 -2-
         Case 1:08-cv-01046-JDB Document 54                 Filed 04/21/10 Page 3 of 6



       The Department of Homeland Security objects to the absence of detail in the attorneys'

billing summaries as well as to the amount of time the three attorneys indicate they spent

litigating this case. A "fee application must . . . contain sufficiently detailed information about

the hours logged and the work done . . . to permit the District Court to make an independent

determination whether or not the hours claimed are justified." Nat'l Ass'n of Concerned Veterans

v. Sec'y of Def., 675 F.2d 1319, 1327 (D.C. Cir. 1982). For example, parties seeking an award of

attorneys' fees should provide the subject matter of the meeting, telephone conference, or work

billed in each billing line item. See In re Meese, 907 F.2d 1192, 1204 (D.C. Cir. 1990); In re

Sealed Case, 890 F.2d 451, 455 (D.C. Cir. 1989); see also In re Madison Guar. Sav. & Loan, 373

F.3d 1373, 1381 (D.C. Cir. 2004) ("[A]dequate documentation of legal work performed is a

necessary ingredient for the reimbursement of attorneys' fees . . . ."). Without such

documentation, it is "impossible for the court to verify the reasonableness of the billings, either

as to the necessity of the particular service or the amount of the time expended on a given legal

task." In re Sealed Case, 890 F.2d at 455.

       Many of the time records lack the adequate detail that would permit the Court to evaluate

whether CREW's fee request is justified. For example, all three attorneys give an identical entry

-- "[r]esearch, draft and final prep of plaintiff's opposition and cross-motion for SJ; confer w/co-

counsel" -- to describe their work on CREW's motion for summary judgment. See Sobel's

Billing Summary; Weismann's Billing Summary; Sloan's Billing Summary. "Such generic

entries are inadequate to meet a fee applicant's 'heavy obligation to present well-documented

claims.'" Role Models, 353 F.3d at 971 (quoting Kennecott Corp. v. Envtl. Prot. Agency, 804

F.2d 763, 767 (D.C. Cir. 1986) (per curiam)); see also id. (finding inadequate a law clerk's time


                                                 -3-
          Case 1:08-cv-01046-JDB Document 54                Filed 04/21/10 Page 4 of 6



record that gave "an identical, one-line entry, '[r]esearch and writing for appellate brief,' on eight

consecutive weekdays" (alteration in original)). The attorneys consistently use this cursory

approach to describing their tasks. See, e.g., Sobel's Billing Summary ("[r]esearch, draft and

final prep of plaintiff's reply memo;" "[r]esearch and draft opposition to defendant's motion for

stay pending appeal").

       Moreover, CREW's attorneys have not produced contemporaneous billing records

corroborating the hours they indicated they spent on this case, even though the Department of

Homeland Security requested such records. See Kennecott Corp., 804 F.2d at 767 ("This circuit

and others have indicated that contemporaneous time charges should be filed with the motion for

attorneys' fees as a matter of course, and certainly should be provided once legitimate questions

are raised by the opposing party."). To be sure, apparently none of CREW's attorneys prepared

bills or invoices for CREW -- one attorney represented CREW "on a partially contingent, flat fee

basis," see Sobel Decl. at ¶ 3, and two of the attorneys were actually employed by CREW, see

Weismann Decl. at ¶ 2; Sloan Decl. at ¶ 2. At least two of CREW's attorneys, however,

maintained daily time sheets indicating "the number of hours . . . spent on specific cases."

Weismann Decl. at ¶ 3; see also Sloan Decl. at ¶ 3. Yet CREW has failed to include these daily

time sheets in their motion for attorneys' fees, and, according to the Department, "declined to

provide such records" when the Department requested them. Def.'s Opp'n at 9.

       Where, as here, an attorney's work is inadequately documented, the D.C. Circuit has

routinely reduced the final fee award by ten percent. See In re Madison Guar. Sav. & Loan, 373

F.3d at 1381; In re North, 30 F.3d 143, 147-48 (D.C. Cir. 1994); In re Meese, 907 F.2d at 1204;

In re Sealed Case, 890 F.2d at 455; In re Olson, 884 F.2d 1415, 1428-29 (D.C. Cir. 1989). In


                                                  -4-
           Case 1:08-cv-01046-JDB Document 54               Filed 04/21/10 Page 5 of 6



light of CREW's attorneys' failure to fully detail the hours they worked and the tasks they worked

on, and given the D.C. Circuit's ten percent benchmark, the Court will reduce CREW's fees by

ten percent here.2

       The Department of Homeland Security also suggests that the number of hours that

CREW's attorneys worked "is grossly excessive in light of the straightforward nature of this

action, and the result." Def.'s Opp'n at 8. But aside from this conclusory observation, the

Department has failed to demonstrate that the time the three attorneys spent litigating this case

exceeds the time other attorneys have spent litigating comparable cases. The Department has

not, for example, indicated how many hours it spent litigating this case, information that would

permit the Court to evaluate in context the hours CREW's attorneys spent on the case. Nor has

the Department suggested how many hours would be reasonable to spend on a case like this.

Absent such information, the Court cannot conclude that approximately one hundred hours of

work in total by three attorneys is unreasonable.3

       Accordingly, upon consideration of CREW's motion for an award of attorneys' fees and

costs, the parties' several memoranda, the applicable law, and the entire record herein, it is hereby



       2
        The Court will award CREW the full $350 it seeks as reimbursement for filing the
complaint in this action.
       3
          The Department also contends that the Court should reduce CREW's attorneys' fees to
reflect the "relative degree of success" of the parties in litigating this matter. See Def.'s Opp'n at
14-15. In its motion for summary judgment, CREW challenged the Department's withholding of
documents pursuant to a single exemption, and on this claim they "substantially prevailed." See
5 U.S.C. § 552(a)(4)(E)(i) (party entitled to attorneys' fees only where it "substantially prevails"
on merits of claim). Although the Court upheld some of the Department's withholdings pursuant
to the challenged exemption, "entitlement to a fee award is not tempered by the fact that [CREW]
may not have technically prevailed on all aspects of [its] claims." Cobell v. Norton, 407 F. Supp.
2d 140, 149 (D.D.C. 2005). Hence, the Court will not reduce CREW's fee award on this basis.

                                                 -5-
            Case 1:08-cv-01046-JDB Document 54           Filed 04/21/10 Page 6 of 6



        ORDERED that CREW's motion is GRANTED IN PART and DENIED IN PART;

and it is further

        ORDERED that CREW is awarded $44,924.40 in attorney's fees and $350 in costs.4

        SO ORDERED.

                                                            /s/
                                                    JOHN D. BATES
                                                United States District Judge
Date: April 21, 2010




        4
         If CREW later seeks attorneys' fees and costs in connection with the second part of this
bifurcated case, and the Court concludes that it is entitled to them, the award will be only for
work done specifically on the second part of this case. Work done in support of both parts --
such as preparing and filing the complaint -- has been compensated by the award here.

                                               -6-
       Case 1:08-cv-01723-JDB Document 29                      Filed 06/16/10 Page 1 of 2




                              UNITED STATES DISTRICT COURT
                              FOR THE DISTRICT OF COLUMBIA

JUDICIAL WATCH, INC.,                                 )
                                                      )
                        Plaintiff,                    )
                                                      )   Civil No. 08-1723 (JDB)
                         v.                           )
                                                      )
U.S. DEPARTMENT OF HOMELAND                           )
SECURITY,                                             )
                                                      )
           Defendant.                                 )
________________________ )
                   STIPULATION OF SETTLEMENT AND DISMISSAL

       Plaintiff, Judicial Watch, Inc., and Defendant, U.S. Department of Homeland Security,

hereby settle and compromise the above entitled lawsuit brought under the Freedom of

Information Act, 5 U.S.C. § 552, as amended ("FOIA") on the following terms:

        1.     Plaintiff agrees to dismiss this suit with prejudice.

       2.      Defendant shall pay $1,992.25 (one thousand nine hundred ninety-two dollars and

twenty-five cents) in attorneys' fees and costs to Plaintiff. Payment of this money will be made

by check promptly after notification of the Court's entry of this Stipulation and after receipt of

necessary information from counsel for Plaintiff in order to effectuate the payment.

       3.      This Stipulation of Settlement constitutes the full and complete satisfaction of any

and all claims arising from (a) the allegations set forth in the complaint filed in this lawsuit and

(b) any litigation or administrative proceeding that Plaintiff has brought, could bring, or could

hsve brought regarding Plaintiffs FOIA request in this case.

       4.      This Stipulation of Settlement does not constitute an admission of liability or fault

on the part of Defendant, the United States, its agents, servants, or employees, and is entered into
        Case 1:08-cv-01723-JDB Document 29                     Filed 06/16/10 Page 2 of 2




 by both parties for the sole purpose of compromising disputed claims and avoiding the expenses

 and risks of further litigation.

         5.      This Stipulation of Settlement is binding upon and inures to the benefit of the

 parties hereto and their respective successors and assigns.

         6.      The Court retains jurisdiction over enforcement of any other provisions of this

 Stipulation of Settlement.

         7.      Execution and filing of this Stipulation of Settlement by counsel for Plaintiff and

 by counsel for Defendant constitutes a dismissal of this lawsuit, with prejudice, effective upon

 entry by the Court,.pursuant to Rule 4l(a)(1)(A)(ii). Any and all remaining issues are waived.

· Dated: June 15, 2010



 ih~~dri~
 Paul J. Orfanedes, Esq.
                                                   RONALD C. MACHEN JR. D.C. Bar #447889
                                                   United States Attorney
                                                   for the District of Columbia
 JUDICIAL WATCH, INC.
 501 School Street, S.W., Suite 500                RUDOLPH CONTRERAS, D.C. Bar#434122
 Washington, D.C. 20024                            Chief, Civil Division
 (202) 646-5172

 Counsel for Plaintiff
                                                   By:~~
                                                   MICHELLELO
                                                                           e
                                                   Assistant United States Attorney
                                                 . 555 4th Street, N.W.
                                                   Washington, D.C. 20530
                                                   Tel: (202) 514-5134 Fax: (202) 514-8780
                                                   Michelle.Lo2@usdoj.gov

                                                   Counsel for Defendant


                 It is SO ORDERED on this /(.               ~
                                                         (J' -=---'
                                                  ~ of _ _--=~'--~ 2010.

                                           Hon. John D. Bates
                                    UNITED STATES DISTRICT JUDGE

                                                   2
                                                                               Case 3:06-cv-01743-SI         Document 56         Filed 01/17/2007       Page 1 of 6



                                                                         1
                                                                         2
                                                                         3
                                                                                                          IN THE UNITED STATES DISTRICT COURT
                                                                         4
                                                                                                      FOR THE NORTHERN DISTRICT OF CALIFORNIA
                                                                         5
                                                                         6   KEVIN POULSEN,                                           No. C 06-1743 SI
                                                                         7                   Plaintiff,                               ORDER GRANTING IN PART
                                                                               v.                                                     PLAINTIFF’S MOTION FOR
                                                                         8                                                            ATTORNEYS’ FEES
                                                                             UNITED STATES CUSTOMS AND BORDER
                                                                         9   PROTECTION,
                                                            10                               Defendant.
                                                                                                                           /
                                                            11
United States District Court




                                                            12                       Plaintiff has filed a motion for attorneys’ fees and costs, which is scheduled for a hearing on

                                                            13               January 19, 2007. Pursuant to Civil Local Rule 7-1(b), the Court determines that the matter is
                               For the Northern District of California




                                                            14               appropriate for resolution without oral argument, and VACATES the hearing. For the reasons set forth

                                                            15               below, the Court finds that plaintiff is entitled to recover reasonable fees and costs, although not in the

                                                            16               full amount requested.

                                                            17
                                                            18                                                          BACKGROUND
                                                            19                       The factual background of plaintiff’s Freedom of Information Act (“FOIA”) request is set forth
                                                            20               in the Court’s September 26, 2006 Order. In that order, the Court held that defendant’s search for
                                                            21               responsive documents was reasonable, and that certain documents had been properly withheld.
                                                            22               However, the Court also held, after an in camera review of the documents at issue, that various
                                                            23               exemptions invoked by defendant did not apply, and ordered defendant to produce unredacted materials
                                                            24               to plaintiff.
                                                            25                       Defendant produced unredacted materials in response to the Court’s order. Plaintiff published
                                                            26               an article online based in part on the information contained in the produced documents. See Kevin
                                                            27               Poulsen, The Virus That Ate DHS, at http://www.wired.com/news/technology/0,72051-0.html (Nov. 2,
                                                            28               2006). Plaintiff has now filed a motion for reasonable attorneys’ fees and costs.
                                                                               Case 3:06-cv-01743-SI          Document 56         Filed 01/17/2007        Page 2 of 6



                                                                         1                                                 DISCUSSION
                                                                         2   1.      Eligibility for fees
                                                                         3           The FOIA permits the Court to “assess against the United States reasonable attorney fees and
                                                                         4   other litigation costs reasonably incurred in any case under this section in which the complainant has
                                                                         5   substantially prevailed.” 5 U.S.C. § 552(4)(E). Defendant contends that plaintiff did not substantially
                                                                         6   prevail because the Court held that defendant’s search was reasonable, defendant “voluntarily” produced
                                                                         7   some documents to plaintiff after the inception of this lawsuit but before summary judgment, and
                                                                         8   because the Court only compelled further production of approximately 3% of the documents (based upon
                                                                         9   pages ordered produced). Plaintiff responds that he substantially prevailed because he obtained a court
                                                            10               order compelling the release of significant documents relevant to his FOIA request.
                                                            11                       As an initial matter, the parties dispute whether the definition of “prevailing party” articulated
United States District Court




                                                            12               in Buckhannon Board & Care Home, Inc. v. West Virginia Dep’t of Health & Human Resources, 532
                                                            13               U.S. 598 (2001), applies to fee requests under FOIA. In Buckhannon, the Supreme Court rejected the
                               For the Northern District of California




                                                            14               “catalyst theory” as a basis for finding that a plaintiff was the prevailing party in a lawsuit under the Fair
                                                            15               Housing Amendments Act and the Americans with Disabilities Act. Id. at 604-05. Instead, the Court
                                                            16               held that in order for a party to recover fees as a “prevailing party” under those statutes, there must be
                                                            17               a “judicially sanctioned change in the legal relationship of the parties.” Id. at 605.
                                                            18                       Here, assuming arguendo that Buckhannon applies to the instant fee motion, the Court concludes
                                                            19               that plaintiff is the prevailing party in this litigation. The Court’s summary judgment order compelled
                                                            20               the production of documents withheld by defendant, and thus that order constituted a “judicially
                                                            21               sanctioned change in the legal relationship of the parties.” Id. Defendant makes much of the fact that
                                                            22               it provided some documents to plaintiff prior to the Court’s summary judgment order. However, those
                                                            23               documents were heavily redacted, and defendant was required to produce additional information in
                                                            24               response to the Court’s order. Thus, the fact that defendant produced some documents absent a court
                                                            25               order does not diminish the fact that plaintiff prevailed by obtaining the September 26, 2006 order.
                                                            26                       The Court also rejects defendant’s narrow focus on the quantity of pages ordered produced. “A
                                                            27               court must assess both the substance and quality of the information released.” Union of Concerned
                                                            28               Scientists v. U.S. Nuclear Regulatory Com’n, 824 F.2d 1219, 1226 (D.C. Cir. 1987). While defendant

                                                                                                                                   2
                                                                              Case 3:06-cv-01743-SI           Document 56        Filed 01/17/2007        Page 3 of 6



                                                                         1   may be correct that the Court only compelled production of a small percentage of the total pages at issue,
                                                                         2   those pages contained important information about the nature and breadth of the computer failures. The
                                                                         3   Court ordered defendant to produce information from the executive summaries, as well as information
                                                                         4   from spreadsheet reports summarizing all of the calls to the help desk and the resolution of each call;
                                                                         5   this information revealed the scope and location of the virus, as well as defendant’s response to the
                                                                         6   problems. In contrast, the majority of pages that were not ordered released were contained in database
                                                                         7   records that contained a mixture of “low 2" administrative, trivial information and “high 2" information
                                                                         8   that could compromise CBP’s computer systems. Defendant also overlooks the fact – noted in the
                                                                         9   Court’s September 26, 2006 order – that plaintiff’s interest in disclosure of the voluminous database
                                                            10               records was less compelling in light of the fact that much, if not all, of the non-exempt information
                                                            11               contained in the records was also contained in documents that the Court ordered produced. See
United States District Court




                                                            12               September 26, 2006 Order at 12 n.5.
                                                            13
                               For the Northern District of California




                                                            14               2.      Entitlement to fees
                                                            15                       “If the plaintiff demonstrates that he is eligible for fees (i.e., proves that he has ‘substantially
                                                            16               prevailed’), ‘the district court may, in the exercise of its discretion, determine that the [complainant] is
                                                            17               entitled to an award of attorney’s fees.’” Long v. United States IRS, 932 F.2d 1309, 1313 (9th Cir. 1991)
                                                            18               (quoting Church of Scientology v. United States Postal Serv., 700 F.2d 486, 492 (9th Cir. 1983)). “In
                                                            19               exercising its discretion on the question of entitlement to fees, the district court must consider four
                                                            20               criteria: (1) the public benefit from disclosure, (2) any commercial benefit to the plaintiff resulting from
                                                            21               disclosure, (3) the nature of the plaintiff’s interest in the disclosed records, and (4) whether the
                                                            22               government’s withholding of the records had a reasonable basis in law.” Long, 932 F.2d at 1313.
                                                            23                       Defendant asserts that even if plaintiff is the prevailing party, plaintiff is not entitled to fees
                                                            24               because the position of the government was substantially justified. Defendant contends that it had a
                                                            25               reasonable basis for withholding the requested records because their release would compromise CBP’s
                                                            26               ability to thwart attacks on its computer systems, invade the privacy of CBP employees, and the
                                                            27               documents related solely to the internal personnel rules and practices of CBP. For the reasons stated in
                                                            28               the September 26, 2006 order, the Court disagrees. While the Court found that defendant had properly

                                                                                                                                  3
                                                                               Case 3:06-cv-01743-SI          Document 56        Filed 01/17/2007       Page 4 of 6



                                                                         1   withheld certain information, the Court also held that defendant improperly invoked the law enforcement
                                                                         2   exemption as a basis for withholding numerous documents. The Court further held that defendant
                                                                         3   broadly withheld descriptive information regarding the scope of the computer failure, without ever
                                                                         4   explaining how the disclosure of such information would render the CBP system vulnerable to attack.
                                                                         5   Finally, the Court noted that in many instances, defendant’s redaction of material was inconsistent and
                                                                         6   seemingly without any reasoned basis. As such, the Court finds that defendant’s position was not
                                                                         7   substantially justified.
                                                                         8           Defendant also asserts that plaintiff has failed to prove any public benefit from the documents
                                                                         9   he obtained. However, plaintiff is a journalist who has written several articles about the computer
                                                            10               failure, including an article published after defendant’s compelled production of documents. As courts
                                                            11               have noted, “a court would ordinarily award fees, for example, where a newsman was seeking
United States District Court




                                                            12               information to be used in a publication or a public interest group was seeking information to further a
                                                            13               project benefitting the general public.” Fenster v. Brown, 617 F.2d 740, 742 n.4 (D.C. Cir. 1979)
                               For the Northern District of California




                                                            14               (quoting legislative history of FOIA amendments of 1974). Thus, the Court finds that this factor weighs
                                                            15               in favor of a fee award. For the same reasons, the other factors listed in Long – whether there is any
                                                            16               commercial benefit to plaintiff and plaintiff’s interest in the information disclosed – also support a fee
                                                            17               award. See id. (stating that “news interests should not be considered commercial interests,” and “a court
                                                            18               would generally award fees if the complainant’s interest in the information sought was scholarly or
                                                            19               journalistic or public-interest oriented”).
                                                            20
                                                            21               3.      Amount of fee award
                                                            22                       Plaintiff seeks a total fee and cost award of $82,068.89, which includes time spent litigating this
                                                            23               fee motion. Defendant does not challenge the reasonableness of the rates sought, and instead only
                                                            24               generally contends that plaintiff spent too much time on the following tasks: (1) drafting the complaint;
                                                            25               (2) internal meetings; (3) preparing the summary judgment motion and reply; (4) the moot court for the
                                                            26               summary judgment hearing; and (5) law students spent 191 hours on “undefined tasks.” Defendant
                                                            27               asserts that an amount between $5,000 to $10,000 would be an appropriate measure, with a 50%
                                                            28               deduction in light of the “paltry amounts of documents ultimately ordered produced,” for a total of

                                                                                                                                 4
                                                                              Case 3:06-cv-01743-SI          Document 56         Filed 01/17/2007       Page 5 of 6



                                                                         1   between $2,500 and $5,000. Defendant does not explain how it reaches this proposed amount. For the
                                                                         2   reasons stated supra, the Court rejects defendant’s argument that the fee award should be reduced based
                                                                         3   on the small percentage of pages ordered released. Furthermore, while the Court finds that some
                                                                         4   deductions are warranted, the Court also finds that defendant’s challenge to the reasonableness of
                                                                         5   plaintiff’s fee request is conclusory and that defendant did not meet its “burden of providing specific
                                                                         6   evidence to challenge the accuracy and reasonableness of the hours charged.” McGrath v. County of
                                                                         7   Nevada, 67 F.3d 248, 255 (9th Cir. 1995); see also Blum v. Stenson, 465 U.S. 886, 892 n. 5 (1984).
                                                                         8          In determining a reasonable attorney’s fee, the Court calculates a “lodestar” by multiplying the
                                                                         9   number of hours it finds the prevailing party reasonably expended on the litigation by a reasonable
                                                            10               hourly rate. See Hensley v. Eckerhart, 461 U.S. 424, 433 (1983). The Court should exclude hours that
                                                            11               were not “reasonably expended.” Id. at 434. The Court has reviewed plaintiff’s billing records, and
United States District Court




                                                            12               concludes that certain deductions are necessary in order to arrive at a reasonable fee. As a general
                                                            13               matter, the Court rejects defendant’s assertion that plaintiff’s counsel spent too much time on the
                               For the Northern District of California




                                                            14               summary judgment briefing, as this was the pivotal stage of the litigation. The Court agrees, however,
                                                            15               that plaintiff’s counsel should not recover all of the time spent on preparation for the oral argument/moot
                                                            16               court. The Court finds that 8 hours of preparation time (for attorney Gelman) is reasonable, and
                                                            17               accordingly deducts the balance. Similarly, the Court finds that the time spent on certain tasks, such as
                                                            18               a 3 hour “call to Adams re: Reply,” is excessive and should be reduced.
                                                            19                      The Court also finds that some time entries are too general to provide any meaningful indication
                                                            20               of how the time was spent, and thus those time entries shall be deducted as well. See Trustees of
                                                            21               Directors Guild of America-Producer Pension Benefit Plans v. Tise, 234 F.3d 415, 427-428 (9th Cir.
                                                            22               2000). For example, one time entry for 1.0 hours states “Call to Gelman.” Gelman Decl. Ex. A (5/18/06
                                                            23               time entry for Adams). Other time entries, for 8.0 hours each, simply state “research.” Id. (3/14/06 and
                                                            24               3/16/06 entries). The Court finds these and similar time entries do not allow for meaningful review
                                                            25               because they do not identify the “general subject matter” of the time expenditures. Id. (citing Hensley,
                                                            26               461 U.S. at 437 n.12).
                                                            27                      With these principles in mind, the Court makes the following deductions:
                                                            28                      •       4/25/06         2       Meet with Gelman and Adams re: Case Schedule (reduced to 1)

                                                                                                                                 5
                                                                              Case 3:06-cv-01743-SI        Document 56        Filed 01/17/2007     Page 6 of 6



                                                                         1                                        (Granick)
                                                                         2          •      5/16/06        1       Review of papers in preparation for moot court (Granick)
                                                                         3          •      5/17/06        2       Moot court of Gelman for hearing (Granick)
                                                                         4          •      5/22/06        1.5     Moot court of Gelman for hearing (Granick)
                                                                         5          •      4/3/06         3       Meet with Adams (Gelman)
                                                                         6          •      4/25/06        2       Meet with Adams and Granick re: Case Schedule (reduced to 1)
                                                                                                                  (Gelman)
                                                                         7
                                                                                    •      5/16/06        3       Call to Adams re: Reply (reduced to 1) (Gelman)
                                                                         8
                                                                                    •      5/16/06        3       Call to Adams re: Oral Argument (Gelman)
                                                                         9
                                                                                    •      5/19/06        8       Preparation; Moot Oral Arg. (Gelman)
                                                            10
                                                                                    •      5/20/06        5       Preparation Oral Arg (Gelman)
                                                            11
United States District Court




                                                                                    •      5/22/06        8       Preparation/Moot Oral Arg (Gelman)
                                                            12
                                                                                    •      5/23/06        5       Preparation Oral Arg (Gelman)
                                                            13
                               For the Northern District of California




                                                                                    •      5/19/06        5       Moot Court Prep (Olson)
                                                            14
                                                                                    •      5/22/06        2       Moot Court Prep (Olson)
                                                            15
                                                                                    •      3/14/06        8       Research (Adams)
                                                            16
                                                                                    •      3/16/06        8       Research (Adams)
                                                            17
                                                                                    •      4/25/06        2       Meet with Gelman and Granick re: Case Schedule (reduced to 1)
                                                            18                                                    (Adams)
                                                            19                      •      5/16/06        3       Call to Gelman re: Oral Argument; Review Documents;
                                                                                                                  Strategize for Oral Argument (Adams)
                                                            20
                                                                                    •      5/18/06        1       Call to Gelman (Adams)
                                                            21
                                                                                    These deductions total $15,187.50. Accordingly, the Court GRANTS plaintiff’s motion for fees
                                                            22
                                                                             and costs in the amount of $66,861.39, which represents $82,068.89 in total fees and costs requested
                                                            23
                                                                             minus $15,187.50.
                                                            24
                                                                                    IT IS SO ORDERED.
                                                            25
                                                            26               Dated: January 17, 2007
                                                            27
                                                                                                                                            SUSAN ILLSTON
                                                            28                                                                              United States District Judge

                                                                                                                              6
     Case 3:07-cv-00372-JCH Document 200              Filed 02/17/10 Page 1 of 6



                        UNITED STATES DISTRICT COURT
                      FOR THE DISTRICT OF CONNECTICUT



RASHAD AHMAD REFAAT EL BADRAWI,           )
                                          )
     Plaintiff,                           )
                                          )
       v.                                 )                 Case No. 3:07-cv-00372-JCH
                                          )
                                          )
DEPARTMENT OF HOMELAND                    )
SECURITY, ET AL.,                         )
                                          )
       Defendants.                        )                       February 12, 2010
                                          )
__________________________________________)


    STIPULATION FOR COMPROMISE SETTLEMENT AND RELEASE OF
               CLAIMS REGARDING FEES AND COSTS


       It is hereby stipulated by and between the undersigned Plaintiff, Rashad El

Badrawi, and Defendants, the United States Department of Homeland Security (“DHS”),

through its components, United States Immigration and Customs Enforcement (“ICE”),

United States Citizenship and Immigration Services (“CIS”), and United States Customs

and Border Protection (“CBP”), the United States Department of State (“DOS”), and the

United States Department of Justice (“DOJ”), through its component, Federal Bureau of

Investigation (“FBI”) (hereafter collectively referred to as the “Parties”), by and through

their respective attorneys, as follows:

       WHEREAS, by letter dated October 19, 2006, Plaintiff Rashad El Badrawi

submitted to ICE, CBP, and CIS, components of DHS, to DOS, and to the FBI, a

component of DOJ, requests for records relating to his visas, and his investigation and




                                                                                         1
       Case 3:07-cv-00372-JCH Document 200             Filed 02/17/10 Page 2 of 6



arrest under Operation Frontline pursuant to the Freedom of Information Act, 5 U.S.C. §

552 (“FOIA”); and

          WHEREAS, on March 9, 2007, Plaintiff filed a complaint in this matter against,

inter alia, DHS, DOS, and DOJ seeking the release of such records;

          WHEREAS, in a ruling filed January 14, 2009, and amended February 24, 2009,

the Court ordered disclosure of certain information previously withheld from Plaintiff by

ICE, CBP, CIS, and DOS and did not order any additional information to be disclosed by

FBI;

          WHEREAS, on March 2, 2009, the Court entered an Order holding Defendant

FBI had satisfied its obligations under FOIA and terminating FBI as a defendant in this

action;

          WHEREAS, on July 16, 2009, the Parties filed a Joint Stipulation resolving all

remaining claims, which was approved by the Court on July 23, 2009;

          WHEREAS, on July 29, 2009, judgment entered in part for the Plaintiff and in

part for the Defendants;

          WHEREAS, Plaintiff has indicated his intent to file an application for attorneys’

fees and costs incurred in connection with this litigation pursuant to 5 U.S.C. §

552(a)(4)(E); and

          WHEREAS, the Parties wish to resolve their disputes concerning the anticipated

fees application without further litigation;

          IT IS HEREBY STIPULATED AND AGREED, by and between the Parties, as

follows:




                                                                                         2
 Case 3:07-cv-00372-JCH Document 200                Filed 02/17/10 Page 3 of 6



1. The Parties do hereby agree to settle and compromise each and every claim,

   credit, demand, and right, whether known or unknown, directly or indirectly

   relating to attorneys’ fees and costs incurred by Plaintiff in this litigation, under

   the terms and conditions set forth in this Stipulation for Compromise Settlement

   and Release of Claims (hereinafter “Stipulation”), unless specifically and

   expressly excluded from the terms and conditions of this Stipulation herein.

2. In consideration for the release of Plaintiff’s claims regarding attorneys’ fees and

   costs against ICE, CIS, CBP, DOS and FBI, the United States shall pay to Yale

   Law School within sixty (60) days of the execution of this Stipulation the sum of

   forty-eight thousand dollars ($48,000) via wire transfer to a bank account to be

   designated by Plaintiff’s counsel, which sum Plaintiff and his counsel agree to

   accept as full settlement of any and all claims, credits, demands, rights and causes

   of action for attorneys’ fees and costs incurred by Plaintiff in this action.

3. Plaintiff and his attorneys, including the Allard K. Lowenstein Human Rights

   Clinic   National    Litigation   Project,    and   their   agents,    representatives,

   administrators, and assigns, and each of them, hereby expressly agree to accept

   the payment above-described in paragraph 2 in full settlement and satisfaction of

   any and all claims, credits, demands, rights, and causes of action relating to

   attorneys’ fees and costs incurred in litigating this case, which they may now have

   or hereafter acquire against Defendants ICE, CIS, CBP, DOS, and FBI, the United

   States of America, its agencies, representatives, agents, servants, and employees,

   past or present, in their official or individual capacities.          Plaintiff and his

   guardians, heirs, executors, administrators, and assigns, and each of them, further




                                                                                        3
 Case 3:07-cv-00372-JCH Document 200                Filed 02/17/10 Page 4 of 6



   agree to reimburse, indemnify and hold harmless the United States of America,

   and its agencies (including DHS, DOJ and DOS and their components),

   representatives, agents, servants, and employees, from and against any and all

   such causes of action, claims, liens, rights, or other interests resulting from further

   litigation or prosecution by Plaintiff or his attorneys, representatives, agents,

   administrators, and assigns against any third party or the United States, relating to

   attorneys fees and costs incurred in this litigation.

4. This Stipulation for Compromise Settlement and Release of Claims is not in any

   way intended to be, and should not be construed as, an admission of liability on

   the part of the United States of America, its agencies (including but not limited to

   the DHS, its components CIS, ICE, and CBP, DOS, DOJ and its component

   FBI), representatives, agents, servants, and employees, and it is specifically

   denied that they are liable to the Plaintiff under the Freedom of Information Act,

   for the claims in this litigation, including for attorneys’ fees and costs. This

   settlement is entered into by all Parties for the purpose of compromising disputed

   claims and for avoiding the expenses and risks of further litigation.

5. The Parties agree that this Stipulation, including all the terms and conditions of

   this compromise settlement, may be made public in their entirety, and the Parties

   expressly consent to such release and disclosure pursuant to 5 U.S.C. § 552a(b).

6. The persons signing this Stipulation warrant and represent that they possess full

   authority to bind the persons, entities, agencies and organizations on whose behalf

   they are signing to the terms of the Stipulation.




                                                                                        4
 Case 3:07-cv-00372-JCH Document 200               Filed 02/17/10 Page 5 of 6



7. This Stipulation represents the entire agreement between the Parties with regard

   to the matters set forth herein and no other agreements, understandings or

   representations, oral or otherwise, bind the Parties except as herein expressly set

   forth in writing and signed by all Parties.

8. The Court retains jurisdiction to enforce the provisions of this Stipulation.




           Respectfully submitted,



                          BY:     __/s/________________________
                                  Michael Wishnie, Federal Bar No. ct27221
                                  Hope Metcalf, Federal Bar No. ct27184
                                  Daniel Mullkoff, Law Student Intern
                                  Stephen Poellot, Law Student Intern
                                  Saurabh Sanghvi, Law Student Intern
                                  ALLARD K. LOWENSTEIN INTERNATIONAL
                                  HUMAN RIGHTS CLINIC
                                  NATIONAL LITIGATION PROJECT
                                  127 Wall Street
                                  New Haven, Connecticut 06511
                                  Counsel for Plaintiff




                                                                                    5
     Case 3:07-cv-00372-JCH Document 200           Filed 02/17/10 Page 6 of 6




                                      NORA R. DANNEHY
                                      UNITED STATES ATTORNEY

                                      ___/s/__________________________
                                      LISA E. PERKINS
                                      ASSISTANT U.S. ATTORNEY
                                      450 MAIN STREET
                                      HARTFORD, CT 06103
                                      FEDERAL BAR # ct23164
                                      Phone: 860-947-1101
                                      Fax: 860-760-7979
                                      E-mail: lisa.perkins@usdoj.gov
                                      Counsel for Defendants
                                      February 11, 2010




SO ORDERED:



 /s/ Janet C. Hall
______________________________
Janet C. Hall, United States District Judge
Dated: February ___, 2010
                 16




                                                                                6
\   .   '   .


                                       UNITED STATES DISTRICT COURT
                                      FOR THE DISTRICT OF CONNECTICUT



                RASHAD AHMAD REFAATEL BADRAWI,                      )
                                                                    )
                     Plaintiff,                                     )
                                                                    )
                       v.                                           )       Case No. 3:07-cv-00372-JCH
                                                                    )
                                                                    )
                DEPARTMENT OF HOMELAND                              )
                SECURITY, ET AL.,·                                  )
                                                                    )
                       Defendants.                                  )             February 12,2010
                                                                    )



                    STIPULATION FOR COMPROMISE SETTLEMENT AND RELEASE OF
                               CLAIMS REGARDING FEES AND COSTS


                       It is hereby stipulated by and between the undersigned Plaintiff, Rashad El

                Badrawi, and Defendants, the United States Department of Homeland Security ("DHS"),

                through its components, United States Immigration and Customs Enforcement         ('~ICE"),

                United States Citizenship and Immigration Services ("CIS"), and United States Customs

                and Border Protection ("CBP"), the United States Department of State ("DOS''), and the

                United States Department of Justice ("DOJ"), through its component, Federal Bureau of

                Investigation ("FBI") (hereafter collectively referred to as the "Parties"), by and through

                their respective attorneys, as follows:

                       WHEREAS, by letter dated October 19, 2006, Plaintiff Rashad El Badrawi

                submitted to ICE, CBP, and CIS,. components of DHS, to DOS, and to the FBI, a

                component of DOJ, requests for records relating to his visas, and his investigation and




                                                                                                          1
'   .




        arrest under Operation Frontline pursuant to the Freedom of Information Act, 5 U.S.C. §

        552 ("FOIA"); and

                  WHEREAS, on March 9, 2007, Plaintiff filed a complaint in this matter against,

        inter alia, DHS, DOS, and DOJ seeking the release of such records;

                  WHEREAS, in a ruling filed January 14, 2009, and amended February 24, 2009,

        the Court ordered disclosure of certain information previously withheld from Plaintiff by

        ICE, CBP, CIS, and DOS and did not order any additional information to be disclosed by

        FBI;

                  WHEREAS, on March 2, 2009, the Court entered an Order holding Defendant

        FBI had satisfied its obligations under FOIA and terminating FBI as a defendant in this

        action;

                  WHEREAS, on July 16, 2009, the Parties filed a Joint Stipulation resolving all

        remaining claims, which was approved by the Court on July 23, 2009;

                  WHEREAS, on July 29, 2009, judgment entered in part for the Plaintiff and in

        part for the Defendants;

                  WHEREAS, Plaintiff has indicated his intent to file an application for attorneys'

        fees and costs incurred in connection with this litigation pursuant to 5 U.S.C. §

        552(a)(4)(E); and

                  WHEREAS, the Parties wish to resolve their disputes concerning the anticipated

        fees application without further litigation;

                  IT lS HEREBY STIPULATED AND AGREED, by and between the Parties, as

        follows:




                                                                                                 2
1. The Parties do hereby agree to settle and compr~mise each and every claim,

   credit, demand, and right, whether known or unknown, directly or indirectly

   relating to attorneys' fees and .costs incurred by Plaintiff in this litigation, under

   the terms and conditions set forth in this Stipulation for Compromise Settlement

   and Release of Claims (hereinafter "Stipulation"), unless specifically and

   expressly excluded from the terms and conditions of this Stipulation herein.

2. In consideration for the release of Plaintiffs claims regarding attorneys' fees and

   costs against ICE, CIS, CBP, DOS and FBI, the United States shall pay to Yale

   Law School within sixty (60) days of the execution of this Stipulation the sum of

   forty-eight thousand dollars ($48,000) via wire transfer to a bank account to be

   designated by Plaintiffs counsel, which sum Plaintiff and his counsel agree to

   accept as full settlement of any and all claims, credits, demands, rights and causes

   of action for attorneys' fees and costs incurred by Plaintiff in this action.   .

3. Plaintiff and his attorneys, including the Allard K. Lowenstein Human Rights

   Clinic   National    Litigation   Project,   and    their   agents,    representatives,

   administrators, and assigns, and each of them, hereby expressly agree to accept

   the payment above-described in paragraph 2 in full settlement and satisfaction of

   any and all claims, credits, demands, rights, and       ca~es   of action relating to

   attorneys' fees and costs incurred in litigating this case, which they may now have

   or hereafter acquire against Defendants ICE, CIS, CBP, DOS, and FBI, the United

   States of America, its agencies, representatives, agents, servants, and employees,

   past or present, in their official or individual capacities.          Plaintiff and his

   guardians, heirs, executors, administrators, and assigns, and each of them, further




                                                                                        3
   agree to reimburse, indemnify and hold harmless the United States of America,

   and its agencies (including DHS, DOJ and DOS and their components),

   representatives, agents, servants, and employees, from and against any and all

   such causes of action, claims, liens, rights, or other interests resulting from further

   litigation or prosecution by Plaintiff or his attorneys, representatives, agents,

   administrators, and assigns against any third party or the United States, relating to

   attorneys fees and costs incurred in this litigation.

4. This Stipulation for Compromise Settlement and Release of Claims is not in any

   way intended to be, and should not be construed as, an admission of liability on

   the part of the United States of America, its agencies (including but not limited to

   the DHS, its components CIS, ICE, and CBP, DOS, DOJ and its component

   FBI), representatives, agents, servants, and employees, and it is specifically

   denied that they are liable to the Plaintiff under the Freedom of Information Act,

   for the claims in this litigation, including for attorneys' fees and costs. This

   settlement is entered into by all Parties for the purpose of compromising disputed

   claims and for avoiding the expenses and risks of further litigation.

5. The Parties agree that this Stipulation, including all the terms and conditions of

   this compromise settlement, may be made public in their entirety, and the Parties

   expressly consent to such release and disclosure pursuant to 5 U.S.C. § 552a(b).

6. The persons signing this Stipulation warrant and represent that they possess full

   authority to bind the persons, entities, agencies and organizations on whose behalf

   they are signing to the terms of the Stipulation.




                                                                                        4
7. This Stipulation represents the entire agreement between the Parties with regard

   to the matters set forth herein and no other agreements, understandings or

   representations, oral or otherwise, bind the Parties except as herein expressly set

   forth in writing and signed by all Parties.

8. The Court retains jurisdiction to enforce the provisions of this Stipulation.




           Respect_fully _submitted,



                           BY:   ~1._                       z,I,, //U
                                  Micel Wishnie, Federal Bar No. ct27221
                                  Hope Metcalf, Federal BarNo. ct27184
                                  Daniel Mullkoff, Law Student Intern
                                  Stephen Poellot, Law Student Intern
                                  Saurabh Sanghvi, Law Student Intern
                                  ALLARD K. LOWENSTEIN INTERNATIONAL
                                  HUMAN RIGHTS CLINIC
                                  NATIONAL LITIGATION PROJECT
                                  127 Wall Street
                                  New Haven, Connecticut 06511
                                  Counsel for Plaintiff




                                                                                    5
..



                                           NORA R. DANNEHY
                                           ~TED STATES ATTORNEY



                                           LISA E. PERKINS
                                           ASSISTANT U.S. ATTORNEY
                                           450 MAIN STREET
                                           HARTFORD, CT 06103
                                           FEDERAL BAR # ct23164
                                           Phone:860-947-1101
                                           Fax: 860-760-7979
                                           E-mail: lisa.perkins@usdoj.gov
                                           Counsel for Defendants
                                           February 11, 2010




     SO ORDERED:




     Janet C. Hall, United States District Judge
     Dated: February_, 2010




                                                                            6
                     Case 4:08-cv-00109-JRH-GRS                    Document 27             Filed 06/17/2009            Page 1 of 1


           AO 450 (GAS Rev 10/03)Judgment in a Civil Case



                                         United States District Court
                                                   Southern District of Georgia
                     HARRY SP!RIDES,

                       Plaintiff,
                                                                                     JUDGMENT IN A CIVIL CASE


                                              V,                                   CASE NUMBER:          CV408-!09

                     UNlTED STATES COAST GUARD,

                       Defendant.




                       Jury Verdict. This action came before the Court for a trial by jmy. The issues have been tried and the jury
              0        has rendered its verdict.

                       Decision by Court. This action came before the Court, The issues have been considered and a decision has been
                       rendered.

                       IT IS ORDERED AND ADJUDGED

                       that in accordance with the Order entered on June 17, 2009, the offer of judgment having been

                       accepted by the plaintiff on June 8, 2009, judgment is hereby ENTERED for the plaintiff in the

                       amount of$15,000 and this case stands CLOSED.




              June I 7, 2009                                                      Scott L. Poff
              Date                                                               Clerk


                                                                                    Q '0
                                                                                 (By)   Deputy~
GAS Rll"V 10.'1103
Case 4:08-cv-00109-JRH-GRS       Document 26         Filed 06/17/2009       Page 1 of 1



               IN THE UNITED STATES DISTRICT COURT FOR THE
                      SOUTHERN DISTRICT OF GEORGIA
                            SAVANNAH DIVISION



    HARRY SPIRIDES,                       *
                                          *
                Plaintiff,                *
                                          *           cv 408-109
                v.                        *
                                          *
    UNITED STATES COAST GUARD,            *
                                          *
                Defendant.                *


                                    0 R DE R



          On May 28,      2009,     Defendant submitted to Plaintiff an

    offer of      judgment     under     Fed.   R.     Ci v.   P.    6 8.      Plaintiff

    accepted      this   offer      on   June    8,      2009.       (Doc.     no.    25.)

    Accordingly,      the Clerk is directed to enter final judgment

    for Plaintiff in the amount of $15,000 and CLOSE the case.

          ORDER      ENTERED   at   Augusta,         Georgia,       this    /?M   day     of

    June, 2009.




                                              UNITED STATES DISTRICT JUDGE
                                              SOUTHERN DISTRICT OF GEORGIA
                       IN THE UNITED STATES DISTRICT COURT
                      FOR THE SOUTHERN DISTRICT OF GEORGIA
                                SAVANNAH DIVISION

HARRY SPIRIDES,                                      )
                                                     )
       Plaintiff,                                    )
                                                     )
v.                                                   ) CIV NO. 4:08 CV-109
                                                     )
UNITED STATES COAST GUARD,                           )
                                                     )
    Defendant.                                       )
___________________________ )
                     NOTICE OF ACCEPTANCE OF DEFENDANT'S
                       OFFER OF JUDGMENT UNDER RULE 68

       On May 28, 2009, the United States of America, on behalf of the Federal Defendant

submitted an offer of judgment to Plaintiff under Federal Rule of Civil Procedure 68, attached.

       Plaintiff understands this offer of judgment to be for the payment of fifteen thousand

dollars ($15,000) in a lump sum as payment for Plaintiff's claims in the above styled case

brought under the Freedom oflnformation Act, 5 U.S.C § 552.

       Plaintiff hereby accepts this offer of judgment.

       This 8th day of June, 2009.

                                             Respectfully submitted,
                                             SHEA STOKES ROBERTS & WAGNER, ALC

                                             s! Peter G. Fischer
                                             Peter G. Fischer
                                             Georgia Bar No. 26 I 946
                                             3593 Hemphill Street
                                             College Park, GA 30337
                                             (404) 766-0076- Telephone
                                             (404) 766-8823- Facsimile
                                             Attorney for Plaintiff
                        IN THE UNITED STATES DISTRICT COURT
                       FOR THE SOUTHERN DISTRICT OF GEORGIA
                                 SAVANNAH DIVISION

HARRY SPIRIDES,                                      )
                                                     )
       Plaintiff,                                    )
                                                     )
v.                                                   ) CIV NO. 4:08 CV-109
                                                     )
UNITED STATES COAST GUARD,                           )
                                                     )
    Defendant.                                       )
_________________________ )
                                 CERTIFICATE OF SERVICE

       I hereby certify that a copy of the foregoing Notice of Acceptance of Defendant's Offer of

Judgment Under Rule 68 was filed electronically through the Court's electronic filing system and

via electronic mail to: delora.kennebrew@usdoj.gov.       Notice of this filing will be sent by

operation of the Court's electronic filing system to all parties indicated on the electronic filing

receipt. The party below may access this filing through the Court's electronic filing system.

       De lora L. Kennebrew
       Assistant United States Attorney
       P.O. Box 8970
       Savannah, Georgia 31412

       Attorney for Defendants


       This 8th day of June, 2009.



                                             s/ Peter G. Fischer
                                             Peter G. Fischer
                            IN THE UNITED STATES DISTRICT COURT
                           FOR THE SOUTHERN DISTRICT OF OEOROJA
                                     SA VANNAI-I DIVISION
HARRY SPIRIDES                                       )
                                                     )
        PlaintitT,                                   )
                                                     )
        v.                                           ) CIV NO. 4:08-cv-1 09-JRH-GRS
                                                     )
UNITED STA'l'ES COAST GUARD,                         )
                                                     )
                                                     )
 _________________________ )
        Defendant.                                   )


                                    OFFER OF JUDGMENT

       TO:      Peter G. Fischer, Esq.
                Attomey forPlaintiff
                3953 Hemphill Street
                College Park, Georgia 30337

        The United States of America on behalf of the Federal Defendm1t in the above-styled action,

the United States Coast Guard, hereby makes an offer of judgment to the Plaintiff, Hany Spirides,

pursuant to Federal Rule of Civil Procedure 68 as follows:

        I. The payment of$15,000, which lump sum represents payment in full and final satisfaction

of any and all claims alleged by the Plaintiff in and related to his suit, CV 408-109, brought under

the Freedom oflnfom1ati01i Act, 5 U.S.C.   ~552.

        2. Thepayment of$15,000 constitutes full and complete payment of any and all attorney

fees and costs accmed to date.
        This offer of judgment is made for the purposes speciJied in Rule 68 and is not       to   be

construed as an admission that the Federal Defendant is liable in this action or that Plaintiff has

suffered any damages, In accordance with Rule 68, this offer is withdrawn if not accepted within

ten days of its service.
Dated this 28'11 day of May, 2009.

                                     Respectfully submitted,

                                     EDMUND A. BOOTH, JR.
                                       !TED STATES ATTORNEY




P. 0. Box 8970
Savannah, Georgia 31412
(912) 652-4422/ext. 512




                                        2
                                 CERTIFICATE OF SERVICE
       l hereby certify that on May 28'", :2009, Tserved a copy of the foregoing Offer of Judgment

upon Plaintifl's counsel of record by electronic mail and by placing such copy in a postpaid envelope

addressed to:


       Peter G. Fischer, Esq.
       Shea, Stokes, Roberts and Wagner, ALC
       3993 Hemphill Street
       College Park, GA 30337


and depositing said envelope and its contents in the United States mail at Savannah, Georgia

       This 28'" day of May, 2009.


                             @t __ J.. \s, J:s
                            Delor1t1::Kennebrew
                            Assistant United States Attorney
                            Georgia State BarNo. 414320


Post Ofticc Box 8970
Savannah, Georgia 31412
(912) 652-4422/ext. 512




                                                  3
                      IN THE UNITED STATES DISTRICT COURT
                          FOR THE DISTRICT OF COLORADO

Civil Action No. 08-cv-00570-REB-MEH

CARLOS FROILAN GANDIAGA,

       Plaintiff,

v.
UNITED STATES DEPARTMENT OF HOMELAND SECURITY, and
UNITED STATES CITIZENSHIP AND IMMIGAATION SERVICES,

       Defendants.


                               SETTLEMENT AGREEMENT


       It is hereby stipulated by and between Plaintiff and Defendants as follows:

       1.      Plaintiff has previously moved for voluntary dismissal of this actlon, and

Defendants do not oppose that motion. In this document, the parties hereby agree to

settle and compromise each and every claim for attorney's fees and costs, whether

known or unknown, arising directly or indirectly from the acts or omissions that gave rise

to the above-captioned action, under the terms and conditions set forth in this

Settlement Agreement.

       2.       This SeHiement Agreement is not, is in no way intended to be, and shall

not be construed as. an admission of any liability. delay. or fault on the part of

Defendants or their agents, servants, or employees. This Settlement Agreement is

entered into by ·all parties for the purpose of compromising disputed fees and costs and

avoiding the expenses and risks of further litig~tion. This Settlement Agreement Is not
an admission by Defendants of the truth of any allegation or the validity of any claim

asserted in this lawsuit. Furthermore. none of the terms of this Settlement Agreement

may be offered or received in evidence or in any way referred to in any civil, criminal or

administrative action or proceeding other than proceedings that may be necessary to

consummate or enforce this agreement.

       3.     Defendants agree to pay Plaintiff SIX THOUSAND DOLLARS ($6~000) in

settlement of Plaintiffs attorney's fees and costs In this action. Payment of the

settlement amount will be made by check drawn on the Treasury of the United States

for SIX THOUSAND DOLLARS ($6,000), and made payable to Plaintiffs attomey,

Reed Allen, Esq.

       4.     Plaintiff and his agents. administrators and assigns agrees to accept this

amount In full setUement and satisfaction of any and all claims (or demands, rights, or

causes of action) for attorney's fees and costs against Defendants, of whatsoever kind

and nature, arising out of or in connection with any event related to this action and

occurring prior to the date this Settlement Agreement is fully executed.

       5.     In conjunction with this agreement, the parties further agree that they will

execute and file a Stipulated Motion to Dismiss pursuant to Fed. R. Civ. P. 41 (a)(l)(ii),

dismissing this case with prejudice.

       6.     This Settlement Agreement Is executed without reliance upon any

representation by Defendants as to tax consequences, and Plaintiff is responsible for

the payment of any and all taxes that may be associated with the settlement payments.


                                             2
Compliance with all applicable federal. state, and local tax requirements shall be the

sole responsibility of Plaintiff.

       7.      This Settlement Agreement contains the entire agreement between the

parties hereto. and Plaintiff acknowledges and agrees that no promise or representation

not contained in this Settlement Agreement have been made to him, and acknowledges

and represents that this Settlement Agreement contains the entire understanding

between the parties to this Settlement Agreement and contains all terms and conditions

pertaining to the compromise and settlement of the disputes referenced herein. No oral

or wriHen statement. remark, agreement, or understanding that is not contained herein

shall be recognized or enforced, nor does this Settlement Agreement reflect any

agreed-upon purpose other than the desire of the parties to reach a full and final

conclusion of the litigation and to resolve that suit without the time and expense of

further litigation.

        8.      This Settlement Agreement cannot be modified or amended except by an

instrument in writing, agreed to and signed by the parties to this Settlement Agreement,

nor shall any provision hereof be waived other than by a written waiver signed by the

parties to this Settlement Agreement.

        9.      This Settlement Agreement shall be binding upon and inure to the benefit

of Plaintiff and Defendants and their respective assigns and representatives, including

any person, entity, department, or agency succeeding to the interests or obligations of

any party hereto or having an interest herein.   10.   Plaintiff has discussed this


                                             3
. . ..


         Settlement Agreement with his counsel, understands the terms and conditions of this

         Settlement Agreement, and Is fully authorized to enter into it.

                10.    This agreement may be signed in counterparts. Facsimile transmissions

         of the original signatures to this agreement shall have the same effect as the original

         signatures.




                                                      4
Executed this   t?   day of    Dt.b~ooa.

~--------
Attorney for Plaintiff


                 dC"'         (]o ,J..._..
           this~ day of
£--
Executed



Kevin Traskos
                                       _ _ _ . 2008.




Assistant U.S. Attorney
Attorney for Defendants


Executed this_ day of                         • 2008.



JDCm~--             .
::=e.s\~5E31tr~~~~~~j~~
.4tt8r~s, fsr l!IBSJS           fA~LI S fO 1 ~
                                                    TABLE OF CONTENTS

I.      Basic Information Regarding Report............................................................................................................. iv

IT.     Making a FOTA Request ........................................................•........................................................................ iv

Ill.    Acronyms, Definitions, and Exemptions ....................................................•.....................................•............. iv

IV.     Exemption 3 Statutes ........................................................................................................................................ }

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

VI.     Administrative Appeals of Init ial Determinations of FOIA Requests ......................................................... 5
                 A. Received, Processed, and Pending Administrative Appeals ...................................................... 5
                 B. Disposition of Administrative Appeals- All Processed Appeals .............................................. 6
                 C. (I) Reasons for Denial on Appeal- Number of Times Exemptions Applied ............................ 6
                      (2) Reasons for Denial on Appeal- Reasons Other than Exemptions ....................................... 6
                      (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 ....................................................................... 7

Vll.    FOTA 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 Infonnation
                     was Granted .............................................................................................................................. 9
                C. Processed Requests - Response T ime in Day Increments .......................................................... 9
                    (I) Simple Requests Response Time in Day Increments ........................................................... 9
                    (2) Complex Requests Response Time in Day Increments...................................................... 10
                    (3) Requests Granted Expedited Processing Response Time in Day Increments ................... 10
                D. Pending Requests- All Pending Perfected Requests ............................................................... II
                E. Pending Requests- Ten Oldest Pending Perfected Requests ................................................... 12

VID. 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

X.      Fees Collected for Processing Requests ........................................................................................................ 14

XL      FOIA Regulations (Includ ing Fee Schedule) ................................................................................................ lS

XII.    Backlogs, Consultations, a nd Comparisons.................................................................................................. IS
                  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



                                                                                                                                                                       11
            D. (I) 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. (I) Comparison of Numbers of Administrative Appeals from Previous and Current
               Amlllal 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 ofthe 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




                                                                                                                                                      111
I.     Basic Informa tion Regarding Report
         I. Questions regarding this report may be directed to:

                  Catherine M. Papoi
                  Deputy ChiefFOIA Officer
                  Director, Disclosure & FOIA
                  Privacy Office
                  Department of Homeland Security
                  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 fonn may also be directed to Catherine M. Papoi, as listed above.

II.    Making a FOIA Request
        I. Names, addresses, and contact numbers for DHS FO IA 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 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 of
         Homeland Security 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 oflnformation Act. The Department of Homeland Security commonly
         invokes exemptions 6 and 7(C) to prevent unwarranted injury to the privacy interests of individuals,
         exemption 7(E) to protect against the disclosure of law enforc.e ment techniques, procedures and guidelines,
         and exemption 2 to protect against disclosure of certain types of infonnation the release of which is likely
         to risk circumvention of laws or regulations.

Ill.   Acronyms, Definitions, a nd Exemptions
         I. Agency-specific acronyms or other tenns.
             a. CBP            United States Customs and Border Protection
             b. CFO            Chief Financial Officer
             c. CISOMB         Citizenship and Immigration Services Ombudsman
             d. CNE            Office ofCountemarcotics Enforcement
             e. CRCL           Office for Civil Rights & Civil Liberties
             f. DNDO           Domestic Nuclear Detection Office
             g. ESEC           Office of the Executive Secretary
             h. FEMA           Federal Emergency Management Agency
             i. FLETC          Federal Law Enforcement Training Center
             j. I&A            Offtc.e oflntelligence and Analysis
             k. IGA            Office oflntergovemmental Affairs
             I. ICE            United States Immigration and Customs Enforcement
             m. MGMT           Management Directorate
             n. NCSC           National Cyber Security Center
             0. NPPD           National Protection and Programs Directorate
             p. OGC            Office of the General Counsel
             q. OHA            Office of Health Affairs
             r. OIG            Office of the Inspector General
             s. OLA            Office of Legislative Affairs
             t.  OPA           Office of Public Affairs
             u. OPS            Office of Operations Coordination and Planning
             v. PLCY           Office of Policy

                                                                                                                   lV
    w. PRIV            Privacy Office
    X.  S&T            Science and Technology Directorate
    y. TSA             Transportation Security Administration
    z. USCG            United States Coast Guard
    aa. USCIS          United States Citizenship and Immigration Services
    bb.  usss          United States Secret Service
    cc. US-VISIT       United States Visitor and Immigrant Status Indicator Technology

2. Defmition of terms, expressed in common terminology.
    a. Administrat ive Appea l - 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.   Aver age Number- The number obtained by dividing the sum of a group of numbers by the
         quantity of numbers in the group. For example, of3, 7, and 14, the average number is 8.

    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.   C omponent - 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.   C onsultation - The procedure whereby the agency responding to a FOIA requests first forwards a
         record to another agency for its review because tha.t other agency has an interest in the document.
         Once the agency in receipt of the consultation finishes its review of the record, it responds back to
         the agency that forwarded it. That agency, in turn, will then respond to the FOIA requester.

    f.   Exempt ion 3 Statute - A federal statute other than FOIA that exempts information from
         disclosure and which the agency relics on to withhold information under subsection (b)(3) of the
         FOIA.

    g.   FOIA R equest - 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
                       A
         interest. FOT requests also include requests made by requesters seeking records concerning
         themselves (i."e., "first-party" requests) when those requesters are not subject to the Privacy Act,
         such as non-U.S. citizens. Moreover, because all first-party requesters should be afforded the
         benefit of both the access provisions ofthe FOIA as well as those of the Privacy Act, FOIA
         requests also include any ftrst-party requests where an agency determines that it must search
         beyond its Privacy Act "systems of records" or where a Privacy Act exemption applies, and the
         agency looks to FOIA to afford the greatest possible access. All requests which require the
         agency to utilize the FOIA in responding to the requester are included in this Report.

         Additionally, a FOIA request includes records referred to the agency for processing and direct
         response to the requester. It does not, however, include records for which the agency has received
         a consultation from another agency. (Consultations are reported separately in Section XII of this
         Report.

    h.   F ull G ra nt - An agency decision to disclose all records in full in response to a FOIA request.

    1.   F ull Denia l - 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.   Media n Number - The middle, not average, number. For example, of 3, 7, and 14, the median
         number is 7.

                                                                                                                 v
    k.   Multi-T rack P rocessing - 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.
             1.     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.
             111.   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.

    I.   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 P ending Administrat ive Appeal - A request or administrative appeal for
       which an agency has not taken final action in all respects.

    n.   Perfected R equest - 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 frnal 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 ofFOIA exemptions:
    a. Exe mption 1: classified national defense and foreign relations information

    b.   Exe mption 2: internal agency rules and practices

    c.   Exe mption 3 : information that is prohibited from disclosure by another federal law

    d.   Exe mption 4: trade secrets and other confidential business information

    e.   Exe mption 5: inter-agency or intra-agency communications that are protected by legal privileges.

    f.   Exemption 6: information involving matters of personal privacy

    g.   Exe mption 7: records or infonnation 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



                                                                                                               VI
     guidelines for law enforcement investigations or procedures, or F) could reasonably be expected to
     endanger the life or physical safety of any individ ual.

h.   Exemption 8: information relating to the supervision of financial institutions

1.   Exemption 9: geological information on wells




                                                                                                   Vll
         IV.       Exemption 3 Statutes

                                                                                                                                  Total Number of
                                                                                                       !\umber of Times Relied
           Statute           Type of Information Withheld                  Case Citation                                         Times Relied upon
                                                                                                         upon per Component
                                                                                                                                     by Agency
                                                                 Mexerhoffv. EPA 958 F.2d
                             Financial disclosure information
                                                                 1498, 1500-02 (9th Cir. 1992);
5 U.S.C. app. § I 07(a)      pertaining to certain government                                            FEMA              I             I
                                                                 Con~DI<i!.lD v Eal. 606 F. Supp
                             employees
                                                                 2d 14, 33 (D. D.C. 2009).

                                                                                                         FEMA              I
                             Critical Infrastructure
6   u.s.c. § 133             Information
                                                                                                                                         2
                                                                                                         NPPD              I


                                                                 Na!'l lnst. o{Mili~ Jystice v.
                                                                 DOD. 404 F. Supp. 2d 325, 335-
                             Certain "sensitive information of   37 (D. D.C. 2005), aff'd on other
                             foreign governments" and            ~ 512 F.3d 677 (D.C. Cir.               USCG              7
10 U.S C.§ 130c                                                                                                                          7
                             certain international               2008), cert. denied, 129 S. Ct. 775
                             organizations                       (U.S. 2008); ACLU v. DOD. 389
                                                                 F. Supp 2d 547, 554 (S.D.N.Y.
                                                                 2005).

                             Organization or any function of,
                             and certain information             Miller v OOJ, 562 F. Supp. 2d
                             pertaining to, employees of the     82, 112 (D.D C. 2008); Wickwire
10 u.s.c. § 424              Defense Intelligence Agency,        Qavin P.!:;. v. Def. Int!;lligence      USCG              I             1
                             the National Reconnaissance         Agencx. 330 F. Supp 2d 592, 602
                             Office, and the National            (E.D. Va. 2004).
                             Geospatial-lntelligence Agency
                                                                 Mendoza v. DEA, No. 07-5006,
                                                                 2007 U.S. App. LEXIS 22175
                             Wiretap requests and the content    (D.C. Cir. Sept. 14, 2007) (per
                             of any wire, oral, or electronic    curiam); Lam Lek Chong_v. DE~
18 u.s.c. §§ 2510-20         communication obtained through      929 F.2d 729, 733 (D.C. Cir.            usss              17           17
                             wiretaps                            1991); Payne v. DOJ, No 96-
                                                                 30840, slip op. at 5-6 (5th Cir.
                                                                 July II, 1997).
                             Mailing obscene or crime-
18 U.S.C. § 1461
                             inciting matter
                                                                                                         usss              I             I
                                                                 Church QfScientology v. IRS,
                             Certain tax return information      484 u.s. 9, 15 (1987) (26 u.s.c.
26 u.s.c. §§ 6103,6105       and certain tax convention          § 6103); Tax Anal~ts v, IRS, 217        USCIS            968           968
                             information                         F. Supp. 2d 23, 27-29 (D.D.C.
                                                                 2002) (26 U.S.C. § 6105).
                                                                                                        FEMA              12
                             Contractor proposals that are in    Hombo~tel   v. U.S. Den't of the        l&A               I
                             the possession or control of an     Interior, 305 F. Supp. 2d 21, 30        ICE              3
                             executive agency and that have      (D.D.C. 2003), summarv                 MGMT              8
41 U.S.C. § 253b(rn)(l)                                                                                                                 29
                             not been set forth or               affirmance granted, 2004 WL            NPPD               I
                             incorporated by reference into      1900562 (D.C. Cir. Aug. 25,             O IG             2
                             contracts                           2004).                                 USCG               1
                                                                                                        USCIS              1
                                                                 Legal & Safet:x Emnloxer
                             Contractor bid or proposal          Re~arch In~;. v. U.S. D~D't Qfth!;
41 U.S.C. § 423(a)(l)        information; source selection       t.r!:m!. No. Civ. 5001748,2001          USCG              s             s
                             information                         WL 34098652, at • 3-4 (E.D. Cal.
                                                                 2001) (dictum).
                                                                                                                                             Total Number of
                                                                                                            Number of Times Relied
          Statute            Type of Information Withheld                   Case Cita tion                                                  Times Relied upon
                                                                                                             upon per Component
                                                                                                                                               by Agency
                                                                                                               CBP              468
                                                                  Tooley v. Bush, No. 06-306, 2006
                                                                  WL 3783142, at •19 (D.O. C. Dec.            FEMA                  I
                                                                  21, 2006), rev'd & remanded in
                             Information obtained or
                                                                  uart on Qther grQund~ ~ub nom.               ICE                  80
                             developed in carrying out
                                                                  Tool~:v v. Na[!Qiitano, 556 F.3d
                             security under the authority of
49 U.S.C. § 114(r)                                                836 (D.C. Cir. 2009), reh'g                  OIG                  I                 632
                             the Aviation and Transportation
                                                                  granted & judgment vacated, No.
                             Act or under chapter 449 of this
                                                                  07-5080, 2009 U.S. App. LEX IS              PRIV                  5
                             title
                                                                  14307 (D.C. Cir. July I, 2009);
                                                                  Gordon v. FBI, 390 F. Supp. 2d               S&T                  I
                                                                  897, 900 (N.D. Cal. 2004).
                                                                                                               TSA                  76
                                                                  Larson v. Den' ! of State, 565 F.3d
                             Intelligence sources and
                                                                  857, 865 n.2 (D.C. Cir. 2009);
                             methods; certain information
                                                                  Berman v. CIA, 50 1 F.3d 1136,
                             pertaining to Agency employees,
                                                                  1137-38, 11 40 (9th Cir. 2007);
50 u.s.c. § 403g             specifically: "the organization,                                                 USCG                  I                  I
                                                                                      ,
                                                                  Makl:y v. Chertoff 489 F. Supp.
                             functions, names, official titles,
                                                                  2d 421 , 442 (D. N.J. 2007), aff'd
                             salaries, or numbers o f personnel
                                                                  on other grounds, 541 F. 3d 205
                             employed by the Agency"
                                                                  (3d Cir. 2008)
                                                                  Su~smM v USMS. 494 F.3d
                                                                  1106, 1113 (D.C. Cir. 2007);
                                                                  E!lnd fQr ~Qn~tiil!tiQniJI QQv'l v.         users                 I
                                                                  Nat'l Archives & Records Serv.,
                                                                  656 F.2d 856, 867-68 (D.C. Cir.
                             Certain records pertai ning to
Fed. R. Crim. P. 6(e)                                             1981 ); Durham y !,l.S. A!.!X,                                                       9
                             grand jury proceedings
                                                                  Gen., No. 06-843, 2008 WL
                                                                  620744, at •2 (E. D. Tex. Mar. 3,
                                                                  2008); Cozen Q'Connor y !.l S.              usss                  8
                                                                  Dep't ofTreasurv, 570 F. Supp.
                                                                  2d 749, 776 (E.D. Pa. 2008).

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

                                        Number of Requests                                                                               Number of Requests
                                                                        Number of Requests               i'iumbe r of Requests
             Component                  Pending as of Start of                                                                           Pending as of End of
                                                                       Received in Fiscal Year          Processed in F iscal Year
                                            Fiscal Year                                                                                      Fiscal Year
                CBP                             487'                            18,948                           18,639                          796
               CRCL                                II                             20                               24                             7
               FEMA                               8891                            760                             794                            855
               FLETC                               36                             145                             169                            12
                I& A                                8                             46                               48                             6
                ICE                                83§                           8,523                           8,570                           36
               MGMT                                10                             256                             253                            13




        · The following infonnation is important to interpret the FOIA request data presented in this Annual Report: I)
        PRJV 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, CNE, 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 ofNPPD,
        it processes its own FOIA requests and its request data is reported as if it were a component. Finally, readers of the
        Annual Report should consider the contents of this footer to apply, as necessary, to all tables in the report.
        t Corrected number due to component reporting error in FY 2009.
        ! Corrected number due to component reporting error in FY 2009.
        § Corrected number due to component reporting error in FY 2009.


                                                                                                                                                       2
                                           Number of Req uests                                                                                Number of Requests
                                                                          Number of Requests               IIi umber of Requests
              Component                    Pending as of Start of                                                                             Pending as of End of
                                                                         Received in Fiscal Year         Processed in Fiscal Year
                                               Fiscal Year                                                                                        f iscal Year
                 NPPD                              19""                            ISS                               127                               47
                 OGC                                t91t                            41                                35                              25
                 OIG                                 9                             187                                192                              4
                 OPS                                 0                              47                                47                               0
                 PLCY                               18H                             37                                55                               0
                 PRIV                              951    *                        1,113                             1,163                            45
                 S&T                                 2                              39                                40                               I
                 TSA                                270                            716                               557                              429
                 USCG                               385                           4,102                              3,958                            529
                IJSCIS                           24,292···                        91,503                         100,872                            14,923
                 usss                              554ttt                          1,526                             1,45 1                           629
               US-VISIT                              I                             1,934                             1,657                            278
          AGENCY O VERALL                        27,186lU                         130,098                        138,651                            18,633


                       B. (I) Disposition of FOIA Requests- All Processed Requests
                           No. of                                       Number of Full Denials Based on    Rea~oos Other       than Exemptions
                                    No. of Full
               !lio. of   Partia l
                                      Denials                   All                      Fee-      Not    Improper             Not
!Compone nt      Full     G ra nts/              No                     Request                                                        Duplicate
                                     Based on                 Records                Related    Reasonably FOIA               Agency                 Other      Total
               Grants     Pa rtia l
                                    Exemptions Records        Referred
                                                                       Withdrawn
                                                                                     Reason     Described Request             Record
                                                                                                                                       Request
                          Denials
   CBP          1,997      8,824       76          3,896       1,211        114          60        76          2,100           154        99           32       18,639
  C RCL           3          5         0            12           2           2             0       0             0              0         0            0          24
  FEMA           146        225        14           109         56          87            13       23           66              5         27           23        794
  FLETC          29         45         4            22           15         14             I       3             6              0         2            28         169
   I&A            7          II        2            17           2           I             0       5             I              2         0            0          48
    ICE         431        5,288      167           298        2, 111       41            17       20           95              3         69           30       8,570
  MGMT           42         81         8            22          64           4            14       7             4              I         0            6         253
   NPPD          16          58        5             II          18          5             4       2             8              0         0            0          127
   OGC            2          II        I             9           4           3             0       0             0              0          I           4          35
   0 10          II         98         12           30           9           !             2       0            !9              I         3            6         192
   OPS           10          17        0             14          4           0             0        !            !              0         0            0          47
   PLCY          36          5         0             5           3           2             1       0             I              2         0            0          55
   PRIV          26         107       47            41         657          14            18       100          62             26         34          31         1, 163
   S&T            4          9         2             7           16          1             0        I            0              0         0            0          40
   TSA           78         161       56            80           II         85           20        14            9             21         19           3         557
  USCG          1,909       704       307           564         127         99            17       8            140             14        49          20        3,958
  USC1S        I 1,943     61,119     202          5,756       2,023        168          154        I         14,808          3,486      1,092        120       100,872
   usss          25         235       62           352           0          59             7        I           88             616        4            2        1,451




          •• Corrected number due to component reporting error in FY 2009.
          t t Corrected number due to component reporting error in FY 2009.
          u Corrected number due to component reporting error in FY 2009.
          §§ Corrected number due to component reporting error in FY 2009 .
          ... Corrected number due to component reporting error in FY 2009.
          ttt Corrected number due to component reporting error in FY 2009.
          m Corrected number due to component reporting error in FY 2009.

                                                                                                                                                            3
                            No. of No. of Full                           Number of Full Denials Based on Reasons Other than Exemptions
                 No. of     Partial
                                      Denials                  All               Fee-            Not     Improper      Not
Co!ll(l(lnent     Full      Grants/              No                    Request                                                 Duplicate
                                     BQstd on                Records            Related       Reasonably FOIA         Agency                     Other      Total
                 Grants     Partial                                                                                            Request
                                    Exemptions Records       Referred
                                                                      Withdrawn
                                                                                Reason         Described Request      Record
                            Denials
 US-VISIT          6         1,623      2            12         0            13         0          0           0        I         0                0         1,657
AGE~'CY
                 16,721     78,626     967        11,257      6,333          713        328      262       17,408     4,332     1,399             305       138,651
OVERALL

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

                Component                                  Description                            No. of Times Used                        TotHI
                                                  Coordinated by Another Office                           10
                  Cl3P                             Records Publicly Available                             10                                32
                                                    Unable to Locate Records                              12
                                                           Aggregated                                     I
                  FEMA                            Coordinated by Another Office                           16                                23
                                                   Records Publicly Available                             6
                                             Nonresponsive to Requests for Additional
                 FLETC                                                                                    28                                28
                                                          Information
                                                             Fugitive                                     20
                   lCE                                      Litigation                                    3                                 30
                                                   Unable to Locate Requester                             7

                 MGMT                              Records Publicly Available                             6                                 6

                  OGC                                       Litigation                                    4                                  4

                                                  Coordinated by Another Office                           I
                                             Defer to Other Agency Recommendation                         I
                                             Nonresponsive to Requests for Additional
                   OIG                                                                                    I                                 6
                                                           Information
                                                   Records Publicly Available                             I
                                                   Unable to Locate Requester                             2
                                                          Aggregated                                      IS
                                                 Coordinated by Another Office                            s
                                             Nonresponsive to Requests for Additional
                                                                                                          I
                  PRlV                                    Information                                                                       31
                                                   Records Publicly Available                             8
                                                             Redress                                      I
                                                         Sent in Error                                    I
                                                 Coordinated by Another Office                            I
                  TSA                              Records Publicly Available                             I                                 3
                                                   Unable to Locate Requester                             I
                                                            Litigation                                    I
                                             Nonresponsive to Requests for Additional
                  USCG                                                                                    I                                 20
                                                          Information
                                                          Sent in Error                                   18
                  USC IS                            Unable to Locate Records                             120                                120
                  usss                                Previously Furnished                                2                                  2
        AGENCY OVERALL                                                                                                                     305




                                                                                                                                                        4
                    B. (3) Disposition ofFOIA Requests- Number of Times Exemptions Applied

                                                                                         Ex.   Ex.        Ex.          Ex.    Ex.      Ex.      Ex.8       Ex.9
Component           Ex. I   Ex.2        Ex. J         Ex.4    Ex.S        Ex. 6                                    7(0)      7(E)      7(F)
                                                                                        7(A)   7(8)      7(0
  CBP                0      8,574       46&             129     48        8,345          58     0        8,358         19    6,322       0        0         0
  CRCL               0        2           0             0       3           3             0     0          0           0       0         0        0         0
  FEMA               0       24          14             117     26         163            I     0          3           3       0         0        0         0
 FLETC               0       24           0             28      2          14             0     0          0           0       16        0        0         0
   !&A               2        9           0             4       3          II             I     0          I           0       I         0        0         0
   ICE               0      4, 156       83             32     126        4,330          84     18       4,223         6      870        2        0         0
 MGMT                 0       10          8             39      4          19             0     0          4            I      0         0        0         0
  NPPD               2        30          2             15      8          58             I     0         30           0       0         I        0         0
  OGC                 I       10          0               0     8          II             0     0          0           0       0         0        0         0
   OIG               2       23           3               2     17         99             19    0         94           9       5         3        0         0
   OPS               68      296          0             562     2         337             0     0          0           0      45         5        0         0
  PLCY               0        2           0               0      I          5             0     0          0            0      0         0        0         0
  PRfV               4        74          5             10      46         106            2     I         19           4       18        2        0         0
  S&T                0        3           I               2     2           7             0     0          0            0      0         0        0         0
   TSA               0        90         76             37      26         122            5     0         20            0      0         2        0         0
  USCG               10       60         15             21     42 1       645           404     I         170           I      2         0        0         0
  USC IS             0      40,209      970             40    4 1,075    40,037          31     0       50,355          0    46,357      0        0         0
  usss               3       228         25             12      9         230             10    0         230          25     208        0        0         0
US· VISIT            0        4           0               I      I          6             0     0        1,398          0    I ,354      0        0         0
AGENCY
                     92     53,828      1,670         1,051   41,828     54,548         616     20      64,905         68    55,198     IS        0         0
OVERALL


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

                                   No. of Appeals Pending as          No. of Appeals Received in      No. of Appeals Processed in     No. of Appeals Pending as
      Component
                                    of S tart of Fiscal Year                  Fiscal Year                     Fiscal Year               o f End of Fiscal Year
           CBP                                  388                               450                            SIS                              23
           FLETC                                 0                                  I                              I                             0
           ICE1*                                331                                25                            331                             25
         OGC''..                                520                                157                           134                            543
           TSA                                   2                                 21                             14                             9
           USCG                                  69                                42                             62                             49
           USC IS                             2,009tltt                           2,004                          3.924                           89
           usss                                  6                                 40                             44                             2
 AGENCY OVERALL                                 3,325                             2,740                          5,325                          740




     §§§ Prior to July 25, 2010, ICE FOIA appeals were processed and tracked by OGC. ICE began to process its own
     FOIA appeals on July 13, 2010. At that time, DHS/OGC provided ICE with 331 FOIA appeals. An additional 25
     FOIA appeals were received at ICE after July 25, 2010.
     •••• OGC processes FOIA appeals for: CRCL, FEMA, I&A, MGMT, NPPD, OHA, OIG, OPS, PLCY, NPPD,
     PRIY, S&T and US-VISIT; OIG began processing their own requests on September I, 2010, and will be delineated
     in the next annual report.
     tttt Corrected number due to component reporting error in FY 2009.

                                                                                                                                                       5
                      B. Disposition of Administrative Appeals - All Processed Appeals

                                                               :\umber Partially
                                                                                                     Number Completely                   Number of Appeals
                              Number Affirmed on              Affirmed & Partially
         Component                                                                                   Reversed/Remand ed                   Closed for Other                          Total
                                   Appeal                     Reversed/Remanded
                                                                                                         on Appeal                            Reasons
                                                                   on Appeal
              CBP                       188                           249                                        286                                   92                            815
             FLETC                       I                                  0                                     0                                    0                              I
              ICE                       160                                107                                   15                                    49                            331
              OGC                       41                                  6                                    15                                    72                            134
              TSA                        5                                  I                                     2                                    6                              14
             USCG                       15                                  0                                    44                                    3                             62
             USCIS                      441                               2,792                                  498                                  193                           3 ,924
             usss                       16                                 10                                     7                                    II                            44
    AGENCY OVERALL                      867                               3,1.65                                 867                                  426                           5,325


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

I        Component            Ex. I     Ex. 2        Ex. 3     Ex.4             Ex.5        Ex.6
                                                                                                         Ex.
                                                                                                        7(A)
                                                                                                                        Ex.
                                                                                                                       7(8)
                                                                                                                                   Ex.
                                                                                                                                   7(C)
                                                                                                                                                  Ex.
                                                                                                                                                 7(D)
                                                                                                                                                               Ex.
                                                                                                                                                              7(E)
                                                                                                                                                                          Ex.
                                                                                                                                                                         7(F)       Ex.8       Ex.9

              CBP               0        498             19      29              28         456          7              0          440            3            332        I          0           0
             FLETC              0            0           0       0                 I          0          0              0            0            0             0         0          0           0
              ICE               0            0           0       0               0            0          0              0            0            0             0         0          0           0
             oGc:m              I        20              0       0               6           17          3              0           16            0             3         0          0           0
              TSA               0            0           2        I              0            I          I              0            0            0             0         0          0           0
             USCG               0            0           2       3               38           6          41             0            7            0             0         0          0           0
             USC IS             0       2,208           35       0              2,382       2, 144       20             0          2,845          5           2,595       I          0           0
              usss              I            9           2       I                 I         12          5              0           13            3             6         0          0           0
    AGENCY OVERALL              2       2,735           60       34             2,456       2,636        77             0          3,321          ll          2,936       2          0           0


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

                                                                                                                                                                         Appeal Based
                                                                 Fee-                 Not             Improper           Not                                               Solely on
                         All Records              Request                                                                                Duplicate          Request in
    Component No Records                                        Related            Reasonably           FOIA            Agency                                            Denial for           Other
                          Referred               Withdrawn                                                                               Request            Litigation
                                                                Reason             Described           Reques t         Record                                            Expedited
                                                                                                                                                                          Processing
                 I
      CBP             0             0               44                2                 0                    0                7             7                   3               I               28
     FLETC            0             0               0                 0                 0                    0                0             0                   0               0               0
       ICE            0             3               2                 0                 0                    8                0             8                   2               0               26
      OGC             0             2               4                 0                 1                    2                0             4                   l7              0               42
       TSA            3             0               0                 0                 0                    I              ·o               I                  I               0               0      I
      USCG             I            0               2                 0                 0                    0                0             0                   0               0               0
      USCIS           0             0               10                0                 0                180                  0              I                  0               0               2
      usss            3             0               0                 0                 0                    0                3             0                   0               I               2
    AGENCY
                      7             5               62                2                 I                19 1                 10            21                 23               2               100
    OVERALL




             :m ICE currently does not have the capability to track the reason for denial on appeal.                                             ICE is modifying its system
             to track this information for FY 20 I I report.

                                                                                                                                                                                           6
                         C. (3) Reasons for Denial on Appeal -"Other" Reasons from Section VI, C (2) Chart

             Com ponent                                                    Descrip tion                                      llio. of Times Used              Total
                                                                       Adequacy of Search                                             5
                                                       Appealed on-reply; Records Found on Appeal                                     I
                                         Appealed non-Reply; Subsequent Response to initial Request/Response on
                                                                                                                                      6
                                                                        Appeal
                                                                  Failure to Respond                                                  3
                CBP                      Mistaken Procedure; Appealing Underlying Seizure Case not Initial FOIA
                                                                                                                                      I
                                                                       Decision
                                                            Mistaken Procedure; Resubmit to TRIP                                      1
                                                                       Mooted by Litigation                                           3
                                                              Records " Alternatively Available'                                      2
                                                                Records Found and Disclosed                                           3
                CBP                                                                                                                                                28
                                                          Third-party Representation not Established                                  I
                                                                 Withheld document released                                           2
                 ICE                                                          Moot                                                   26                            26
                                                                       Constructive Denial                                            5
                OGC                                                           Moot                                                   36                            42
                                                                 Unable to Locnte Requester                                           I
                USC IS                                                  Failure to Comply                                            2                             2
                                                                       Adequacy of Search                                             I
                usss                                                                                                                                               2
I                                                   Appealed Agency's Refusal to Answer Questions                                     I
       AGENCY OVERALL                                                                                                                                              100


                         C. (4) Response Times for Administrative Appeals

             Com ponent             M edian Numbe r of Days               Aver age Number of Days       Lowest Number or Days                  Highest lliumber or Days
                CBP                             I 01.00                               128.00                      1.00                                 735.00
              FLETC                              19.00                                19.00                       19.00                                    19.00
                ICE                             483.00                                489.00                      1.00                                 1,416.00
                OGC                             627.00                                627.00                      1.00                                 1.979.00
                TSA                              18.50                                50.40                       6.00                                 217.00
                USCG                            285.00                                268.50                      34.00                                685.00
               USCIS                            134.00                                248.00                      1.00                                 1,636.00
                usss                            32.00                                 83.00                       3.00                                 683.00
      AGENCY OVE RALL                           142.00                                223.62                        1                                  1,979.00


                         C. (5) Ten Oldest Pending Administrative Appeals

                  Sub-Row                                                                                                                             2od               O ldest
    Component                      lOth           9th            8th            7th            6th      5th         4th               3rd
                  Heading                                                                                                                                               Ap peal
                   Date of
                                2010-09-16 2010-09-14 2010-09- 14 2010-09-14 2010-09-07 2010-09-07 2010-09-07 2010-09-07 2010-09-07 2010-09-07
                   Receipt
      CBP
                  Number of
                                    II            13              13             13            18        18             18                18          18                  18
                 Days Pending
                    Date of
                                2010-08-12 2010-08-12 201 0-08-04           2010~07-27    2010-07-23 2010-07-22 2010-07-21 2010-07-06 2010-06-30 2010-06-17
                    Receipt
       ICE
                  Number of
                                   35             35             41              47            49       50              51                62          65                  74
                 Days Pending




                                                                                                                                                                    7
               Sub-Row                                                                                                                              2...       Oldest
Component                           lOth              9th         8th        7th        6th          5th            4th            3rd
               Heading                                                                                                                                         Appeal
                Date of
                                 2006-08-22 2006-07-27 2006-06-22 2006-04-26 2006-03-30 2006-03-23 2005-03-03 2005-02-08 2005-02-08 2003-10-06
                Receipt
  OGC
               Number of                                                                                                           1,414           1,414
                                    1,027            1,045        1,069     1,109      1,128     1,133             1,398                                           1,762
              Days Pending
                Date of
                                    N/A            2010-09-16 2010-08-27 2010-06-01 2010-03-26 2010-03-04 2010-03-03 2009-12-17 2009-11-18 2009-06-23
                Receipt
  TSA
               Number of
                                     0                 II          24        86         132          148            149            195              215             317
              Days Pending

                 Date of
                                 2009-06-18 2009-06-17 2009-05-27 2009-05-20 2009-05-20 2009-05-19 2009-05- 13 2009-04-24 2009-04-21 2009-03-10
                 Receipt
  USCG
               Number of
                                    320               321         336        340        340          341            345            358              361             391
              Days Pending
                Date of
                                 2010-09-08 2010-09-08 2010-09-07 2010-09-02 2010-09-02 2010-09-02 2010-08-31 2010-07-26 201 0-06-14 2010-05-19
                Receipt
  USC IS
               Number of
                                     17                17          18        20         20            20            22              48              77              94
              Days Pending
                Date of
                                    N/A               N/A         N/A        N/A       N/A           N/A            N/A            N/A           2010-08-26 2010-08-26
                Receipt
  usss                                                                                                                       r-·
               Number of
                                     0                 0           0          0          0            0              0              0               25              25
              Days Pending

                Date of
                                 2006-08-22 2006-07-27 2006-06-22 2006-04-26 2006-03-30 2006-03-23 2005-03-03 2005-02-08 2005-02-08 2003-10-06
AGt:NCY         Receipt
OVERALL
               Number of
                                    1,027            1,045        1,069     1,109      1,128     1,133             1,398           1,414           1,414           1,762
              Days Pending


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

                                                Simple                                   Complex                                            Expedited
   Component               Median         Average     Lowest      Highest   Median   Average   Lowest      Highest        Median        Average   Lowest           Highest
                           No. of           'o. of     No. of     No. of    No. of    No. of   No. of      No. of         No. of         No. of    No. of          No. of
                            Days           Days        Days        Days      Days     Days      Days        Days           Days          Days      Days             Days
       CBP                   24            30.27         I         413        39      41.54      I          587            NIA           NIA          NIA           NIA
      CRCL                  22              36.33            I      112      509     465.67     38          791            NIA           NIA          NIA           NIA
      FEMA                  133            196.65            2     1,087     390     425.58      I          1,328           59           196.75            2        668
     FLETC                  21               51              I      241      N/A      NIA       N/A         NIA            NIA           NIA          NIA           NIA
        I&A                  15             18.74            2      56        18      55.52      I          346            NIA           NIA           N/A          N/A
        ICE                  7                10             1      281       13       26        1          352             21             37              2        105
     MGMT                    9              9.41             I      33       36       42.85      12         157            NIA           NIA           NIA          N/A
      NPPD                  24              29.69            I      100      171     195.71     107         359            N/A           NIA           N/A          N/A
      OGC                   29.5            87.6             I      363      405     474.57     367         693            N/A           N/A          N/A           N/A
        OIG                  9              11.05            I      53       23       54.63      2          373            N/A            N/A         N/A           NIA
       OPS                   I                3              I         14     6       7.61       I           19            N/A            N/A         N/A           N/A
      PLCY                   13              12.8            10        15   104.5     96.29     29          2 16           N/A            N/A         N/A           N/A
      PRIV                   7              7.09             I      44       79       113.8      2          769             9            25.39             I        375
       S&T                   13              )]              I      48       N/A      N/A       N/A         N/A            N/A            N/A         NIA           N!A
      TSA                    16             31 .58           I      205      54       115.6      I          1,148          NIA           N/A          N/A           NIA
      USCG                   9              17.37            I      379      Sti      7ti.75     I          594              4             4               2         3
      USC IS               35.62            42.86            I      886     62.34     61 .45     I          640            22.61         74.21             6        497
      usss                   14             13.95            3      20       47       196.9     21          1,965          N/A           N/A          NIA           NIA

                                                                                                                                                               8
                                      Simple                                                     Complex                                                  Expedited
 Component       Median          Average    Lowest                  Highest      Median      Average   Lowest        Highest           Median         Average Lowest              Highest
                   o. of           o. of      o.of                    o.of       No. of       No. of   No. of        No. of            No. of          No. of    No. of           No. of
                  Days            Days       Days                    Days         Days        Days      Davs          Days              Days           Days      Days              Days
  US-VISIT            27          23.8         I                     176           68         81.29        63            117            NIA            NIA          NIA            N/A
 AGENCY
                    35.00         39.31                I             1,087        43.84       87.96            I         1,965          7.50           36.24         I             668
 OVERALL


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

                                    Simple                                                       Complex                                                 Expedited
 Component      Median        Average    Lowest                    Highest       Median     Average   Lowest        Highest           Median         Average   Lowest             Highest
                No. of         No. of      o. of                     o.of          o.of      No. of   No. of        No. of              o.of          No. of    No. of              o. of
                 Days          Days       Days                      Days          Days       Days      Days          Days              Days           Days      Days               Days
   CBP               28        34.04        I                        413           39        42.26       I               587           N/A             NIA       N/A               NIA
   C RCL             17.5         17.5             I                 34          308.5      345.17     38               706             N/A            N/A          N/A              /A
   FEMA              165      240.45               2                1,087         413       456.59     30               1,240            5            39.67          2              112
  FLETC              49            69              I                 241          N/A        N/A       N/A              NIA             NIA            N/A          NIA            N/A
    I&A               II          15.38            2                 47           84.5      112.83         I            346             NIA            NIA          N/A            N/A
    ICE               9            12              I                 217           IS         29           I            352             21              37           2              lOS
  MGMT                8           8.79             I                 21            48        48.25      13               157            NIA            NIA          N/A            N/A
   NPPD              31          38.35             9                 100         176.5      202.37     104               138            N/A            N/A          N/A            N/A
   OGC              29.5         68.21             5                 157          380        380       380              380             NIA            NIA          N/A            N/A
    OIG              10           12.03            I                 44            23        51.63         2            373             N/A            NIA          NIA            N/A
   OPS                I           1.91             I                  4            9         9.13          I             19             N/A            N/A          N/A            N/A
   PLCY              13            13              10                15          123.5      122.36     49               216             N/A            N/A          N/A            N/A
   PRJV               6           7.36             2                 20            93       120.06         6            769             N/A            N/A          N/A            N/A
   S&T               23            21              9                 48           N/A        N/A       NIA              N/A             N/A            N/A          N/A            NIA
   TSA              39.5          66.6             I                 205           86        138.5         2            990             N/A            N/A          NIA            N/A
   USCG              12          24.58             I                 379           55        74.26         4            456              4              4            2              6
   USCIS         39.05           48.36             I                 875         63.02       66.65         I            640            17.47          36.37          6             187
   usss              18           15.21            3                 20            29       93.04      21            1,965              N/A            N/A          N/A            N/A
 US-VISIT            28          40.17             13                115          N/A        N/A       N/A              N/A             N/A            NIA          N/A            N/A
 AGENCY
                 49.00           62.07             I                1,087        35.00       82.89         I         1,965             13.01          41.80          2             187
 OVERALL

             C. Processed Requests - Response Time in Day Increments

                                                                           ( I) Simple Requests
                                                                           81-       101-     121-    141-         161-          181-          201-          301-
               1-20         21-40         41-{)0           6 1-80                                                                                                   401 +
Component                                                                  100       120      140     160          180           200           300           400                   Total
               Days         Days          Days             Days                                                                                                      Days
                                                                          Days     Days      Days     Days         Days          Days          Days          Days
  CBP          6,725        2,626         2,956            1,251           595      169        9       6            7             3             5             9          I        14,362
  CRCL          4            2              2                0              0           I      0       0            0             0             0             0          0           9
  FEMA          30           37            26               27             32          27     31      20            12            12            68           25          52        399
 FLETC          87           29            13                8              3           6      3       3            5             12            0             0          0          169
  !&A           14           6              3                0              0           0      0       0            0             0             0             0          0          23
   ICE        6,114         653            75               39             25           9      5       2            3             3             2             0          0         6,930
 MGMT          Ill           12             0                0              0           0      0       0            0             0             0             0          0          123
  NPPD          37           33            13                3              5           0      0       0            0             0             0             0          0          91
  OGC           9            8              0                I              0           0      3       2            0             I             2             2          0          28
   OIG          99           13             2                0              0           0      0       0            0             0             0             0          0          114



                                                                                                                                                                              9
   OPS        18           0         0          0         0         0       0        0           0         0        0         0     0            18
  PLCY        5            0         0         0          0         0       0        0           0         0        0         0     0            5
  PRlV       761           4         I         0          0         0       0        0           0         0        0         0     0           766
  S&T        30            9          I         0         0         0       0        0           0         0        0         0     0           40
  TSA        69           21         10         3         2         2       I        3           0         3        I         0     0           115
  USCG      2,300         509        144       48         35        12      13       6          8       3        12           I     0          3,091
  USCIS     4,280        7,651      4,703     1,559     1,212      144      81       64         38      34       99          69    719         20,653
  usss        61           0          0        0          0         0        0       0          0       0           0         0     0            61
 US-VISIT    683          946        21        3           I        I       I        0           I         0        0         0     0           1,657
AGENCY      21,437
OVERALL                  12,559     7,970     2,942     1,910      371     147       106        74      71      189       106      772         48,654


                                                             (2) Complex Requests
                           21-40                           81-     101-    121-     141 -      161-   181-     201-     301-
                  1-20               41-60     61-80                                                                              401+
Component                                                  100     120     140      160        180    200      300      400                    Total
               Days        Days      Days      Days                                                                               Days
                                                          Days     Days    Days     Days       Days   Days     Da~      Days
   CBP            245       142       198       106       34         14      8       2          I      2        4        2          I           759
  CRCL             0         2         0          I        0         0       0       0          0      0        I        I         10            15
  FEMA             3         4            5      10        8         2       5       6          6      4       45       71        155           324
  FLETC        NIA          N/A       N/A       N/A       N/A       N/A    N/A      NIA        NIA    N/A      N/A      N/A       N/A           N/A
   I&A           15          3         I            I       0        2       0       0          0      0        2         I        0             25
   ICE         1,075        235       119       64         56       33      24       8          9      5        7         I        0           1,636
  MGMT             16          55     32           19          6     0       I        I         0      0        0        0         0            130
  NPPD             0           0      0            0           0     5       5       6          5      I        8        6         0            36
   OGC             0           0          0         0          0     0       0       0          0      0        0        3         4             7
    OIG           25           I8         4         2          2     I       0        I         0      0        5        I         0             59
    OPS           24         0           0          0          0     0       0       0          0      0        0        0         0             24
   PI.CY           0         6           4          2          2     Q       5       4          2      2        I        0         0             37
   PRrv        42           30         14       20         12        8      12      17          7      6       31        7         4            210
   S&T         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
   TSA            90           91     55        28         38       25      15       18         7      12       22       9         32           442
   USCG         10          113       236       107         85      58     25        21         11     8        22        8        3            707
  USCIS       6,721        4,554     16,071   24,749      4,539    3,461   701      390        123     63      229       87       3,556        65,244
   usss            0        845       134       73         32        17     109     20          5      13       45       5          71          1,369
 US-VISIT          0         0         0         5          0        2       0       0          0      0         0       0         0             7
AGENCY        8,266        6,098     16,873   25,187      4,814    3,637   910      494        176    116      422      202       3,836        71,031
OVERALL

                                                   (3) Requests Granted Expedited Processing
                                                          81-      101-    121-     141-       161-   181-     201-     301-
Component      1-20        21-40    41-60     61-80       100      120     140      160        180    200                         401+
                           Days      Days
                                                                                                               300      400                    Total
              Days                             Days                                                                               Days
                                                         Days      Days    Days     Days       Days   Days     Days     Days
   CBI>        NIA         NIA       N/A       NIA       NIA       NIA     NIA      N/A        N/A    N/A      N/A      N/A       N/A           N/A
  CRCL         N/A         N/A       N/A       N/A       N/A       N/A     NIA      N/A        N/A    N/A      NIA      N/A       NIA           NIA
  FEMA          2           0         0         0         0         I       0        0          0      0        0        0         0             3
  FLETC        N/A         N/A       N/A       N/A       N/A       N/A     N/A      NIA        N/A    N/A      N/A      N/A       N/A           NIA
   I&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
   ICE          2           I         0         0         0         I       0        0          0      0        0        0         0             4
  MGMT         N/A         N/A       N/A       N/A       N/A       N/A     N/A      N/A        N/A    NIA      N/A      N/A       NIA           N/A
   NPPD        N/A         NIA       NIA       N/A       N/A       N/A     NIA      N/A        NIA    N/A      N/A      N/A       NIA           N/A
   OGC         NIA         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

                                                                                                                                          10
                                                          (3) Requests Granted Expedited Process ing
                                                                81-          101-    121-      141-       161-      18 1-         201-    301-
                       1-20    21-40     41-60      6 1-80                                                                                             401+
  Component                                                     100           120     140       160       180       200           300     400                      T otal
                       Days    Days      Days       Days                                                                                               Days
                                                                Days         Days    Days      Days       Days      Days          Days    Days
     OIG               NIA      N/A        N/A       NIA         NIA         NIA      NIA        NIA       NIA      NIA           N/A      NIA         NIA            NIA
     OPS               N/A      NIA        N/A       N/A         N/A         N/A      N/A        N/A       NIA      N/A           N/A       lA         NIA            NIA
     PLCY              NIA      NIA        N/A       N/A         NIA         N/A      N/A        NIA       N/A      N/A           NIA      N/A         N/A            NIA
     PRIV              N/A      N/A        N/A       N/A         N/A         N/A      N/A        NIA       N/A      N/A           N/A      NIA         NIA            NIA
     S&T               N/A      NIA        NIA       NIA         NIA         N/A      N/A        NIA       N/A      N/A           NIA      NIA         N/A            NIA
     TSA               NIA      NIA        NIA       NIA         N/A         N/A      NIA        NIA       N/A      N/A           NIA      N/A         NIA            N/A
     USCG               3        0          0            0        0            0       0          0            0     0             0        0           0              3
    USC IS              6        4          0            0        0            0       0          0            0      I            0        0           I             12
     usss               5        0          0            0        0            0       0          0            0     0             0        0           0              5
   US-V ISIT           N/A      N/A        NIA       NIA         NIA         N/A      N/A        NIA       N/A      NIA           NIA      NIA         NIA            NIA
  AGENCY
                        18       5         0             0        0            2       0          0            0      I            0        0           2             27
  OVERALL


               D. Pending Requests - All Pending Perfected Requests

                               Simple                                                Complex                                              Exped ited
Component      Number         Median No.         Average           Number           Median No.        Average No.     Number             Median No.         Average :'1/o.
               Pe ndi ng       o f Days         No. of Days        Pending           of Days            of Days       Pending             of Days             of Days
  CBP            786             35               35.38                 10             25                 34.3               0              N/A                 N/A
  CRCL            0              N/A               N/A                  7              Ill              165 86               0              NIA                 N/A
 FEMA            572             126              175.33               248             459              4 75.09              I              9 18                918
 FLETC            12             69                 73                  0              N/A               N/A                 0              NIA                 NIA
  I&A             0              N/A               N/A                  6              42                66.83               0              NIA                 NIA
   ICE            6               13                52                 29              45                 64                 0              N/A                 N/A
 MGMT             0              N/A               N/A                  13                 7             8.29                0              N/A                 N/A
  NPPD            26             78               79.31                21              65                67.43               0              N/A                 N/A
  OGC             23             165              172.65                2             303.5              303.5               0              NIA                 NIA
  OIG             I               9                 9                   3               18                17                 0              NIA                 NIA
  O PS           N/A             NIA               N/A                 N/A             NIA               NIA                NIA             N/A                 N/A
  PLCY           NIA             NIA               N/A                 N/A             NIA               NIA                NIA             NIA                 N/A
  PR!V            29                 I             2.24                 16            124.5             141.88               0              NIA                 NIA
  S&T              I             41                 41                  0              NIA               NIA                 0              NIA                 NIA
  TSA             57             36                84.7                370            137.5              192.4              2                49                  49
  USCG           282             28               43.17                247             75.5             104.15               0              N/A                 N/A
 USC IS         1,827           21.24             28.94               10,657          31.51              34.37               3             40.42               46.58
  usss           46               12               12.28               516             322              472.43               5               27                  27
US-VIS IT        275              8                9.5                  3               13                61                0               NIA                 N/A
AGENC Y
                3,943           56.86             66.08               12,148          186.50            316.23              II             17.81               65.86
O VERALL




                                                                                                                                                              11
                 E. Pending Requests - Ten Oldest Pending Perfected Requests

              Sub-Row                                                                                                                 Oldest
Component                        lOth       9th         8th          7th         6th         5th          4th        3rd        2nd
               Heading                                                                                                               Request
            Date of Receipt   2010-05-1 1 2010-05-1 1 2010-05-11 2010-05-11 2010-05-11 2010-05-11 2010-05-11 2010-04-08 2010-04-0 1 2010-01-16
  CBP       Number of Days
                                 100         100         100         100         100         100          100        123        128            175
               Pending
            Date of Receipt      N/A        NIA         N/A       2010-09-10 2010-08-25 2010-08-13 2010-06-11 2009-12-03 2009-11- 19        2009-11-04
  CRL       Number of Days
                                  0           0          0            15         26           34          78         205        214            224
               Pending
            Date of Receipt   2007-02-21 2007-02-08 2006-12-20 2006-12-19 2006-12- 13 2006-12-13 2006-08-03 2006-03-14 2006-03-03           2005-10-03
  FEMA      Number of Days
                                 904        912         945          946         950         950         1,040      1,140      1,147          1,249
               Pending
            Date of Receipt   2010-09-09 2010-09-02 2010-08-24 2010-08-17 2010-07-13 2010-06-07 2010-05- 10 2010-05-10 2010-04-22           2010-01-04
 FLETC      Number of Days
                                 16          20          27          32          57           82          101        101        113            189
               Pending
            Date of Receipt      NIA        N/A         NIA          NIA      2010-08-04 2010-08-04 2010-08-04 2010-08-04 2010-07-27        2010-07-27
  I&A       Number of Days
                                  0           0          0            0          41           41          41         41         47              47
               Pending_
            Date of Receipt   2010-06-03 2010-05-24 2010-05-17 2010-05- 10 2010-04-28 2010-04-12 2010-02-22 2009- 12-29 2009- 12-16 2009-11-20
   ICE      Number of Days
                                 84          91          96          101         109         121          156        192        200            217
               Pending
            Date of Receipt   2010-09-29 2010-09-29 2010-09-29 2010-09-21 2010-09-21 2010-09-21 2010-09-14 2010-09-10 2010-09-10            2010-08-11
 MGMT       Number of Days
                                  2           2           2           8           8           8            13        15          IS             37
               Pending
            Date of Receipt   2010-04-07 2010-03-30 2010-03-30 2010-03-30 2010-03-26 2010-03-15 2010-03-08 2010-03-02 2010-02-16            2009-06-03
  NPPD      Number of Days
                                 124         130         130         130         132         141          146        150        160            335
               Pendino
            Date of Receipt   2010-01-28 2010-01-13 2010-01-04 2009- 12-17 2009- 10-01 2009-09-04 2009-08-28 2009-07-06 2009-07-02          2009-05-18
  OGC       Number of Days
                                 168         178         185         195         247         265          270        309        310            342
               Pending
            nate of Receipt      N/A        N/A         N/A          N/A         N/A         NIA       2010-09-24 2010-09-20 2010-09-07     2010-08-24
  OIG       Number of Days
                                  0           0          0            0           0           0            5          9          18             28
               Pending
            Date of Receipt      NIA        NIA         N/A          NIA         NIA         NIA          NIA        NIA        NIA            N/A
  OPS       Number of Days
               Pending
                                  0           0          0            0           0           0            0          0          0              0
                                                                                                                                                          I
            Date of Receipt      N/A        NIA         N/A          NIA         N/A         N/A          N/A        NIA        N/A            N/A        I
  PLCY      Number of Days
                                  0           0           0           0           0           0            0          0          0              0
               Pending
            Date of Receipt    51712010   4126/2010   3118/2010    21312010   12111/2009   12/912009   11/612009 2009-09-08 2009-08-18      2009-07-17
  PRIV      Number of Days
                                 102         Il l        138         164         199         201          222        264        278            300
               Pending
            Date of Receipt      N/A        NIA         NIA          NIA         N/A         N/A          N/A        N/A        N/A            NIA
  S&T       Number of Days
                                  0           0          0            0           0           0            0          0          0              0
               Pending
            Date of Receipt   2007-12-17 2007- 12-06 2007- 11-01 2007- 10-15 2007-07-09 2007-01-17 2006-08-02 2006-02-03 2004- 11-01        2004- 10-27
  TSA       Number of Days
                                 697        704         727          740         808         928         1,041      1,166      1,482           1,485
               Pending
            Date of Receipt   2009-08-06 2009-07-22 2009-06-30 2009-06-29 2009-06- 10 2009-06-02 2009-05-27 2009-05-26 2009-01-12           2008-12-30
 USCG1m     Number of Days
                                 286        297         312          313         326         332          336        337        429            437
               Pending
            Date of Receipt   2009-06-12 2009-05-12 2009-05-1 1 2009-05-08 2009-05-08 2009-05-08 2009-05-08 2009-04-23 2009-02-24           2009-01-30
  USCIS     Number of Days
                                 324        346         347          348         348         348          348        359        401            417
               Pending




         §§§§ The second oldest pending request was omitted from the FY 2009 report.

                                                                                                                                       12
                   Sub-Row                                                                                                                                    Oldest
Component                               IOtb          9th       8th           7th            6th         5th           4th         3rd         2nd
                    Heading                                                                                                                                  Request
                 Date of Receipt     2005-06-21 2005-06-08 2005-06-08 2005-06-08 2005-06-08 2005-06-08 2005-06-08 2005-06-08 2005-06-08                     2005-0S-1 7
     usss        Number of Days
                                       1,321         1,330     1,330          1,330         1,330        1,330         1,330       1,330      1,330            1,345
                    Pending
                 Date of Receipt     2010-08-09 2010-08-06 2010-07-30 2010-07-30 2010-07-28 2010-07-26 2010-07-01 2010-06- 17 2010-06-14                    2010-02-12
    US-VISIT     Number of Days
                                        38            39        44             44            46           48            69          74         75              161
                    Pending
                 Da te of Receipt    2005-06-08 2005-06-08 2005-06-08 2005-06-08 2005-06-08 2005-06-08 2005-06-08 2005-05-17 2004-11-01                     2004-10-27
    AGE~CY
OVERALL :\'umber of Days               1,330         1,330     1,330          1,330         1,330        1,330         1,330       1,345      1,482            1,485
            Pending


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

                                                                                                                                           Number Adjudicated
                                                                                        Median Number of         Average :\'umber of
        Component                   Number Granted           1\umber Denied                                                                within 10 Calendar
                                                                                        Days to Adjudicate       Days to Adjud icate
                                                                                                                                                  Days
             CBP                           0                          0                       NIA                         NIA                        NIA
            CRCL                          0                           0                        N/A                        N/A                        N/A
            FEMA                           3                          3                           6                          6.2                      4
            fLETC                          0                          0                        N/A                        N /A                       NIJ\
             I&A                          0                           0                        N/A                        NIA                        NIA
               ICE                        4                          19                           I                          12                       17
            MGMT                          0                           0                        NIA                       NIA                         NIA
            NPPD                           0                          0                        N/A                        N/A                        NIA
            OGC                            0                          0                        NIA                       NIA                         NIA
             OIG                           0                         10                           2                          3.8                      9
             OPS                           0                          0                        N/A                        N/A                        N/A
            PLCY                           0                          0                       N/A                        N/A                         N /A

            PRIV                          0                        23                             9                      25.39                        17
             S&T                           0                          0                        NIA                        N/A                        N/A
             TSA                          0                          17                           6                      44.6                         II
            USCG                           3                          0                           5                           5                       3
            USC IS                        12                      1,371                           I                          2.6                    1,344
            usss                           5                          6                         II                           8.8                      5
         US-VISIT                         0                           0                       NIA                        NIA                         N/A
    AGENCY OVERALL                        27                     1,449                        7.50                       36.24                   1,410


                       B. Requests fo r Fee Waiver

I           Component                     Number Granted                  :\'umber Denied
                                                                                                      Median Number of Days to       Average Number of Days to
                                                                                                             Adjudicate                     Adjudicate
                CBP                              0                                  0                            NIA                            N/A
               CRCL                              0                                  0                            NIA                            NIA
               FEMA                              0                                  I                             I                              I
               FLETC                             0                                  0                            N/A                            N/A
                l&A                              0                                  0                            N/A                            N/A
                 ICE                             12                                 7                             7                             16
               MGMT                              4                                  0                            21                            52.25
                NPPD                             0                                  0                            N/A                            NIA
                OGC                              0                                  0                            N/A                            N/A



                                                                                                                                                       13
                                                                                                  Median Number of Days to        Average Number of Days to
'        Component                  ~umber   Granted                 Number Denied
                                                                                                         Adjudicate                      Adjudic ate
               OIG                           I                              I                                17                              17
               OPS                        0                                 0                               N/A                               NfA
               PLCY                       0                                 0                               NfA                               N/A
               PRIV                       2                                 9                                IS                              60.45
               S&T                        0                                 0                               N/A                               N/A
               TSA                        7                                24                                7                                31.8
               USCG                          I                              4                               296                              212.8
             USCIS                        47                               110                               2                                5.69
               usss                       0                                 7                                4                                 4
          US-VISIT                        0                                 0                               NfA                               N/A
    AGENCY OVERALL                        74                               163                               8                               42.50


        IX.       FOIA Personnel and Costs

                                      Personnel                                                                   Costs
                                      Number of        Total Number
                      Number of
    Component                        " F.quivalent     of " fuii-Time
                      " full Time                                                                          Litigation - Related
                                       F ull-Time       FOlA Starr'              Processing Costs                                           T otal Costs
                         FOIA                                                                                     Costs
                                         FOlA          (Col. I + Col.
                      Employees"
                                     Employees"               2)
      CBP                 37               14.4             51.4                       4, 167,537.38               328,122.00                  4 ,495,659.38
      CRCL                 I              0                  I                            82,359.00                       0.00                       82,359.00
      FEMA                9             23.86              32.86                       5,623,049.59                174,023.18                  5,797,072.77
     FLETC                 I             0.3                1.3                          130,000.00                       0.00                     130,000.00
       I&A                 I              0                  1                           115,000.00                       0 .00                    115,000.00
       ICE                20              0                 20                         I,736,158.07                626,211.64                  2,362,369.71
     MGMT                  I              0                  1                           101,000.00                       0 .00                    101,000.00
      NPPD                 I             0.25               1.25                         117,454.00                       0.00                     117,454.00
      OGC                  I             0.75               1.75                          85,000.00                 75,000.00                      160,000.00
       OJG                4              0.5                4.5                          349,535.80                 90,158.00                      439,693.80
       OPS               0 .33            0                 .33                                 34,000                    0.00                       34,000.00
      PLCY                 I              0                  I                            65,000.00                       0.00                       65,000.00
      PRIV                IS              2                  17                        4,682,209.62                       0.00                 4,682,209.62
      S&T                 0               2                  2                                  97,500                    0.00                         97,500
      TSA                8.28             .5               8.78                          961,480.00                 41 ,861.10                  I,003 ,341.1 0
      USCG                22            26.63              48.63                       2.828,075.48                       000                  2,828,075.48
      USC IS             217             1.8               218.8                      13,693,853.82                261 ,052.30                13,954,906. 12
      usss                17             4.15              21.15                       1,615,4 15.30               389,33409                   2,004,749.39
    US-VISIT               I             0.5                1.5                          245,000.00                       0.00                     245,000.00
    AGENCY
                        357.61          77.64             420.25                     36,678,628.06                1,985,762.31                38,664,390.37
    OVERALL


        X.        Fees Collected for Processing Requests

                      Component                                  Total Amount of Fees Collected                           Percentage of Tota l Costs
                        CBP                                                      $282,202.00                                        6.77%
                        CRCL                                                           $0.00                                         NfA
                       FEMA                                                       $34,677.70                                        0.62%
                       FLETC                                                          S97. 10                                       0.07%


                                                                                                                                                     14
          Component                        Total Amount of Fees Collected                   Percentage of Total Costs
            I&A                                                 $430.50                              0.37%
             ICE                                               $5,508.1 7                            0.32%
           MGMT                                                $ 1,101.30                            1.09%
            NPPD                                                  $45.80                             0.04%
            OGC                                                    $0.00                              N/A
            OIG                                                 $450.20                              0.13%
            OPS                                                    $0.00                              N/A
            PLCY                                                   $0.00                              N/A
            PRIV                                                $145.00                              0.00%
            S&T                                                 $202.00                              0.21%
            TSA                                               $1,258.80                              0. 13%
            USCG                                           $38,241.90                                1.35%
           USCIS                                           $28,620.58                                0.21%
            usss                                                  $46.40                             0.00%
          liS-VISIT                                                $0.00                              N/A
       AGENCY OVERALL                                      393,027.45                                1.07%


XL     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/FOIA.

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

                                    Number of Backlogged Requests as of the End of   Number of Backlogged Appeals as of End
          Component
                                                    Fiscal Year                                  of Fiscal Year
            CBP                                         601                                             0
            CRCL                                          6                                           N/A
           FEMA                                          8 10                                         N/A
           FLETC                                          12                                            0
            I&A                                           6                                           N/A
             ICE                                         27                                            19
           MGMT                                           I                                           N/A
            NPPD                                         33                                           N/A
            OGC                                          25                                           522
            OIG                                           I                                           N/A
            OPS                                           0                                           N/A
            PLCY                                          0                                           N/A
            PRN                                           15                                          N/A
            S&T                                           I                                           N/A
            TSA                                          378                                            7
            USCG                                         407                                           48
           USCIS                                        8,209                                          3
            usss                                         573                                           2
          US-VIS IT                                      278                                           0
       AGENCY OVERALL                                  11,383                                         601




                                                                                                                   15
                    B. Consultations on FOIA Requests - Received, Processed, and Pending Consultations

                                   Number of Consultations                                           Number of Consultations      Number of Consultations
                                                                       Number of Cons ultations
                                     Received from Other                                              R eceived from Other          Received from Other
                                                                         Received from Other
         Component                    Agencies that Were                                               Agencies that Were        Agencies that were Pending
                                                                       Agencies During the Fiscal
                                  Pe nding at Your Agency as                                        Processed by Your Agency      at Your Agency as of the
                                                                                 Year
                                  of Start of tbe Fiscal Year                                         Dorine: tbe Fiscal Year      E nd of the Fiscal Y~r
            CBP                                0                                     35                        31                            4
            CRCL                            ·····
                                            o                                        5                          5                            0
            FEMA                            17ttttt                                  24                        25                            16
            FLETC                             0                                      3                         3                             0
                                            5.... . .
                                             •••••
            I&A                                                                      12                        15                            2
             ICE                               0                                     171                       171                           0
           MGMT                                4                                     5                          8                               I
            NPPD                            oi«H                                     29                        29                            0
                                            0......                                   I                         I                               0
            OGC
            01G                                0                                     3                          3                               0
            OPS                                0                                     5                          5                            0
            PLCY                            6tttm                                    14                        20                            0
            PRfV                            Jll:l:l                                  18                        21                            0
            S&T                                I                                     21                        21                               I
            TSA                                5                                     36                        20                           21
            USCG                              4                                      33                        24                            13
            USCIS                           9§§Hf§                                   88                        96                               I
            usss                               0                                     14                         7                               7
          US-VISIT
                                            0.......                                 I2                        I2                               0
   AGENCY OVERALL                             54                                  529                         517                           66

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

               Sub-Row                                                                                                                                     Oldest
Component                           l Oth          9th          lith            7th          6"         Sth          4th        3rd        2nd
                Headine:                                                                                                                                  Request
             Date of Receipt        N/A            N/A          N/A             N/A         N/A        N/A      2010-09-15 2010-09-09 2010-09-04         2010-08-25
   CBP       Number of Days
                                     0                  0        0               0            0          0           12         16         18               26
                Pending
             Date of Receipt        N/A            N/A          N/A             N/A         N/A        N/A           N/A        N/A        NIA              N/A
   CRL       Number of Days
                                     0                  0        0               0            0          0            0          0          0                0
                Pending
             Date of RC(;(;ipt   2010-05-27 2010-()3-19 2010-03-19 2010-01 -22 2009-10-21 2009-10-QS 2009-09-08 2009-08-11 2009-o4-24                    2008-09-19
FEMA t!t!ttr Number of Days
                                    88             137          137             172          234       245           264        283        358              505
                Pending




         ·····Corrected number due to component reporting error in FY 2009.
         ttttt Corrected number due to component reporting error in FY 2009.
         mu Corrected number due to component reporting error in FY 2009.
         §§§§§Corrected number due to component reporting error in FY 2009.
         ...... Corrected number due to component reporting error in FY 2009.
         tttttt Corrected number due to component reporting error in FY 2009.
         m:m Corrected number due to component reporting error in FY 2009.
         §§§§§§ Corrected number due to component reporting error in FY 2009 .
         ....... Corrected number due to component reporting error in FY 2009.
         ttttttt The second oldest pending consultation was omitted from FY 2009 report.

                                                                                                                                                    16
              Sub-Row                                                                                                                       Oldest
Component
              Heading
                                 lOth        9th        8th         7th          6'"         5th        4th        3rd         2nd
                                                                                                                                            ReQuest
            Date of Receipt      N/A        NIA         NIA         N/A          N/A         N/A        N/A        N/A        N/A              N/A
 FLETC      Number of Days
                                  0           0          0           0            0           0          0          0           0               0
               Pending
            Date of Receipt      N/A        N/A         N/A         N/A          N/A        N/A         N/A        N/A     2010-09-20      2010-08-13
   I&A      Number of Days
                                  0           0          0           0            0           0          0          0           9               35
               Pending
            Date of Receipt      N/A        N/A         N/A         N/A          N/A        N/A         N/A        N/A         N/ A            N/A
   ICE      Number of Days
                                  0           0          0           0            0           0          0          0           0               0
               Pending
            Date of Receipt      N/A        N/A         N/A         N/A          N/A         N/A        N/A        N/A         N/A         2010-09-29
 MGMT       Number of Days
                                  0           0          0           0            0           0          0          0           0                I
               Pend in~
            Date of Receipt      NfA        NIA         N/A         NfA          N/A         N/A        N/A        NIA         NIA             N/A
    PPD     Number of Days
                                  0           0          0           0            0           0          0          0           0               0
               Pending
            Date of Receipt      NIA        NIA         N/A         N/A          N/A        N/A         N/A        N/A         NIA             N/A
  OGC       Number of Days
               Pending
                                  0           0          0           0            0           0          0          0           0               0
                                                                                                                                                           I
            Date of Receipt      N/A        N/A         NIA         N/A          N/A        N/A         N/A        N/A        N/A              N/A
   OIG      Number of Days
                                  0           0          0           0            0           0          0          0           0               0
               Pending
            Date of Receipt      N/A        N/A         NIA         N/A          N/A        N/A         N/A        N/A        N/A              NIA
  OPS       Number of Days
                                  0           0          0           0            0           0          0          0           0               0
               Pending
            Date of Receipt      NIA        N/A         NIA         N/A          N/A        N/A         N/A        NfA        N/A              NIA
  PLCY      Number of Days
                                  0           0          0           0            0           0          0          0           0               0
               Pendino
            Date of Receipt      NfA        N/A         N/A         N/A          N/A        N/A         N/A        N/A        N/A              N/A         I
  PRIV      Number of Days
                                  0           0          0           0            0           0          0          0           0               0
               Pending
            Date of Receipt      NfA        N/A         NIA         N/A          N/A         N/A        N/A        NfA         NIA         2010-06-25
  S&T       Number of Days
                                  0           0          0           0            0           0          0          0           0               70
               Pending
            Date of Receipt   2010-06- 15 2010-06-02 2010-02-25 2010-02-1 7   2009-1 2-16 2009- 12-07 2009-10-21 2009-09-17 2009-06-04     2008-04-10
   TSA      Number of Days
                                  76         85         153         159          196         203        234        257         330             618
               Pending
            Date of Receipt   2010-07-20 201 0-07-14 2010-05-12 2010-05-06 2010-05-05 2010-04-07 2010-03-11 2009-12-24 2009-1 2-24         2009-07-28
  USCG      Number of Days
                                  52         56          99         103          104         124        143        190         190             293
               Pending
            Date of Receipt      N/A        NIA         N/A         N/A          N/A        N/A         N/A        N/A         N/A         2010-09-10
  USC IS    Number of Days
                                  0           0          0           0            0           0          0          0           0               15
               Pending
            Date of Receipt      N/A        N/A         N/A      2010-09-02 2010-09-02 2010-09-02 2010-09-02 2010-08-1 9 2010-08-1 6       201()...06-20
  usss      Number of Days
                                  0           0          0          20           20          20         20          30         33               72
               Pending
            Date of Receipt      N/A        N/A         N/A         N/A          N/A        N/A         N/A        N/A        N/A              N/A
US-VISIT    Number of Days
                                  0           0          0           0            0           0          0          0           0               0
               Pending
        Date of Receipt 2009-10-21 2009-10- 05 2009-09-17        2009-09-08 2009-08-11 2009-07-28 2009-06-04 2009-04-24 2008-09-19         2008-04-10
AGENC Y
OVERALL Number of Days     234        245         257               264          283         293        330        358         505             6 18
               Pen<lin~




                                                                                                                                      17
                  D. (1) Comparison of Numbers of Requests from Previous and Current Annual Report - Requests
                     Received, Processed, and Backlogged

                                          Number of Requests Received                              N u mher of Requests Processed
       C omponent             Received During F iscal     Received Du ring Fiscal      Processed During Fiscal       Processed During Fiscal
                              Year from Last Year's     Year from Current Annual        Year from Last Year's      Year from Current Annual
I                                Annual R eport                   Report                   Annual Report                      R eport
         CBP                          14,804                       18,948                       20,484                        18,639
         CRCL                          13                           20                           7                            24
         FEMA                         830                          760                          641                          794
         FLETC                         157                          145                         135                          169
          I& A                         49                           46                           41                           48
          ICE                         6,746                       8,523                        6,736                        8,570
        MGMT                           186                         256                          180                          253
         NPPD                          58                           155                          63                          127
         OGC                           22                           41                           9                            35
          OIG                          163                          187                         189                          192
          OPS                          39                           47                           39                           47
         PLCY                          6                            37                           6                            55
         PRIV                         1,045                        1,113                        992                          1,163
         S&T                           53                           39                           62                           40
         TSA                          849                          716                          983                          557
         USCG                         5,600                       4,102                        6,265                        3,958
         USC IS                      71,429                       9 1,503                     122,113                       100,872
         usss                         987                          1,526                        1,032                        1,451
       US-VISIT                        26                          1,934                         27                          1,657
    AGENCY OVERALL                   103.060                      130,098                     160,004                      138,651


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

                                                Number of Backlogged Requests as of End of      Number of Backlogged Requests as of End of
                  Component
                                                the Fiscal Year from Previous Annual Report     the Fiscal Year from Current Annual Report
                    CBP                                              88                                             601
                    CRCL                                            11                                               6
                    FEMA                                           803                                              810
                    FLETC                                           36                                              12
                     I&A                                            8                                                6
                     ICE                                            10                                              27
                    MGMT                                            4                                                I
                    NPPD                                            11                                              33
                    OGC                                             19                                              25
                    OIG                                             7                                                I
                    OPS                                             0                                                0
                    PLCY                                            6                                                0
                    PRIV                                            66                                              15
                    S&T                                             2                                                I
                    TSA                                            212                                              378
                    USCG                                           385                                             407
                    USCIS                                         16,801                                           8,209
                    usss                                           426                                              573


                                                                                                                                     18
                                           Number of Backlogged Requests as of End of      ~umber    of Backlogged Req uests as of End of
             Component
                                           the fiscal Year from Previous Annual Report      the Fiscal Year from Current Annual Report
              US-VISIT                                           I                                              278
      AGENCY OVERALL                                         18,894                                             11,383


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

                                     Number of Appeals Received                                  Number of Appea ls Processed
   Component             Received During Fiscal      Received During Fiscal       Processed During Fiscal        Processed During Fiscal
                         Year fro m Last Year's    Year from C urrent Annual       Year from Las t Year's       Year from C urrent Annual
                            Annual Report                    Report                   Annual Report                      Report
     CBP                           540                        450                           271                            8 15
    FLETC                         2                             I                            2                                  I
      ICE                         0                            25                            0                             331
     OGC                         212                          157                           73                              134
     TSA                          33                           21                           37                              14
     USCG                         74                           42                           38                              62
     USCIS                       1,217                       2,004                         1, 185                          3,924
     usss                         51                           40                           67                              44
AGENCY OVERALL                  2, 129                       2,740                         1,673                          5,325


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

                                         Number of Backlogged Appeals as of End of the    l'iumber of Backlogged Appeals as of End of the
             Component
                                           fiscal Year from Previous Annual Rep9rt            Fiscal Year from Current Annual Report
                CBP                                           331                                                0
               CRCL                                           N/A                                                 N/A
               FEMA                                           N/A                                                N/A
               FLETC                                           0                                                   0
                !&A                                           N/A                                                N/A
                ICE                                            0                                                  19
               MGMT                                           N/A                                                N/A
               NPPD                                           N/A                                                N/A
               OGC                                            520                                                 522
                OIG                                           N/A                                                N/A
                OPS                                           N/A                                                N/A
               PLCY                                           N/A                                                 N/A
               PRfV                                           N/A                                                N/A
                S&T                                           N/A                                                 N/A
                TSA                                            2                                                   7
               USCG                                            69                                                 48
               USC!S                                          1,821                                                3
               usss                                            4                                                   2
              US-VISIT                                        N/A                                                N/A
      AGENCY OVERALL                                         2,747                                                601




                                                                                                                                    19
APPENDIX A: Composition of the Department of Homeland
Security
The Office of the Secretary oversees activities with other federal, state, local, and private entities
as part of a collaborative effort to strengthen our borders, provide for intelligence analysis and
infrastructure protection, improve the use of science and technology to counter weapons of mass
destruction, and to create a comprehensive response and recovery system. The Office of the
Secretary includes multiple offices that contribute to the overall Homeland Security mission.
These arc:

       The Privacy Office (PRIV) works to preserve and enhance privacy protections for all
       individuals, to promote transparency of Department ofHomeland Security (DHS)
       operations, and to serve as a leader in the 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 Opportwtity
       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, 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 (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, increase efficiencies in administering
       citizenship and immigration services, and improve customer service.

       The Office of Legislative Affairs (OLA) 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 (OGC) 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 (OPA) 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

                                                                                                   20
      strategic communications, speechwriting, Web content management, and employee
      communications.

      The Office of Countemarcotics 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) 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) works to advance the
      D~partm~nt's risk-reduction mission. Reducing risk r~quires an int~grat~d approach
      that encompasses both physical and virtual threats and their associated human
      elements.

      The Directorate for Science and Technology (S&T) 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 (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 perfonnance measurements.

      The Office of Policy (PLCY) 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 (OHA) coordinates all medical act1v1tles of the
      Department of Homeland Security to ensure appropriate preparation for and response
      to incidents having medical significance

                                                                                               21
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.

The Office of Operations Coordination and Planning (OPS) is responsible for
monitoring the security of the United States on a daily basis and coordinating
activities within the Department and with governors, Homeland Security Advisors,
law enforcement partners, and critical infrastructure operators in all 50 states and
more than 50 major urban areas nationwide.

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 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 (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



                                                                                           22
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 to
protect national leaders, visiting heads of state and government, designated sites and
National Special Security Events.




                                                                                         23
APPENDIX B: Organization of the Department of Homeland
Security Chart
                                                           U.S. DEPARTMENT OF HOMELAND SECURITY




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                                                                                                                                                                                                            24
APPENDIX C: Names, Addresses, and Contact Information for
DHS FOIA Officers
         Department of Homeland Security Chief FOIA Officer
Mary Ellen Callahan                            Catherine M. Papoi, J.D., CIPP/G
ChiefFOIA Officer                              Deputy Chief FOIA Officer
The Privacy Office                             Director, Disclosure & FOIA
U.S. Department of Homeland Security           U.S. Department of Homeland Security
245 Murray Drive SW, Building 410              245 Murray Drive SW, Building 410
STOP-0665                                      STOP-0665
Washington, DC 20528-0665                      Washington, DC 20528-0665


         Department of Homeland Security Component FOIA Officers

Office of the Secretary and Designated HQ      Federal Emergency Management Agency
Components                                     Dr. Lesia Banks
Vania T. Lockett                               Ph: 202-212-2220; Fax: 202-646-3347
Ph: 703-235-0790; Fax: 703-235-0443            Disclosure Branch
The Privacy Office                             500 C Street, SW, MD-BO-RM
U.S. Department of Homeland Security           Washington, DC 20472
245 Murray Drive SW, Building 410
STOP-0665                                      Federal Law Enforcement Training Center
Washington, DC 20528-0665                      Marty Zimmerman-Pate
                                               Ph: 912-267-3103; Fax: 912-267-3113
U.S. Citizenship and Immigration Services      Buildi.ng No.681 , Suite 187B
Jill Eggleston                                 Glynco, GA 3 I 524
Ph: 816-150-5521; Fax: R16-~50-5785
National Records Center, FOIA/PA Office        Office of the General Counsel
P. 0. Box 648010                               David Palmer
Lee's Summit, MO 64064-801 0                   Ph: 202-282-9822; Fax: 202-282-9186
                                               U.S. Department of Homeland Security
Office for Civil Rights and Civil Liberties    Washington, DC 20528-000 I
Fernando Pinero, Jr.
Ph:202-357-7672;Fax:202-357- 1196              U.S. Immigration and Customs Enforcement
DHS-CRCL-FOIA                                  Catrina Pavlik-Keenan
U.S. Department of Homeland Security           Ph: 202-732-0300;Fax:202-732-0310
245 Murray Lane, SW, Bldg 410                  800 North Capitol Street, N.W.
Washington, DC 20528-0001                      5th Floor, Suite 585
                                               Washington, DC 20536-5009
U.S. Coast Guard
Donald Taylor                                  Office of Inspector General
Ph: 202-475-3522; Fax: 202-475-3927            Katherine Gallo
Commandant (CG-6II)                            Ph: 202-254-400 I; Fax: 202-254-4398
2 100 2nd St., S.W.                            U.S. Department of Homeland Security
Washington, DC 20593-000 I                     245 Murray Drive, Bldg. 410, MIS 2600
                                               Washington, DC 20528-000 l
U.S. Customs and Border Protection
Dorothy Pullo, Director                        Office of Intelligence and Analysis
Ph: 202-325-0150; Fax: 202-325-0450            Quinton Mason
FOIA Division                                  Ph: 202-447-4265; Fax: 202-612-1936
799 9th Street N W                             U.S. Department of Homeland Security
Washington, DC 20229-II77                      Washington, DC 20528-000 I

                                                                                          25
Directorate for Management
Mark Dorgan
Ph: 202-447-3106; Fax: 202-447-37 13
U.S. Department of Homeland Security
Washington, DC 20528-000 I

Directorate for National Protection and Programs
Gayle Worthy, Acting
Ph: 703-235-221 1; Fax: 703-235-2052
U.S. Department of Homeland Security
Washington, DC 20528-000 I

Office of Operations Coordination
Michael Page, Acting
Ph: 202-282-8743; Fax: 202-282-9069
U.S. Department of Homeland Secur ity
Washington, DC 20528-000 I

Office of Heahh Affairs
Audrey Swann
Ph: 202-254-5619; Fax: 202-254-6094
U.S. Department of Homeland Security
Washington, DC 20528-000 I

Office of Policy
Traci Ballard
Ph: 202-447-3497; Fax: 202-282-9975
U.S. Department of Homeland Security
Washington, DC 20528-000 I

Directorate for Science & Technology
Miles Wiley
Ph: 202-254-6819; Fax: 202-254-6178
U.S. Department of Homeland Security
Washington, DC 20528-000 I

United States Secret Service
Latita Payne
Ph: 202-406-6370; Fax: 202-406-5 154
245 Murray Drive, Building 4 10
Washington, DC 20223

Transportation Security Administration
Howard Plofker, Acting
Ph: 1-866-FO!A-TSA; Fax: 571-227- 1406
60 I S. 12th Street, TSA-20
II th Floor, East Tower
Arlington, VA 22202-4220




                                                   26
Message from the Chief Freedom of Information Act Officer

As the ChiefFreedom of Information Act (FOIA) Officer for
the Department of Homeland Security (DHS), I am proud to
present our second annual ChiefFOIA Officer' s Report. As
evidenced throughout this report, DHS is committed to the
presumption of openness and transparency in government
and has achieved significant progress toward this goal d!uring
the past year.

FOIA was designed to promote government openness and
accountability. It gives the public the right to request copies
of records in the possession of federal Executive Branch
agencies, subject to nine exemptions and three special law
enforcement exceptions.

The Secretary of Homeland Security appointed me to serve as both the Department's Chief
Privacy Officer and Chief FOIA Officer. Given that FOIA is a pillar of the U.S. privacy
protection framework, my ability to oversee both privacy and FOIA management across the
Department fosters greater transparency of DHS operations.

As outlined in the Department' s Open Government Plan, 1 the Department's FOIA staff, led by
the Privacy Office, works directly with the Open Government Team to promote transparency of
operations through accessibility. The Department well surpassed its Open Government goal by
reducing its backlog by 40%, along with additional Open Government metrics. The success of
the FOIA staff in reaching this goal is measured by: ( 1) reducing backlogs and improving
timeliness in responding to requests; (2) having an effective system for responding to FOIA
requests; (3) increasing proactive disclosures; (4) applying the presumption of openness; and
(5) making better use of technology.

Here are some highlights of our accomplishments in these five key areas in 2010:

Reducing Backlogs and Improving Timeliness in Responding to Requests
I am proud to say that DHS has significantly reduced its FOIA backlog. Between the end of
FY 2008 and the end ofFY 2010, we reduced the backlog by 84%, from 74,879 to 11 ,383
requests. In FY 2010 alone, DHS reduced its backlog by 40%, eclipsing both the DHS Open
Government Directive' s instruction to reduce the FOIA backlog by 10% percent each year, and
our Open Government Plan' s goal of a 15% reduction this fiscal year. We also reduced the
average time it takes to process FOIA requests in our system, organized of three tracks-simple,
complex, and expedited-across the board, including cutting the response time for complex
requests in half.


'Office ofMgmt. & Budget, Executive O ffice of the President, OMB Memorandum No. M-10-06, Open
Government Directive (2009), available at
http://www.whitehouse.gov/sites/default/:files/omb/assets/memoraoda_20 I 0/m I 0-06.pdfGovernment Plan, June I 0,
2010- Version. l.l, available at http://www.dhs.gov/xlibrarv/assets/dhs open government plan.pdf.
Ensuring DHS has an Effective System for Responding to Requests
The Department received 130,098 requests in FY 2010, a 26% increase over FY 2009. Although
we processed slightly fewer requests-a decrease of 13% in FY 2010 in comparison to the
previous fiscal year- the total number of requests processed was over 138,000, a total that still
represents the second highest number of initial requests processed by the Department since 2005,
and more than any other federal agency this fiscal year.

Increasing Proactive Disclosures
My office promotes transparency and the President's Open Government Initiative by adopting a
Proactive Disclosure Policy in an August 26, 2009 memorandum,2 which encourages all staff to
post on our public-facing websites not only frequently-requested documents but other records that
are not legally required to be posted but that nevertheless will assist the public in understanding
the op.erations of the Department. Consistent with my Proactive Disclosure Policy memorandum,
during this reporting period DRS has proactively published more than 338 documents, totaling
more than 6,240 pages, with more planned to be published in the near future.

The result of these efforts is a robust, continuously growing, publicly available library that
increases our transparency and accountability, and reduces the need for the public to file FOIA
requests for certain information.

Applying the Presumption of Openness
The President's FOIA Memorandum and the Attorney General's FOIA Guidelines have been
publicized throughout the Department this year via correspondence from the Deputy Secretary,
Component FOIA officers, and me, as well as through mandatory FOIA training classes and
disclosure meetings. 3 Many of the DRS components have revised their internal guidance and
employee training programs to include the new transparency directives issued by my office in
2010.

Utilizing Technology to a Greater Degree
All DHS Components receive, track, and process all FOIA requests electronically. All
Components also use technology to assist in the preparation of the FOIA Annual Reports and the
ChiefFOIA Officer's Reports. In addition, several of the Department's Components are
updating their electronic FOIA processing capabilities to significantly streamline their current
administrative process.

DRS's accomplishments in FOIA this year are due to the hard work and dedication ofFOIA
professionals across the Department. President Obama has stressed the importance ofFOIA,
stating that it is "the most prominent expression of a profound national commitment to ensuring
an open government." At DRS we take seriously our responsibility to increase openness,
transparency, and accountability in government. I am proud of our accomplishments, and am


2
  The DH.S Proactive D isclosure and Departmental Compliance with Subsection (a)(2) ofthe Freedom of
Information Act (FOIA) is available at http://www.dhs.gov/xlibrary/assets/foia/foia proactive disclosure.pdf
3
  The President' s FOIA memorandum of J anuary 21 , 2009 is availa ble at
http://www.justice.gov/oip/ foia guide09/presidential- foia.pdf, and the Attorney General's memorandum of March
19, 2009 is available at http://www.usdoi.gov/ag/foia-memo-march2009.pdf.
confident that through our deep commitment to these goals, we will continue to make
improvements in the coming year.




Mary Ellen Callahan
Chief Freedom of Information Act Officer
U.S. Department of Homeland Security
                                               TABLE OF CONTENTS

Part 1. Operational O verview of the DHS FOIA Program ............................................. )

           Background ................................................................................................................ 1
                I. About the Office ........................................................................................... .!
               II. About this Report ........................................................................................... 2
              TIL Operational Overview of the DHS FOIA Program........................................ 3

Part 2. Promoting Openness and Efficiency - Addressing Key Areas of Department
of Justice Interest ........................•........................................................................................4

                   I. Steps Taken to Apply the Presumption of Openness ................................... ..4
                        1. Steps Taken to ensure presumption of openness .................................... .4
                        2. Report whether agency shows an increase in the number of Requests
                            w here Records have been Released in Full/Partial from Previous
                            Year's Annual Report .............................................................................. 8
                  II.   Steps Taken to Ensure Agency has an Effective System for Responding
                        to Requests ........................................................................................... _......... 11
                        1. Describe how the Agency bas addressed key roles of personnel w ho
                            work with FOIA requests ........................................................................ .ll
                TIL     Steps Taken to Increase Proactive Disclosures ............................................. .l4
                        1. Describe steps taken to increase amount of material on Agency
                            website ..................................................................................................... 14
                IV.     Steps Taken to Greater Utilize Technology ...................................................18
                        1. Electronic Receipt of Requests ................................................................ 18
                        2. Electronic Tracking ofRequests .............................................................. 19
                        3. Electronic Processing of Requests ........................................................... 19
                        4. Electronic Preparation of Annual FOIA Report ...................................... 20
                 V.     Steps Taken to Reduce Backlogs and Improve Timeliness in Responding
                        to Requests ..................................................................................................... 21
                        1. If your agency has a backlog, report here whether that backlog is
                            Decreasing................................................................................................ 21
                        2. If there has not been a reduction in the backlog as measured by either
                            of these metrics, describe why that has occurred ..................................... 27
                        3. Describe the steps your agency is taking to reduce any backlogs
                            and to improve timeliness in responding to requests and
                            administrative appeals ............................. ................................................ 27

Part 3. Our Spotlight on Success: Great Improvement in the Department of Homeland
Security ................................................................................................................................. 29
                   I. United States Citizenship and Immigration Services (USCIS) FOIA
                      Program Highlights ........................................................................................ 29
              II. U.S. Customs and Border Protection (CBP): Elimination of Backlog
                  ofFOIA Appeals ........................................................................................... 30

APPENDIX A: Composition of the Department of Homeland Security .............................. 33

APPENDIX B: DHS Component Chart ............................................................................... 36

APPENDIX C: DHS FOIA Officers Contact Information ................................................... 37

APPENDIX D: Acronyms, Definitions, and Exemptions .................................................... 39




                                                                II
Part 1. Operational Overview of the DHS FOIA Program

Background

    I.   About the FOIA Operations of the DHS Privacy Office

In accordance with Executive Order 13392, Improving Agency Disclosure o;Jnforma1ion, 4 the
Secretary ofHomeland Security designated the DHS Chief Privacy Officer to serve
concurrently as the ChiefFOIA Officer with responsibility to promote efficiency, effectiveness,
and statutory compliance throughout the Department. 6 The Chief Privacy Officer, who leads the
DHS Privacy Office, reports directly to the Secretary for both FOIA- and privacy- related
purposes.

The Privacy Office coordinates Department-level compliance with FOIA by developing
Departmental policy needed for the implementation of important FOIA initiatives, such as the
sweeping changes set forth in the President's FOIA Memorandum and the Attorney General's
FOIA Guidelines of2009. 7 Additionally, the Privacy Office performs oversight of Component
FOIA operations, provides FOIA training, and prepares required annual reports of the
Department's FOIA performance. The Privacy Office, through its FOIA unit, referr,ed to
hereafter as the DRS FOIA Office, also processes initial FOIA and Privacy Act requests to the
Office of the Secretary (including the Military Advisor's Office and the Office of
Intergovernmental Affairs), and eight DHS headquarters Components (all of which are
collectively referred to hereafter as "DHS FOIA Office Components"). 8



4
  Executive Order Number 13392, Fed. Reg. 75373 (Dec. 14, 2005). The Executive order's requirement for the
establishment of the ChiefFOIA Officer position was enacted into law as provisions of the FOIA (5 U.S.C.
552U),(k)) by the OPEN Government Act of2007, Pub. L. 110-175, 121 Stat. 2524 (Dec. 31 , 2007)).
5
  The ChiefPrivacy Officer position was established by Section 222 of the Homeland Security Act of2002
(Homeland Security Act), 6 U.S.C. § 142. Section 222 assigns the ChiefPrivacy Officer responsibilinies to ensure
that privacy and transparency in government are implemented throughout the Department. Congress expanded the
authorities and responsibilities of the Chief Privacy Officer in 2007 in the Implementing the Recomme ndations ofthe
9111 Commission Act of 2007 (9/ll Commission Act), Public Law ll0-53, 6 U.S. C.§ lOl note. Section 802 of the
9/11 Conunission Act added investigatory authority, the power to issue subpoenas, and the ability to administer
oaths, a fflrmations, or affidavits necessary to investigate or report on matters relating to responsibilities under
section 222 of the Homeland Security Act . These responsibilities are further described on the DHS Pr ivacy Office
website: htto://www.dhs.gov/xabout/structure/editorial 051 O.shtm and in
http://www.dhs.gov/xlibrary/assets/privacy/privacy rpt annual 2009.pdf, and in the Background section of the
DHS Privacy Office Annual Report to Congress, September 2010, available at
http://www.dhs. gov/xlibrary/assets/privacv!privacy rot annual 20 I O.pdf
6
  ln this Report a reference to the " Department'' or "DHS" means the entire Department of Homeland Security,
including its components, directorates and the Office of the Secretary.
7
  The President's FOIA memorandum of J anuary 21, 2009 is availa ble at
http://www.justice.gov/oip/ foia guide09/presidential-foia.pdf, and the Attomey General 's memorandum of March
19, 2009 is available at http://www.usdoi.gov/ag/foia-memo-march2009.pdf.
8
  Specifically, the DHS FOIA Office processes the Privacy Office 's initial requests and those for the following
components: Office of the Secretary, CISOMB, CNE, DNDO, ESEC, IGA, OHA, OLA, and OPA. See Appendix A
for a list of the Department's Components and their abbreviations.

                                                         1
The Director, Disclosure and FOIA (hereinafter, the Director and who for the report period also
used the working title of Deputy ChiefFOIA Officer), advises the ChiefFOIA Officer and other
executive-level leaders throughout DHS on compliance with FOIA, the Privacy Act, the £-
Government Act, the requirements of Section 222 of the Homeland Security Act as amended,
and DHS policies, programs, and agreements that promote adherence to information disclosure
ptinciples. The Director oversees the development and implementation of Department-wide
FOWPrivacy Act policies and procedures, including internal headquarters procedures and
guide! ines based upon new or revised legislation or recommendations, and is responsible for the
development and delivery of effective training in these areas. The Director also supervises the
operations of the DHS FOIA Office, and is assisted by two Associate Directors in that office.

The Associate Director, Disclosure and FOIA Operations, provides leadership and oversight of
the DHS FOIA Office's operation to include managing the processing ofFOIA and Privacy Act
requests for records maintained by DHS FOIA Office Components and ensuring that the
disclosure staff is well-versed in the Department's mission and key programs, and can readily
disseminate relevant information to the public. This Associate Director coordinates the
processing of FOIA requests with many internal and external customers, including other federal
agencies, state and local governments, foreign entities, and private companies, and ensures
requests are handled consistently throughout the Department. This Associate Director also
serves as a resource to DHS senior leadership to provide guidance on information disclosure
policy, advises employees on their responsibilities under FOIA and the Privacy Act, and assists
the FOIA Public Liaison in addressing customer service issues.

The Associate Director for Policy and Program Development is responsible for Department-wide
disclosure training, identifying and remedying policy and program deficiencies, serving as the
DHS FOIA Public Liaison, 9 and managing the HQ FOIA web presence. Additionally, this
Associate Director routinely participates in national conferences and specialized training
programs. For example, this Associate Director regularly participates in conferences of the
International Association of Privacy Professionals (lAPP) and the American Society of Access
Professionals (ASAP), the professional organization for Federal Government employees and
private citizens working in the field of access to information under FOIA.

The DHS FOIA Office includes the Director, the two Associate Directors, and 13 FOIA
specialists. The specialists process initial requests to the DHS FOIA Office Components and
prepare the Department's required FOIA reports. As the Department's programs are wide-
ranging, the processing of requests requires close coordination with many internal and external
customers, to include other federal agencies, state and local governments, foreign entities, and
private companies. The DHS FOIA Office specialists provide expert FOIA guidance to DHS
FOIA Office Components and communicate regularly with DRS's oth.er customers.

II.        About this Report
This is the DHS Privacy Office's second ChiefFOIA Officer Report, covering the period March
15, 2010 through March 15,2011. During the reporting period, the ChiefFOIA Officer placed

9
    This position was established in law by 5 U.S.C. § 552(1).

                                                            2
an emphasis on principles of accountability and transparency within the Department's FOIA
program. These principles guided the work of the DHS Privacy Office's overarching goals to
make the Department's FOIA operations effective and efficient.

First, the Privacy Office has led concerted DHS efforts to enhance accountability by establishing
procedures and standards for effectively implementing 5 U.S.C. §552(a)(2)(D) (hereafter
                                      10
referred to as Subsection (a)(2)(D)). Secondly, under the leadership of the ChiefFOIA Offi cer,
the Department implemented effective transparency far exceeding the Office of Management and
Budget's (OMB) directive to reduce FOIA backlogs. Although the OMB called for a
government-wide reduction of FOIA backlogs by 10%, the Chief FOIA Officer set a goal of a
15% backlog reduction for DHS; by the end ofFY 2010, the Department had achieved an
                                   11
amazing 40% backlog reduction. In addition, the Department reduced the number of pending
FOIA Appeals by 78%. Finally, the Privacy Office, consistent with th.e President's Transparency
                                         12
and Open Government memorandum, directed the Department to publish proactively the
followin9 categories of information: I) Historical daily schedules of the most senior agency
           3
officials; 2) Executed contracts and grants; 3) Management directives and instructions;
4) Congressional correspondence under DHS control; and 5) FOIA logs. In response to this
direction, the Components have made significant enhancements to their online FOIA reading
rooms to support the proactive disclosure initiative. New information is posted to many of the
sites on a monthly basis in accordance with the Proactive Disclosure Policy memorandum, with
over 338 documents, totaling more than 6,240 pages and more planned in the near future. 14

III.     Operational Overview of the DHS FOIA Program
The Department's FOIA program began with the Department's establishment in 2003. Many of
the agencies that were merged into DHS had pre-existing, established FOIA operations.
Elements of those decentralized operations continue todlay. Subject to Department-w ide FOJA
regulations and the policy leadership of the DHS FOIA Office, DRS' s Components are
responsible for establishing and maintaining their own FOIA programs and operationally
deciding whether to establish a centralized or decentralized FOIA program at the Component or
directorate level. The DHS Organizational Chart is provided in Appendix B. Names and contact
information for DHS FOIA Officers are provided in Appendix C.



 10
   DHS FOIA Office Procedures and Standards for Effectively Implementing Section (a)(2)(D) ofthe FOlA,
available at htto://www.dhs.gov/xlibrarvlassets/foialcfoiao-memo-dhs-priv-foia-a2d-procedures-20 I 0 I 208.pdf.
11
   O ffice ofMgmt. & Budget, Executive Office ofthe President, OMB Memorandum No. M-1 0-06, Op en
Government Directive (2009), available at
http://www.whitehouse.gov/sites/defauit/fiies/omb/assets/memorarnda_ 2010/m 10-06.pdf; Op en Government Plan,
June 10, 2010 - Version. 1.1 , available at http://www.dhs.gov/xlibrary/assets/dhs open government plan.pdf.
12
   Transparency and Open Government Memorandum, 74 Fed. Reg. 4685 (Jan. 2 1, 2009), available at
htto://edocket.access.gpo.gov/2009/pdllE9-1777 .pdf.
13
   Proactive Disclosure ofSenior O.fficiafs' Calendars, available at http://www.dhs. gov/xlibrary/assets/foialdeputv-
secretary-calendar-memo-20101112.pdf
14
   The DHS Proactive Disclosure and Departmental Compliance with Subsection (a)(2) ofthe Freedom of
   o
Inf rmation Act (FOJA) is available at http://www.dhs.gov/xlibrary/assets/ foialfoia proactive disclosure.pdf
Throughout this report, all request and processing information is based on FY 2010 figures. Proactive disclosure
statistics are based on the March 15, 2010 - March 15, 201 1 time period unless otherwise indicated.

                                                          3
Part 2. Promoting Openness and Efficiency - Addressing Key Areas
of Interest to tbe Department of Justice

     I.   Steps Taken to Apply the Presumption of Openness
          1. Describe the steps your agency has taken to ensure that the presumption of
             openness is being applied to all decisions involving FOIA. To do so, you should
             answer the questions listed below and then include any additional information
             you would like to describe how your agency is working to apply the presumption
             of openness.

             a. Describe how the President's FOIA Memorandum and the Attorney General's
                FOJA Guidelines have been publicized throughout your agency.

The ChiefFOIA Officer and Component FOIA officers have undertaken a variety of measures to
publicize the President's FOIA Memorandum and the Attorney General's FOIA Guidelines.
These measures include further dissemination of the President's directive, enhanced training for
Component personnel on the presumption of openness, and inclusion of these princijples in
Component FOIA guidance.

For example, the CbiefFOIA Officer sent a memorandum to all Component heads reiterating the
Department's commitment to transparency and openness, the presumption of disclosure, and the
proactive disclosure and discretionary release policy. 15 Additionally, in order to ensure that the
Department complies with Section 508 of the Rehabilitation Act, the ChiefFOIA Officer sent a
memorandum to all DRS FOIA Officers providing instructions and guidance for converting a
redacted document into a "Section 508 compliant" document prior to posting in their FOIA
electronic reading rooms. 16 Finally, in an effort to standardize DHS application ofFOIA Exemption
(b)(6) to DRS personnel information contained in agency records, the ChiefFOIA Officer provided
guidance to Departmental FOIA personnel in a memorandum on November 24,2010. 17

Furthem1ore, the President's FOIA Memorandum and Attorney General's FOIA Guidelines have
been publicized throughout the Department by e-mail, mandatory training sessions, and

15
   Freedom ofInformat;on Act and 2010 Sunsh;ne Week, available at
http://www.dhs.gov/xlibrary/assets/fo ia/priv fo ia sunshine week memo 20 I 0-03-1 6.pdf.
16
  ln 1998, Congress amended the Rehabinitation Act to require federal agencies to make their electronic and
information technology accessible to people with disabilities. Inaccessible technology interferes with an individual's
ability to obtain and use information quickly and easily. Section 508 (29 U.S.C.§ 794d) was enacted to eliminate
barriers in information technology, to make available new opportunities for people with disabilities, and to
encourage development of technologies that will help achieve these goals. The law applies to all federal agencies
when they develop, procure, maintain, or use electronic and information technology. Under Section 508, agencies
must give disabled emplo yees and members of the public access to infonnation that is comparable to the access
available to others; Creating 508-Compliant Documents, available at
http://www.dhs.gov/xlibrary/assets/foia/priv cfoiao oast memo creating accessible pdfs 20l00614.pdf.
17
                                                                    o
   DHS Application ofFOJA ExempUon (b)(6) to DHS Personnel Jnf nnation Contained within Agency Records,
available at
http://www.dhs.gov/xlibrarv/assets/foia/priv cfoiao memo application of foia exemption b6 dhs personnel info
  contained within agency records 20 I0 1124.pdf.

                                                          4
disclosure meetings. For example, U.S. Immigration and Customs Enforcement (ICE) circulated
the DHS FOIA Office Memorandum entitled "The Attorney General' s Guidelines on the
Freedom of Information Act" to all its FOIA professionals. 18 Further, U.S. Customs and Border
Protection (CBP) provided its management and FOIA specialists the President's FOIA
Memorandum and the Attorney General's FOIA Guidelines and posted them internally on the
CBP intranet. The Science and Technology Directorate (S&T) provided the President' s FOIA
Memorandum and the Attorney General's FOIA Guidelines to the Office of Associate General
Counsel and the Office of Executive Secretariat, who are responsible, respectively, for the
reviewing and tasking of FOIA requests. The DHS FOIA Office focused on transparency and
the Attorney General ' s Guidelines among other FOIA-related issues in its inaugural FOIA
Workshop, discussed below.

            b. What training has been attended and/or conducted on the new FOJA Guidelines?

Many DHS Components have revised their FOIA training to include tlhe President's FOIA
Memorandum and Attorney General's FOIA Guidelines. In November 2010, the DHS FOIA
Office held a workshop that concentrated on the President's FOIA Memorandum and the
Attorney General 's FOIA Guidelines and was attended by over 100 Component FOIA officers
and FOIA staff. Moreover, ICE FOIA staff led an ICE FOIA training session that addressed the
President's FOIA Memorandum and the Attorney General ' s FOIA Guidelines. Finally, the
Federal Emergency Management Agency (FEMA), Records Management Division conducted a
FOWPrivacy Act "Back to Basics" training symposium, which included presentations on the
President's FOIA Memorandum and the Attorney General's FOIA Guidelines.

These memoranda are also described in detail at new-employee orientation and recurring FOIA
annual training. For instance, the Office of Inspector General (OIG) has provided in-house
FOIA training on these and other subjects on five separate occasions to OIG employees. OIG
conducted three sessions specifically for OIG' s FOIA staff and two additional sessions for all
OIG employees; the OIG offered the same training online. These training sessions started with a
detailed explanation of the President's FOIA Memorandum, with a focus on proper
implementation of the same via the Attorney General' s FOIA Guidelines.

Further, many of the Department's FOIA staff have attended extra-Departmental training on FOIA,
the President' s FOIA Memorandum, and the Attorney General 's FOIA Guidelines. For example,
FOIA staff have attended such training sessions provided by the U.S. Department of Justice
(DOJ), the Office of Government Information Services (OGIS), U.S. Department of Agriculture
(USDA) Graduate School, the International Open Government Data Conference, and the ASAP
Training Conferences. The Office of Intelligence and Analysis (I&A) FOIA Officer attended
both tlhe Advanced Freedom of Information Act Seminar provided by the DOJ Office of Legal
Education and the DHS FOIA Workshop. S&T sent five of its employees to FOIA training at
USDA Graduate School where both ofthese documents were discussed. Staff members of the
DHS FOIA Office Staff, the United States Citizenship and Immigration Services (USCIS),
FEMA Disclosure Branch, and Office of Policy (PLCY) attended the annual ASAP conference
that provided information relating to these developments.

18
  Attorney General's Guidelines on the Freedom ofJnfo nnation Act, available at
http://www.dhs.gov/xlibrarvJassets/foia/priv cfoiao memo ag guidelines on foia 20090324.pdf.

                                                     5
             c. How has your agency created or modified your internal guidance to reflect the
                presumption ofopenness?

The ChiefFOlA Officer and Component FOIA officers have created new guidance and modified
intemal guidance to reflect the presumption of openness. For example, the ChiefFOIA Officer
reiterated the Department's commitment to transparency and openness, the presumption of
disclosure, and proactive disclosure and discretionary release policy in a memorandum sent to all
Component heads. 19 Further, on November 12, 2010, the Deputy Secretary sent a memorandum
to Component heads directing all Departmental Components to post the historical daily
schedules of their senior leaders at the Assistant Secretary level or higher to their Component
websites. 20

[n addition, many Components updated their internal guidance, standard operating procedures
(SOP), and handbooks. For instance, USCIS updated its existing handbooks to reflect the new
guidelines, and the ICE FOIA Office incorporated the presumption of openness into its FOIA
Office procedures. FEMA's Disclosure Branch is in the process of implementing a FOIA
reengineering initiative, which involves detailed process maps and a comprehensive SOP
including provisions for proactive disclosures and an overhaul of the electronic readjng room.
The U nited States Coast Guard (USCG) incorporated these concepts into the USCG
FOINPrivacy Act Manual, which sets forth the operating presumption that responsive records
shall be released.

             d. To what extent has your agency made discretionary releases of otherwise exempl
                information?

The Department has strived to maximize the releases of otherwise exempt information by
applying the foreseeable harm doctrine. In many instances, this is accomplished by supervisory
reviews, line-by-line analysis of records, and certification of"foreseeable harm" analysis.

For example, at the behest of the ChiefFOIA Officer, the DHS FOIA Office Suspense Tracker
form (used to transmit responsive records in the DHS FOIA Office Components) was modified
so that each office must now certify that a "foreseeable harm" review and analysis has been
completed for all withheld and partially withheld records. I&A also updated their internal FOIA
suspense tracker to include a certification that a foreseeable harm review has been completed for
all withheld and partially withheld records.

Further, the ICE FOIA Office changed its FOIA procedures to incorporate a supervisory review
of documents being processed for release under FOIA to determine if any otherwise exempt
information may be disclosed on a discretionary basis. In addition, the USCG requires that a
legal officer review and approve all decisions to withhold responsive records, and w ill remand
decisions that fail to properly consider the presumption of disclosure requirement.

19
   Freedom ofInformation Act and 2010 Sunshine Week, available at
http://www.dhs.gov/xlibrarvJassets/foia/priv foia sunshine week memo 20 I 0-03-16.pdf.
20
   Proactive Disclosure ofSenior Officials ' Calendars, available at http://www.dhs.gov/xlibrarvJassets/foia/ deputy-
secretary-calendar-memo-20101112.pdf.

                                                          6
           e.   What exemptions would have covered the information that was released as a
                matter ofdiscretion?

The Department's discretionary releases were typically of records covered by FOIA exemptions
2 and 5.

           f    How does your agency review records to determine whether discretiona1y
                releases are possible?

Many DHS Components have revised the way they review records to determine whether
discretionary releases should be made. Generally, the Department's FOTA staff will conduct an
initial review of records to determine, under the presumption of openness, what information
ought to be disclosed on a discretionary basis. Before withholding a record, the FOIA staff
confirms that it can be reasonably foreseen that disclosure of the record would harm an interest
that is protected by one of the exemptions, consulting directly with the mission area with equities
in the record. Finally, many Components have incorporated a supervisory review of documents
being processed for release under FOIA to determine if any otherwise exempt information
should be disclosed on a discretionary basis.

For example, OIG's FOIA staff reviews requested records to ensure that before a record is
withheld, the staff reasonably foresees that disclosure would harm an interest protected by one of
the FOIA exemptions, and often consults with staff in the OIG mission area with equities in the
information. Thus if the information at issue involves an OIG Audit report, the staff consults
with the OIG Office of Audits as needed in making the determination whether to withhold.
Further, the FOIA staff determines whether to make discretionary releases of exempt
information.

USCIS provides another example of staff determining what information is appropriate for
discretionary release. The bulk of this Component's requests are generally for Alien files
(hereafter referred as A-files), which do not typically lend themselves to discretionary release.
However, for requests not dealing with A-files, USCIS has trained its FOIA staff to review
closely all documents for potential discretionary release. FOIA staff also consults with the
USCIS component responsible for the information to determine if any otherwise exempt
information may be disclosed on a discretionary basis.

I&A and ICE are two Components that incorporated a supervisory review of requested records to
determine if any otherwise exempt information may be disclosed on a discretionary basis. I&A
implemented a robust review process, which includes the active collaboration and participation by
the I&A FOIA Officer, I&A analysts and the Intelligence Law Division of the Office of General
                                  a
Counsel (OGC), which provides leg: l advice to l&A. The review process ensures a foreseeable harm
review and analysis has been completed for all withheld and partially withheld documents. The ICE
FOIA Office changed FOIA procedures to incorporate a supervisory review of requested records
to determine if any otherwise exempt information may be disclosed on a discretionary basis.




                                                 7
               g. Describe any other initiatives undertaken by your agency to ensure that the
                  presumption ofopenness is being applied.

The Department has undertaken many initiatives to ensure that the presumption of openness is
being applied in new ways. For example, CBP and ICE cooperated with National Geographic in
its production of the TV program Border Wars. In another instance, CBP cooperated with the
national media regarding stories on unmanned drones.

Additionally, in a non-FOIA context, OIG implemented! a new routine use under the Privacy Act,
5 U.S.C. § 552a, which grants OIG discretion to release information to OIG complainants and
victims who contact OIG requesting information regarding a complaint filed with OIG. Under
this new routine use, OIG may release information: "To complainants and/or victims to the
extent necessary to provide such persons with information and explanations concerning the
progress and/or results of the investi~ation arising from the matters of which they complained
and/or of which they were a victim." 1

This new routine use falls squarely within the President's presumption of openness by expanding
OIG's discretion to release information in certain circumstances to federal employees,
contractors, private citizens, and other persons who contact OIG for assistance as
whistleblowers, complainants, and victims. The routine use implements the President's
presumption of openness in that it: (I) provides for greater transparency by providing an
additional mechanism for discretionary release; (2) streamlines OIG's ability to provide
information to complainants and victims by providing an immediate mechanism for disclosure;
(3) reduces bureaucratic barriers by notifying complainants whom to contact in OIG for
additional information on their allegations, for example, the agency to which their complaint was
referred; (4) enhances public perceptions ofDHS's accountability by allowing OIG to respond
directly and immediately to complainants' and victims' requests for information; (5) alleviates
fears on the part of complainants that their complaints are being ignored; and (6) reduces the
likelihood of multiple inquiries as well as repeated complaints by persons who are d,enied
information on the status of their complaints.

           2. Report the extent to which the numbers of requests where records have been
              released in full and the numbers of requests where records have been released in
              part has changed from those numbers as reported in your previous year's
              Annual FOIA Report.

The Department received 130,098 requests in FY 2010, which is a 26% increase as compared to
FY 2009. Although the Department processed slightly fewer requests, a decrease of 13% in
FY 2010 in comparison to the previous fiscal year, the total number of requests processed was
138,651 , a total that still represents the second highest number of initial requests processed by
the Department since 2005, and more than any other federal agency this fiscal year. As a result,
DHS reduced its backlog ofFOIA requests by 40%, to 11 ,383.




21
     DHS OIG--002 Investigative Records System of Records, 74 Fed. Reg. 55569 (October 28, 2009).

                                                        8
                                    FOIA Requests Processed FY 2003 - 2010
          180,000
          160,000
   ...
   "'     140,000
   "'
   Cll
   ::s
   I:T    120,000
   Cll
   0::
   ood:   100,000
   0
   ~
           80,000
   "C
   Cll
                                                                                           • Processed Requests
   "'
   "'
   Cll
           60,000
   u
   ...
   0
   11.
          40,000

           20,000
                0
                    FY 2003 FY 2004 FY 2005 FY 2006 FY 2007 FY 2008 FY 2009 FY 2010

                                                Fiscal Year


In FY 2009, of 160,007 processed FOIA requests, DHS made full/partial grants in 72% ofthe
cases. In FY 2010, of 13 8,651 processed FOIA requests, DHS made full/partial grants 69% of
the cases. The Department made progress in increasing full disclosures. In response to the
138,651 processed requests, in which the Department made a final disposition on responsive
material for FY 2010, the Department increased its full disclosures by 1% as compared to
FY 2009.


               Disposition of FOIA Request s to the Department of Homeland Security
          70

          60
   ...
   "'
    c
   ... so
   -
   nl
   ~
   0      40
   Q,l
   1>.0
   ...
   nl
   c
          30
                                                                                                  • FY 2009
   Q,l
   ...
   u      20
   Q,l
   11.                                                                                            • FY 2010
          10

          0
                      Full Grants           Partial Grants/Partial      Full Denials Based on
                                                    Denials                  Exemptions

                                         Disposition of FOIA requests


Because many DHS records requested under FOIA involve law enforcement matters, FOIA
exemptions employed most often within DHS to deny information to requesters are exemptions
(b)(6) and (b)(7)(C) to prevent unwarranted injury to the privacy interests of individuals,
(b)(7)(E) to protect against the disclosure of law enforcement techniques, procedures and
guide! ines, and (b)(2) to protect against disclosure of certain types of information the release of
which is likely to risk circumvention of laws or regulations.

                                                          9
Since many of the Department's programs involve the collection and maintenance of personal
information, the Department's records are often subject to the requirements of the Privacy Act.
This information is frequently requested under both FOIA and the Privacy Act. By policy, DHS
affords all persons the same rights of disclosure under the Privacy Act as are statutorily granted
to U.S. citizens. 22 This approach provides all first party requesters of Privacy Act information
the benefit of whichever statute (FOIA or the Privacy Act) provides the greater degree of
disclosure.


                         Disposition of FOIA Request s to the Compone nts
            70%

     ...
     Ill
      c
            60%
      ...
     IU
     c:J    50%


     -
     :;
     u..
     0
     QJ
     tlO
     ...
     IU
            40%

            30%
     c                                                                                        • FY 2009
     QJ     20%
     ...
     u
     QJ                                                                                       • FY 2010
     Q.     10%

            0%




                                       Disposit ion of FOIA requests




22
  DHS Privacy Policy Guidance Memorandum 2007-1, as amended (January 7, 2009), available at
htto://www.dhs. gov/xlibrary/assets/privacy/privacy policyguide 2007-l .pd(

                                                     10
                               Disposition of FOIA Requests to the Components
                120%
      "'
      ~
      s:::      100%
      QJ
      c
      iii
      "f        80%
       111
       I:L.
      .......
      ...
      "'
       s:::
                60%
       ...
      111
                40%
      C)                                                                                     • FY 2009
      iii
      "f                                                                                     • FY 2010
                20%

      -
       111
       c.
       0
                 0%
       ~
      ...
       111
       s:::
       ...
       QJ
       ...
       QJ
      I:L.

                                             Disposition of FOIA requests


II.             Steps Taken to Ensure that Your Agency has an Effective
                System In Place for Responding to Requests
                1. Describe here the steps your agency has taken to ensure that your system for
                   responding to requests is effective and efficient. This section should include a
                   discussion of how your agency has addressed the key roles played by the broad
                   spectrum of agency personnel who work with FOIA professionals in responding
                   to requests, including, in particular, steps taken to ensure that FOIA
                   professionals have sufficient IT support. To do so, answer the questions below
                   and then include any additional information that you would like to describe how
                   your agency ensures that your FOIA system is efficient and effective.

                   a. Do FOJA professionals within your agency have sufficient IT support?

The Department's FOIA staff work closely with the Department's information management staff
to ensure excellent information technology support. In general, IT support throughout the
Department is handled by an IT Help Desk at the Component level. In some instances, however,
FOIA offices may have an IT specialist assigned as part ofthe staff to provide IT support, as
needed.

In addition, Components reported working collaboratively with IT support staff to develop new
ways of doing business. For example, the DHS FOIA Office and IT support staff provided
instructions and guidance for converting a redacted document into a "Section 508 compliant"
document prior to posting in their FOIA electronic reading rooms. Additionally, the Chief
Security Officer together with the DHS FOIA Office provided guidance for use when redacting
sensitive information in DHS documents. 23 The National Protection and Programs Directorate

23
                           o
     Redacting Sensitive Inf rmation, available at

                                                          11
(NPPD) FOIA Staff worked with the Office oflnformation Management to develop a new FOIA
tracking system. CBP' s Office of Information and Technology (OIT) and senior FOIA
management are working to provide standardized redaction capability to field FOlA personnel
nationwide. CBP is also continuing to work with OIT to develop a fully integrated electronic
system for managing the FOIA process. Moreover, U.S. Secret Service (USSS) FOIA staff
collaborated with their Component' s Infmmation Resources Management Division (IRMD)
representatives to obtain assistance and support in acquiring a new FOlA Electronic Monitoring
and Processing System. The USSS FOIA staff and representatives from IRMD identified
possible solutions and USSS is moving forward to acquire a new system.

Additionally, several ofthe Department's Components are engaged in the procurement of an
electronic FOIA processing system to significantly streamline and update their current
administrative process. The FEMA Disclosure Branch will purchase FOIA solution software in
the second quarter ofFY 2011. Also the USCG Headquarters FOIA policy office and select
high-volume USCG FOIA processors operate a newly acquired FOlA IT solution. Following
testing of this FOIA solution, the USCG plans to expand the reach of the new IT solution to its
field FOIA processors.

            b. Describe how your agency's FO!Aprof essionals interact with your Open
               Government Team.

As outlined in the Department's Open Government Plan, 24 the Department' s FOIA staff, led by
the Privacy Office, work directly with the Open Government Team to promote transparency of
operations through accessibility. For the Department, success of the FOIA staff in reaching this
goal is measured in the reduction of the backlog of FOIA requests, creation of additional
electronic reading rooms within DHS operational Components, posting of records in compliance
with Subsection (a)(2)(D), and proactive posting of records.

Timely publication of information is vital, and the Department does not view delays as an inevitable
and insurmountable consequence of high demand. Therefore, consistent with the Proactive
Disclosure Policy Memorandum, DHS FOIA staff have disclosed more than 338 documents,
totaling more than 6,240 pages. In addition, the Department recently shifted its focus from by-
request FOIA services to a more proactive approach for sharing information. The DHS FOIA
website, www.dhs.gov/foia, hosts detailed information on how DHS processes requests, details how
to submit a FOIA request, and links to the FOIA electronic reading rooms.

            c. Describe the steps your agency has taken to assess whether adequate staffing is
                 being devoted to responding to FO!A requests.

At the direction of the Director, the Department conducted an assessment in July 2010 to
determine whether adequate staffing is being devoted to responding to FOIA requests. As a
result of this assessment, many Components identified key vacancies to be filled. For example,
as part of a conversion of contract resources the DHS FOIA Office added six senior FOIA staff
to process requests submitted to the DHS FOIA Office Components. In addition, the USSS had

http://www.dhs.gov/xlibrary/assets/foia/priv_ cfoiao_cso_memo_redacting_sensitive_infonnation_ 20 I00505.pdf.
24
   See footnote 1 1.

                                                       12
allocated several new FOIA/PA Specialist positions in previous fiscal years. Most of those
positions have been filled. The USSS FOIA staff has increased by six positions. Other
individuals are currently in the hiring process and are awaiting background clearance.

Further, as of July 2010, US-VISIT transitioned from contract support to a full-time federal
employee (FTE) FOIA Officer. US-VISIT has posted a vacancy for an additional FTE, and is
seeking additional contract support. PLCY hired a seasoned FOIA professional to the position of
FOIA Officer in August 2010, and adding more staff is under consideration for FY 2012.
Federal Law Enforcement Training Center (FLETC) secured contract support to ensure that
FOIA requests are processed in a more timely fashion. NPPD identified inadequate staffing and
is in the final stages ofhiring an additional FTE FOIA Analyst. Finally, in June 2010, the I&A
FOIA Office was realigned under the I&A Privacy Office within the Office of Intelligence Oversight.
As a result of this realignment, the I&A Privacy Officer is evaluating position availability,
position descriptions, and is preparing justifications for additional staff to support the FOIA
function.

Many of the Department's Components monitor FOIA resources and staffing on an annual basis.
For instance, the ICE FOIA Office conducts annual revEews of its resources, workload, and
staffing levels to determine if adjustments are necessary. OIG evaluates its staffing needs by
reviewing its backlog and its timeliness in responding to FOIA requests. The USCG monitors
the change in number of requests received, state of the backlog, and the number/nature of
appeals received.

Several Components filled key leadership vacancies. For instance, FEMA selected a Records
Management Division Director. The new FEMA Records Management Division Director
assessed the staffing needs and hired three key staff members: the Disclosure Branch Chief and
two team leaders. In addition, the FEMA Records Management Division Director reorganized
the Disclosure Branch into distinct teams of processors to ensure better oversight of individual
cases as well as process improvements. In another example, CBP selected a FOIA Director who
entered on duty at the end of April 2010 and assessed the volume ofFOIAs in the Division
including the FOIA referrals from USCIS. Recognizing the challenge posed by the volume of
FOIA requests and USCIS referrals, the CBP FOIA Director identified staffing needs and
conducted a cost analysis, enabling senior management to acquire a short-term solution of
additional contractors to process the USCIS referrals.

           d. Describe any other steps y our agency has undertaken to ensure that y our F OJA
              system operates efficiently and effectively.

The Department has policies and procedures in place to ensure that the FOIA system operates
efficiently and effectively. The DHS FOIA Office, working with Component FOIA staff, is
always looking for ways to improve business processes and increase productivity. The DHS
FOIA Office periodically conducts best practice reviews ofFOIA programs within DHS and
other federal agencies in an effort to make improvements.

For instance at USCIS, the FOIA staff are currently in the process of doing a technology
"refresh" to their FOIA processing system, which utilizes commercial, off-the-shelf (COTS)
software, as well as specifically designed programming for the Component. It is anticipated that
                                                13
the new software will offer many enhancements to the current processes. One of the highly
anticipated future changes will be the ability of the public to submit online FOIA requests to
USCIS. In addition, USCIS and C BP entered into a Service Level Agreement in which USCIS
began processing all CBP documents within A-files effective October 1, 2010.

In another example, the FEMA Disclosure Branch commissioned a study as part of a FOIA
reengineering initiative. This led to the decision to move from a team processing strategy to a
comprehensive system in which a single specialist has accountability for each request assigned.
In November 2010, the FEMA Disclosure Branch implemented internal weekly reports, metrics,
and other data analysis methods to improve the flow and completion of FOIA requests.

III.     Steps Taken To Increase Proactive Disclosures
         1. Describe here the steps your agency has taken to increase the amount of material
            that is available on your agency website, including providing examples of
            proactive disclosures that have been made since issuance of the new FOIA
            Guidelines. In doing so, answer the questions listed below and descriibe any
            additional steps taken by your agency to make proactive disclosures of
            information.

             a. Has your agency added new material to y our agency website since last year?

Yes.

             b. What types ofrecords have been posted?
                                                                                25                             26
In accordance with President Obama's Open Government lnitiative, the ChiefFOIA Officer
directed the Department to proactively post the following categories of information:
    1. Historical dajly schedu les of the most senior agency officials (notated to reflect that
        officials may have deviated from the posted schedule and abridged as appropriate for
        security and ]privacy concerns)
    2. Executed contracts and grants
    3. Management directives and instructions
    4. Congressional correspondence under DHS control
    5. FOIA logs
    6. Any records released pursuant to a FOIA request that have been, or are likely to become,
                                              27
        the subject of three or more requests

Consistent with the ChiefFOIA Officer's directions, beginning with the January 2009 records
and continuing to the rresent, DHS components have posted logs ofFOIA requests they received
totaling 6,069 pages. 2 These FOIA logs provide valuable insight into the types of information

25
   See footnote 12.
26
   See footnote 14.
27
   5 U.S.C. § 552(a)(2)(D).
28
   This number covers parts of three fiscal years: FY 2009 (2,512); FY 2010 (3,308); FY 20 II (249). Therefore, this
report uses only the FY 20 l 0 count in its proactive disclosure total for this reporting period.

                                                        14
sought by the public through the FOIA request process, making the logs useful tools in
understanding what DHS operations are of particular interest to the public. Additionally, as noted
earlier, the DHS FOIA Office has posted a great deal of information pursuant to the proactive
disclosure elements, particularly historical daily schedules of senior leaders, all DHS Management
Directives, contracts that have been requested through FOIA, memoranda related to FOIA operations
at DHS, and records responsive to Subsection (a)(2)(D).

In consultation with ICE program offices, the ICE FOIA Office has disclosed proactively its
policies, procedures, and reports on the ICE website totaling more than 448 pages. In addition,
CBP continues to post updates and/or modifications to contracts that are already in the FOIA
reading room. CBP also posts new contracts, final opinions, FOIA logs, policies and procedures,
and significant records of interest, such as the Commissioner' s month[y calendar.

users has added a great deal of information to their public website within the last fiscal year.
For example, they posted updates to various guides, as well as updated copies of their most
frequently used forms. In addition, USCIS posts their Administrative Appeals Office decisions
and precedent-setting decisions on a routine basis. USCIS also actively uses the Office of Public
Engagement to post proposed memoranda and proposed forms for public comment.

                c. Give examples of the types ofrecords your agency now posts that used to be
                   available only by making a FOJA request for them.

In addition to the previously-mentioned categories of information that are posted proactively, the
Department routinely posts information that used to be available only by making FOIA requests.
For example, the DHS FOIA Office posts procurement records that include awards, orders,
solicitation, and the DHS purchase cardholder listing, as well as other records that meet the
"frequently requested records" standards under Subsection (a)(2)(D), as discussed below in III d.
Additionally, the ICE FOIA Office routinely posts information regarding deaths of individuals in
ICE custody. This information was previously available only by making FOIA requests.

                d. What system do you have in place to routinely identify records that are
                   appropriate for posting?

The Department's Components have implemented administrative processes to routinely identify
records that are appropriate for posting. These include additional reviews by FOIA staff,
supervisory reviews, and changes to the tracking ofFOIA requests received.

For example, on December 8, 2010, the ChiefFOIA Officer issued a memorandum 29 outlining
for the DHS FOIA Office the Procedures and Standards for Effectively Implementing Section
(a)(2)(D) ofFOIA. These procedures include assignment of one or more key words by the
Associate Director, Disclosure and FOIA Operations, when the FOIA request is logged into the
tracking system. When FOIA requests are logged in, a key word search is performed to
determine whether there have been requests for substantially the same records. If it is
determined that three or more requests submitted during a three-year time frame for substantially
the same information, the Associate Director, Disclosure and FOIA Operations is notified. The

29
     See footnote 10.

                                                    15
Associate Director, Disclosure and FOIA Operations will review the requests to determine ifthe
requests meet the Subsection (a)(2)(D) standards for substantially similar records; if so s/he will
authorize in writing that the responsive records be posted on the DHS website and notify the
Director and ChiefFOIA Officer of the determination. In addition, even if the DHS FOIA
Office has not yet received three or more requests for substantially the same record, the
Assodate Director, Disclosure and FOIA Operations, may recommend to the ChiefFOIA
Officer to disclose proactively certain types of records pursuant to Subsection (a)(2)(D) and the
August 26, 2009 DHS Proactive Disclosure Memorandum. 30

CBP created a system that when more than two FOIA requests for substantially the same
information is received, the responsive documents are posted to the Reading Room, such as the
BorderStat Violence Report (annual report). Additionatly, OIG implemented a structured
compilation and processing program for ensuring it posts all appropriate information for
proactive release as quickly as possible. Specifically, the staff has a standing request to the
Inspector General's office to provide access to his calendar electronically on a monthly basis.
The FOIA staff then works with the Inspector General' s staff to process the calendar for posting.
The OIG FOIA staff also compiles, under a set schedule, the OIG FOIA Log and Congressional
Correspondence Log and again, works with OIG's mission area offices in order to pmvide for
the greatest possible release of information contained in these publications.

                e. How do you utilize social media in disseminating information?

The Department is continually seeking new and innovative ways to disseminate information.
These efforts include postings to the Internet (e.g., blogging) and increasing our ever-growing
presence on social network sites, such as Twitter, Facebook, and YouTube.

For example, individuals can follow FEMA (FEMA), CBP (customsborder), ICE (wwwiCEgov),
TSA (TSABlogTeam), USCG (uscoastguard), and USCIS (USCIS) on Twitter.

Additional Twitter feeds include, but are not limited to:
   • DHSJoumal, Department of Homeland Security
   • Citizen_Corps, Citizen Corps, FEMA
   • craigatfema, FEMA
   • femaregionl , FEMA
   • femaregion2, FEMA
   • femaregion3, FEMA
   • femaregion4, FEMA
   • femaregion5 , FEMA
   • femaregion6, FEMA
   • femaregion7, FEMA
   • femaregion8, FEMA
   • femaregion9, FEMA
   • femaregionlO, FEMA
   • femalro, FEMA

30
     See footnote 14.

                                                  16
   •   ReadydotGov, Ready
   •   dhsscitech, Science and Technology Directorate
   •   usfire, U.S. Fire Administration, FEMA

The Department hosts several blogs, including:

   •   Leadership Journal, Department ofHomeland Security
   •   The Blog@ Homeland Security, Department ofHomeland Security
   •   TSA Blog, Transportation Security Administration
   •   Chiefs Comer, U.S. Fire Administration

CBP maintains a robust presence on the Internet, using Y ouTube, Twitter, and e-mail to engage
with the public. Individuals can register for e-mail updates and CBP also has a "CBP Info
Center" where an individual can post e-mails with specific questions, concerns, or inquiries
regarding CBP. Additionally, CBP disseminates general information about the component as
well as its role in the fight against terrorism, on videos posted to YouTube. Examples of
YouTube postings this year include The Joint Bi-national Border, and Operation Safe Return,
which covers CBP's relief efforts in Haiti.

Finally, the USCG is another great example ofDHS using social media to disseminate
information using blogs, Facebook, Flickr, Twitter, and YouTube. Below is a listing of official
USCG social media accounts in addition to the main USCG account referenced above:

       BLOGS                   FACEBOOK               FLICKRJYOUTUBE            TWITTER
The Coast Guard Compass    US Coast Guard             FLICKR                uscoastguard
iCommandant                Deployable Operations      Coast Guard Imagery   cgcompass
Coast Guard All Hands      Group (DOG)                Sector Mobile         iCommandantUSCG
Coast Guard Marine         USCG Barque EAGLE          USCG CIO's Office     forcecompao
Safety                     USCG New York City         uscgpress             Flotilla4
USCG TRACEN Cape           USCG Jacksonville, Fla     District 5 Public     uscgaux
May                        USCGC PENOBSCOT            Affairs               GloucesterAUX64
Nationa l Strike Force     BAY                        District 9            USCGNewEngland
iFORCECOM                  USCGC DILIGENCE            District 13           uscgdl3
The Heartland Guardian -   USCG Auxiliary             Auxiliary D 13        cgchealy
District 8                 USCG Academy Alumni        Auxiliary 3-02
Your Great Lakes Coast     Association
Guard - District 9         USCG DI4 Public Affairs    YouTube
USCG Pacific Northwest-    USCG D5 Public Affairs     USCG Imagery
District 13                America's Waterway         USCGAAdmissions
USCGAlaska - District 17   Watch                      USCGRecruiting
Sector Los Angeles-Long    AMVER                      USCGD8
Beach                      Coast Guard Band           USCGD9
USCG Pay and Personnel     USCG Historian             USCGD1 3
Center                     Coast Guard Exchange       D 14PUBLICAFFAIRS
AMVER                                                 USCGD 17Imagery
On Scene- Journal of                                  uscgd7
USCG Search and Rescue                                DOGPublicAffairs
National Maritime
Security Advisors
Committee

                                                     17
        BLOGS                       FACEBOOK              FLICKRIYOUTUBE                  TWITTER
USCG Mission Support
Log
CG Prevention 5th District
Coast Guard Blue Water
CG MSST Los Angeles
Dl4 Blog
ME Rating Blog
USCG Auxiliary Pacific
Northwest

For a full listing of how the Department uses "Web 2.0," social media technologies and web
sites, please visit http://www.dhs.gov/xabout/gc_l 238684422624.shtm .

            f    Describe any other steps taken to increase proactive disclosures at your agency.

None, other than those described above.

IV.     Steps Taken To Greater Utilize Technology
A key component of the President's FOIA Memorandum was the direction to "use modern
technology to inform citizens about what is known and done by their Government" In addition
to using the Internet to make proactive disclosures, agencies should also be exploring ways to
utilize technology in responding to requests. In 2010 agencies reported widespread use of
technology in handling FOIA requests. For this section ofyour ChiefFOIA Officer Report for
2011, please answer the following more targeted questions:

        1. Electronic receipt of FOIA requests:
            a. What proportion of the components within your agency which receive FOIA
               requests have the capability to receive such requests electronically?

All DHS Components can receive requests electronically. 31

            b. To what extent have you increased the number ofcomponents doing so since the
               filing ofyour last ChiefFOIA Officer Report?
N/A

            c.   What methods does your agency use to receive requests electronically?


                             CBP
                                          Intei'Oet (Web based)
                                                                          .,
                                                                        E-mai.l

                                                                          .,
                             CRCL
                             FEMA
                                                   .,                     .,
                                                                          .,
                             FLETC
                              l&A
                                                   .,                     .,
                                                                          .,
                              ICE

31
 Privacy Impact Assessment for the Department Freedom of Information Act and Privacy Act Records Program,
August 18, 2010, available at http://www.dhs.gov/xlibra.ry/assets/privacy/privacy-pia_ dhs-foia-and-pa.pdf.

                                                        18
                                                 Intem et (Web    b~tscd)        E-mili]
                                MGMT                                               ~
                                NPPD                                               ~
                                OGC                                                ~
                                 OIG                                               ../
                                 OPS                                               ../
                                PLCY                                               ~
                                PRIV                                               ~
                                 S&T                                               ~
                                 TSA                                               ../
                                USCG                                               ../
                                USCIS                                              ../
                                usss                                               ~
                              US-VISIT                                             ../


         2. Electronic tracking of FOIA requests:
            a. What proportion of components within your agency which receive FOIA requests
               have the capability to track such requests electronically?

All DHS Components have the capability to track requests electronically.

               b. To what extent have you increased the number ofcomponents doing so since the
                  filing ofyour last Chief FOIA Officer Report?
N/A

               c.   What methods does your agency use to track requests electronically?

                     Dcpa•·tmcntally Developed            FOIACOTS          MS -Acccss Data Base   MS-Excel Sp•·eadsbcet
       CBP                                                  ../
      CRCL                                                                                                  ~
      FEMA                                                  ../
      FLETC                                                                                                 ~
       I&A                                                  ~                                               ~
       lCE                      ~                           ~
      MGMT                                                                                                  ~
      NPPD                                                  ~                                               ~
       OGC                                                                                                  ~
       OIG                                                                           ../                    ~
       OPS                                                                                                  ~
      PLCY                                                  ~                                               ~
      PRIV                                                  ../                                             ~
       S&T                                                  ~                                               ~
       TSA                      ~                           ../
      USCG                                                  ~
      USC IS                    ~
      usss                      ~                                                                           ~
   US-VISIT                                                                                                 ~




         3. Electronic processing ofFOIA requests:
            a. What proportion of components within your agency which receive FOJA requests
               have the capability to process such requests electronically?



                                                             19
All DHS Components can process requests electronically.

               b. To what extent have you increased the number ofcomponents doing so since the
                  filing ofyour last ChiefFOIA Officer Report?

N/A

               c. What methods does your agency use to process requests electronically?

                       Word p•·ocessing        Gene1ic •·edaction          E-ma il                 Other
                                                   software
       CBP                    .;                       .;                    .;                      .;
      CRCL                    .;                       .;                    .;                      .;
      FEMA                    .;                       .;                    .;                      .;
      FJLETC                  .;                       .;                    .;                      .;
       I&A                    .;                       .;                    .;                      .;
       ICE                    .;                       .;                    .;                      .;
      MGMT                    .;                       .;                    .;                      .;
      NPPD                    .;                       .;                    .;                      .;
       OGC                    .;                       .;                    .;                      .;
       OIG                    .;                       .;                    .;                      .;
       OPS                    .;                       .;                    .;                      .;
      PLCY                    .;                       .;                    .;                      .;
      PRIV                    .;                       .;                    .;                      .;
      S&T                     .;                       .;                    .;                      .;
      TSA                     .;                       .;                    .;                      .;
      USCG                    .;                       .;                    .;                      .;
      users                   .;                       .;                    .;                      .;
      usss                    .;                       .;                    .;                      .;
   US-VISIT                   .;                       .;                    .;                      .;


         4. Electronic preparation of your Annual FOIA Report:
            a. What type of technology does your agency use to prepare your agency Annual
               FOIA Report, i.e., specify whether the technology is FO!A-specifzc or a generic
               data-processing system.

                   Oepa•·tmentally Developed         FOlACOTS       MS-Access Data Base   MS- Excel Sp readsheet
       CBP                                             .;
      CRCL                                                                                          .;
      FEMA                                            .;
      FlLETC                                          .;
       I&A                                            .;                                            .;
        JCE                   .;                      .;
      MGMT                                                                                          .;
      NPPD                                            .;                                            .;
      OGC                                                                                           .;
       OIG                                                                  .;                      .;
       OPS                                                                                          .;
      PLCY                                            .;                                            .;
      PRIV                                            .;                                            .;
       S&T                                            .;                                            .;
       TSA                    .;                      .;
      USCG                                            .;
      USClS                   .;
      usss                    .;                                                                    .;


                                                        20
                                                  FOIACOTS         MS-Access D1:1h1 Base
     US-VISIT


                b. {[you are not satisfied with your existing system to prepare your Annual FOJA
                   Report, describe the steps you have taken to increase your use oftechnologyfor
                   next year.

USSS FOIA program's existing system does not capture some of the newly-required
information. Efforts are currently underway to develop and procure a more robust system to
meet the new reporting requirements.

OIG is looking into developing a FOIA-based database that will combine the benefits of the
commercial spreadsheet with the FOIA-centric commercial database software to generate future
FOIA annual reports (and any other FOIA-related reports).

The FEMA Disclosure Branch will acquire a FOIA COTS to assist in recordkeeping and
reporting.

V.      Steps Taken to Reduce Backlogs and Improve Timeliness in
        Responding to Requests
Improvements to timeliness in responding to pending FOIA requests and reductions in backlogs
are both ongoing agency efforts. The President and the Allorney General have emphasized the
importance of improving timeliness in responding to requests. Section XII ofyour Annual FOJA
Report includes figures that show your agency's backlog ofpending requests and administrative
appeals for the past two fiscal years. You should refer to those numbers when completing this
section ofyour ChiefFOIA Officer Report. In this section you should address the following
elements.

         1. If your agency has a backlog, report here whether that backlog is decreasing.
            That red!uction should be measured in two ways.

                a. First, report whether the number ofbacklogged requests and backlogged
                   administrative appeals that remain pending at the end of the fiscal year decreased
                   or increased, and by how many, when compared with last fiscal year.

DHS began its operations with a large, inherited FOIA backlog due to the pre-existing agency
backlogs. Additionally, when the new Department stood up, it generated a flood of requests
because of its status and mission. The result was a 98,396-request backlog at the end ofFY
2006-the largest federal FOIA backlog in history. 32 Despite resource constraints during that
period, and the fact that from 2006 to 2009 the number of total requests to the Department held
relatively constant, in the last three years DHS has reduced its backlog by over 80%. At the end
ofFY 2009, the backlog was 18,787. As of September 30,2010, the DHS-wide backlog was

32
  DRS started collecting backlog infonnation from the components in June 2006. The FY 2006 and FY 2007
numbers above are derived from that data. DOJ required backlog reporting effective FY 2008. The above FY 2008
and FY 2009 information is from DHS Annual FOIA Reports to the Attorney General.

                                                     21
11,383 despite a concomitant 26% increase in FOIA requests. This incredible result is due to the
ongoing dedication of the DHS FOIA professionals.


                                      History of Backlogged Requests
            120,000
   ...
   "'
    "'
    Cll
    :1
            100,000
    c-
    Cll
   Cl::      80,000
   "C
    Cll
    tl.O     60,000
    tl.O
    0
   :X       40,000
    u                                                                               • Agency Overall
    Ill
   ....
   I:C

    0
             20,000
    ci           0
   z
                         FY 2006     FY 2007    FY 2008       FY 2009   FY 2010

                                               Fiscal Year




                      USCIS Number of Backlogged Requests as of End of the Fiscal Year
                                         Comparison - Decrease



   ...
    Ill
    Ill
    cv
               18,000
               16,000
    ::::J      14,000
    C"
    cv         12,000
   0:::
   "C          10,000
    cv
    bO          8,000
    bO                                                                                    • FY 2009
    0           6,000
   ::i:
    v           4,000                                                                     • FY 2010
    "'
   c:Q
                2,000
    ci
   z                0
                                                      USCIS

                                               Backlogged Requ ests




                                                     22
                     Addit ional Components' Number of Backlogged Requests as of End of the
                                       Fiscal Year Comparison - Decreases

         70
.."'"'
 Ql
 ::I
         60

 C"
 Ql
         so
0:::
"C
 Ql
         40
 ~ 30
 0                                                                                                • FY 2009
::;;;:
 u
 ro      20
al                                                                                                • FY 2010
 ci      10
z
         0
                        CRCL    FLETC   I&A     MGMT     OIG         OPS   PLCY   PRIV   S&T

                                              Backlogged Request s



                 Components' Number of Backlogged Requests as of End of the Fiscal Year
                                      Comparison - Increases
         900

.."'"'
 Ql
 ::I
         800
         700
 C"
 Ql      600
0:::
"C       500
 Ql

 ~ 400
 0                                                                                                • FY 2009
::;;;:
 u       300
 ro
al                                                                                                • FY 2010
         200
 ci
z        100
             0
                          CBP   FEMA    ICE      NPPD     OGC        TSA   USCG   USSS US-VISIT

                                              Backlogged Request s




                                                        23
                     Agency Overall Number of Appeals Backlogged as of End of the Fiscal
                                                 Vear(s)
                3,000
      Ill
                2,500
      "'
      Q.l
      c.
      c.
     <(         2,000
     "t:S
      Q.l
      ti.O      1,500
      ti.O                                                                                             • FY 2009
      0
     :i:                                                                                               • FY 2010
      u         1,000
      "'
     1:1:1
      0             500
     z
                      0
                                                 Backlogged Appeals


                    Components' Number of Backlogged Appeals as of End of the Fiscal Year
                                        Comparison - Decreases


             2000
     ..!!!
             1800
      "'
      111
      Q.
             1600
      Q.     1400
     <
     "'C     1200
      111
      Ql)
      Ql)    1000                                                                                      • FY 2009
      0
     ::ii:    800
      u                                                                                                • FY 2010
              600
      "'
     al
      c:i     400
     z        200
                0
                          CBP          FLETC          USCG             USCIS            usss
                    b. Second, report whether your agency closed in Fiscal Year 2010 the ten oldest of
                       those pending requests and appeals from Fiscal Year 2009, and if not, report how
                       many ofthem your agency did close.

The Department reported in the FY 2009 FOIA Annual Report 170 requests in the ten oldest
pending request category. During FY 2010, the Department closed all ofthese except nine, a
95% percent improvement. 33 Since the release of the FOIA 2010 Annual Report, FEMA bas
closed the final two of their remaining ten oldest pending requests from FY 2009.

33
  Requests and Appeals Reported in the FY 2009 FOIA Annual Report that were still pending as of the end ofFY
20 10 are highlighted in red in both the Ten Oldest Pending Requests and the Ten Oldest Pending Appeals tables.
The FY 2009 FOJA Annual Report is available at
http://www.dhs.gov/xlibrarvlassets/foia/privacy mt foia 2009.pdf.
The FY 2010 FOJA Annual Report is available at http://www.dhs.gov/xlibrary/assets/ foia/privacy-mt-foia-20 I O.pdf.

                                                        24
        Ten Oldest Pending Requests as Reported FY 2009:



 users

  CBP


 CRCL


 USCG


 FEMA



 FLETC


  I&A


  ICE


 MGMT



 NPPD


US-VISIT


  OIG


  OGC


  OPS


 PLCY


 PRIV


  S&T                                             Not Applicable




                                                   25
     The Department reported in the FY 2009 FOIA Annual Report 48 appeals in the ten oldest
     pending appeals category. During the FY 2010, the Department closed all of these except three,
     a 94% percent improvement.

     Ten Oldest Pending Appeals:

                              l Oth        9th         8th          7th           6th           5th          4th


          Date of Receipt   1/24/2006 11/2212005 11119/2005      11/ 14/2005   10117/2005    5/2/2005     3110/2005
DHS/OGC
          Number of Days
                         CLOSED          CLOSED     CLOSED       CLOSED        CLOSED        CLOSED       CLOSED
             Pending

          Date of Receipt   9/8/20 05    9/8/2005   9/8/2005     9/8/2005      9/8/2005      8/30/2005    8/29/2005 8/29/2005 8/29/2005     5/ 19/2003*
 users
          Number of Days
                         CLOSED          CLOSED     CLOSED       CLOSED        CLOSED        CLOSED       CLOSED CLOSED CLOSED              CLOSED
             Pending

          Date of Receipt 9/ 12/2 007    9/6/2007   8/31/2007    8110/2007     8/ 10! 2007   8/ 10/2007   6/2212007 5/30/2007 4/ 16/2007     2/6/2 007
  CBP
                            CLOSED       CLOSED     CLOSED       CLOSED        CLOSED        CLOSED       CLOSED CLOSED CLOSED              CLOSED

          Date of Receipt
 FLETC                                                                 Not Applicable, No Pending Appeals
          Number of Days
             Pending

          Date of Receipt                                                                                                       7/24/2009   6/23/2009
  TSA                                                               Not Applicable
                                                                                                                                CLOSED      CLOSED

                            1/ 15/2009   1/ 14/2009 10/30/2008   10/6/2008     8/26!2008     7/ 1812008   2114/2008 2/ 14/2008 1111         10/ 11/2007
 USCG
                            CLOSED       CLOSED     CLOSED       CLOSED        CLOSED        CLOSED       CLOSED CLOSED CLOSED              CLOSED

                                                                               9/2812009     9/ 14/2009   11612009    5/23/2008 5/23/2008   8/ 17/2007
 usss                                        Not Applicable
                                                                               CLOSED        CLOSED       CLOSED CLOSED CLOSED              CLOSED


          Date of Receipt 8130/2005 8/29/2005 8/29/2005          8/29/2005     5/2/2005      3/10/2005                                      5/19/2003"
AGENCY
OVERALL
            N umbe.- of
                            CLOSED       CLOSED     CLOSED       CLOSED        CLOSED        CLOSED                                         CLOSED
          Days Pending




                                                                        26
       2. If there Ill as not been a reduction in the backlog as measured by either of these
          metrics, describe why that has occurred. In doing so, answer the following
          questions and then include any other additional explanation:

           a. Is the backlog increase a result ofan increase in the number of incoming requests
              or appeals?

The following Components reported an increase in the number of backlogged FOIA requests:
CBP, FEMA, ICE, NPPD, OGC, TSA, USCG, USSS, and US-VISIT. Many of these
Components identified an increase in incoming requests, as evidenced by the Department
receiving 130,098 requests in FY 20 I 0, which is an agency overall increase of 26%. For
example, CBP experienced a 28% increase in FOIA requests and USSS experienced a 35%
mcrease.

           b. Is the backlog increase caused by a loss ofstaff?

Of the Components that reported an increase in the number of backlogged FOIA requests (CBP,
FEMA, ICE, NPPD, OGC, TSA, USCG, USSS, and US-VISIT), only TSA reported the backlog
increased as a result of staff attrition.

           c. Is the backlog increase caused by an increase in the complexity of the requests
              received?

Many of the Components that reported an increase in the number of backlogged FOIA requests
identify the complexity of the requests as a reason for the backlog increase. It is DHS '
experience that some of these FOIA requests exceed ten pages in length, or seek a large volume
of often-unrelated records from multiple agencies, adding to the complexity of the processing.
For example, USCG received an extraordinary number ofFOIA requests related to the USCG's
operations with regard to Deepwater Horizon, totaling over 125. This unusual event, and the
related complex FOIA requests, impacted USCG's ability to reduce its backlog. Furthermore,
the USCG FOIA staff stated that as the requester community grows, the number of requests and
the complexity of requests continue to increase.

           d.   What other causes, ifany, contributed to the increase in backlog?

N/A

       3. Describe the steps your agency is taking to reduce any backlogs and to improve
          timeliness in responding to requests and administrative appeals. In doing so
          answer the following questions and then also include any other steps being taken
          to improve timeliness.

           a. Does your agency routinely set goals and monitor the progress ofyour FOIA
              caseload?




                                               27
Although OMB's Open Government Directive called for a government-wide 10% backlog
reduction annually, the ChiefFOIA Officer set a 15% reduction goal for DHS for FY 2010. 34 In
order to stay on track to meet this goal, each Component needed to meet a monthly processing
target, calculated using variables such as the number of requests received per month and the
Component's processing capacity. Due to consistent monitoring, communications, and
leveraging of resources, the Department's FOIA staff was not only able to meet the DHS Open
Government backlog reduction goal, but was able to reduce the request backlog by 40% overall,
despite the 26% increase in FOIA requests.

                   b. Has your agency increased its FOIA staffing?

Yes.

                                     Total Number of "Full-Time FOIA Staff"
             430
      =
      ...
      "'
      Ill    420
      ct
      5
      u..
       Cll
             410
       E
      ~ 400

      -
      3
      u..

       ...
       0
       Cll
      .c
             390

             380
                                                                                     • Agency Overall

       E
       :1
      z      370
      ...
      iii
      0
      1-     360
                                FY 2009                          FY 2010
                                               Fiscal Year


                   c. Has your agency made IT improvements to increase timeliness?

The Department has made the following IT improvements to increase its timeliness. USCIS is
currently in the process of doing a technology "refresh" to their FOIA processing system. It is
anticipated that the new software will offer many enhancements to the current processes. One of
the highly anticipated future changes will be the ability of the public to submit online FOIA
requests to USCIS.

                   d. Has your agency ChiefFOIA Officer been involved in overseeing your agency 's
                      capacity to process requests?

The ChiefFOIA Officer works with Component leadership to ensure the Department's
Components devote adequate resources to their FOIA programs and the backlog elimination
effort.

34
     See footnote 1 1.

                                                       28
Part 3. Our Spotlight on Success: Great Improvement in the
Department of Homeland Security

 I.    USCIS FOIA Program Highlights
USCIS has made great strides to ensure that the Administration's goals are met through the
USers FOIA program. Following the establishment of the National Records Center (NRC) in
1999, centralization ofUSCrS FOIA operations at the NRC was completed in 2005.
Centralization created an opportunity for greater efficiency, enhanced productivity, and increased
consistency.

The NRC is responsible for storing and tracking 25.1 million A-files and providing support to
USCIS, ICE, and CBP 24 hours a day, seven days a week. The NRC lhas the primary
responsibility to maintain and provide timely access to iimmigration records and information to
the public in support of benefit, law enforcement, and national security programs.

Transparency, proactive disclosure, and openness are core principles of the USCIS FOIA
program, and the basis of its success. NRC FOIA Operations has 120 federal employees
dedicated to processing FOIA requests, all located at the NRC in Lee's Summit, Missouri.
USCrS leadership stresses that transparency must begin at the top. To emphasize the value that
users leadership places on openness and disclosure, users Director Alejandro Mayorkas
recently approved 30 additional employees to be devoted to FOIA Operations in FY 2011 and
began a proactive open disclosure process to share draft policies with all users stakeholders,
welcoming feedback.

The USCIS FOIA program is the largest FOIA program within DHS. In FY 2010, USCIS
received 91,503 new requests, with nearly 10,000 new requests a month during the last several
months of the fiscal year. Despite the high volume of requests, the Component has made
significant progress in reducing its daunting backlog of FOIA requests. By making process
changes and focusing on strategic goals, the NRC was able to reduce the backlog of 88,361
FOIA requests in 2006 to approximately 8,000 backlogged cases at the end ofFY 2010. The
work of the USers FOrA program was supplemented by contract staff for the first quarter of
FY 2010. Of the 101,000 FOIA cases processed over the course ofthe year, 70,000 FOIA cases
processed by government personnel alone.

Reducing the backlog required hard work by every member of the FOIA program staff and
efficient organization at the leadership level. During FY 2010, USCIS FOIA program priorities
focused on further reducing the backlog ofFOIA cases and reducing the processing times
through consistent application of process improvements. A strategic goal was set to reduce the
number of backlogged cases by 15%. However, as the year progressed, the number of requests
from the public began to spike. Program projections had estimated an average of 6,300 requests
per month, but by March, receipts had climbed to 7,631 and during the second half of the fiscal
year, there were an average of 8,600 requests per month, a 36% increase over the projection. As


                                               29
      a result, meeting the goal to reduce the backlog by 15% would require staff to process
      significantly more cases than anticipated. With increased emphasis on the most efficient use of
      available resources, the USCIS FOIA program ended FY 2010 with a 49% reduction in
      backlogged cases, far exceeding the original goal.

      Additionally, the USCIS FOIA program began FY 2009 with 2,072 pending FOIA appeals, but
      reduced that number to 89 pending appeals by the end ofFY 2010. The agency bas committed
      to providing additional staff to this effort in the future, ensuring that FOIA appeals are timely
      and appropriately addressed.

      The USCIS FOIA program bas also placed special emphasis on using technology to enhance the
      FOIA process. The program increased the use of electronic media responses to requesters,
      significantly reducing the production of paper responses to FOIA requests and yielding a savings
      in time and resources. For requesters that specifically asked for paper, the program sent
      1,063,227 printed pages in response in FY 2010, a significant reduction from the 3,606,513
      printed pages sent in FY 2009. Staff also focused on using advanced technology to
      accommodate the heightened amount of requests while continuing process and customer service
      improvements. Calls from requesters are now routed to the National Customer Service Center
      (NCSC) for handling. The NCSC system was upgraded to include a "punch out" expressly for
      FOIA- related questions, relieving staff of non-FOIA questions. Callers are routed, when
      necessary, through additional avenues of contact, such as an e-mail box, fax transmission, or
      regular mail, to obtain a response to their inquiries. In a future enhancement, the NCSC will
      advise requesters whether their responsive records have been identified and the average
      processing time they can expect. users has also instituted on its public website a process for
      FOIA requesters to obtain real-time status information about their request.

      The success and future ease of the USCIS FOIA process can be accomplished by continued
      commitment to proactive disclosure. The component has aggressively embraced this strategy
      and has greatly enhanced the public face of the agency through its website, USCrS.gov.
      Increasing future releases and open disclosure is an integral part of the USCrS FOIA program.

      Staff members of the US CIS FOIA program realize that they are not just handling requests and
      files, they are handling issues and information that drastically affect the lives of a myriad of
      people. This incredible responsibility requires that the FOIA process iis handled with the highest
      standards. Through the USCrS FOIA program's many accomplishments, the FOIA process
      continues to strengthen the integrity of the legal immigration system and increase the efficiencies
      in administering citizenship and immigration services.

II.      CBP Elimination of Backlog of FOIA Appeals
      Given President Obama' s emphasis on transparency and openness, CBP bas received a huge
      increase of FOrA requests and appeals. In FY 2009, CBP received 540 FOIA appeals, more than
      had been received in the previous five years combined. In late June 2010, the Department
      mandated that various Components reduce their FOIA appeals backlogs by 50% by July 30, 2010,
      and completely eliminate their FOIA appeals backlogs by August 2010.


                                                      30
In response to this challenge, the FOIA Appeals, Policy & Litigation (FAPL) Branch at CBP
processed 329 cases in roughly 60 days to meet the August deadline. The branch processed
815 cases in FY 20 I 0 - almost as many as had been processed in the five previous years and
triple the amount that was processed in FY 2009. The exceptional efforts of the FAPL Branch
significantly improved coordination within the agency, increased the efficiency ofCBP's FOIA
operations, improved CBP's visibility in the community through increased transparency, and
concretely advanced President Obama's commitment to openness in government.

       FOIA appeals received and processed from FY200Q-2010

 900
         Appea ls rece ive d
 800                                                                                   ~815 appeals processed in FY
       • Appea Is processed
                                                                                         2010, almost as many as had
 700
                               540 appeals received in FY09,                             been processed the five
 600                                                                                     previous years combinedl and
                               more than had been received
 500                           the 5 previous years combineF                             triple what was processed in
                                                                                         FY 2009.
 400

 300

 200

 100


       2000   2001   2002      2003   2004   2005   2006   2007   2008   2009   2010



The FAPL Branch developed a comprehensive plan and initiated a number of efforts which led
to the elimination of the FOIA appeals backlog, includimg: intensive review ofbacklogged
cases, reassignment of cases based! on experience and ability, careful monitoring of the backlog,
allowing flexible work hours, improving business processes, and using awards to motivate and
recogmze success.

Intensive Review and Assignment of Cases: First, the Branch Chief reviewed the list of
backlogged cases to identify the oldest cases, determined the causes of delay, and decided what
actions needed to be taken in order to adjudicate the cases within the deadline. In some
instances, cases were reassigned to staff attorneys who could process that particular type of case
quickly and accurately. In addition, some of the older cases were reassigned to attorneys with
less of a backlog in order to resolve the oldest cases first. New cases were assigned based on the
strengths and experiences of each attorney. Careful assignment and reallocation of cases was a
key strategy that led to the success. of the branch in fully eliminating the backlog.

Setting Goals and Effective Communication: Clear goals were set based on the deadlines issued.
Weekly e-mails detailed the progress made toward reaching the monthly goals. The branch held
bi-weekly meetings to discuss the progress made and highlight short-term goals. The Branch
Chief closely monitored the list of pending cases to identify cases that needed additional
attention and discussed the cases with the assigned attorneys. Weekly reports to upper
management on the status ofthe backlog cases also ins611ed a sense of urgency and
accountability. Toward the end of the "backlog blitz," the list of remaining cases was posted on
the Branch Chiefs door, and the cases were crossed off as they were closed as both a reminder
of the progress that was being made and the number of cases that remained.

                                                                    31
Working Hard and Teamwork: The bottom line to the success of the branch is that every
member of the staffworked hard. Staffwas granted compensatory time to work overtime to
adjudicate as many cases as possible. Individuals with telework capabilities both declined
working at home to come into the office when the work required it and worked extra hours if
needed. Individuals on flexible work schedules came in on their regular days off when needed.
The branch, consisting ofboth seasoned attorneys and new hires, worked as a team offering
support and encouragement to each other. In one particularly challenging case involving
voluminous records, the records were divided up among several staff members for finalization of
the redactions.

Changing Business Processes: The Branch Chief changed two significant ways of doing
business by remanding cases in instances in which new information was received with the appeal
or the request was improperly processed at the initial request level. In the first scenario, the
Branch Chiefbegan to remand cases in which additional information was supplied at the
appellate stage that had not been supplied at the initial stage (a new name, additional facts that
supported the search of different databases, etc.). In the second scenario, the Branch Chief also
began to remand cases that had not been properly processed at the initial stage due to inadequate
searches or insufficient review (these cases bad historically been "processed like an initial
request" by the appeals staff). It should also be noted that after working closely with the FOIA
Division (the office at CBP that handles the majority of initial requests) the number of appeals
received in FY 2010 decreased from FY 2009, which also facilitated tihe FAPL Branch's ability
to focus on and eliminate the backlog.




                                               32
APPENDIX A: Composition of the Department of Homeland
Security
The Office of the Secretary oversees activities with other federal, state, local, and private entities
as part of a collaborative effort to strengthen our borders, provide for intelligence analysis and
infrastructure protection, improve the use of science and technology to counter weapons of mass
destruction, and to create a comprehensive response and recovery system. The Office of the
Secretary includes multiple offices that contribute to the overall Homeland Security mission.
These are:

       The Privacy Office (PRIV) works to preserve and enhance privacy protections for all
       individuals, to promote transparency of Department of Homeland Security (DHS)
       operations, and to serve as a leader in the privacy community.

       The Office for Civil Rights and Civil Liberties (CRCL) provides legal and policy
       advice to DHS 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, 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 (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, increase efficiencies in administering
       citizenship and immigration services, and improve customer service.

       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
       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
       DHS Components. The Office of the General Counsel includes the ethics division for the
       Department.

       The Office of Public Affairs (OPA) coordinates the public affairs activities of all of
       DRS'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.


                                                  33
      The Office ofCounternarcotics 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 DHS. 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 DHS and the
      Department of Defense.

      The Office of Intergovernmental Affairs (JGA) 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 National Protection and Programs Directorate (NPPD) works to advance the
      Department's risk-reduction mission. Reducing risk requires an integrated approach that
      encompasses both physical and virtual threats and their associated human elements.

      The Science and Technology Directorate (S&T) 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 Management Directorate (MGMT) is responsible for DHS 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) 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 ofHealth Affairs (OHA) coordinates all medical activities ofDHS 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.



                                               34
The Office of Operations Coordination and Planning (OPS) is responsible for monitoring
the security of the United States on a daily basis and coordinating activities within the
Department and with governors, Homeland Security Advisors, law enforcement partners,
and critical infrastructure operators in all 50 states and more than 50 major urban areas
nationwide.

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 freedom of movement for people and commerce.

U.S. Customs and Border Protection (CBP) is one ofDHS's largest and most complex
Components, with a priority mission of keeping terrorists and their weapons out of the
United States. It also has a responsibility for securing and facilitating trade and travel
while enforcing hundreds ofU.S. regulations, including immigration and drug laws.

U.S. 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.

U.S. 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.
USCG 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. USSS to protect national
leaders, visiting heads of state and government, designated sites and National Special
Security Events.



                                         35
APPENDIX B: DHS Component Chart


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                                                                                        36
APPENDIX C: Names, Addresses, and Contact Information for
DHS FOIA Officers
         Department of Homeland Security Chief FOIA Officer
Mary Ellen CaJiahan                                Catherine M. Papoi, J.D., CIPP/G
ChiefFOIA Officer                                  Deputy ChiefFOIA Officer
The Privacy Office                                 Director, Disclosure & FOIA
U.S. Department of Homeland Security               U.S. Department of Homeland Security
245 Murray Drive SW, Building 410                  245 Murray Drive SW, Building 410
STOP-0665                                          STOP-0665
Washington, DC 20528-0665                          Washington, DC 20528-0665


         Department of Homeland Security Component FOIA Officers

Office of the Secretary and Designated HQ          federal Emergency Management Agency
Components                                         Dr. Anthony M. Be•mett
Vania T. Lockett                                   Ph: 202-646-31 02; Fax: 202-646-3347
Ph: 703-235-0790; Fax: 703-235-0443                Disclosure Branch
The Privacy Office                                 500 C Street, SW, MD-BO-RM
U.S. Department of Homeland Security               Washington, DC 20472
245 Murray Drive SW, Building 410
STOP-0665                                          Federal Law Enforcement Training Center
Washington, DC 20528-0665                          Marty Zimmerman-Pate
                                                   Ph: 9 12-267-3103; Fax: 912-267-3113
U.S. Citizenshjp and Immigration Services          Building No.681 , Suite 187B
Jill Eggleston                                     Glynco, GA 31524
Ph: 816-350-5521; Fax: 816-350-5785
National Records Center, FOIA/P A Office           Office of the General Counsel
P. 0 . Box 648010                                  David Palmer
Lee's Summit, MO 64064-8010                        Ph: 202-282-9822; Fax: 202-282-9186
                                                   U.S. Department of Homeland Security
Office for Civil rughts and Civil Liberties        Washlngton, DC 20528-0001
Fernando Pinero, Jr.
Ph: 202-357-7672; Fax: 202-357-1196                U.S. Immigration and Customs Enforcement
DHS-CRCL-FOIA                                      Catrina Pavlik-Keenan
U.S. Department of Homeland Security               Ph: 202-732-0300; Fax: 202-732-0310
245 Murray Lane, SW, Bldg 410                      800 North Capitol Street, N.W.
Wasrungton, DC 20528-0001                          5th F loor, Suite 585
                                                   Washington, DC 20536-5009
Uruted States Coast Guard
Donald Taylor                                      Office of Inspector General
Ph: 202-475-3522; Fax: 202-475-3927                Katherine Gallo
Commandant (CG-611)                                Ph: 202-254-4001; Fax: 202-254-4398
2100 2nd St., S.W.                                 U.S. Department of Homeland Security
Washington, DC 20593-710 I                         245 Murray Drive, Bldg. 410, MIS 2600
                                                   Wasrungton, DC 20528-0001
U.S. Customs and Border Protection
Dorothy Pullo,                                     Office oflntelligence and Analysis
Ph: 202-325-0 l SO; Fax: 202-325-0230              Kenneth Corgan, Acting
FOIA D ivision                                     Ph: 202-282-9326; Fax:202-612-1936
799 9 111 Street NW                                U.S. Department of Homeland Security
Washington, DC 20229-1181                          Washington, DC 20528-0001

                                              37
Management Directorate
Mark Dorgan
Ph: 202-447-3106; Fax: 202-447-3713
U.S. Department of Homeland Security
Washington, DC 20528-000 I

National Protection and Programs Directorate
Gayle Worthy, 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, Acting
Ph: 202-282-8743; Fax: 202-282-9069
U.S. Department of Homeland Security
Washington, DC 20528-000 I

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: 202-282-9975
U.S. Department of Homeland Security
Washington, DC 20528-000 I

Science and Technology Directorate
Diane Saunders, Acting
Ph: 202-254-6819; Fax: 202-254-6178
U.S. Department of Homeland Security
Washington, DC 20528-0001

United States Secret Service
Latita Payne
Ph: 202-406-63 70; Fax: 202-406-5154
245 Murray Drive, Building 410
Washington, DC 20223

Transportation Security Administration
Yvonne L. Coates
Ph: 1-866-FOIA-TSA; Fax: 571-227-1406
60 1 S. 12th Street, TSA-20
11th Floor, East Tower
Arlington, VA 22202-4220




                                                 38
Appendix D. Acronyms, Definitions, and Exemptions
     I. Agency-specific acronyms or other terms.
         a. CBP            U.S. 0.1stoms and Border Protection
         b. CFO            Chief Financial Officer
         c. CISOMB         Citizenshiip and Inm1igration Services Ombudsman
         d. CNE            Office ofCountemarcotics Enforcement
         e. CRCL           Office for Civil Rights and Civil Liberties
         f   DNDO          Domestic Nuclear Detection Office
         g. ESEC           Office of the Executive Secretariat
         h. FEMA           Federal Emergency Management Agency
         i. FLETC          Federal Law Enforcement Training Center
         J. I&A            Office oflntelligence and Analysis
         k. ICE            U.S. Immigration and Customs Enforcement
         I. IGA            Office of Intergovernmental Affairs
         m. MGMT           Management Directorate
         n. NPPD           National Protection and Programs Directorate
         o. OIG            Office of the Inspector General
         p. OGC            Office of the General Counsel
         q. OHA            Office ofllealth Affairs
         r. OLA            Office of Legislative Affairs
         s. OPA            Office ofiPublic Affairs
         t.  OPS           Office of Operations Coordination and Planning
         u. PLCY           Office ofiPolicy
         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 Stales CitiLenship and Immigration Services
         aa. USSS          United States Secret Service
         bb. US-VISIT Uujted States Visitor and hmnjgrant 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. 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.

        c. 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.
           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.

        d. 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



                                                39
        consultation finishes its review of the record, it responds back to the agency that
        forwarded it. That agency, in turn, will then respond to the FOIA requester.

   e. 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), or
      conceming an organization, or a particular topic of interest. FOIA requests also
      include requests made by requesters seeking records concerning themselves (i.e.,
      "first-party" requests) when those requesters are not subject to the Privacy Act,
      such as non-U.S. citizens. Moreover, because all first-party requesters should be
      afforded the benefit of both the access provisions ofFOIA as well as those of the
      Privacy Act, FOIA requests also include any first-party requests where an agency
      determines that it must search beyond its Privacy Act «systems of records" or
      where a Privacy Act exemption applies, and the agency looks to FOIA to afford
      the greatest possible access. All requests which require the agency 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.

   f.   Full Grant - An agency decision to disclose all records in full in response to a
        FOIA request.

   g. 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.

   h. Partial Grant/Partial Denial - An agency decision to disclose portions of the
      records and to withhold other portions that are exempt under FOIA, or to
      otherwise deny a portion of the request for a procedural reason.

3. Concise descriptions ofFOIA exemptions:
    a. Exemption 1: classified national defense and foreign relations information

   b. Exemption 2: internal agency rules and practices

   c. Exemption 3: information that is prohibited from disdosure 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



                                         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
   constilute an unwananted invasion ofpersonal 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

t.   Exemption 9: geological information on wells




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