FEDERAL
MINE SAFETY AND HEALTH REVIEW COMMISSION
ANNUAL FOIA REPORT
FY 2009
I. Basic Information Regarding Report
A.
Name, title, address, and telephone number of person(s) to be contacted with
questions about the report:
Linda H.
Ghosal, Esq.
Chief FOIA
Officer
ph: (202)
434-9930
fx: (202)
434-9944
email:
fmshrc@fmshrc.gov
B. Electronic address for report on the World Wide Web:
http://www.fmshrc.gov/foia/foia-updates.html
C. How to obtain a copy of the report in paper form.
Contact the Chief FOIA Officer at the
address, telephone number, or email address above.
II. MAKING A FOIA REQUEST
A.
Names, addresses, and telephone numbers of all individual agency components and
offices that receive FOIA requests.
All FOIA requests to the Federal Mine
Safety and Health Review Commission are made to the Chief FOIA Officer at the
address above.
B. Brief description of
why some requests are not granted.
The most frequent reason why requests are not granted is that no
records responsive to the request were located.
III. Acronyms, Definitions, AND EXEMPTIONS
A.
Agency-specific acronyms or other terms.
1. Commission —
Federal Mine Safety and Health Review Commission.
2. FMSHRC —
Federal Mine Safety and Health Review Commission.
3. Mine Act —
Federal Mine Safety and Health Act of 1977.
B. Basic terms, expressed in common terminology
1. 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.
2. Average
Number – the number obtained by dividing the sum of a group of numbers by
the quantity of numbers in the group.
For example, of 3, 7, and 14, the average number is 8.
3. 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.
4. Component
– for agencies that process requests on a decentralized basis, a “component” is
an entity, also sometimes referred to as an Office, Division, Bureau, Center,
or Directorate, within the agency that processes FOIA requests. The FOIA now requires that agencies include
in their Annual FOIA Report data for both the agency overall and for each principal
component of the agency.
5. Consultation
– the procedure whereby the agency responding to a FOIA request first forwards
a record to another agency for its review because that other agency has an
interest in the document. Once the
agency in receipt of the consultation finishes its review of the record, it
responds back to the agency that forwarded it.
That agency, in turn, will then respond to the FOIA requester.
6. Exemption
3 Statute – a federal statute that exempts information from disclosure and
which the agency relies on to withhold information under subsection (b)(3) of
the FOIA.
7. 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
concerning 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 of the FOIA 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 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.)
8. Full
Grant – an agency decision to disclose all records in full in response to a
FOIA request.
9. 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.
10. Median
Number – the middle, not average, number.
For example, of 3, 7, and 14, the median number is 7.
11. Multi-Track
Processing – a system in which simple requests requiring relatively minimal
review are placed in one processing track and more voluminous and complex
requests are placed in one or more other tracks. Requests granted expedited processing are
placed in yet another track. Requests in
each track are processed on a first in/first out basis.
a. 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.
b. Simple
Request – a FOIA request that an agency using multi-track processing places
in its fastest (non-expedited) track based on the low volume and/or simplicity
of the records requested.
c. 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.
12. Partial
Grant/Partial Denial – in response to a FOIA request, 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.
13. Pending
Request or Pending Administrative Appeal – a request or administrative
appeal for which an agency has not taken final action in all respects.
14. Perfected
Request – a request for records which reasonably describes such records and
is made in accordance with published rules stating the time, place, fees (if
any) and procedures to be followed.
15. Processed
Request or Processed Administrative Appeal – a request or administrative
appeal for which an agency has taken final action in all respects.
16. Range
in Number of Days – the lowest and highest number of days to process
requests or administrative appeals.
17. Time
Limits – the time period in the statute for an agency to respond to a FOIA
request (ordinarily twenty working days from receipt of a perfected FOIA
request).
C. The
following are concise descriptions of the nine FOIA exemptions:
1. Exemption 1: classified national defense and foreign
relations information
2. Exemption 2: internal agency rules and practices
3. Exemption
3: information that is prohibited
from disclosure by another federal law
4. Exemption 4: trade secrets and other confidential business
information
5. Exemption
5: inter-agency or intra-agency
communications that are protected by legal privileges
6. Exemption 6: information involving matters of personal
privacy
7. Exemption
7: records or information compiled
for law enforcement purposes, to the extent that the production of those
records (A) could reasonably be expected to interfere with enforcement
proceedings, (B) would deprive a person of a right to a fair trial or an
impartial adjudication, (C) could reasonably be expected to constitute an
unwarranted invasion of personal privacy, (D) could reasonably be expected to disclose
the identity of a confidential source, (E) would disclose techniques and
procedures for law enforcement investigations or prosecutions, or would
disclose guidelines for law enforcement investigations or prosecutions, or (F)
could reasonably be expected to endanger the life or physical safety of any
individual
8. Exemption
8: information relating to the
supervision of financial institutions
9. Exemption 9: geological information on wells
IV. Exemption
3 Statutes
A.
List of Exemption 3 statutes relied on by agency during current fiscal year.
|
Statute |
Type of Information Withheld |
Case Citation |
Number of Times Relied upon per Component |
Total Number of Times Relied upon by Agency |
|
N/A |
N/A |
N/A |
0 |
0 |
V. FOIA
Requests
A.
Received, Processed and Pending FOIA Requests
|
|
Column 1 |
Column 2 |
Column 3 |
Column 4 |
|
|
Number of Requests Pending as of Start of
Fiscal Year |
Number of Requests Received in Fiscal Year |
Number of Requests Processed in Fiscal Year |
Number of Requests Pending as of End of
Fiscal Year |
|
AGENCY OVERALL |
2 |
46 |
47 |
1 |
B. (1) Disposition of FOIA Requests – All Processed Requests
|
|
Number of
Full Grants |
Number of Partial Grants/
Partial Denials |
Number of Full Denials
Based on Exemptions |
Number of Full Denials
Based on Reasons Other than Exemptions |
|
||||||||
|
|
|
|
|
No Records |
All Records Referred to
Another Component or Agency |
Request Withdrawn |
Fee-Related Reason |
Records not Reasonably Described |
Improper FOIA Request for
Other Reason |
Not Agency Record |
Duplicate Request |
Other *Explain in chart below |
TOTAL |
|
AGENCY OVERALL |
41 |
0 |
0 |
5 |
1 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
47 |
B. (2) Disposition of FOIA Requests – “Other”
Reasons for “Full Denials Based on Reasons Other than Exemptions” from Section
V, B (1) Chart
|
Description of “Other” Reasons for Denials
from Chart B (1) & Number of
Times Those Reasons Were Relied upon |
TOTAL |
|
N/A |
0 |
B. (3) Disposition of FOIA Requests – Number of Times Exemptions Applied
|
|
Ex.1 |
Ex.2 |
Ex. 3 |
Ex. 4 |
Ex. 5 |
Ex. 6 |
Ex. 7(A) |
Ex. 7(B) |
Ex. 7(C) |
Ex. 7(D) |
Ex. 7(E) |
Ex. 7(F) |
Ex.8 |
Ex.9 |
|
AGENCY OVERALL |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
VI. ADMINISTRATIVE Appeals of Initial DETERMINATIONS of FOIA
Requests
A.
Received, Processed and Pending Administrative Appeals
|
Column 1 |
Column 2 |
Column 3 |
Column 4 |
|
Number of Appeals Pending as of Start of
Fiscal Year |
Number of Appeals Received in Fiscal Year |
Number of Appeals Processed in Fiscal Year |
Number of Appeals Pending as of End of
Fiscal Year |
|
0 |
0 |
0 |
0 |
|
Number Affirmed on Appeal |
Number Partially Affirmed & Partially
Reversed/Remanded on Appeal |
Number Completely Reversed/Remanded on Appeal |
Number of Appeals Closed for Other Reasons |
TOTAL |
|
0 |
0 |
0 |
0 |
0 |
C. (1) Reasons for Denial on Appeal – Number of Times
Exemptions Applied
|
Ex.1 |
Ex.2 |
Ex. 3 |
Ex. 4 |
Ex.
5 |
Ex. 6 |
Ex. 7(A) |
Ex. 7(B) |
Ex. 7(C) |
Ex. 7(D) |
Ex. 7(E) |
Ex. 7(F) |
Ex.8 |
Ex.9 |
|
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
C. (2) Reasons for Denial on Appeal – Reasons Other than Exemptions
|
No Records |
Records Referred at Initial Request Level |
Request Withdrawn |
Fee-Related Reason |
Records not Reasonably Described |
Improper Request for Other Reasons |
Not Agency Record |
Duplicate Request or Appeal |
Request in
Litigation |
Appeal Based Solely on Denial of Request for Expedited Processing |
Other *Explain in chart below |
|
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
C. (3) Reasons for Denial on Appeal – “Other” Reasons from Section VI, C
(2) Chart
|
Description of “Other” Reasons for Denial
on Appeal from Chart C (2) & Number of Times Those Reasons Were Relied upon |
TOTAL |
|
N/A |
0 |
C. (4) Response Time for Administrative Appeal
|
Median Number of Days |
Average Number of Days |
Lowest Number of
Days |
Highest Number of Days |
|
0 |
0 |
0 |
0 |
C. (5) Ten Oldest Pending Administrative Appeals
|
Date of Receipt of Ten Oldest Appeals |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
|
Number of Days Pending |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
|
|
10th Oldest Appeal |
9th |
8th |
7th |
6th |
5th |
4th |
3rd |
2nd |
Oldest Appeal |
VII. FOIA REQUESTS: RESPONSE TIME FOR
PROCESSED and Pending Requests
A.
Processed Requests –
Response Time for All Processed Perfected Requests
|
|
Simple |
Complex |
Expedited processing |
|||||||||
|
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
|
|
AGENCY OVERALL |
5 |
6 |
<1 |
20 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
B.
Processed Requests –
Response Time for Perfected Requests in Which Information Was Granted
|
|
Simple |
Complex |
Expedited PROCESSING |
|||||||||
|
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
Median Number of Days |
Average Number of Days |
Lowest Number of Days |
Highest Number of Days |
|
|
AGENCY OVERALL |
4 |
7 |
<1 |
20 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
C. Processed
Requests – Response Time in Day Increments
Simple Requests
|
|
1-20 Days |
21-40
Days |
41-60 Days |
61-80 Days |
81-100 Days |
101-120 Days |
121-140 Days |
141-160 Days |
161-180 Days |
181-200 Days |
201-300 Days |
301-400 Days |
401+ Days |
TOTAL |
|
AGENCY
OVERALL |
47 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
47 |
Complex Requests
|
|
1-20 Days |
21-40
Days |
41-60 Days |
61-80 Days |
81-100 Days |
101-120 Days |
121-140 Days |
141-160 Days |
161-180 Days |
181-200 Days |
201-300 Days |
301-400 Days |
401+ Days |
TOTAL |
|
AGENCY
OVERALL |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
Requests Granted Expedited Processing
|
|
1-20 Days |
21-40 Days |
41-60 Days |
61-80 Days |
81-100 Days |
101-120 Days |
121-140 Days |
141-160 Days |
161-180 Days |
181-200 Days |
201-300 Days |
301-400 Days |
401+ Days |
TOTAL |
|
AGENCY OVERALL |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
D. Pending Requests
– All Pending Perfected Requests
|
|
Simple |
Complex |
Expedited
PROCESSING |
||||||
|
Number Pending |
Median Number of Days |
Average
Number of Days |
Number Pending |
Median
Number of Days |
Average
Number of Days |
Number Pending |
Median
Number of Days |
Average
Number of Days |
|
|
AGENCY OVERALL |
1 |
8 |
8 |
0 |
0 |
0 |
0 |
0 |
0 |
E.
Pending Requests – Ten
Oldest Pending Perfected Requests
|
AGENCY OVERALL |
10th Oldest
Request and Number of Days Pending |
9th |
8th |
7th |
6th |
5th |
4th |
3rd |
2nd |
Oldest Request and Number
of Days Pending |
|
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
N/A |
9/21/09 8 |
VIII. REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVER
A. Requests for Expedited Processing
|
|
Number Granted |
Number Denied |
Median Number of Days to Adjudicate |
Average Number of Days to Adjudicate |
Number Adjudicated Within Ten Calendar Days |
|
AGENCY OVERALL |
0 |
0 |
0 |
0 |
0 |
B. Requests
for Fee Waiver
|
|
Number Granted |
Number Denied |
Median Number of Days to Adjudicate |
Average Number of Days to Adjudicate |
|
AGENCY OVERALL |
0 |
0 |
0 |
0 |
IX. FOIA PERSONNEL AND COSTS
A. Personnel
B. Costs
|
|
PERSONNEL |
Costs |
||||
|
Number of “Full-Time FOIA Employees” |
Number of “Equivalent Full-Time FOIA
Employees” |
Total Number of “Full-Time FOIA Staff” (The sum of Columns 1 & 2) |
Processing Costs (At initial request and appeal levels) |
Litigation-Related Costs |
Total
Costs |
|
|
AGENCY OVERALL |
0 |
0.10 |
0.10 |
$12,000 |
0 |
$12,000 |
X. FEES COLLECTED FOR PROCESSING
REQUESTS
|
|
Total Amount of Fees Collected |
Percentage of Total Costs |
|
AGENCY OVERALL |
$64.30 |
0.54 |
XI. FOIA REGULATIONS
http://www.fmshrc.gov/rules/29cfr2702_01.html
XII. BACKLOGS,
CONSULTATIONS, AND COMPARISONS
A. Backlogs of FOIA Requests and Administrative Appeals
|
|
Number of Backlogged Requests as of End of
Fiscal Year |
Number of Backlogged Appeals as of End of
Fiscal Year |
|
AGENCY OVERALL |
0 |
0 |
B. Consultations on FOIA Requests – Received, Processed, and Pending Consultations
|
|
Number of Consultations
Received from Other Agencies that Were Pending at Your Agency as of Start of the Fiscal Year |
Number of Consultations Received
from Other Agencies During the
Fiscal Year |
Number of Consultations Received from
Other Agencies that Were Processed by Your Agency During the Fiscal
Year |
Number of Consultations Received from
Other Agencies that Were Pending at Your Agency as of End of the Fiscal Year |
|
AGENCY OVERALL |
0 |
0 |
0 |
0 |
C. Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency
|
Agency Overall |
10th Oldest Consultation
and Number of Days Pending |
9th |
8th |
7th |
6th |
5th |
4th |
3rd |
2nd |
Oldest Consultation and
Number of Days Pending |
|
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
0 |
D. Comparison of Numbers of Requests from Previous and Current Annual Report – Requests Received, Processed, and Backlogged
|
|
NUMBER OF
REQUESTS RECEIVED |
NUMBER OF
REQUESTS PROCESSED |
||
|
Number
Received During Fiscal Year from Last Year’s Annual Report |
Number
Received During Fiscal Year from Current Annual Report |
Number
Processed During Fiscal Year from Last Year’s Annual Report |
Number
Processed During Fiscal Year from Current Annual Report |
|
|
AGENCY OVERALL |
61 |
46 |
59 |
47 |
|
|
Number of
Backlogged Requests as of End of the Fiscal Year from Previous Annual Report |
Number of
Backlogged Requests as of End of the
Fiscal Year from Current Annual Report |
|
AGENCY OVERALL |
0 |
0 |
E. Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged
|
|
NUMBER OF APPEALS RECEIVED |
NUMBER OF APPEALS PROCESSED |
||
|
Number Received During Fiscal Year from
Last Year’s Annual Report |
Number Received During Fiscal Year from
Current Annual Report |
Number Processed During Fiscal Year from
Last Year’s Annual Report |
Number Processed During Fiscal Year from Current Annual Report |
|
|
AGENCY OVERALL |
0 |
0 |
0 |
0 |
|
|
Number of
Backlogged Appeals as of End of the Fiscal Year from Previous Annual Report |
Number of
Backlogged Appeals as of End of the
Fiscal Year from Current Annual Report |
|
AGENCY OVERALL |
0 |
0 |
F. Discussion of Other FOIA Activities
FMSHRC has
increased its processing of requests electronically where possible. Many requests are received via email. Documents are electronically submitted via
email, reducing paperwork and shortening processing time.