2013 Annual FOIA Report

FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION
ANNUAL FOIA REPORT

FY 2013

I. BASIC INFORMATION REGARDING REPORT

1. Name, title, address, and telephone number of person(s) to be contacted with questions about the report:

  Linda H. Ghosal, Esq.
  Chief FOIA Officer
  1331 Pennsylvania Ave., N.W., Suite 520N
  Washington, D.C. 20004
  ph: (202) 434-9935
  fx: (202) 434-9944
  email: foia@fmshrc.gov

2. Electronic address for report on the World Wide Web:

  http://www.fmshrc.gov/foia/reports

3. 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

1. 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.  

2.  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.

3.  Electronic address for FMSHRC FOIA regulations:

http://www.fmshrc.gov/rules/foia

III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS

1. Agency-specific acronyms or other terms.

  a. Commission — Federal Mine Safety and Health Review Commission.

  b. FMSHRC — Federal Mine Safety and Health Review Commission.

  c. Mine Act — Federal Mine Safety and Health Act of 1977.

2. Basic terms, expressed in common terminology

a. Administrative Appeal – a request to a federal agency asking that it review at a higher administrative level a FOIA determination made by the agency at the initial request level.

b. Average Number – the number obtained by dividing the sum of a group of numbers by the quantity of numbers in the group.  For example, of 3, 7, and 14, the average number is 8.

c. Backlog – the number of requests or administrative appeals that are pending at an agency at the end of the fiscal year that are beyond the statutory time period for a response.

d. Component – for agencies that process requests on a decentralized basis, a “component” is an entity, also sometimes referred to as an Office, Division, Bureau, Center, or Directorate, within the agency that processes FOIA requests.  The FOIA now requires that agencies include in their Annual FOIA Report data for both the agency overall and for each principal component of the agency.

e. Consultation – the procedure whereby the agency responding to a FOIA request first forwards a record to another agency for its review because that other agency has an interest in the document.  Once the agency in receipt of the consultation finishes its review of the record, it responds back to the agency that forwarded it.  That agency, in turn, will then respond to the FOIA requester. 

f. 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.

g. FOIA Request – a FOIA request is generally a request to a federal agency for access to records concerning another person (i.e., a “third-party” request), 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.)

h. Full Grant – an agency decision to disclose all records in full in response to a FOIA request.

i. Full Denial – an agency decision not to release any records in response to a FOIA request because the records are exempt in their entireties under one or more of the FOIA exemptions, or because of a procedural reason, such as when no records could be located.

j. Median Number – the middle, not average, number.  For example, of 3, 7, and 14, the median number is 7.

k. Multi-Track Processing – a system in which simple requests requiring relatively minimal review are placed in one processing track and more voluminous and complex requests are placed in one or more other tracks.  Requests granted 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.

2.  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.

3. Complex Request – a FOIA request that an agency using multi-track processing places in a slower track based on the high volume and/or complexity of the records requested.

l. Partial Grant/Partial Denial – 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.

m. Pending Request or Pending Administrative Appeal – a request or administrative appeal for which an agency has not taken final action in all respects.

n. Perfected Request – a request for records which reasonably describes such records and is made in accordance with published rules stating the time, place, fees (if any) and procedures to be followed.

o. Processed Request or Processed Administrative Appeal – a request or administrative appeal for which an agency has taken final action in all respects.

p. Range in Number of Days – the lowest and highest number of days to process requests or administrative appeals.

q. Time Limits – the time period in the statute for an agency to respond to a FOIA request (ordinarily twenty working days from receipt of a perfected FOIA request).

The following are concise descriptions of the nine FOIA 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 disclosure by another federal law

d. Exemption 4:  trade secrets and other confidential business information

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

f. Exemption 6:  information involving matters of personal privacy

g. Exemption 7: records or information compiled for law enforcement purposes, to the extent that the production of those records (A) could reasonably be expected to interfere with enforcement proceedings, (B) would deprive a person of a right to a 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

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

i. Exemption 9: geological information on wells

 

 
IV. EXEMPTION 3 STATUTES



Statute

Type of Information
Withheld

Case Citation

Agency / Component

Number of Times
Relied upon
by Agency / Component

Total Number of
Times Relied upon
by Agency Overall

 

 

 

 

 

0

 

 

 

 

 

 

 

 

 

 

 


 

 


V.A. FOIA REQUESTS -- RECEIVED, PROCESSED AND PENDING FOIA REQUESTS



Agency / Component

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

FMSHRC

3

176

174

5

 

 

 

 

0

AGENCY OVERALL

3

176

174

5

 


 

 


V.B.(1). DISPOSITION OF FOIA REQUESTS -- ALL PROCESSED REQUESTS



Agency / Component

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

FMSHRC

166

1

0

5

0

2

0

0

0

0

0

0

174

 

 

 

 

 

 

 

 

 

 

 

 

 

0

AGENCY OVERALL

166

1

0

5

0

2

0

0

0

0

0

0

174

 


 

 


V.B.(2). DISPOSITION OF FOIA REQUESTS -- "OTHER" REASONS FOR "FULL DENIALS BASED ON REASONS OTHER THAN EXEMPTIONS"



Agency / Component

Description of "Other" Reasons for Denials from Chart B(1)

Number of Times "Other" Reason Was Relied Upon

TOTAL

FMSHRC

N/A

0

0

 

 

AGENCY OVERALL

 

 

0

 

 

 

 

 


 

 


V.B.(3). DISPOSITION OF FOIA REQUESTS -- NUMBER OF TIMES EXEMPTIONS APPLIED



Agency / Component

Ex. 1

Ex. 2

Ex. 3

Ex. 4

Ex. 5

Ex. 6

Ex. 7(A)

Ex. 7(B)

Ex. 7(C)

Ex. 7(D)

Ex. 7(E)

Ex. 7(F)

Ex. 8

Ex. 9

FMSHRC

0

0

0

0

1

0

0

0

0

0

0

0

0

0

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

AGENCY OVERALL

0

0

0

0

1

0

0

0

0

0

0

0

0

0

 


 

 


VI.A. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS -- RECEIVED, PROCESSED, AND PENDING ADMINISTRATIVE APPEALS



Agency / Component

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

FMSHRC

0

1

1

0

 

 

 

 

0

AGENCY OVERALL

0

1

1

0

 


 

 


VI.B. DISPOSITION OF ADMINISTRATIVE APPEALS -- ALL PROCESSED APPEALS



Agency / Component

Number Affirmed on Appeal

Number Partially Affirmed & Partially Reversed/Remanded on Appeal

Number Completely Reversed/Remanded on Appeal

Number of Appeals Closed for Other Reasons

TOTAL

FMSHRC

0

1

0

0

1

 

 

 

 

 

0

AGENCY OVERALL

0

1

0

0

1

 


 

 


VI.C.(1). REASONS FOR DENIAL ON APPEAL -- NUMBER OF TIMES EXEMPTIONS APPLIED



Agency / Component

Ex. 1

Ex. 2

Ex. 3

Ex. 4

Ex. 5

Ex. 6

Ex. 7(A)

Ex. 7(B)

Ex. 7(C)

Ex. 7(D)

Ex. 7(E)

Ex. 7(F)

Ex. 8

Ex. 9

FMSHRC

0

0

0

0

1

0

0

0

0

0

0

0

0

0

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

AGENCY OVERALL

0

0

0

0

1

0

0

0

0

0

0

0

0

0

 


 

 


VI.C.(2). REASONS FOR DENIAL ON APPEAL -- REASONS OTHER THAN EXEMPTIONS



Agency / Component

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

FMSHRC

0

0

0

0

0

0

0

0

0

0

0

 

 

 

 

 

 

 

 

 

 

 

 

AGENCY OVERALL

0

0

0

0

0

0

0

0

0

0

0

 


 

 


VI.C.(3). REASONS FOR DENIAL ON APPEAL -- "OTHER" REASONS



Agency / Component

Description of "Other" Reasons for Denial on Appeal from Chart C(2)

Number of Times "Other" Reason Was Relied Upon

TOTAL

FMSHRC

N/A

0

0

 

 

AGENCY OVERALL

 

 

0

 

 

 

 

 


 

 


VI.C.(4). RESPONSE TIME FOR ADMINISTRATIVE APPEALS



Agency / Component

Median Number of Days

Average Number of Days

Lowest Number of Days

Highest Number of Days

 

 

 

 

 

 

 

 

 

 

AGENCY OVERALL

27.00

27.00

27.00

27.00

 


 

 


VI.C.(5). TEN OLDEST PENDING ADMINISTRATIVE APPEALS



Agency / Component

 

10th Oldest Appeal

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Appeal

 

Date of Appeal

 

 

 

 

 

 

 

 

 

 

Number of Days Pending

 

 

 

 

 

 

 

 

 

 

AGENCY OVERALL

Date of Appeal

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

 


 

 


VII.A. FOIA REQUESTS -- RESPONSE TIME FOR ALL PROCESSED PERFECTED REQUESTS



Agency / Component

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

1

3.1

1

24

6

8.9

1

34

7

5.7

1

9

 


 

 


VII.B. PROCESSED REQUESTS -- RESPONSE TIME FOR PERFECTED REQUESTS IN WHICH INFORMATION WAS GRANTED



Agency / Component

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

1

3

1

24

6

9.3

1

34

7

5.7

1

9

 


 

 


VII.C. PROCESSED SIMPLE REQUESTS -- RESPONSE TIME IN DAY INCREMENTS



Agency / Component

<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

FMSHRC

142

2

0

0

0

0

0

0

0

0

0

0

0

144

 

 

 

 

 

 

 

 

 

 

 

 

 

 

0

AGENCY OVERALL

142

2

0

0

0

0

0

0

0

0

0

0

0

144

 


 

 


VII.C. PROCESSED COMPLEX REQUESTS -- RESPONSE TIME IN DAY INCREMENTS



Agency / Component

<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

FMSHRC

23

3

0

0

0

0

0

0

0

0

0

0

0

26

 

 

 

 

 

 

 

 

 

 

 

 

 

 

0

AGENCY OVERALL

23

3

0

0

0

0

0

0

0

0

0

0

0

26

 


 

 


VII.C. PROCESSED REQUESTS GRANTED EXPEDITED PROCESSING -- RESPONSE TIME IN DAY INCREMENTS



Agency / Component

<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

FMSHRC

3

0

0

0

0

0

0

0

0

0

0

0

0

3

 

 

 

 

 

 

 

 

 

 

 

 

 

 

0

AGENCY OVERALL

3

0

0

0

0

0

0

0

0

0

0

0

0

3

 


 

 


VII.D. PENDING REQUESTS -- ALL PENDING PERFECTED REQUESTS



Agency / Component

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

2

1.5

1.5

3

20

16

0

0

0

 


 

 


VII.E. PENDING REQUESTS -- TEN OLDEST PENDING PERFECTED REQUESTS



Agency / Component

 

10th Oldest Request

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Request

 

Date of Receipt

 

 

 

 

 

 

 

 

 

 

Number of Days Pending

 

 

 

 

 

 

 

 

 

 

AGENCY OVERALL

Date of Receipt

N/A

N/A

N/A

N/A

N/A

2013-09-30

2013-09-30

2013-09-30

2013-09-24

2013-08-21

Number of Days Pending

0

0

0

0

0

1

1

2

20

27

 


 

 


VIII.A. REQUESTS FOR EXPEDITED PROCESSING



Agency / Component

Number Granted

Number Denied

Median Number of Days to Adjudicate

Average Number of Days to Adjudicate

Number Adjudicated Within Ten Calendar Days

 

 

 

 

 

 

 

 

 

 

 

 

AGENCY OVERALL

3

0

7

5.7

3

 


 

 


VIII.B. REQUESTS FOR FEE WAIVER



Agency / Component

Number Granted

Number Denied

Median Number of Days to Adjudicate

Average Number of Days to Adjudicate

 

 

 

 

 

 

 

 

 

 

AGENCY OVERALL

6

0

7.5

7.8

 


 

 



IX. FOIA PERSONNEL AND COSTS

 



Agency / Component

PERSONNEL

COSTS

Number of "Full-Time FOIA Employees"

Number of "Equivalent Full-Time FOIA Employees"

Total Number of "Full-Time FOIA Staff"

Processing Costs

Litigation-Related Costs

Total Costs

FMSHRC

0

0.5

0.5

$125,000.00

$0.00

$125,000.00

 

 

 

0

 

 

$0.00

AGENCY OVERALL

0

0.5

0.5

$125,000.00

$0.00

$125,000.00

 


 

 



X. FEES COLLECTED FOR PROCESSING REQUESTS

 



Agency / Component

Total Amount of Fees Collected

Percentage of Total Costs

FMSHRC

$503.50

0.40%

 

 

 

AGENCY OVERALL

$503.50

0.40%

 


 

 



XII.A. BACKLOGS OF FOIA REQUESTS AND ADMINISTRATIVE APPEALS

 



Agency / Component

Number of Backlogged Requests as of End of Fiscal Year

Number of Backlogged Appeals as of End of Fiscal Year

FMSHRC

0

0

 

 

 

AGENCY OVERALL

0

0

 



 

An extension was granted for the oldest pending appeal and thus is not included in backlogged

requests pending as of the end of the fiscal year.

 

 


XII.B. CONSULTATIONS ON FOIA REQUESTS -- RECEIVED, PROCESSED, AND PENDING CONSULTATIONS



Agency / Component

Number of Consultations Received from Other Agencies that werePending at the Agency as of Start
of the Fiscal Year

Number of
ConsultationsReceived from Other Agencies During the Fiscal Year

Number of Consultations Received from Other Agencies that wereProcessed by the Agency During the Fiscal Year

Number of Consultations Received from Other Agencies that werePending at the Agency as of End
of the Fiscal Year

FMSHRC

0

1

1

0

 

 

 

 

0

AGENCY OVERALL

0

1

1

0

 


 

 


XII.C. CONSULTATIONS ON FOIA REQUESTS -- TEN OLDEST CONSULTATIONS RECEIVED FROM OTHER AGENCIES AND PENDING AT THE AGENCY



Agency / Component

 

10th Oldest Consultation

9th

8th

7th

6th

5th

4th

3rd

2nd

Oldest Consultation

 

Date

 

 

 

 

 

 

 

 

 

 

Number of Days

 

 

 

 

 

 

 

 

 

 

AGENCY OVERALL

Date

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

N/A

Number of Days

0

0

0

0

0

0

0

0

0

0

 


 

 


XII.D.(1). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- REQUESTS RECEIVED AND PROCESSED



Agency / Component

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

FMSHRC

188

176

189

174

 

 

 

 

 

AGENCY OVERALL

188

176

189

174

 


 

 


XII.D.(2). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- BACKLOGGED REQUESTS



Agency / Component

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

FMSHRC

0

0

 

 

 

AGENCY OVERALL

0

0

 



 

An extension was granted for the oldest pending request and thus has not been included here as a pending

backlogged request.

 

 


XII.E.(1). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- APPEALS RECEIVED AND PROCESSED



Agency / Component

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

FMSHRC

0

1

0

1

 

 

 

 

 

AGENCY OVERALL

0

1

0

1

 


 

 


XII.E.(2). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT ANNUAL REPORT -- BACKLOGGED APPEALS


Agency / Component

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

FMSHRC

0

0

 

 

 

AGENCY OVERALL

0

0

 

  
  
 

Date
Wednesday, January 1, 2014