OCCUPATIONAL SAFETY AND HEALTH REVIEW COMMISSION (OSHRC) 

CHIEF FREEDOM OF INFORMATION ACT (FOIA) OFFICER REPORT 

Chief FOIA Officer: Nadine Mancini, General Counsel 

March 2013 

Section I: Steps Taken to Apply the Presumption of Openness 

The guiding principle underlying the President's FOIA Memorandum and the Attorney 

General's FOIA Guidelines is the presumption of openness. 

Describe the steps your agency has taken to ensure that the presumption of openness is 

being applied to all decisions involving the 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. 

1.	 Did your agency hold an agency FOIA conference, or otherwise conduct training 

during this reporting period? 

Yes. 

Did your FOIA professionals attend any FOIA training, such as that provided by 

the Department of Justice? 

Yes. 

In his 2009 FOIA Guidelines, the Attorney General strongly encouraged agencies to make 

discretionary releases of information even when the information might be technically 

exempt from disclosure under the FOIA. OIP encourages agencies to make such 

discretionary releases whenever there is no foreseeable harm from release. 

2.	 Did your agency make any discretionary releases of otherwise exempt information? 

No. 

3.	 What exemptions would have covered the information that was released as a matter 

of discretion? 

N/A. OSHRC did not make any discretionary releases of otherwise exempt information 

during Fiscal Year 2012. 

4.	 Provide a narrative description, or some examples of, the types of information that 

your agency released as a matter of discretion. 

N/A. OSHRC did not make any discretionary releases of otherwise exempt information 

during Fiscal Year 2012. 

5.	 Describe any other initiatives undertaken by your agency to ensure that the 

presumption of openness is being applied. 

OSHRC actively applies the presumption of openness underlying the President's FOIA 

memorandum and Attorney General's FOIA guidelines when processing its FOIA 

requests. In determining whether to redact or withhold a requested record, OSHRC 

always considers the presumption of openness before making a final decision about the 

release. 
Section II: Steps Taken to Ensure that Your Agency 

Has an Effective System in Place for Responding to Requests 

As the Attorney General emphasized in his FOIA Guidelines, "[a]pplication of the proper 

disclosure standard is only one part of ensuring transparency. Open government requires 

not just a presumption of disclosure, but also an effective system for responding to FOIA 

requests." 

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. 

Describe here the steps your agency has taken to ensure that its system for responding to 

requests is effective and efficient. 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. 

1.	 Do FOIA professionals within your agency have sufficient IT support? 

Yes. 

2. Do your FOIA professionals work with your agency’s Open Government Team? 

Yes. 

3.	 Has your agency assessed whether adequate staffing is being devoted to FOIA 

administration? 

Yes. 

4.	 Describe any other steps your agency has undertaken to ensure that your FOIA 

system operates efficiently and effectively, such as conducting self-assessments to 

find greater efficiencies, improving search processes, streamlining consultations, 

eliminating redundancy, etc. 

The Chairman of OSHRC implemented a management initiative in February 2009 to 

enhance agency transparency. In keeping with that initiative, as well as the President's 

FOIA Memorandum and Attorney General's FOIA Guidelines, OSHRC's FOIA 

professionals work diligently to continue improving the effectiveness and efficiency of 

processing FOIA requests. Examples of such efforts by the FOIA Requester Service 

Center include: (1) staying in close contact with the agency offices that maintain 

requested records to process requests within the statutorily required response times; (2) 

utilizing OSHRC’s new electronic case management system to improve record search 

capabilities when processing FOIA requests that seek records associated with OSHRC 

cases; and (3) implementing the requirements of the Plain Writing Act of 2010 as they 

relate to the agency's FOIA program and procedures. 

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Section III: Steps Taken to Increase Proactive Disclosures 

Both the President and Attorney General focused on the need for agencies to work 

proactively to post information online without waiting for individual requests to be 

received. 

Describe here the steps your agency has taken both to increase the amount of material that 

is available on your agency website, and the usability of such information, including 

providing examples of proactive disclosures that have been made during this past reporting 

period (i.e., from March 2012 to March 2013). In doing so, answer the questions listed 

below and describe any additional steps taken by your agency to make and improve 

proactive disclosures of information. 

1.	 Provide examples of material that your agency has posted this past year. 

OSHRC continues to update its website by posting filings from cases before it, such as 

SeaWorld of Florida, LLC (No. 10-1705). OSHRC also posted the audio recording of its 

Open Commission Meeting held at the end of August 2012, which sought input from the 

public regarding efficient methods of case processing. 

2.	 Beyond posting new material, is your agency taking steps to make the posted 

information more useful to the public, especially to the community of individuals 

who regularly access your agency’s website, such as soliciting feedback on the 

content and presentation of the posted material, improving search capabilities on 

the site, creating mobile applications, providing explanatory material, etc.? 

Yes. 

3.	 If so, provide examples of such improvements. 

OSHRC indexes or otherwise organizes its records so that our website’s FOIA e-reading 

room is “user-friendly” to the general public. Additionally, OSHRC solicits feedback on 

how the agency can improve its FOIA e-reading room. 

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

The Chief FOIA Officer works to maintain open lines of communication between the 

FOIA Requester Service Center and key agency personnel. Additionally, in keeping with 

the Open Government Directive issued by the Office of Management and Budget on 

December 8, 2009, OSHRC continually monitors and updates its new open government 

page at www.data.gov. 

Section 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 and 2011, agencies 

reported widespread use of technology in receiving and tracking FOIA requests and 

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preparing agency Annual FOIA Reports. For 2013, as we did in 2012, the questions have 

been further refined and now also address different, more innovative aspects of technology 

use. 

Electronic receipt of FOIA requests: 

1.	 Can FOIA requests be made electronically to your agency? 

Yes. 

2.	 If your agency is decentralized, can FOIA requests be made electronically to all 

components of your agency? 

N/A. OSHRC centrally processes its FOIA requests. 

Online tracking of FOIA requests: 

3.	 Can a FOIA requester track the status of his/her request electronically? 

No. 

4.	 If so, describe the information that is provided to the requester through the tracking 

system. For example, some tracking systems might tell the requester whether the 

request is “open” or “closed,” while others will provide further details to the 

requester throughout the course of the processing, such as “search commenced” or 

“documents currently in review.” List the specific types of information that are 

available through your agency's tracking system. 

N/A. An OSHRC FOIA requester can not track the status of his/her request 

electronically. 

5.	 In particular, does your agency tracking system provide the requester with an 

estimated date of completion for his or her request? 

N/A. An OSHRC FOIA requester can not track the status of his/her request 

electronically. 

6.	 If your agency does not provide online tracking of requests, is your agency taking 

steps to establish this capability? 

Yes. 

Use of technology to facilitate processing of requests: 

7.	 Beyond using technology to redact documents, is your agency taking steps to utilize 

more advanced technology to facilitate overall FOIA efficiency, such as improving 

record search capabilities, utilizing document sharing platforms for consultations 

and referrals, or employing software that can sort and de-duplicate documents? 

Yes. 

8.	 If so, describe the technological improvements being made. 

OSHRC now utilizes a new electronic case management system, which facilitates the 

processing of FOIA requests that seek records associated with OSHRC cases by 

improving record search capabilities. 

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Section V: Steps Taken to Improve Timeliness in 

Responding to Requests and Reduce Backlogs 

The President and the Attorney General have emphasized the importance of improving 

timeliness in responding to requests. This section addresses both time limits and backlog 

reduction. Backlog reduction is measured both in terms of numbers of backlogged requests 

or appeals and by looking at whether agencies closed their ten oldest requests and appeals. 

For the figures required in this Section, please use those contained in the specified sections of 

your agency’s 2012 Annual FOIA Report. 

1.	 Section VII.A of your agency’s Annual FOIA Report, entitled “FOIA Requests – 

Response Time for All Processed Requests,” includes figures that show your 

agency's average response times for processed requests. For agencies utilizing a 

multi-track system to process requests, there is a category for “simple” requests, 

which are those requests that are placed in the agency’s fastest (non-expedited) 

track, based on the low volume and/or simplicity of the records requested. If your 

agency does not utilize a separate track for processing simple requests, answer the 

question below using the figure provided in your report for your non-expedited 

requests. 

a.	 Does your agency utilize a separate track for simple requests? 

Yes. 

b.	 If so, for your agency overall, for Fiscal Year 2012, was the 

average number of days to process simple requests twenty 

working days or fewer? 

Yes. 

c.	 If your agency does not track simple requests separately, was the 

average number of days to process non- expedited requests twenty 

working days or fewer? 

N/A. OSHRC utilizes a separate track for simple requests. 

2.	 Sections XII.D.(2) and XII.E.(2) of your agency’s Annual FOIA Report, entitled 

“Comparison of Numbers of Requests/Appeals from Previous and Current Annual 

Report – Backlogged Requests/Appeals,” show the numbers of any backlog of 

pending requests or pending appeals from Fiscal Year 2012 as compared to Fiscal 

Year 2011. You should refer to those numbers when completing this section of your 

Chief FOIA Officer Report. In addition, Section VII.E, entitled “Pending Requests – 

Ten Oldest Pending Requests,” and Section VI.C.(5), entitled “Ten Oldest Pending 

Administrative Appeals,” from both Fiscal Year 2011 and Fiscal Year 2012 should 

be used for this section. 

a.	 If your agency had a backlog of requests at the close of Fiscal Year 

2012, did that backlog decrease as compared with Fiscal Year 

2011? 

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N/A. OSHRC currently has no backlog of FOIA requests, had no 

backlog of FOIA requests at the end of Fiscal Year 2012, and had no 

backlog of FOIA requests in Fiscal Year 2011. 

b.	 If your agency had a backlog of administrative appeals in Fiscal 

Year 2012, did that backlog decrease as compared to Fiscal Year 

2011? 

N/A. OSHRC currently has no backlog of administrative appeals, had 

no backlog of administrative appeals at the end of Fiscal Year 2012, 

and had no backlog of administrative appeals in Fiscal Year 2011. 

c.	 In Fiscal Year 2012, did your agency close the ten oldest requests 

that were pending as of the end of Fiscal Year 2011? 

Yes. 

d.	 In Fiscal Year 2012, did your agency close the ten oldest 

administrative appeals that were pending as of the end of Fiscal 

Year 2011? 

N/A. OSHRC had no pending administrative appeals as of the end of 

Fiscal Year 2011. 

3.	 If you answered “no” to any of the above questions, describe why that has occurred. 

In doing so, answer the following questions then include any additional explanation: 

Request Backlog: 

a.	 Was the lack of a reduction in the request backlog a result of an 

increase in the number of incoming requests? 

N/A. OSHRC had no backlog. 

b.	 Was the lack of a reduction in the request backlog caused by a loss 

of staff? 

N/A. OSHRC had no backlog. 

c.	 Was the lack of a reduction in the request backlog caused by an 

increase in the complexity of the requests received? 

N/A. OSHRC had no backlog. 

d.	 What other causes, if any, contributed to the lack of a decrease in 

the request backlog? 

N/A. OSHRC had no backlog. 

Administrative Appeal Backlog: 

a.	 Was the lack of a reduction in the backlog of administrative 

appeals a result of an increase in the number of incoming appeals? 

N/A. OSHRC had no appeal backlog. 

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b.	 Was the lack of a reduction in the appeal backlog caused by a loss 

of staff? 

N/A. OSHRC had no appeal backlog. 

c.	 Was the lack of a reduction in the appeal backlog caused by an 

increase in the complexity of the appeals received? 

N/A. OSHRC had no appeal backlog. 

d.	 What other causes, if any, contributed to the lack of a decrease in 

the appeal backlog? 

N/A. OSHRC had no appeal backlog. 

4.	 OIP has issued guidance encouraging agencies to make interim releases whenever 

they are working on requests that involve a voluminous amount of material or 

require searches in multiple locations. By providing rolling releases to requesters 

agencies facilitate access to the requested information. If your agency had a backlog 

in Fiscal Year 2012, please provide an estimate of the number of cases in the backlog 

where a substantive, interim response was provided during the fiscal year, even 

though the request was not finally closed. 

N/A. OSHRC had no backlog in Fiscal Year 2012. 

Use of FOIA’s Law Enforcement “Exclusions” 

In order to increase transparency regarding the use of the FOIA’s statutory law 

enforcement exclusions, which authorize agencies under certain exceptional circumstances 

to “treat the records as not subject to the requirements of [the FOIA],” 5 U.S.C. 

§ 552(c)(1), (2), (3), please answer the following questions: 

1.	 Did your agency invoke a statutory exclusion during Fiscal Year 2012? 

No. 

2.	 If so, what was the total number of times exclusions were invoked? 

N/A. OSHRC did not invoke a statutory exclusion during Fiscal Year 2012. 

Spotlight on Success 

Out of all the activities undertaken by your agency since March 2012 to increase 

transparency and improve FOIA administration, describe here one success story that you 

would like to highlight as emblematic of your agency’s efforts. The success story can come 

from any one of the five key areas. 

OSHRC’s new electronic case management system facilitates the processing of FOIA requests 

that seek records associated with OSHRC cases by improving record search capabilities. As a 

result, OSHRC continues to have no backlog of requests or appeals, and has maintained its 

average response time for simple requests below the statutory limit of 20 days. OSHRC also has 

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increased the total number of its requests for which it either released information in full or in part 

as compared to the previous fiscal year. 

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