1

Federal	Maritime	Commission	 	

Freedom	of	Information	Act	Annual	Report	

October	1,	2016	to	September	30,	2017	

I. BASIC INFORMATIONREGARDING REPORT

1. Name, Title, Address, and telephone number of person(s) to be contacted with questions about 

the report: 

Linda Hale

Federal Maritime Commission

800 North Capitol Street, NW

Washington, DC 20573-0001 

Telephone (202) 523-5725

2. Electronic link for access to the Report on the Agency website: 

http://www.fmc.gov/about/freedom_of_information_act.aspx

3. To obtain a copy of the Report in paper form: 

Send requests to the Office of the Secretary, Federal Maritime Commission, at 

the address listed above, or email FOIA@fmc.gov, or fax request to (202) 523-

0014. 

II. MAKING A FOIA REQUEST

1. The Federal Maritime Commission has only one agency component that receives FOIA 

requests, shown below: 

Rachel Dickon, Assistant Secretary

Federal Maritime Commission

800 North Capitol Street, NW

Washington, DC 20573-0001 

Telephone (202) 523-5725 

FOIA@fmc.gov

2. Of the FOIA requests processed by the FMC, many are granted either full or partial access to 

Commission records. The majority of the requests not granted are usually due to no records 

found to be responsive to the request. When the Commission relies on an exemption, most 

often it is to protect information of personal privacy pursuant to FOIA exemption 6, 5 U.S.C. 
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§552(b)(6). The FMC asserts the FOIA’s privacy exemption to protect unwarranted invasion of 

privacy, where the privacy interest of the individual outweighs the public interest. 

3. Below is an electronic link to FMC FOIA regulations (including the fee schedule at Subpart - 

F): FMC FOIA regulations – 46 CFR §§ 503.31-34

III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS

1. Commission or FMC means Federal Maritime Commission. 

2. Definitions of terms used in this Report: 

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.
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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. 

i. Expedited Processing – an agency will process a FOIA request on an 

expedited basis when a requester satisfies the requirements for expedited 

processing as set forth in the statute and in agency regulations. 

ii. Simple Request – a FOIA request that an agency using multi-track 

processing places in its fastest (non-expedited) track based on the low volume 

and/or simplicity of the records requested. 

iii. Complex Request – a FOIA request that an agency using multi-track 

processing places in a slower track based on the high volume and/or complexity 

of the records requested. 

l. Partial Grant/Partial Denial – 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). 
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3. 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 

 
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3. Agency Component Abbreviations 

Component Abbreviation Component Name 

 FMC Federal Maritime Commission 
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IV. EXEMPTION 3 STATUTES 

Statute Type of Information Withheld Case Citation Agency / Component 

Number o

Times 

Relied upo

by Agency 

Componen

26 U.S.C. §§ 6103, 6105 (Internal Revenue Code) 

Certain tax return information, to inlcude taxpayer identification numbers of third parties, and certain tax convention information 

Church of Scientology v. IRS, 484 U.S. 9, 15 (1987) (26 U.S.C. § 6103); Pac. Fisheries, Inc. v. IRS, 395 F. App'x 438, 440 (9th Cir. 2010) (unpublished dispostion) (26 U.S.C §§ 6103, 6105); Leonard v. U.S. Dept. of Treasury, No. 10-6625, 2013 WL 4517912, at *2 (D.N.J. Aug. 26, 2013) (26 U.S.C. § 6103; Tax Analysts v. IRS, 217 F. Supp. 2d 23, 27-29 (D.D.C. 2002) (26 U.S.C. § 6105) 

FMC 

46 U.S.C. § 40306 Agreement information and 

documents filed with the Commission (other than the actual Agreements) 

N/A FMC 
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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 

FMC 3 35 33 5

AGENCY OVERALL 3 35 33 5

 

 

 

 
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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

FeeRelated 

Reason

Records 

not 

Reasonably 

Described 

Improper 

FOIA 

Request 

for Other 

Reason

Not 

Agency 

Record

Duplicate 

Request

FMC 11 5 3 10 0 4 0 0 0 0 0 

AGENCY 

OVERALL 11 5 3 10 0 4 0 0 0 0 0 
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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 

FMC N/A 0

0 

AGENCY 

OVERALL 0

 

 

 

 

 
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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) 

FMC 0 0 2 1 3 4 0 0 0 0 3 0 

AGENCY 

OVERALL 0 0 2 1 3 4 0 0 0 0 3 0 
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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 

FMC 0 0 0 0

AGENCY OVERALL 0 0 0 0

 

 

 

 
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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 

T

FMC 0 0 0 0 

AGENCY OVERALL 0 0 0 0 
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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) 

FMC 0 0 0 0 0 0 0 0 0 0 0 0 

AGENCY 

OVERALL 0 0 0 0 0 0 0 0 0 0 0 0 
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VI.C.(2). REASONS FOR DENIAL ON APPEAL -- REASONS OTHER THAN EXEMPTIONS

Agency / 

Component 

No 

Records 

Records 

Referred at 

Initial 

Request 

Level 

Request 

Withdrawn

FeeRelated 

Reason 

Records 

not 

Reasonably 

Described

Improper 

Request 

for Other 

Reasons

Not 

Agency 

Record 

Duplicate 

Request or 

Appeal 

Request in 

Litigation

Appe

Base

Solely 

Denial 

Reque

for 

Expedi

Process

FMC 0 0 0 0 0 0 0 0 0 

AGENCY 

OVERALL 0 0 0 0 0 0 0 0 0 
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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 

FMC N/A 0

0 

AGENCY 

OVERALL 0

 

 

 

 

 
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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 0.00 0.00 0.00 0.00

 

 

 

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

Agency / 

Component 

10th 

Oldest 

Appeal 

9th 8th 7th 6th 5th 4th 3rd 

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 

Number of Days 

Pending 0 0 0 0 0 0 0 
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VII.A. FOIA REQUESTS -- RESPONSE TIME FOR ALL PROCESSED PERFECTED REQUESTS

Agency / 

Component 

SIMPLE COMPLEX EXPEDITED PROCES

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 

Lowes

Numbe

of Day

AGENCY 

OVERALL 5.5 6 4 9 24 30.3 4 77 10 10 
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VII.B. PROCESSED REQUESTS -- RESPONSE TIME FOR PERFECTED REQUESTS IN WHICH INFORMA

GRANTED

Agency / 

Component 

SIMPLE COMPLEX EXPEDITED PROCES

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 

Lowes

Numbe

of Day

AGENCY 

OVERALL 6 6.4 4 9 26.5 34.2 8 77 10 10 
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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 

FMC 6 0 0 0 0 0 0 0 0 0 0 0 

AGENCY 

OVERALL 6 0 0 0 0 0 0 0 0 0 0 0 
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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 

FMC 12 6 4 4 0 0 0 0 0 0 0 0 

AGENCY 

OVERALL 12 6 4 4 0 0 0 0 0 0 0 0 
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VII.C. PROCESSED REQUESTS GRANTED EXPEDITED PROCESSING -- RESPONSE TIME IN DAY INC

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 

FMC 1 0 0 0 0 0 0 0 0 0 0 0 

AGENCY 

OVERALL 1 0 0 0 0 0 0 0 0 0 0 0 
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VII.D. PENDING REQUESTS -- ALL PENDING PERFECTED REQUESTS

Agency / Component 

SIMPLE COMPLEX EXPEDITED PROCESSI

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 

Av

Num

D

AGENCY OVERALL 1 6 6 4 37.5 38.25 0 N/A 
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VII.E. PENDING REQUESTS -- TEN OLDEST PENDING PERFECTED REQUESTS

Agency / 

Component 

10th 

Oldest 

Request 

9th 8th 7th 6th 5th 4th 3rd 

Date of Receipt 

Number of Days 

Pending 

AGENCY 

OVERALL 

Date of Receipt N/A N/A N/A N/A N/A2017-09-212017-09-112017-08

Number of Days 

Pending 0 0 0 0 0 6 14 
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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 1 2 2 3 3

 

 

 

 
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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 0 0 N/A N/A

 

 

 

 
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IX. FOIA PERSONNEL AND COSTS 

Agency / 

Component 

PERSONNEL COSTS 

Number of "FullTime FOIA 

Employees" 

Number of 

"Equivalent FullTime FOIA 

Employees" 

Total Number of 

"Full-Time FOIA 

Staff" 

Processing Costs Litigation-Related Costs Total Costs 

FMC 1 0.54 1.54 $348,993.00 $0.00 $348,993.00

AGENCY 

OVERALL 1 0.54 1.54 $348,993.00 $0.00 $348,993.00
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X. FEES COLLECTED FOR PROCESSING REQUESTS 

Agency / Component Total Amount of Fees 

Collected 

Percentage of Total 

Costs 

FMC $0.00 0.00%

AGENCY OVERALL $0.00 0.00%

 

 

 

 
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XI.A. NUMBER OF TIMES SUBSECTION USED 

Agency / Component Number of Times Subsection Used 

FMC 0

AGENCY OVERALL 0

 

 

 

 
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XI.B. NUMBER OF SUBSECTION POSTINGS 

Agency / Component 

Number of Records 

Posted by the FOIA 

Office 

Number of Records 

Posted by Program 

Offices 

FMC 6 54

AGENCY OVERALL 6 54

 

 

 

 
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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 

FMC 2 0

AGENCY OVERALL 2 0

 

 

 

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

PENDING CONSULTATIONS

Agency / Component 

Number of 

Consultations Received 

from Other Agencies 

that were Pending at the 

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 

the Agency During the 

Fiscal Year 

Number of 

Consultations Received 

from Other Agencies 

that were Pending at the 

Agency as of End 

of the Fiscal Year 

FMC 0 0 0 0

AGENCY OVERALL 0 0 0 0

 

 

 

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

Agency / 

Component 

10th Oldest 

Consultation 9th 8th 7th 6th 5th 4th 3rd 

Date 

Number of Days 

AGENCY 

OVERALL 

Date N/A N/A N/A N/A N/A N/A N/A N/

Number of Days 0 0 0 0 0 0 0 
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XII.D.(1). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL RE

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

FMC 27 35 36 33

AGENCY OVERALL 27 35 36 33
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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 

FMC 2 2

AGENCY OVERALL 2 2

 

 

 

 
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XII.E.(1). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURREREPORT -- 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

FMC 0 0 0 0

AGENCY OVERALL 0 0 0 0
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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 

FMC 0 0

AGENCY OVERALL 0 0