Federal Maritime Commission Freedom of 

Information Act Annual Report

October 1, 2017 to September 30, 2018

I. BASIC INFORMATION REGARDING REPORT

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

about the report: 

Linda Hale, FOIA Specialist

Federal Maritime Commission

800 N. Capitol St NW

Washington DC 20573

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, 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 in FY 18, many are granted either full or 

partial access to Commission records. Most of the requests not granted are 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. §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. For example, when Ocean Transportation Intermediary 

application information is requested, we protect the information such as social security 

numbers, place of birth and citizenship information.

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. 

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).

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
3. Agency Component Abbreviations

Component Abbreviation Component Name

FMC Federal Maritime Commission
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

26 U.S.C. §§ 6103, 6105 

(Internal Revenue Code)

Certain tax return information, to 

include 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); Leonard v.

U.S. Dep’t of Treasury, 590 F.

App’x. 141, 143-44 (3d Cir.

2014) (per curiam); Pac.

Fisheries, Inc. v. IRS, 395 F.

App’x. 438, 440 (9th Cir. 2010)

(unpublished disposition) (26

U.S.C. §§ 6103, 6105); Tax

Analysts v. IRS, 217 F. Supp.

2d 23, 27-29 (D.D.C. 2002)

(26 U.S.C. § 6105).

FMC 2

2

0

46 U.S.C. § 40502(b)(1) Service contracts entered into by an 

individual ocean common carrier or 

an agreement

N/A FMC 1

1

5 U.S.C. app. 3 § 7(b) Names of employees who provide 

information or complaints to the 

Inspector General

N/A FMC 1

1
46 U.S.C. § 42105 Certain information submitted to 

FMC regarding shipping and foreign 

trade

N/A FMC1

1

46 U.S.C. § 42303(c) Certain reports or information 

regarding foreign shipping practices 

ordered by FMC

N/A FMC1

1
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 5 26 28 3

0

AGENCY OVERALL 5 26 28 3
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

Other 

*Explain 

in Chart 

Below

TOTAL

FMC 6 8 3 10 0 1 0 0 0 0 0 0 28

0

AGENCY 

OVERALL 6 8 3 10 0 1 0 0 0 0 0 0 28
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
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

FMC 0 0 4 4 5 7 1 0 1 2 1 0 0 0

AGENCY 

OVERALL 0 0 4 4 5 7 1 0 1 2 1 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

FMC 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

FMC 1 0 0 0 1

0

AGENCY OVERALL 1 0 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

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

AGENCY 

OVERALL 0 0 1 0 1 0 1 0 1 1 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

FeeRelated 

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

FMC 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

FMC 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 15.00 15.00 15.00 15.00
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 3.5 3.7 <1 7 25 37.9 3 108 N/A N/A N/A N/A
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 6 5.25 2 7 29.5 52.2 16 108 N/A N/A N/A N/A
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

FMC 10 0 0 0 0 0 0 0 0 0 0 0 0 10

0

AGENCY 

OVERALL 10 0 0 0 0 0 0 0 0 0 0 0 0 10
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

FMC 7 5 2 0 3 1 0 0 0 0 0 0 0 18

0

AGENCY 

OVERALL 7 5 2 0 3 1 0 0 0 0 0 0 0 18
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

FMC 0 0 0 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 0 0
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 0 N/A N/A 3 22 25 0 N/A N/A
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 N/A N/A2018-09-182018-08-282018-07-26

Number of Days 

Pending 0 0 0 0 0 0 0 8 22 45
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 0 2 3 3 2
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 0 0
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 1.02 2.02 $479,103.76 $0.00 $479,103.76

0 $0.00

AGENCY 

OVERALL 1 1.02 2.02 $479,103.76 $0.00 $479,103.76
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%
XI.A. NUMBER OF TIMES SUBSECTION (C) USED

Agency / Component Number of Times Subsection Used

FMC 0

AGENCY OVERALL 0
XI.B. NUMBER OF SUBSECTION (A)(2) POSTINGS

Agency / Component

Number of Records 

Posted by the FOIA 

Office

Number of Records 

Posted by Program 

Offices

FMC 0 12

AGENCY OVERALL 0 12
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
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

0

AGENCY OVERALL 0 0 0 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

FMC 35 26 33 28

AGENCY OVERALL 35 26 33 28
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
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

FMC 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

FMC 0 0

AGENCY OVERALL 0 0