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-                   2011 Annual FOIA Report              

#   2011 Annual FOIA Report

## FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION

## ANNUAL FOIA REPORT

## FY 2011

 

### 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 Officer601 New Jersey Avenue N.W., Suite 9500Washington, D.C. 20001ph: (202) 434-9930fx: (202) 434-9944email: foia@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.
                      - 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.
                      - 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.
                      - 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 information2. Exemption 2:  internal agency rules and practices3. Exemption 3:  information that is prohibited from disclosure by another federal law4. Exemption 4:  trade secrets and other confidential business information5. Exemption 5:  inter-agency or intra-agency communications that are protected by legal privileges6. Exemption 6:  information involving matters of personal privacy7. 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 individual8. Exemption 8:  information relating to the supervision of financial institutions9. Exemption 9:  geological information on wells

### IV. Exemption 3 Statutes

#### A. List of Exemption 3 statutes relied on by agency during current fiscal year.

 

### 
V. FOIA RequestsA.  Received, Processed and Pending FOIA Requests 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  OVERALL11851824
 

B. (1) Disposition of FOIA Requests – All Processed Requests Number of Full GrantsNumber of Partial Grants/Partial Denials Number of Full Denials Based on ExemptionsNumber of Full Denials Based on Reasons Other than Exemptions     No RecordsAll Records Referred to Another Component or AgencyRequest WithdrawnFee-Related ReasonRecords not Reasonably DescribedImproper FOIA Request for Other ReasonNot Agency RecordDuplicate RequestOther *Explain in chart belowTOTALAGENCY OVERALL17300504000000182
B. (2) Disposition of FOIA Requests – “Other” Reasons for “Full Denials Based on Reasons Other than Exemptions” from Section V, B (1) ChartDescription of “Other” Reasons for Denials from Chart B (1) & Number of Times Those Reasons Were Relied uponTOTALN/A0
 
B. (3) Disposition of FOIA Requests – Number of Times Exemptions Applied Ex.1Ex.2Ex.3Ex.4Ex.5Ex.6Ex.7(A)Ex.7(B)Ex.7(C)Ex.7(D)Ex.7(E)Ex.7(F)Ex.8Ex.9AGENCY OVERALL00000000000000
VI. ADMINISTRATIVE Appeals of Initial DETERMINATIONS of FOIA RequestsA. Received, Processed and Pending Administrative AppealsNumber of Appeals Pending as of Start of Fiscal YearNumber of Appeals Received in Fiscal YearNumber of Appeals Processed in Fiscal YearNumber of Appeals Pending as of End of Fiscal Year0000B. Disposition of Administrative Appeals – All Processed AppealsNumber Affirmed on AppealNumber Partially Affirmed & Partially Reversed/Remanded on AppealNumber Completely Reversed/Remanded on AppealNumber of Appeals Closed for Other ReasonsTOTAL00000C. (1) Reasons for Denial on Appeal – Number of Times Exemptions AppliedEx.1Ex.2Ex.3Ex.4Ex.5Ex.6Ex.7(A)Ex.7(B)Ex.7(C)Ex.7(D)Ex.7(E)Ex.7(F)Ex.8Ex.900000000000000
 
C. (2) Reasons for Denial on Appeal – Reasons Other than ExemptionsNo RecordsRecords Referred at Initial Request LevelRequest WithdrawnFee-Related ReasonRecords not Reasonably DescribedImproper Request for Other ReasonsNot Agency RecordDuplicate Request or AppealRequest in  LitigationAppeal Based Solely on Denial of Request for Expedited Processing
Other

*Explain in chart below
00000000000
C. (3) Reasons for Denial on Appeal – “Other” Reasons from Section VI, C (2) ChartDescription of “Other” Reasons for Denial on Appeal from Chart C (2) & Number of Times Those Reasons Were Relied uponTOTALN/A0
 
C. (4) Response Time for Administrative AppealMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of Days0000
 

C. (5) Ten Oldest Pending Administrative Appeals 10th Oldest Appeal9th8th7th6th5th4th3rd2ndOldest AppealDate of  Receipt of Ten Oldest AppealsN/AN/AN/AN/AN/AN/AN/AN/AN/AN/ANumber of Days Pending0000000000
 
VII. FOIA REQUESTS:  RESPONSE TIME FOR PROCESSED and Pending Requests
 
A. Processed Requests – Response Time for All Processed Perfected Requests SimpleComplexExpedited processing Median Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of Days
 

Median Number of Days
Average Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of Days
 

Average Number of Days
Lowest Number of Days
 

Highest Number of Days
AGENCY OVERALL13.3<1361112.58200000
 
B. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted SimpleComplexExpedited PROCESSING Median Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of DaysHighest Number of DaysMedian Number of DaysAverage Number of DaysLowest Number of Days
 

Highest Number of Days
AGENCY OVERALL13<1261112.58200000
 
C. Processed Requests – Response Time in Day IncrementsSimple Requests 1-20 Days21-40   Days41-60 Days61-80 Days81-100 Days101-120 Days121-140 Days141-160 Days161-180 Days181-200 Days201-300 Days301-400 Days401+ DaysTOTALAGENCY OVERALL174400000000000178Complex Requests 1-20 Days21-40 Days41-60 Days61-80 Days81-100 Days101-120 Days121-140 Days141-160 Days161-180 Days181-200 Days201-300 Days301-400 Days401+ DaysTOTALAGENCY OVERALL40000000000004
 
Requests Granted Expedited Processing 1-20 Days21-40 Days41-60 Days61-80 Days81-100 Days101-120 Days121-140 Days141-160 Days
 

161-180 Days
 
181-200 Days
201-300 Days
 

301-400 Days
401+ DaysTOTALAGENCY OVERALL00000000000000D. Pending Requests – All Pending Perfected Requests SimpleComplexExpedited PROCESSING Number PendingMedian Number of DaysAverage  Number of DaysNumber PendingMedian Number of DaysAverage Number of DaysNumber PendingMedian Number of DaysAverage Number of DaysAGENCY OVERALL48.58000000E. Pending Requests – Ten Oldest Pending Perfected Requests 10th Oldest Request and Number of Days Pending9th8th7th 6th 5th4th3rd2ndOldest Request and Number of Days PendingAGENCY OVERALLN/AN/AN/AN/AN/AN/A
 

9/30/11

1

 

9/23/11

6
 
9/22/11

11
 
9/17/11

14
VIII. REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVER                                                                          A. Requests for Expedited Processing Number GrantedNumber  DeniedMedian Number of Days to Adjudicate
 

Average Number of Days to Adjudicate
Number Adjudicated Within Ten Calendar DaysAGENCY OVERALL00000
 
B. Requests for Fee Waiver Number GrantedNumber  DeniedMedian Number of Days to AdjudicateAverage Number of Days to AdjudicateAGENCY OVERALL0000
 
IX. FOIA PERSONNEL AND COSTSA. PersonnelB. Costs PERSONNELCosts 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
AGENCY OVERALL00.500.50$110,0000
 

$110,000

 
X. FEES COLLECTED FOR PROCESSING REQUESTS Total Amount of Fees CollectedPercentage of Total CostsAGENCY OVERALL$537.900.49
 

 

 
XI. FOIA REGULATIONS
http://www.fmshrc.gov/rules/29cfr2702_01.html

XII. BACKLOGS, CONSULTATIONS, AND COMPARISONSA. Backlogs of FOIA Requests and Administrative Appeals     Number of Backlogged Requests as of End of Fiscal YearNumber of Backlogged Appeals as of End of Fiscal YearAGENCY OVERALL00B. Consultations on FOIA Requests – Received, Processed, and Pending Consultations 
Number of Consultations Received from Other Agencies that Were Pending at FMSHRC 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 FMSHRC During the Fiscal Year
Number of Consultations Received from Other Agencies that Were Pending at FMSHRC as of End of the Fiscal YearAGENCY OVERALL0000
 
C. Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency 10th Oldest Consultation and Number of Days Pending9th8th7th 6th5th4th3rd2nd Oldest Consultation and Number of Days PendingAgency Overall0000000000
 

 

 
D. Comparison of Numbers of Requests from Previous and Current Annual Report – Requests Received, Processed, and Backlogged NUMBER OF REQUESTS RECEIVEDNUMBER 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 OVERALL9818598182  
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 ReportAGENCY OVERALL00E. Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogge NUMBER OF APPEALS RECEIVEDNUMBER OF APPEALS PROCESSED Number Received During Fiscal Year from Last Year’s Annual ReportNumber Received During Fiscal Year from Current Annual ReportNumber Processed During Fiscal Year from Last Year’s Annual Report
 

Number Processed During Fiscal Year from Current Annual Report
AGENCY OVERALL0000
 
  
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 OVERALL00
 
F. Discussion of Other FOIA Activities
 

FMSHRC again saw a doubling of the total number of FOIA requests received and processed by the agency during the current fiscal year.  Despite the increased workload and the same number of agency employees handling FOIA requests as a part-time function of their duties, FMSHRC continues to treat FOIA requests with the same priority in handling and thus has continued to meet the statutory deadline for responding to requests in a very high percentage of cases (98% on-time response).  As a small agency, this is a very demanding task.  Our efficient processing and proficient handling of requests has brought many accolades from requesters.  FMSHRC continues to process FOIA requests electronically when possible, receiving a large percentage of requests via email and submitting documents electronically via email if possible.  This reduces paperwork and costs to both the agency and requesters, and shortens the processing time.
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