FMSHRC 2021 Annual FOIA Report

Section I: Basic Information Regarding Report

1. Provide name, title, address, and telephone number of person(s) to be contacted with questions about the Report.

Stacey Demps-Barrett, Esq. 

Chief FOIA Officer

Office of the General Counsel

Federal Mine Safety and Health Review Commission

1331 Pennsylvania Avenue, NW, Suite 520N

Washington, DC 20004-1710

Tel: 202-434-9939

2. Provide an electronic link for access to the Report on the agency Web site.

https://www.fmshrc.gov/content/2021-annual-foia-report

3. Explain how to obtain a copy of the Report in paper form.

Anyone seeking a paper copy of the Commission’s report contained herein may visit the Commission’s website and print the report, at 

no cost, at https://www.fmshrc.gov/content/2021-annual-foia-report. They may also visit our website at 

https://www.fmshrc.gov/foia/foia-request-form and submit a FOIA Request. Copy fees may apply.

Section II: Making a FOIA Request

1. Provide names, addresses, and telephone numbers of all individual agency components that receive FOIA requests.

Federal Mine Safety and Health Review Commission
Office of the General Counsel

1331 Pennsylvania Avenue, NW, Suite 520N

Washington, DC 20004-1710

Tel: 202-434-9944

2. Provide a brief description of why some requests are not granted and an overview of certain general categories of the agency's records 

to which the FOIA exemptions apply.

In most instances where requests received at FMSHRC are not granted it is because there are no responsive records. There are several 

categories of records contained here at the agency in which exemptions may apply, including, but not limited to, case files containing 

sensitive or personal information of a miner (Exemption 6), records pertaining to advice provided to FMSHRC by its Office of the 

General Counsel (Exemption 5), and records discussing internal personnel issues within the agency (Exemption 2). 

3. Provide a functional electronic link to agency FOIA regulations, including the agency's fee schedule. (NOTE: Agency FOIA Regulations 

were formerly listed at Section XI of the human-readable version of the Report).

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

https://www.fmshrc.gov/guides/foia-guide

Section III: Acronyms, Definitions, and Exemptions

1. Include the following 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 or 

component within the same 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 or component within the same 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.

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).

2. Include the following concise descriptions of the nine FOIA exemptions:

a. Exemption 1: classified national defense and foreign relations information

b. Exemption 2: information that is related solely to the internal personnel rules and practices of an agency

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

FMSHRC Federal Mine Safety and Health Review 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

N/A N/A N/A FMSHRC 0 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 0 42 40 2

AGENCY OVERALL 0 42 40 2
After reviewing its database, FMSHRC adjusted the number of requests pending as of the 

start of the Fiscal Year.

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

FMSHRC 26 4 0 5 0 0 0 1 1 0 0 3 40

AGENCY 

OVERALL 26 4 0 5 0 0 0 1 1 0 0 3 40

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 Directed requester to another entity subject to 

the FOIA 2 3
Directed requester to publicly available 

information 1

AGENCY 

OVERALL 3

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 1 0 1 0 3 0 0 0 0 0 0 0 0

AGENCY 

OVERALL 0 1 0 1 0 3 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 0 0 0
AGENCY 

OVERALL 0 0 0 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 0 0 0 0

AGENCY 

OVERALL 0 0 0 0 0

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 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
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

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

FMSHRC N/A N/A N/A N/A

AGENCY 

OVERALL N/A N/A N/A N/A

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

Agency / 

Component

10th 

Oldest 

Appeal

9th 8th 7th 6th 5th 4th 3rd 2nd Oldest 

Appeal

FMSHRC

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
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

FMSHRC 1 2.5 1 13 33 44 2 145 N/A N/A N/A N/A

AGENCY 

OVERALL 1 2.5 1 13 33 44 2 145 N/A N/A N/A N/A

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

SIMPLE COMPLEX EXPEDITED PROCESSING
Agency / 

Component

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

FMSHRC 1 2.3 1 13 33 48.4 2 145 N/A N/A N/A N/A

AGENCY 

OVERALL 1 2.3 1 13 33 48.4 2 145 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

FMSHRC 30 0 0 0 0 0 0 0 0 0 0 0 0 30

AGENCY 

OVERALL 30 0 0 0 0 0 0 0 0 0 0 0 0 30

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 2 2 2 0 0 0 0 1 0 0 0 0 0 7

AGENCY 

OVERALL 2 2 2 0 0 0 0 1 0 0 0 0 0 7

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 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

FMSHRC 0 N/A N/A 2 47 47 0 N/A N/A
AGENCY 

OVERALL 0 N/A N/A 2 47 47 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

FMSHRC

Date of 

Receipt N/A N/A N/A N/A N/A N/A N/A N/A

2021-

08-16

2021-

08-16

Number 

of Days 

Pending 0 0 0 0 0 0 0 0 32 32

AGENCY 

OVERALL

Date of 

Receipt N/A N/A N/A N/A N/A N/A N/A N/A

2021-

08-16

2021-

08-16

Number 

of Days 

Pending 0 0 0 0 0 0 0 0 32 32

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

FMSHRC 0 1 1 1 1

AGENCY 

OVERALL 0 1 1 1 1

VIII.B. Requests for Fee Waiver

Agency / 

Component

Number 

Granted Number Denied

Median Number 

of Days to 

Adjudicate

Average 

Number of Days 

to Adjudicate

FMSHRC 2 0 24 24

AGENCY 

OVERALL 2 0 24 24

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 "FullTime FOIA 

Staff"

Processing 

Costs

LitigationRelated 

Costs

Total Costs

FMSHRC 0 1.00 1.00 125000.00 0.00 125000.00

AGENCY 

OVERALL 0 1.00 1.00 125000.00 0.00 125000.00

X. Fees Collected for Processing Requests

Agency / 

Component

Total Amount 

of Fees 

Collected

Percentage of 

Total Costs

FMSHRC 305.00 0.2400

AGENCY 

OVERALL 305.00 0.2400
XI.A. Number of Times Subsection (C) Used

Agency / 

Component Number of Times Subsection Used

FMSHRC 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

FMSHRC 5 140

AGENCY 

OVERALL 5 140

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 2 0

AGENCY 

OVERALL 2 0

We had two backlogged requests as of the end of the current fiscal year, as stated in 

section VII.D (Complex). I'm not sure why it's getting a red flag?

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

FMSHRC 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

FMSHRC

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

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 39 42 39 40

AGENCY 

OVERALL 39 42 39 40

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 2

AGENCY 

OVERALL 0 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 

Number 

Received During 

Number 

Processed 

Number 

Processed 
Fiscal Year from 

Last Year's 

Annual Report

Fiscal Year from 

Current Annual 

Report

During Fiscal 

Year from Last 

Year's Annual 

Report

During Fiscal 

Year from 

Current Annual 

Report

FMSHRC 0 0 0 0

AGENCY 

OVERALL 0 0 0 0

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