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          2009 Annual FOIA Report
    2009 Annual FOIA Report
 FEDERAL MINE SAFETY AND HEALTH REVIEW COMMISSION
ANNUAL FOIA REPORT
FY 2009

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 Officer
601 New Jersey Avenue N.W., Suite 9500
Washington, D.C. 20001
ph: (202) 434-9930
fx: (202) 434-9944
email: fmshrc@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.
a. 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.
b. 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.
c. 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 information
2. Exemption 2:  internal agency rules and practices
3. Exemption 3:  information that is prohibited from disclosure by another federal law
4. Exemption 4:  trade secrets and other confidential business information
5. Exemption 5:  inter-agency or intra-agency communications that are protected by legal privileges
6. Exemption 6:  information involving matters of personal privacy
7. 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
8. Exemption 8:  information relating to the supervision of financial institutions
9. Exemption 9:  geological information on wells

IV. Exemption 3 Statutes
A. List of Exemption 3 statutes relied on by agency during current fiscal year.
Statute
Type of Information Withheld
Case Citation
Number of Times Relied upon per Component
Total Number of Times Relied upon by AgencyN/A
N/A
N/A
0
0

V. FOIA Requests
A. Received, Processed and Pending FOIA Requests
Column 1
Column 2
Column 3
Column 4Number 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 YearAGENCY  OVERALL
2
46
47
1

B. (1) Disposition of FOIA Requests – All Processed Requests
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 ExemptionsNo Records
All Records Referred to Another Component or Agency
Request Withdrawn
Fee-Related Reason
Records not Reasonably Described
Improper FOIA Request for Other Reason
Not Agency Record
Duplicate Request
Other
*Explain in chart below
TOTALAGENCY   OVERALL
41
0
0
51
0
0
0
0
0
0
0
0
47

B. (2) Disposition of FOIA Requests – “Other” Reasons for “Full Denials Based on Reasons Other than Exemptions” from Section V, B (1) Chart

Description of “Other” Reasons for Denials from Chart B (1) & Number of Times Those Reasons Were Relied upon
TOTALN/A
0
B. (3)   Disposition of FOIA Requests – Number of Times Exemptions Applied
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.9AGENCY  OVERALL
0
0
0
0
0
0
0
0
0
0
0
0
0

VI. ADMINISTRATIVE Appeals of Initial DETERMINATIONS of FOIA Requests

A. Received, Processed and Pending Administrative Appeals
Column 1
Column 2
Column 3
Column 4Number 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 Year0
0
0
0
B. Disposition of Administrative Appeals – All Processed Appeals
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
TOTAL0
0
0
0
0
C. (1) Reasons for Denial on Appeal – Number of Times Exemptions Applied
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.90
0
0
0
0
0
0
0
0
0
0
0
0
0
C. (2) Reasons for Denial on Appeal – Reasons Other than Exemptions
No Records
Records Referred at Initial Request Level
Request Withdrawn
Fee-Related 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 below0
0
0
0
0
0
0
0
0
0
0
C. (3) Reasons for Denial on Appeal – “Other” Reasons from Section VI, C (2) Chart
Description of “Other” Reasons for Denial on Appeal from Chart C (2) & Number of Times Those Reasons Were Relied upon
TOTALN/A
0
C. (4) Response Time for Administrative Appeal
Median Number of Days
Average Number of Days
Lowest Number of Days
Highest Number of Days0
0
0
0
C. (5) Ten Oldest Pending Administrative Appeals
10th Oldest Appeal
9th
8th
7th
6th
5th
4th
3rd
2nd
Oldest AppealDate of  Receipt of Ten Oldest Appeals
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/ANumber of Days Pending
0
0
0
0
0
0
0
0
0
0
VII. FOIA REQUESTS:  RESPONSE TIME FOR PROCESSED and Pending Requests

A. Processed Requests – Response Time for All Processed Perfected Requests
Simple
Complex
Expedited processingMedian 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 DaysAGENCY OVERALL
5
6
<1
20
0
0
0
0
0
0
0
0
B. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted
Simple
Complex
Expedited PROCESSINGMedian 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 DaysAGENCY OVERALL
4
7
<1
20
0
0
0
0
0
0
0
0

C. Processed Requests – Response Time in Day Increments
Simple Requests
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
TOTALAGENCY OVERALL
47
0
0
0
0
0
0
0
0
0
0
0
0
47
Complex Requests
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
TOTALAGENCY OVERALL
0
0
0
0
0
0
0
0
0
0
0
0
0
0
Requests Granted Expedited Processing
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
TOTALAGENCY OVERALL
0
0
0
0
0
0
0
0
0
0
0
0
0
0

D. Pending Requests – All Pending Perfected Requests
Simple
Complex
Expedited PROCESSINGNumber 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 DaysAGENCY OVERALL
1
8
8
0
0
0
0
0
0
E. Pending Requests – Ten Oldest Pending Perfected Requests
10th Oldest Request and Number of Days Pending
9th
8th
7th
6th
5th
4th
3rd
2nd
Oldest Request and Number of Days PendingAGENCY OVERALL
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
N/A
9/21/09
8

VIII. REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE WAIVER


A. Requests for Expedited Processing
Number Granted
Number  Denied
Median Number of Days to Adjudicate
Average Number of Days to Adjudicate
Number Adjudicated Within Ten Calendar DaysAGENCY OVERALL
0
0
0
0
0
B. Requests for Fee Waiver
Number Granted
Number  Denied
Median Number of Days to Adjudicate
Average Number of Days to AdjudicateAGENCY OVERALL
0
0
0
0

IX. FOIA PERSONNEL AND COSTS
A. Personnel
B. Costs

PERSONNEL
CostsNumber of “Full-Time FOIA Employees”
Number of “Equivalent Full-Time FOIA Employees”
Total Number of “Full-Time FOIA Staff”
(The sum of Columns 1 & 2)
Processing Costs
(At initial request and appeal levels)
Litigation-Related Costs
Total  CostsAGENCY OVERALL
0
0.10
0.10
$12,000
0
$12,000
X. FEES COLLECTED FOR PROCESSING REQUESTS
Total Amount of Fees Collected
Percentage of Total CostsAGENCY OVERALL
$64.30
0.54
XI. FOIA REGULATIONS
http://www.fmshrc.gov/rules/29cfr2702_01.html

XII. BACKLOGS, CONSULTATIONS, AND COMPARISONS
A. Backlogs of FOIA Requests and Administrative Appeals
Number of Backlogged Requests as of End of Fiscal Year
Number of Backlogged Appeals as of End of Fiscal YearAGENCY OVERALL
0
0
B. Consultations on FOIA Requests – Received, Processed, and Pending Consultations
Number of Consultations Received from Other Agencies that Were Pending at Your 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 Your Agency During the Fiscal Year
Number of Consultations Received from Other Agencies that Were Pending at Your Agency as of End of the Fiscal YearAGENCY OVERALL
0
0
0
0

C. Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies and Pending at Your Agency
10th Oldest Consultation and Number of Days Pending
9th
8th
7th
6th
5th
4th
3rd
2nd
Oldest Consultation and Number of Days PendingAgency Overall
0
0
0
0
0
0
0
0
0
0
D. Comparison of Numbers of Requests from Previous and Current Annual Report – Requests Received, Processed, and Backlogged
NUMBER OF REQUESTS RECEIVED
NUMBER OF REQUESTS PROCESSEDNumber 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 ReportAGENCY OVERALL
61
46
59
47
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 OVERALL
0
0
E. Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report – Appeals Received, Processed, and Backlogged
NUMBER OF APPEALS RECEIVED
NUMBER OF APPEALS PROCESSEDNumber 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 ReportAGENCY OVERALL
0
0
0
0
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 ReportAGENCY OVERALL
0
0

F. Discussion of Other FOIA Activities
FMSHRC has increased its processing of requests electronically where possible.  Many requests are received via email.  Documents are electronically submitted via email, reducing paperwork and shortening processing time.
      
  Date
              Thursday, January 1, 2009
 
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