Pension Benefit Guaranty Corporation

2023

Chief FOIA Officer’s Report

Chief FOIA Officer: Paul Chalmers

Disclosure Officer: D. Camilla Perry
2

INTENTIONALLY LEFT BLANK
3

Contents

About PBGC................................................................................................................................................. 4

Our Customers.............................................................................................................................................. 5

Section I: FOIA Leadership and Applying the Presumption of Openness............................................ 6

A. Leadership Support for FOIA ....................................................................................................... 6

B. Presumption of Openness............................................................................................................... 6

Section II: Ensuring Fair and Effective FOIA Administration.............................................................. 7

Section III. Proactive Disclosures............................................................................................................ 14

Section IV: Steps Taken to Greater Utilize Technology........................................................................ 17

Section V: Steps Taken to Remove Barriers to Access, Improve Timeliness in Responding to 

Requests, and Reduce Backlogs............................................................................................................... 19

A. Remove Barriers to Access........................................................................................................... 19

B. Timeliness ...................................................................................................................................... 20

C. Backlogs ............................................................................................................................................ 21

BACKLOGGED REQUESTS.......................................................................................................................................... 21

BACKLOGGED APPEALS.............................................................................................................................................. 21

D. Backlog Reduction Plans................................................................................................................. 22

E. Reducing the Age of Requests, Appeals, and Consultations........................................................ 23

TEN OLDEST REQUESTS .............................................................................................................................................. 23

TEN OLDEST APPEALS.................................................................................................................................................. 23

TEN OLDEST CONSULTATIONS ............................................................................................................................... 24

ADDITIONAL INFORMATION REGARDING TEN OLDEST......................................................................... 24

F. Additional Information about FOIA Processing ........................................................................... 24
4

About PBGC

The Pension Benefit Guaranty Corporation (PBGC or the Corporation) protects the retirement 

security of over 33 million American workers, retirees, and beneficiaries in single-employer and 

multiemployer private sector pension plans. The pension benefits of these participants are valued 

at more than $3 trillion. The Corporation’s two insurance programs are legally separate and 

operationally and financially independent. 

The Single-Employer Program is financed by insurance premiums, investment income, and 

recoveries from companies formerly responsible for the plans. Congress sets PBGC premium 

rates. 

The Multiemployer Program is financed by premiums and investment income. The American 

Rescue Plan (ARP) Act of 2021 — a historic law passed by Congress and signed by President 

Biden on March 11, 2021 — established the Special Financial Assistance (SFA) Program for 

eligible financially troubled multiemployer plans. 

The SFA Program is financed by general taxpayer funds provided by the U.S. Treasury. 

Additionally, the law addresses the solvency of the Multiemployer Program, which was 

projected to become insolvent in 2026. The SFA Program is expected to provide financial 

assistance to more than 250 eligible plans covering over 3 million people. Upon approval of an 

application, PBGC will make a lump-sum payment to an eligible multiemployer plan to enable 

the plan to pay benefits at plan levels. SFA also assists plans by providing funds to reinstate 

previously suspended benefits and repay financial assistance received from PBGC’s 

Multiemployer Program.
5

Our Customers1

PBGC operates two separate insurance programs for defined benefit plans. PBGC’s singleemployer program guarantees basic pension benefits when covered underfunded plans terminate. 

By contrast, in the multiemployer program, the insured event is plan insolvency. 

Today, PBGC has responsibility for the pensions of over 33 million people in about 25,000 

single- employer and multiemployer pension plans that could not pay promised benefits. PBGC 

pays approximately $7 billion annually in pension benefits, either directly or through financial 

assistance to multiemployer plans. PBGC serves a range of customers with disparate interests 

and expectations. First are the estimated 1.5 million people whose present and future pension 

benefits depend on the Corporation. Participants in plans now administered by PBGC depend on 

PBGC for their retirement security and expect quick, accurate benefit determinations and 

prompt, uninterrupted benefit payments. PBGC's customers also include the companies with 

PBGC-insured plans and the pension professionals who assist them. They expect PBGC to 

process their premium payments, dispense reliable advice and rulings, and resolve issues 

affecting their plans quickly and responsively promptly and accurately. 

PBGC also serves a range of customers interested in retirement planning and pension plans, such 

as Congress, Federal Agencies and State Government, General Public, Media, PBGC Employees 

and Contractors.

1 See PBGC Fact Sheets: https://www.pbgc.gov/about/factsheets
6

Section I: FOIA Leadership and Applying the Presumption of 

Openness

The guiding principle underlying the Attorney General’s FOIA Guidelines is the presumption of 

openness. The Guidelines also highlight the importance of agency leadership in ensuring 

effective FOIA administration. Please answer the following questions about FOIA leadership at 

your agency and describe the steps your agency has taken to ensure that the presumption of 

openness is being applied to all decisions involving the FOIA.

A. Leadership Support for FOIA

1. The FOIA requires each agency to designate a Chief FOIA Officer who is a senior official at 

least at the Assistant Secretary or equivalent level. See 5 U.S.C. § 552(j)(1) (2018). Is your 

agency’s Chief FOIA Officer at or above this level?

Yes. The Chief FOIA Officer is a Senior Level Leader who also serves as a Department 

Director, Deputy General Counsel, Senior Agency Official for Privacy (SAOP) and the 

Designated Agency Ethics Official (DAEO).

2. Please provide the name and title of your agency’s Chief FOIA Officer.

Paul Chalmers, Deputy General Counsel, Chief FOIA Officer SAOP, DAEO.

3. What steps has your agency taken to incorporate FOIA into its core mission? For example, 

has your agency incorporated FOIA milestones into its strategic plan?

PBGC’s agency-wide commitment to strengthening transparency and disclosure are 

incorporated into PBGC’s core mission and highlighted in the Agency’s 2022 Annual 

Report. Every employee is responsible for ensuring compliance with the FOIA and 

working to fulfill the goals of the Open Government Initiative in the following ways: 

transparency, participation, and collaboration. 

B. Presumption of Openness

4. The Attorney General’s 2022 FOIA Guidelines provides that “agencies should confirm in 

response letters to FOIA requesters that they have considered the foreseeable harm standard 

when reviewing records and applying FOIA exemptions.” Does your agency provide such 

confirmation in its response letters? 

Yes, PBGC includes a statement in disclosure determination letters confirming it has

considered the foreseeable harm standard upon invoking any relevant FOIA exemption(s). 

5. In some circumstances, agencies may respond to a requester that it can neither confirm nor 

deny the existence of requested records if acknowledging the existence of records would harm an 

interested protected by a FOIA exemption. This is commonly referred to as 

a Glomar response. With respect to these responses, please answer the below questions:
7

a. In addition to tracking the asserted exemption, does your agency specifically track 

whether a request involved a Glomar response?

N/A. PBGC has never issued a Glomar response. 

 b. If yes, please provide:

i. the number of times your agency issued a full or partial Glomar response 

(separate full and partial if possible).

N/A. 

ii. the number of times a Glomar response was issued by exemption (e.g., 

Exemption 7(C) – 20 times, Exemption 1 – 5 times).

N/A.

 c. If your agency does not track the use of Glomar responses, what would your agency need 

to do to track in the future? If possible, please describe the resources and time involved.

While PBGC does not issue Glomar responses, it has the capability to track

Glomar responses in its FOIA processing system and recordkeeping

processes if this becomes necessary.

6. Optional -- If there are any other initiatives undertaken by your agency to ensure that the 

presumption of openness is being applied, please describe them here.

N/A.

Section II: Ensuring Fair and Effective FOIA Administration

The Attorney General’s FOIA Guidelines provide that “[e]nsuring fair and effective FOIA 

administration requires . . . proper training, and a full understanding of FOIA obligations by the 

entire agency workforce.”  The Guidelines reinforce longstanding guidance to “work with FOIA 

requesters in a spirit of cooperation.”  The Attorney General also “urge[s] agency Chief FOIA 

Officers to undertake comprehensive review of all aspects of their agency’s FOIA 

administration” as part of ensuring fair and effective FOIA administration.    

A. FOIA Training

1. The FOIA directs agency Chief FOIA Officers to ensure that FOIA training is offered to 

agency personnel.  See 5 U.S.C. § 552(a)(j)(2)(F).  Please describe the efforts your agency has 

undertaken to ensure proper FOIA training is made available and used by agency personnel. 

PBGC has ensured proper FOIA training is made available and used by agency personnel. 

The Disclosure Division provides FOIA training to all newly hired PBGC federal 

employees during orientation, expressing PBGC’s commitment to transparency and 

compliance with FOIA. All PBGC employees are required to complete records 

management training annually, which includes FOIA requirements and procedures.

Additionally, all PBGC employees have access to on-demand training modules acquired 
8

from the Department of Justice; this training is available through the agency’s web-based 

training application, FedTalent. 

2. Did your FOIA professionals or the personnel at your agency who have FOIA responsibilities 

attend substantive FOIA training during the reporting period such as that provided by the 

Department of Justice?

Yes. During the 2022 calendar year, PBGC held or attended over 50 trainings related to the

corporation’s FOIA mission. 

3. If yes, please provide a brief description of the type of training attended or conducted and the 

topics covered.

Training Sessions Topics Covered Date Administered

Division (Internal) 

Training:

The Division conducts and 

attends periodic training on a 

variety of topics to ensure 

efficient and accurate 

processing of FOIA requests.

Disclosure Division Business 

Model

January 12, 2022

FOIA Exemption 4 January 26, 2022

Grammar Gremlins February 2, 2022

TWG Memorandums-An 

Appeal Discussion

February 3, 2022

Disclosure Division Derailers 

and Solutions

February 9, 2022

Fear and Critical Thinking February 16, 2022

Business Process Training March 2, 2022

Fee Waivers March 9, 2022

FOIA Exemption 6 March 16, 2022

Overview of System of RecordSpectrumMay 2, 2022

Green Team Onboarding 

Training-Income Verifications

May 3, 2022

Privacy Act/FOIA-Income 

Verifications

May 3, 2022

Exemption 6 May 9, 2022

Yellow Team Onboarding 

Training- 3rd Party Requests

May 10, 2022

Privacy Act/FOIA-QDROs May 11, 2022
9

Orange Team Onboarding 

Training-Requests regarding 

Deceased Individuals

May 17, 2022

Orange Team Onboarding May 18, 2022

Exemption 5 Training May 23, 2022

Exemption 4 Training May 24, 2022

Disclosure Division to Appeals May 25, 2022

FOIA Overview Onboarding May 25, 2022

SFA Proactive Disclosure 

Training

June 1, 2022

Yellow Team Training- 3rd

Party Requests

June 6, 2022

Time Management and Task 

Focused

June 8, 2022

Disclosure Division

Performance: Understanding 

FOIA Metrics

June 8, 2022

Overview of Exemption 4 June 9, 2022

Submitter’s Notice Process June 9, 2022

Displaying Data Visually in 

Excel

June 16, 2022

Conscious Equity 2.0: Fostering 

a Connected Culture

June 22, 2022

Writing Reports June 28, 2022

The 15th National American 

Society of Access Professional 

Training Conference

July 19-21, 2022

OEEO’s Education & 

Enrichment Real Talk Series: 

Allyship in Workplace

July 20, 2022

FOIA Consultation Process September 1, 2022

Distress Terminations October 26, 2022

4042 Terminations October 27, 2022
10

Leadership Skills for NonSupervisorsNovember 2-3, 2022

Overview of the FOIA November 7, 2022

Overview of the Privacy Act November 8, 2022

S.M.A.R.T. Goal Training November 9, 2022

Interface Privacy Act/FOIA and 

Privacy Act Exemptions 

(Onboarding Session)

November 9, 2022

Standard of Review that Apply 

to PBGC’s Determination under 

Title IV of ERISA

November 10, 2022

Risk Management November 15-17, 2022

Exemption 4 Training 

(Onboarding Session)

November 28, 2022

Exemption 5 Training 

(Onboarding Session)

November 29, 2022

Pension Benefits November 29, 2022

Corporate (agency-wide) 

Training: The Division 

conducts agency-wide 

corporate training and 

specific program office 

FOIA discussions. 

Income VerificationsProcessing and Expediting 

Requests

January 5, 2022

Overview of FOIA to PBGC’s 

New Hires

May 18, 2022

September 7, 2022

December 14, 2022

Privacy Act-Congressional 

Inquiries Involving Constituents 

and the 

March 22, 2022

Privacy Act-Legislative Affairs 

and Interagency Disclosures

May 2, 2022

Disclosure Division Metrics 

Briefing

June 8, 2022

Interagency Disclosures June 16, 2022

FOIA and Advocate Records August 3, 2022

FOIA and Voluminous Records 

Search Requirements

August 4, 2022
11

FOIA and Participant Benefit 

Statements

August 22, 2022

HR Representative: FOIA

Search Overview and 

Collection of Records

September 12, 2022

Settlement Agreements and 

FOIA Disclosures

September 15, 2022

DOJ Training Virtual Exemption and 

Exemption 5 Training

June 14, 2022

Virtual Privacy Considerations 

Training

July 7, 2022

Virtual Continuing FOIA 

Education

July 12, 2022

Virtual Annual FOIA Report 

Refresher and Quarterly Report 

Training

October 4, 2022

Virtual Chief FOIA Officer 

Report Training

October 18, 2022

Virtual Introduction to FOIA 

Training

November 8, 2022

Virtual FOIA Litigation 

Seminar

November 9, 2022

Procedural Requirements and 

Fees Training

December 6, 2022

4. Please provide an estimate of the percentage of your FOIA professionals and staff with FOIA 

responsibilities who attended substantive FOIA training during this reporting period. 

The PBGC estimates 100% of its FOIA professionals and staff with FOIA responsibilities 

attended substantive FOIA training during this reporting period.

5. OIP has directed agencies to “take steps to ensure that all of their FOIA professionals attend 

substantive FOIA training at least once throughout the year.” If your response to the previous 

question is that less than 80% of your FOIA professionals attended training, please explain your 

agency’s plan to ensure that all FOIA professionals receive or attend substantive FOIA training 

during the next reporting year.

N/A. More than 80% of PBGC’s FOIA professionals attended training.
12

6. Describe any efforts your agency has undertaken to inform non-FOIA professionals of their 

obligations under the FOIA.  In particular, please describe how often and in what formats your 

agency provides FOIA training or briefings to non-FOIA staff; and if senior leaders at your 

agency received a briefing on your agency’s FOIA resources, obligations and expectations 

during the FOIA process?

PBGC has informed non-FOIA professionals, including senior leaders, of their obligations 

under the FOIA. The Disclosure Division provides digital and virtual FOIA training to all 

new hires (federal employees and contractor employees) during their initial “New Hire” 

orientation; the division also trains newly appointed senior leaders and regularly conducts 

briefings about compliance requirements, resources, and expectations. Since PBGC 

operates a centralized disclosure operation, the Disclosure Division works concurrently 

with the corporation’s Field Benefit Administrators, the Customer Call Center, and the 

Document Management Center thereby training and delegating disclosure authority for

processing first-party requests, such as income verification requests, submitted by PBGC’s

participants. As a result of these actions, PBGC’s non-FOIA personnel are able to identify, 

search for, and gather responsive records; collectively, the agency is able to respond 

quickly to access requests.

PBGC has also trained non-FOIA personnel in high-visibility program offices, designating 

certain individuals as FOIA liaisons; these individuals serve as points of contact for FOIArelated matters. Through the Disclosure Division’s FOIA Outreach and Awareness efforts, 

these FOIA liaisons have become knowledgeable about the entire FOIA process and the 

role they play in compliance areas, such as identifying record originators, searching for

responsive records, documenting searches, and articulating any programmatic concerns 

disclosure of records might cause.

B. Outreach

7. Did your FOIA professionals engage in any outreach or dialogue, outside of the standard 

request process, with the requester community or open government groups regarding your

administration of the FOIA?  Please describe any such outreach or dialogue, and, if applicable, 

any specific examples of how this dialogue has led to improvements in your agency’s FOIA 

administration.

Yes. PBGC’s FOIA professionals regularly engaged in outreach and dialogue with the 

requester community and outside of the standard request process. The Disclosure Division

maintains and monitors a hotline phone number and division mailbox. These access points 

allow members of the public, third-party representatives, and private groups to request 

assistance with formulating requests for records as well as request and receive instructions 

on how to submit access requests. Many of these interactions and discourse continue even 

after the Disclosure Division’s role is completed, because of the division’s effectiveness of 

connecting the public with the appropriate PBGC program office to facilitate pension 

benefit inquiries. While outside the requirements of the FOIA, these interactions with 

requesters help members of the public understand PBGC’s records and navigate the 

various agency departments.
13

Finally, PBGC engaged with the public via the Federal Register when it issued a final rule 

promulgating updates to PBGC's regulation on requesting, obtaining, and examining 

records to reflect statutory changes and current agency practice: Federal Register :: 

Examination and Copying of PBGC Records.

8. As part of the standard request process, do your FOIA professionals proactively contact 

requesters concerning complex or voluminous requests in an effort to clarify or narrow the scope 

of the request so requesters can receive responses more quickly?  Please describe any such 

outreach or dialogue, and, if applicable, any specific examples.

Yes. PBGC’s FOIA professionals proactively contact requesters concerning complex or 

voluminous requests. The Disclosure Division’s business model designates a team 

coordinator and an entire team of FOIA professionals who specialize in processing complex 

and/or voluminous requests. The team coordinator collaborates with relevant program 

offices to interpret the scope of the request, estimated fees, and any unusual circumstances 

upon receipt. This information is communicated to the requester, including information 

about the FOIA procedural process, such as any requests for clarification, submitter’s 

notice, fee authorization and time limits. This collaboration, at the outset, has proven useful 

in decreasing and managing surprises, thus leading to targeted searches and timely

disclosure determinations. PBGC’s low appeal rate is one metric that supports the business 

practice of confirming the scope of the request, collaborating with program offices and

requesters early in the FOIA process and before the search is commenced; in FY22, PBGC 

processed 3,877 requests and received 10 appeals. Only one appeal was partially granted.

9. The FOIA Improvement Act of 2016 requires additional notification to requesters about the 

services provided by the agency’s FOIA Public Liaison.  Please provide an estimate of the 

number of times requesters sought assistance from your agency’s FOIA Public Liaison during 

Fiscal Year 2022 (please provide a total number or an estimate of the number).

PBGC’s Disclosure Division notifies every requester about the services provided by the 

agency’s FOIA Public Liaison in every determination letter. The division estimates 

requesters sought assistance from the FOIA Public Liaisons 7 times during Fiscal Year 

2022.

C. Other Initiatives

10. Has your agency evaluated the allocation of agency personnel resources needed to respond to 

current and anticipated FOIA demands?  If so, please describe what changes your agency has or 

will implement.

Yes. The Disclosure Division regularly evaluates the allocation of personnel resources

needed to respond to current and anticipated FOIA demands and has implemented

changes as necessary. These changes occurred in the areas of training and workload 

distribution. Throughout the fiscal year, the Disclosure Officer used metrics and trends to 

trigger additional and targeted training topics. This data was also used to manage and 

improve median and average processing times, using strength-based employee engagement 

strategies and making individual well-being a competing priority with trending demands. 
14

Such strategies include reviewing the volume and complexity of incoming requests and 

matching requesters’ expectations/requests for records with individuals’ critical skill gaps 

and competencies. This includes, but not limited to, determining, and adjusting the 

appropriate number of staff members assigned to review, redact, and complete quality

assurance standards on a singular case. Keeping training and knowledge management at

the center of performance management has been essential to identifying and making ad hoc

staff adjustments accordingly.

11. How does your agency use data or processing metrics to ensure efficient management of your 

FOIA workload?  For example, case management reports, staff processing statistics, etc. In 

addition, please specifically highlight any data analysis methods or technologies used.

PBGC uses performance metrics to ensure efficient management of its FOIA workload. 

The agency’s current electronic processing tool generates up-to-the-minute reports 

on FOIA processing times, workload distribution, etc., allowing for precise adjustments 

and transformational changes to the division’s business model, which currently allows 

employees to choose their own team assignment. Performance metrics allow the Division’s 

leadership to make informed changes to staffing, allocate resources, accretion of duties, 

performance awards, and training. These metrics include workload, page volume,

processing times, and work quality.

The aforementioned processing data is also used to change and/or redistribute the widgets

assigned to the teams for the upcoming fiscal year; these changes inform internal training 

topics too. The division hosts weekly staff meetings, and training is conducted by the 

division’s staff on a voluntary basis based on their perception and desire for greater

proficiency. For example, volunteer trainers conduct training on topics for which they 

believe they require improvement. The actions taken to prepare a training session for

others, coupled with the knowledge necessary to create a PowerPoint presentation, 

provides the volunteer trainer an opportunity learn from the preparation and fill in any 

blind spots through the discussion and question segments. The division has experienced 

great success using this method to broach and dissect topics. From a strength-based 

leadership standpoint, an employee is more likely to improve performance if they identify 

individual derailers and take proactive steps to close their skill gap.

12. Optional -- If there are any other initiatives undertaken by your agency to ensure fair and 

effective FOIA administration, please describe them here. 

N/A.

Section III. Proactive Disclosures

The Attorney General’s FOIA Guidelines emphasize that “proactive disclosure of information is 

. . . fundamental to the faithful application of the FOIA.” The Guidelines direct agencies to post 

“records online quickly and systematically in advance of any public request” and reiterate that 

agencies should post records “in the most useful, searchable, and open formats possible.”
15

1. Please describe what steps your agency takes to identify, track, and post (a)(2) proactive 

disclosures.

PBGC has taken steps to identify, track and post (a)(2) proactive disclosures in useful, 

searchable, and open formats. During this reporting period, PBGC identified records of 

substantial public interest and posted thousands of pages of Special Financial 

Assistance (SFA) applications in advance of any public request. These records were 

submitted to PBGC, reviewed, redacted and releasable portions were proactively made 

public. Program Offices also post information on a regular basis that is of interest to the 

public and useful for participants seeking information about their benefits.

2. Provide examples of any material that your agency has proactively disclosed during the past 

reporting year, including records that have been requested and released three or more times 

in accordance with 5 U.S.C. § 552(a)(2)(D). Please include links to these materials as well.

• PBGC’s Annual Reports: 

o https://www.pbgc.gov/about/annual-reports/pbgc-annual-performancefinancial-report-2022;

• Guidance for Practitioners and Employers: 

o https://www.pbgc.gov/prac/whatsnew; 

• Latest News from PBGC

o https://www.pbgc.gov/stay-informed; 

• PBGC’s Insurance Coverage: 

o https://www.pbgc.gov/wr/find-an-insured-pension-plan/pbgc-protectspensions;

• PBGC’s Recent News Releases: 

o https://www.pbgc.gov/news-policy; 

• PBGC Newsletters and Publications

o https://www.pbgc.gov/news/press; and 

• Finding Insured Pension Plans: 

o https://www.pbgc.gov/search-insured-plans;

• American Rescue Plan (ARP) Special Financial Assistance Program 

Applications: 

o https://www.pbgc.gov/arp-sfa/sfa-applications.

3. Beyond posting new material, is your agency taking steps to make the posted information 

more useful to the public, especially to the community of individuals who regularly access 

your agency’s website?

Yes. 
16

4. If yes, please provide examples of such improvements. In particular, please describe steps 

your agency is taking to post information in open, machine-readable, and machine-actionable 

formats, to the extent feasible. If not posting in open formats, please explain why and note 

any challenges.

PBGC regularly posted new materials to its website and taken steps in six areas to 

make its posted information more useful and accessible to the public and to its 

participants. The following are examples:

• American Disability Act (ADA) compliant: The PBGC.gov team works with varied 

content contributors and web application development teams, striving to ensure that 

content published on the website is Section 508 compliant and accessible for those 

using assistive technology. The site invited comments and used reporting feedback to 

make enhancements on content, and to educate content contributors.

• Customer Centered Postings: The PBGC.gov team uses web analytics combined 

with PBGC’s customer survey vendor. The team reviews findings on a weekly basis 

to identify opportunities for adding content to the site or making content more 

accessible based on real user feedback.

• Machine Readable: PBGC.gov/open contains links to PBGC data set documents and 

other data that are machine readable and/or web accessible, improving the availability 

and transparency of PBGC information. Additionally, PBGC reviews and updates the 

root JSON file as necessary to facilitate machine discovery of the site from the root.

• Technical Improvements: Overall improvements to structured data on PBGC

webpages has included converting images and layers to tabular structures, and 

subsequently modifying new and existing tables to follow best practices for HTML 

structures and naming conventions, such as clearly marking <thead> versus <tbody>; 

including <col> and <row> attributes; and using captions and summaries. The cleanup and conversion effort of legacy content is ongoing, with steady progress made 

each year. 

• Telecommunication/Relay Services: The PBGC.gov site promotes 711 for TTYBased Telecommunications Relay Service to accommodate persons with hearing or 

speech disabilities.

• Data Protection Procedures: The PBGC.gov team has expanded policies and 

procedures related to evaluating documents (PDF, Office, etc.) before posting to the 

site, performing Accessibility Checks, and remediating findings to the greatest extent 

possible while ensuring that Personal Identifiable Information (PII) and sensitive data 

are not present.

5. Does your proactive disclosure process or system involve any collaboration with agency staff 

outside the FOIA office, such as IT or data personnel? If so, describe this interaction.
17

Yes. PBGC’s proactive disclosure process and system involves collaboration with 

agency staff outside of the Disclosure Division. The Division advises and collaborates 

with program offices, public affairs, IT, and webmasters on the proactive disclosure of 

information of public interest. For example, the Disclosure Division collaborated with 

the Multiemployer Plan Division, reviewing and redacting SFA applications it received 

for publication to the public domain. The Disclosure Division regularly collaborated 

with other offices, IT, and public affairs to ensure programmatic material prepared for 

the public domain did not inadvertently release protected personal privacy information, 

such as agency decisions, opinions, and administrative records.

6. Optional -- Please describe the best practices used to improve proactive disclosures and any 

challenges your agency faces in this area.

N/A.

Section IV: Steps Taken to Greater Utilize Technology

A key component of FOIA administration is using technology to make information available to 

the public and to gain efficiency in FOIA processing. The Attorney General’s FOIA Guidelines 

emphasize the importance of making FOIA websites easily navigable and complying with the 

FOIA.gov interoperability requirements. Please answer the following questions to describe how 

your agency is using technology to improve its FOIA administration and the public's access to 

information.

1. Has your agency reviewed its FOIA-related technological capabilities to identify resources 

needed to respond to current and anticipated FOIA demands?

Yes. PBGC reviewed its FOIA-related technological capabilities to identify resources 

needed to respond to current and anticipated FOIA demands. During this reporting 

period, PBGC procured a new electronic processing system to replace its current system, 

FOIAonline, which is sunsetting at the end of December 2023. To do so, PBGC conducted 

market research and engaged several vendors to identify a suitable replacement system.

2. Please briefly describe any new types of technology your agency began using during the 

reporting period to support your FOIA program. 

Microsoft Teams: The Disclosure Division learned and utilized more features included in 

the Microsoft Teams application, utilizing its virtual workspace, Forms, Polls and Planner 

functions to conduct training, share group disclosure strategies and ideas.

Relativity: The Disclosure Division used this cloud-based eDiscovery software deduplicating voluminous records, bulk case assessment, fact management, review, 

production, and to run analytics.

Team Connect: During the Fiscal Year, the Disclosure Division requested and received 

read-only access to the legal case management system for the broader Office of General 
18

Counsel (OGC). This technology provides the Disclosure Division with direct access to 

OGC records, streamlining search efforts and required labor resources.

3. Does your agency currently use any technology to automate record processing? For example, 

does your agency use machine learning, predictive coding, technology assisted review or similar 

tools to conduct searches or make redactions? If so, please describe and, if possible, estimate 

how much time and financial resources are saved since implementing the technology.

Rapid Redact: The Disclosure Division utilizes Rapid Redact whenever redactions are 

made. This software has predictive and automated coding of keywords capabilities. This 

creates a uniform environment for analysts to make, review, and apply redactions. For 

bulk records, this saves about 50% of the review time and the corresponding financial 

resources in labor hours.

Excel: The PBGC often receives FOIA requests for premium filings, standard termination 

filings and other bulk data related to Defined Benefit Pension Plans. The Disclosure 

Division has identified certain recurring personal identifiable information and massredacts the protected information using excel formulas. This tool significantly reduces the 

redaction effort and the corresponding financial resources in labor hours.

4. OIP issued guidance in 2017 encouraging agencies to regularly review their FOIA websites to 

ensure that they contain essential resources and are informative and user-friendly. Has your 

agency reviewed its FOIA website(s) during the reporting period to ensure it addresses the 

elements noted in the guidance? 

Yes. PBGC reviewed its FOIA websites to ensure that they contain essential resources and 

are informative and user-friendly and up to date, including the recent increase in PBGC’s 

FOIA processing fees.

5. Did all four of your agency's quarterly reports for Fiscal Year 2022 appear on FOIA.gov?

Yes. PBGC posted all four quarterly reports for Fiscal Year 2022 on FOIA.gov.

6. If your agency did not successfully post all quarterly reports on FOIA.gov, please explain why 

and provide your agency’s plan for ensuring that such reporting is successful in Fiscal Year 

2023. 

N/A. PBGC successfully posted all quarterly reports for Fiscal Year 2022.

7. The FOIA Improvement Act of 2016 requires all agencies to post the raw statistical data used 

to compile their Annual FOIA Reports. Please provide the link to this posting for your agency’s 

Fiscal Year 2021 Annual FOIA Report and, if available, for your agency’s Fiscal Year 2022 

Annual FOIA Report. 

The raw data from FY 2021 Annual FOIA Report can be found at:

https://www.pbgc.gov/documents/fy21-foia-raw-data

The raw data from FY 2022 Annual FOIA Report can be found at:

https://www.pbgc.gov/documents/fy22-foia-raw-data
19

8. In February 2019, DOJ and OMB issued joint Guidance establishing interoperability standards 

to receive requests from the National FOIA Portal on FOIA.gov. Are all components of your 

agency in compliance with the guidance? 

Yes. PBGC’s centralized disclosure operation follows interoperability standards and 

guidance that were issued by DOJ and OMB Guidance in February 2019.

9. Optional -- Please describe the best practices used in greater utilizing technology and any 

challenges your agency faces in this area.

PBGC has developed best practices in utilizing technology and addressing challenges. In 

response to the pandemic, PBGC pivoted to a 90% digital disclosure operation. Many 

requesters welcomed the ability to receive responsive documents electronically. However, 

since PBGC primarily serves the retirement population, some requesters experienced 

challenges with navigating the digital, encrypted, and electronic delivery of records. In 

addition to the Disclosure Division providing support and step-by-step instructions on how 

to open files upon request, the division implemented alternative hardcopy delivery options, 

i.e., fax, postal mailing, and courier services to ensure all requesters receive releasable 

records according to their preferred format and delivery method, when possible.

Section V: Steps Taken to Remove Barriers to Access, Improve 

Timeliness in Responding to Requests, and Reduce Backlogs

The Attorney General’s FOIA Guidelines instruct agencies “to remove barriers to requesting and 

accessing government records and to reduce FOIA processing backlogs.” Please answer the 

following questions to describe how your agency is removing barriers to access, improving 

timeliness in responding to requests, and reducing FOIA backlogs. 

A. Remove Barriers to Access 

1. Has your agency established alternative means of access to first party requested records 

outside of the FOIA process? 

Yes.

2. If yes, please provide examples. If no, please indicate why not. Please also indicate if you do 

not know. 

PBGC has established alternative means of access to first party requested records. Certain

first-party requests for pension records, such as income verifications, beneficiary 

designations, election forms, and benefit determinations records are disclosed by PBGC’s 

Office of Benefits Administration (OBA) and outside of the FOIA process, upon request to 

OBA’s Customer Call Center or Document Management Center either or via one of the 

corporation’s systems of records, i.e. https://www.pbgc.gov/mypba. Using MyPBA, 

Participants can electronically access their own records after establishing password 

protected and login information.
20

B. Timeliness

3. For Fiscal Year 2022, what was the average number of days your agency reported for 

adjudicating requests for expedited processing? Please see Section VIII.A. of your agency's 

Fiscal Year 2022 Annual FOIA Report. 

PBGC reported 10.87 days was the average number of days for adjudicating requests for 

expedited processing. 

4. If your agency's average number of days to adjudicate requests for expedited processing was 

above ten calendar days, according to Section VIII.A. of your agency's Fiscal Year 2022 Annual 

FOIA Report, please describe the steps your agency will take to ensure that requests for 

expedited processing are adjudicated within ten calendar days or less. 

The Disclosure Division adjusted its business model during the intake and assignment 

process, assigning the same Government Information Specialist that is responsible for 

processing the request to the expedited processing request. The continuity of assignment 

allows for the prioritization and efficient processing of expedited processing requests. 

5. Does your agency utilize a separate track for simple requests? 

Yes. PBGC uses a separate track for simple requests.

6. If your agency uses a separate track for simple requests, according to Annual FOIA Report 

section VII.A, was the agency overall average number of days to process simple requests twenty 

working days or fewer in Fiscal Year 2022? 

Yes. The overall average number of days to process simple requests was fewer than the 20-

days statutory time limit.

7. If not, did the simple track average processing time decrease compared to the previous Fiscal 

Year? 

N/A. The overall average number of days to process simple requests was fewer than 20 

working days.

8. Please provide the percentage of requests processed by your agency in Fiscal Year 2022 that 

were placed in your simple track. Please use the following calculation based on the data from 

your Annual FOIA Report: (processed simple requests from Section VII.C.1) divided by 

(requests processed from Section V.A.) x 100. (2373/3877 = .61207119) x 100 =

61% of requests were placed in the simple track.

9. If your agency does not track simple requests separately, was the average number of days to 

process all non-expedited requests twenty working days or fewer? 

N/A. PBGC tracks simple requests separately.
21

C. Backlogs

BACKLOGGED REQUESTS

10. If your agency had a backlog of requests at the close of Fiscal Year 2022, according to 

Annual FOIA Report Section XII.D.2, did that backlog decrease as compared with the backlog 

reported at the end of Fiscal Year 2021?

N/A. PBGC did not have a backlog of requests at the close of Fiscal Year 2022.

11. If not, according to Annual FOIA Report Section XII.D.1, did your agency process more 

requests during Fiscal Year 2022 than it did during Fiscal Year 2021? 

N/A. PBGC did not carry a backlog in Fiscal Year 2021 or Fiscal Year 2022.

12. If your agency’s request backlog increased during Fiscal Year 2022, please explain why and 

describe the causes that contributed to your agency not being able to reduce its backlog. When 

doing so, please also indicate if any of the following were contributing factors: 

N/A. PBGC did not have a request backlog at the end of Fiscal Year 2022, nor Fiscal Year 

2021.

• An increase in the number of incoming requests

• A loss of staff

• An increase in the complexity of the requests received (if possible, please provide 

examples or briefly describe the types of complex requests contributing to your backlog 

increase)

• Impact of COVID-19 and workplace and safety precautions

• Any other reasons – please briefly describe or provide examples when possible

13. If you had a request backlog, please report the percentage of requests that make up the 

backlog out of the total number of requests received by your agency in Fiscal Year 2022. Please 

use the following calculation based on data from your Annual FOIA Report: (backlogged 

requests from Section XII.A) divided by (requests received from Section V.A) x 100. This 

number can be greater than 100%. If your agency has no request backlog, please answer with 

“N/A.” 

N/A. PBGC did not have a request backlog in Fiscal Year 2022.

BACKLOGGED APPEALS

14. If your agency had a backlog of appeals at the close of Fiscal Year 2022, according to 

Section XII.E.2 of the Annual FOIA Report, did that backlog decrease as compared with the 

backlog reported at the end of Fiscal Year 2021?
22

N/A. PBGC did not have a backlog of appeals at the close of Fiscal Year 2022.

15. If not, according to section XII.E.1 of the Annual FOIA Report, did your agency process 

more appeals during Fiscal Year 2022 than it did during Fiscal Year 2021?

PBGC did not have a backlog of appeals at the end of Fiscal Year 2021 nor Fiscal Year 

2022, however, PBGC processed the same number of appeals in Fiscal Year 2022 and

Fiscal Year 2021.

16. If your agency’s appeal backlog increased during Fiscal Year 2022, please explain why and 

describe the causes that contributed to your agency not being able to reduce its backlog. When 

doing so, please also indicate if any of the following were contributing factors: 

N/A. PBGC did not have an appeal backlog during Fiscal Year 2022.

• An increase in the number of incoming appeals

• A loss of staff

• An increase in the complexity of the requests received (if possible, please provide 

examples or briefly describe the types of complex requests contributing to your backlog 

increase)

• Impact of COVID-19 and workplace and safety precautions

• Any other reasons – please briefly describe or provide examples when possible

17. If you had an appeal backlog, please report the percentage of appeals that make up the 

backlog out of the total number of appeals received by your agency in Fiscal Year 2022. Please 

use the following calculation based on data from your Annual FOIA Report: (backlogged 

appeals from Section XII.A) divided by (appeals received from Section VI.A) x 100. This 

number can be greater than 100%. If your agency did not receive any appeals in Fiscal Year 

2022 and/or has no appeal backlog, please answer with "N/A." 

N/A. PBGC did not have an appeal backlog in Fiscal Year 2022.

D. Backlog Reduction Plans

18. In the 2022 guidelines for Chief FOIA Officer Reports, any agency with a backlog of over 

1000 requests in Fiscal Year 2021 was asked to provide a plan for achieving backlog reduction in 

the year ahead. Did your agency implement a backlog reduction plan last year? If so, describe 

your agency’s efforts in implementing this plan and note if your agency was able to achieve 

backlog reduction in Fiscal Year 2022? 

N/A. PBGC did not have a backlog in Fiscal Year 2021.

19. If your agency had a backlog of more than 1,000 requests in Fiscal Year 2022, please explain 

your agency’s plan to reduce this backlog during Fiscal Year 2023.

N/A. PBGC did not have a backlog in Fiscal Year 2022.
23

E. Reducing the Age of Requests, Appeals, and Consultations

TEN OLDEST REQUESTS

20. In Fiscal Year 2022, did your agency close the ten oldest pending perfected requests that 

were reported in Section VII.E. of your Fiscal Year 2021 Annual FOIA Report? 

Yes. PBGC closed the ten oldest pending perfected requests reported in the Fiscal Year 

2021 Annual FOIA Report.

21. If no, please provide the number of these requests your agency was able to close by the end 

of the fiscal year, as listed in Section VII.E of your Fiscal Year 2021 Annual FOIA Report. If 

you had less than ten total oldest requests to close, please indicate that.

Yes. PBGC closed the ten oldest pending perfected requests within the statutory time-limit.

22. Beyond work on the ten oldest requests, please describe any steps your agency took to reduce 

the overall age of your pending requests. 

PBGC routinely triaged requests, using the in the first-in/first-out (FIFO) method, and 

conducted Outreach and Awareness activities upon receipt of requests for records located 

within multiple offices. The FIFO practice, coupled with discussions, meetings, and phone 

calls, enabled, and ensured programmatic actions were completed timely and effectively to

meet the 20-working days statutory time limit. The Disclosure Division also prioritized 

proactively reaching out to requesters early in the processing timeline to clarify the scope 

of the request and/or address fees. The Disclosure Division met with various PBGC 

program offices to develop search plans, i.e., identifying and formulating Boolean and 

keyword lists. These actions resulted in faster response times and streamlined efforts to

collect responsive records quickly, providing ample time for quality reviews and digital or 

hard-copy delivery. These combined efforts, among others, allowed PBGC to continue its

history of shorter and faster than required processing times.

TEN OLDEST APPEALS

23. In Fiscal Year 2022, did your agency close the ten oldest appeals that were reported pending 

in Section VI.C.5 of your Fiscal Year 2021 Annual FOIA Report? 

N/A. PBGC did not have any pending appeals at the end of Fiscal Year 2021 or Fiscal Year

2022.

24. If no, please provide the number of these appeals your agency was able to close by the end of 

the fiscal year, as listed in Section VII.C.(5) of your Fiscal Year 2021 Annual FOIA Report. If 

you had less than ten total oldest appeals to close, please indicate that.

N/A. PBGC did not have any pending appeals at the end of Fiscal Year 2021.

25. Beyond work on the ten oldest appeals, please describe any steps your agency took to reduce 

the overall age of your pending appeals. 
24

The Disclosure Division worked with the appeal adjudication authority to expeditiously 

hold conferences to address questions about disclosure determinations which enabled 

efficient reviews of appeals.

TEN OLDEST CONSULTATIONS

26. In Fiscal Year 2022, did your agency close the ten oldest consultations that were reported 

pending in Section XII.C. of your Fiscal Year 2021 Annual FOIA Report? 

N/A. PBGC did not have any pending consultations at the end of Fiscal Year 2021.

27. If no, please provide the number of these consultations your agency was able to close by the 

end of the fiscal year, as listed in Section XII.C. of your Fiscal Year 2021 Annual FOIA 

Report. If you had less than ten total oldest consultations to close, please indicate that.

N/A. PBGC did not have any pending consultations at the end of Fiscal Year 2021.

ADDITIONAL INFORMATION REGARDING TEN OLDEST

28. If your agency did not close its ten oldest pending requests, appeals, or consultations, please 

explain why, and provide a plan describing how your agency intends to close those “ten oldest” 

requests, appeals, and consultations during Fiscal Year 2023.

N/A. PBGC closed its ten oldest pending requests, appeals, or consultations.

F. Additional Information about FOIA Processing

29. Were any requests at your agency the subject of FOIA litigation during the reporting 

period? If so, please describe the impact on your agency’s overall FOIA request processing and 

backlog. If possible, please indicate the number and nature of requests subject to litigation, 

common causes leading to litigation, and any other information to illustrate the impact of 

litigation on your overall FOIA administration.

PBGC had no requests subject to litigation during the reporting period.

30. How many requests during Fiscal Year 2022 involved unusual circumstances as defined by 

the FOIA? (This information is available in your agency’s FY22 raw data). 

PBGC processed ten requests that involved unusual circumstances as described by the 

FOIA.