PENSION BENEFIT GUAR ANTY CORPORATION

2018

CHIEF FOIA OFFICER’S REPORT

Chief FOIA Officer: Philip Hertz, Deputy General Counsel

Disclosure Officer: D. Camilla Perry

1200 K ST, NW

WASHINGTON, DC 20005
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INTENTIONALLY LEFT B LANK
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TABLE OF CONTENTS

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

Our Customers ...................................................................................................................4

Section I: Steps Taken to Apply the Presumption of Openness..................................5

A. FOIA Training:...........................................................................................................5

B. Outreach: ....................................................................................................................7

C. Other Initiatives:.........................................................................................................7

Section II: Steps Taken to Ensure that Your Agency Has an Effective System in 

Place for Responding to Requests ...............................................................................9

Section III: Steps Taken to Increase Proactive Disclosures......................................11

Section IV: Steps Taken to Greater Utilize Technology ...........................................14

Section V: Steps Taken to Improve Timeliness in Responding to Requests and 

Reducing Backlogs ....................................................................................................16

A. Simple Track:............................................................................................................ 16

B. Backlogs:................................................................................................................... 16

BACKLOGGED REQUESTS .......................................................................................... 17

BACKLOGGED APPEALS............................................................................................. 17

C. Backlog Reduction Plans........................................................................................... 18

D. Status of Ten Oldest Requests, Appeals, and Consultations:.................................... 18

TEN OLDEST REQUESTS ............................................................................................. 19

TEN OLDEST APPEALS ................................................................................................ 19

TEN OLDEST CONSULTATIONS................................................................................. 20

Additional Information on Ten Oldest Requests, Appeals, and Consultations & Plans: . 20

Success story..............................................................................................................21
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ABOUT PBGC

The Pension Benefit Guaranty Corporation (PBGC or the Corporation) is a federal corporation

established under the Employee Retirement Income Security Act (ERISA) of 1974, as amended.

The PBGC was created to encourage the continuation and maintenance of private-sector defined

benefit pension plans, provide timely and uninterrupted payment of pension benefits, and keep

pension insurance premiums at a minimum. The PBGC is not funded by general tax revenues and 

collects insurance premiums from employers that sponsor insured pension plans, earns money

from investments and manages funds from pension plans it takes over.

The PBGC protects the retirement incomes of more than 40 million American workers in nearly 

24,000 private-sector defined benefit pension plans. A defined benefit plan provides a specified 

monthly benefit at retirement, often based on a combination of salary and years of service. The 

maximum pension benefit guaranteed by PBGC is set by law; the PBGC maximum guarantee for 

workers in single-employer plans is adjusted yearly. For single-employer plans that end in 2017, 

the maximum guarantee for workers who retire at age 65 is $64,432 yearly ($5,369.32 monthly).

The guarantee is lower for those who retire early or when there is a benefit for a survivor. The 

guarantee is increased for those who retire after age 65. For multi-employer plans, the maximum 

guarantee amount is determined based on years of service and the plan’s benefit rate, thus 

summarizing the guarantee quickly can be difficult. The guarantee is based on a pension for each 

year of service a person earns under his or her pension plan. Therefore, PBGC’s maximum multiemployer guarantee is $35.75 per month times a participant’s years of credited service.

OUR CUSTOMERS0F

1

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

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

with its Customer Service Plan, PBGC serves a range of customers with disparate interests and

expectations.

Today, PBGC has responsibility for the pensions of 1.5 million people in more than 4,800 

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

pays $5.8 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 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. 

Second, PBGC's customers include the companies with PBGC-insured plans and the pension 

professionals who assist them. They expect PBGC to promptly and accurately process their 

premium payments, dispense reliable advice and rulings, and resolve issues affecting their plans 

quickly and responsively.

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

 1See PBGC Customer Service Fact Sheet: http://www.pbgc.gov/about/pg/other/csp.html.
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as Congress, Federal Agencies and State Government, General Public, Media, PBGC Employees

and Contractors.

SECTION I: STEPS TAKEN TO APPLY THE PRESUMPTION OF 

OPENNESS

The guiding principle underlying FOIA Memoranda and the Department of Justice

FOIA Guidelines is the presumption of openness. 

Please answer the following questions to describe the steps your agency has taken to 

ensure that the presumption of openness is being applied to all decisions involving the 

FOIA. You may also include any additional information that illustrates how your agency 

is working to apply the presumption of openness

A. FOIA TRAINING:

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

responsibilities attend any substantive FOIA training or conference during the 

reporting period such as that provided by the Department of Justice?

Yes.

2. If yes, please provide a brief description of the type of training conducted and the 

topics covered. 

At PBGC, every employee is responsible for ensuring compliance with the 

FOIA and working to fulfill the goals of the Open Government Initiative: 

transparency, participation and collaboration. In Fiscal Year 2017, the 

PBGC held 39 conferences and/or training sessions, an increase from the 32 

held the previous year. They are described as below:

Training Sessions Topics Covered Dates Administered

Division (Internal) 

Training

The Division conducts 

periodic training on a 

variety of topics to 

ensure the efficient and 

accurate processing of 

FOIA requests.

• Overview of the Privacy Act and 

FOIA Discussion

May 3, 2017

• Fee Waiver Overview May 22, 2017

• OMB AR-08 Guidance March 29, 2017

• Building Consistency IV May 30, 2017

• Executive Order 12,600 

Discussion

August 16, 2017

• FOIA Request Processing May 24, 2017

October 14, 2017

• New Employee Onboarding January 2, 2017-Jan. 15, 2017
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December 4, 2017-Dec. 15, 

2017

• FOIA Fees October 4, 2017

• The Learning Curve Part II –

Discussion

August 22, 2017

• FOIA Exemption 5 and Waiver of 

Attorney Client Privilege

June 14, 2017

• Best Practices Discussion June 7, 2017

• PBGC-6 System of Record Notice 

Training

April 15, 2017

Corporate (agencywide) Training:

The Division conducts 

agency-wide corporate 

training. Training is 

provided at all new 

employee orientations 

and is also targeted 

toward specific 

program offices.

• PBGC New Hire Training August 23, 2017

October 18, 2017

November 15, 2017

January 17, 2018

• Overview of FOIA October 17, 2017

• Recognition of Outstanding 

FOIA Liaisons

April 3, 2017

• Overview of FOIA 

Responsibilities of GLEG

December 20, 2017

• Overview of FOIA 

Responsibilities of Ethics

October 21, 2017

• Overview of FOIA 

Responsibilities of FBAs

December 12, 2017

• FOIA Liaison Training March 29, 2017

• PA-Workshop May 3, 2017

• GLE FOIA Training February 16, 2017

• FOIA Overview – Ethics February 9, 2017

• CCC-FOIA and the Privacy Act December 7, 2017

3. Provide an estimate of the percentage of your FOIA professionals and staff with 

FOIA responsibilities who attended substantive FOIA training during this 

reporting period.

100%

4. 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.
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B. OUTREACH:

5. Did your FOIA professionals engage in any outreach or dialogue with the 

requester community or open government groups regarding your administration 

of the FOIA?

Yes. The PBGC’s FOIA Public Liaisons and Division staff work with FOIA 

requesters to answer questions, resolve concerns, and provide assistance with 

record requests. The Division has placed added emphasis on providing 

reliable and accurate assistance to customers who contact the Division via 

email, facsimile or telephone to inquire about the process of submitting a 

FOIA request. 

Additionally, the PBGC actively engages participants through the 

implementation of a corporate communications program, including: 

websites, newsletters, subscriptions and social media. Please see examples of 

PBGC’s outreach activities, currently posted on pbgc.gov, by clicking on the 

links below1F

2: 

1) PBGC Customer Service Plan: 

http://www.pbgc.gov/Documents/Customer-Service-Plan-2014.pdf,

emphasizing that in all of our activities and decisions we incorporate the 

question “What impact will this have on the customer?” 

2) New To PBGC- A Beginner’s Reference Guide: 

http://www.pbgc.gov/about/new-to-pbgc.html, offering an overview of basic 

definitions, information available on-line, and multiple ways to navigate the 

website, thus allowing for more informed FOIA requests. 

3) Frequently Asked Questions: http://www.pbgc.gov/about/faq.html,

offering information tailored to workers, retirees, practitioners, the press 

and policymakers, thus sparing them the need to file a FOIA request. 

4) PBGC Initiative on Open Government:

http://www.pbgc.gov/open/index.html, highlighting our commitment to 

collaborate with stakeholders by including important PBGC data sets that 

increase transparency, accountability and improve public awareness of our 

operations.

C. OTHER INITIATIVES:

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

 2 If the links do not work, please cut and paste in your web browser.
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professionals of their obligations under the FOIA? 

The Division ensures that every search solicitation that is sent out to program 

areas, in response to a FOIA request, includes a description of the searching 

party’s obligations under the law, including a: 1) deadline to produce records 

in accordance with the statutorily proscribed time limit; 2) note regarding 

the importance of tracking time spent searching for responsive records, to 

accurately assess fees; 3) statement regarding what constitutes a ‘reasonable 

search’; and 4) suggestion to the searching party to contact the FOIA analyst 

with any questions regarding the search and production of responsive 

records. These search solicitations often result in robust dialogue with the 

searching party, in which the FOIA analyst provides tailored information 

regarding the request. 

The Division provides training to all PBGC new hires (federal employees and 

contractor employees) during their orientation. In addition, the PBGC 

continues to utilize and train contractor employees in its Customer Call 

Center and Document Management Centers to respond to customers seeking 

specific information protected by the FOIA and the Privacy Act. The 

Division works concurrently with the Field Benefit Administrators, the 

Customer Call Center, and the Document Management Centers to provide 

efficient responses to high-volume requests, such as income verification 

requests from PBGC participants. As a result, these non-FOIA personnel are 

well-versed in how to expediently handle the FOIA and Privacy Act matters 

that they routinely encounter.

7. 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 
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SECTION II: STEPS TAKEN TO ENSURE THAT YOUR AGENCY 

HAS AN EFFECTIVE SYSTEM IN PLACE FOR RESPONDING TO 

REQUESTS 

DOJ’s FOIA Guidelines emphasize that “[a]pplication of the proper disclosure standard is 

only one part of ensuring transparency. Open government requires not just a presumption 

of disclosure, but also an effective system for responding to FOIA requests.” It is essential 

that agencies effectively manage their FOIA program.

Please answer the following questions to describe the steps your agency has taken to ensure 

that the management of your FOIA program is effective and efficient. You should also 

include any additional information that that describes your agency's efforts in this area.

1. For Fiscal Year 2017, 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 2017 Annual FOIA Report.

4.3 days

2. If your agency’s average number of days to adjudicate requests for expedited 

processing was above ten calendar days, please describe the steps your agency 

will take to ensure that requests for expedited processing are adjudicated within 

ten calendar days or less.

N/A. The PBGC’s average number of days to adjudicate requests for 

expedited processing was under ten calendar days.

3. During the reporting period, did your agency conduct a self-assessment of its 

FOIA program? If so, please describe the methods used, such as reviewing 

Annual Report data, using active workflows and track management, reviewing 

and updating processing procedures, etc.

Yes. The PBGC utilized the FOIA Self-Assessment Toolkit issued by OIP in 

September 2017. The agency evaluated intake, expedited processing, fee 

waiver, and workflow management by comparing its standard operating 

procedures (SOPs) to actual practices and Annual Report data. The selfassessment resulted in updates to two SOPs and the creation of a new SOP. 

The amended SOPs tweaked processing steps, and the new SOP promulgated 

a process for accounting for disclosures without consent when a disclosure is 

made concurrently pursuant to the Privacy Act and the FOIA. 

4. The FOIA Improvement Act of 2016 requires additional notification to requesters 

about the services provided by the agency’s FOIA Public Liaison. Please provide 
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an estimate of the number of times requesters sought assistance from your 

agency’s FOIA Public Liaison during FY 2017 (please provide a total number or 

an estimate of the number).

The PBGC estimates that requesters sought assistance from one of its two 

FOIA Public Liaisons approximately 17 times.

5. Optional Survey Question: If possible, please provide an estimate of the average 

number of pages that your agency processes for each request. You may provide 

estimates for each track.

The agency’s average page count is 150 pages for Simple requests, and 275 

pages for Complex.

6. If there are any other steps your agency has undertaken to ensure that your FOIA 

system operates efficiently and effectively, such as improving search processes, 

eliminating redundancy, etc., please describe them here.

The Division staff usually meets weekly to discuss process trends and

proposed improvements. The staff discusses specific requests that present 

unique challenges, and brainstorms responsive solutions for future requests. 

Additionally, the Disclosure Officer has emphasized consistency and 

uniformity. Hence, each response, regardless of who has been assigned to 

process the request, results in a disclosure determination and cover letter 

that reflect a common philosophy consistent with the agency’s regulations 

and applicable statutes.

In conjunction with the Business Model expounded on in our two prior Chief 

FOIA Officer Reports, the Division is ensuring the efficiency and efficacy of 

our FOIA system by focusing on meeting Performance Management 

Objectives. The Disclosure Officer is achieving this by engaging in interactive 

performance planning, ensuring accountability within the division, 

evaluating objective performance data, and recognizing employee 

achievements. 

Additionally, On June 13, 2017 the PBGC updated its FOIA regulations, 

incorporating the provisions of the FOIA Improvement Act of 2016.
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SECTION III: STEPS TAKEN TO INCREASE PROACTIVE 

DISCLOSURES

The Department of Justice has long focused on the need for agencies to work proactively 

to post information online without waiting for individual requests to be received.

Please answer the following questions to describe the steps your agency has taken to 

increase the amount of material that is available on your agency websites. In addition to 

the questions below, you should also describe any additional steps taken by your agency 

to make and improve proactive disclosures of information.

1. Provide examples of material that your agency has proactively disclosed during the 

past reporting year, including links to the posted material.

1) PBGC’s Annual Reports: 

http://www.pbgc.gov/about/annual-reports.html

2) Guidance for Practitioners and Employers: 

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

3) Retirement Matters Blog: 

https://www.pbgc.gov/blog

4) PBGC’s Insurance Coverage:

https://www.pbgc.gov/prac/other-guidance/insurance-coverage

5) PBGC’s Recent News Releases:

http://www.pbgc.gov/news/press.html

6) PBGC Newsletters and Publications:

http://www.pbgc.gov/wr/newsletters.html

7) Finding Unclaimed Pensions:

http://search.pbgc.gov/mp/mp.aspx

2. Did your agency use any means to publicize or highlight important proactive 

disclosures for public awareness? If yes, please describe these efforts.

Yes. The PBGC uses both Facebook and Twitter to notify the public of 

recently released information. 

1) https://www.facebook.com/pages/Pension-Benefit-GuarantyCorporation-PBGC/91530573008

2) https://twitter.com/uspbgc
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Additionally, the PBGC maintains a blog titled, “Retirement Matters”, which 

serves to update the public on important issues concerning the 

administration of retirement benefits. Such issues include: postings 

regarding benefits payable under plans recently trusteed or insured by 

PBGC, guidance on electronic methods of receiving benefit payments, 

financial forecasts of single employer and multi-employer insurance 

programs, and other topics of public interest. The blog is updated monthly 

and is a robust tool for disseminating information to the public. 

The PBGC also maintains an Open Government webpage, which includes 

important PBGC data sets and information about how the public can 

provide input to improve PBGC’s performance. Currently available records 

include: PBGC Annual Reports, Reducing Regulatory Burdens, Federal 

Spending Data Quality Plan, Open Government Plan, Board of Directors 

Meeting Minutes, and PBGC’s Customer Service Plan. These data sets are 

important because they serve to increase agency accountability and improve 

public knowledge of the agency and its operations, which are directly in line 

with the FOIA mandate. 

The Retirement Matters blog and Open Government website are located at: 

1) PBGC’s Retirement Matters Blog: http://www.pbgc.gov/about/whowe-are/retirement-matters

2) PBGC’s Open Government Website: 

http://www.pbgc.gov/open/index.html

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

4. If yes, please provide examples of such improvements.

Pursuant to public and user feedback, the PBGC launched a newly 

redesigned website this fiscal year, PBGC.gov, with the goal of making 

information easier to find. The new website provides a cleaner layout, an 

updated search tool, more visible contact information, and MyPBA Login 

access on every page. For more information visit:

https://www.youtube.com/watch?v=xjbTU27ofYE&feature=youtu.be
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5. If there are any other steps your agency has taken to increase proactive 

disclosures, please describe them here. For example, has your agency engaged 

requesters in determining how and what to post? Has your agency used web 

analytics to inform your proactive disclosures?

The PBGC is constantly reviewing and improving content on PBGC.gov. In 

FY2017, the agency made over 582 updates to PBGC.gov to help provide 

more information to agency customers and stakeholders. PBGC uses web 

analytics and customer surveys to determine what PBGC customers are 

looking for. The agency evaluates and updates its web design to 

accommodate popular actions and tasks. PBGC’s FY2017 redesign of 

PBGC.gov was in many cases a direct response to feedback from web 

analytics and surveys. 
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SECTION IV: STEPS TAKEN TO GREATER UTILIZE 

TECHNOLOGY 

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

accessible. In addition to using the internet to make proactive disclosures, agencies 

should also be exploring ways to utilize technology in responding to requests.

Please answer the following questions to describe how your agency is utilizing 

technology to improve its FOIA administration and the public's access to 

information. You should also include any additional information that that describes your 

agency's efforts in this area.

MAKING MATERIAL POSTED ONLINE MORE USABLE: 

1. Has your agency identified any best practices to leverage technology to facilitate 

overall FOIA efficiency, such as improving record search capabilities, utilizing 

document sharing platforms for consultations and referrals, or employing software 

that can sort and de-duplicate documents? If yes please describe the best 

practices, the types of technology used and the impact on your agency’s 

processing.

Yes. The PBGC utilizes SharePoint, LeapFile and Rapid Redact, and as 

needed, for the Legacy Record Search/Retrieval System. 

SharePoint: SharePoint allows collaborative processing of documents and 

disclosure determinations. As of January 2018, the Disclosure Division 

has transitioned to SharePoint for digital file storage.

LeapFile: A secure portal to share responsive documents with requesters 

that are too large to e-mail or to conveniently fit on disc. For large or 

voluminous requests, this tool reduces processing time and duplication 

costs.

Adobe Acrobat Pro: This tool allows the PBGC to convert and combine 

multiple documents across various formats into one document or 

portfolio for review and redaction. It also provides a uniform and secure 

format for disclosures. The format also keeps file sizes lower than other 

formats allowing for easier transmission of electronic disclosures.

Rapid Redact: The PBGC utilizes Rapid Redact whenever redactions 

must be made. This creates a uniform environment for analysts to make, 

review, and apply redactions. The tool also comes with preloaded 
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exemption codes that can be applied alongside the redactions 

automatically.

Legacy Record Search/Retrieval System (LRSRS): Provides Boolean and 

keyword search capabilities of large-scale document requests. This allows 

for searches to be conducted in an efficient and cost-effective manner by 

developing specialized queries in response to discovery quests. 

The impact of using these technologies can be measured in metrics such as: 

processing times, volume of records, associated search fees, number of 

appeals received and overturned, and the sustainment of no backlog. 

2. Did your agency successfully post all four quarterly reports for Fiscal Year 2017?

Yes.

3. If your agency did not successfully post all quarterly reports, with information 

appearing on FOIA.gov, please explain why and provide your agency’s plan for 

ensuring that such reporting is successful in Fiscal Year 2018.

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

2017. 

4. 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 2016 Annual FOIA Report and, 

if available, for your agency’s Fiscal Year 2017 Annual FOIA Report.

The raw data from Fiscal Year 2016 Annual FOIA Report can be found 

here: https://www.pbgc.gov/documents/2016-FOIA-Annual-Report.xlsx

The raw data from FY 2017 is not yet available.

5. If there are any other steps your agency has taken to improve use of technology in 

FOIA, please describe them here.

In this past year, PBGC has been migrating their internal non-system 

records including their agency email into the Microsoft Office 365 

government cloud solution. This move has strengthened the internal 

management of these records, and has allowed PBGC’s Legacy Records 

Search/Retrieval System office to conduct newly comprehensive searches of 

the agency’s internal email and other office-level working documents. This 

function is available to the Disclosure Division and allows it to access 

responsive records.
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SECTION V: STEPS TAKEN TO IMPROVE TIMELINESS IN 

RESPONDING TO REQUESTS AND REDUCING BACKLOGS

The Department of Justice has emphasized the importance of improving timeliness in responding 

to requests. This section of your Chief FOIA Officer Report addresses both time limits and backlog 

reduction. Backlog reduction is measured both in terms of numbers of backlogged requests or 

appeals and by looking at whether agencies closed their ten oldest requests, appeals, and 

consultations.

For the figures required in this Section, please use the numbers contained in the specified sections 

of your agency’s 2017 Annual FOIA Report and, when applicable, your agency’s 2016 Annual 

FOIA Report. 

A. SIMPLE TRACK:

Section VII.A of your agency’s Annual FOIA Report, entitled “FOIA Requests – Response 

Time for All Processed Requests,” includes figures that show your agency’s average 

response times for processed requests. For agencies utilizing a multi-track system to 

process requests, there is a category for “simple” requests, which are those requests that 

are placed in the agency’s fastest (non-expedited) track, based on the low volume and/or 

simplicity of the records requested.

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

Yes.

2. If so, for your agency overall in Fiscal Year 2017, was the average number of 

days to process simple requests twenty working days or fewer? 

Yes. The average number of days to process simple requests was 5.98 days.

3. Please provide the percentage of requests processed by your agency in Fiscal Year 

2017 that were placed in your simple track. 

± 28%

4. 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. The PBGC tracks simple request separately.

B. BACKLOGS:
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Section XII.A of your agency’s Annual FOIA Report, entitled “Backlogs of FOIA 

Requests and Administrative Appeals” shows the numbers of any backlogged 

requests or appeals from the fiscal year. You should refer to these numbers from 

your Annual FOIA Reports for both Fiscal Year 2016 and Fiscal Year 2017 when 

completing this section of your Chief FOIA Officer Report.

BACKLOGGED REQUESTS

5. If your agency had a backlog of requests at the close of Fiscal Year 2017, did that 

backlog decrease as compared with the backlog reported at the end of Fiscal Year 

2016?

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

Year 2017, nor did the PBGC have a backlog of requests at the close of Fiscal 

Year 2016.

6. If not, 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:

• 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. 

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

possible.

N/A. The PBGC did not have a backlog for the past two years.

7. 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 2017.

N/A. The PBGC did not have a backlog at the close of the Fiscal Year 2017.

BACKLOGGED APPEALS

8. If your agency had a backlog of appeals at the close of the Fiscal Year 2017, did 

that backlog decrease as compared with the backlog reported at the end of Fiscal 

Year 2016?

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

2017, nor did the PBGC have a backlog of appeals at the close of Fiscal Year 

2016.
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9. If not, explain why and describe the causes that contributed to your agency not 

being able to reduce backlog. When doing so, please also indicate if any of the 

following were contributing factors:

• 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.

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

possible.

N/A.

10. 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 2017. If your agency did not receive any appeals in Fiscal Year 2017 

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

N/A.

C. BACKLOG REDUCTION PLANS

11. In the 2017 guidelines for Chief FOIA Officer Reports, any agency with a 

backlog of over 1,000 requests in Fiscal Year 2016 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 2017.

N/A. The PBGC closed Fiscal Year 2016 with zero backlogged requests; 

therefore, the PBGC was not required to create a backlog reduction plan in 

accordance with 2017 guidelines.

12. If your agency had a backlog of more than 1,000 requests in Fiscal Year 2017, 

what is your agency’s plan to reduce this backlog during Fiscal Year 2018?

N/A. The PBGC closed Fiscal Year 2017 with zero backlogged requests; 

therefore, the PBGC will not need to implement a backlog reduction plan in 

accordance with 2017 guidelines.

D. STATUS OF TEN OLDEST REQUESTS, APPEALS, AND 

CONSULTATIONS: 
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Section VII.E, entitled “Pending Requests – Ten Oldest Pending Requests,” Section 

VI.C.(5), entitled “Ten Oldest Pending Administrative Appeals,” and Section XII.C., 

entitled “Consultations on FOIA Requests – Ten Oldest Consultations Received from 

Other Agencies and Pending at Your Agency,” show the ten oldest pending requests, 

appeals, and consultations. You should refer to these numbers from your Annual FOIA 

Reports for both Fiscal Year 2016 and Fiscal Year 2017 when completing this section of 

your Chief FOIA Officer Report.

TEN OLDEST REQUESTS

13. In Fiscal Year 2017, did your agency close the ten oldest requests that were 

reported pending in your Fiscal Year 2016 Annual FOIA Report?

Yes.

14. 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 2016

Annual FOIA Report. If you had less than ten total oldest requests to close, 

please indicate that.

N/A. The PBGC closed its ten oldest requests.

15. Of the requests your agency was able to close from your ten oldest, please 

indicate how many of these were closed because the request was withdrawn by 

the requester. If any were closed because the request was withdrawn, did you 

provide any interim responses prior to the withdrawal?

The PBGC closed its ten oldest requests by issuing disclosure determinations. 

None of the 10 oldest requests were withdrawn. 

TEN OLDEST APPEALS

16. In Fiscal Year 2017, did your agency close the ten oldest appeals that were 

reported pending in your Fiscal Year 2016 Annual FOIA Report?

Yes.

17. 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 

2016 Annual FOIA Report. If you had less than ten total oldest appeals to close, 

please indicate that.

The PBGC had less than 10 appeals pending at the end of Fiscal Year 2016.
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TEN OLDEST CONSULTATIONS

18. In Fiscal Year 2017, did your agency close the ten oldest consultations that were 

reported pending in your Fiscal Year 2016 Annual FOIA Report?

N/A. The PBGC did not have any pending consultations at the close of Fiscal 

Year 2016.

19. 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 

2016 Annual FOIA Report. If you had less than ten total oldest consultations to 

close, please indicate that.

N/A.

ADDITIONAL INFORMATION ON TEN OLDEST REQUESTS, APPEALS, 

AND CONSULTATIONS & PLANS:

20. Briefly explain any obstacles your agency faced in closing its ten oldest requests, 

appeals, and consultations from Fiscal Year 2017. 

N/A. The PBGC did not face any obstacles in closing its ten oldest requests.

21. If your agency was unable to close any of its ten oldest requests because you were 

waiting to hear back from other agencies on consultations you sent, please 

provide the date the request was initially received by your agency, the date when 

your agency sent the consultation, and the date when you last contacted the 

agency where the consultation was pending. 

N/A. The PBGC closed its ten oldest requests.

22. If your agency did not close its ten oldest pending requests, appeals, or 

consultations, please provide a plan describing how your agency intends to close 

those “ten oldest” requests, appeals, and consultations during Fiscal Year 2016. 

N/A. The PBGC closed its ten oldest requests.
21

SUCCESS STORY

Out of all the activities undertaken by your agency since March 2017 to increase 

transparency and improve FOIA administration, please briefly describe here at least one 

success story that you would like to highlight as emblematic of your agency’s efforts. The 

success story can come from any one of the five key areas. As noted above, these agency 

success stories will be highlighted during Sunshine Week by OIP. To facilitate this 

process, all agencies should use bullets to describe their success story and limit their text 

to a half page. The success story is designed to be a quick summary of key achievements. 

A complete description of all your efforts will be contained in the body of your Chief FOIA 

Officer Report.

PBGC is proud to report that another fiscal year has ended with a zero backlog of 

FOIA requests. This achievement is a direct result of continued maintenance of the 

Disclosure Division’s multi-track Business Model. This model allows employees to 

select a team according to their perceived strengths, encouraging more efficient and 

effective case processing. The Business Model clearly articulates performance 

standards and expectations for each team member according to grade level. The 

Division also refined its “Best Answer Approach.” This approach encourages 

employees to socialize case strategy and disclosure analysis with subject matter 

experts and Record Originators. This approach also fills multiple critical skills gaps 

by encouraging collaboration and engagement between team members and available 

resources. These practices have increased morale, decreased processing times, and 

improved the Division’s overall FOIA performance metrics.