Pension Benefit Guaranty Corporation's

FY 2011 FOIA Report to the

U.S. Department of Justice

Pursuant to the Freedom of Information Act (FOIA), as amended by the “Electronic Freedom of 

Information Act Amendments of 1996,” and “2009 Guidelines for Agency Preparation of 

Annual FOIA Reports” created by the Office of Information and Privacy, Department of 

Justice, the following information reflects the Pension Benefit Guaranty Corporation’s (PBGC) 

activity in administering the FOIA during fiscal year 2011.

I. BASIC INFORMATION REGARDING REPORT

1. Name, title, address, and telephone number of person(s) to be contacted with 

questions about the report: 

E. William FitzGerald, Disclosure Officer

Pension Benefit Guaranty Corporation 

1200 K Street, N.W. 

Washington, D.C. 20005-4026 

(202) 326-4040 

2. Electronic address for report on the World Wide Web: 

http://www.pbgc.gov/docs/foia2011.pdf

3. How to obtain a copy of the report in paper form: 

A paper copy of the report can be obtained by calling the Office of the 

General Counsel, Disclosure Division, PBGC at (202) 326-4040 or by 

printing a copy at the Web address listed in I.2 above. 

II. MAKING A FOIA REQUEST 

1. Names, addresses, and telephone numbers of all individual agency 

components and offices that receive FOIA requests:

PBGC, Office of the General Counsel

Attention: E. William FitzGerald, Disclosure Officer

Suite 11101 

1200 K Street, N.W. 

Washington, D.C. 20005-4026 

Phone (202) 326-4040 
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A FOIA request should include a description of the requested records, an 

assurance that the requester is willing to pay the fees, if any, associated with 

processing the request, and the complete address of the requester. In 

addition, it is helpful to provide a phone number where the requester can be 

reached during business hours so that any questions regarding the scope of 

the request can be resolved quickly. If the requester is unsure of how to 

describe the records they desire or has specific questions relating to 

processing of a request, they should call the FOIA staff for advice at (202) 

326-4040 prior to filing their request. 

2. Brief description of why some requests are not granted and an overview of 

certain general categories of the agency’s records to which the FOIA 

exemptions applies 

Some requests are not granted because one or more of the exemptions 

from FOIA’s disclosure requirement applies to the records requested. 

The primary exemptions used by PBGC are (b) (3), (4), (5) and (6). 

PBGC denies access to records which have be submitted to the agency 

under 29 USC 4010 and 29 USC 4043 pursuant to exemption (b)(3). 

In addition, companies often submit confidential financial and/or 

commercial information to PBGC in the course of doing business. 

This information is withheld under exemption (b)(4). 

Records subject to disclosure and application of FOIA exemptions 

include, in part; records submitted to PBGC and created by PBGC in 

connection with processing distress plan terminations, or standard 

termination filing, comments on proposed regulations and documents 

outlining PBGC policies and procedures, as well as documents 

underlying PBGC policies and procedures. 

In some instances, PBGC did not possess any of the records that were 

requested.

In the vast majority of cases, denial of access to records involve 

requests by third parties for information about individuals where not 

authorization from the subject of the record has been presented. 

Generally, information about an individual will not be disclosed by 

PBGC if it could result in an invasion of privacy. Other denials were 

in response to subpoenas served on PBGC seeking information about 

benefits due individual participants from pension plans trusteed by the 

PBGC.
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III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS

1. Agency-specific acronyms or other terms:

None 

2. Definitions of terms used in this report: 

a. Administrative Appeal — A request to a federal agency asking 

that it review at a higher administrative level FOIA determination

made by the agency at the initial request level.

b. Average Number — The number obtained by dividing the sum of 

a group of numbers by the quantity of numbers in the group. For 

example, of 3, 7, and 14, the average number is 8. 

c. Backlog — The number of requests or administrative appeals that 

are pending at an agency at the end of the fiscal year that are 

beyond the statutory time period for a response. 

d. Component — For agencies that process requests on a 

decentralized basis, a “component” is an entity, also sometimes 

referred to as an Office, Division, Bureau, Center, or Directorate, 

within the agency that processes FOIA requests. The FOIA now 

requires that agencies include in their Annual FOIA Report data 

for both the agency overall and for each principal component of the 

agency.

NOTE: PBGC does not process requests on a decentralized basis 

and therefore does not have multiple components. 

e. Consultation — The procedure whereby the agency responding to 

a FOIA request first forwards a record to another agency for its 

review because that 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. 

f. Exemption 3 Statute — A federal statute that exempts 

information from disclosure and which the agency relies on to 

withhold information under subsection (b)(3) of the FOIA. 

g. FOIA/PA Request — A FOIA request is generally a request 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 
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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.) 

NOTE: PBGC treats all requests for access to records, regardless 

of which law is cited by the requester, as FOIA and PA requests.

h. Full Grant — An agency decision to disclose all records in full in 

response to a FOIA request.

i. Full Denial — An agency decision not to release any records in 

response to a FOIA request because the records are exempt in their 

entireties under one or more of the FOIA exemptions, or for some 

procedural reason, such as when no records could be located. 

j. Median Number — The middle, not average, number. For 

example, of 3, 7, and 14, the median number is 7. 

k. Multi-track Processing — A system in which simple requests 

requiring relatively minimal review are placed in one processing 

track and more voluminous and complex requests are placed in one 

or more other tracks. Requests granted expedited processing are 

placed in yet another track. Requests in each track are processed on 

a first-in/first out basis. 

i. Expedited Processing — An agency will process a 

FOIA request on an expedited basis when a requester 

satisfies the requirements for expedited processing as 

set forth in the statute and in agency regulations. 

ii. Simple Request — A FOIA request that an agency 

using multi-track processing places in its fastest (nonexpedited) track based on the low volume and/or 

simplicity of the records requested.
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iii. Complex Request — A FOIA request that an agency 

using multi-track processing places in a slower track 

based on the high volume and/or complexity of the 

records requested.

l. Partial Grant/Partial Denial — In response to a FOIA request, 

an agency decision to disclose portions or the records and to 

withhold other portions that are exempt under the FOIA, or to 

otherwise deny a portion of the request for a procedural reason. 

m. Pending Request or Pending Administrative Appeal — A 

request or administrative appeal for which an agency has not taken 

final action in all respects.

n. Perfected Request — A request for records which reasonably 

describes such records and is made in accordance with published 

rules stating the time, place, fees (if any), and procedures to be 

followed. 

o. Processed Request or Processed Administrative Appeal — A 

request or administrative appeal for which an agency has taken 

final action in all respects.

p. Range in Number of Days — The lowest and highest number of 

days to process requests or administrative appeals. 

q. Time Limits — The time period in the statute for an agency to 

respond to a FOIA request (ordinarily twenty working days from 

receipt of a perfected FOIA request).

3. Concise description of FOIA exemptions: 

An agency may withhold information from disclosure if the 

information requested is the kind described in any of the nine 

exemptions listed in the FOIA.

a. Exemption 1: Classified national defense and foreign relations 

information

b. Exemption 2: Internal agency rules and practices

c. Exemption 3: Information that is prohibited from disclosure by 

another federal law

d. Exemption 4: Trade secrets and other confidential business 

information

e. Exemption 5: Inter-agency or intra-agency communications that 
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are protected by legal privileges

f. Exemption 6: Information involving matters of personal privacy 

g. Exemption 7: Records or information compiled for law 

enforcement purposes, to the extent that the production of those 

records (A) could reasonably be expected to interfere with 

enforcement proceeding’s, (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 Law enforcement 

information: Release would interfere with on going proceedings 

h. Exemption 8: Information relating to the supervision of financial 

institutions

i. Exemption 9: Geological information on wells

IV. EXEMPTION 3 STATUTES

Exemption 3 Statutes Relied Upon to Withhold Information 

Statute Type of Information 

Withheld Case Citation 

Number 

of Times 

Relied 

Upon 

per 

Component

Total 

Number 

of

Times 

Relied 

Upon 

by 

Agency

29 U.S.C. §1343(f) 

Information submitted to 

PBGC as part of a notice of 

reportable event

N/A N/A 1 

29 U.S.C. §1310(c) 

Confidential business 

information submitted to 

PBGC under section 4010 of 

ERISA

N/A N/A 1 
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V. FOIA/PA REQUESTS

Note that PBGC does not have multiple components. All data for all sections below 

are referring to the agency overall.

A. Received, Processed and Pending FOIA Requests 

Number of Requests 

Pending as of Start of 

Fiscal Year

Number of Requests 

Received in Fiscal 

Year

Number of Requests 

Processed in Fiscal 

Year

Number of Requests 

Pending as of End of 

Fiscal Year

Agency 

Overall 380* 7,291 7,364 307 

* The figure listed as pending at the end of FY 2010 was 375. A programming 

error was discovered and the figure for FY 2010 should be increased by 5 to 380 

pending at the end of FY 2010. 

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 Exemptions

Total 

No Records

All Records Referred

to Another Agency

Request Withdrawn

Fee-Related Reason 

Records Not

Reasonably Described

Improper FOIA Request 

for Other Reason

Not Agency Record 

Duplicate Request

Other (see B(2))

Agency 

Overall 5,466 305 3 35 4 34 1 4 60 7 579 866 7,364 
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B(2). Disposition of FOIA Requests — “Other” Reasons for “Full Denials Based 

on Reasons Other Than Exemptions” from Section V.B(1) Chart Above 

Description of “Other” Reasons for 

Full Denials

Total

Agency Overall

The requester did not submit proper 

authorization to receive access to 

another individual’s records and did 

not respond to PBGC’s request for 

proper authorization or other 

identifying information..

866 

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.

9

Agency 

Overall 

0 4 2 24 16 273 0 0 1 0 1 0 0 0 

VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA/PA 

REQUESTS

A. Received, Processed, and Pending Administrative Appeals 

Number of Appeals 

Pending as of Start of 

Fiscal Year

Number of Appeals 

Received in Fiscal 

Year

Number of Appeals 

Processed in Fiscal 

Year

Number of Appeals 

Pending as of End of 

Fiscal Year

1 7 5 3 

B. Disposition of Administrative Appeals – All Processed Appeals

Number Affirmed 

on Appeal

Number Partially 

Affirmed and 

Partially Reversed/ 

Remanded on 

Appeal

Number 

Completely 

Reversed/ 

Remanded on 

Appeal

Number of 

Appeals Closed for 

Other Reasons

Total 

3 0 1 1 5 
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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.

9

0 0 0 1 0 2 0 0 0 0 0 0 0 0 

C.(2). Reasons for Denial on Appeal — Reasons Other Than Exemptions 

No Records

All Records 

Referred to 

Another Agency

Request 

Withdrawn 

Fee-Related 

Reason 

Records Not 

Reasonably 

Described

Improper FOIA 

Request for 

Other Reason

Not Agency 

Record

Duplicate 

Request

Other (see C(3))

1 0 0 0 0 0 0 0 0 

C.(3). Reasons for Denial on Appeal — “Other” Reasons from VI.C(2) Chart 

Description of “Other” Reasons for Denial on Appeal from Chart C(2) Total 

N/A 0 

C.(4). Response Time for Administrative Appeals

Median Number

of Days

Average Number

of Days

Lowest Number

of Days

Highest Number

of Days

22 64 10 200 
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C.(5). Ten Oldest Pending Administrative Appeals 

10th

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

Date of 

Receipt 9/21/11 12/6/10 9/17/10 

Number of 

Days Pending 7 207 260 

VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING 

REQUESTS

PBGC processes all non-Expedited requests received under a single track, which 

for the purpose of the tables below has been designated Standar d. 

PBGC received 0 requests for expedited processing in FY2011, and chose to grant 

0 expedited status based on the nature of the information requested. 

A. Processed Requests — Response Time for All Processed Perfected Requests

Standard Processing Expedited Processing

Median

Average 

Lowest

HighestMedian

Average 

Lowest

Highest

Agency 

Overall 

9 10 1 176* N/A N/A N/A N/A

*Request responded to in multiple partial releases. 

B. Processed Requests — Response Time for Perfected Requests in which 

Information was Granted

Standard Expedited Processing

Median

Average 

Lowest

HighestMedian

Average 

Lowest

Highest

Agency 

Overall 

9 10 1 176* N/A N/A N/A N/A

*Request responded to in multiple partial releases. 
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C. Processed Requests — Response Time in Day Increments

1 - 20 

Days 

21 - 40 

Days 

41 - 60 

Days 

61 - 80 

Days 

81 - 100 

Days 

101 - 120 

Days 

121 - 140 

Days 

141 - 160 

Days 

161 - 180 

Days 

181 - 200 

Days 

201 - 300 

Days 

301 - 400 

Days 

401+ 

Days 

Total 

Standard Requests

Agency 

Overall 6,925 357 66 10 4 1 0 0 *1 0 0 0 0 7,364 

* closed 10/05/10

n/a

Agency 

Overall 

0 0 0 0 0 0 0 0 0 0 0 0 0 0 

Requests Granted Expedited Processing

Agency 

Overall 

0 0 0 0 0 0 0 0 0 0 0 0 0 0 

D. Pending Requests — All Pending Perfected Requests

Standard Expedited Processing

Number 

Pending

Median 

Number of 

Days 

Average 

Number of 

Days 

Number 

Pending

Median 

Number of 

Days 

Average 

Number of 

Days 

Agency 

Overall 

255 3 9 N/A N/A N/A

E. Pending Requests — Ten Oldest Pending Perfected Requests

10th

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

Date of 

Receipt

9/15/ 

2011 

9/14/ 

2011 

9/14/ 

2011 

9/14/ 

2011 

9/13/ 

2011 

9/12/ 

2011 

9/12/ 

2011 

9/9/ 

2011 

9/9/ 

2011 

8/29/ 

2011 

Number 

of Days 

Pending

11 12 12 12 13 14 14 15 15 23 
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VIII. REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR FEE 

WAIVER

The majority of FOIA requests which PBGC receives are submitted by members of 

the pension plans which PBGC has trusteed (also known as participants). It is the 

PBGC Disclosure Officer’s policy to routinely waive search and review fees and 

duplication fees on all FOIA requests from participants.

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 Days 

Agency 

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 

Adjudicate

Agency 

Overall 0 1 4 4 

IX. COSTS/FOIA STAFFING

A. Personnel 

(See combined table under IX.B below) 
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B. Costs

Personnel Costs

Number of 

“Full-Time FOIA 

Employees”

Number of 

“ Equivalent 

Full-Time FOIA 

Employees”

Total Number of 

“Full-Time

FOIA Staff”

Processing

Costs

LitigationRelated Costs

Total 

Costs

Agency 

Overall 

8 5 13 $1,223,385.00 $10,000.00 $1,233,385.00 

X. FEES COLLECTED FOR PROCESSING REQUESTS

Total Amount of 

Fees Collected

Percentage of

Total Costs

Agency 

Overall $13,274.03 1.09% 

XI. FOIA REGULATIONS (INCLUDING FEE SCHEDULE) 

PBGC FOIA regulations are available online at:

http://www.pbgc.gov/res/laws-and-regulations/code-of-federal-regulations/part4901---examination-and-copying-of-pension-benefit-guaranty-corporationrecords.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 Year

1 2 
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B. Consultations on FOIA Requests — Received, Processed, and Pending 

Consultations 

Number of 

Consultations 

Received From Other 

Agencies that were 

Pending 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 During 

the Fiscal Year

Number of 

Consultations 

Received From Other 

Agencies that were 

Pending as of End of 

the Fiscal Year

0 1 1 0 

C. Consultations on FOIA Requests — Ten Oldest Consultations Received 

from Other Agencies and Pending at Your Agency 

10th

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

Date of 

Receipt n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a 

Number 

of Days 

Pending

n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a 

D. Comparison of Numbers of Requests from Previous and Current Annual 

Report – Requests Received, Processed, and Backlogged

Number of Requests Received Number of Requests Processed

Number Received 

During Fiscal Year 

from Last Year’s 

Annual Report

Number Received 

During Fiscal Year 

from Current 

Annual Report

Number Processed 

During Fiscal Year 

from Last Year’s 

Annual Report

Number Processed 

During Fiscal Year 

from Current 

Annual Report

5,834 7,291 5,611 7,364 

Number of Backlogged Requests as of 

End of the Fiscal Year from Last 

Year’s Annual Report

Number of Backlogged Requests as of 

End of the Fiscal Year from the 

Current Annual Report 

0 1 
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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 Processed

Number Received 

During Fiscal Year 

from Last Year’s 

Annual Report

Number Received 

During Fiscal Year 

from Current 

Annual Report

Number Processed 

During Fiscal Year 

from Last Year’s 

Annual Report

Number Processed 

During Fiscal Year 

from Current 

Annual Report

4 7 3 5 

F. Discussion of Other FOIA Activities

We continued our efforts to improve customer service. In fiscal year 

2011, PBGC received 7,291 FOIA requests and processed 7,364 

requests. The average time to process a standard request was 10 work 

days. Our electronic software, used to process requests since 1999, was 

once again able to meet the demand of processing over 7,000 requests. 

PBGC received only seven appeals of denials during the fiscal year. 

Since the majority of our requests are received from pension plan 

participants who are in trusteed plans we insure, we directly enable 

those participants to access and examine critical documents that are 

relied on to calculate their individual pension benefits. 

Number of Backlogged 

Appeals as of End of the 

Fiscal Year from Last Year’s 

Annual Report

Number of Backlogged Appeals as of 

End of the Fiscal Year from the 

Current Annual Report 

0 2