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PENSION BENEFIT GUARANTY CORPORATION

2022

CHIEF FOIA OFFICER’ S REPORT

Chief FOIA Officer: Paul Chalmers, General Counsel 

Disclosure Officer: D. Camilla Perry

1200 K ST, NW

WASHINGTON, DC 20005
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INTENTIONALLY LEFT BLANK
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Table of Contents

ABOUT PBGC ..................................................................................................................................... 4

OUR CUSTOMERS ........................................................................................................................ 4

SECTION I: STEPS TAKEN TO APPLY THE PRESUMPTION OF OPENNESS.................... 6

A. FOIA Leadership ........................................................................................................................ 6

B. FOIA Training ......................................................................................................................... 6

C. Outreach ...................................................................................................................................... 9

SECTION II: STEPS TAKEN TO ENSURE THAT YOUR AGENCY HAS AN EFFECTIVE 

SYSTEM IN PLACE FOR RESPONDING TO REQUESTS ....................................................... 11

SECTION III: STEPS TAKEN TO INCREASE PROACTIVE DISCLOSURES...................... 16

SECTION IV: STEPS TAKEN TO GREATER UTILIZE TECHNOLOGY ............................. 19

SECTION V: STEPS TAKEN TO IMPROVE TIMELINESS IN RESPONDING TO 

REQUESTS AND REDUCING BACKLOGS ................................................................................ 21

A. Simple Track ............................................................................................................................. 21

B. Backlogs...................................................................................................................................... 22

BACKLOGGED REQUESTS ...................................................................................................... 22

C. Backlog Reduction Plans.......................................................................................................... 24

D. Status of Oldest Requests, Appeals, and Consultations......................................................... 24

OLDEST REQUESTS................................................................................................................... 25

TEN OLDEST APPEALS............................................................................................................. 25

TEN OLDEST CONSULTATIONS............................................................................................. 26

E. Additional Information on Ten Oldest Requests, Appeals, and Consultations & Plans .... 26

F. Success Stories ........................................................................................................................... 27
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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 single, 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.

OUR CUSTOMERS1

PBGC operates two separate insurance programs for defined benefit plans. PBGC’s 

single- employer 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 34 million people in about 25,000 

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

benefits. PBGC pays approximately $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 See PBGC Customer Service Fact Sheet: https://www.pbgc.gov/about/factsheets
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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 

retirementsecurity 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 customersinterested in retirement planning and pension plans,

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

Employees and Contractors.
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SECTION I: STEPS TAKEN TO APPLY THE PRESUMPTION OF OPENNESS

The guiding principle underlying DOJ’s FOIA Guidelines is the presumption of openness.

Please answer the following questions in order 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 Leadership

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

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

Is your agency’s Chief FOIA Officer at 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.

C. Paul Chalmers, Deputy General Counsel, Chief FOIA Officer and SAOP.

B. FOIA Training

3. 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.

At PBGC, 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. 

In calendar year 2021, the PBGC held or attended 25 training sessions. PBGC

conducted twenty sessions internally and they are described below:
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Training Sessions Topics Covered Dates Administered

Division 

(Internal) 

Training:

Differentiating the Request 

Process March 3, 2021

Touhy Letters March 10, 2021

The Division 

conducts periodic 

training on a 

variety of topics 

to ensure efficient 

and accurate 

processing of 

FOIA requests.

QDRO Processing March 17, 2021

Sierra Club & Effect on FOIA 

Exemption (b)(5)

May 12, 2021

FOIA Requests Special 

Circumstances; Looking Beyond the 

Words

May 19, 2021

Fee Waivers May 26, 2021

Referrals, Consultations, and 

Coordination June 2, 2021

Advanced Writing July 27, 2021

Disclosure Division New 

Employee Training October 6, 2021

Building Consistency-Case 

Management October 13, 2021

Processing American Rescue Plan 

Act of 2021 Privacy Review October 20, 2021

Discussion of FY 2022 Disclosure 

Business Model November 3, 2021

Privacy Act: Routine Use November 10, 2021

DOJ New Guidance on Exemption 

5 of the FOIA and the Deliberative 

Process Privilege

November 17, 2021

Best Answer Approach Training January 5, 2022

Disclosure Division’s Business 

Model and Processes January 12, 2022

Corporate 

(agency-wide) 

Training: The 

Division 

conducts agencywide corporate

training. Training 

is provided at all 

new employee

orientations and 

is targeted toward 

program offices.

Overview of FOIA to PBGC’s New 

Hires

March 17, 2021

June 16, 2021

September 15, 2021

December 15, 2021

Searching for responsive records 

using Boolean search terms.

December 6, 2021
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4. 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.

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

and the topics covered.

The Disclosure Division developed, conducted, and attended twenty-five training 

events and programmatic discussions. This is not inclusive of the instructive 

FOIA discussions with Program Offices required to process complex requests.

The training topics focused on emerging FOIA case law, statutory procedural 

requirements, application of exemptions/exceptions and exclusions as they relate 

to various forms of Privacy/FOIA requests that are both federally universal and 

PBGC specific. These topics are listed in the above chart under B.3. 

Below is a list of the five Department of Justice (DOJ) trainings attended by 

PBGC FOIA personnel. 

DOJ Trainings: An overview of the requirements for 

protecting trade secrets, certain 

commercial and financial 

information, and the submitter 

notice process, discussion of 

incorporating civil discovery 

privileges into the FOIA

June 2, 2021

New OIP Guidance & Resources July 15, 2021

Freedom of Information Act 

Procedural Requirements and 

Practical Approaches to Fee 

Determinations

July 21, 2021

Annual FOIA Report Refresher 

and Quarterly Report Training October 5, 2021

Chief FOIA Officer Report 

Refresher Training October 19, 2021

6. 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.
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The PBGC estimates 100% of its FOIA professionals and staff attended 

substantive FOIA training during this reporting period.

7. 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.

C. Outreach

8. Did the personnel at your agency who have FOIA responsibilities attend training in 

federal records management during this reporting period?

Yes. All PBGC employees were required to complete the virtual course Records 

Management in Fiscal Year 2021.

9. Did your FOIA professionals engage in any outreach or dialogue 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. The PBGC remains engaged in outreach and dialogue with the requester 

community and public/private groups regarding its administration of the FOIA, 

throughout the fiscal year. The Disclosure Division’s staff assisted the requester 

community by communicating with requesters through mail, phone, fax, and 

email. These communications include responding to status requests, providing

instructions on how to make FOIA requests and directing inquiries remaining 

after the Disclosure Division’s role is completed. 

The Disclosure Division continues to experience an increase in phone calls from 

PBGC’s participant population, beneficiaries, third-party requesters, and 

internal end-users due to the COVID-19 Pandemic. While many of these calls 

are not related to the FOIA process, the Disclosure Division connects callers 

with resources regarding pension benefits.

This dialogue has led to improvements in the PBGC’s FOIA administration and 

enhances PBGC’s citizen-centered and customer-friendly service. With most of

the disclosure determinations now delivered electronically, requesters receive 

responses in an efficient and timely manner. The Disclosure Division continues to 

make accommodations for requesters that do not have electronic access. 
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D. Other Initiatives

10. 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?

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

contractor employees) during their initial “New Hire” orientation. The

Disclosure Division works concurrently with the Field Benefit Administrators, 

the Customer Call Center, and the Document Management Centers to respond 

to high-volume requests, such as income verification requests from PBGC 

participants. As a result, these non-FOIA personnel can identify and 

appropriately re-direct various types of FOIA and Privacy Act requests that 

they routinely encounter.

During the past year, the division organized trainings and briefings with Senior 

Leadership on the agency’s responsibilities under the FOIA. The Disclosure 

Division closely collaborates with the Participant Services Department (PSD). 

The Disclosure Division collaborates with PSD to ensure participants are aware 

of their right of access to their records and benefit calculations and resolve 

participant inquiries. PBGC FOIA personnel frequently meets with non-FOIA 

personnel to assist with processing a FOIA request. This collaboration includes 

discussing the statutory requirements of the Privacy Act and FOIA. 

11. 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.
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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 2021, 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 2021 Annual FOIA Report.

6.7 days.

2. 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 2021 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.

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

processing was less than ten calendar days.

3. The FOIA Improvement Act of 2016 required all agencies to update their FOIA 

regulations within 180 days. In 2016, OIP issued Guidance for Agency FOIA 

Regulations and the accompanying Template for Agency FOIA Regulations to assist 

agencies in updating their regulations in accordance with the statute. Has your 

agency updated its FOIA regulations in accordance with the FOIA Improvement Act 

of 2016? If not, what is your agency's plan to update your regulations?

Yes.

4. Standard Operating Procedures (SOPs) generally document your agency’s internal 

processes for administering the FOIA beyond your FOIA regulations and FOIA 

Reference Guide. As noted in OIP’s guidance, having SOPs can improve the 

consistency and quality of an agency’s FOIA process. SOPs can also serve as a 

significant resource for incoming FOIA professionals and a way to preserve much of 

the agency’s institutional knowledge on administering the FOIA from how to handle 

requests from start-to-finish, to identifying and making proactive disclosures, to 
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maintaining a FOIA website. Does your agency have up-to-date internal SOPs for 

your FOIA administration?

Yes. The Disclosure Division reviews FOIA SOPs throughout the fiscal year and 

updates SOPs to address new policies and procedures.

5. If not, please provide a timeline for when your agency plans to develop or update its 

SOPs.

N/A.

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

records outside of the FOIA process?

Yes. There are alternative means of access to some first-party requested records 

outside of the FOIA process. 

7. If yes, please provide examples. If no, please explain if such opportunities exist at 

your agency and whether there are any challenges in establishing alternative means of 

access.

Some first party (Privacy Act) records such as participants’ pension specific 

records are delivered by PBGC’s Office of Benefits Administration. PBGC also 

makes some first party information available via www.pbgc.gov/mypba, where

Participants can electronically access and request first-party records using their 

own login information. These first party requested records include requests for

income verifications, pension beneficiary designations, benefit election forms,

and benefit determinations. 

8. Did your agency conduct a self-assessment of its FOIA administration during the 

reporting period? If so, please describe the self-assessment methods used, such as 

analyzing Annual Report or raw data, using active workflows and track management, 

reviewing, and updating processing procedures, etc. In addition, please specifically 

highlight any data analysis methods or technologies used to assess your agency's 

FOIA program.

The Disclosure Division conducts a self-assessment of its FOIA administration at 

the end of each fiscal year. The division reviews the Annual Report and weekly 

reviews data from the division’s FOIA processing tool to improve timeliness and

efficiency.

The Disclosure Division reviews and amends its team-based business model for 

efficiency annually. In the team-based model, each team is responsible for a 

category of requests. During the annual business model review, the Disclosure 

Division reassigns categories of requests, develops new categories of requests, 
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and discusses how to improve processing procedures for consistency. The 

Division then conducts training throughout the year based upon the new 

business model. This annual review and training plan allows members of each 

team to be more proficient in their assigned duties and develop skills to be crossfunctional across all the teams. 

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 FY 2021 (please provide a total number or an estimate of 

the number).

The Disclosure Division estimates that requesters sought assistance from the 

FOIA Public Liaisons approximately 8 times. 

10. Has your agency reviewed its FOIA-related staffing capabilities to identify resources 

needed to respond to current and anticipated FOIA demands?

needed to respond to current and anticipated FOIA demands?

Yes. 

The Disclosure Division regularly reviews the number of incoming requests and 

the subject matter of requests to identify training topics for current staff 

members and to determine the appropriate number of staff members needed to 

perform the job effectively and efficiently.

For example, the Division anticipates an increase in FOIA requests regarding 

PBGC’s Special Financial Assistance Program under the recently enacted ARP. 

As noted above, that statute established the SFA Program for eligible financially 

troubled multiemployer plans. It is expected to provide financial assistance to 

more than 250 eligible plans covering 3 million people. To effectively respond to 

this anticipated increase, the Disclosure Division hired and assigned a 

Government Information Specialist to process all ARP-related FOIA requests 

and proactive disclosures pertaining to the Special Financial Assistance 

Program.
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11. Optional -- Please describe:

• Best practices used to ensure that your FOIA system operates efficiently and 

effectively.

• Any challenges your agency faces in this area.

For years now, the PBGC has socialized numerous best practices to ensure that 

its FOIA system operates efficiently and effectively. These best practices have 

been integral to mitigating challenges relating to the adequacy of searches, 

performance, training, and outreach. Some of these areas are described below:

• Senior Leader Support of the FOIA

The General Counsel and the Deputy General Counsel have supported 

the Disclosure Division’s search initiatives by engaging their peers and 

promoting compliance at the highest levels of the corporation.

• Use of Technology (i.e., FOIAonline, SharePoint)

The Disclosure Division currently uses FOIAonline as its workflow 

system, allowing requesters to submit requests directly into the workflow 

system. FOIAonline also works as a repository for information. As such, 

trends and repeat requests are easily captured. PBGC is fully 

interoperable with the DOJ Application Programming Interface

program, so requesters may submit requests in the centralized location

(www.foia.gov). 

• Groundbreaking Training Portfolio

The Disclosure Division conducts a FOIA overview to all PBGC new 

hires. It also conducts training to program offices before issuing search 

requests for the first time or by request. Further it conducts a structured 

two-week onboarding plan for all division new hires. The Disclosure 

Division staff conducts weekly training during the last 30-minutes of 

every staff meeting. Staff members volunteer, select and conduct training 

on topics they perceive as derailers. This provides a two-fold goal: 1) 

professional relatedness; and 2) individual responsibility and 

accountability for professional development. 

• Pass or Fail Performance Metrics

The Disclosure Division interactively achieved clear objectives and 

goals in the form of individual performance plans. Employees are held 

accountable for their performance in four areas that are weighted by 

grade level: 1) Provides timely and concise responses...; 2) Provides 

quality analysis...; 3) Teamwork; and 4) Customer Service. The 
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Disclosure Officer conducts quarterly performance reviews using 

objective performance data. In addition to an annual performance 

evaluation, employees are regularly recognized for their achievements 

throughout the year during weekly staff meetings. PBGC’s two-tier 

performance system: Pass or Fail, which was implemented in FY 2020, 

has refocused measuring performance effectiveness on concrete, 

reducing subjectivity around measuring critical skills gaps.

• Streamlined Quality Assurance Reviews

Government Information Specialists navigate a streamlined quality 

assurance process to ensure uniformity and quality assurance. They 

commence records searches using read-only access to PBGC systems 

and/or send search requests to record originators no later than the 5th

day after the case has been assigned. Record custodians and supervisors 

must sign the search form upon completion of the search. Responsive 

records are reviewed, ensuring redactions are aligned with the statute, 

applicable case law, and relevant PBGC policy and outlined in the 

determination letter. Most, if not all disclosure determination packages

are reviewed at least twice by multiple individuals. 

• Best Answer Approach Model

The Disclosure Division recognizes that there may be multiple answers or 

strategies to respond to any one request. The “Best Answer Approach” 

implies an understanding of the records obtained from the appropriate 

subject matter expert/record originator, and the disclosure approach 

must align with applicable statutes and case law with forethought on how 

the disclosure package would evolve if appealed. The approach also 

emphasizes the need to fulfill the requests aligned with requester’s 

intentions and purpose and in line with the FOIA. This approach 

encourages research, communication, and collaboration.
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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. Please describe what steps your agency takes to identify, track, and post (a)(2) 

proactive disclosures?

PBGC identifies records of substantial public interest, by using its processing 

tool to identify FOIA requests for the same records. 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/sites/default/files/documents/pbgc-annualreport-2021.pdf;

• Guidance for Practitioner’s 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/pbgcprotects-pensions;

• PBGCs 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. 
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PBGC uses both Facebook and Twitter to notify the public of recently released 

information.

3. Does your agency disseminate common types of material outside of FOIA, including 

in online databases where the public may access them? If yes, please provide 

examples and, if applicable, statutory authority.

Yes, PBGC maintains online databases where the public may access relevant 

information. For example, the public can search for Pension Plans trusteed by 

PBGC here: https://www.pbgc.gov/search-trusteed-plans.

The public can also access PBGC Standard Reports, including ERISA 4010 

Reports, Projection Reports, Strategic Plans, and Pension Insurance Modeling 

System Reports, and Multiemployer 5-year Reports here: 

https://www.pbgc.gov/news/standard-reports.

PBGC is now also posting materials regarding the new SFA Program, including 

instructions, guidance, and FAQs on its website. This also includes copies of 

applications by plans for SFA and the status of SFA applications. This material 

can be found here: https://www.pbgc.gov/arp-sfa.

4. 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, PBGC is taking steps to make posted information more useful to the public 

and to its participants. The agency’s website is appropriately indexed.

5. 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.

During Fiscal Year 2021, PBGC conducted a content review of the PBGC.gov

website. All content pages were streamlined and reviewed for navigation and 

content to ensure a better user experience. This process included making sure all 

information uploaded to the website is posted in open, machine-readable, and 

machine-actionable formats.

6. Does your proactive disclosure process or system involve any collaboration with 

agency staff outside the FOIA office? If so, describe this interaction.

Yes. The Disclosure Division advises and collaborates with program offices, 

public affairs, and communications staff on the disclosure of information of 

public interest. 
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During this reporting period, enactment of the American Rescue Plan Act of 

2021 (ARP) required PBGC to create a new Special Financial Assistance 

Program. In concert with the Multiemployer Program, the Disclosure Division 

reviews Special Financial Assistance (SFA) applications prior to proactive 

disclosure on PBGC’s website.

Optional -- Please describe:

• Best practices used to improve proactive disclosures

• Any challenges your agency faces in this area

PBGC faces challenges with proactively and/or discretionary releasing 

frequently requested records because many responsive records are initially 

retrieved as the result of a Privacy Act request.
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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.

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

resources needed to respond to current and anticipated FOIA demands?

PBGC routinely engages in market research for a new tracking and processing 

tools and other emerging technologies to support its FOIA Program. 

2. Please briefly describe the types of technology your agency uses to support your 

FOIA program.

The PBGC utilizes SharePoint, LeapFile, Rapid Redact, Adobe Acrobat Pro and 

Microsoft Teams.

SharePoint: SharePoint allows collaborative processing of documents and 

disclosure determinations. 

LeapFile: A secure and encrypted portal to share voluminous records and 

protected information with requesters. This tool reduces processing time,

duplication costs, and is integral to the Division’s remote operation. 

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. 

Microsoft Teams: The PBGC uses Microsoft Teams to conduct interactive 

virtual trainings on FOIA related topics and convene meetings to discuss the 

processing of requests.
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3. OIP issued guidance in 2017 encouraging agencies to regularly review their FOIA 

websites to ensure that they contain essential resources, and are informative and userfriendly. Has your agency reviewed its FOIA website(s) during the reporting period 

to ensure it addresses the elements noted in the guidance?

Yes, the PBGC reviewed its FOIA websites during this reporting period to 

ensure it addressed the elements noted in the guidance.

4. Did your agency successfully post all four quarterly reports for Fiscal Year 2021 on 

your agency’s website and on FOIA.gov?

Yes, the PBGC posted all four quarterly reports for Fiscal Year 2021. PBGC’s 

website links requesters to FOIA.gov to access the quarterly reports.

5. 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 2022.

N/A. The PBGC successfully posted all quarterly reports for Fiscal Year 2021.

6. 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 2020 Annual FOIA Report and, if available, for 

your agency’s Fiscal Year 2021 Annual FOIA Report. 

The raw data from FY 2020 Annual FOIA Report can be found here:

https://www.pbgc.gov/about/pg/footer/foia/foia-annual-reports

7. Optional -- Please describe:

• Best practices used in greater utilizing technology

• Any challenges your agency faces in this area
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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 FY 2020 and 2021 Annual FOIA Reports.

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 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 2021?

Yes, the average number of days to process simple requests in Fiscal Year 2021 

was 12.9 days.

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

2021 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.

PBGC estimates the percentage of requests processed in Fiscal Year 2021 and 

placed in the simple track was ± 58%.
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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. PBGC tracks simple requests separately. However, the average number of 

days to process all non-expedited requests was twenty working days or fewer.

B. Backlogs

When answering these questions, please refer to you Fiscal Year 2021 Annual FOIA Report, 

Sections XII.D-E, which compare the numbers of requests and appeals received, processed, 

and backlogged between Fiscal Years 2020 and 2021.

BACKLOGGED REQUESTS

5. If your agency had a backlog of requests at the close of Fiscal Year 2021, according 

to Annual FOIA Report Section XII.A, did that backlog decrease as compared with 

the backlog reported at the end of Fiscal Year 2020?

N/A. PBGC did not have a backlog of requests at the close of Fiscal Year 2021.

PBGC did not have a backlog of requests at the close of Fiscal Year 2020.

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

more requests during Fiscal Year 2021 than it did during Fiscal Year 2020?

N/A.

7. If your agency’s request backlog increased during Fiscal Year 2021, 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:

• 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. PBGC has not had a backlog for the past seven years, nor for Fiscal 

Year 2021. 
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8. 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 

2021. 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. The PBGC did not have a backlog at the close of Fiscal Year 2021.

BACKLOGGED APPEALS

9. If your agency had a backlog of appeals at the close of Fiscal Year 2021, 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 2020?

N/A. PBGC did not have a backlog of appeals at the close of Fiscal Year 2021.

PBGC did not have a backlog of appeals at the close of Fiscal Year 2020.

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

process more appeals during Fiscal Year 2021 than it did during Fiscal Year 2020?

N/A. The PBGC did not have a backlog of appeals in 2021 nor in 2020.

11. If your agency’s appeal backlog increased during Fiscal Year 2021, 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:

• 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.

N/A. The PBGC did not have a backlog of appeals in 2021 nor in 2020.

12. 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 

2021. 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 
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receive any appeals in Fiscal Year 2021 and/or has no appeal backlog, please answer 

with "N/A."

N/A. PBGC did not have a backlog of appeals in 2021.

C. Backlog Reduction Plans

13. In the 2021 guidelines for Chief FOIA Officer Reports, any agency with a backlog of 

over 1000 requests in Fiscal Year 2020 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 2021?

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

required to create a backlog reduction plan in accordance with 2020 guidelines. 

14. If your agency had a backlog of more than 1,000 requests in Fiscal Year 2021, please 

explain your agency’s plan to reduce this backlog during Fiscal Year 2022. In 

particular, please also detail how your agency developed and plans to execute your 

backlog reduction plans.

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

implementing its corporate-initiated annual backlog reduction plan.

D. Status of Oldest Requests, Appeals, and Consultations

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 2020 and Fiscal Year 2021 when completing this section of your Chief FOIA 

Officer Report.
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OLDEST REQUESTS

15. In Fiscal Year 2021, did your agency close the ten oldest pending perfected requests 

that were reported in Section VII.E. of your Fiscal Year 2020 Annual FOIA Report?

Yes, the PBGC closed the ten oldest requests that were pending at the end of 

Fiscal Year 2020.

16. 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 2020 Annual 

FOIA Report. If you had fewer than ten total oldest requests to close, please indicate 

that.

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

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

to reduce the overall age of your pending requests.

The Disclosure Division cultivated a new intake process for incoming FOIA and 

Privacy Act requests. The Division hired of a full-time intake specialist 

dedicated solely to uploading new requests to the electronic processing system 

and conducting an initial review of requests. This allowed the Disclosure 

Division to immediately address time sensitive issues with requesters and 

quickly focus on complex processing issues.

TEN OLDEST APPEALS

18. In Fiscal Year 2021, did your agency close the ten oldest appeals that were reported 

pending in Section VI.C.5 of your Fiscal Year 2020 Annual FOIA Report?

Yes, PBGC closed 1 of 1 pending requests from Fiscal Year 2020.

19. 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 VI.C.(5) of your Fiscal Year 2020 

Annual FOIA Report. If you had fewer than ten total oldest appeals to close, please 

indicate that.

N/A. 

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

reduce the overall age of your pending appeals.

The PBGC has routinely closed all appeals within the statutory time limit.
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TEN OLDEST CONSULTATIONS

21. In Fiscal Year 2021, did your agency close the ten oldest consultations that were 

reported pending in Section XII.C. of your Fiscal Year 2020 Annual FOIA Report?

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

Year 2021.

22. 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 2020 

Annual FOIA Report. If you had fewer than ten total oldest consultations to close, 

please indicate that.

N/A.

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

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

appeals, and consultations from Fiscal Year 2020.

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

appeals or consultations.

24. 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 and appeals.

25. 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 2022.

N/A. The PBGC closed its ten oldest requests and appeals.
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F. Success Stories

Out of all the activities undertaken by your agency since March 2021 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, but should not be something that 

you have reported in a prior year. 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.

• Helping Beyond FOIA: The PBGC Disclosure Division is always committed to 

providing exceptional customer service to requesters. However, the Disclosure 

Division has consistently served its requesters, often serving beyond responding 

to the Freedom of Information Act request in response to the pandemic. PBGC’s 

requester population is mature, and some appear to have been overwhelmingly 

impacted by the pandemic. To assist requester’s during these unprecedented 

times, Government Information Specialists often facilitate phone conferences

and virtual meetings with other PBGC program offices. These connections have

assisted requesters with interpreting records, obtaining real-time telephonic

explanations about benefit determinations, and directing family members of 

deceased participants to estate assistance. 

To achieve this effective system of connecting requesters to resources outside of 

the FOIA process, Government Information Specialists have leveraged

relationships throughout the corporation, maximizing collaborative efforts. 

These collaborations have benefited requesters and expanded programmatic 

outreach and awareness efforts, creating greater awareness of individual FOIA 

compliance and procedural requirements. The Division has also formulated 

scripts and prescriptive training on communication with requesters, which has 

greatly improved efficiency in this process.

• Implementing Resilience and Relatedness: The Disclosure Division added

organizational well-being topics and training exercises to its already virtual and 

robust training program; some training topics were unrelated to the FOIA. 

These new training topics included subjects on mindfulness, stress management, 

personality preferences, writing, critical thinking, case processing lessons 

learned, and improving IT skills. These training topics proved beneficial to

Government Information Specialists desiring improvement of the people-side of

FOIA processing. By developing skills required to interact with requesters,
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manage increasing caseloads, and work cohesively with new team members has 

positively impacted the disconnectedness and isolation caused by the pandemic.

• The Division held a virtual Family Feud game, where team members tested their 

knowledge of the FOIA and the Privacy Act. The exercise served as a fun way to 

refresh team members’ knowledge on the procedural requirements of the FOIA

and the Privacy Act, as well as boosted team morale. 

• Maintaining a Zero Backlog with Autonomy: The Disclosure Division has 

remarkably continued an eight-year history of ending the fiscal year with no 

backlogged requests or appeals, even amid a pandemic. The Disclosure Division 

maintained this achievement despite an increase in the number of complex

requests received; virtually training and onboarding numerous team members 

with less than one year experience, and while operating a fully virtual disclosure 

operation. During this reporting period, the division processed technically

complex and voluminous requests, requiring review and redaction of thousands 

of records. These requests spanned many subject matters and sometimes 

required concerted efforts across the entire division.

• The Division’s evolving training portfolio coupled with its business model, 

nicknamed “the Jigsaw,” allows employees autonomy and the value of choice. 

Staff member choose their desired team based on perceived strengths of FOIA 

request types or preferred team-mates. With so many things being out of an 

employees’ control, the Jigsaw promotes autonomy and the sense of choice, 

which appeared to play a huge role in efficiency, effectiveness, comradery and 

ending the year with no backlog.