PENSION BENEFIT GUARANTY CORPORATION

2020

CHIEF FOIA OFFICER’S REPORT

Acting Chief FOIA Officer: Margaret Drake, Deputy 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................................... 5

A. FOIA Leadership: ............................................................................................................. 5

B. FOIA Training:.................................................................................................................. 5

C. Outreach: ........................................................................................................................... 7

D. Other Initiatives: ............................................................................................................... 8

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........................................ 15

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

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

Reducing Backlogs.......................................................................................................... 19

A. Simple Track: .................................................................................................................. 19

B. Backlogs: .......................................................................................................................... 20

BACKLOGGED REQUESTS................................................................................................ 20

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

C. Backlog Reduction Plans ................................................................................................ 21

D. Status of Ten Oldest Requests, Appeals, and Consultations:...................................... 23

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

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

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

Additional Information on Ten Oldest Requests, Appeals, and Consultations & Plans:. 24

Success story.................................................................................................................... 26
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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 and adjusted yearly. For plans that 

end in 2019, the maximum guarantee for workers who retire at age 65 is $67,295 yearly 

($5,607.95 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.

OUR CUSTOMERS0F

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

terminate. By contrast, in the multiemployer program, the insured event is plan insolvency. 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 34 million people in about 25,000 singleemployer 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

estimated 1.5 million people whose present and future pension benefits depend on the 

Corporation. Participants in plans now administered by PBGC depend on PBGC for their 

retirement security and expect quick, accurate benefit determinations and prompt, uninterrupted 

benefit payments. PBGC's customers also include the companies with PBGC-insured plans and 

the pension professionals who assist them. They expect PBGC to 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

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

and Contractors.

1See PBGC Customer Service Fact Sheet: https://www.pbgc.gov/about/factsheets/page/customer-service
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SECTION I: STEPS TAKEN TO APPLY THE PRESUMPTION OF 

OPENNESS

The guiding principle underlying the President's FOIA Memorandum and the Attorney 

General'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 least at the Assistant Secretary or equivalent level. Is your agency’s 

Chief FOIA Officer at or above this level? 

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

Department Director, Deputy General Counsel, Senior Agency Official for 

Privacy (SAOP) and the Designated Agency Ethics Official (DAEO).

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

Margaret Drake, Acting Deputy General Counsel, Acting Chief FOIA 

Officer and Acting SAOP.

B. FOIA TRAINING:

3. 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, the PBGC’s FOIA professionals and personnel who have FOIA 

responsibilities attended substantive FOIA training and/or conferences 

during this reporting period.

4. 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 2019, the 

PBGC held 37 conferences and/or training sessions, an increase from the 34

held the previous year. They are described below: 
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Training Sessions Topics Covered Dates Administered

Division (Internal) 

Training

The Division 

conducts periodic 

training on a variety 

of topics to ensure 

efficient and accurate 

processing of FOIA 

requests.

• Discussion on Use of Social Security 

Numbers April 3, 2019

• Discussion on Clarity, Compliance and 

Completeness 

April 24, 2019, May 8, 

2019, May 26, 2019

• Discussion on Restructuring Process May 13, 2019

• Discussion on Intake Changes/Process June 5, 2019

• Onboarding Training for New DD 

Employees

June 24 – July 5, 2019, 

July 8 – 19, 2019 

• Discussion on Privacy Act Routine Use 

for IVLs July 3, 2019

• Discussion on Records Search - Privacy 

Act v. FOIA July 10, 2019

• Discussion on Supreme Court Decision 

Regarding FOIA Exemption 4 July 17, 2019

• Interpreter Service Training July 24, 2019

• Discussion on Tips for Processing FOIA 

Requests July 31, 2019

• Onboarding Training for New Contractor 

Employees

August 5 – 16, 2019, 

October 22 – November 

1, 2019, November 4 –

15, 2019

• Discussion on Backlog Reduction 

Planning August 14, 2019

• Discussion on DD’s Business Model

October 1, 2019, 

October 30, 2019, 

November 18, 2019

• Discussion on Court’s Decision Regardin 

Burka Four-Factor Test December 4, 2019

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

January 23, 2019, March 

20, 2019, June 19, 2019, 

September 18; 2019, 

December 18, 2019

• Outreach and Awareness: Discussion 

on FOIA Exemptions and Supreme 

Court Decision Regarding FOIA 

Exemption (b)(2) High and Low

March 15, 2019

• Outreach and Awareness: FOIA 

Briefings – Office of the Director

May 23, 2019, 

September 4, 2019

• Outreach and Awareness: FOIA 

Overview - Procurement Department May 30, 2019

• Outreach and Awareness: FOIA 

Liaison Training – Office of the 

Director

August 30, 2019

• Customer Contact Center’s FOIA and 

the Privacy Act Training

January 31, 2019, April 

9, 2019; June 20, 2019, 

August 6, 2019
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• FOIA Overview for Proposed Rule November 6, 2019

• Discussion on Third-Party Requests for 

Proposed Rule December 11, 2019

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

FOIA responsibilities who attended substantive FOIA training during this 

reporting period.

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

responsibilities attended substantive FOIA training during this reporting 

period.

6. 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:

7. 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 dialog, and, if applicable, any 

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

FOIA administration.

Yes. The PBGC routinely 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 answering questions and helping

requesters navigate the FOIA process. This year, the PBGC’s efforts 

especially focused on shaping the request scope at the Intake Triage stage. 

The public is often unaware that the PBGC is a federal agency. Therefore, 

training and outreach efforts in pivotal to efficiency. In response to 

numerous requests, the Disclosure Division contacted requesters to discuss 

the scope of submitted requests. When necessary, the Disclosure Division 

contacts other PBGC offices to collaborate too, thus ensuring extraordinary 

customer-centered service. One request sought participant-level data for 

morbidity projection purposes; the draft response had clear grounds for
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denying disclosure. Instead of denying the request on its face, the PBGC 

contacted the requester to discuss privacy concerns. By contacting the 

requester, coupled with internal collaborations (i.e. programmatic subject 

matter experts, the Privacy and Ethics offices, etc.), the PBGC helped the 

requester reformulate his request. These contacts led to robust discussions 

about how and which datasets could be logically gathered and ultimately 

released. The Disclosure Division issued a disclosure determination on the

reformulated request, disclosing data at an aggregate level so no one 

participant was identified. The PBGC believes the quality of its outreach and 

dialogue can be measured by the number of appeals received and the number 

of appeals granted. 

Additionally, the PBGC actively engaged its participants, who make up more 

than 80% of the requester population, 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.

D. OTHER INITIATIVES:

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

professionals of their obligations under the FOIA. In 2016, the Department 

publicized FOIA-related performance standards for employees that have any role 

2 If the links do not work, please cut and paste in your web browser.
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in administering the FOIA, including non-FOIA professionals. Please also 

indicate whether your agency has considered including FOIA-related performance 

standards in employee work plans for employees who have any role in 

administering the FOIA.

The PBGC has undertaken steps to inform non-FOIA professionals of their 

obligations under the FOIA. The PBGC provides FOIA training to all new 

hires (federal employees and contractor employees) during their orientation. 

In addition, the PBGC trains contractor employees in its Customer Call 

Center and Document Management Centers on how to respond to customers 

seeking specific information that is likely protected by the FOIA and/or the 

Privacy Act. The Division works concurrently with the Field Benefit 

Administrators, the Customer Call Center, and the Document Management 

Centers to responds to high-volume requests, such as income verification 

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

able to identify and appropriately re-direct various types of FOIA and 

Privacy Act requests that they routinely encounter.

In 2016, the PBGC carefully reviewed the Department’s publicized FOIArelated performance standards for employees with roles in administering the 

FOIA, including non-FOIA professionals. As part of PBGC’s ongoing 

performance management plan, employees specifically assigned to the 

Disclosure Division are held accountable for their performance in four areas: 

1) Provides timely and concise responses...to FOIA and Privacy Act 

requests; 2) Provides quality analysis...for FOIA and Privacy Act requests; 

3) Team Work; and 4) Customer Service. The Disclosure Officer conducts 

quarterly performance reviews using objective performance data. 

As a part of its Outreach and Awareness activities, the Disclosure Division 

promoted the inclusion of FOIA-related performance standards for nonFOIA professionals. Recognizing that performance planning is a 

programmatic action between a supervisor and employee, the Disclosure 

Division annually hosts a recognition ceremony for its “Top Ten Supporters” 

and their supervisors. The incumbents are non-FOIA professionals who 

serve as FOIA Liaisons as a collateral duty. This activity creates visibility for 

high performers, and the individualized vignettes provide a descriptive 

crosswalk between FOIA requirements and performance. The PBGC will 

continue promoting FOIA-specific performance standards for non-FOIA 

professionals. 

9. 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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In FY2019, the PBGC announced it had enhanced its three-layered review

for “no records” search procedures by implementing the agency’s first “No 

Records” Checklist. A “no records” determination is issued when the agency 

has searched locations where responsive records are known to be located. 

The Disclosure Division created a checklist, which specifically lists additional 

locations where records might be stored and/or maintained. Before issuing a 

“no records” determination, two individuals in addition to the Government 

Information Specialist assigned to the request, used the checklist and also

searched all of the locations appearing on the checklist. These additional 

searches occurred before the disclosure package was submitted for final 

review. The PBGC believes that this process fostered the presumption of 

openness by taking steps to ensure the quality and adequacy of its record 

searches. In FY2019, the PBGC received 2,348 requests and received only 9 

appeals; none of the Disclosure Division’s initial determinations were 

overturned; and none were even partially granted due to an inadequate 

search.
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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 describes your agency's efforts in this area.

1. For Fiscal Year 2019, 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 2019 Annual FOIA Report.

6.93 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 less than 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. In January 2019, the PBGC reviewed and evaluated several processes:

intake, expedited/fee waiver processing, and workflow management by 

comparing its standard operating procedures (SOPs) and regulations to 

actual practices. The evaluation resulted in a decision to continue monitoring 

PBGC’s FY2018 update to its search procedures pertaining to the “no 

records” disposition. The 2019 performance measures for this procedure are

described above in Section I.D.9.

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 

an estimate of the number of times requesters sought assistance from your 
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agency’s FOIA Public Liaison during FY 2019 (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 4 times.

5. Please describe the best practices used to ensure that your FOIA system operates 

efficiently and effectively and 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:

o Senior Leader Support of the Division: 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.

o Performance Management: 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 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.

o End-of-Year Backlog: At the beginning of August, the Disclosure 

Officer rebalances workloads by redistributing and/or reassigning all 

open and overdue cases among staff members. On or about the third 

business day in September, the Disclosure Division reviews all open 

cases to confirm the disclosure strategy/course of action and identifies

obstacles that might delay case closure; any obstacles are resolved 

quickly.

o Workflow Management: Government Information Specialists must 

conduct searches or send search requests to record custodians no later 

than the 5th working day after the request has been assigned.
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 Read-only Access: The PBGC has read-only access to 

various Systems of Records, which allows Government 

Information Specialists to search for responsive records. 

 Improved Search Techniques: In FY 2018 the Disclosure 

Division augmented its business model, expounded on in its 

two-prior Chief FOIA Officer Reports, by adding a NoRecords Search Plan and Checklist. The increased 

exchange and collaboration between Record custodians, 

Subject Matter Experts, and Corporate FOIA Liaisons 

resulted in a more robust search. Record custodians and 

their supervisor must sign the search form upon 

completion.

 Review: The Disclosure Division’s Standard Operating 

Procedures establish that draft determination packages

must be submitted to first reviewer by the 15th working 

day; exceptions are granted by the Team Coordinator, 

Deputy or Disclosure Officer. Reviewers must finalize 

review, approve or return the case for corrections within 2-

3 days. All deliverables require at least 2 reviews; certain

deliverables require 3 reviews.

 Best Answer Approach: 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 Disclosure Division 

endeavors to respond with the best answer approach, even 

if the answer comes from someone other than who the case 

is assigned. This approach encourages research, 

communication, and collaboration.

o Training, Outreach & Awareness: 

 Training: The Disclosure Division conducts FOIA training 

to all PBGC new hires and conducts ad-hoc training to 

program offices who have been sent a search request for 

the first time or for a perceived complicated request. 

Disclosure Division conducts internal training during its 

weekly staff meetings. For all division new hires, the 

Disclosure Division conducts a 2-week onboarding plan.
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 Outreach & Awareness: Annually, the Disclosure Division 

nominates 10 employees, selected throughout the 

corporation. These employees and their supervisors are 

invited to a small reception in which they are recognized 

for their support of the agency’s disclosure mission.
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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 any material that your agency has proactively disclosed during 

the past reporting year, including records that have been requested three or more 

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

materials as well.

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:

https://www.pbgc.gov/news/press/releases/pr20-01

6) PBGC Newsletters and Publications:

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

7) Finding Unclaimed Pensions:

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

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

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

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

https://www.pbgc.gov/a-zindex.

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

PBGC uses public and user feedback to improve communication and 

outreach efforts. In FY2019, the PBGC emphasized its policy on how thirdparties can access certain records about others. 

https://www.pbgc.gov/wr/transactions/power-attorney

4. Optional—Please describe:
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• best practices used to improve proactive disclosures;

• and any challenges your agency faces in this area. 

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

using web analytics and customer surveys to determine what PBGC

customers are looking for. The PBGC uses this data to evaluate and update

its web design to accommodate popular actions and tasks. 

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. Is your agency leveraging or exploring any new technology to facilitate efficiency 

in its FOIA administration that you have not previously reported? If so, please 

describe the type of technology. 

No. The PBGC is not formally exploring any new technology to facilitate its 

FOIA administration.

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

websites to ensure that they contain essential resources and are informative and 

user-friendly. Has your agency reviewed its FOIA website(s) during the reporting 

period to ensure it addresses the elements noted in the guidance? 

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

ensure it addressed the elements noted in the guidance.

3. Did your agency successfully post all four quarterly reports for Fiscal Year 2019?

Yes, the PBGC posted all four quarterly reports for Fiscal Year 2019.
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4. 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 2019.

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

2019. 

5. 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 2018 Annual FOIA Report and, 

if available, for your agency’s Fiscal Year 2019 Annual FOIA Report.

The raw data from Fiscal Year 2018 Annual FOIA Report can be found 

here: https://www.pbgc.gov/sites/default/files/fy18-foia-raw-data.xlsx

The raw data from FY 2019 Annual FOIA Report can be found here: 

• https://www.pbgc.gov/sites/default/files/fy19-foia-annual-report.pdf

• https://www.pbgc.gov/sites/default/files/fy19-foia-report-associated-datafile.xml

• https://www.pbgc.gov/sites/default/files/fy19-foia-raw-data.xlsx

6. Optional—Please describe:

• Best practices used in greater utilizing technology; and

• 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 2019 Annual FOIA Report and, when applicable, your agency’s 2018 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, the PBGC utilizes a separate track for simple requests.

2. If your agency uses a separate track for simple requests, was the agency overall 

average number of days to process simple requests twenty working days or fewer 

in Fiscal Year 2019?

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

2019 was 10.87 days.

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

2019 that were placed in your simple track. 

The PBGC estimates the percentage of requests processed in Fiscal Year 

2019 and placed in the simple track was 51%.

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. However, the average 

number of days to process all non-expedited requests was twenty working 

days or fewer.
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B. BACKLOGS:

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 2018 and Fiscal Year 2019 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 2019, did that 

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

2018?

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

Year 2019; the PBGC did not have a backlog of requests at the close of Fiscal 

Year 2018.

6. If not, did your agency process more requests during Fiscal Year 2019 then it did 

during Fiscal Year 2018.

N/A.

7. If your agency’s request backlog increased during Fiscal Year 2019, 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. The PBGC has not had a backlog for the past five years.

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 2019. 

N/A. The PBGC did not have a backlog at the close of Fiscal Year 2019.
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BACKLOGGED APPEALS

9. If your agency had a backlog of appeals at the close of the Fiscal Year 2019, did 

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

Year 2018?

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

2019; the PBGC did not have a backlog of appeals at the close of Fiscal Year 

2018.

10. If not, did your agency process more appeals during Fiscal Year 2019 than it did 

during Fiscal Year 2018?

N/A. The PBGC processed less appeals compared to Fiscal Year 2018.

11. If your agency’s appeal backlog increased during Fiscal Year 2019, 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.

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

possible.

N/A.

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 2019. If your agency did not receive any appeals in Fiscal Year 2019 

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

N/A.

C. BACKLOG REDUCTION PLANS

13. In the 2019 guidelines for Chief FOIA Officer Reports, any agency with a 

backlog of over 1,000 requests in Fiscal Year 2018 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 
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implementing this plan and note if your agency was able to achieve backlog 

reduction in Fiscal Year 2019.

N/A. The PBGC did not have a backlog in Fiscal Year 2019; the PBGC was 

not required to create a backlog reduction plan in accordance with 2018

guidelines.

14. If your agency had a backlog of more than 1,000 requests in Fiscal Year 2019, 

what is your agency’s plan to reduce this backlog during Fiscal Year 2020?

N/A. The PBGC did not have a backlog in Fiscal Year 2019. The PBGC will 

continue implementing its agency-initiated annual backlog reduction plan as 

described in Section II.5.D.
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D. STATUS OF TEN 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 2018 and Fiscal Year 2019 when completing this section of 

your Chief FOIA Officer Report.

TEN OLDEST REQUESTS

15. In Fiscal Year 2019, did your agency close the ten oldest requests that were 

reported pending in your Fiscal Year 2018 Annual FOIA Report?

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

Fiscal Year 2018.

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 2018

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.

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

took to reduce the overall age of your pending requests.

At the beginning of August, the Disclosure Division rebalances workloads by 

redistributing and/or reassigning all open and overdue cases among staff 

members. On or about the third business day in September, the Disclosure 

Division reviews all open cases to confirm disclosure strategy/course of action 

and identifies obstacles that might delay case closure; any obstacles are 

resolved quickly.

TEN OLDEST APPEALS

18. In Fiscal Year 2019, did your agency close the ten oldest appeals that were 

reported pending in your Fiscal Year 2018 Annual FOIA Report?

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

Fiscal Year 2018.
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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 VII.C.(5) of your Fiscal Year 

2018 Annual FOIA Report. If you had less than ten total oldest appeals to close, 

please indicate that.

N/A. The PBGC had one pending appeal at the end of Fiscal Year 2018.

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. To 

ensure this trend continues, the PBGC staff responsible for adjudicating 

appeals attended DOJ training in Fiscal Year 2019.

TEN OLDEST CONSULTATIONS

21. In Fiscal Year 2019, did your agency close the ten oldest consultations that were 

reported pending in your Fiscal Year 2018 Annual FOIA Report?

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

2018.

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 

2018 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:

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

appeals, and consultations from Fiscal Year 2019. 

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.
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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 2020. 

N/A. The PBGC closed its ten oldest requests and appeals.
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SUCCESS STORY

Out of all the activities undertaken by your agency since March 2019 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.

• Conducted 37 training sessions and targeted discussions during the fiscal 

year, three more sessions than last fiscal year;

• Streamlined “no records” standard operating procedure, significantly 

decreasing the number of appeals to a single digit; and

• Maintained competency and read-only access to multiple systems, thus

allowing Disclosure Division staff to timely and adequately perform 

initial searches for certain types of records.