PENS ION BENEFIT GUARANTY CORPORATION

2015 

CHIEF FOIA OFFICER’S REPORT

Chief FOIA Officer: Philip Hertz, Deputy General Counsel 

Disclosure Officer: D. Camilla Perry

1200 K ST, NW

WASHINGTON, DC 20005
INTENTIONALLY LEFT B LANK

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TABLE OF CONTENTS

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

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

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

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

Outreach:..........................................................................................................................6

Discretionary Releases:.....................................................................................................7

Other Initiatives:...............................................................................................................9

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

Place for Responding to Requests .10

Personnel:

.10

...........................................................................

.......................................................................................................................10

Processing Procedures: ..................................................................................................

Requester Services..........................................................................................................11

Other Initiatives:.............................................................................................................12

Section III: Steps Taken to Increase Proactive Disclosures .....................................13

Posting Material: ............................................................................................................13

Other Initiatives:.............................................................................................................14

Section IV: Steps Taken to Greater Utilize Technology...........................................15

Online tracking of FOIA requests and appeals: ..............................................................15

Making Material Posted Online More Useful:................................................................. 16

Use of technology to facilitate processing of requests: .....................................................17

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

Reducing Backlogs...................................................................................................20

Simple Track: .................................................................................................................20

Backlogs:.........................................................................................................................21

Backlogged Requests.......................................................................................................21

Backlogged Appeals........................................................................................................21

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

Status of Ten Oldest Requests, Appeals, and Consultations:...........................................22

Ten Oldest Requests........................................................................................................23

Ten Oldest Appeals.........................................................................................................23

Ten Oldest Consultations ............................................................................................24

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

Interim Responses:..........................................................................................................24

Use of FOIA’s Law Enforcement “Exclusions” .......................................................25

Success story............................................................................................................25

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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.

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 ended in 2014, the maximum guarantee for workers

who retire at age 65 was $59,318.16 yearly ($4,943.18 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 CUSTOMERS1

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

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

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

expectations.

The PBGC guarantees payment of basic pension benefits earned by more than 41 million 

workers and retirees in nearly 24,000 plans. PBGC insures about 1,400 multiemployer plans

covering more than 10 million people. These participants in private-sector plans now

administered by PBGC depend on PBGC for their retirement security and expect quick,

accurate benefit determinations and prompt, uninterrupted benefit payments or financial

assistance to multiemployer plans. The PBGC’s single-employer program covers about 30.9 

million people (excluding those in plans that PBGC has trusteed).

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

professionals who assist them. These practitioners and plan administrators expect PBGC to

promptly and accurately process their premium payments, dispense reliable advice and rulings,

and resolve issues affecting their plans quickly and responsively. Practitioners include plan

sponsors and pension professionals such as lawyers, accountants, and actuarial consultants.

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

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

and Contractors.

1 See PBGC Customer Service Fact Sheet: http://www.pbgc.gov/res/factsheets/page/customer-service.html.

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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 

FOIA TRAINING:

1. Did your agency conduct FOIA training during the reporting period for FOIA 

professionals? Training can include holding an agency-wide FOIA conference, 

holding a seminar on a particular FOIA topic, or provided training to FOIA or 

agency staff during a staff meeting, among other types of training. However, the 

training provided should be substantive and should cover the application of the 

law and policy. 

Yes.

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

the topics covered. 

In Fiscal Year 2014, the PBGC held 11 conferences and/or training sessions as 

described below:

Date Topic Course Objective

1/15/14 FOIA Awareness & 

Privacy Access

Provide overview of the FOIA and Privacy 

Act and how the two statutes interface.

2/12/14 FOIA & Privacy 

Workshop

Building Consistency and uniformed 

disclosures.

3/12/14 Disclosure: Business 

Process

Provide overview of the FOIA and Privacy 

Act and how the two statutes interface.

4/21/2014 FOIA Awareness & 

Privacy Access 

Provide overview of the FOIA and Privacy 

Act and how the two statutes interface.

6/11/14 FOIA & Privacy 

Interface

Provide overview of the FOIA and Privacy 

Act and how the two statutes interface.

6/18/14 FOIA Fees Provide overview of FOIA fees and 

requester categories.

6/25/14 Fee Waivers Provide overview of the FOIA fee waiver 

criteria.

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8/13/14 Expedited Processing Provide overview of the FOIA expedited 

processing criteria.

10/1/14 FOIA Awareness & 

Privacy Access

Provide overview of the FOIA and Privacy 

Act and how the two statutes interface.

12/10/14 FOIA Awareness & 

Privacy Access

Provide overview of the FOIA and Privacy 

Act and how the two statutes interface.

12/18/14 FOIA Awareness & 

Privacy Access

Provide overview of the FOIA and Privacy 

Act and how the two statutes interface.

2. Did your FOIA professionals attend any FOIA training or conference during 

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

Yes.

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

with FOIA responsibilities who attended substantive FOIA training during this 

reporting period. 

More than 90%. 

5. In the 2014 Chief FOIA Officer Report Guidelines, OIP asked agencies to 

provide a plan for ensuring that core, substantive FOIA training is offered to all 

agency FOIA professionals at least once each year. Please provide the status of 

your agency’s implementation of this plan. Include any successes or challenges 

your agency has seen in implementing your plan 

PBGC continues to make substantive FOIA training a priority core goal for 

all of its Government Information Specialists and program end- users, as it 

has for many years. The Disclosure Officer communicates upcoming training

opportunities to Disclosure staff, designated FOIA Liaisons, and relevant

attorneys by either email, verbally and/or posting this information on the

Disclosure Division’s intranet web page. In addition to substantive FOIA

training, the Disclosure Division conducts a weekly 30-minute training

session in conjunction with the regularly scheduled division staff meeting.

These sessions foster a platform of shared knowledge and promote 

uniformity in responses.

OUTREACH:

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

requester community or open government groups regarding your administration 

of the FOIA? 

Indirectly, yes. The PBGC solicits feedback from its customers on a regular 

basis—this information is gathered through surveys, feedback and incoming 

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phone calls to PBGC’s Resolution Officers. As a result of comments from the 

public, in FY14 the Disclosure Division continued extending delegated 

authority to its corporate partners. This year, the delegated authority 

extended to Field Benefit Administrators was aligned with authority 

extended to the Customer Call Center and the Document Management 

Center in FY13. Extending delegated authority reduces bottle necks for 

requesters and allows these entities to release income verification 

information in response to a third-party requester when the written request 

is accompanied with consent. Also in response to plan participant/requester 

feedback, PBGC has made significant efforts to make information about 

PBGC easily accessible for varied audiences. Please see examples of PBGC’s 

outreach activities, currently posted on pbgc.gov, by clicking on the links 

below2

: 

1) http://www.pbgc.gov/about/pg/other/csp.html

2) http://www.pbgc.gov/about/new-to-pbgc.html

3) http://www.pbgc.gov/about/faq.html

4) https://www.youtube.com/watch?v=tUsN7jswF1I

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

Additionally, the Disclosure Officer worked with the White Task Force

focused on the National Action Plan 2.0’s commitment to create a single 

FOIA portal.

This question addresses outreach that is conducted outside of the individual 

request or appeal process. For example, outreach activities can include engaging 

with frequent requesters by holding meetings or events which include them, 

conducting surveys or otherwise soliciting requester feedback, or participating in 

any other requester initiative coordinated by your agency or by others, such as 

OIP.

7. If you did not conduct any outreach during the reporting period, please describe 

why? 

N/A. The PBGC conducted outreach during the reporting period.

DISCRETIONARY RELEASES: 

 8. Does your agency have a distinct process or system in place to review records 

for discretionary release? 

2 If the links do not work, please cut and paste in your browser.

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Yes.

If so, please briefly describe this process.

The PBGC has a formal process in place to review records for discretionary

release. For responses, invoking exemption (b)(5), the Disclosure Officer

reviews the withheld information to determine whether a foreseeable harm

could result from a release of the requested documents. If a foreseeable harm

does not exist, the Disclosure Officer works collaboratively with the record

originators, the Chief FOIA Officer and attorneys to make discretionary

releases.

If your agency is decentralized, please specify whether all components of your 

agency have such a process or system in place? 

N/A. The PBGC’s disclosure mission is centralized.

9. During the reporting period, did your agency make any discretionary releases 

of information? 

Yes.

10. What exemption(s) would have covered the material released as a matter of 

discretion? For a discussion of the exemptions that allow for discretionary 

releases, please see OIP’s guidance on implementing the President’s and Attorney 

General’s FOIA Memoranda. 

Exemption (b)(5).

11. Provide a narrative description, as well as some specific examples, of the 

types of information that your agency released as a matter of discretion during the 

reporting year.

 

During the reporting year, the PBGC discretionarily released more than 

16, 000 pages of records properly protected by Exemption (b)(5). Contained 

in the following were deliberative, attorney-client, and attorney workproduct materials:

• Trusteeship Working Group Memos

• Advisory Committee Meeting Minutes & Notes

• Auditor Notes & Calculations 

• Attorney-client Communications and Attorney Work-Product, i.e. 

Legal Opinions

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12. If your agency was not able to make any discretionary releases of information, 

please explain why. 

N/A. The PBGC made discretionary releases of information during the 

reporting period.

OTHER INITIATIVES:

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

professionals of their obligations under the FOIA? Efforts can include training 

for non-FOIA professionals, distributing memoranda on the FOIA, 

announcements on FOIA matters, etc. 

During this reporting year, the PBGC developed and implemented the use of 

a search form that is sent to record originators upon receipt of a FOIA

request. This form contains language about the originator’s responsibility to

conduct a reasonably calculated search. The recipient is required to describe

the search method, keywords, time spent (for calculation of fees), and they

must describe any foreseeable harm if the records were to be released; and 

the searcher’s signature is required certifying completeness. 

14. If there are any other initiatives undertaken by your agency to ensure that the 

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

these initiatives are online, please provide links in your description. 

In the first quarter of FY15, the Disclosure Division made two changes to the

implementation of the aforementioned search form:

1) We added a supervisor’s signature block. This change is a pilot that will

be evaluated at the end of March.

2) For complex and voluminous requests, the Disclosure Division began

conducting “Question and Answer” sessions with the relevant program 

offices to ensure shared meaning of the scope of records requested. These

sessions provide an opportunity for the Government Information

Specialist and responding program offices to talk with the requester, if

necessary.

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SECTION II: STEPS TAKEN TO ENSURE THAT YOUR AGENCY 

HAS AN EFFECTIVE SYSTEM IN PLACE FOR RESPONDING TO 

REQUESTS 

As the Attorney General emphasized in his FOIA Guidelines, "[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 your 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. 

PERSONNEL: 

1. In the 2014 Chief FOIA Officer Report Guidelines, OIP asked agencies about 

the status of converting all eligible FOIA professionals to the new Government 

Information Series. If your agency reported that its staff was eligible for 

conversion but had not yet converted all professionals to the new series, what is 

the current proportion of personnel that have been converted? 

All eligible FOIA professionals were converted to the new Government 

Information Series in FY13. 

2. If your agency has not converted all of its eligible employees yet, what is your 

plan to ensure that all FOIA professionals’ position descriptions are converted? 

N/A.

PROCESSING PROCEDURES:

3. For Fiscal Year 2014, 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 2014 Annual FOIA Report. Please note here 

if your agency did not adjudicate any requests for expedited processing during 

Fiscal Year 2014. 

1.45 days. 

4. 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 

10
ten calendar days or less. 

N/A.

5. If your agency has a decentralized FOIA process, has your agency taken steps 

to make the routing of misdirected requests within your agency more efficient? If 

so, please describe those steps. 

N/A. The PBGC’s disclosure mission is centralized.

6. If your agency is already handling the routing of misdirected requests in an 

efficient manner, please note that here and describe your process for these 

requests.

The PBGC is handling the routing of misdirected requests in an efficient

manner. All requests are sent to the Disclosure Officer. However, when

requests are inadvertently sent to other offices, they are re-directed to the

Disclosure Division, usually within one business day. The PBGC ensures

efficient routing of FOIA requests by both federal employees and

contractors. This requirement is discussed during the PBGC New Hire

Training and included as a clause in all contracts. by including this

requirement in a clause of the contract.

REQUESTER SERVICES 

7. Does your agency notify requesters of the mediation services offered by the 

Office of Government Information Services (OGIS) at the National Archives and 

Records Administration? See OIP Guidance, “Notifying Requesters of the 

Mediation Services Offered by OGIS." (July 9, 2010) 

Yes.

8. When assessing fees, does your agency provide a breakdown of how FOIA fees 

were calculated and assessed to the FOIA requester? For example, does your 

agency explain the amount of fees attributable to search, review, and 

duplication? See OIP Guidance, “The Importance of Good Communication with 

FOIA Requesters 2.0: Improving Both the Means and the Content of Requester 

Communications.” (Nov. 22, 2013) 

Yes.

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9. If estimated fees estimates are particularly high, does your agency provide an 

explanation for the estimate to the requester? See id. 

The PBGC itemizes assessed fees on the statement of charges, which is sent to 

requesters when applicable. Usually, particularly high fees are discussed at 

the onset of processing the request.

OTHER INITIATIVES: 

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

FOIA system operates efficiently and effectively, such as conducting selfassessments to find greater efficiencies, improving search processes, eliminating 

redundancy, etc., please describe them here.

On June 2, 2014, the Disclosure Division implemented, as a pilot program, a 

new business model. 

This model was implemented in an effort to improve the overall effectiveness

of the PBGC’s Disclosure Division by incorporating a multi-track processing

system that triages requests at the beginning of the life cycle, a task that the

Green Team is primarily responsible for along with the Intake of requests;

the Blue Team is responsible for Outreach & Training; the Yellow Team is

responsible for routine requests; and the Red Team is responsible for multioffice, complex, and voluminous requests. 

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SECTION III: STEPS TAKEN TO INCREASE PROACTIVE 

DISCLOSURES

Both the President and Attorney General 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. 

POSTING MATERIAL:

1. Does your agency have a distinct process or system in place to identify 

records for proactive disclosure? 

Yes.

If so, please describe your agency’s process or system.. 

The Disclosure Division works closely with the PBGC’s Communications 

Outreach & Legislative Affairs (COLA) Department to ensure that 

frequently requested information and information that will likely be 

requested, is published on pbgc.gov in advance of receiving a FOIA request. 

2. Does your process or system involve any collaboration with agency staff 

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

Yes.

The Disclosure Division works closely with the public-facing arms of the

Corporation such as COLA, the Customer Call Center, the Document

Management Center, and the Field Benefit Administrators to ensure that

disclosures are made in accordance with the FOIA and the Privacy Act.

Some of these entities have delegated authority to release information;

however, none have been delegated the authority to withhold information. 

As such, when information must be withheld such as personal privacy

information, or if a request is lacking consent, that request is sent to the

Disclosure Division for processing. Additionally, because the PBGC operates

a centralized disclosure mission, the Disclosure Division works collaboratively

with all departments and divisions for either read-only access to their 

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systems or to retrieve records. The Disclosure Division enjoys constructive 

partnerships with various entities such as the Federal Record Center, the 

Benefit Administration Payment Department, the Office of Information

Technology and the Office of the Inspector General. When possible, the 

PBGC proactively discloses identified records to the public domain. 

3. Describe your agency’s process or system for identifying “frequently 

requested” records that should be posted online. 

The Disclosure Division works closely with COLA to ensure that frequently 

requested information and information that will likely become the subject of 

a FOIA request are published on pbgc.gov in advance of receiving a FOIA 

request.

4. Provide examples of material that your agency has proactively disclosed 

during the past reporting year, including links to the posted material. 

1) http://www.pbgc.gov/about/new-to-pbgc.html

2) http://www.pbgc.gov/about/faq/pg/general-faqs-about-pbgc.html

3) http://www.pbgc.gov/prac/prem/premium-rates.html

4) http://www.pbgc.gov/Documents/pbgc_advocate_report_2014_revised

.pdf

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

6) http://www.pbgc.gov/wr/

7) http://search.pbgc.gov/search/InsuredPlans/InsuredPlans?query=&ip

col=nc&filter=c&tab=ip&ip_type=c&page=1

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

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

10) http://www.pbgc.gov/Documents/PBGC-Strategic-Plan-2014-2018.pdf

OTHER INITIATIVES: 

5. If there are any other steps your agency has taken to increase proactive 

disclosures, please describe them here.

N/A.

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SECTION IV: STEPS TAKEN TO GREATER UTILIZE 

TECHNOLOGY 

 A key component of the President's FOIA Memorandum was the direction to "use 

modern technology to inform citizens about what is known and done by their 

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

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

past several years agencies have reported widespread use of technology in receiving and 

tracking FOIA requests and preparing agency Annual FOIA Reports. For 2014, as we 

have done over the past years, the questions have been further refined and now also 

address different, more innovative aspects of technology use. 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 

ONLINE TRACKING OF FOIA REQUESTS AND APPEALS: 

1. Can a member of the public track the status of his or her request or appeal

electronically? 

Yes.

2. If yes, how is this tracking feature provided to the public? For example, is it

being done through the regular posting of status logs, an online portal, or through 

another medium? 

This tracking information is provided to the public through PBGC’s use of 

the online portal, FOIAonline.

3. If your agency does provide online tracking, please describe the information

that is provided to the requester through this feature. For example, some online 

tracking features may tell the requester whether the request is "open" or "closed," 

while others will provide further details throughout the course of the processing, 

such as "search commenced" or "documents currently in review."

FOIAonline provides the requester with five possible answers to an inquiry:

Submitted Evaluation Assignment Processing Closed

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4. If your agency does provide online tracking for requesters, does this feature 

also provide an estimated date of completion? 

No. The FOIAonline system provides a statutory date of completion.

5. If your agency does not provide online tracking of requests or appeals, is your 

agency taking steps to establish this capability? If not, please explain why. 

N/A.

MAKING MATERIAL POSTED ONLINE MORE USEFUL: 

6. 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? Steps can include soliciting 

feedback on the content and presentation of posted material, improving search 

capabilities on your agency website, posting material in open formats, making 

information available through mobile applications, providing explanatory 

material, etc.

Yes.

7. If yes, please provide examples of such improvements. If your agency is 

already posting material in its most useful format, please describe these efforts.

In FY 2014, the PBGC made several hundred customer-recommended

improvements to help visitors more easily find information, better 

understand what they find, and determine sooner whether the PBGC is the

right organization to help them. The PBGC continues to publish information

in plain language on its websites that is logically indexed so that search terms

bring up relevant results, and the PBGC made FAQs more prominent with

clearer content so even first-time visitors could readily understand the

information. 

In addition, the PBGC boosted its social media outreach with expanded use

of Facebook, Twitter, and the blog, Retirement Matters. The PBGC utilizes

these tools to share information about the PBGC and American retirement

security. And, across all of our online platforms, the PBGC became

increasingly robust in providing timely and relevant information. 

8. Have your agency’s FOIA professionals interacted with other agency staff 

(such as technology specialists or public affairs or communications professionals) 

in order to identify if there are any new ways to post agency information online? 

16
Yes.

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

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

example, this can be done through social media or with the offering of e-mail 

subscription services. 

In an effort to provide requesters, plan participants, practitioners, and thirdparty representatives with real time updates about PBGC information, the 

PBGC has implemented use of a delivery subscription service which allows 

the public to subscribe to topics of interest in eight subject areas. You may 

view this website by clicking on the link below3

: 

http://www.pbgc.gov/res/stay-informed.html

10. Has your agency encountered challenges that make it difficult to post records 

you otherwise would like to post? 

Yes. 

11. If so, please briefly explain what those challenges are. 

Requests for specific pension plan information, such as the Summary

Plan Description and Pension Plan Amendments, account for more than 50 

percent of the documents requested by PBGC participants and/or their third

party representatives. Pension plans are amended over time and under

certain circumstances when the plan becomes trusteed by PBGC. As such,

although a group of participants may belong to the same pension plan, they

may be covered by different versions of that same plan. Therefore, posting

pension plan information in the public domain may create confusion for the

participant if the wrong pension plan is inadvertently selected. For example,

the participant may access the correct employer but the incorrect pension

plan for which he or she is covered. 

USE OF TECHNOLOGY TO FACILITATE PROCESSING OF REQUESTS:

12. Beyond using technology to redact documents, is your agency taking steps to 

utilize more advanced technology to facilitate overall FOIA efficiency, such as

improving record search capabilities, utilizing document sharing platforms for 

3 If the link does not work, please cut and paste into your browser.

17

 
consultations and referrals, or employing software that can sort and de-duplicate 

documents? Yes. If yes, describe the technological improvements being made.

The Disclosure Division is continuing to utilize advanced technology to 

improve record search capabilities and de-duplicating of records. New to

this list, is the implementation of document sharing platforms.

Migration to SharePoint: The PBGC is implementing the use of SharePoint 

through a phased approach projected to have 80 percent or more of the 

corporation using the software by 2015, and entirely using by 2016. The 

SharePoint technology gives business practitioners a document sharing

platform that provides a better way to organize and collaborate. This 

migration is proving fruitful for improving record search capabilities, one

of particular use by the Disclosure Division, is called PBGC Connect. 

PBGC Connect is an intranet site that has four Libraries (or sub-sites)

which contain the PBGC’s Corporate Document collection back to 1974 

including: Delegations, Board of Directors Meeting Minutes, Board of

Directors Resolutions, and Advisory Committee Meeting Minutes.

Search: In an effort to improve record search capabilities, the Disclosure

Division continues to seek read-only access to many of the systems used by 

the PBGC. Direct access to these systems reduces overall search time

because Disclosure staff is able to independently search for responsive

documents.

 

De-duplicating: The Disclosure Division has identified a temporary solution

to de-duplicate records using Adobe’s document management utility. The

Disclosure Division will begin conducting training on the updated version of

the utility at the end of February 2015. 

13. Are there additional tools that could be utilized by your agency to create 

further efficiencies?

Not at this time.

OTHER INITIATIVES:

14. Did your agency successfully post all four quarterly reports for Fiscal Year 

2014? Please see OIP’s guidance for posting of quarterly reports to ensure that 

your agency is following all required steps (including using the correct file type 

and URL structure) so that your quarterly reports are properly appearing on 

FOIA.gov. (If your reports are posted to your website, but not appearing of 

FOIA.gov, please contact OIP in order to resolve the issue.) 

18
Yes.

15. 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 2015. 

N/A.

16. Do your agency's FOIA professionals use e-mail or other electronic means to 

communicate with requesters whenever feasible? See OIP Guidance, “The 

Importance of Good Communication with FOIA Requesters 2.0: Improving Both 

the Means and the Content of Requester Communications.” (Nov. 22, 2013) If 

yes, what are the different types of electronic means are utilized by your agency 

to communicate with requesters? 

Yes, PBGC’s FOIA professional use the agency’s email system and the email 

component of FOIAonline.

17. If your agency does not communicate electronically with requesters as a 

default, are there any limitations or restrictions for the use of such means? If yes, 

does your agency inform requesters about such limitations? See id. 

N/A.

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SECTION V: STEPS TAKEN TO IMPROVE TIMELINESS IN 

RESPONDING TO REQUESTS AND REDUCING BACKLOGS

The President and the Attorney General have emphasized the importance of 

improving timeliness in responding to requests. This section 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 

those contained in the specified sections of your agency’s 2014 Annual FOIA Report and, 

when applicable, your agency’s 2013 Annual FOIA Report.

SIMPLE TRACK:

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

Response Time for All Processed Requests,” includes figures that show your 

agency's average response times for processed requests. For agencies utilizing a 

multi-track system to process requests, there is a category for “simple” requests, 

which are those requests that are placed in the agency’s fastest (non-expedited) 

track, based on the low volume and/or simplicity of the records requested. 

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

Yes.

2. If so, for your agency overall in Fiscal Year 2014, was the average number of 

days to process simple requests twenty working days or fewer? 

Yes.

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

Year 2014 that were placed in your simple track. 

45% 

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.

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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 2013 and Fiscal Year 2014 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 2014, did 

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

Year 2013? If not, explain why and describe the causes that contributed to your 

agency not being able reduce its backlog. When doing so, please also indicate if 

any of the following were contributing factors: 1) An increase in the number of 

incoming requests; 2) A loss of staff; or 3) An increase in the complexity of the 

requests received. 

N/A. The PBGC did not have a backlog at the close of Fiscal Year 2014. 

However, the backlog compared with the backlog reported at the end of 

Fiscal Year 2013 decreased from 8 to 0 in Fiscal Year 2014. 

6. 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 2014. To calculate your agency’s percentage, you must divide the 

number of backlogged requests reported in Section XII.A. of your Fiscal Year 

2014 Annual FOIA Report by the number of requests received in Fiscal Year 

2014, which can be found in Section V.A. of your Annual FOIA Report. Once 

divided, you can multiply that number by 100 to get the percentage.

N/A. The PBGC did not have a backlog at the close of Fiscal Year 2014. 

BACKLOGGED APPEALS

7. If your agency had a backlog of appeals at the close of Fiscal Year 2014, did 

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

Year 2013? If not, explain why and describe the causes that contributed to your 

agency not being able reduce its backlog. When doing so, please also indicate if 

any of the following were contributing factors: 1) An increase in the number of 

incoming appeals; 2) A loss of staff; or 3) An increase in the complexity of the 

appeals received. 

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N/A. The PBGC did not have a backlog at the close of Fiscal Year 2014. 

However, the backlog compared with the backlog reported at the end of 

Fiscal Year 2013 decreased from 1 to 0 in Fiscal Year 2014. 

8. 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 2014. If your agency did not receive any appeals in Fiscal Year 2014 

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

agency’s percentage, you must divide the number of backlogged appeals reported 

in Section XII.A. of your Fiscal Year 2014 Annual FOIA Report by the number of 

appeals received in Fiscal Year 2014, which can be found in Section V.A. of your 

Annual FOIA Report. Once divided, you can multiply that number by 100 to get 

the percentage.

N/A.

BACKLOG REDUCTION PLANS

9. In the 2014 guidelines for Chief FOIA Officer Reports, any agency with a 

backlog of over 1000 requests in Fiscal Year 2013 was asked to provide a plan for 

achieving backlog reduction in the year ahead. Did you agency implement a 

backlog reduction plan last year? N/A. 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 2014? 

N/A.

10. If your agency had a backlog of more than 1,000 requests in Fiscal Year 2014, 

what is your agency’s plan to reduce this backlog during Fiscal Year 2015? 

N/A. The PBGC did not have a backlog at the close of Fiscal Year 2014.

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 Years

2013 and Fiscal Year 2014 when completing this section of your Chief FOIA 

Officer Report.

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TEN OLDEST REQUESTS

11. In Fiscal Year 2014, did your agency close the ten oldest requests that were 

reported pending in your Fiscal Year 2013 Annual FOIA Report? 

Yes. 

12. 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 

2013 Annual FOIA Report. If you had less than ten total oldest requests to close, 

please indicate that. For example, if you only had seven requests listed as part of 

your "ten oldest" in Section VII.E. and you closed six of them, you should note 

that you closed six out of seven “oldest” requests. 

The PBGC closed its ten oldest requests.

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

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

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

provide any interim responses prior to the withdrawal? 

None of PBGC’s ten oldest requests were closed because the request was 

withdrawn by the requester. 

TEN OLDEST APPEALS

14. In Fiscal Year 2014, did your agency close the ten oldest appeals that were 

reported pending in your Fiscal Year 2013 Annual FOIA Report? 

Yes.

15. 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 2013 Annual FOIA Report. If you had less than ten total oldest appeals to 

close, please indicate that. For example, if you only had seven appeals listed as 

part of your "ten oldest" in Section VII.C.(5) and you closed six of them, you 

should note that you closed six out of seven “oldest” appeals. 

The PBGC had less than ten oldest appeals to close. 

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TEN OLDEST CONSULTATIONS

16. In Fiscal Year 2014, did your agency close the ten oldest consultations that 

were reported pending in your Fiscal Year 2013 Annual FOIA Report? 

N/A.

17. 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 2013 Annual FOIA Report. If you had less than ten total oldest 

consultations to close, please indicate that. For example, if you only had seven 

consultations listed as part of your "ten oldest" in Section XII.C. and you closed 

six of them, you should note that you closed six out of seven “oldest” 

consultations. 

N/A. The PBGC did not have any open consultations at the end of Fiscal 

Year 2014. 

ADDITIONAL INFORMATION ON TEN OLDEST REQUESTS, APPEALS, 

AND CONSULTATIONS & PLANS: 

18. Briefly explain any obstacles your agency faced in closing its ten oldest 

requests, appeals, and consultations from Fiscal Year 2013. 

N/A.

19. 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.

20. 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 2015. 

N/A.

INTERIM RESPONSES:

21. Does your agency have a system in place to provide interim responses to 

requesters when appropriate? See OIP Guidance, “The Importance of Good 

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Communication with FOIA Requesters.” (Mar. 1, 2010) 

Yes.

22. If your agency had a backlog in Fiscal Year 2014, please provide an estimate 

of the number or percentage of cases in the backlog where a substantive, interim 

response was provided during the fiscal year, even though the request was not 

finally closed. 

N/A. The PBGC did not have at the end of backlog in Fiscal year 2014. 

USE OF FOIA’S LAW ENFORCEMENT “EXCLUSIONS”

In order to increase transparency regarding the use of the FOIA’s statutory law 

enforcement exclusions, which authorize agencies under certain exceptional 

circumstances to “treat the records as not subject to the requirements of [the FOIA],” 5 

U.S.C. § 552(c)(1), (2), (3), please answer the following questions: 

1. Did your agency invoke a statutory exclusion during Fiscal Year 2013? 

No.

2. If so, what was the total number of times exclusions were invoked? 

No.

SUCCESS STORY

Out of all the activities undertaken by your agency since March 2014 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.

On June 2, 2014, the Disclosure Division implemented, as a pilot program,

a new business model for processing FOIA and Privacy Act requests.

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This model was implemented in an effort to improve the overall effectiveness

of the PBGC’s Disclosure Division by incorporating a multi-track processing

system that triages requests at the beginning of the life cycle, a task that the

Green Team is primarily responsible for along with the Intake of requests;

the Blue Team is responsible for Outreach & Training; the Yellow Team is

responsible for routine requests; and the Red Team is responsible for multioffice, complex, and voluminous requests. 

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