P E NS ION BENEFIT GUARANTY CORPORATION

2014

CHIEF FOIA OFFICER’S REPORT

Chief FOIA Officer: Philip Hertz, Deputy General Counsel 

1200 K ST, NW

WASHINGTON, DC 20005
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I NTENTIONALLY 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:..........................................................................................................................7

Discretionary Disclosures:.................................................................................................7

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

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

Place for Responding to Requests............................................................................10

Personnel:.......................................................................................................................10

Processing Procedures: ...................................................................................................11

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

Section III: Steps Taken to Increase Proactive Disclosures .....................................12

Posting Material: ............................................................................................................12

Making Posted Material More Useful:............................................................................13

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

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

Use of technology to facilitate processing of requests: .....................................................16

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

Reducing Backlogs...................................................................................................17

Simple Track Requests: ..................................................................................................17

Backlogs and “Ten Oldest” Requests, Appeals and Consultations:................................. 18

Backlogs................................................................................................................................ 18

Ten Oldest Requests.............................................................................................................. 18

Ten Oldest Appeals............................................................................................................... 19

Ten Oldest Consultations ...................................................................................................... 19

Reasons for Any Backlogs: ................................................................................................... 19

Request and/or Appeal Backlog ............................................................................................ 20

“Ten oldest” Not Closed........................................................................................................ 20

Plans for Closing of Ten Oldest Pending Requests, Appeals, and Consultations and 

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

Interim Responses: ................................................................................................................ 21

Use of FOIA’s Law Enforcement “Exclusions” .......................................................21

Spotlight on Success................................................................................................. 22

References ...............................................................................................................23
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ABOUT PBGC

The Pension Benefit Guaranty Corporation (PBGC) protects the retirement incomes of more than 

40 million American workers in more than 26,000 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. PBGC was created by the Employee Retirement 

Income Security Act of 1974 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. 

PBGC is not funded by general tax revenues. PBGC collects insurance premiums from employers 

that sponsor insured pension plans, earns money from investments and receives funds from 

pension plans it takes over.

The maximum pension benefit guaranteed by PBGC is set by law and adjusted yearly. For plans 

that end in 2013, the maximum guarantee for workers who retire at age 65 is $57,477.24 yearly 

($4,789.77 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

In accordance with its Customer Service Plan, PBGC serves a range of customers with disparate 

interests and expectations.

First are the 1.5 million people to whom the agency pays or owes pension benefits, whether 

directly or through financial assistance to multiemployer plans. These participants in privatesector 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. 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. 

Describe the steps your agency has taken to ensure that the presumption of openness is 

being applied to all decisions involving the FOIA. To do so, you should answer the 

questions listed below and then include any additional information you would like to 

describe how your agency is working to apply the presumption of openness. 

FOIA TRAINING:

1. Did your agency hold an agency FOIA conference, or otherwise conduct training

during this reporting period? 

Yes.

2. If so, please provide the number of conferences or trainings held, a brief 

description of the topics covered, and an estimate of the number of participants 

from your agency who were in attendance. 

In Fiscal Year 2013, the PBGC held 17 conferences and/or training sessions as 

described below:

Date Topic Course Objective Audience

1/25/13 

& 2/7/13 

eDisclosure Training Provide overview of how to use the 

eDisclosure System2

Disclosure Division Staff

(approx. 12 attendees)

3/18/13 FOIA Awareness & 

Privacy Access

Provide overview of the FOIA and Privacy 

Act and how the two statutes interface.

PBGC-wide

(approx. 500 attendees)

3/27/13 FOIA Awareness & 

Privacy Access

Provide overview of the FOIA and Privacy 

Act and how the two statutes interface.

Delaware Field Benefit Office

(approx. 58 attendees)

4/4/13 Responding to Access 

Requests

Provide overview of the FOIA and Privacy 

Act and how the two statutes interface.

FOIA Liaisons 

(approx. 10 attendees)

4/10/13 FOIA Awareness & 

Privacy Access

Provide overview of the FOIA and Privacy 

Act and how the two statutes interface.

Document Management Center

(approx. 50 attendees)

4/16/13 FOIA Awareness & 

Privacy Access

Provide overview of the FOIA and Privacy 

Act and how the two statutes interface.

Customer Contact Center 

(approx. 20 participants)

 2 eDisclosure is PBGC’s legacy electronic FOIA processing system, which was subsequently replaced with 

FOIAonline.
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Date Topic Description Audience

4/18/13 FOIA Awareness & 

Privacy Access

Provide overview of the FOIA and Privacy 

Act and how the two statutes interface.

Customer Call Center 

(approx. 20 attendees)

4/19/13 FOIA Awareness & 

Privacy Access

Provide overview of the FOIA and Privacy 

Act and how the two statutes interface.

Customer Call Center 

(approx. 20 attendees)

6/20/13 Responding to Access 

Requests Privacy Access

Provide overview of the FOIA and Privacy 

Act and how the two statutes interface.

FOIA Liaisons

(approx. 10 attendees)

Spring 

2013

Exemption (b)(4) Training Review guidelines of Exemption (b)(4) and 

how they apply to PBGC records.

Disclosure Division Staff

(approx. 12 attendees)

8/16/13 FOIA Awareness & 

Privacy Access

Provide overview of the FOIA and Privacy 

Act and how the two statues interface.

Customer Contact Center

(approx. 20 attendees)

9/10/13 

& 

9/12/13

FOIAonline Training Provide overview of how to use the 

FOIAonline Tool.

Disclosure Staff

(approx. 10 attendees)

9/19/13 FOIAonline Training Question & Answer Session Disclosure Staff

(approx. 10 attendees)

10/8/13 

& 

10/9/13

FOIAonline Training Provide overview of how to use 

FOIAonline Tool.

FOIA Liaisons

(approx. 12 attendees)

3. Did your FOIA professionals attend any FOIA training 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 who attended 

substantive FOIA training during this reporting period. 

80%.

5. OIP has issued guidance that every agency should make core, substantive FOIA 

training available to all their FOIA professionals at least once each year. Provide 

your agency’s plan for ensuring that such training is offered to all agency FOIA 

professionals by March 2015. Your plan should anticipate an upcoming reporting 

requirement for your 2015 Chief FOIA Officer Reports that will ask whether all 

agency FOIA professionals attended substantive FOIA training in the past year. 

PBGC will continue to make substantive FOIA training a priority core 

goal for all of its Government Information Specialists and program end-
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users, as it has for many years. The Disclosure Officer and/or Deputy 

Disclosure Officer will communicate upcoming training opportunities to 

Disclosure staff, designated FOIA Liaisons, and relevant attorneys by 

posting this information on its intranet web page.

OUTREACH: 

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

requester community or open government groups regarding your administration of 

the FOIA? If so, please briefly discuss that engagement.

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

regular basis—this information is gathered through surveys, feedback 

and incoming phone calls to PBGC’s Resolution Officers. As a result of 

comments from the public, the Disclosure Division extended its delegated 

authority to the Customer Call Center and Document Management 

Center allowing them to release income verification information in 

response to a third-party requester when the written request is

accompanied with consent. Please see examples of PBGC’s outreach 

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

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

2) http://www.youtube.com/watch?v=WnpIFCfBk9o&list=UUw7JZxUM

i4sqzowVCY4soGA&feature=c4-overview

DISCRETIONARY DISCLOSURES: 

In his 2009 FOIA Guidelines, the Attorney General strongly encouraged agencies to 

make discretionary releases of information even when the information might be 

technically exempt from disclosure under the FOIA. OIP encourages agencies to make 

such discretionary releases whenever there is no foreseeable harm from release. 

7. Does your agency have a formal process in place to review records for 

discretionary release? If so, please briefly describe this process. If your agency is 

decentralized, please specify whether all components at your agency have a 

process in place for making discretionary releases. 

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

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

Disclosure Officer and/or the Deputy Disclosure Officer reviews the 

withheld information to determine whether a foreseeable harm could 
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result from a release of the requested documents. If a foreseeable harm 

does not exist, the Disclosure Officer makes a discretionary release.

8. During the reporting period did your agency make any discretionary releases of 

otherwise exempt information? 

Yes.

9. What exemptions would have covered the information that was released as a 

matter of discretion? 

Exemption (b)(5).

10. Provide a narrative description, or some examples of, the types of information 

that your agency released as a matter of discretion. 

As a matter of discretion, for example, the PBGC released the following 

information:

1) OIG Audit Report of PBGC Benefit Administration & Payment 

Department services.

2) PBGC’s Performance and Financial Report which included PBGC’s 

liabilities.

3) Press Releases regarding future trusteeship activities.

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

please explain why. 

N/A.

OTHER INITIATIVES:

12. Did your agency post all of the required quarterly FOIA reports for Fiscal Year 

2013? If not, please explain why not and what your plan is for ensuring that such 

reporting is successfully accomplished for Fiscal Year 2014.

The PBGC successfully posted the 2013 Quarter 1 Report. Due to 

technical difficulties Quarter 2, 3, and 4 reports were posted but not 

readable at the following links:

http://www.pbgc.gov/foia/quarterly/PBGC-2013-Q2.zip

http://www.pbgc.gov/foia/quarterly/PBGC-2013-Q3.zip

http://www.pbgc.gov/foia/quarterly/PBGC-2013-Q4.zip

PBGC has designated one person on the web team to ensure reports are 

consistently and correctly posted.
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13. Describe any other initiatives undertaken by your agency to ensure that the 

presumption of openness is being applied. If any of these initiatives are online, 

please provide links in your description. 

The PBGC has undertaken numerous initiatives that ensure that the 

presumption of openness is being applied. First, the Disclosure Division 

implemented its first FOIA Liaison Program. The FOIA Liaison 

Program is the formal designation of a FOIA point of contact for each 

department and/or division, as appropriate. The program was 

implemented in three-phases: 1) Initiation; 2) FOIA/Privacy Act 

Training; and 3) Electronic Processing System Training. 

During the initiation phase, Department leadership was also asked to 

support the development of the program by designating a member of 

their staff to become a FOIA Liaison for each of their division offices, or 

as deemed necessary. Upon acceptance by senior leaders, the second 

phase, included providing training to the newly designated FOIA Liaisons 

on the procedures of the FOIA, FOIA exemptions & exclusions, consent, 

routine uses and exceptions as provided in the Privacy Act. Finally, the 

third phase consisted of the Disclosure Division providing numerous 

training session on its electronic processing system. 

In October, the PBGC executed a Memorandum of Understanding with 

the Environmental Protection Agency and joined the consortium of other 

agencies that use FOIAonline. FOIAonline is intended to create efficiency

and consistency in the way Government agencies respond to FOIA 

requests. The system is a multi-tenant, online FOIA repository and secure 

agency processing system to be used by partner agencies across the 

federal government. This system will improve upon the functionality 

currently available to agency FOIA professionals, subject matter experts, 

and the public. The public will benefit from this system because it will 

have the ability to electronically submit FOIA requests to fewer 

government websites, track the status of requests, and search and review

public requests and agency responses. Participating agencies will benefit 

from the system’s ability to generate reports and store FOIA requests and 

responses in a repository for reuse. 
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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.

Describe here the steps your agency has taken to ensure that your management of your 

FOIA program is effective and efficient. To do so, answer the questions below and then 

include any additional information that you would like to describe how your agency 

ensures that your FOIA system is efficient and effective. 

PERSONNEL: 

In Fiscal Year 2012, the Disclosure Division executed the findings of its workload 

analysis conducted in Fiscal Year 2011. The analysis uncovered numerous 

collateral and extraneous services that the Disclosure Division provided to other 

divisions and departments. Some of these services included documenting receipt 

of IRS Levy requests and subpoenas even when no records were requested; 

indexing confidentiality agreements, reviewing and redacting information for 

other than access requests, e.g. court documents, etc. Based on these results, the 

Disclosure Division streamlined its business processes and re-focused its mission 

to primarily process FOIA and Privacy Act requests. In addition to processing 

FOIA and Privacy Act requests, the Disclosure Division continues to review and 

redact Appeals Board Decisions and agency Administrative Records. As a 

result, the Disclosure Division was able to eliminate four contractor positions at 

the beginning of 2013.

During Sunshine Week 2012 OPM announced the creation of a new job series entitled the 

Government Information Series, to address the work performed by FOIA and Privacy Act 

professionals. Creation of this distinct job series was a key element in recognizing the 

professional nature of their work.

1. Has your agency converted all of its FOIA professionals to the new Government 

Information Specialist job series? 

Yes.

2. If not, what proportion of personnel has been converted to the new job series? 

N/A.
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3. If not, what is your plan to ensure that all FOIA professionals’ position descriptions 

are converted? 

N/A.

PROCESSING PROCEDURES:

4. For Fiscal Year 2013 did your agency maintain an average of ten or less calendar 

days to adjudicate requests for expedited processing? If not, describe the steps 

your agency will take to ensure that requests for expedited processing are 

adjudicated within ten calendar days or less. 

N/A.

5. Has your agency taken any steps to make the handling of consultations and 

referrals more efficient and effective, such as entering into agreements with other 

agencies or components on how to handle certain categories or types of records 

involving shared equities so as to avoid the need for a consultation or referral 

altogether, or otherwise implementing procedures that speed up or eliminate the 

need for consultations. If so, please describe those steps. 

N/A. It is not necessary for the PBGC to take steps to improve handling 

of consultations and referrals because the PBGC did not receive or make 

any consultations or referrals. Most, if not all, requests submitted to the 

PBGC are for records in which no other agencies share equities. 

REQUESTER SERVICES:

6. Do you use e-mail or other electronic means to communicate with requesters when 

feasible?

Yes.

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

of Government Information Services (OGIS) at NARA? 

Yes. The PBGC provides this information on the agency’s website 

located at the following link3

:

http://www.pbgc.gov/about/pg/footer/foia.html#ogis

 3 If the link does not work, please copy and paste the URL into your browser.
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8. Describe any other steps your agency has undertaken to ensure that your FOIA 

system operates efficiently and effectively, such as conducting self-assessments to 

find greater efficiencies, improving search processes, eliminating redundancy, etc. 

The PBGC entered into a Memorandum of Understanding with the 

Environmental Protection Agency to use its FOIAonline workflow 

processing system. The Disclosure Division has conducted training to its 

staff, FOIA Liaisons, relevant attorneys, and other program end-users on 

how to use the system.

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. 

 Describe here the steps your agency has taken both to increase the amount of material 

that is available on your agency website, and the usability of such information, including 

providing examples of proactive disclosures that have been made during this past 

reporting period (i.e., from March 2013 to March 2014). In doing so, answer the 

questions listed below and describe any additional steps taken by your agency to make 

and improve proactive disclosures of information. 

POSTING MATERIAL:

1. Do your FOIA professionals have a system in place to identify records for 

proactive disclosures? 

Yes.

2. If so, describe the system that is in place.

The Disclosure Division works closely with PBGC’s Communications and 

Public Affairs 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.

3. Provide examples of material that your agency has posted this past reporting 

period, including links to where this material can be found online. 
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The PBGC has posted the following4: 

1) Appeals Board Decision Letters: http://www.pbgc.gov/prac/appealsboard/appeals-decisions.html

2) Congressional Testimony: Testimony of PBGC Director Joshua 

Gotbaum before the Health, Employment, Labor, and Pensions 

Subcommittee, House Committee on Education and the 

Workforce (March 5, 2013) Related Video

3) Monthly disclosure of PBGC activities: 

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

4) PBGC Media Appearances: 

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

5) PBGC Resources: http://www.pbgc.gov/res/

6) Factsheets: http://www.pbgc.gov/res/factsheets.html

7) Pension Insurance Data: http://www.pbgc.gov/res/data-books.html

8) Single Employer Plan Freeze: http://www.pbgc.gov/Documents/PlanFreeze-2013-EA-meeting.pdf

9) Multi-employer Plan News: http://www.pbgc.gov/res/annualreports/multiemployer-plan-news-and-info.html

10) Search Engine for Plans Trusteed by PBGC: 

http://www.pbgc.gov/wr/trusteed/plans.html

MAKING POSTED MATERIAL MORE USEFUL: 

4. Beyond posting new material, is your agency taking steps to make the posted 

information more useful to the public, especially to the community of 

individuals who regularly access your agency’s website, such as soliciting 

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

capabilities on the site, posting material in open formats, making information 

available through mobile applications, providing explanatory material, etc.? 

Yes.

If so, provide examples of such improvements. 

In FY 2013, PBGC made hundreds of customer-recommended 

improvements to help visitors more easily find information, better 

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

5.

 

4 If the link does not work, please copy and paste the URL into your browser.
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right organization to help them. PBGC added links in better locations, 

improved how search terms bring up relevant results, and made FAQs 

more prominent with clearer content so even first-time visitors could 

readily understand the information. 

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

Facebook, Twitter, and the blog, Retirement Matters, using these tools to 

share information about PBGC and American retirement security. And, 

across all of our online platforms, PBGC became increasingly robust in 

providing timely and relevant information. 

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

disclosures for public awareness? If so, was social media utilized? 

Yes, the PBGC established a blog titled, Retirement Matters, and PBGC

also uses Twitter, Facebook and YouTube to make proactive disclosures 

and communicate with the public.

http://www.pbgc.gov/about/who-we-are/retirement-matters/

https://twitter.com/uspbgc

https://www.facebook.com/pages/Pension-Benefit-Guaranty-CorporationPBGC/91530573008

http://www.youtube.com/user/uspbgc

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

you otherwise would like to post? If so, please briefly explain what those 

challenges are. 

Yes. 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. 
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8. Describe any other steps taken to increase proactive disclosures at your 

agency. 

In an effort to provide requesters, plan participants, practitioners, and 

third- party 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 below5

: 

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

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. 

ONLINE TRACKING OF FOIA REQUESTS:

1. Can a FOIA requester track the status of his/her request electronically? 

Yes.

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

being done through regularly updated FOIA logs, online portals, or other 

mediums? 

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

of the online portal, FOIAonline. 

3. Describe the information that is provided to the requester through the tracking 

system. For example, some tracking systems might tell the requester whether 

the request is "open" or "closed," while others will provide further details to 

the requester throughout the course of the processing, such as "search 

 

5 If the link does not work, please copy and paste the URL into your browser.
16

commenced" or "documents currently in review.” List the specific types of 

information that are available through your agency's tracking system. 

FOIAonline provides the requester with five possible answers to an 

inquiry:

4. In particular, does your agency tracking system provide the requester with an 

estimated date of completion for his/her request? 

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

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

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

N/A.

USE OF TECHNOLOGY TO FACILITATE PROCESSING OF REQUESTS:

6. 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 consultations and referrals, or employing software that can sort and deduplicate documents? 

Yes. 

7. If so, describe the technological improvements being made. 

The Disclosure Division is taking steps to utilize advanced technology to 

improve record search capabilities and de-duplicating of records. 

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

Division established 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 how to 

use the utility at the end of February 2014. 
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8. Are there additional technological tools that would be helpful to achieving 

further efficiencies in your agency’s FOIA program? 

Not at this time.

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 2013 Annual FOIA Report and, 

when applicable, your agency’s 2012 Annual FOIA Report. 

SIMPLE TRACK REQUESTS:

1. 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.

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

PBGC did not utilize a separate track for simple requests in Fiscal 

Year 2013. However, beginning in Fiscal Year 2014, PBGC is now able 

to categorize requests as simple or complex. As such, the Disclosure 

Division plans to amend its business processes to create a separate 

track for simple requests.

b. If so, for your agency overall, for Fiscal Year 2013, was the average 

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

N/A.

c. If your agency does not track simple requests separately, was the average 

number of days to process non-expedited requests twenty working days or 

fewer?
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Yes. Although the PBGC did not track simple requests separately, the 

average number of days to process complex, non-expedited requests, 

was less than 20 days. 

BACKLOGS AND “TEN OLDEST” REQUESTS, APPEALS AND 

CONSULTATIONS:

2. 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. 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 2012 and 2013 when 

completing this section of your Chief FOIA Officer Report. 

BACKLOGS 

a. If your agency had a backlog of requests at the close of Fiscal Year 2013, 

did that backlog decrease as compared with Fiscal Year 2012?

The PBGC did not have a backlog of requests at the close of Fiscal 

Year 2012. However, in Fiscal Year 2013, PBGC reported a backlog of 

eight requests. 

b. If your agency had a backlog of administrative appeals in Fiscal Year 2013, 

did that backlog decrease as compared to Fiscal Year 2012? 

The PBGC did not have a backlog of requests at the close of Fiscal 

Year 2012. However, in Fiscal Year 2013, PBGC reported a backlog of 

one appeal.

TEN OLDEST REQUESTS

c. In Fiscal Year 2013, did your agency close the ten oldest requests that were 

pending as of the end of Fiscal Year 2012? 

Yes. In Fiscal Year 2013, PBGC closed all of the requests that were 

received in Fiscal Year 2012. 

d. 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 2012 Annual FOIA Report. If you had less than ten total oldest 

requests to close, please indicate that. For example, if you only had seven 
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requests listed as part of your "ten oldest" in Section VII.E. and you closed 

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

requests. 

N/A.

TEN OLDEST APPEALS

e. In Fiscal Year 2013, did your agency close the ten oldest administrative 

appeals that were pending as of the end of Fiscal Year 2012? 

N/A. The PBGC did not have any appeals pending at the end of Fiscal 

Year 2012. 

f. If no, please provide the number of these appeals your agency was able to 

close, as well as the number of appeals your agency had in Section VI.C.(5) 

of your Fiscal Year 2012 Annual FOIA Report. 

N/A. 

TEN OLDEST CONSULTATIONS

g. In Fiscal Year 2013, did your agency close the ten oldest consultations 

received by your agency and pending as of the end of Fiscal Year 2012? 

N/A. 

h. If no, please provide the number of these consultations your agency did 

close, as well as the number of pending consultations your agency listed in 

Section XII.C. of your Fiscal Year 2012 Annual FOIA Report. 

The PBGC did not receive any consultations in Fiscal Year 2012 and 

therefore, no consultations were pending as of the end of Fiscal Year 

2012. 

REASONS FOR ANY BACKLOGS:

3. If you answered “no” to any of the questions in item 2 above, describe why 

your agency was not able to reduce backlogs and/or close the ten oldest 

pending requests, appeals, and consultations. In doing so, answer the 

following questions then include any additional explanation: 
20

REQUEST AND/OR APPEAL BACKLOG

a. Was the lack of a reduction in the request and/or appeal backlog a result of 

an increase in the number of incoming requests or appeals? 

No. 

b. Was the lack of a reduction in the request and/or appeal backlog caused by 

a loss of staff?

Conceivably. At the end of FY2012, the PBGC eliminated three 

contract positions from the Disclosure Division due to budget 

restraints. This loss could have been a factor in the backlog increase. 

c. Was the lack of a reduction in the request and/or appeal backlog caused by 

an increase in the complexity of the requests received?

Yes. In January 2013, the PBGC began accepting requests 

electronically. Since that time, the numbers of complex requests, 

resulting in voluminous responsive documents, have significantly 

increased. 

d. What other causes, if any, contributed to the lack of a decrease in the 

request and/or appeal backlog? 

There were no other known causes of the request backlog increasing 

from 0 to 8 and the appeal backlog increasing from 0 to 2. 

“TEN OLDEST” NOT CLOSED

e. Briefly explain the obstacles your agency faced in closing its ten oldest 

requests, appeals, and consultations from Fiscal Year 2012. 

N/A.

f. If your agency was unable to close any of its ten oldest requests or appeals 

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.
21

PLANS FOR CLOSING OF TEN OLDEST PENDING REQUESTS, 

APPEALS, AND CONSULTATIONS AND REDUCING BACKLOGS:

Given the importance of these milestones, it is critical that Chief FOIA Officers 

assess the causes for not achieving success and create plans to address them. 

4. If your agency did not close its ten oldest pending requests, appeals, and 

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

close those “ten oldest” requests, appeals, and consultations during Fiscal 

Year 2014. 

N/A.

5. If your agency had a backlog of more than 1000 pending requests and did not 

reduce that backlog in Fiscal Year 2013, provide your agency’s plan for 

achieving backlog reduction in the year ahead. 

N/A.

INTERIM RESPONSES:

OIP has issued guidance encouraging agencies to make interim releases whenever 

they are working on requests that involve a voluminous amount of material or require 

searches in multiple locations. By providing rolling releases to requesters agencies 

facilitate access to the requested information. 

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

requesters when appropriate? 

Yes. 

7. If your agency had a backlog in Fiscal Year 2013, 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. 

 ~50%.

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 
22

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.

SPOTLIGHT ON SUCCESS 

Out of all the activities undertaken by your agency since March 2013 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 a key 

achievement. A complete description of all your efforts will be contained in the body of 

your Chief FOIA Officer Report.

In October of Fiscal Year 2013, the PBGC executed a Memorandum of 

Understanding with the Environmental Protection Agency and joined the 

consortium of other agencies for the use of FOIAonline. 

• FOIAonline has created efficiency and consistency in the way PBGC 

processes and responds to FOIA requests. 

 

• The system is a multi-tenant, online FOIA repository and secure 

agency processing system to be used by partner agencies across the 

federal government. 

• The public will benefit from submitting FOIA requests to fewer 

government websites, tracking the status of requests, and searching 

and reviewing public requests and agency responses. 

• PBGC will benefit from the system’s ability to generate reports and 

store FOIA requests and responses in a repository for reuse.
23

REFERENCES

HTTP://WWW.PBGC.GOV/RES/FACTSHEETS/PAGE/CUSTOMER-SERVICE.HTML

HTTP://WWW.PBGC.GOV/ABOUT/PG/OTHER/CSP.HTML

HTTP://WWW.YOUTUBE.COM/WATCH?V=WNPIFCFBK9O&LIST=UUW7JZXUMI4SQZOWVCY4SOGA&FEAT

URE=C4-OVERVIEW

HTTP://WWW.PBGC.GOV/ABOUT/PG/FOOTER/FOIA.HTML#OGIS

HTTP://WWW.PBGC.GOV/PRAC/APPEALS-BOARD/APPEALS-DECISIONS.HTML

HTTP://WWW.PBGC.GOV/DOCUMENTS/PBGC-MULTI-EMPLOYER-PLANS-SUBCOMMITTEE.PDF

HTTP://WWW.PBGC.GOV/NEWS/PRESS.HTML

HTTP://WWW.PBGC.GOV/NEWS/MULTIMEDIA.HTML

HTTP://WWW.PBGC.GOV/RES/ 

HTTP://WWW.PBGC.GOV/RES/FACTSHEETS.HTML

HTTP://WWW.PBGC.GOV/RES/DATA-BOOKS.HTML

HTTP://WWW.PBGC.GOV/DOCUMENTS/PLAN-FREEZE-2013-EA-MEETING.PDF

HTTP://WWW.PBGC.GOV/RES/ANNUAL-REPORTS/MULTIEMPLOYER-PLAN-NEWS-AND-INFO.HTML

HTTP://WWW.PBGC.GOV/WR/TRUSTEED/PLANS.HTML

HTTP://WWW.PBGC.GOV/ABOUT/WHO-WE-ARE/RETIREMENT-MATTERS/ 

HTTPS://TWITTER.COM/USPBGC

HTTPS://WWW.FACEBOOK.COM/PAGES/PENSION-BENEFIT-GUARANTY-CORPORATION-PBGC/91530573008

HTTP://WWW.YOUTUBE.COM/USER/USPBGC

HTTP://WWW.PBGC.GOV/RES/STAY-INFORMED.HTML