The Pension Benefit Guaranty 

Corporation’s Freedom of 

Information Act Report

Fiscal Year 2013

Office of the General Counsel

Disclosure Division

Report to the

Attorney General of the United States

For the Period of

October 1, 2012 – September 30, 2013
Pension Benefit Guaranty Corporation – FY 2013 Annual FOIA Report

I. BASIC INFORMATION REGARDING REPORT

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

questions about the report:

D. Camilla Perry, Disclosure Officer

Pension Benefit Guaranty Corporation

1200 K Street, N.W. Washington, D.C. 20005-4026 

(202) 326-4040 

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

http://www.pbgc.gov/documents/2013-FOIA-Annual-Report.pdf

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

II.

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

Counsel, Disclosure Division, PBGC at (202) 326-4040 or by printing a copy at the

Web address listed in I.2 above. 

MAKING A FOIA REQUEST

1. Names, addresses, and telephone numbers of PBGC FOIA Officers and FOIA 

Liaisons. FOIA requests should be submitted directly to the Disclosure Division 

Attention: D. Camilla Perry, Disclosure Officer 

Pension Benefit Guaranty Corporation 

1200 K Street, N.W., Suite 11101 

Washington, DC 20005-4026 

Phone (202) 326-4040 

Chief FOIA and Privacy Act Officer

Philip Hertz

FOIA Public Liaisons

Michelle Chase

Betty Gamez

A FOIA request should include a description of the requested records, an assurance 

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

request, and the complete address of the requester. In addition, it is helpful to provide 

a phone number where the requester can be reached during business hours so that any 

questions regarding the scope of the request can be resolved quickly. If the requester 

is unsure of how to describe the records they desire or have specific questions relating

to processing of a request, they should call the FOIA staff for advice at (202) 326-

4040 prior to filing their request.

Page 2 
Pension Benefit Guaranty Corporation – FY 2013 Annual FOIA Report

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

general categories of the agency’s records to which the FOIA exemptions applies 

Records subject to disclosure and application of FOIA exemptions include, in part; 

records submitted to PBGC and created by PBGC in connection with processing

distress plan terminations, or standard termination filing, comments on proposed 

regulations and documents outlining PBGC policies and procedures, as well as 

documents underlying PBGC policies and procedures.

Some requests are not granted because one or more of the exemptions from FOIA’s 

disclosure requirement applies to the records requested. The primary exemptions 

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

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

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

In addition, companies often submit confidential financial and/or commercial 

information to PBGC in the course of doing business. This information is 

withheld under exemption (b)(4). 

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

Exemption (b) (5) in part, allows for the protection of records that reflect the

deliberative process within the agency. It can be used to protect portions of records 

that contain pre-decisional opinions recommendations and advice when the 

disclosure of that information may have a chilling effect on the decision making 

process. Exemption (b) (5) also protects attorney work product and attorney client 

communications. 

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

parties for personal information about individuals contained in the individual’s 

Privacy Act record or other record, where the subject individual has not 

authorized release of their personal information, a Privacy Act routine use does 

not apply, or the FOIA does not require the PBGC to otherwise release the 

personal information. These records or information are withheld under 

exemption (b)(6). 

3. FOIA Regulations (including Fee Schedule)

PBGC FOIA regulations are available online at:

http://www.pbgc.gov/res/laws-and-regulations/code-of-federal-regulations/part-4901---

examination-and-copying-of-pension-benefit-guaranty-corporation-records.html

III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS

1. Agency-specific acronyms or other terms: None 

Page 3 
Pension Benefit Guaranty Corporation – FY 2013 Annual FOIA Report

2. Definitions of terms used in this report:

a. Administrative Appeal – a request to a federal agency asking that it review at a

higher administrative level FOIA determination made by the agency at the initial 

request level.

b. Average Number – the number obtained by dividing the sum of a group of

numbers by the quantity of numbers in the group. For example, of 3, 7, and 14, 

the average number is 8. 

c. Backlog – the number of requests or administrative appeals that are pending at 

an agency at the end of the fiscal year that are beyond the statutory time period 

for a response. 

d. Component – for agencies that process requests on a decentralized basis, a

“component” is an entity, also sometimes referred to as an Office, Division, 

Bureau, Center, or Directorate, within the agency that processes FOIA requests. 

The FOIA now requires that agencies include in their Annual FOIA Report data

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

NOTE: PBGC is centralized and therefore does not have multiple components. 

e. Consultation – the procedure whereby the agency responding to a FOIA request 

first forwards a record to another agency for its review because that agency has an 

interest in the document. Once the agency in receipt of the consultation finishes 

its review of the record, it responds back to the agency that forwarded it. That 

agency, in turn, will then respond to the FOIA requester. 

f. Exemption 3 Statute – a federal statute that exempts information from disclosure 

and which the agency relies on to withhold information under subsection (b)(3) of 

the FOIA.

g. FOIA/PA Request – a FOIA request is generally a request to a federal agency 

for access to records concerning another person (i.e., a "third-party" request), or 

concerning an organization, or a particular topic of interest. FOIA requests also 

include requests made by requesters seeking records concerning themselves (i.e., 

"first-party" requests) when those requesters are not subject to the Privacy Act, 

such as non-U.S. citizens. Moreover, because all first-party requesters should be 

afforded the benefit of both the access provisions of the FOIA as well as those of 

the Privacy Act, FOIA requests also include any first-party requests where an 

agency determines that it must search beyond its Privacy Act "systems of 

records" or where a Privacy Act exemption applies, and the agency looks to 

FOIA to afford the greatest possible access. All requests which require the 

agency to utilize the FOIA in responding to the requester are included in this 

Report. Additionally, a FOIA request includes records referred to the agency for 

processing and direct response to the requester. It does not, however, include 

records for which the agency has received a consultation from another agency. 

(Consultations are reported separately in Section XII of this Report.) 

Page 4 
Pension Benefit Guaranty Corporation – FY 2013 Annual FOIA Report

NOTE: PBGC processed all requests for access to records, regardless of which 

law was cited by the requester, under both the FOIA and PA, as appropriate.

h. Full Grant – an agency decision to disclose all records in full in response to a

FOIA request. 

i. Full Denial – an agency decision not to release any records in response to a 

FOIA request because the records are exempt in their entireties under one or 

more of the FOIA exemptions, or for some procedural reason, such as when no 

records could be located. 

j. Median Number – the middle, not average, number. For example, of 3, 7, and 

14, the median number is 7.

k. Multi-track Processing – a system in which simple requests requiring relatively 

minimal review are placed in one processing track and more voluminous and 

complex requests are placed in one or more other tracks. Requests granted 

expedited processing are placed in yet another track. Requests in each track are 

processed on a first-in/first out basis. 

i. Expedited Processing – an agency will process a FOIA request on an 

expedited basis when a requester satisfies the requirements for expedited 

processing as set forth in the statute and in agency regulations. 

ii. Simple Request – a FOIA request that an agency using multi-track 

processing places in its fastest (non- expedited) track based on the low 

volume and/or simplicity of the records requested. 

iii. Complex Request – a FOIA request that an agency using multi-track 

processing places in a slower track based on the high volume and/or 

complexity of the records requested. 

l. Partial Grant/Partial Denial – in response to a FOIA request, an agency 

decision to disclose portions or the records and to withhold other portions that 

are exempt under the FOIA, or to otherwise deny a portion of the request for a 

procedural reason. 

m. Pending Request or Pending Administrative Appeal – a request or 

administrative appeal for which an agency has not taken final action in all 

respects.

n. Perfected Request – a request for records which reasonably describes such 

records and is made in accordance with published rules stating the time, place, 

fees (if any), and procedures to be followed. 

o. Processed Request or Processed Administrative Appeal – a request or 

administrative appeal for which an agency has taken final action in all respects.

Page 5 
Pension Benefit Guaranty Corporation – FY 2013 Annual FOIA Report

p. Range in Number of Days – the lowest and highest number of days to process 

requests or administrative appeals.

q. Time Limits – the time period in the statute for an agency to respond to a 

FOIA request (ordinarily twenty working days from receipt of a perfected 

FOIA request). 

3. Concise description of the nine FOIA exemptions: 

An agency may withhold information from disclosure if the information 

requested is the kind described in any of the nine exemptions listed in the 

FOIA.

1. Exemption 1: classified national defense and foreign relations information. 

2. Exemption 2: information that is related solely to the internal personnel rules 

and practices of an agency.

3. Exemption 3: information that is prohibited from disclosure by another 

federal law.

4. Exemption 4: trade secrets and other confidential business information. 

5. Exemption 5: inter-agency or intra-agency communications that are protected 

by legal privileges. 

6. Exemption 6: information which, if released, would constitute a clearly 

unwarranted invasion of personal privacy. 

7. Exemption 7: records or information compiled for law enforcement purposes, 

to the extent that the production of those records (A) could reasonably be 

expected to interfere with enforcement proceedings, (B) would deprive a 

person of a right to a fair trial or an impartial adjudication, (C) could 

reasonably be expected to constitute an unwarranted invasion of personal 

privacy, (D) could reasonably be expected to disclose the identity of a 

confidential source, (E) would disclose techniques and procedures for law 

enforcement investigations or prosecutions, or would disclose guidelines for 

law enforcement investigations or prosecutions, or (F) could reasonably be 

expected to endanger the life or physical safety of any individual. 

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

9. Exemption 9: Geological information on wells. 

Page 6 
Pension Benefit Guaranty Corporation – FY 2013 Annual FOIA Report

IV. EXEMPTION 3 STATUTES

V. FOIA/PA REQUESTS

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

below are referring to the agency overall.

A. Received, Processed and Pending FOIA Requests

Number of Requests

Pending as of Start 

of Fiscal Year

Number of

Requests Received

in Fiscal Year

Number of

Requests Processed

in Fiscal Year

Number of Requests

Pending as of End 

of Fiscal Year 

1441 5,721 5,786 79

B(1). Disposition of FOIA Requests – All Processed Requests

Number 

of Full 

Grants

Number 

of 

Partial 

Grants / 

Partial 

Denials

Number of 

Full 

Denials 

Based on 

Exemptions

Number of Full Denials Based on Reasons Other than 

Exemptions TOTAL

No RecordsAll Records Referred to Another Component or Request WithdrawnFee-Related Reason Records not Reasonably DescribedImproper FOIA Request for Other Not Agency Record Duplicate RequestOther *Explain in Chart Below

4,766 214 180 43 0 43 3 6 37 60 434 0 5,786

1 Correction: At the end of FY12, the PBGC reported 146 pending requests. During FY13, it was determined the 

reported number was an error. There were 144 pending requests at the start of FY13.

Statute Type of Information 

Withheld

Case 

Citation

Agency / 

Component

Number of 

Times

Relied upon

by Agency / 

Component

Total 

Number of

Times 

Relied upon

by Agency 

Overall

29 U.S.C. 

§ 1343 

Any information or 

documentary material 

submitted to the [agency] 

pursuant to... section 

[1343 of title 29 of the 

United States Code] 

None PBGC 1 1

Page 7 

 
Pension Benefit Guaranty Corporation – FY 2013 Annual FOIA Report

B(2). Disposition of FOIA Requests – “Other” Reasons for “Full Denials 

Based on Reasons Other than Exemptions” 

Description of "Other" Reasons for Denials from Chart 

B(1)

Number of Times 

"Other" Reason 

Was Relied Upon 

TOTAL

N/A 0 0

B(3). Disposition of FOIA Requests – Number of Times Exemptions Applied

Ex. 

1 

Ex. 

2 

Ex. 

3 

Ex. 

4 

Ex. 

5 

Ex. 

6 

Ex. 

7(A)

Ex. 

7(B)

Ex. 

7(C)

Ex. 

7(D)

Ex. 

7(E)

Ex. 

7(F)

Ex. 

8 

Ex. 

9 

0 0 1 11 10 268 1 0 1 0 0 0 0 0

VI. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF

FOIA/PA REQUESTS

A. Received, Processed, and Pending Administrative Appeals

Number of Appeals

Pending as of Start 

of Fiscal Year 

Number of

Appeals Received

in Fiscal Year

Number of

Appeals Processed

in Fiscal Year

Number of Appeals

Pending as of End 

of Fiscal Year 

0 52 3 2

B. Disposition of Administrative Appeals – All Processed Appeals

Number 

Affirmed on 

Appeal

Number Partially 

Affirmed & Partially 

Reversed/Remanded 

on Appeal

Number Completely 

Reversed/Remanded 

on Appeal

Number of 

Appeals Closed 

for Other 

Reasons 

TOTAL

2 1 0 0 3

C.(1). Reasons for Denial on Appeal — Number of Times Exemptions Applied

Ex. 

1 

Ex. 

2 

Ex. 

3 

Ex. 

4 

Ex. 

5 

Ex. 

6 

Ex. 

7(A)

Ex. 

7(B)

Ex. 

7(C)

Ex. 

7(D)

Ex. 

7(E)

Ex. 

7(F)

Ex. 

8 

Ex. 

9 

0 0 0 0 2 0 0 0 0 0 0 0 0 0

2 Two of the appeals received are from the same requester and related to the same request; the requester appealed 

the interim and final releases. The first appeal was adjudicated in FY13. The second appeal was pending at the end 

of the fiscal year and it was processed in accordance with agency regulation.

Page 8 

 
Pension Benefit Guaranty Corporation – FY 2013 Annual FOIA Report

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

No Records

Records Referred at 

Initial Request Level

Request Withdrawn

Fee-Related Reason

Records not 

Reasonably Described

Improper Request for 

Other Reasons

Not Agency Record

Duplicate Request or 

Appeal

Request in Litigation

Appeal Based Solely 

on Denial of Request 

for Expedited 

Processing

Other *Explain in 

chart below

1 0 0 0 0 0 0 0 0 0 0

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

Description of "Other" Reasons for Denial on 

Appeal from Chart C(2)

Number of Times 

"Other" Reason Was 

Relied Upon

TOTAL

N/A 0 0

C.(4). Response Time for Administrative Appeals

Median Number of 

Days 

Average Number of 

Days 

Lowest Number of 

Days 

Highest Number of 

Days 

23.00 30.00 19.00 49.00

C.(5). Ten Oldest Pending Administrative Appeals

10th 

Oldest 

Appeal

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

Appeal

Date of 

Appeal

N/A N/A N/A N/A N/A N/A N/A N/A 2013-09-23 2013-07-26

Number 

of Days 

Pending

0 0 0 0 0 0 0 0 5 45

Page 9 
Pension Benefit Guaranty Corporation – FY 2013 Annual FOIA Report

VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING 

REQUESTS

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

SIMPLE COMPLEX EXPEDITED PROCESSING

Median Number of Days Average Number of Days Lowest Number of Days Highest Number of Days Median Number of Days Average Number of Days Lowest Number of Days Highest Number of Days Median Number of Days Average Number of Days Lowest Number of Days Highest Number of Days 

N/A N/A N/A N/A 9 10 1 198 N/A N/A N/A N/A

B. Processed Requests – Response Time for Perfected Requests in which Information 

was Granted

SIMPLE COMPLEX EXPEDITED PROCESSING

Median Number of Days Average Number of Days Lowest Number of Days Highest Number of Days Median Number of Days Average Number of Days Lowest Number of Days Highest Number of Days Median Number of Days Average Number of Days Lowest Number of Days Highest Number of Days 

N/A N/A N/A N/A 9 10 1 198 N/A N/A N/A N/A

C. Processed Requests — Response Time in Day Increments

PROCESSED SIMPLE REQUESTS <1-20 Days 21-40 Days 41-60 Days 61-80 Days 81-100 Days 101-120 Days 

121-140 Days 141-160 Days 161-180 Days 181-200 Days 201-300 Days 301-400 Days 

401+ Days 

TOTAL

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

Page 10 
Pension Benefit Guaranty Corporation – FY 2013 Annual FOIA Report

PROCESSED COMPLEX REQUESTS <1-20 Days 21-40 Days 41-60 Days 61-80 Days 81-100 Days 101-120 Days 

121-140 Days 141-160 Days 161-180 Days 181-200 Days 201-300 Days 301-400 Days 

401+ Days 

TOTAL

5,311 431 24 7 6 4 0 1 0 1 0 0 0 5,785

PROCESSED REQUESTS GRANTED EXPEDITED PROCESSING <1-20 Days 21-40 Days 41-60 Days 61-80 Days 81-100 Days 101-120 Days 121-140 Days 141-160 Days 161-180 Days 181-200 Days 

201-300 Days 301-400 Days 

401+ Days 

TOTAL

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

D. Pending Requests — All Pending Perfected Requests

SIMPLE COMPLEX EXPEDITED PROCESSING

Number 

Pending

Median 

Number 

of Days 

Average 

Number 

of Days 

Number 

Pending

Median 

Number 

of Days 

Average 

Number 

of Days 

Number 

Pending

Median 

Number 

of Days 

Average 

Number 

of Days 

0 N/A N/A 79 5 12 0 N/A N/A

E. Pending Requests — Ten Oldest Pending Perfected Requests

10th 

Oldest 

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

Date of 

Receipt

09/10/ 

2013 

09/10/ 

2013 

08/29/ 

2013 

08/23/ 

2013 

08/13/ 

2013 

08/08/ 

2013 

06/21/ 

2013 

04/02/

2013 

03/05/ 

2013 

01/16/ 

2013 

Number 

of Days 

Pending

14 14 21 25 33 36 69 126 145 177

VIII. REQUESTS FOR EXPEDITED PROCESSING AND REQUESTS FOR

FEE WAIVER

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

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

Page 11 
Pension Benefit Guaranty Corporation – FY 2013 Annual FOIA Report

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

and duplication fees on all FOIA requests from participants. 

A. Requests for Expedited Processing

Number 

Granted

Number 

Denied

Median 

Number of 

Days to 

Adjudicate

Average 

Number of 

Days to 

Adjudicate

Number 

Adjudicated 

Within Ten 

Calendar Days 

0 0 N/A N/A N/A

PBGC received one expedited processing request, which was delayed to allow the 

requester more time to submit additional information. The requester subsequently 

withdrew the expedited processing request.

B. Requests for Fee Waiver

Number 

Granted

Number Denied Median Number 

of Days to 

Adjudicate

Average 

Number of Days 

to Adjudicate

0 0 N/A N/A

IX. FOIA PERSONNELL AND COSTS

PERSONNEL COSTS

Number of 

"Full-Time 

FOIA 

Employees"

Number of 

"Equivalent 

Full-Time 

FOIA 

Employees"

Total Number 

of "Full-Time 

FOIA Staff"

Processing 

Costs

LitigationRelated CostsTotal Costs

10 2 12 $858,612.00 $0.00 $858,612.00

X. FEES COLLECTED FOR PROCESSING REQUESTS

Total Amount of Fees 

Collected

Percentage of Total Costs

$3,813.95 0.44%

Page 12 
Pension Benefit Guaranty Corporation – FY 2013 Annual FOIA Report

XII. BACKLOGS, CONSULTATIONS AND COMPARISONS

A. Backlogs of FOIA Requests and Administrative Appeals

Number of Backlogged 

Requests as of End of Fiscal 

Year

Number of Backlogged 

Appeals as of End of Fiscal 

Year

8 1

B. Consultations on FOIA Requests – Received, Processed, and Pending Consultations

Number of Consultations 

Received from Other 

Agencies that were 

Pending at the Agency as 

of Start

of the Fiscal Year

Number of

Consultations 

Received from Other 

Agencies During the 

Fiscal Year

Number of 

Consultations 

Received from Other 

Agencies that were 

Processed by the 

Agency During the 

Fiscal Year

Number of 

Consultations 

Received from Other 

Agencies that were 

Pending at the 

Agency as of End

of the Fiscal Year 

0 0 0 0

C. Consultations on FOIA Requests – Ten Oldest Consultations Received from 

Other Agencies and Pending at Your Agency 

10th 

Oldest 

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

Date of 

Receipt

N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A

Number of 

Days 

Pending

0 0 0 0 0 0 0 0 0 0

D.(1) Comparison of Numbers of Requests from Previous and Current Annual Report – 

Requests Received and Processed 

NUMBER OF REQUESTS RECEIVED NUMBER OF REQUESTS PROCESSED

Number Received 

During Fiscal Year

from Last Year's 

Annual Report

Number Received 

During Fiscal Year 

from Current Annual 

Report

Number Processed 

During Fiscal Year 

from Last Year's 

Annual Report

Number Processed 

During Fiscal Year 

from Current Annual 

Report

5,314 5,721 5,475 5,786

Page 13 
Pension Benefit Guaranty Corporation – FY 2013 Annual FOIA Report

D.(2) Comparison of Numbers of Requests from Previous and Current Annual Report –

Backlogged Requests

Number of Backlogged Requests 

as of End of the Fiscal Year from 

Previous Annual Report

Number of Backlogged Requests 

as of End of the Fiscal Year from 

Current Annual Report

0 8

E.(1) Comparison of Numbers of Administrative Appeals from Previous and 

Current Annual Report –Appeals Received and Processed, and Backlogged

NUMBER OF APPEALS RECEIVED NUMBER OF APPEALS PROCESSED

Number Received 

During Fiscal Year 

from Last Year's 

Annual Report

Number Received 

During Fiscal Year 

from Current Annual 

Report

Number Processed 

During Fiscal Year 

from Last Year's 

Annual Report

Number Processed 

During Fiscal Year 

from Current Annual 

Report

6 5 8 3

E.(2) Comparison of Numbers of Administrative Appeals from Previous and 

Current Annual Report – Backlogged Appeals

Number of Backlogged Appeals as 

of End of the Fiscal Year from 

Previous Annual Report

Number of Backlogged Appeals 

as of End of the Fiscal Year 

from Current Annual Report

0 1

F. Discussion of Other FOIA Activities 

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

2013, PBGC received 5,721 FOIA requests and processed 5,786 requests. The

average time to process a standard request was 7 work days. Our electronic 

software, used to process requests since 1999, was once again able to meet the 

demand of processing over 5,700 requests. 

In October of 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. 

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

Since the majority of our requests are received from pension plan participants who 

are in trusteed plans, we ensure those participants’ access to critical documents that 

are relied on to calculate their individual pension benefits.

Page 14