Pension Benefit Guaranty Corporation's 

FY 2006 FOIA Report to the 

U.S. Department of Justice

Pursuant to the Freedom of Information Act (FOIA), as amended by the “Electronic 

Freedom of Information Act Amendments of 1996,” and “Guidelines for Agency 

Preparation and Submission of Annual FOIA Reports” created by the Office of 

Information Policy, Department of Justice, the following information reflects the Pension 

Benefit Guaranty Corporation’s (PBGC) activity in administering the FOIA during fiscal 

year 2006. 

I. Basic Information Regarding Report 

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

questions about the report: 

E. William FitzGerald, Disclosure Officer, Pension Benefit Guaranty 

Corporation, 1200 K Street, N.W., Washington, D.C. 20005-4026, (202) 

326-4040. 

B. Electronic address for report on the World Wide Web. 

http://www.pbgc.gov/media/ 

key-resources-for-the-press/content/page13687.html 

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

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 “B” above. 

II. How to Make a FOIA Request 

Agencies may either include description here or provide them by cross-reference 

to their FOIA reference guides. 

A FOIA request may be filed by addressing a written request to E. William 

FitzGerald, Disclosure Officer, PBGC, 1200 K Street, N.W., Washington D.C. 

20005-4026. The 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 
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desire or has 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. 

A. Names, addresses, and telephone numbers of all individual agency 

components and offices that receive FOIA requests. 

PBGC, Office of the General Counsel, Attention E. William FitzGerald, 

Disclosure Officer, Suite 11107, 1200 K Street N.W., Washington, D.C. 

20005-4026. Phone (202) 326-4040 

B. Brief description of the agency’s response-time ranges. 

For fiscal year 2006 (October 1, 2005 - September 30, 2006), the PBGC’s 

median response time for responding to FOIA requests was 7 days. 

Typically, the requests that took more than 20 days to process involved the 

search and review of voluminous records, or required consultation with 

other agencies or third parties that submitted information to PBGC. For 

requests accorded expedited treatment, the PBGC’s median response time 

was 4 days. 

C. Brief description of why some requests are not granted. 

Some requests are not granted because one or more of the exemptions 

from FOIA’s disclosure requirement applied to the records requested. In 

the vast majority of cases, denial of access to records involved requests by 

third parties for information about individuals. Generally, information 

about an individual will not be disclosed by PBGC if it could result in an 

invasion of privacy. A number of denials involved requests for 

confidential commercial or financial information that had been submitted 

to PBGC. In some instances, PBGC did not possess any of the records 

that were requested, or the request was referred to another agency for 

processing. 

III. Definition of Terms and Acronyms Used in the Report 

A. Agency-specific acronyms or other terms. 

None 

B. Basic terms, expressed in common terminology. 

1. FOIA/PA request -- A FOIA request is generally a request for 

access to records concerning a third party, an organization, or a 

particular topic of interest. A Privacy Act request is a request for 

records concerning oneself; such requests are also treated as FOIA 

requests. (All requests for access to records, regardless of which law 

is cited by the requester, are included in this report.) 
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2. Initial Request -- A request to a federal agency for access to records 

under the Freedom of Information Act. 

3. Appeal -- a request to a federal agency asking that it review at a 

higher administrative level a full denial or partial denial of access to 

records under the Freedom of Information Act, or any other FOIA 

determination such as a matter pertaining to fees. 

4. Processed Request or Appeal -- a request or appeal for which an 

agency has taken a final action on the request or the appeal in all 

aspects. 

5. Multi-track processing -- a system in which simple requests 

requiring minimal review are placed in one processing track and 

more voluminous and complex requests are placed in one or more 

other tracks. Requests in each track are processed on a first-in/first 

out basis A requester who has an urgent need for records may request 

expedited processing (see below). 

6. Expedited processing -- an agency will process a FOIA request on 

an expedited basis when a requester has shown an exceptional need 

or urgency for the records which warrants prioritization of his or her 

request over other requests that were made earlier. 

7. Simple request -- a FOIA request that an agency using multi-track 

processing places in its fastest (nonexpedited) track based on the 

volume and/or simplicity of records requested. 

8. Complex request -- a FOIA request that an agency using multi-track 

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

complexity of records requested. 

9. Grant -- an agency decision to disclose all records in full in response 

to a FOIA request. 

10. Partial grant -- an agency decision to disclose a record in part in 

response to a FOIA request, deleting information determined to be 

exempt under one or more of the FOIA’s exemptions; or a decision to 

disclose some records in their entireties, but to withhold others in 

whole or part. 

11. Denial -- an agency decision not to release any part of a record or 

records in response to a FOIA request because all the information in 

the requested records is determined by the agency to be exempt under 

one or more of the FOIA’s exemptions, or for some procedural 

reason (such as because no record is located in response to a FOIA 

request. 
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12. Time limits -- the time period in the Freedom of Information Act for 

an agency to respond to a FOIA request (ordinarily 20 working days 

from proper receipt of a “perfected” FOIA request). 

13. “Perfected” request -- a FOIA request for records which adequately 

describes the records sought, which has been received by the FOIA 

office of the agency or agency component in possession of the 

records, and for which there is no remaining question about the 

payment of applicable fees. 

14. Exemption 3 statute -- a separate federal statute prohibiting the 

disclosure of a certain type of information and authorizing its 

withholding under FOIA subsection (b)(3). 

15. Median number -- the middle, not average, number. For example, 

of 3, 7, and 14, the median number is 7. 

16. 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. 

IV. Exemption 3 Statutes 

A. List of exemption 3 statutes relied on by agency during the current fiscal 

year. 

29 U.S.C. § 4010 (c) 

1. Brief description of types of information withheld under each statute. 

Information submitted by pension plan sponsors to PBGC 

pursuant to 29 U.S.C. § 4010 is exempt from disclosure under 

§552 of title 5, United States Code. 

2. Statement of whether a court has upheld the use of each statute. If so, 

then cite example. 

We are not aware of any court case regarding PBGC’s use of 

29 U.S.C. § 4010 (c) as an exemption 3 statute. 

V. Initial FOIA/PA Access Requests 

This should include all access requests whether first-party or third-party. 

A. Number of initial requests. 

Total of the numbers in Lines 1 and 2, minus the number in line 3, should 

equal the number in line 4. 
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1. Number of requests pending as of the end of the preceding 

fiscal year 275

2. Number of requests received during current fiscal year 2,560

3. Number of requests processed during current fiscal year 2,714

4. Number of requests pending as of the end of current fiscal year 121

B. Disposition of initial requests. 

1. Number of total grants 1,867

2. Number of partial grants 237

3. Number of denials 14

A. Number of times each FOIA exemption used (counting 

each exemption once per request) 

(1) Exemption 1 0

(2) Exemption 2 1

(3) Exemption 3 19

(4) Exemption 4 57

(5) Exemption 5 39

(6) Exemption 6 202

(7) Exemption 7(A) 0

(8) Exemption 7(B) 0

(9) Exemption 7(C) 2

(10) Exemption 7(D) 0

(11) Exemption 7(E) 0

(12) Exemption 7(F) 0

(13) Exemption 8 0

(14) Exemption 9 0
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4. Other reasons for nondisclosure (total) 596 

a. No records 15 

b. Referrals 26 

c. Request withdrawn 13 

d. Fee-related reason 1 

e. Records not reasonably described 4 

f. Not a proper FOIA request for some other reason 22 

g. Not an agency record 4 

h. Duplicate request 158 

i. Other (specify) 353

The requester did not submit proper authorization to 

receive access to another individual’s records and did 

not respond to PBGC’s request for proper 

authorization or other identifying information. 

VI. Appeals of Initial Denials of FOIA/PA Requests 

This should include all access requests, whether first-party or third-party. 

A. Number of appeals. 

1. Number of appeals received during fiscal year 5 

We attribute this low number of appeals in part to sound and 

easy to understand written and oral communications with 

requesters providing adequate explanations of basis of any full 

or partial denials of access to records. 

2. Number of appeals processed during the fiscal year 4

B. Disposition of appeals. 

1. Number completely upheld 2

2. Number partially reversed 0

3. Number completely reversed 1
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A. Number of times each FOIA exemption used (counting 

each exemption once per appeal) 

1 Exemption 1 0

2. Exemption 2 0

3. Exemption 3 1

4. Exemption 4 1

5. Exemption 5 2

6. Exemption 6 2

7. Exemption 7(A) 0

8. Exemption 7(B) 0

9. Exemption 7(C) 0

10. Exemption 7(D) 0

11. Exemption 7(E) 0

12. Exemption 7(F) 0

13. Exemption 8 0

14. Exemption 9 0

4. Other reasons for nondisclosure (total) 1

a. No records 1

b. Referrals 0

c. Request withdrawn 0

d. Fee-related reason 0

e. Records not reasonably described 0

f. Not a proper FOIA request for some other reason 0 

g. Not an agency record 0

h. Duplicate request 0 

i. Other (specify) 0
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VII. Compliance with Time Limits/Status of pending requests 

Agencies should count days from the time at which a request is “perfected.” 

Agencies should separately report each track of a multi-track system, as well as an 

“expedited processing” track, and may report any other type of request at their 

option. 

Example for calculation of median: Given the requests completed during the 

fiscal year, aged 10, 25, 35, 65, 75, 80, and 400 days from the date of perfection 

to date of completion, the total number of requests completed during the fiscal 

year would be 7 and the median age of the completed requests would be 65 days. 

Example for calculation of median: If there were 6 pending cases aged 10, 20, 30, 

50, 120, and 200 days from the date of perfection to date of completion, the total 

number of requests completed would be 6 and the median age would be 40 days 

(the average of the 2 middle numbers). 

A. Median processing time for requests processed during the year. 

1. Simple requests (if multiple tracks used). 

N/A 

a. Number of requests processed 

b. Median number of days to process 

2. Complex requests (specify for any and all tracks used). 

a. Number of requests processed 

We do not have a multiple track system; however, we 

did process a total of 2,699 requests during FY 2006. 

b. Median number of days to process 

The median number of days to process all types of 

requests in FY 2006 was 13. 

3. Requests accorded expedited processing. 

a. Number of requests processed 15

b. Median number of days to process 5
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B. Status of pending requests. 

Agencies using multiple tracks may provide numbers for each track, as 

well as totals. 

1. Number of requests pending as of end of current fiscal year 121

2. Median number of days that such requests were pending as of 

that date 14

VIII. Comparisons with Previous Year(s) (Optional) 

The number of FOIA requests received in FY 2006 (2,560) increased 60% over 

the number of FOIA requests received in FY 2005 (1,603). This was in part due 

to the continued large number of participants coming into PBGC from large plan 

terminations that took place in FY 2005 & FY 2006 as well as greater use of our 

“FOIA Guide” on PBGC’s web site which explains how to file a FOIA request. 

The median number of days required to process a request decreased from 17 in 

FY 2005 to 13 in FY 2006 due to the more efficient use of electronic FOIA 

software and other improvements noted below in the discussion of PBGC’s FOIA 

Improvement Plan. 

We received 0 requests for expedited processing but granted 15 requests 

expedited treatment based on descriptive information contained in each request. 

IX. Costs/FOIA Staffing 

Both large and small agencies should provide information in the format presented 

below. 

A. Staffing levels. 

1. Number of full-time FOIA personnel 7

2. Number of personnel with part-time or occasional FOIA duties (in total 

work-years) .5 

3. Total number of personnel (in work-years) 7.5

B. Total costs (including staff and all resources). 

1. FOIA processing (including appeals) $766,372

2. Litigation-related activities (estimated) None, no litigation 

3. Total costs $766,372
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4. Comparison with previous year(s) (including percentage of change) 

(optional). 

Between FY 2005 ($568,840) and FY 2006 ($766,372) a 35% 

increase in processing costs occurred. This increase can be 

attributable to the 3.44% increase in salary for federal 

employees, 4% increase in contract related expenses and 

27.56% increase in non-personnel costs. 

C. Statement of additional resources needed for FOIA compliance (optional) 

The Pension Protection Act of 2006 included reforms that may have a 

direct impact on our FOIA processing by increasing the potential need by 

participants and unions for document related to terminating defined 

benefit pension plans. The statute requires PBGC to provide 

administrative records to participants in newly trusteed pension plans 

within 15 days of receipt of a request. In addition, the recently issued 

Executive Order on “Improving Agency Disclosure of Information” places 

additional reporting responsibilities on the existing FOIA staff. Finally, 

the continued influx of large numbers of new participants in terminating 

pension plans in FY 2006 will more than likely foster an even larger 

number of FOIA requests in the coming year. In order to keep up with 

this increased demand on our FOIA staff, we will more that likely need an 

additional FTE devoted to processing FOIA requests in FY 2007. 

X. Fees 

This includes charges for search, review, document duplication, and any other 

direct costs permitted under agency regulations. 

A. Total amount of fees collected by agency for processing requests: $10,995. 

The majority of fees associated with participants requesting their own 

records as well as records relating to their pension plan were waived. 

B. Percentage of total costs is 1.4%

XI. FOIA Regulations (Including Fee Schedule) 

Agencies should provide electronic link for availability in electronic form and 

attach copy in paper form. 

http://www.pbgc.gov/media/ 

key-resources-for-the-press/content/page13687.html 

XII. Pursuant to Executive Order 13,392 PBGC is reporting on the status of its FOIA 

Improvement Plan posted on PBGC’s web page on June 9, 2006. 
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A. Description of supplementation/modification of agency improvement plan (if 

applicable) 

Not Applicable 

B. Report on agency implementation of its plan, including its performance in 

meeting milestones, with respect to each improvement area. 

Under the first area selected for our improvement plan, Proactive 

Disclosure of Information, we have completed research and started 

implementing an electronic FOIA Analyst Library which will allow the 

analyst to maintain and share many categories of documents and templates 

regardless of volume of material. This will make the electronic collection 

and review of large number of document more efficient and thus, cut 

down on processing time. This will also allow us to respond to requesters 

faster and post frequently requested documents on our web site sooner. 

The second area selected for review and improvement was our Automated 

Request Tracking/eFOIA Processing System. We have reviewed and 

completed an analysis of our eFOIA electronic tracking system and based 

on that analysis, we have implemented modifications to the eFOIA system 

to create an improved system for FY 2007. Based on the new data 

collected and distribution trends we have observed, we are able to use our 

improved eFOIA data mode to better predict workload planning and 

design possible process improvements for FY 2007. 

The third area selected for review was Forms of Communications with 

Requesters/Acknowledgement Letters. Pursuant to this area we have 

conducted research to find a method to send large documents 

electronically outside PBGC. Currently our e-mail system has a limit on 

the size of any electronic document that is attached to an e-mail sent 

outside PBGC. We have developed a file transfer protocol (FTP) system 

which is being tested with implementation in FY 2007. 

The fourth area selected for review was Cooperation with Agency 

Program Personnel. in a further effort to cut down on processing time for 

FOIA requests, we have established a FOIA Point of Contact in each 

PBGC department to assist FOIA analysts with collection of records 

maintained within their department. This should speedup the records 

collection process and lead to overall reduction of the time currently 

expanded to process a FOIA request. 

The final area selected for review is the Mandatory FOIA/Privacy 

Act/Identify Theft Training for certain PBGC Personnel. In view of new 

OMB guidance, we have expanded agency FOIA, Privacy Act and 

Identify Theft training to insure all employees and contractors both in 

PBGC and our field offices have updated training in FY 2007. This will 
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bring about a greater awareness on behalf of employees and contractors as 

to PBGC’s obligation to provide information to requesters in a timely 

fashion, the restrictions on disclosure of information maintained by 

PBGC, the sensitivity of the information and heighten awareness on 

possible identify theft attempts and what action to take to combat this 

problem. 

We feel that the steps listed above will allow further improvement of the 

FOIA processing system and thus greater customer satisfaction for our 

FOIA requesters. 

C. Identification and discussion of any deficiency in meeting plan milestones (if 

applicable) 

Not applicable 

D. Additional narrative statements regarding other executive order-related 

activities (optional) 

E. Concise description of FOIA exemptions 

The nine exemptions to the FOIA authorize federal agencies to withhold 

information covering: (1) classified national defense and foreign relations 

information; (2) internal agency rules and practices; (3) information that is 

prohibited from disclosure by another federal law; (4) trade secrets and 

other confidential business information; (5) inter-agency or intra-agency 

communications that are protected by legal privileges; (6) information 

involving matters of personal privacy; (7) records or information compiled 

for law enforcement purposes, to the extent that production of these 

records (A) could reasonably be expected to interfere with law 

enforcement proceedings, (B) would deprive a person of a right to a fair 

trial or an impartial adjudication, (C ) could reasonable be expected to 

constitute an unwarranted invasion of person 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) 

information relating to the supervision of financial institutions; and (9) 

certain geological information on wells. 
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F. Additional Statistics: 

1. Time range of requests pending, by date of request (or where 

applicable, by date of referral from another agency). These dates 

reflect information from the 154 requests pending as of January 31, 

2007. 

August 21, 2006 to January 31, 2007 

2. Time range of consultations pending with other agencies at this time. 

Not applicable 

G. Attachment: PBGC’s FOIA Improvement Plan 

http://www.pbgc.gov/docs/foiaplan06.pdf