2011: Chief FOIA Officer Report 

from 

the Pension Benefit Guaranty Corporation 

Part I: Steps Taken to Apply the Presumption of Openness 

―As President Obama instructed in his January 21, FOIA Memorandum, The Freedom of 

Information Act should be administered with a clear presumption: In the face of doubt, openness 

prevails.‖ 

1. Steps taken to apply the presumption of openness. 

One of the first steps we took in 2009 was to distribute the President’s memorandum 

as well as the Attorney General’s FOIA Guidelines to all members of our Disclosure 

staff. Again in 2010 we distributed these two documents and conducted special 

training with the Disclosure staff to stress maximum disclosure of records to 

requesters while being certain to protect the privacy of individuals other than the 

requester. The training focused on changes in our internal guidance to provide 

maximum disclosure of requested records. We also conducted training for specific 

departments at our main location as well as our field offices around the country 

during which we emphasized the presumption of openness. 

As indicated below, the vast majority of our requests are from participants in plans 

PBGC trustees. As a result, we are restricted by the constrains of the Privacy Act 

from making discretionary releases of this type of information to individuals other 

than the participant or their designated third party representatives. However, in 2010 

we made several discretionary releases of records that did not involve participant 

information. These requests involved interagency memorandums that could have 

been withheld under exemption (b) (5) of FOIA. However, we exercised our 

discretion and released the records in an effort to provide greater transparency into 

PBGC program operations. Our FOIA processing is centralized in PBGC allowing 

the Disclosure Division to review each instance where the potential use of an 

exemption may be applied. In that review process, specific emphases is placed on 

possible discretionary release of the information in question. We examine each 

instance on a case-by-case basis in an effort to provide maximum disclosure of 

requested records. During 2010, PBGC’s Disclosure Officer met with various 

departments within PBGC to explain to both managers and employees the importance 

of the presumption of openness and how we can assure this is an agency-wide goal 

for PBGC. 

PBGC currently protects the pensions of more than 44 million American workers and 

retirees in more than 27,500 private single-employer and multiemployer defined 

benefit pension plans. Over 90% of our FOIA requests are from participants in plans 

PBGC has trusteed and now pays monthly pension benefits. Even prior to President 

Obama’s memorandum, PBGC considered participant requests for records to be very 

important because disclosure allows the participants to see records that explain how 

their pension plan provisions effect how their benefits are calculated and why their 

plan was taken over by PBGC. We very seldom use an exemption of FOIA to deny 
participants access to relevant records. The exception occurs when other participants’ 

records appear within the requested records and PBGC asserts exemption (b) (6) of 

the FOIA to protect the personal privacy of other pension plan participants. 

Statistics – In our 2010 FOIA Annual Report, we reported that PBGC processed 

5,611 perfected requests that year. Of PBGC’s responses to these requests, 3,989 or 

71% were granted in full and involved requests for pension-related records. Another 

233 responses or 5.8% were granted in part. Only 6 requests were denied in full. Of 

the 239 responses that were not granted in full, 218 relied on a partial (b)(6) 

exemption of the FOIA to withhold information relating to participants other than the 

requester from a record containing the FOIA requester’s information. This ―denial‖

is a bit of a misnomer since all of the information which the requester was seeking 

was fully provided. This leaves only 21 times during 2010 where a partial exemption 

was used and the requester did not receive all the requested information—scarcely 

0.3% of all processed requests —where an exemption had to be used to withhold 

information. 

2. Report whether your agency shows an increase in the number of requests where records 

have been released in full or where records have been released in part when compared 

with those numbers in the previous year’s Annual FOIA report. 

During FY 2009 we processed 4,512 requests. Of those requests 3,626 (80.3%) were 

granted in full, and 192 (4.3%) were granted in part. In FY 2010 we processed 5,611 

requests resulting in 3,989 (71%) full releases and 233 (4.2%) partial releases. While 

the percentage of full releases decreased between FY 2009 and FY 2010, PBGC 

experienced an increase of 1,099 requests in FY 2010. 

These percentages do not add to 100 % because of reasons such as filing of 

duplicative requests, failure of requesters to follow-up with assurance of payment 

once an estimate of total time required to fulfill this request has been provided, failure 

of third party requesters to secure authorizations for subjects of records to allow 

disclosure and filing request with the wrong agency. 

As explained above, the majority of our requests come from pension plan participants 

seeking to access records pertaining to themselves and their pension plan. PBGC is 

already statistically close to not using or very seldom using a exemption to fully deny 

access to records. As a result, drawing conclusions from a comparison between FY 

2009 and FY 20010 is difficult. In FY 2009 we used an exemption only once to 

totally withhold requested information. In 2010 we used an exemption 6 times to 

totally withhold a document. As indicated above, in 2010 we processed 1,099 more 

requests then in 2009. It is true that the overall usage of exemptions to fully deny 

information increased from 1 to 6 in 2010. However this sample size is far too small 

to project into another year; we would be proud to continue to keep our denial rate at 

or below 6 times per year. 
Part II: Steps Taken to Ensure that Your Agency has an Effective 

 System for Responding to Requests 

―Open government requires not just a presumption of disclosure, but also an effective system for 

responding to FOIA requests.‖

1. Describe here the steps your agency has taken to ensure that your system for responding 

 to requests is effective and efficient. 

PBGC was one of the first government agencies to fully implement an electronic 

system to process FOIA requests in 1997. We have developed and refined this 

processing to allow a staff of eight analysts to process over 5,611 requests in FY 2010 

with no backlog. PBGC’s system not only allows us to process all requests 

electronically, but also allows for daily monitoring of each request as well as tracking 

to ensure that we know the processing status of each request. All FOIA requests get 

an acknowledgement letter mailed within two business days of receipt. The 

determination letters that are issued when processing is completed are concise and to 

the point. If a person would like to discuss the status of their request they can call our 

toll free number and actually speak to the analysts processing their request. Our 

determination letters fully explain if any portion of a record is withheld, what 

exemption of the FOIA was used and the appeal rights afforded the requester. During 

FY 2010, we received only 4 appeals contesting FOIA determinations. 

FOIA professionals have extensive daily IT support. We have an assigned individual 

that devotes full time support for the eFOIA processing system in use at PBGC. This 

individual assures a continued high level of support for our electronic processing 

system and retention of knowledge needed to deal with required modifications to the 

software to meet increased reporting requirements. In additional to support for the 

system, this individual is constantly looking for ways to improve the efficiency and 

reporting capabilities of the system. 

Our agency FOIA professionals interact with all departments on a daily basis. We 

have appointed one of our FOIA professionals as a permanent member of our 

Web/intranet Change Control Board. One of the responsibilities of this board is to 

work with our Open Government Team to look for ways to make new information 

about PBGC available on the Open Government web- page. A further discussion of 

the Open Government web- page activities is presented under Part III below. 

Both FOIA staffing and associated budget needs are reviewed on a quarterly basis or 

more often as appropriate to assure that as situations change we are able to provide 

alternative assistance. If trends reflect a sharp increase in FOIA activity we are 

poised to take appropriate action to provide adequate support. 

Our FOIA processing system is monitored on a daily basis through various reports 

including error reports to assure that we catch problems as they occur and take 

appropriate steps to avoid similar problems in the future. Our ability to process over 

5,600 requests in 2010 with just 11 full-time staff is a testament to the efficient and 

effective use of our electronic processing of FOIA requests. 
Part III. Steps Taken to Increase Proactive Disclosures 

―Agencies should readily and systematically post information online in advance of any public 

requests.‖

1. Describe here the steps your agency has taken to increase the amount of material that is 

available on your agency’s website, including providing examples of proactive 

disclosures that have been made since issuance of the new FOIA guidelines. 

During FY 2010 PBGC reviewed its web site and based on feedback, launched a 

newly designed web site offering the public a more intuitive way to get to information 

about PBGC and the pension plans we protect. This web site redesign enables 

quicker access to information, is easier to navigate and provides more information 

about PBGC and its insurance programs. It allows participants in our trusteed plans 

greater access to information pertaining to their specific pension plan and PBGC 

guarantee limits, and also provides an ―Open Government‖ section to allowing 

subscribers to receive various updated information. As discussed above, a FOIA 

professional has been appointed to the Web/intranet Change Control Board and, 

among other duties, assists in identifying records that would be appropriate for 

posting on our web site. With respect to utilization of social media, PBGC has begun 

using social media to distribute information that has been posted on its website. We 

have established a Facebook web page, a YouTube web page and a Twitter feed. 

These web pages are being used to increase proactive disclosure for PBGC. 

When a plan is taken over by PBGC, we pay monthly pension benefits to pension 

plan participants when they become eligible to retire. As a proactive step, PBGC 

announces the takeover (trusteeship) of plans as they occur through press releases 

made available on its web site. PBGC also establishes a web page for each 

terminating pension plan where participants can visit to track progress of the 

termination, obtain information, and get updates from PBGC. Placing current 

pension plan status information on our web site allows participants to review the 

status of their plan termination and in part reduces the need to file a FOIA request to 

get that basic information about the status of their pension plan termination. Our web 

site is used by thousands of plan participants to get basic information on PBGC’s 

mission and how it will affect their specific terminated pension plan. We also send 

out a series of letters to all plan participants in our trusteed plans informing them of 

their rights and entitlement to pension benefits. 

Since the issuance of the new FOIA guidelines, PBGC has taken several steps to open 

information to the public. As indicated above, it has established an ―Open 

Government‖ web page which allows a subscriber to receive updates to various data 

sets and information to help the American public better understand the work of 

PBGC. The data sets include a list of single-employer plans that have been trusteed 

by PBGC, information about the financial assistance provided by PBGC to 

multiemployer plans, and current and historical information from PBGC’s financial 

statements. Finally, this page also explains how the public can provide suggestions to 

improve the Corporation’s work and performance. PBGC’s newly published 

information complements the many other Federal agency data sets located at 
www.data.gov. PBGC will be providing additional data sets as they become 

available. 

In addition, PBGC makes available on its web site redacted versions of final decisions 

regarding eligibility for benefits issued by PBGC’s Appeals Board. These 

determinations often affect more than one participant in a specific pension plan, and 

the publication allows other participants and their representatives to review PBGC’s 

analysis of factual situations and application of PBGC’s regulations. These final 

appeal decisions often provide participants with the information they need and 

preclude having to file a FOIA request for similar information. 

Part IV. Steps Taken to Improve Use of Technology 

Electronic receipt of requests: 

1. Does your agency currently receive requests electronically? 

 

FOIA processing at PBGC is centralized, and therefore, no other components of 

PBGC receive, track or process FOIA requests. With respect to our centralized 

processing, as in past years, the majority of our requests are filed by pension plan 

participants (or third party representative) seeking access to pension plan records 

and/or copies of their participant file. Since the requested records are contained in 

part in a system of records covered by the Privacy Act of 1974 (as amended), access 

to copies of those records requires the signature of the subject of the record. As a 

result, e-mail requests for these types of records is not accepted since we do not know 

who is sending the e-mail and PBGC needs a signature from the subject of the record 

to verify the identity of the requester prior to disclosing the record. In this era of 

identity theft we take every step to assure the protections afforded by the Privacy Act 

of 1974 are followed to assure that participant records are only disclosed to the 

subject of the record or his/her authorized representative. 

Electronic tracking of requests: 

2. Tracking of FOIA requests 

As indicated above, processing of FOIA requests is centralized at PBGC. The 

Disclosure Division receives all FOIA requests for PBGC documents, tracks theses 

requests electronically and processes the requests using our eFOIA software. 

Electronic Processing of Requests: 

3. Does your agency track requests electronically? 

PBGC’s FOIA function is centralized, all receipt and processing of FOIA requests 

takes place in the Disclosure Division. As indicated above, PBGC implemented an 

electronic system to process and track all requests in 1997 as required by the 

Electronic Freedom of Information Act Amendment of 1996. As one of the first 

agencies to comply with the Act, PBGC has been in the forefront in the automation of 

the entire FOIA process. PBGC’s system allows it to electronically track requests, 
gather requested records from various other internal systems, review those records 

and make required redactions. We processed over 7,300 requests in FY 2008, a 

record number for PBGC. In 2010, our outreach efforts in part helped reduce the 

number of requests to 5,611. Any requester can call the number listed in our 

confirmation letter acknowledging their request and get an immediate update on the 

status of processing of their request. Our electronic processing system is adaptable 

and PBGC has modified it to meet new reporting requirements as developed by DOJ. 

Electronic Preparation of Annual FOIA Report 

4. Does your agency utilize technology to prepare your agency Annual FOIA Report? 

 Yes, our electronic eFOIA system is FOIA specific and provides a detailed working 

report that calculates and finalizes all numerical calculations as required in the latest OIP 

FOIA report guidance from 2008. Furthermore, our system generates periodic reports 

allowing constant monitoring of the FOIA response progress in order to preemptively 

anticipate and solve issues before they cause production problems. This allows us to 

generate the FOIA Annual Report narrative quickly and with confidence that the 

information is accurate. We are satisfied with our existing system that prepares our 

Annual FOIA Report. 

Part V. Steps Taken to Reduce Backlogs and Improve Timeliness in 

 Responding to Requests 

1. Backlog Status 

 We do not have a current backlog and credit this to the rapid electronic processing of 

all incoming FOIA requests. On requests that cover a voluminous PBGC records, we 

work with the requester to attempt to possibly narrow the scope of the request and 

provide partial disclosures to the requester at the earliest possible date. Our experience 

indicates that working directly with the requester improves understanding for both 

parties, achieves the desired disclosure more quickly, and greatly improves customer 

satisfaction. We are always striving to improve our electronic system by developing 

new procedures and modifying existing procedures to allow finite tracking of requests to 

assure the shortest processing time possible. Of the ten oldest pending requests as 

reported in our FOIA Fiscal Year 2010 report, six have been closed and four voluminous 

requests remain active with several partial disclosures made under each request. 

2. Backlog Reduction Steps 

Not applicable: see V.1. above. PBGC did not have a backlog in FY 2009 or FY 

2010.

3. Steps taken to Improve Timeliness 

While we have no backlog, we are constantly looking at ways to reduce processing 

time through more efficient use of our electronic processing system. We monitor 

processing time through special reports generated by our electronic processing 
system. We set and adjust goals based on our constant monitoring of reports. During 

FY 2010, we were able to add an additional analyst as well as an additional support 

staff to assist in processing our increased FOIA workload. Our Chief FOIA Officer 

has been involved in overseeing our capacity to process increased numbers of FOIA 

requests. Particular attention has been placed on satisfying increased staffing needs 

and well as associated increased budget needs. Also during FY 2010, we have 

developed additional IT procedures to streamline the timeliness of electronic input of 

data as well as its accuracy. These IT improvements have allowed us to handle the 

increased volume of FOIA requests in a more efficient manner. 

Spotlight on Success 

We are very proud of our ability to process in a timely manner the growing number of FOIA 

requests we receive each year. Providing prompt access to PBGC records has been a challenge. 

Our dedicated staff and support of management has allowed us to move forward each year by 

more efficiently utilizing our processing software and talents of the staff to continue to strive to 

make sure that transparency into PBGC program’s and policies remains a reality for the public.