Pension Benefit Guaranty Corporation's

FY 2002 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 2002.

(Information in Italics has been added to this report as submitted to the Department of Justice to 

assist the reader.)

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.

www.pbgc.gov/laws/foia/annual.htm

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

A paper copy of the report can be obtained by calling the Communications & 

Public Affairs Department, 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 

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, Communications & Public Affairs Department, Attention E. William

FitzGerald, Disclosure Officer, Suite 2413, 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 2002 (October 1, 2001 - September 30, 2002), the PBGC’s 

median response time for responding to FOIA requests was 12 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 3 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 substantial

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 (to be included in each 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.)

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. 

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.

(These are laws that authorize an agency to withhold information from disclosure 

under FOIA.)

41 U.S.C. § 253b(m)

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

Information from proposals submitted by contractors seeking to do business with 

PBGC.

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

example.

We are unaware of any court case regarding PBGC’s use of 41 U.S.C. § 253b(m) 

as an exemption 3 statute.

V. Initial FOIA/PA Access Requests
• This should include all access requests whether first-party (request for records 

pertaining to the requester) or third-party (request for records that do not 

pertain to the requester).

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.

1. Number requests pending as of the end of the preceding fiscal year 76

2. Number of requests received during current fiscal year 935

3. Number of requests processed during current fiscal year 921

4. Number of requests pending as of the end of current fiscal year 90

B. Disposition of initial requests.

1. Number of total grants (all information requested was released) 456

2. Number of partial grants (some information disclosed, some not) 121

3. Number of denials (no requested information disclosed) 30

a. number of times each FOIA exemption used (counting each exemption once per 

request) (An agency may withhold information from disclosure if the

information requested is the kind described in an exemption to FOIA.)

(1) Exemption 1 0

(pertains to national security information)

(2) Exemption 2 0

(information pertaining too purely internal matters and law enforcement 

manuals)

(3) Exemption 3 3

(information prohibited from disclosure by statute)

(4) Exemption 4 14

(trade secrets and confidential commercial or financial information)

(5) Exemption 5 4

(inter or intra agency memoranda or letters that would not be disclosed in 

litigation)

(6) Exemption 6 142
(information pertaining to an individual where release would clearly

invade the individual’s privacy)

(7) Exemption 7(A) 0

(law enforcement information – release would interfere with on going 

proceedings)

(8) Exemption 7(B) 0

(law enforcement information – release would jeopardize a fair trial)

(9) Exemption 7(C) 1

(law enforcement information – release could reasonably invade an 

individual’s privacy)

(10) Exemption 7(D) 0

(law enforcement information – release would expose confidential sources)

(11) Exemption 7(E) 0

(law enforcement information – release would expose law enforcement 

techniques or procedures)

(12) Exemption 7(F) 0

(law enforcement information – release would jeopardize personal safety)

(13) Exemption 8 0

(bank examiner information)

(14) Exemption 9 0

(oil well information)

4. Other reasons for nondisclosure (total) 314

a. no records 9

(PBGC did not have any records responsive to the request)

b. referrals 3

(The request pertained to another agency and was referred to that agency 

for a response.)

c. request withdrawn 9

d. fee-related reason 1

(The requester declined to pay applicable search & copying fees.)

e. records not reasonably described 1

f. not a proper FOIA request for some other reason 38

(The request did not seek access to records but instead asked general 

questions. The requests were referred within the agency for response)

g. not an agency record 0

(The record requested is not collected or created by PBGC)

h. duplicate request 53

i. other (specify) 200
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

(An appeal of an initial denial of a FOIA/Privacy Act request should be 

made to the Office of the General Counsel within 30 days from the date of 

the initial denial)

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

(First-party requests involve records pertaining to the requester, while

third-party requests do not involve records pertaining to the requester.)

A. Number of appeals.

1. Number of appeals received during fiscal year 2

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 2

B. Disposition of appeals.

1. Number completely upheld 2

2. Number partially reversed 0

3. Number completely reversed 0

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 0

4. Exemption 4 0

5. Exemption 5 1
(inter or intra agency memoranda or letters that would not be

disclosed in litigation)

6. Exemption 6 1

(information pertaining to an individual where release would

clearly invade the individual’s privacy)

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) 0

a. no records 0

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
VII. Compliance with Time Limits/Status of pending requests

(The FOIA generally requires the agency to respond to a FOIA request 

within 20 workdays after receipt.)

• 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 905 requests during FY 2002.

b. median number of days to process

The median number of days to process all types of requests in FY 

2001 was 12.

3. Requests accorded expedited processing.

(Requests from the media which are on deadline, requests involving 

the health or safety of an individual, and request involving an issue 
that is being appealed before the agency are given expedited

treatment.)

a. number of requests processed 16

b. median number of days to process 3

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 90

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

date 15

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

The number of requests processed increased to 921 in FY 2002 an increase from FY 

2001 (712). This was in part due to the increased number of participants coming into 

PBGC in large terminations that took place in FY 2002 as well as greater use of our 

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

addition we are becoming more efficient in using electronic processing of FOIA requests.

The median number of days required to process a request increased from 6 in FY 01 to 12

in FY 02 due to larger number of requests received. The increase in the number of denials 

is also attributable to the larger number of requests processed during the fiscal year.

We received 0 requests for expedited processing but granted 16 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 5.5

2. Number of personnel with part-time or occasional FOIA duties (in total workyears) .5

3. Total number of personnel (in work-years) 6.0
B. Total costs (including staff and all resources).

1. FOIA processing (including appeals) $369,000

(Salaries and other estimated personnel-related costs of processing FOIA 

requests and appeals are included.)

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

3. Total costs $369,000

4. Comparison with previous year(s) (including percentage of change) (optional) 

Between FY 2001 ($302,700) and FY 02 ($369,000) an 17% increase in

processing costs occurred. This increase can be largely attributable to the 4.77% 

general salary increase for federal employees and 12.2% increase in non-personnel 

costs.

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

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 $4,724.00. 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 1.3%

XI. FOIA Regulations (Including Fee Schedule)

• Agencies should provide electronic link for availability in electronic form and attach 

copy in paper form.

www.pbgc.gov/laws/foia/annual.htm

(This is a link to PBGC’s home page on the world wide web where you will find 

information about FOIA, including this report.)