Pension Benefit Guaranty Corporation's
 

FY 2010 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 “2009 Guidelines for Agency Preparation of 

Annual FOIA Reports” created by the Office of Information and Privacy, Department of 

Justice, the following information reflects the Pension Benefit Guaranty Corporation’s (PBGC) 

activity in administering the FOIA during fiscal year 2010. 

I. BASIC INFORMATION REGARDING REPORT 

1. 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 

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

http://www.pbgc.gov/docs/foia2010.pdf 

3. 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 I.B above. 

II. MAKING A FOIA REQUEST 

1. 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 
 -2-

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 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. 

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 

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. Other denials were in response 

to subpoenas served on PBGC seeking information about benefits due 

individual participants from pension plans trusteed by the PBGC. 

In addition, 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. 

Records subject to disclosure and application of FOIA exemptions 

includes, 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. 

III. ACRONYMS, DEFINITIONS, AND EXEMPTIONS 

1. Agency-specific acronyms or other terms: 

None 
 -3-

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 does not process requests on a decentralized basis 

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 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 
 -4-

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.) 

NOTE: PBGC treats all requests for access to records, regardless 

of which law is cited by the requester, as FOIA and PA requests. 

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 (nonexpedited) 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. 
 -5-

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. 

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 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. 

a. Exemption 1: Classified national defense and foreign relations 

information 

b. Exemption 2: Internal agency rules and practices 

c. Exemption 3: Information that is prohibited from disclosure by 

another federal law 

d. Exemption 4: Trade secrets and other confidential business 

information 

e. Exemption 5: Inter-agency or intra-agency communications that 

are protected by legal privileges 

f.	 Exemption 6: Information involving matters of personal privacy 

g. Exemption 7: Records or information compiled for law 
 

 

 

-6-

enforcement purposes, to the extent that the production of those 

records (A) could reasonably be expected to interfere with 

enforcement proceeding’s, (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 Law enforcement 

information: Release would interfere with on going proceedings 

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

institutions 

i. Exemption 9: Geological information on wells 

IV. EXEMPTION 3 STATUTES 

Exemption 3 Statutes Relied Upon to Withhold Information 

Statute Type of Information 

Withheld Case Citation 

Number 

of Times 

Relied 

Upon 

per 

Component 

Total 

Number 

of 

Times 

Relied 

Upon 

by 

Agency 

NONE N/A N/A N/A N/A 

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 

Agency 

Overall 152 5,834 5,611 375 

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

Number Number 

Number of Full Denials Based on Reasons 

Other than Exemptions 

n

n

ed

d

Number 

of Full 

Grants 

of 

Partial 

Grants/ 

Partial 

Denials 

of Full 

Denials 

Based on 

Exemptions 

No Records

rr All Records Refe ed

to Another Agency

Request Withdraw

Fee-Related Reaso

Records Not

Reasonably Describ

Req Improper FOIA uest 

for Other Reason 

Not Agency Recor

ques Duplicate Re t

Other (see B(2)) 

Total

Agency 

Overall 3,989 233 6 26 2 3 0 1 33 1 579 738 5,611

-7-

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

on Reasons Other Than Exemptions” from Section V.B(1) Chart Above 

Description of “Other” Reasons for Full Denials Total 

Agency Overall 

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.. 

738 
 

 

-8-

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 

Agency 

Overall 

0 2 0 18 6 218 0 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 4 3 1 

B. Disposition of Administrative Appeals – All Processed Appeals 

Number Affirmed 

on Appeal 

Number Partially 

Affirmed and 

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. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. Ex. 

1 2 3 4 5 6 7(A) 7(B) 7(C) 7(D) 7(E) 7(F) 8 9 

0 0 0 0 1 2 0 0 0 0 0 0 0 0 
 

 

-9-

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

No Records

All Records 

Referred to 

Another Agency 

Request

Withdrawn

Fee-Related 

Reason

Records Not

Reasonably

Described

Improper FOIA 

Request for

Other Reason

Not Agency

Record

Duplicate

Request

Other (see C(3)) 

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) Total 

n/a 0

C.(4). Response Time for Administrative Appeals 

Median Number 

of Days 

Average Number 

of Days 

Lowest Number 

of Days 

Highest Number 

of Days 

31 28 20 34 

C.(5). Ten Oldest Pending Administrative Appeals 

10th 

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

Date of 

Receipt 9/17/10 

Number of 

Days Pending 9 
 -10-

VII. FOIA REQUESTS: RESPONSE TIME FOR PROCESSED AND PENDING 

REQUESTS 

PBGC processes all non-Expedited requests received under a single track, which 

for the purpose of the tables below has been designated Standard. 

PBGC received 3 requests for expedited processing in FY2010, and chose to grant 

all 3 expedited status based on the nature of the information requested. 

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

Standard Processing Expedited Processing 

Median

Average

Lowest

HighestMedian

Average

Lowest

Highest 

Agency 

Overall 

6 6 0 43 6 6 1 12 

B. Processed Requests — Response Time for Perfected Requests in which 

Information was Granted 

Standard Expedited Processing 

Median

Average

Lowest

HighestMedian

Average

Lowest

Highest 

Agency 

Overall 

6 7 0 43 6 6 1 12 
 

 

 

-11-

C. Processed Requests — Response Time in Day Increments 

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 

Standard Requests 

Agency 

Overall 5,562 42 7 0 0 0 0 0 0 0 0 0 0 5,611 

n/a 

Agency 

Overall 

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

Requests Granted Expedited Processing 

Agency 

Overall 

3 0 0 0 0 0 0 0 0 0 0 0 0 3 

D. Pending Requests — All Pending Perfected Requests 

Standard Expedited Processing 

Number

Pending

Median

Number of 

Days

Average

Number of 

Days

Number

Pending

Median

Number of 

Days

Average

Number of 

Days 

Agency 

Overall 

375 3 8 0 0 0 

E. Pending Requests — Ten Oldest Pending Perfected Requests 

10th 

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

Date of 

Receipt 

9/13/ 

2010 

9/13/ 

2010 

9/10/ 

2010 

9/9/ 

2010 

9/7/ 

2010 

9/7/ 

2010 

8/9/ 

2010 

8/2/ 

2010 

8/2/ 

2010 

7/30/ 

2010 

Number 

of Days 

Pending 

13 13 14 15 17 17 37 42 42 43 
 

 

 

-12-

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). 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 

Agency 

Overall 3 0 2 2 3 

B. Requests for Fee Waiver 

Number 

Granted 

Number 

Denied 

Median Number 

of Days to 

Adjudicate 

Average Number 

of Days to 

Adjudicate 

Agency 

Overall 3 0 2 2 

IX. COSTS/FOIA STAFFING 

A. Personnel 

(See combined table under IX.B below) 
 -13-

B. Costs 

Personnel Costs 

Number of 

“Full-Time FOIA

Employees”

Number of 

“ Equivalent

Full-Time FOIA 

Em

plo

yees”

Total Number of

“Full-Time

FOIA Staff”

Processing

Costs

LitigationRelated Costs 

Total

Costs 

Agency 

Overall 

9 2 11 $1,058,000.00 $10,000.00 $1,068,000.00 

X. FEES COLLECTED FOR PROCESSING REQUESTS 

Total Amount of 

Fees Collected 

Percentage of 

Total Costs 

Agency 

Overall $6,194.20 0.579% 

XI. FOIA REGULATIONS (INCLUDING FEE SCHEDULE) 

PBGC FOIA regulations are available online at: 

http://www.pbgc.gov/practitioners/law-regulations-informal-guidance/ 

content/page14789.html 

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 

0 0 
 -14-

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

Consultations 

Number of 

Consultations 

Received From Other 

Agencies that were 

Pending 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 During 

the Fiscal Year 

Number of 

Consultations 

Received From Other 

Agencies that were 

Pending 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 PBGC 

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 

n/a n/a n/a n/a n/a n/a n/a n/a n/a n/a 

D. Comparison of Numbers of Requests from Previous and Current Annual 

Report – Requests Received, Processed, and Backlogged 

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 

4,526 5,834 4,512 5,611 
 -15-

E. Comparison of Numbers of Administrative Appeals from Previous and 

Current Annual Report –Appeals Received, 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 

2 4 2 3 

F.	 Discussion of Other FOIA Activities 

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

2010, PBGC received 5,834 FOIA requests and processed 5,611 

requests. The average time to process a standard request was 7 

working days. Our electronic software, used to process requests since 

1999, was able to meet new reporting requirements with only minor 

modifications. PBGC received only four 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 insure, we 

directly enable those participants to access and examine critical 

documents that are relied on to calculate their individual pension 

benefits.