Pension Benefit Guaranty Corporation's

FY 2007 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 2007. 

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/docs/foia2007.pdf 

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 I.B above. 

II. How to Make a FOIA Request 

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 
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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 2007 (October 1, 2006 - September 30, 2007), the 

PBGC’s median response time for responding to FOIA requests was 

10 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. Other denials were in response 

to subpoena’s 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. 

III. Definition of Terms and Acronyms Used in the Report 

A. Agency-specific acronyms or other terms: 

None 
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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 firstin/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 multitrack 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 
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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: 

A: 41 U.S.C. § 253b(m), 5 U.S.C. § 552a 

B: 29 U.S.C. § 1343(f) 

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

A: Information from proposals submitted by contractors seeking to do 

business with PBGC. 

B: Information submitted to PBGC as part of a notice of a reportable 

event. 
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2. Statement of whether a court has upheld the use of each statute: 

A: We are aware of one court case not involving PBGC regarding use 

of 41 U.S.C. § 253b(m) as an exemption 3 statute. That case is 

Hornbostel v. Department of Interior, 304 F. Supp. 2d 21 (D.D.C. 

2003). 

B: n/a 

V. Initial FOIA/PA Access Requests 

A. Number of initial requests: 

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

year 

121

2. Number of requests received during current fiscal year 3,926

3. Number of requests processed during current fiscal year 3,819

4. Number of requests pending as of the end of current fiscal year 228

B. Disposition of initial requests: 

1. Number of total grants 2,996

2. Number of partial grants 181

3. Number of denials 59

a. Number of times each FOIA exemption used (counting each 

exemption once per request) 

Exemption 1 0 

Exemption 2 1

Exemption 3 3

Exemption 4 37

Exemption 5 13

Exemption 6 191

Exemption 7(a) 0

Exemption 7(b) 0

Exemption 7(c) 0

Exemption 7(d) 0

Exemption 7(e) 0

Exemption 7(f) 0
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Exemption 8 0

Exemption 9 0

4. Other reasons for nondisclosure 583

a. No records 41

b. Referrals 7

c. Request withdrawn 12

d. Fee-related reason 4

e. Records not reasonably described 2

f. Not a proper FOIA request for some other reason 30

g. Not an agency record 2

h. Duplicate request 179

i. Other (specify) 

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. 

306

VI. Appeals of Initial Denials of FOIA/PA Requests 

A. Number of appeals: 

1. Number of appeals received during fiscal year 

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

2. Number of appeals processed during the fiscal year 3

B. Disposition of appeals: 

1. Number completely upheld 2

2. Number partially reversed 1

3. Number completely reversed 0

a. Number of times each FOIA exemption used (counting each 

exemption once per appeal) 

Exemption 1 0

Exemption 2 0
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Exemption 3 1

Exemption 4 2

Exemption 5 0

Exemption 6 0

Exemption 7(a) 0

Exemption 7(b) 0

Exemption 7(c) 0

Exemption 7(d) 0

Exemption 7(e) 0

Exemption 7(f) 0

Exemption 8 0

Exemption 9 0

4. Other reasons for nondisclosure 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 

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

1. Simple requests (if multiple tracks used) 

Note: PBGC does not have a multiple-track system. 

a. Number of requests processed N/A

b. Median number of days to process N/A

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

a. Number of requests processed 3,805

b. Median number of days to process 10
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3. Requests accorded expedited processing 

a. Number of requests processed 14

b. Median number of days to process 4

B. Status of pending requests: 

1. Number of requests pending as of end of current fiscal year 228

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

date 6

VIII. Comparisons with Previous Year(s) 

The number of FOIA requests received in FY 2007 (3,926) continued to increase 

over FY 2006 (2,560). Thus a 54% increase in number of requests received in FY 

2007 over FY 2006. 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 website 

which explains how to file a FOIA request. 

The median number of days required to process a request decreased from 13 in FY 

2006 to 10 in FY 2007 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 14 requests expedited 

treatment based on descriptive information contained in each request. 

IX. Costs/FOIA Staffing 

A. Staffing levels: 

1. Number of full-time FOIA personnel 8.5

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

total work-years) 0.5

3. Total number of personnel (in work-years) 9.0

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

1. FOIA processing (including appeals) $967,630

2. Litigation-related activities (estimated) n/a

3. Total costs $967,630
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4. Comparison with previous year(s) (including percentage of change) 

Between FY 2006 ($766,372) and FY 2007 ($967,630) a 26% increase in 

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

2.64% increase in salary for federal employees, addition of one full-time 

individual, one part-time individual and increase in non-personnel 

(contract processing) and IT support costs .

C. Statement of additional resources needed for FOIA compliance: 

Pension reforms 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. In addition, 

numerous recent OMB requirements regarding security of personally 

identifiable information, use of Social Security numbers and recent 

FOIA legislation 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 additional staffing devoted 

to processing FOIA requests in FY 2008. 

X. Fees 

A. Total fees collected by agency for processing requests 

The majority of fees associated with participants requesting their 

own records as well as records relating to their pension plan 

were waived. 

$5,811

B. Percentage of total costs < 0.6%

XI. FOIA Regulations (Including Fee Schedule) 

PBGC FOIA regulations are available online at: 

http://www.pbgc.gov/docs/foia2007.pdf 

XII. Additional Reporting Requirements 

Note: This section is presented in the format suggested by the Department of 

Justice. 

A. Description of supplementation/modification of agency improvement plan: 

No modification 
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B. Report on agency implementation of its plan, its performance in meeting 

milestones, with respect to each improvement area: 

PBGC’s Disclosure Officer provided mandatory FOIA/PA and 

Identity Theft training to all of PBGC’s field offices and several 

departments within PBGC’s headquarters. We are currently arranging 

for FOIA/PA and Identity Theft training for the balance of PBGC’s 

employees and contractors. We expect this to be completed by the end 

of FY 08. 

Our electronic FOIA tracking system was modified to maintain 

additional information about the type of FOIA requests received, 

timing of response and related processing information. We can now 

produce reports that provide statistics on aging of all types of requests 

and this will allow us to meet the requirements of the 2007 

Amendments to the Freedom of Information Act signed into law on 

December 31, 2007. 

The Disclosure Officer worked with the PBGC’s Office of Information 

and Technology (OIT) to perform required research to identify 

potential solutions and the estimated cost of implementing an 

electronic document retrieval center. Our research has provided us 

with a no-cost alternative for creating an electronic document retrieval 

center now in use daily by our FOIA analysts. The improved access to 

frequently requested records allows more efficient processing of 

requests. 

The Disclosure Officer conducted discussions with IT personnel on the 

feasibility of expanding the size of attachments that Disclosure 

Division employees can send outside the agency via e-mail and/or seek 

assistance in performing research to identify other means and of 

transferring large amounts of electronic files to requesters and the 

estimated costs of implementing an alternative solution. We have 

developed a plan for an FTP site that will allow us to send and receive 

oversized electronic documents when necessary. This site will be 

operational by June, 2008. 

With regards to our goals covering forms of communications with 

requesters/acknowledgement letters, we prepared a report on the 

feasibility of expanding the size of e-mail attachments and, as listed 

above, we have developed a plan for an FTP site that will be operative 

by June 2008. In the interim, we are loading large electronic files on a 

CD, encrypting and password protecting as required. These disks are 

sent to requesters “certified,” and applicable follow-up calls are made 

to provide needed passwords. 
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In a continuing effort to speed up processing of FOIA requests, a 

designate from each department has been appointed to act as a point of 

contact for Disclosure Division employees seeking records that may be 

responsive to a FOIA request. These points of contact have proven 

invaluable in locating documents and thus, speeding up access to 

documents. 

C. Identification and discussion of any discussion of any deficiency in meeting 

plan milestones (if applicable): 

None 

D. Additional narrative statement regarding other executive order-related 

activities: 

n/a 

E. Concise descriptions 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. 

Exemption 1 — Pertains to national security information.

Exemption 2 — Information pertaining to purely internal matters and 

law enforcement manual 

Exemption 3 — Information prohibited from disclosure by statute

Exemption 4 — Trade secrets and confidential commercial or 

financial information 

Exemption 5 — Inter- or intra-agency memoranda or letters that 

would not be disclosed in litigation 

Exemption 6 — Information pertaining to an individual where release 

would clearly invade the individual’s privacy 

Exemption 7(A) — Law enforcement information: Release would 

interfere with on going proceedings 

Exemption 7(B) — Law enforcement information: Release would 

jeopardize a fair trial 

Exemption 7(C) — Law enforcement information: Release could 

reasonably invade an individual’s privacy
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Exemption 7(D) — Law enforcement information: Release would 

expose confidential sources 

Exemption 7(E) — Law enforcement information – Release would 

expose law enforcement techniques or procedures 

Exemption 7(F) — Law enforcement information – Release would 

jeopardize personal safety 

Exemption 8 — Bank examiner information 

Exemption 9 — Oil well information

F. Additional Statistics 

1. Ten Oldest Pending FOIA Requests (as of 1/1/2008) 

Calendar 

Year 2000 2001 2002 2003 2004 2005 2006 2007 

Requests 0 0 0 0 0 0 0 

Dec 19 

Dec 11 

Dec 11 

Dec 10 

Dec 3 

Dec 3 

Nov 27 

Nov 26 

Nov 20 

Nov 16 

2. Consultations 

A. Number of consultations received, processed, and pending 

Consultations 

Received from Other 

Agencies During FY07 

Consultations 

Received from Other 

Agencies that were 

Processed by PBGC 

during FY07 

(including those 

received prior to 

FY07)

Consultations 

Received from Other 

Agencies that were 

Pending at PBGC as 

of October 1, 2007 

(including those 

received prior to 

FY07) 

0 0 0 
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B. Ten oldest pending consultations received from other agencies 

Calendar 

Year 1999 2000 2001 2002 2003 2004 2005 2006 2007 

Consults 

Received 0 0 0 0 0 0 0 0 0 

G. Attachment: Agency Improvement Plan 

June 9, 2006 (as posted on our web page)

Pension Benefit Guaranty Corporation 

Freedom of Information Act (FOIA) Report 

Improvement Plan under Executive Order 13,392 

A. Characterize Overall Nature of PBGC’s FOIA operations 

 The Pension Benefit Guaranty Corporation was established in 1974 under the 

Employee Retirement Income Security Act (“ERISA”) to protect the pensions of 

workers and retirees in private-sector defined benefit pension plans. PBGC is 

responsible for paying monthly retirement benefits, up to a guaranteed maximum, to 

about 683,000 retirees in 3,595 pension plans that terminated without enough money 

to pay promised benefits. Including those who have not yet retired and participants in 

multiemployer plans receiving financial assistance, PBGC is responsible for the current 

and future pensions of about 1,300,000 people. Last fiscal year, PBGC paid out 

approximately $3.7 billion in pension benefits. PBGC operations are financed largely 

by insurance premiums paid by the sponsors of defined benefit pension plans, by 

investment income and by the assets of failed pension plans. PBGC receives no funds 

from general tax revenues. 

 The PBGC employs approximately 800 full time employees (FTEs) in its offices in 

Washington D.C. The Disclosure Division of PBGC’s Office of the General Counsel is 

responsible for PBGC’s FOIA program. The Disclosure Division employs 6 FTEs and 

received over 1,600 FOIA requests in fiscal year 2005. PBGC expects to process over 

two thousand FOIA requests in 2006. The increase is primarily due to the termination 

of a number of large pension plans in 2004 and 2005 for which PBGC became 

responsible for paying pension benefits. The majority of PBGC’s FOIA requests are 

made by participants and beneficiaries in failed pension plans seeking information 

about how PBGC calculated the amount of their benefits under ERISA’s pension plan 

termination insurance program. 

 To process the increasing number of requests each year in a timely manner, and 

to make records available electronically as required by the Electronic Freedom of 

Information Act Amendments of 1996, PBGC invested in FOIA processing software. 

The software permits PBGC to track incoming FOIA requests, acquire responsive 
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documents maintained by PBGC in an electronic format, convert responsive paper 

documents into electronic files, and review and redact those documents electronically. 

Since FY 2000, the PBGC’s cost of processing a FOIA request has been reduced by 

over 36% even though the number of FOIA requests received annually has increased 

exponentially. 

 PBGC prides itself on providing outstanding customer service. All employees are 

required to take customer service training and abide by the PBGC’s customer service 

pledge that is posted on PBGC’s website at http://www.pbgc.gov/workers- /headerfooter-general/content/page13337.html. Even before the issuance of Executive Order 

13,392, one phone call to the Disclosure Division would allow a requester to receive 

information on the status of his or her FOIA request. PBGC’s web page has a very 

useful Freedom of Information Act Guide for individuals interested in 

making an FOIA request. In addition, the web page has a FOIA Electronic Reading 

Room, which contains useful information and frequently requested records. Finally, we 

requester with a FOIA appeal rate is less than one half of one percent. Overall we feel 

that PBGC’s FOIA program is efficient, customer-friendly, and fulfills the spirit and 

intent of E.O. 13,392. 

B. Areas Selected for Review 

 In undertaking the review required under E.O. 13,392, PBGC started with the fact 

that PBGC processed 1,487 FOIA requests in fiscal year 2005 and that the median 

number of days to respond to a FOIA request was 17 days. PBGC does not carry a 

significant backlog of requests pending for more than 20 days. The challenge facing 

request given that the number of FOIA requests it receives annually will inevitably 

continue to increase which PBGC becomes responsible for paying pension benefits 

increases. As part of its review, PBGC considered: 

1. Affirmative Disclosure under 5 U.S.C. § 552(a)(2) 

2. Proactive Disclosure of Information 

3. Improvement of Agency’s FOIA Reference Guide 

4. Automated Request Tracking/Electronic FOIA Processing 

5. Multi-Track Processing 

6. Expedited Processing 

7. Politeness/Courtesy 

8. Forms of Communication with Requesters/Acknowledgment Letters 

9. Cooperation with Agency Program Personnel 

10. Mandatory FOIA/Privacy Act/Identity Theft Training for Certain PBGC 

Personnel 

C. Results of Review 

1. Affirmative Disclosure under 5 U.S.C. § 552(a)(2) 

 Our review of PBGC’s reading and electronic reading room materials reveals that 
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PBGC is maintaining and is updating required materials. PBGC recently added to its 

website a searchable database of decisions issued by the PBGC’s Appeals Board. 

The database is accessible through PBGC’s electronic reading room. See: 

http://www.pbgc.gov/media/key-resources-for-the-press/content/page13687.html. No 

further action is required. 

2. Proactive Disclosure of Information 

 Detailed information on PBGC’s insurance programs is available on PBGC’s web 

site. These documents include annual reports and facts sheets relative to PBGC’s 

insurance programs. Nevertheless, PBGC is exploring ways to make more information 

available to the public on its website. For example, participants and beneficiaries in 

failed pension plans trusteed by the PBGC often seek copies of the pension plan 

document. If plan documents were routinely posted on PBGC’s website, the number of 

FOIA requests or the amount of information that must be processed for disclosure 

under FOIA could be reduced. Additional actions outlined in categories D&E.

3. Improvement of Agency’s FOIA Reference Guide 

 As part of Implementing E.O. 13,392, PBGC reviewed its FOIA reference guide 

and amended it to identity the PBGC’s Chief FOIA Officer, PBGC’s FOIA Requester 

Service Center, and PBGC’s FOIA Public Liaison. No further action is necessary. 

 However, PBGC can take additional steps to inform its customers who do not 

have access to PBGC’s website about the process. PBGC periodically sends 

newsletters to participants and beneficiaries receiving benefits from PBGC. PBGC will 

explore the possibility of including information about making FOIA requests in periodic 

newsletters or other communications with PBGC customers or stakeholders. 

4. Automated Request Tracking/Electronic FOIA Processing 

 As noted above, PBGC has implemented FOIA processing software that tracks 

the status of incoming FOIA requests and to review and redact responsive records 

electronically. All employees in the Disclosure Division have access to the system and 

can respond to an inquiry on the status of any request in a concise and efficient 

manner. PBGC’s Office of Information Technology (OIT) supports the FOIA 

processing software and is able to modify the system to suit the Disclosure Division’s 

needs or to resolve any problems that occur. 

 As a result of its review, PBGC intends to modify the tracking system to collect 

additional information as to the type of each FOIA request. The PBGC will use the 

additional information, along with information about problems reported to PBGC’s 

Disclosure Officer, the FOIA Requester Service Center, or its FOIA Public Liaison, to 

identify areas where its FOIA processing procedures may be improved to further 

reduce processing times and prevent backlogs. Additional actions outlined in 

categories D&E.
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5. Multi-Track Processing 

 PBGC has not adopted multi-track processing. Based on the relatively few 

requests that require review of voluminous records and the limited number of FTE’s in 

PBGC’s disclosure division, PBGC concluded that establishing a separate track for 

voluminous requests would be administratively burdensome. Instead, the Disclosure 

Division relies on frequent communications with requesters seeking voluminous 

records to refine the scope of the request and keep them apprised of the status of their 

request. No further action required. 

6. Expedited Processing 

 All media and congressional FOIA requests are routinely processed on an 

expedited track. No further action required. 

7. Politeness/Courtesy 

 As mentioned above, all PBGC employees are trained on customer service 

standards, including politeness and courtesy when dealing with the public. Additional 

or refresher training on this subject is not a PBGC priority at this time. 

8. Forms of Communication with Requesters/Acknowledgment Letters 

 As mentioned above, our review indicates that PBGC’s FOIA response letters are 

clear and concise and provide the requester with a full explanation of any exemption 

relied upon to withhold records. Disclosure Division employees routinely send 

acknowledgment letters to requesters within 72 hours after the receipt of a request. 

The letters include a point of contact for questions. In the case of a voluminous 

request, a Disclosure Division employee will contact the requester by telephone to 

clarify the request and discuss ways to reduce its scope. PBGC will continue to 

monitor communications with the requester and the public to make improvements 

when appropriate. 

 FOIA requests require PBGC to release numerous pages of records. Although 

records are processed for release electronically, PBGC must save the disclosable 

records on a disc or convert the records to paper. This is because limitations imposed 

on the size of e-mail attachments under PBGC’s e-mail system require PBGC to mail 

or fax materials to requesters. To enhance efficiency and improve customer 

satisfaction, we intend to explore with PBGC’s OIT the feasibility of expanding the size 

of attachments that Disclosure Division employees can send outside the agency via email or to implement some other means of transferring large amounts of electronic files 

to requesters. Additional actions outlined in categories D&E.

9. Cooperation with Agency Program Personnel 
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 Some requests take a significant amount of time to process because Disclosure 

Division personnel may have a difficult time locating responsive records. Program 

personnel are subject to heavy workloads and cooperation with Disclosure Division 

employees to respond to a FOIA request does not always receive the immediate 

required attention. To prevent this problem and reduce the time needed to obtain 

responsive records, the Chief FOIA Officer will ask PBGC program managers to 

designate a point of contact who will be responsible for assisting Disclosure Division 

employees in locating the records that may be responsive. The Disclosure Officer will 

train the points of contact on PBGC’s obligations in responding to FOIA requests. 

Additional actions outlined in categories D&E.

10. Mandatory FOIA/Privacy Act/Identity Theft Training for Certain PBGC 

Personnel 

 Although PBGC offers FOIA, Privacy Act (PA), and Identity Theft training annually 

to new and other interested PBGC employees, we intend to make annual training 

mandatory for employees in agency components that regularly interact with the public 

and for employees of contractors that staff and maintain PBGC’s Field Benefit 

Administration offices. Additional actions outlines in categories D&E.

D. Areas Selected for Improvement 

2. Proactive Disclosure of Information 

4. Automated Request Tracking/Electronic FOIA Processing 

8. Forms of Communication with Requesters/Acknowledgment Letters 

9. Cooperation with Agency Program Personnel 

10. Mandatory FOIA/Privacy Act/Identity Theft Training for Certain PBGC 

Personnel 

E. Improvement Plan For Areas Selected 

2. Proactive Disclosure of Information 

 a. Objective: 

 Study the feasibility of designing and implementing an electronic FOIA 

document retrieval center to permit public access to large volumes of records that 

are subject to multiple FOIA requests.

 b. Steps and Milestones: 

 i. By December 31, 2006, or earlier, perform research to identify potential 

 solutions and estimated costs of implementing an electronic document 

 retrieval center. 

ii. By December 31, 2007, or earlier, if a potential solution is identified at a 

reasonable cost and funds are available, begin the process of seeking 

formal approval to purchase any necessary goods or services under 
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applicable PBGC policies and directives. 

c. Means of Measurement or Success: 

i. During calendar year 2006, prepare and submit to the Chief FOIA Officer 

a summary of the research on potential solutions and estimated costs of 

implementing an electronic document retrieval center. 

ii. For calendar year 2007, if a potential solution is identified at a reasonable cost 

and agency funds are available, prepare and submit a recommendation to the 

Chief FOIA Officer to begin the process of seeking formal approval to make the 

required purchases in accordance with applicable PBGC policies and directives. 

4. Automated Request Tracking/Electronic FOIA Processing 

a. Objective: 

To identify areas where FOIA processing procedures may be improved to 

reduce processing times and prevent backlogs. 

b. Steps and Milestones: 

i. By December 31, 2006, modify PBGC’s electronic tracking system to classify 

the type of request. Categories of requesters include, but are not limited to plan 

participants and beneficiaries; media; educational or research institutions; 

auditors, actuarial firms or other pension practitioners; state unemployment, child 

support enforcement, or housing agencies that seek verification of pension 

payments made to an individual; unions seeking information on members; 

Congressional inquires; and pension plan sponsor inquires. 

ii. By December 31, 2007, or earlier, use the data collected about the type of 

requester and the time for processing the request to determine the mean number 

of days required to process specific types of requests. Use that data to identify 

areas where PBGC procedures can be improved or modified to reduce 

processing times for each type of request. 

iii. By December 31, 2008, implement new or revised procedures to reduce the 

time for processing each type of request. 

c. Means of Measurement or Success: 

i. For calendar year ending 2007, identify the mean number of days to process 

each type or request to use as a baseline for comparison. 

ii. For calendar year 2007, reduce the mean number of days to process each type 

of request. 
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8. Forms of Communication with Requesters/Acknowledgment Letters 

a. Objective: 

Work with PBGC’s OIT to study the feasibility of implementing procedures to 

permit the Disclosure Officer to release records to a FOIA requester by e-mail 

with an attachment that exceeds the current size limit on e-mail attachments. 

 b. Steps and Milestones: 

i. By December 31, 2006, or earlier, complete discussions with OIT on the 

ways to expand the size of attachments that Disclosure Division employees can 

send outside the agency via e-mail, and/or work with OIT to perform necessary 

research to identify other means of transferring large amounts of electronic files to 

requesters and the estimated costs of implementing an alternative solution. 

ii. If it is determined that IT enhancements are necessary to expand the size of 

attachments that Disclosure Division employees can send outside the agency via 

e-mail, the purchase of such enhancements, if obtainable at a reasonable cost 

(and funds are available), will be made by September 30, 2007. 

c. Means of Measurement of Success: 

i. For calendar year 2006, prepare and submit to the Chief FOIA Officer a 

summary of OIT’s view concerning the feasibility of expanding the size of 

attachments that Disclosure Division employees can send outside the 

agency via e-mail, and/or research on other means of transferring large 

amounts of electronic files to requesters and the estimated costs of 

implementing an alternative solution. 

ii. By the end of FY2007, if feasible, expand the size of attachments that 

Disclosure Division employees can send outside the agency via e-mail. If 

expanding the size of e-mail attachments is not feasible, submit a 

recommendation to the Chief FOIA Officer on whether to pursue other 

means of transferring large amounts of electronic files to requesters 

based on the research, anticipated costs, and the availability of agency 

funds. 

9. Cooperation with Agency Program Personnel 

a. Objective: 

To assist in locating records that may be responsive to a FOIA request, designate 

a point of contact in each PBGC department to serve as a point of contact for 

Disclosure Division employees. 

b. Steps and Milestones: 
 -20- 

i. By December 31, 2006, or earlier, the Chief FOIA Officer will send a 

memorandum asking Department Directors to designate a knowledgeable 

employee to act as a point of contact for Disclosure Division employees seeking 

records that may be responsive to a FOIA request. 

ii. By December 31, 2006, or earlier, the Disclosure Officer will brief each 

point of contact on PBGC’s obligations in responding to FOIA requests. 

c. Means of Measurement or Success: 

For calendar year 2006, points of contacts will be designated for each 

department and briefed by the Disclosure Officer on PBGC’s obligations in 

responding to FOIA requests. 

10. Mandatory FOIA/Privacy Act/Identity Theft Training for Certain PBGC 

Personnel 

a. Objective: 

To heighten awareness and accountability of FOIA/PA and Identify Theft for 

all PBGC’s employees, provide expanded mandatory annual FOIA/PA and 

Identify Theft training for specific departments that deal directly with the 

public. 

b. Steps and Milestones: 

i. By December 31, 2006, work with PBGC’s Training Institute to develop a 

training plan and schedule to provide expanded mandatory FOIA/PA and 

Identity Theft training to employees of PBGC’s Human Resources 

Department (HRD), the Benefit Payment and Administration Department 

(BAPD), and for the contractors that staff PBGC’s Field Benefit 

Administration (FBA) offices at least once every two years. 

ii. By December 31, 2007, develop FOIA/PA and Identity Theft presentations 

tailored to different duties and responsibilities of HRD and BAPD 

employees, and FBA contractors. Present the tailored briefings to these 

separate audiences. Present a tailored briefing to contractors at one or 

more of the FBA sites. 

c. Means of Measurement or Success: 

i. For calendar year 2006, prepare and submit to the Chief FOIA Officer a 

summary of the training plan and schedule developed with PBGC’s 

Training Institute for providing mandatory FOIA/PA and Identify Theft to 

training to HRD employees, BAPD employees, and FBA contractors at 
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least once every two years. 

ii. Prepare and present expanded FOIA/PA and Identity Theft presentations 

tailored to HRD and BAPD employees. Present a tailored briefing to 

contractors at one or more of the FBA sites. 

F. Improvement Areas by Time Period 

1. Areas anticipated to be completed by December 31, 2006. 

a. PBGC’s electronic FOIA tracking system will be modified to maintain 

information about type of FOIA requests received. 

b. The Disclosure Officer will work with the PBGC’s OIT to perform required 

research to identify potential solutions and the estimated cost of 

implementing an electronic document retrieval center. 

c. The Disclosure Officer will seek PBGC’s OIT views on the feasibility of 

expanding the size of attachments that Disclosure Division employees can 

send outside the agency via e-mail, and/or seek assistance in performing 

research to identify other means and of transferring large amounts of 

electronic files to requesters and the estimated costs of implementing an 

alternative solution. 

d. With PBGC’s Training Institute, the Disclosure Officer will develop a training 

plan and schedule to provide mandatory FOIA/PA and Identity Theft training to 

employees of PBGC’s HRD, and BAPD, and for the contractors that staff PBGC’s 

FBA offices at least once every two years. 

e. The Chief FOIA Officer will send a memorandum asking Department 

Directors to designate a knowledgeable employee to act as a point of contact for 

Disclosure Division employees seeking records that may be responsive to a FOIA 

request. The PBGC’s Disclosure Officer will brief the points of contact on 

PBGC’s obligations in responding to FOIA requests. 

2. Areas anticipated to be completed by December 31, 2007. 

a. The Disclosure Officer will use data from PBGC’s electronic FOIA tracking 

system on the type of request received and the time for processing each request 

to determine the mean number of days required to process each type of request. 

The information will be used to identify areas where PBGC procedures can be 

improved or modified to reduce processing times for each type of request. 

b. If a potential solution is identified for implementing an electronic document 

retrieval center at a reasonable cost, and if funds are available, then the 

Disclosure Officer will begin the process of seeking formal approval to make the 
 -22- 

required purchases under applicable PBGC policies and directives. 

c. If feasible, OIT will expand the size of attachments that Disclosure Division 

employees can send outside the agency via e-mail. If expanding the size of email attachments is not feasible, and if a potential solution is identified at a 

reasonable cost and funds are available, then the Disclosure Officer will begin the 

process of seeking formal approval to make the required purchases in 

accordance with applicable PBGC policies and directives. 

d. The Disclosure Officer will develop an expanded FOIA/PA and Identity Theft 

presentations tailored to different duties and responsibilities of HRD and BAPD 

employees, and of FBA contractors. The Disclosure Officer will present the 

briefings to separate groups of HRD and BAPD employees. The Disclosure 

Officer will present a briefing to contractors at one or more of the FBA sites. 

3. Areas anticipated to be completed by December 31, 2008. 

a. The Disclosure Officer will implement new or revised procedures identified by 

determining the mean number of days required to process each type of FOIA 

request received. 

b. The Disclosure Officer will continue to present an expanded FOIA/PA and 

Identity Theft presentations to separate groups of HRD and BAPD employees 

who were unable to attend in 2007. The Disclosure Officer will present a briefing 

to contractors at one or more of the FBA sites that did not receive a briefing in 

2007.