2016 Chief FOIA Officer Report for the U.S. Railroad Retirement Board (RRB) 

The RRB submits this report for 2016 in response to the request in the United States 

Department of Justice Office of Information Policy FOIA Post, “Agency 2016 

FOIA Officer Report Guidelines.” The report has been prepared by Karl T. Blank,
 

General Counsel/Chief FOIA Officer, RRB.
 

Section I: Steps Taken to Apply the Presumption of Openness 

The guiding principle underlying the President's FOIA Memorandum and the 

Attorney General's FOIA Guidelines is the presumption of openness. 

Describe the steps your agency has taken to ensure that the presumption of 

openness is being applied to all decisions involving the FOIA. To do so, you 

should answer the questions listed below and then include any additional 

information you would like to describe how your agency is working to apply the 

presumption of openness. 

FOIA Training: 

1.	 Did your FOIA professionals or the personnel at your agency who have 

FOIA responsibilities attend any FOIA training or conference during the 

reporting period such as that provided by the Department of Justice? 

Yes. The RRB is a small, independent agency in the Executive Branch of 

the Federal government. As the RRB’s General Counsel/Chief FOIA 

Officer, I am responsible for the RRB’s overall FOIA program. I have 

made certain that all FOIA staff are properly trained and refreshed 

annually as part of the agency’s Privacy Awareness training. All FOIA 

staff are trained on the President’s FOIA memorandum and the Attorney 

General’s FOIA guidelines and are responsible in carrying out those 

responsibilities as they respond to all FOIA requests. 

2.	 Provide an estimate of the percentage of your FOIA professionals and 

staff with FOIA responsibilities who attended substantive FOIA training 

during this reporting period.
 
 

 

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All RRB FOIA staff were trained and refreshed in the President’s FOIA 

memorandum and the Attorney General’s FOIA guidelines in FY 2015. 

3.	 OIP has directed agencies to “take steps to ensure that all of their FOIA 

professionals attend substantive FOIA training at least once throughout 

the year.” If your response to the previous question is that less than 80% 

of your FOIA professionals attended training, please explain your 

agency’s plan to ensure that all FOIA professionals receive or attend 

substantive training during the next reporting year. 

We continue to monitor our FOIA training opportunities annually and 

provide for the necessary training as required. FOIA personnel are 

advised of training opportunities conducted by the Department of Justice 

and well as other outside vendors. 

Discretionary Releases: 

4.	 Does your agency have a distinct process or system in place to review 

records for discretionary release? 

Yes. FOIA staff review all records that are responsive to a particular FOIA 

request. When there is a possibility of making a discretionary release, they 

consult with the agency’s General Counsel/Chief FOIA Officer to 

determine that all records that are withheld under an exemption are 

reviewed for discretionary release. We make it a policy that, whenever 

possible, all responsive records that could technically be withheld should 

be reviewed a second time for discretionary release. 

5.	 During the reporting period, did your agency make any discretionary 

releases of information? 

The number of full grants to requests has continued to increase or remain 

steady since FY 2007 to the present, i.e., from 34 in FY 2007 to105 in FY 

2015. In FY 2008, the agency released 48 full grants and 5 partial grants. 

In FY 2009, the agency released 55 full grants and 15 partial grants. In FY 

2010, the agency released 62 full grants and 4 partial grants. In FY 2011, 

the agency released 77 full grants and 3 partial grants. In 2012, the 

agency released 68 full grants and 7 partial grants. In 2013, the agency 

released 67 full grants and 7 partial grants. In FY 2014, the agency 

released 117 full grants and 1 partial grant. In FY 2015, the agency 
 

 

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released 107 full grants and 2 partial grants. The RRB did make 

discretionary releases during FY 2015. However, due to the nature of 

records requested, as well as the small number of FOIA requests that are 

received by the agency, only a small number were made. However, the 

RRB makes it a policy to make discretionary releases whenever possible. 

6.	 What exemption(s) would have covered the material released as a 

matter of discretion? 

Generally, when there is a possibility of a discretionary release being 

made by the RRB, exemption (b)(5) applies. 

7.	 Provide a narrative description, as well as some specific examples, of the 

types of information that your agency released as a matter of discretion 

during the reporting year. 

An example of a discretionary release by the RRB last year was release 

of certain travel records for the RRB’s headquarters and field office 

locations. 

8.	 If your agency was not able to make any discretionary releases of 

information, please explain why. 

Not applicable (N/A). 

Other Initiatives: 

9.	 If there are any other initiatives undertaken by your agency to ensure that 

the presumption of openness is being applied, please describe them 

here. 

FOIA staff review all records that are responsive to a particular FOIA 

request. When there is a possibility of making a discretionary release, they 

consult with the agency’s General Counsel/ Chief FOIA Officer. 
 

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Section II: Steps Taken to Ensure that Your Agency 

Has an Effective System in Place for Responding to Requests 

As the Attorney General emphasized in his FOIA Guidelines, "[a]pplication of 

the proper disclosure standard is only one part of ensuring transparency. Open 

government requires not just a presumption of disclosure, but also an effective 

system for responding to FOIA requests." It is essential that agencies effectively 

manage their FOIA program. 

This section should include a discussion of how your agency has addressed 

the key roles played by the broad spectrum of agency personnel who work with 

FOIA professionals in responding to requests, including, in particular, steps taken 

to ensure that FOIA professionals have sufficient IT support. 

Describe here the steps your agency has taken to ensure that its system for 

responding to requests is effective and efficient. To do so, answer the questions 

below and then include any additional information that you would like to 

describe how your agency ensures that your FOIA system is efficient and 

effective. 

Processing Procedures: 

1. For Fiscal Year 2015, what was the average number of days your agency 

reported for adjudicating requests for expedited processing? Please see 

Section VIII.A. of your agency’s Fiscal Year 2014 Annual FOIA Report. 

The RRB did not adjudicate any requests for expedited processing in Fiscal 

Year 2015. 

2. If your agency’s average number of days to adjudicate requests for 

expedited processing was above ten calendar days, please describe the 

steps your agency will take to ensure that requests for expedited 

processing are adjudicated within ten calendar days or less. 

N/A. 

3. On July 2, 2015, OIP issued new guidance to agencies on the proper 

procedures to be used in the event an agency has a reason to inquire 

whether a requestor is still interested in the processing of his or her request. 

Please confirm here that to the extent your agency may have had 

occasion to send a “still interested” inquiry, it has done so in accordance 
 

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with the new guidelines for doing so, including affording requestors thirty 

working days to respond. 

The RRB did not issue a “still interested” inquiry in Fiscal Year 2015. 

Requester Services: 

4. Agency FOIA Requester Service Center and FOIA Public Liaisons serve as 

the face and voice of an agency. In this capacity they provide a very 

important service for requesters, informing them about how the FOIA 

process works and providing specific details on the handling of their 

individual requests. The FOIA also calls on agency FOIA Requester Service 

Centers and FOIA Public Liaisons to assist requesters in resolving disputes. 

Please explain here any steps your agency has taken to strengthen these 

services to better inform requesters about their requests and to prevent or 

resolve FOIA disputes. 

Yes. The RRB provides a full itemized breakdown of FOIA fees, including 

hourly and categorical breakdowns. 

Other Initiatives: 

5. If there are any other steps your agency has undertaken to ensure that 

your FOIA system operates efficiently and effectively, such as conducting 

self-assessments to find greater efficiencies, improving search processes, 

eliminating redundancy, etc., please describe them here. 

We routinely review our entire FOIA processing system to identify any 

improvements and efficiencies which can be made. 

Section III: Steps Taken to Increase Proactive Disclosures 

Both the President and Attorney General focused on the need for agencies 

to work proactively to post information online without waiting for individual 

requests to be received. 

Please answer the following questions to describe the steps your agency has 

taken both to increase the amount of material that is available on your agency 
 

 

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websites. In addition to the questions below, you should also describe any 

additional steps taken by your agency to make and improve proactive 

disclosure of information. 

Posting Material: 

1. Describe your agency’s process for identifying “frequently requested” 

records required to be posted online under Subsection (a)(2) of the FOIA. 

For example, does your agency monitor its FOIA logs or is there some 

other system in place to identify these records for posting. 

We routinely continue to review, analyze and improve our release of 

“frequently requested“ record’s consulting with agency administration, 

program, and operation bureaus with an emphasis on routine/recurring 

requests and website content identified through monitoring our agency 

FOIA logs and website. Below is current “frequently requested 

information” available on the Board’s website without filing a FOIA 

request: 

Frequently Requested Information Available Without Filing a FOIA Request 

° Descriptions of agency organization 

° Procedures for the public to obtain information 

° Statements of agency function 

° Rules of procedure 

° Descriptions of agency forms 

° Substantive rules of general applicability and statements of 

general policy 

° Any changes in material required to be published 

° Agency procedure manuals 

° Final decisions of the three-member Board which heads the 

agency 

° Rulings of the Board 

° Legal opinions 

° IMPAC Credit Card Holders List 

° An inventory of the RRB's automated information systems 

° How information is dispersed to other government agencies 

° Privacy Act System of Records 
 

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2. Does your agency have a distinct process or system in place to identify 

records for proactive disclosure. If so, please describe your agency’s 

process or system. 

The RRB annually updates its website to include current actuarial, 

statistical, and financial information concerning active and retired 

railroad employees, including actual railroad employment by month, 

historical data concerning benefits and beneficiaries, quarterly benefit 

statistics, and selected national and railroad data. 

3. When making proactive disclosures of records, are your agency’s FOIA 

professionals involved in coding the records for Section 508 compliance or 

otherwise preparing them for posting? If so, please provide an estimate of 

how much time is involved for each of your FOIA professionals and your 

agency overall. 

We are committed to making our electronic and information technologies 

accessible to individuals with disabilities by meeting or exceeding the 

requirements of Section 508. Our comprehensive approach to Section 508 

compliance ensures people with disabilities have access which is 

comparable to those who do not have disabilities, and our commitment 

to accessibility includes content and online services provided through our 

website. Our Section 508 compliance is handled by the agency’s Bureau 

of Information Services, therefore we are unable to report on time 

estimates. 

4. Has your agency encountered challenges that make it difficult to post 

records you otherwise would like to post? 

No. 

5. If so, please briefly describe those efforts. 

N/A. 

6. Provide examples of material that your agency has proactively disclosed 

during the past reporting year, including links to the posted material. 

We continue to monitor FOIA webpage content to make sure it remains 

timely and consistent with current law. FOIA staff have the responsibility 

and authority to update the RRB website as necessary. The website offers 
 

 

 

 

 

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access to copies of the agency’s procedure manuals, final decisions of 

the three-member Board which heads the agency, rulings of the Board 

and legal opinions. Other information is available to the public without 

filing a FOIA request in the Federal Register and the RRB Group 

Information Locator System (GILS) website. An example of additional 

material provided since the issuance of the new FOIA Guidelines include 

a more comprehensive list of the agency’s procedural manuals. 

Additionally, five data sets of statistical information have been added to 

the RRB’s Open Government Initiative located at 

http://www.rrb.gov/open/default.asp. 

High-Value Data Sets: 

Active Employees and Railroad http://www.data.gov/details/1331 

Retirement Act Beneficiaries by State, 2008 

Longevity of Railroad Retirement http://www.data.gov/details/1332 

Beneficiaries 

Railroad Retirement Act Annuitants and http://www.data.gov/details/1330 

Active Railroad Employees by 

Congressional District 

Total Number of Railroad Employees by http://www.data.gov/details/455 

State and Last Railroad Employer, 2007 

Total Railroad Employment by State and http://www.data.gov/details/456 

County, 2007 

Open Government Webpage www.rrb.gov/open 

Freedom of Information Act Report Publishing www.rrb.gov/open) 

Agency Plans, Management and Reports 

http://www.rrb.gov/general/plan_rpt_inv.asp#fair 

http://www.rrb.gov/mep/agency_mgt.asp 

http://www.rrb.gov/opa/AnnualRprt/Ann_Rpt_toc.asp 

Agency Procedure Manuals 

http://www.rrb.gov/general/admin_manuals_index.asp 
 

 

 

 

 

 

 

 

 

 

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Board Coverage Decisions http://www.rrb.gov/blaw/bcd/cov_introduction.asp 

Congressional Requests ola@rrb.gov 

Federal Register	 http://www.gpoaccess.gov/fr/index.html 

http://www.rrb.gov/irm/fedreg_notices.asp 

http://www.rrb.gov/irm/fedreg_regs.asp 

Financial, Actuarial and Statistical Data 

http://www.rrb.gov/mep/fin_act_stat.asp 

Forms and Publications 

http://www.rrb.gov/general/handbook/toc.asp 

http://www.rrb.gov/mep/ben_forms.asp 

http://www.rrb.gov/mmo/rail_forms.asp 

Freedom of Information Act (FOIA) 

http://www.rrb.gov/blaw/foia/foia.asp 

Information Dissemination 

http://www.rrb.gov/bis/section515/introduction.asp 

http://www.rrb.gov/bis/section515/guidelines.asp 

http://www.rrb.gov/bis/section515/correct.asp 

IMPAC Credit Card Holders List 

http://www.rrb.gov/general/impac.asp 

News Releases http://www.rrb.gov/mep/news_releases.asp 

Privacy Act - Privacy Act Systems of Records 

http://www.rrb.gov/bis/privacy_act/introduction.asp 

http://www.rrb.gov/bis/privacy_act/SORNList.asp 
 

 

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Records Management http://www.rrb.gov/rrbvision/video_library.asp 

7. Did your agency use any means to publicize or highlight important 

proactive disclosures for public awareness? If yes, please describe those 

efforts. 

The RRB utilized Really Simple Syndication (RSS) and E-mail Subscriptions to 

allow users to easily stay up-to-date with areas of the RRB's web site that 

are of interest and provide resultant feedback. The RRB did not utilize 

social media to publicize proactive disclosures. 

Other Initiatives: 

8.	 If there are any other steps your agency has taken to increase proactive 

disclosures, please describe them here. 

N/A. 

Section IV: Steps Taken to Greater Utilize Technology 

A key component of the President's FOIA Memorandum was the direction to 

"use modern technology to inform citizens about what is known and done by 

their Government." In addition to using the internet to make proactive 

disclosures, agencies should also be exploring ways to utilize technology in 

responding to requests. 

Please answer the following questions to describe how your agency is utilizing 

technology to improve its FOIA administration and the public’s access to 

information. You should also include any additional information that describes 

your agency’s efforts in this area. 

Making Material Posted Online More Usable: 

1. Beyond posting new material, is your agency taking steps to make posted 

information more useful to the public, especially to the community of 

individuals who regularly access your agency’s website? 

Yes. 

2. If yes, please provide examples of such improvements. 
 

 

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The RRB is currently in the process of digitizing, indexing, and cataloging 

258 binders of Legal Opinions maintained in the Board’s Office of General 

Counsel so they are electronically retrievable through www.rrb.gov by 

Board staff and the public, including attorneys, claimants, railroad 

employers, etc. See “Spotlight on Success” below. 

Other Initiatives: 

3. Did your agency successfully post all four quarterly reports for Fiscal Year 

2015? 

No. 

4. If your agency did not successfully post all quarterly reports, with 

information appearing on FOIA.gov, please explain why and provide your 

agency’s plan for ensuring that such reporting is successful in Fiscal Year 

2016. 

Due to unexpected delays caused by other agency priorities, specifically 

pending litigation cases, in conjunction with significant staffing shortages 

during part of FY 2015, we were unable to comply with the quarterly 

reporting requirements. We plan to provide appropriate staffing and 

resources to achieve the quarterly reporting requirement in Fiscal Year 

2016. 

5. Do your agency’s FOIA professionals use e-mail or other electronic means 

to communicate with requesters where feasible? See OIP Guidance, “The 

Importance of Good Communication with FOIA Requesters 2.0: Improving 

Both the Means and the Content of Requester Communications” (Nov. 22, 

2013). If yes, what are the different types of electronic means which are 

utilized by your agency to communicate with requesters? 

Yes. E-mail is utilized to communicate with requesters where feasible. The 

RRB is not currently using other social media, such as Twitter, Facebook, 

etc., to communicate with requesters. 

6. If your agency does not communicate electronically with requests as a 

default, are there any limitations or restrictions for the use of such means? 

If yes, does your agency inform requesters about such limitations? See id. 

No. 
 

 

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Section V: Steps Taken to Improve Timeliness in 

Responding to Requests and Reduce Backlogs 

The President and the Attorney General have emphasized the importance of 

improving timeliness in responding to requests. This section addresses both time 

limits and backlog reduction. Backlog reduction is measured both in terms of 

numbers of backlogged requests or appeals and by looking at whether 

agencies closed their ten oldest requests, appeals and consultations. 

1. Does your agency utilize a separate track for simple requests? 

No. 

2. If so, for your agency overall, for Fiscal Year 2015, was the average 

number of days to process simple requests twenty working days or fewer? 

N/A. 

3. Please provide the percentage of requests processed by your agency in 

Fiscal year 2015 that were placed in your simple track. 

Zero (0). 

4. If your If your agency does not track simple requests separately, was the 

average number of days to process non-expedited requests twenty 

working days or fewer? 

No. The average number of days to process non-expedited requests was 

30.44 days. 

BACKLOGGED REQUESTS 

5. If your agency had a backlog of requests at the close of Fiscal Year 2015, 

did that backlog decrease as compared with Fiscal Year 2014? 

The number of backlogged requests reported by the RRB’s Office of 

Inspector General (OIG) increased from 9 reported in FY 2014 to 10 in FY 

2015. 

6. If not , explain why and describe the causes that contributed to your 

agency not being able to reduce its backlog. When doing so, please also 

indicate if any of the following were contributing factors: 
 

 

 

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- An increase in the number of incoming requests 

- A loss of staff 

- An increase in the complexity of the requests received. If 

possible, please provide examples or briefly describe the types of 

complex requests contributing to your backlog increase. 

- Any other reasons – briefly describe or provide examples when 

possible. 

The agency’s Office of Inspector General states that that an increase in 

the complexity of the requests, voluminous document requests, and 

staffing issues have contributed to its request backlog. 

7. If you had a request backlog, please report the percentage of requests 

that make up the backlog out of the total number of requests received by 

your agency in Fiscal Year 2015. 

The percentage of requests that make up the backlog out of the total 

number of requests received by the RRB in FY 2015 is 8 percent. 

BACKLOGGED APPEALS 

8. If your agency had a backlog of appeals at the close of Fiscal Year 2015, 

did that backlog decrease as compared with the backlog reported at 

the end of Fiscal Year 2014? 

No backlog of appeals was reported by the RRB in FY 2014 or FY 2015. 

9. If not, explain why and describe the causes that contributed to your 

agency not being able to reduce the backlog. When doing so, please 

also indicate if any of the following were contributing factors: 

N/A. 

10. If you had an appeal backlog, please report the percentage of appeals 

that make up the backlog out of the total number of appeals received by 

your agency in Fiscal Year 2015. If your agency did not receive any 

appeals in Fiscal Year 2015 and/or has no appeal backlog, please answer 

“N/A.” 

N/A. 
 

 

 

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TEN OLDEST REQUESTS 

11.In Fiscal Year 2015, did your agency close the ten oldest requests that 

were reported pending in your Fiscal Year 2014 Annual FOIA Report? 

No. 

12.If no, please provide the number of these requests your agency was able 

to close by the end of the fiscal year, as listed in Section VII.E of your Fiscal 

Year 2014 Annual FOIA Report. If you had less than the ten total oldest 

requests to close, please indicate that. 

Four “ten total oldest requests” reported in FY 2014 were closed in FY 2015. 

13.Of the requests your agency was able to close from your ten oldest, 

please indicate how many of these were closed because the request was 

withdrawn by the requester. If any were closed because the request was 

withdrawn, did you provide any interim responses prior to the withdrawal? 

No “ten total oldest requests” were withdrawn in FY 2015. 

TEN OLDESTAPPEALS 

14.In Fiscal Year 2015, did your agency close the ten oldest appeals that 

were pending in your Fiscal Year 2014 Annual FOIA Report? 

No. No “ten oldest appeals’ were pending at the end of FY 2014. 

15.If no, please provide the number of these appeals your agency was able 

to close by the end of the fiscal year, as listed in Section VII.C(5) of your 

Fiscal Year 2014 Annual FOIA Report. If you had less than ten total oldest 

appeals to close, please indicate that. 

N/A. 

TEN OLDEST CONSULTATIONS 

16.In Fiscal Year 2015, did your agency close the ten oldest consultations that 

were reported pending in your Fiscal Year 2014 Annual FOIA Report? 

No. No “ten oldest consultations” were pending at the end of FY 2014. 
 

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17.If no, please provide the number of these consultations your agency was 

able to close by the end of the fiscal year, as listed in Section XII.C. of your 

Fiscal Year 2014 Annual FOIA Report. If you had less than ten oldest 

consultations to close, please indicate that. 

N/A. 

18.Briefly explain any obstacles your agency faced in closing its ten oldest 

requests, appeals, and consultations from Fiscal Year 2014. 

The RRB’s OIG reports that a lack of resources, as well as the complexity of 

the individual requests, contributed to its inability to close its ten oldest 

requests. 

19.If you agency was unable to close any of its ten oldest requests because 

you were waiting to hear back from other agencies on consultations you 

sent, please provide the date the request was initially received by your 

agency, the date when your agency sent the consultation, and the date 

when you last contacted the agency where the consultation was 

pending. 

N/A. 

20.If your agency did not close its ten oldest pending requests, appeals, or 

consultations, please provide a plan describing how your agency intends 

to close those ”ten oldest” requests, appeals, and consultations during 

Fiscal year 2016. 

In FY 2016, the RRB/OIG plans to assure that proper resources and priority 

are given to the handling of the ten pending requests reported at the end 

of FY 2015. 

Use of FOIA’s Law Enforcement “Exclusions” 

1. Did your agency invoke a statutory exclusion, 5 U.S.C. § 552(c)(1), (2), (3), 

during Fiscal Year 2015? 

No. 
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2. If so, what is the total number of times exclusions were invoked? 

Not applicable. 

Spotlight on Success 

RSS Feeds & Email Subscriptions 

RSS (Really Simple Syndication) is a technology that allows organizations to 

deliver content to a desktop computer or other Internet device. By subscribing 

to RSS feeds, users can easily stay up-to-date with areas of the RRB's web site 

that are of interest and provide resultant feedback. RRB feeds consist of 

headline, brief summary, and a link that leads back to the agency's web site for 

more information. RSS feeds and email subscriptions are available for content 

such as Annual RRA & RUIA Data, Budget and Financial Reports, Earnings Limits, 

Tax Rates & COLA's, Monthly & Quarterly RRA & RUIA Data, Office of the 

Inspector General - Library, Open Government Initiative, Railroad Job 

Vacancies Reported to the RRB, Recent Updates on the RRB Web Site, and 

RRBVision Video Presentations. - http://www.rrb.gov/rss/rss.asp