2019 Chief FOIA Officer Report for the U.S. Railroad Retirement Board (RRB)

The RRB submits this report for 2019 in response to the request in the United States Department 

of Justice Office of Information Policy, “Guidelines for 2019 Chief FOIA Officer Reports.” The 

report has been prepared by Ana M. Kocur, General Counsel/Chief FOIA Officer, RRB. 

Section I: Steps Taken to Apply the Presumption of Openness

The guiding principle underlying the FOIA memoranda and Department of Justice 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. 

A. FOIA Leadership

1. The FOIA requires each agency to designate a Chief FOIA Officer who is a senior official

at the Assistant Secretary or equivalent level. Is your Chief FOIA officer at or above this

level?

Yes.

2. Please provide the name and title of your agency’s Chief FOIA Officer.

Ana M. Kocur, General Counsel/Chief FOIA Officer.

B. FOIA Training

3. 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. 

4. If yes, please provide a brief description of the type of training attended and the topics

covered.

During this reporting period, the RRB’s General Counsel, Assistant General Counsel and 

a General Attorney, along with two Bureau of Human Resources personnel, attended 

“Freedom of Information Act Training for Attorneys and Access Professionals,” provided 

by the Department of Justice in Washington, D.C. 
Additionally, two General Attorneys on my staff attended a two and a half-day “FOIA and 

Privacy Act Workshop” provided by the American Society of Access Professionals 

(ASAP) in Chicago, Illinois. 

5. Provide an estimate of the percentage of your FOIA professionals and staff with FOIA 

responsibilities who attended substantive FOIA training during this reporting period. 

All RRB FOIA staff were trained and refreshed on the FOIA and relevant policy 

guidance in FY 2018. 

6. 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 as well as by other outside vendors.

C.Outreach

7. Did your FOIA professionals engage in any outreach or dialogue with the requester 

community or open government groups regarding your administration of the FOIA?

No.

D. Other Initiatives

8. Describe any efforts your agency has undertaken to inform non-FOIA professionals of 

their obligations under the FOIA? In 2016, the Department publicized FOIA-related 

performance standards for employees that have any role in administering the FOIA, 

including non-FOIA professionals. Please also indicate whether your agency has 

considered including FOIA-related performance standards in employee work plans who 

have any role in administering the FOIA. 

All agency employees participate in annual mandatory Privacy Awareness training and 

are trained on their obligations pursuant to the FOIA. 

9. If there are any other initiatives undertaken by your agency to ensure 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 release under the foreseeable harm standard, they 

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

 Section II: Steps Taken to Ensure that Your Agency

Has an Effective System in Place for Responding to Requests 

DOJ’s FOIA Guidelines emphasized that "[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.

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

that the management of your FOIA program is effective and efficient. You should also include 

any additional information that describes your agency’s efforts in this area.

1. For Fiscal Year 2018, 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 2018 Annual FOIA Report.

The RRB did not adjudicate any requests for expedited processing in Fiscal Year 2018.

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. During the reporting period, did you agency conduct a self-assessment of its FOIA 

program? If so, please describe the methods used, such as reviewing Annual Report data, 

using active workflows and track management, reviewing and updating processing 

procedures, etc.

During FY 2018, the RRB reviewed its previous FOIA Annual Report data and updated 

its FOIA website content to remain compliant with the FOIA Improvement Act of 2016. 

4. The FOIA Improvement Act of 2016 requires additional notification to requestors about 

the services provided by the agency’s FOIA Public Liaison. Please provide an estimate 

of the number of times requestors sought assistance from you agency’s FOIA Public 

Liaison during FY 2018.

The RRB did not receive any requests for assistance from the agency’s FOIA Public 

Liaison. 

5. Please provide the best practices used to ensure that your FOIA system operates 

efficiently and effectively and any challenges your agency faces in this area. 
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

The Department of Justice has long 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 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. 

1. 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 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 the Railroad Retirement Board’s Office of 

General Counsel’s online database of Legal Opinions and Board Coverage Decisions 

which was launched in FY 2016 located at https://legallibrary.rrb.gov/Home.aspx. (See 

also “Success Stories” below). 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:

Open Government Webpage www.rrb.gov/open

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

Active Employees and Railroad Retirement Act 

Beneficiaries by State, 2008

http://www.data.gov/details/1331

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

Railroad Retirement Act Annuitants and Active Railroad 

Employees by Congressional District

http://www.data.gov/details/1330

Total Number of Railroad Employees by State and Last 

Railroad Employer, 2007 

http://www.data.gov/details/455

Total Railroad Employment by State and County, 2007 http://www.data.gov/details/456
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

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

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

2. Please describe how your agency identifies records that have been requested and released 

three or more times (and are therefore required to be proactively disclosed pursuant to 5 

U.S.C. § 552(a)(2)(D).

We routinely review repeat requests for those subject to proactive disclosure under 5 

U.S.C. § 552(a)(2)(D). 

3. Beyond posting new material, is your agency taking steps to make the posted information 

more useful to the public, especially to the community of individuals who regularly 

access your agency’s website?

Yes. 

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

See answer to question 2 above. 

5. Please describe the best practices used to improve proactive disclosures and any 

challenges your agency faces in this area.

We routinely review our entire FOIA processing system to identify any improvements 

and efficiencies which can be made.

Section IV: Steps Taken to Greater Utilize Technology 

A key component of FOIA administration is using technology to make information more 

accessible. 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. 

1. Is your agency leveraging technology to facilitate efficiency, in conducting searches, 

including searches for emails? If so, please describe the type of technology used. If not, 

please explain why and please describe the typical search process used instead.

No. Manual search processes are used to effectuate document/record searches.
2. OIP issued guidance in 2017 encouraging agencies to regularly review their FOIA 

websites to ensure that they contain essential resources and are informative and userfriendly. Has your agency reviewed its FOIA website(s) during the reporting period to 

ensure it addresses the elements noted in this guidance?

Yes.

 

3. Did your agency successfully post all quarterly reports for Fiscal Year 2018?

The RRB successfully posted its FY 2018 4th Quarter Report on FOIA.gov and RRB.gov. 

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 2019.

Due to unexpected delays caused by other agency priorities, specifically pending appeal 

and litigation cases, we were unable to comply with the quarterly reporting requirements. 

We plan to provide appropriate staffing and resources to achieve the quarterly reporting 

and raw statistical data reporting requirements in Fiscal Year 2019.

5. The FOIA Improvement Act of 2016 requires all agencies to post the raw statistical data 

used to compile their Annual FOIA Reports. Please provide the link to this posting for 

your agency’s Fiscal Year 2017 Annual FOIA Report and, if available, for your agency’s 

Fiscal Year 2018 Annual FOIA Report.

FY 2017: https://rrb.gov/sites/default/files/2018-04/FOIA2017.pdf Raw statistical data 

not available.

FY 2018: https://rrb.gov/sites/default/files/2019-02/FY2018FOIA_RAW_DATA.xlsx

6. Please provide the best practices used in greater utilizing technology and any challenges 

your agency faces in this area. 

We routinely review our entire FOIA processing system to identify any improvements 

and efficiencies which can be made.

Section V: Steps Taken to Improve Timeliness in

Responding to Requests and Reduce Backlogs 

The Department of Justice has emphasized the importance of improving timeliness in 

responding to requests. This section of your Chief FOIA Officer Report 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.
A. Simple Track

Section VII.A of your agency’s Annual FOIA Report, entitled “FOIA Requests – Response 

Time to All Processed Requests, “includes figures that show your agency’s response time for 

processed requests. For agencies utilizing a multi-track system to process requests, there is a 

category for “simple requests, which are those requests that are placed in the agency’s fastest 

(non-expedited) track, based on the low volume and/or simplicity of the records requested. 

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

multi-track system beyond simple, complex, and expedited to process requests, please 

describe the tracks you use and how they promote efficiency.

No. 

2. If your agency uses a separate track for simple requests, was the agency overall average 

number of days to process simple requests twenty working days or fewer in 2018?

N/A.

3. Please provide the percentage of requests processed by your agency in Fiscal year 2018

that were placed in your simple track.

N/A.

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 24.17 days.

B. BACKLOGS

Section XII.A of your agency’s Annual FOIA Report, entitled “Backlogs of FOIA Requests 

and Administrative Appeals” shows the numbers of any backlogged requests or appeals from 

the fiscal year. You should refer to these numbers from your Annual FOIA Reports for both 

Fiscal Year 2016 and Fiscal Year 2017 when completing this section of your Chief FOIA 

Officer Report.

5. If your agency had a backlog of requests at the close of Fiscal Year 2018, did that 

backlog decrease as compared with the backlog reported at the end of Fiscal Year 2017?

No, the backlog of requests increased by 1 from 8 to 9 in FY 2018. 

6. If not, did your agency process more requests during Fiscal Year 2018 than it did during 

Fiscal Year 2017? 
No. Requests decreased from 99 in FY 2017 to 87 in FY 2018.

7. If your agency ‘s request backlog increased during Fiscal Year 2018, please 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:

- 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 – please briefly describe or provide examples when 

possible

The number of backlogged requests reported by the agency are all cases being handled by 

the RRB’s Office of Inspector General (OIG). The RRB’s OIG backlogged requests

increased from 8 reported in FY 2017 to 9 in FY 2018. 

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

requests, voluminous document requests, and staffing issues have contributed to its 

request backlog. 

8. 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 2018. 

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

received by the RRB in FY 2018 is 10.34 percent.

BACKLOGGED APPEALS

9. If your agency had a backlog of appeals at the close of Fiscal Year 2018, did that backlog 

decrease as compared with the backlog reported at the end of Fiscal Year 2017? 

No backlog of appeals was reported by the RRB in FY 2017 or FY 2018. 

10. If not, did your agency process more appeals during Fiscal Year 2018 that it did during 

Fiscal Year 2017?

No. Appeals decreased from 1 in FY 2017 to zero in FY 2018.

11. If your agency’s appeal backlog increased during Fiscal Year 2018, please 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:

- 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 – please briefly describe or provide examples when 

possible

N/A.

12. 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 2018. If your agency did not receive any appeals in Fiscal Year 2018 and/or 

has no appeal backlog, please answer “N/A.”

N/A.

C. Backlog Reduction Plans

13. In the 2018 guidelines for Chief FOIA Officer Reports, any agency with a backlog of 

over 1000 requests in Fiscal Year 2016 was asked to provide a plan for achieving backlog 

reduction in the year ahead. Did your agency implement a backlog reduction plan last 

year? If so, describe your agency’s efforts in implementing this plan and note if your 

agency was able to achieve backlog reduction in Fiscal Year 2018?

N/A.

14. If your agency had a backlog of more than 1,000 requests in Fiscal Year 2018, what is 

your agency’s plan to reduce this backlog during Fiscal Year 2019?

N/A. 

D. Status of Ten Oldest Requests, Appeals, and Consultations 

Section VII.E, entitled “Pending Requests – Ten Oldest Pending Requests,” Section VI.C (5), 

entitled “Ten Oldest Pending Administrative Appeals,” and Section XII.C, entitled

“Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies 

and Pending at Your Agency,” show the ten oldest pending requests, appeals, and 

consultations. You should refer to these numbers from your Annual FOIA Reports for both 
Fiscal Year 2016 and Fiscal Year 2017 when completing this section of your Chief FOIA 

Officer Report. 

OLDEST REQUESTS

15. In Fiscal Year 2018, did your agency close the ten oldest requests that were reported 

pending in your Fiscal Year 2017 Annual FOIA Report?

No. 

16. 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 2017 Annual FOIA 

Report. If you had less than the ten total oldest requests to close, please indicate that.

Ten oldest requests increased from 8 reported in FY 2017 to 9 in FY 2018.

17. 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?

None of the 8 total oldest requests were withdrawn in FY 2018.

18. Beyond work on the ten oldest requests, please describe any steps your agency took to 

reduce the overall age of your pending requests.

N/A.

TEN OLDESTAPPEALS

19. In Fiscal Year 2018, did your agency close the ten oldest appeals that were pending in 

your Fiscal Year 2017 Annual FOIA Report?

No appeals were pending at the end of FY 2017 or FY 2018. 

20. 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 2018 Annual 

FOIA Report. If you had less than ten total oldest appeals to close, please indicate that.

N/A.

21. Beyond work on the ten oldest appeals, please describe any steps your agency took to 

reduce the overall age of your pending appeals.
N/A.

TEN OLDEST CONSULTATIONS

22. In Fiscal Year 2018, did your agency close the ten oldest consultations that were reported 

pending in your Fiscal Year 2017 Annual FOIA Report?

No consultations were reported pending in our FY 2017 Annual Report. 

23. 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 2017 Annual 

FOIA Report. If you had less than ten oldest consultations to close, please indicate that.

N/A.

E. Additional Information on Ten Oldest Request, Appeals, and Consultations & Plans

24. Briefly explain any obstacles your agency faced in closing its ten oldest requests, appeals, 

and consultations from Fiscal Year 2018.

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. 

25. 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.

26. 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 2018.

In FY 2018, the RRB/OIG plans to ensure that proper resources and priority are given to 

the handling of the 9 pending requests reported at the end of FY 2018.

F. Success Stories

RRB Legal Opinion/Board Coverage Decision Digitization Project
Beginning in FY 2014 and continuing through FY 2017, the Railroad Retirement Board’s Office 

of General Counsel’s began a major research and preservation project, partnering with a private 

document preservation firm (National Business Systems, Inc.) to create an online, textsearchable, database of Legal Opinions and Board Coverage Decisions. The Library contains 

over 80 years of Legal Opinions issued by the Office of General Counsel and its predecessor 

Bureau of Law since the Railroad Retirement Board’s (Board) founding in 1935. In addition, the 

Library contains all Board Coverage Decisions issued by the Board. 

The project was divided into six phases, broken down as follows: 

1. Phase 1 legal opinions : (1935 – ‘37; ’75 – ’76; ’94 – 2013)

2. Phase 2 legal opinions : (1938 – 1943)

3. Phase 3 legal opinions : (1973 – ’74; 1977 – 1993)

4. Phase 4 legal opinions : (1944 – 1954)

5. Phase 5 legal opinions : (1955 – 1972)

6. Phase 6 Board Coverage Decisions (1993 – present)

The General Counsel has issued legal opinions on topics covering all aspects of the Railroad 

Retirement Act (RRA - 45 U.S.C. § 231 et. seq.) and the Railroad Unemployment Insurance Act 

(RUIA – 45 U.S.C. § 351 et. seq.) and the attendant Federal Regulations promulgated by the 

Board (20 CFR Parts 200 – 375). We are pleased to report that an additional 251 legal opinions 

and 2031 Board coverage decisions (2282 proactive disclosures) have been posted to the 

searchable database in FY 2018. Going forward, as new legal opinions and Board coverage 

decisions are issued, they will be posted to the searchable database.