Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

FY 2011 Chief FOIA Officer Report for the U.S. Railroad Retirement Board (RRB)

The RRB submits this report for FY 2011 in response to the request in the United States 

Department of Justice Office of Information Policy FOIA Post, “Guidelines for 2011 Chief 

FOIA Officer Reports to the Department of Justice, Pursuant to Attorney General 

Holder’s FOIA 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. 

1. Did your agency hold an agency FOIA conference, or otherwise conduct training 

during this reporting period? 

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 concerning 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. Did your FOIA professionals attend any FOIA training, such as that provided by 

the Department of Justice? 

The agency has a small number of staff with direct FOIA responsibilities. All of 

the training provided from the Office of Information Policy (OIP) incorporated 

the principles of the President’s FOIA Memorandum and the Attorney General’s 

FOIA Guidelines. In FY 2011, FOIA staff completed Basic Records Operation 

training from the National Archives and Records Administration (NARA) and 

FOIA training by the American Society of Access Professionals (ASAP). 

Additional E-Discovery training was provided by the U.S. Attorney’s Office, 

Department of Justice. 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

In his 2009 FOIA Guidelines, the Attorney General strongly encouraged agencies to 

make discretionary releases of information even when the information might be 

technically exempt from disclosure under the FOIA. OIP encourages agencies to make 

such discretionary releases whenever there is no foreseeable harm from release. 

3. Did your agency make any discretionary releases of otherwise exempt 

information? 

The number of full grants to requests has continued to increase since FY 2007 to 

the present, i.e., from 34 in FY 2007 to 53 in FY 2009. 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. 

The RRB did make discretionary releases during FY 2011. However, due to the 

nature of the 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. 

4. What exemptions would have covered the information that was released as a 

matter of discretion? 

Generally, when there is a possibility of a decretionary release can be made by 

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

5. Describe your agency’s process to review records to determine whether 

discretionary releases are possible. 

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. 

6. Describe any other initiatives undertaken by your agency to ensure that the 

presumption of openness is being applied. 

In Section V.B.(1) of your agency’s Annual FOIA Report, entitled “Disposition of FOIA 

Requests – All Processed Requests” the first two columns list the “Number of Full Grants” 

and the “Number of Partial Grants/Partial Denials.” Compare your agency’s 2011 

Annual FOIA Report with last year’s Annual FOIA Report, and answer the following 

questions: 

7. Did your agency have an increase in the number of responses where records 

were released in full? 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

Yes, in FY 2011, the agency released 77 full grants, up from 62 in FY 2010. 

8. Did your agency have an increase in the number of responses where records 

were released in part? 

No, in FY 2011, the agency released 3 partial grants, down from 4 partial grants in 

FY 2010. 

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." 

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. 

1. Do FOIA professionals within your agency have sufficient IT support? 

Yes. We continue to monitor and assess our information technology to ensure 

that FOIA professionals have sufficient information technology support to perform 

their required functions. 

2. Is there regular interaction between agency FOIA professionals and the Chief 

FOIA Officer? 

Yes. 

3. Do your FOIA professionals work with your agency’s Open Government Team? 

Yes. 

4. Describe the steps your agency has taken to assess whether adequate staffing is 

being devoted to FOIA administration. 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

Because the RRB receives so few FOIA requests per year, it currently has one main 

FOIA Officer. If the number or complexity of the FOIA requests significantly 

increased, the need for additional staffing would become readily apparent. At 

this time, the staffing level meets the agency’s needs. 

5. Describe any other steps your agency has undertaken to ensure that your FOIA 

system operates efficiently and effectively. 

No additional steps have been taken. 

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. 

Describe here the steps your agency has taken both to increase the amount of 

material that is available on your agency website, and the usability of such information, 

including providing examples of proactive disclosures that have been made during this 

past reporting period (i.e., from March 2011 to March 2012). In doing so, answer the 

questions listed below and describe any additional steps taken by your agency to 

make and improve proactive disclosures of information. 

1. Has your agency added new material to your website since last year? 

The RRB annually updates its website to include current actuarial, statistical, and 

financial information. 

2. Provide examples of the records, datasets, videos, etc., that have been posted 

this past year. 

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 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. 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

 High-Value Data Sets 

The RRB identified and published online in an open format five high-value data 

sets and registered those data sets via Data.gov. Going forward, the RRB will 

consider existing published data for conversion to open format for publication to 

Data.gov. 

 High Value Information and Data Set Inventory 

The RRB High-Value Information and Data Set Inventory details the underlying 

data sets that are in an open format and accessible directly via Data.gov. 

High-Value Information and Data Set Inventory 

Information/Data Set 

Name 

Description URL 

Active Employees and 

Railroad Retirement Act 

Beneficiaries by State, 

2008 

A breakdown of Active 

Employees and Railroad 

Retirement Act 

Beneficiaries by State 

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

Longevity of Railroad 

Retirement Beneficiaries 

Calculations of life 

expectancies of 

Railroad Retirement 

beneficiaries. 

http://www.data.gov/details/1332

Railroad Retirement Act 

Annuitants and Active 

Railroad Employees by 

Congressional District 

A breakdown of 

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 

A breakdown of 

Railroad employees by 

State and Last Railroad 

Employer. 

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

Total Railroad 

Employment by State 

and County, 2007 

A breakdown of 

Railroad employees by 

State and County. 

http://www.data.gov/details/456 

Open Government Webpage 

The RRB’s Open Government Webpage (www.rrb.gov/open) serves as the gateway 

for agency activities related to the Open Government Directive. The site allows the 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

public to provide input about the agency’s Open Government Plan, give feedback 

regarding the quality of published information, and provide input about what 

information should be prioritized for publication to RRB staff via E-mail. 

Transparency 

The RRB’s long history of transparency is evident by the extensive amount of 

information frequently published on its website (www.rrb.gov). To uphold and 

advance this strong commitment to transparency in the future, the RRB will continue 

to publish information in support of its mission to administer retirement/survivor and 

unemployment/sickness insurance benefit programs for railway workers and their 

families under the Railroad Retirement Act and the Railroad Unemployment 

Insurance Act. 

Agency Plans, Management and Reports 

The RRB Strategic Plan details the RRB’s long and distinguished history of excellent 

customer service and the continuation of that tradition by calling for the attainment 

and maintenance of high levels of accuracy and timeliness in paying retirement, 

survivor, unemployment and sickness insurance benefits. The Agency Management 

and Reports webpage provides information on the RRB’s structure, responsibilities to 

the public, and communication methods. The RRB Annual Report provides 

information on agency operations that are distributed to officials of railway 

management and labor, members of Congress, officials of the Federal Government, 

and requesting libraries 

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 

The Agency Procedure Manuals webpage is an index of the chapters in the various 

manuals used by the RRB in the processing of claims under either the Railroad 

Retirement or Railroad Unemployment Insurance Acts 

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

Board Coverage Decisions 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

Board Coverage Decisions are the determinations of the three-member Board as to 

the status of various companies or persons with respect to coverage as employers or 

employees under the Railroad Retirement and Railroad Unemployment Insurance 

Acts. 

http://www.rrb.gov/blaw/bcd/cov_introduction.asp

Congressional Requests 

The Congressional Inquiry Section of the RRB's Office of Administration is responsible 

for responding to all inquiries from congressional offices concerning constituents, 

benefit claims or applications filed with the agency. 

Questions about proposed railroad retirement legislation, the status of pending 

legislation, or congressional schedules, hearings or committee jurisdiction should be 

directed to the Office of Legislative Affairs (ola@rrb.gov). 

http://www.rrb.gov/opa/rrbcongress_contacts.asp 

Federal Register 

The Federal Register is the official daily publication for rules, proposed rules, and 

notices of Federal agencies and organizations, as well as executive orders and other 

presidential documents. 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, and any changes in material required to be published 

are available through the Office of the Federal Register, National Archives and 

Records Administration (NARA). 

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 

The RRB Financial, Actuarial and Statistical Data webpage consists of the following 

sections: 

Annual Railroad Retirement Act and Railroad Unemployment Insurance Act Data 

Budget and Financial Reports: Current and Projected 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

Earnings Limits, Tax Rates and COLA's 

Monthly and Quarterly Railroad Retirement Act and Railroad Unemployment 

Insurance Act Data 

Performance and Accountability Reports 

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

Forms and Publications 

The Railroad Retirement Handbook provides a comprehensive single source of 

authoritative information on the development and character of the railroad 

retirement and railroad unemployment insurance systems. The Benefit Forms and 

Publications webpage provides information on Unemployment & Sickness Benefits, 

Retirement & Survivor Benefits, Medicare, Income Tax, Protests and Appeals, and 

Work/Earnings. The Employer Forms and Publications webpage provides content 

from the Exhibits Section of the Labor Reporting, Employer Reporting and Sickness 

Reporting Instructions, and publications in the format of Employer Exchange 

Newsletters and Office of the Labor Member Questions and Answers. 

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) 

The RRB is required under the Freedom of Information Act (FOIA) to disclose records 

requested in writing by any person. However, we may withhold information under 

certain exemptions and exclusions provided by the statute. In addition, the Railroad 

Retirement Act, the Railroad Unemployment Insurance Act, and the Privacy Act 

restrict disclosure of information about individuals. 

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

Information Dissemination 

In accordance with Section 3506(d) of the Paperwork Reduction Act and Section 

515 of Public Law 106-554 the RRB has developed a procedure to allow one to seek 

and obtain correction of certain information RRB maintains and disseminates. 

Procedures to seek correction of information under section 515 do not replace other 

established procedures for challenges to disseminated information. Challenges to 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

information disseminated in the course of rulemaking should be made through the 

channels established for that purpose. 

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 

The RRB receives frequent requests under the Freedom of Information Act for a list of 

the IMPAC credit card holders at the agency. In accord with section 4 of the 

Electronic Freedom of Information Act Amendments of 1996 (P.L. 104-231), the RRB 

posts the list of credit card holders. 

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

News Releases 

The RRB News webpage provides access to periodic news releases distributed to 

editors of railway publications and major newspapers, officials of railway 

management and labor, and requesting agencies and organizations in and outside 

of the Federal Government. 

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

Paperwork Reduction Act 

The RRB is essentially compliant with the information dissemination requirements of 

the PRA. 

Privacy Act - Privacy Act Systems of Records 

The RRB Privacy Act webpage provides information on one’s right to records which 

the RRB maintains about individuals, including individuals in the railroad industry. The 

text of all of the RRB's Privacy Act Systems of Records, as published in the Federal 

Register, are available for study. 

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

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

Records Management 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

The RRB records schedules are in transition. We will post updated RRB records 

schedules to www.rrb.gov upon completion of all remaining NARA Bulletin 2006-02-

related RRB/NARA appraisal work later in FY 2010. 

RRBVision 

The RRBVision service allows users to view video presentations with accompanying 

training materials, such as PowerPoint presentations or online screens. Presentations 

can be viewed in real time or saved for later viewing. These presentations covered 

instructions in filing for sickness and unemployment benefits under the Railroad 

Unemployment Insurance Act, filing for retirement benefits under the Railroad 

Retirement Act, completing a variety of compensation-reporting forms and 

navigating the Board’s Web site. 

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

3. Describe the system your agency uses to routinely identify records that are 

appropriate for posting. 

Many of the records posted on the agency website were created specifically to 

be made available to the public, such as press releases, reports, and other RRBproduced material. Many of the records online have traditionally been widely 

disseminated by the agency. 

4. Beyond posting new material, is your agency taking steps to make the 

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

who regularly access your agency’s website, such as soliciting feedback on the 

content and presentation of the posted material, improving search capabilities, 

providing explanatory material, etc.? 

Yes. The RRB now provides a video library for railroad employers and benefit 

online services, such as online application filing, for railroad employees 

5. Describe any other steps taken to increase proactive disclosures at your agency. 

No other steps have been taken. 

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 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

should also be exploring ways to utilize technology in responding to requests. In 2010 

and 2011, agencies reported widespread use of technology in handling FOIA requests. 

For 2012, the questions have been further refined and now also address different, more 

innovative aspects of technology use. 

Electronic receipt of FOIA requests: 

1. Can FOIA requests be made electronically to your agency? 

The RRB receives requests electronically via mail, fax and email through its E-FOIA 

system created by the RRB’s Bureau of Information Services. 

 

2. If your agency processes requests on a decentralized basis, do all components of 

your agency receive requests electronically? 

RRB’s FOIA operations are centralized in the RRB’s headquarters location. The RRB 

officials who have primary responsibility for the administration of program areas 

are located at RRB Headquarters in Chicago, Illinois. Numerous programs, 

however, are administered at the local level through 12 Networks, headed by 

Network Managers who oversee the operation of all RRB program areas in their 

jurisdiction. RRB’s primary FOIA operation is located in the FOIA Requester Service 

Center located within the Office of General Counsel (OGC). The OGC is 

comprised of nine attorneys (a General Counsel, two Assistant General Counsels, 

and 6 staff attorneys), a paralegal specialist, and three administrative support 

personnel. One General Attorney is primarily responsible for reviewing incoming 

FOIA requests, providing the requestor with an acknowledgment of the request, 

determining whether documents are likely to be located at Headquarters, and 

either initiating a search at RRB Headquarters’ program offices or refer the request 

to a Network Manager, or non-Headquarters program-specific office, as 

appropriate. The General Attorney is also responsible for reviewing the program 

office’s recommendation concerning the releasability of documents, redacting 

material subject to FOIA exemptions, and preparing a draft response letter to the 

requester for the General Counsel/Chief FOIA Officer. Two additional General 

Attorney’s have secondary responsibility to provide back-up assistance to the 

primary General Attorney for FOIA requests. The three support staff personnel at 

Headquarters are responsible for logging in the average 100 or so FOIA requests 

received at Headquarters annually, including inputting pertinent information into 

an electronic tracking system. Support staff also perform ancillary functions, such 

as filing, record archiving, and time and attendance.

Online tracking of FOIA requests: 

3. Can a FOIA requester track the status of his/her request electronically? 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

Yes. A FOIA requester is provided a tracking number through the Board’s E-FOIA 

system and can email for a status update. 

4. If not, is your agency taking steps to establish this capability? 

See number 3 above. Not Applicable. 

Use of technology to facilitate processing of requests: 

5. Beyond using technology to redact documents, is your agency taking steps to 

utilize more advanced technology to facilitate overall FOIA efficiency, such as 

improving record search capabilities, utilizing document sharing platforms for 

consultations and referrals, or employing software that can sort and de-duplicate 

documents? 

Currently, the RRB does not use technology to process requests. Due to the 

average number of requests received within a given year, currently around 100, 

the RRB has determined that utilizing an electronic system for responding to 

requests is unnecessary at this time. We will continue to evaluate this option. 

However, to the extent practical and subject to valid restrictions, the RRB will 

continue to use its website to disseminate useful information, rather than waiting 

for specific requests under FOIA. 

6. If so, describe the technological improvements being made. 

See number 5 above. Not applicable. 

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 and appeals. For the figures required in this Section, please use those 

contained in the specified sections of your agency’s 2011 Annual FOIA Report. 

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

Response Time for All Processed Requests,” includes figures that show your 

agency's average response times 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. If 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

your agency does not utilize a separate track for processing simple requests, 

answer the question below using the figure provided in your report for your nonexpedited requests. 

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

No. 

b. If so, for your agency overall, for Fiscal Year 2011, was the average number 

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

Not applicable. 

c. 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? 

Yes. The average number of days to process simple requests was 15.86 

days . 

2. Sections XII.D.(2) and XII.E.(2) of your agency’s Annual FOIA Report, entitled 

“Comparison of Numbers of Requests/Appeals from Previous and Current Annual 

Report – Backlogged Requests/Appeals,” show the numbers of any backlog of 

pending requests or pending appeals from Fiscal Year 2011 as compared to 

Fiscal Year 2010. You should refer to those numbers when completing this section 

of your Chief FOIA Officer Report. In addition, Section VII.E, entitled “Pending 

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

Oldest Pending Administrative Appeals,” from both Fiscal Year 2010 and Fiscal 

Year 2011 should be used for this section. 

a. If your agency had a backlog of requests at the close of Fiscal Year 2011, 

did that backlog decrease as compared with Fiscal Year 2010? 

The number of backlogged requests from FY 2010 to FY 2011 remained 

constant at one backlogged request at the end of the fiscal year. 

b. If your agency had a backlog of administrative appeals in Fiscal Year 2011, 

did that backlog decrease as compared to Fiscal Year 2010? 

The number of backlogged appeals remained at zero for FY 2010 and FY 

2011. 

c. In Fiscal Year 2011, did your agency close the ten oldest requests that were 

pending as of the end of Fiscal Year 2010? 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

No. One pending perfected requests remained at the end of FY 2011. 

d. In Fiscal Year 2011, did your agency close the ten oldest administrative 

appeals that were pending as of the end of Fiscal Year 2010? 

Yes. 

3. If you answered “no” to any of the above questions, describe why that has 

occurred. In doing so, answer the following questions then include any additional 

explanation: 

 Request Backlog: 

a. Was the lack of a reduction in the request backlog a result of an increase in 

the number of incoming requests? 

No. 

b. Was the lack of a reduction in the request backlog caused by a loss of 

staff? 

No. 

c. Was the lack of a reduction in the request backlog caused by an increase 

in the complexity of the requests received? 

Yes. 

d. What other causes, if any, contributed to the lack of a decrease in the 

request backlog? 

 Administrative Appeal Backlog: 

e. Was the lack of a reduction in the backlog of administrative appeals a 

result of an increase in the number of incoming appeals? 

Not applicable. 

f. Was the lack of a reduction in the appeal backlog caused by a loss of 

staff? 

Not applicable. 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

g. Was the lack of a reduction in the appeal backlog caused by in increase in 

the complexity of the appeals received? 

Not applicable. 

h. What other causes, if any, contributed to the lack of a decrease in the 

appeal backlog? 

Not applicable. 

 

All agencies should strive to both reduce any existing backlogs or requests and 

appeals and to improve their timeliness in responding to requests and appeals. 

Describe the steps your agency is taking to make improvements in those areas. In 

doing so, answer the following questions and then also include any other steps being 

taken to reduce backlogs and to improve timeliness. 

1. Does your agency routinely set goals and monitor the progress of your FOIA 

caseload? 

The agency’s FOIA Officer continually monitors the progress of the FOIA caseload 

and responds to requests in a timely manner. 

2. Has your agency increased its FOIA staffing? 

No. 

3. Has your agency made IT improvements to increase timeliness? 

During the last year, the RRB began using a database for its FOIA log. Although 

this does not directly increase response time, it does increase the efficiency of the 

agency’s FOIA operations with respect to tracking requests. 

4. If your agency receives consultations from other agencies, has your agency 

taken steps to improve the efficiency of the handling of such consultations, such 

as utilizing IT to share the documents, or establishing guidelines or agreements 

with other agencies on the handling of particular information to speed up or 

eliminate the need for consultations? 

The RRB does not routinely receive consultations from other agencies on FOIA 

matters. 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

 

Use of FOIA’s Law Enforcement “Exclusions” 

In order to increase transparency regarding the use of the FOIA’s statutory law 

enforcement exclusions, which authorize agencies under certain exceptional 

circumstances to “treat the records as not subject to the requirements of [the FOIA],” 5 

U.S.C. § 552(c)(1), (2), (3), please answer the following questions: 

1. Did your agency invoke a statutory exclusion during Fiscal Year 2011? 

No. 

2. If so, what is the total number of times exclusions were invoked? 

Not applicable. 

Spotlight on Success 

Out of all the activities undertaken by your agency since March 2011 to increase 

transparency and improve FOIA administration, describe here one success story that 

you would like to highlight as emblematic of your agency’s efforts. 

Flagship Initiative - Customer Satisfaction Web-Based Survey 

Starting in May 2010, the Railroad Retirement Board began participating in a customer 

satisfaction survey of visitors to the agency’s website. The survey specifically measures 

the visitors’ perception of “Online Transparency” among other things. Unlike previous 

surveys the agency has conducted at a single point in time, this survey will be ongoing 

for at least a year. Each month, the survey questions can be adjusted to obtain 

customer feedback on potential enhancements thus providing a vehicle for customer 

participation. Each quarter we will receive an analytical report which will help us 

determine which website improvements will yield the greatest return on satisfaction and 

on our investment. This approach will also allow us to determine the importance of 

website elements to our customers—based on their input—so we can make informed 

decisions about website improvements and other online investments. The ability to 

adjust both the survey and the website along the way provides an ongoing measure of 

improved transparency and effectiveness. Depending on the level of public 

participation, funding availability, and the RRB’s ability to respond to the feedback, we 

will consider extending the survey for another year or more, and/or obtaining additional 

analytical services to further improve website performance and openness, and 

ultimately efficiency and effectiveness of operations, as well as customer satisfaction. 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

Overall Nature of RRB’s FOIA Operations 

In the 1930’s, Congress established the RRB as an independent agency in the executive 

branch of the federal government. The primary duty of the RRB is to administer 

retirement/survivor and unemployment/sickness insurance benefit programs under the 

Railroad Retirement Act and the Railroad Unemployment Insurance Act. These 

programs provide income protection during old age and in the event of disability, 

death or temporary unemployment and sickness. The RRB also administers aspects of 

the Medicare program and has administrative responsibilities under the Social Security 

Act and the Internal Revenue Code. 

During fiscal year 2011, retirement-survivor benefits of some $10.9 billion were paid to 

about 578,000 beneficiaries, while net unemployment-sickness benefits of $101 million, 

including almost $9 million in temporary extended unemployment benefits under the 

American Recovery and Reinvestment Act of 2009 and the Worker, Homeownership, 

and Business Assistance Act of 2009, were paid to more than 28,000 claimants. At the 

end of fiscal year 2011, the average annuity paid to retired rail employees was some 

$2,265 a month, spouse benefits averaged $840 a month, and benefits for aged 

widow(er)s averaged $1,365 a month. The maximum biweekly rate for unemployment 

and sickness benefits was $660. 

The RRB staff currently includes approximately 898 employees as of December 31, 2011. 

The agency’s headquarters is located at 844 North Rush Street, Chicago, Illinois 60611-

2092 and the agency has 53 field offices nationwide. The agency’s small size and 

concise mission result in on average around 100 FOIA requests annually. Our average 

processing time for FOIA requests last year was around 15.86 days. In 2005, the RRB 

launched a redesigned website (www.rrb.gov) that is more user-friendly and makes 

publicly available many of the categories of documents that used to result in FOIA 

requests. 

Internet availability of these documents has reduced the number of FOIA requests. This 

allows us to focus on the remaining requests, which tend to be somewhat more 

complex. Information available from the RRB under the FOIA includes the agency’s 

procedure manuals, final decisions of the three-member Board which heads the 

agency, rulings of the Board and legal opinions. Legal opinions since 1997 and Board 

Coverage Decisions are periodically posted to the RRB web site and available without 

a request under the Freedom of Information Act. 

Because the RRB administers a comprehensive program of railroad retirement, 

unemployment, and sickness benefits for railroad workers, it also maintains information 

about individuals which may not be disclosed in response to a FOIA request. The 

Railroad Retirement Act, the Railroad Unemployment Insurance Act, and the Privacy 

Act restrict the disclosure of information about individuals. If a request is made for 

information about an individual, as a general rule, the requester must provide the RRB a 

written authorization signed by the individual who is the subject of that record. 

RRB’s FOIA operations are centralized in the RRB’s headquarters location. The RRB 

officials who have primary responsibility for the administration of program areas are 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

located at RRB Headquarters in Chicago, Illinois. Numerous programs, however, are 

administered at the local level through 12 Networks, headed by Network Managers 

who oversee the operation of all RRB program areas in their jurisdiction. RRB’s primary 

FOIA operation is located in the FOIA Requester Service Center located within the 

Office of General Counsel (OGC). The OGC is comprised of nine attorneys (a General 

Counsel, two Assistant General Counsels, and 6 staff attorneys), a paralegal specialist, 

and three administrative support personnel. One General Attorney is primarily 

responsible for reviewing incoming FOIA requests, providing the requestor with an 

acknowledgment of the request, determining whether documents are likely to be 

located at Headquarters, and either initiating a search at RRB Headquarters’ program 

offices or refer the request to a Network Manager, or non-Headquarters programspecific office, as appropriate. The General Attorney is also responsible for reviewing the 

program office’s recommendation concerning the releasability of documents, 

redacting material subject to FOIA exemptions, and preparing a draft response letter to 

the requester for the General Counsel/Chief FOIA Officer. Two additional General 

Attorney’s have secondary responsibility to provide back-up assistance to the primary 

General Attorney for FOIA requests. The three support staff personnel at Headquarters 

are responsible for logging in the average 100 or so FOIA requests received at 

Headquarters annually, including inputting pertinent information into an electronic 

tracking system. Support staff also perform ancillary functions, such as filing, record 

archiving, and time and attendance. 

The Headquarters primary FOIA attorney handles all legal issues related to Headquarters 

FOIA requests, including researching and reviewing issues related to the applicability of 

exemptions, resolving fee waiver determinations, deciding requests for news media 

status, and responding to questions from Headquarters program staff. The primary FOIA 

attorney is responsible for resolving all issues that arise within Headquarters regarding 

responsiveness and adequacy of search by Headquarters offices. In addition, the 

Headquarters FOIA legal staff serves in an advisory role to the over 53 decentralized RRB 

offices, responding to challenging questions on processing, applicability of exemptions, 

interpretation of the FOIA, and the handling of non-routine FOIA requests. The 

Headquarters FOIA attorneys are also responsible for supervising the Headquarters FOIA 

Specialist processing staff, including the review and editing of all of the approximately 

100 plus FOIA response letters sent by Headquarters annually. All FOIA responses are 

signed by the General Counsel/Chief FOIA Officer of the OGC. Supervisory duties 

performed by one attorney in the Headquarters FOIA Requester Service Center include 

assignment of cases to the FOIA attorneys, preparation of performance appraisals, 

progress reviews and all other personnel functions related to supervision of the nonattorneys in the FOIA Requester Service Center. 

RRB’s FOIA operations outside of Headquarters are administered or supervised by OGC. 

Each Network Manager has responsibility to forward all FOIA requests related to 

documents physically located within either the Network Office or district field offices 

within the Network Manager’s jurisdiction. 
Chief FOIA Officer Report 

 

U.S. Railroad Retirement Board 

844 North Rush Street 

Chicago Illinois, 60611-2092 

 

 

Phone: (312) 751-7139 

TTY: (312) 751-4701 

Web: 

 

http://www.rrb.gov

It should also be noted that due to the independent nature of the RRB’s Office of 

Inspector General (OIG), handling and reporting statistics concerning FOIA requests 

received by that office, is the responsibility of the OIG. However, those statistics are 

reflected herein for purposes of this report. 

 

As the designated Chief FOIA Officer for the RRB, I am pleased to submit this report. This 

report is directed to ensuring that the RRB’s administration of the FOIA is not only, at a 

minimum, in compliance with the law and the policies set forth in the President’s 

Memorandum, but also that the RRB strives to continuously improve its FOIA operations 

and exceed the expectations of its FOIA requesters. 

/s/ Karl T. Blank

RRB General Counsel/Chief FOIA Officer