PBGC's Freedom of Information Act Guide

Access to Certain Records without a FOIA Request

The PBGC makes certain types of records available for public inspection and copying in its on-site reading room, and available electronically. If you visit our reading room or have access to the Internet, you will not need to make a FOIA request to obtain access to these records. Such records include: (1) Opinion Letters, (2) Publications, (3) PBGC Fact Sheets, (4) Government Information Locator System (GILS), (5) Strategic Plan , (6) PBGC Appeal Decisions, and (7) copies of records that have been the subject of a FOIA request and are of sufficient public interest that the agency believes other persons are likely to request them. Documents will be added on an ongoing basis as they are created or identified.

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Where to make a FOIA Request

Requests for PBGC non-public information or information which is not routinely available to the public must be submitted to the PBGC Disclosure Officer. Submit your FOIA request to:

E. William FitzGerald

Disclosure Officer

Pension Benefit Guaranty Corporation

1200 K Street, N.W., Suite 11101

Washington, D.C. 20005

Or, you may fax your request to (202) 326-4042, Attn: E. William FitzGerald, Disclosure Officer. To insure receipt and prompt processing, please send the original request to us.

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How to Make a FOIA Request

You must submit your request in writing. While requests may be submitted by fax, courier services or by mail, the PBGC does not accept FOIA requests submitted through the Internet. The absence of a signature by the requester would prohibit processing and incurring any applicable search/review and copying fees since we don’t have a signed agreement to pay.

Please include your name, organization (if any), address, and phone number. Also, you must reasonably describe the records you seek – the more detail you give us, the more quickly we will be able to respond. You may even specify the format (e.g., computer disk) in which you would like the information released. We will make a reasonable effort to provide the information to you in your requested format. Finally, you must state your willingness to pay fees (you may state the maximum amount you are willing to pay) or request a waiver of fees (see below).

A FOIA request can be made for any agency record. This does not mean, however, that the PBGC will disclose every record sought. There are statutory exemptions that authorize the withholding of information of an appropriately sensitive nature. When the PBGC withholds information, it must specify which exemption of the FOIA permits the withholding. You should be aware that the FOIA does not require agencies to do research for you, to analyze data, to answer questions, or to create records in order to respond to a request.

In those cases where the disclosure officer cannot process your request due to the lack of necessary information, you will be contacted and additional information will be requested.

Under certain circumstances, you may be entitled to receive more information under the Privacy Act of 1974 (a separate federal statute) than under the FOIA. Under the FOIA, anyone can request any agency record. Privacy Act requests are more limited and can be made only by U.S. citizens or aliens lawfully admitted for permanent U.S. residence status, who are seeking information about themselves, which is maintained in a system of records by their names or other personal identifiers. Even if a request does not mention the Privacy Act, however, the PBGC automatically treats requests for agency records as being made under both the FOIA and the Privacy Act whenever it is appropriate to do so.

When you make a request for information about yourself, the PBGC will require a requester to provide some proof of identity before records will be disclosed. On written requests, the PBGC will accept the requester’s signature as proof of identity. However, when available, the PBGC will match the requester’s signature with other documents on file with the agency. This requirement helps to ensure that private information about you will not be disclosed to anyone else. An individual who visits the PBGC to inspect Privacy Act records will be required to display standard personal identification.

It is a crime to knowingly and willfully request or obtain records under the Privacy Act under false pretenses. Only the subject of the record can make a request for access under the Privacy Act. In instances where a representative is acting on behalf of the subject of the record, such as an attorney, the subject must provide a signed authorization stating that their Privacy Act records on file with the PBGC may be disclosed to their representative.

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Time for Response

Under the statute, federal agencies are required to respond to a FOIA request within twenty days, excluding Saturdays, Sundays, and legal holidays. This period begins (for requests that reasonably describe the records sought) the next business day after receipt of a request by the disclosure officer.

The PBGC receives approximately 1600 requests each year. Many of these requests require a line-by-line review of hundreds or even thousands of pages of documents. Although the PBGC makes every effort to respond to FOIA requests as promptly as possible, in some cases it simply cannot do so within the specified time period. Under the FOIA, an agency may extend the response time for an additional ten business days when: (1) the agency needs to collect responsive records from field offices; (2) the request involves a "voluminous" amount of records which must be located, compiled, and reviewed; or (3) the agency must consult with another agency which has a substantial interest in the responsive material or with two or more components of the agency. When such an extension is needed, the PBGC may notify you of this and offer you the opportunity to modify or limit your request. Alternatively, you may agree to a different timetable for the processing of your request.

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Expedited Processing

Under certain conditions you may be entitled to have your request processed on an expedited basis, i.e., within ten business days of the date on which the request was received. However, in an effort to treat all requesters equitably, the PBGC ordinarily will only expedite a FOIA request in cases in which there is a threat to someone's life or physical safety; the requester is primarily engaged in disseminating information and has established that the request is urgently needed to inform the public concerning some actual or alleged government activity; or where an individual will suffer the loss of substantial due process rights if the records are not processed on an expedited basis.

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Fees

There is no initial fee to file a FOIA request and in many cases no fees are charged for processing. The FOIA, however, permits agencies to recover part of the cost incurred in complying with FOIA requests.

For the purposes of fees only, the FOIA divides requesters into three categories. Commercial requesters may be charged fees for searching for records, processing the records, and photocopying them. On the other hand, educational or noncommercial scientific institutions and representatives of the news media are charged only for photocopying expenses, after the first 100 pages of copies. Requesters who do not fall into either of these two categories are not charged for processing, however, they are charged only for record searches and photocopying. There is no charge for the first two hours of search time or for the first 100 pages of photocopies. Specifically, the PBGC may recover the following costs:

• Search/Review time - $4 per each one-quarter hour of professional personnel time or $1.75 per one-quarter hour of custodial or clerical personnel time,
• Photocopying - 15¢ per page,
• Computerized records search and reproduction in other than paper format (e.g. computer tapes, disks, and videotapes) - actual costs.

You may include in your request a specific statement limiting the amount that you are willing to pay in fees. If we estimate that the fees for processing your request will exceed the amount you state we will notify you of the estimate and offer you an opportunity to narrow your request in order to reduce the fees. Please note that PBGC is authorized to recover search and review costs even if no responsive records are found or, after review, there is no disclosure of records.

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Fee Waivers

A waiver or reduction of fees may be authorized in cases where disclosure of information is in the public interest because it is likely to contribute significantly to public understanding of the operations or activities of the government and is not primarily in the commercial interest of the requester. The mere fact that you are a non-profit organization or a member of the media does not in and of itself qualify for a fee waiver. In addition, a requester's inability to pay is not a legal basis for granting a fee waiver.

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Request Determination

The FOIA provides access to all federal agency records (or portions of those records), except those records that are withheld under nine exemptions and three exclusions (reasons for which an agency may withhold records from a requester). The determination letter will advise you of any information that is being withheld pursuant to one or more of the exemptions. When pages are being withheld in their entirety, PBGC will specify the volume of the materials denied and/or, if feasible, the location of excluded material.

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Appeals

You may file an administrative appeal with the Office of the General Counsel if records responsive to your request are withheld, if you believe that there are records responsive to your request in addition to those records processed by the agency, if your request has not been granted within the time limits set forth in the FOIA, or if your request for expedited processing or a fee waiver is denied. You have thirty (30) days from the denial to file your appeal. Make your appeal in writing and mail it to:

General Counsel, Pension Benefit Guaranty Corporation, 1200 K Street, NW, Washington, D.C. 20005, Attn: FOIA Appeal.

There is no specific form or particular language needed to file an administrative appeal. You should include any initial request number assigned to your request, copies of your initial request and the response of the disclosure officer. Your letter should explain the reasons for your appeal. For example, if you are appealing because you believe there are additional records that have not been located, you should specify why you think such records exist and, if possible, where you believe they might be located.

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Judicial Review

You may file a lawsuit in Federal Court if the PBGC fails to respond to either your initial request or your appeal within the time limits discussed above or, if after your appeal has been decided you still believe that the PBGC has not handled your FOIA request in accordance with the law. You may file your suit in a Federal District Court in any of the following places: (1) where you reside, (2) where you have your principal place of business (if any), (3) in the U.S. District Court for the District of Columbia, or (4) where the agency records are maintained. You have six years to file suit in a District Court from the time your right to sue begins.

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Additional Questions or Status Check

In order to check on the status of a pending FOIA request you can call the FOIA Requester Service Center at (202) 326-4040. TTY/TDD users, call the Federal Relay Service at 1-800-877-8339 and ask to be connected to (202) 326-4040. If you have any concerns as to the service you have received, please ask to speak to the FOIA Public Liaison to resolve any issues.

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