Department of the Treasury

2020 Chief Freedom of Information Act Officer Report

to the Attorney General of the United States
2

Message from the Deputy Assistant Secretary for Privacy, Transparency, and 

Records

On behalf of the Chief Freedom of Information Act Officer, I am 

pleased to present the Department of the Treasury’s (Treasury or 

Department1) 2020 Chief Freedom of Information Act Officer Report 

to the Attorney General of the United States. This report summarizes 

Treasury initiatives to comply with the Freedom of Information Act2

(FOIA) and to promote transparency and openness in its operations. 

This report covers the period of March 2019 through March 2020 (the 

reporting period).

Inquiries about this report may be directed to the Office of Privacy, 

Transparency, and Records via phone at (202) 622-0930 or via e-mail 

at FOIA@treasury.gov. This report, as well as previous reports, can be found on the 

Department’s FOIA website under FOIA Reports.

Ryan Law

Deputy Assistant Secretary

Office of Privacy, Transparency, and Records

U.S. Department of the Treasury

 1 In this report, the “Department” or “Treasury” includes all of the Treasury Department’s bureaus and offices. 2 5 U.S.C. § 552
3

2020 Chief Freedom of Information Act Officer Report

To the Attorney General of the United States

Table of Contents

Message from the Deputy Assistant Secretary for Privacy, Transparency, and Records............2

FOIA at the Department of the Treasury....................................................................4

Section I: Steps Taken to Apply the Presumption of Openness........................................6

Section II: Steps Taken to Ensure that Treasury has an Effective System in Place

Responding to Requests..................................................................................9

Section III: Steps Taken to Increase Proactive Disclosures............................................10

Section IV: Steps Taken to Greater Utilize Technology................................................13

Section V: Steps Taken to Improve Timeliness in Responding to Requests and

Reducing Backlogs.......................................................................................15
4 

FOIA at the Department of the Treasury

FOIA administration is decentralized at the Department of the Treasury. In other words, the nine 

bureaus that comprise the Department separately receive and respond to FOIA requests:

1. Alcohol and Tobacco Tax and Trade Bureau (TTB) 

2. Bureau of Engraving and Printing (BEP) 

3. Bureau of the Fiscal Service (Fiscal Service)

4. Departmental Offices (DO)

5. Financial Crimes Enforcement Network (FinCEN)

6. Internal Revenue Service (IRS)

7. Office of the Comptroller of the Currency (OCC)

8. Treasury Inspector General for Tax Administration (TIGTA)

9. United States Mint (Mint)

Departmental Offices encompasses a number of Treasury program and policy offices,3

 

including, for example, the Office of Foreign Assets Control (OFAC). The Office of Privacy, 

Transparency, and Records (OPTR), situated within DO, functions as the centralized DO 

resource for FOIA administration. OPTR is also responsible for Treasury-wide policy, guidance, 

and compliance with the FOIA. The Deputy Assistant Secretary for Privacy, Transparency, and 

Records leads OPTR, and reports to the Assistant Secretary for Management, Treasury’s Chief 

FOIA Officer.

Treasury received 11,936 FOIA requests during Fiscal Year (FY) 2019. This figure represents a

less than 1% percent decrease from FY 2018. From FY 2010 through the present, Treasury 

received an average of 14,271 requests per fiscal year (See Figure 1).

In FY 2019, there was a wide disparity in the number of FOIA requests directed to individual 

Treasury bureaus. For example, IRS received 8,128 requests in FY 2019, or 68% of Treasury’s 

 

3 DO also includes the Offices of the Secretary, Domestic Finance, Economic Policy, General Counsel, International 

Affairs, Legislative Affairs, Management, Public Affairs, Tax Policy, Terrorism and Financial Intelligence, and the 

Treasurer of the United States. DO statistics in this report also include requests made to the Financial Stability 

Oversight Council (FSOC, an entity chaired by the Secretary of the Treasury), the Treasury Inspector General 

(OIG), and the Office of the Special Inspector General for the Troubled Asset Relief Program (SIGTARP). For 

more information, please visit Treasury’s webpage at https://home.treasury.gov/about/generalinformation/organizational-chart.

16,911 16,776 16,610 15,040 14,107 13,992 12,368 12,434 12,535 11,936

0

10,000

20,000

2010 2011 2012 2013 2014 2015 2016 2017 2018 2019

Figure 1. Total Number of FOIA Requests Received at Treasury
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total FOIA requests. On the other hand, TTB, Mint, and BEP each received fewer than 150 

requests during the same period (See Figure 2).

The Department closed 11,921 requests in FY 2019. OCC, DO, FinCEN, and TTB closed more 

requests than they received in FY 2019. 

0

1,000

2,000

3,000

4,000

5,000

6,000

7,000

8,000

9,000

IRS OCC DO FinCEN Fiscal

Service

TIGTA TTB MINT BEP

Received 8,128 1,430 1,195 222 415 225 138 113 70

Processed 8,006 1,447 1,301 226 400 222 141 111 67

Number of Requests

Figure 2. Number of FOIA requests received and processed during 

FY 2019 by Treasury Bureaus
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Section 1: Steps Taken 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 agency’s Chief FOIA Officer at this 

level?

Yes.

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

David F. Eisner, Assistant Secretary for Management.

B. FOIA Training

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

responsibilities attend any substantive 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 or conducted and the 

topics covered.

Every year the Department of Treasury hosts an annual FOIA summit. There are a variety of 

topics discussed through panels of experts or briefed by FOIA professionals. During this 

reporting period, the topics covered included FOIA litigation; appeals, Treasury’s new FOIA 

Regulations, Exemption 4 and the submitter notice process, Exemption 5, fees and fee 

waivers, and expedited processing.

Treasury was joined this year by the Department of Homeland Security in its first joint FOIA 

training during Sunshine Week. The training included discussions of the interface between 

the FOIA and Privacy Act, Exemptions 3 and 7, and dispute resolution. Additionally, the 

training included an “Ask the Requester” panel featuring representatives from American 

Oversight, Cause of Action, and Citizens for Responsibility and Ethics in Washington.

Additionally, a number of Treasury FOIA professionals attended training opportunities 

provided by the Department of Justice (DOJ) including FOIA for Attorneys and Access 

Professionals, the Advanced FOIA Seminar, Introduction to the FOIA, and the Litigation 

Seminar. Treasury staff also participated in DOJ’s online training modules for FOIA 

Professionals. Numerous topics covered were, including but not limited to, the FOIA’s 

procedural requirements and exemptions, workshops on individual FOIA Exemptions, basic 

principles for processing FOIA requests from start to finish, the FOIA’s proactive disclosure 

requirements, the interface between the FOIA and the Privacy Act, overview of the FOIA, 

receiving and acknowledging FOIA requests, initial processing, statutory protections for 

sensitive information, advanced considerations for Exemptions 6 and 7(C), FOIA case law 
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developments and advanced litigation considerations, basic principles for processing FOIA

requests, communication with requesters, searching for and reviewing documents, preparing 

final determinations and responses, fee categories, foreseeable harm, reasonable searches and 

reasonable description of FOIA requests, and an Exemptions redaction workshop.

Treasury staff also participated in dispute resolution skills training for FOIA Professionals 

hosted by the National Archives and Records Administration (NARA) Office of Government 

Information Services (OGIS).

Several FOIA professionals attended American Society of Access Professionals training, 

which covered topics including FOIA procedures, FOIA Exemptions, FOIA litigation and 

recent court decisions, the Privacy Act, fee categories, reasonable harm, searches, and FOIA 

appeals.

Also, Treasury’s FOIA Professionals received training through various continuing education 

opportunities and other workshops. For example, FinCEN staff attended the 2019 

Intelligence Community (IC) FOIA Officer's Day and 2019 IC FOIA Equity Training Day, 

which focused on topics such as redaction tools; the Glomar response, developments in FOIA

program technology, and search best practices. IRS provided continuing education through 

classes on the use of FOIA Exemption 7(E) and the release of “Public Information Listings”. 

Additionally, new IRS FOIA professionals were trained on general FOIA law and the use of 

FOIA exemptions during IRS Disclosure Phase One and Disclosure Phase Two trainings, 

Disclosure Tax Law Specialists received training on “reasonable descriptions of IRS records” 

and “E-mail and calendar requests”. Treasury Inspector General for Tax Administration staff 

developed their FOIA professionals through workshops and specific training events with 

topics including Electronic Document Review and FOIA Exemption 3.

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.

Ninety-five percent (95%) of FOIA professionals attended substantive FOIA training.

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 FOIA training during the next reporting year.

N/A

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? Please 

describe any such outreach or dialogue, and, if applicable, any specific examples of how this 

dialogue has led to improvements in your agency’s FOIA administration.
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The Department continues to encourage open communication with the requester community 

and continued practice of routinely reaching out to requesters to discuss FOIA processes and 

the specifics of FOIA requests. These communications consisted of providing guidance and 

insight into Treasury’s FOIA processes, narrowing the scope of a request to reduce or 

eliminate processing costs and reducing overall processing times, prioritizing document 

searches, ensuring appropriate consent is on file, and other issues that facilitate efficient 

FOIA administration.

The IRS conducted outreach to the Illinois Practitioner Liaison and Florida State Agencies 

Regional Practitioners Meetings, and provided information on the FOIA process, including 

the FOIA Improvement Act of 2016, FOIA.gov, and the FOIA portal.

During the reporting period, the U.S. Mint’s Disclosure Office frequently engaged in 

dialogue with requesters regarding the administration of the FOIA and the requesters’ right to 

information and appeal rights. The dialogue is usually by telephone and the requesters are 

walked step-by-step through the FOIA process.

Treasury continued to work and collaborate with OGIS to facilitate dialogue with various 

FOIA requesters.

D. Other Initiatives

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

obligations under the FOIA.

Overall, Treasury has taken significant steps to ensure non-FOIA professionals have a full 

understanding of the FOIA requirements in order to provide every response with as much

openness and transparency as possible. Non-FOIA professionals are informed through 

several training methods, including one-on-one, case-by-case, and group training sessions. 

Additionally, there are other avenues of informing non-FOIA professionals of their 

obligations under the FOIA, such as an issuance of a memorandum that reiterates a 

commitment to openness in the government and reinforcing every employee’s responsibility 

to promote transparency; displaying FOIA awareness posters throughout Treasury’s different 

locations; utilizing newsletter and electronic rotator announcements; new employees onboarding training; internal FOIA guides or quick reference guides; and attending mandatory 

briefings through presentations addressing FOIA obligations, e.g. proactive disclosures, 

documenting search efforts. Non-FOIA professionals are always invited to the annual FOIA 

summit to ensure they are abreast of all FOIA requirements and changes that are discussed 

through panels and briefings.

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

presumption of openness is being applied, please describe them here.

Within Treasury, there are continuing initiatives to ensure openness throughout the 

Department. For example, the Secretary’s calendars are posted to provide the public with 

detailed information regarding day-to-day activities of the Treasury Department and the 

Secretary. These calendars reflect scheduled meetings, calls, and events that occurred, 
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including clarifying information. Also, Treasury publishes a list of individuals and 

companies owned or controlled by, or acting for or on behalf of, targeted countries. It also 

lists individuals, groups, and entities, such as terrorists and narcotics traffickers designated 

under programs that are not country-specific. Openness is communicated effectively through 

official social media accounts and internal communications channels that distribute records; 

public datasets used to improve public knowledge of Treasury and its operations, such as 

weekly electronic newsletters and Industry circulars; reviews of investigatory and inspection 

records; and through the use of Treasury’s FOIA Libraries. The FOIA Libraries are another 

essential avenue of ensuring openness with the public by proactively posting training 

material, updated instruction manuals, and records requested by three or more requesters.

Section II: Steps Taken to Ensure that Treasury Has an Effective 

System in Place for Responding to Requests

1. For Fiscal Year 2019, 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 2019 Annual FOIA Report.

Treasury’s average number of days to adjudicate requests for expedited processing is 0.9 

calendar days.

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 your 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.

Yes. The types of methods used to conduct a self-assessments during the reporting period 

included the DOJ OIP FOIA Self-Assessment Toolkit, reviews of annual FOIA report data, 

the review of monthly case inventories, and assessments of FOIA tracking systems, tools, 

and internal processing procedures.

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

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

number of times requesters sought assistance from your agency’s FOIA Public Liaison 

during FY 2019 (please provide a total number or an estimate of the number).

Treasury’s FOIA Public Liaisons received more than 1,300 inquiries during the reporting 

period of which 95% were directed to the IRS’ FOIA Public Liaison.

5. Optional – Please describe.
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• Best practices used to ensure that your FOIA system operates efficiently and effectively.

To ensure the agency’s FOIA system operates effectively and efficiently and requesters 

receive responses as quickly as possible, Treasury decentralized its FOIA process to each 

Bureau and to certain specific Program Offices within DO. Once a request is received,

an analysis of what the requester is seeking is conducted and terms are generated to 

conduct a search. After completing a search for records, analysts are assigned to 

determine responsiveness and provide recommendations to release to the appropriate

authority. Upon approval, responses are submitted electronically to requesters. There is

some variance among Treasury’s Bureaus in how they process FOIA requests. However, 

each bureau collaborates with information technology experts, legal communities,

internal organizations, as well as requesters to ensure the best releasable product is 

provided and made available to the public. Their electronic tracking systems are updated 

or being updated to ensure data is accurate in order to produce timely responses, track 

performance, and address backlog. Additionally, coordinating with Records Officers 

provides added value to the effectiveness of records searches, preserving information and 

retention policy, and identifying records for proactive disclosure.

• Any challenges your agency faces in this area.

Over time systems become antiquated and need to be updated or replaced. DO and IRS

have an initiative to replace its current electronic FOIA system with new technology. 

Their current system lacks the robust technology needed to efficiently track and manage 

FOIA cases effectively.

Section III: Steps Taken to Increase Proactive Disclosures

1. Provide examples of any material that your agency has proactively disclosed during the past 

reporting year, including records that have been requested and released three or more times 

in accordance with 5 U.S.C. § 552(a)(2)(D). Please include links to these materials as well.

• Acquisition Planning Policy

• Active Enrolled Agents Listing

• Annual Transfer of Numismatic Items and Related Materials to the Smithsonian 

Institution

• Assignment Of Technical Personnel For Procurements

• Audit Reports for FY 2019 and FY 2020

• Authorization Of All Production Activities

• BEP Chief Financial Officer Performance and Accountability Report

• BEP Lean Six Sigma Policy

• Bureau Of Engraving And Printing Organization Manual

• Calendars and Travel of the Secretary

• CDFI Fund Previously Released Applications

• CDFI News Release on Annual CIIS Public Data Release

• CDFI News Release on CDFI Fund Releases Summary Report
11

• Congressional Requests for Testimony, Comments on Proposed Legislation, and Budget 

Submissions

• Contracting Officer Technical Representative Certification Program

• Corporate Bank Applications and Securities Filings

• Country-by-Country Reporting Guidance

• Delegations Of Authority

• Departmental Offices FOIA Logs

• Disclosure Of Procurement Information

• Document 6209 - ADP and IDRS Information 

• Donation to Treasury from the Trump Organization 

• Exchange of Mutilated Paper Currency Regulation – Request for Examination of 

Mutilated Currency for Possible Redemption

• Exhibition Program

• External Communications Policy

• Federal Firearms and Ammunition Excise Tax (FAET) on handguns, long guns/other 

firearms, and ammunition from FY 1991 to the 2nd Quarter of FY 2019 (calculated per 

returns)

• Fiscal Service Purchase Card Holder Listing (PDF)

• FOIA Obligations and Transparency - March 2019

• FY 2019 Statutory Review of Denials of FOIA and IRC Section 6103 Requests

• General Litigation Training

• Guidelines for the Use of the Bureau of Engraving and Printing Representation Fund

• Implementing The Competition In Contracting Act (CICA)

• IRS FOIA Logs

• IRS General Records Schedules

• List of Alcohol Industry Members

• Matured, Unredeemed Debt and Unclaimed Money Reports

• Monthly FHA Debenture Reports (PDF)

• Petition to Establish California Shenandoah Valley American Viticultural Area

• Petition to Establish Tehachapi American Viticultural Area

• Petition to Establish the El Dorado American Viticultural Area

• Petition to Establish the Fiddletown American Viticultural Area

• Policy For BEP Courtesy Floor Tours In Production Areas

• Procedures For Processing Proposed Organizational Changes

• Public Sales Program – Processing Sales

• Quarterly Marijuana Banking Information 

• Receipt And Handling Of Unsolicited Proposals

• Receipt, Handling, And Transport Of Mutilated Currency Received Through Bureau Of 

Engraving And Printing Mail

• Regulations Governing Conduct In Bureau Of Engraving And Printing Buildings And On 

The Grounds Of Washington, Dc And Fort Worth, Texas

• Reimbursement Procedures For Payment Of Bar Dues And Court Membership Fees

• Reimbursement Procedures For Professional Liability Insurance

• Return Preparer PTIN Listing

• SIGTARP Reports to Congress
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• Social Media Policy

• Tax Cuts and Jobs Act (TCJA) Training Material

• The Annual Report to Joint Committee on Taxation - Disclosures of Tax Information

• Third Party Data Store (TPDS) Extracts

• TIGTA 2018 FOIA Log

• TIGTA List of Purchase Cardholders

• Unauthorized Procurement Commitments

2. 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.

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

There are several on-going efforts to ensure the posted materials are Section 508 complaint 

and searchable. For example:

• IRS is updating its FOIA Library to provide a more user friendly experience, which will 

make proactively disclosed documents easier to locate. IRS also plans to promote the 

FOIA Library through social media and IRS.gov announcements.

• TIGTA posts releasable records in commonly accessed formats (e.g., PDF, CSV), along 

with metadata. Also, certain documents may be provided with added search ability 

features, such as Optical Character Recognition. 

• TTB requesters asked that the agency make certain datasets available in machine readable 

format (HTML versus PDF). TTB reviewed the matter and determined that the agency 

was unable to make the information available in HTML format at that time. In order for 

the public to be able to access the data, TTB provided a download to a website (HTML 

page), rather than providing a download URL for each monthly report it published. 

Additionally, due to the type of records TTB handles (e.g. taxpayer records), proactive 

disclosure is an ongoing effort.

4. Optional -- Please describe:

• Best practices used to improve proactive disclosures.

• IRS established a forum to meet quarterly with IRS business unit points of contact to 

discuss proactive disclosure requirements and FOIA processing. IRS also conducted 

a review of Internal Revenue Manuals to ensure procedural changes are appropriately 

disclosed on the FOIA Library. The IRS Disclosure Policy team has been involved in 

discussions with many IRS offices in regards to the Tax Cuts and Jobs Act as well as 

the Taxpayer First Act to ensure they proactively disclose new training materials and 

documents showing how business will be conducted at the IRS following the 

changes. The IRS Chief Privacy Officer issued the “FOIA Obligations and 

Transparency” memo to all IRS employees to remind them of their responsibilities in 
13

proactively disclosing information as well as releasing information directly to 

requesters who have a right to that information.

• TIGTA uses its FOIA System to track requests and redact and store responsive 

documents. They utilize the system’s search tool to retrieve requests for similar 

records to ensure frequently requested records are available in its Library.

• TTB receives numerous requests annually to compile, sort, and publish data in 

different formats. Based on mission requirements and on occasion, TTB will 

proactively disclose records in the requested format.

• OCC’s Disclosure Office always considers whether the information being released 

would be of interest to a much broader audience. Additionally, OCC has made its 

public facing website much more useful and is making additional banking 

information available by bank name, enforcement actions taken against it, 

Community Reinvestment Act Evaluations and Corporate applications all available as 

a result of an institution search.

• Any challenges your agency faces in this area

• IRS FOIA requests primarily deal with records protected under Title 26, United 

States Code, §6103. These records are legally required to be protected and cannot be 

proactively disclosed.

• The majority of TIGTA FOIA requests seek law enforcement records on or about 

individuals, which cannot be disclosed publicly (i.e. information on complaints or 

investigations protected by the Privacy Act).

• Certain data is almost always requested in HTML versus PDF format. Based on how 

TTB categorizes the information, they provided the public with a download website 

(HTML page) instead because of current technology limitations. This website 

identifies the monthly published reports that are frequently requested.

Section IV: Steps Taken to Greater Utilize Technology

1. Is your agency leveraging or exploring any new technology to facilitate efficiency in its FOIA 

administration that you have not previously reported? If so, please describe the type of 

technology.

Yes. Treasury is working to implement new FOIA request tracking systems. The new FOIA 

solution will enhance compliance with FOIA and Privacy Act laws, including the FOIA 

Improvement Act of 2016, as well as records retention policies. This system will replace 

Treasury’s current FOIA Management Systems, increase operation efficiencies in processing 

FOIA cases, improve customer service by reducing response time to customer requests, 

enrich customer experience by allowing the public to submit and track FOIA cases, then 

receive documents via Treasury FOIA public website, provide interoperability with National 

FOIA Portal (FOIA.gov) and Pay.gov, enhance transparency through simplified release of 

508-compliant documents to the public, and improve Treasury’s annual and ad-hoc reporting 

process via automation and standardization.

Additionally, TIGTA created a wiki, which allows the search of Disclosure policies and 

procedures by key words to locate instructions, training materials, templates, standard 
14

language, and guidance. Recently TIGTA added a section on definitions, case summaries, 

and three new Standard Operating Procedures. The wiki has proven to be a valuable tool in 

improving TIGTA’s FOIA administration.

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 user-friendly. Has 

your agency reviewed its FOIA website(s) during the reporting period to ensure it addresses 

the elements noted in the guidance?

Yes.

3. Did your agency successfully post all four quarterly reports for Fiscal Year 2019?

Yes

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 2020.

N/A, all quarterly reports were successfully posted.

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 2018 Annual FOIA Report and, if available, for your agency’s Fiscal 

Year 2019 Annual FOIA Report.

Treasury's Fiscal year 2018 Annual Report

Note: The raw statistical data has been posted for the 2018 Annual FOIA Report. However, 

Treasury’s current system is not robust enough to capture all data referenced in the annual 

report. To correct this, Treasury is purchasing a new FOIA System as discussed above that 

will correct this deficiency. 

6. Optional -- Please describe:

• Best practices used in greater utilizing technology.

OCC employed the use of a new payment module that interfaces directly between its 

FOIA request tracking system and www.Pay.gov. As a result, OCC has been able to 

accept electronic payment at the time a request for certified documents is received. Thus, 

the agency no longer has to wait for checks to clear. Further, with that module connected 

to its online ordering system, OCC no longer has to worry about inputting cases, but 

rather, this is done by the requester at the time of submission. As a result, the agency has 

seen a dramatic drop in the number of requests submitted by U.S. mail. In addition, the 

agency has gone to only electronic payment for its FOIA processing. This has also cut 

down the amount of time staff uses to contact requesters to arrange for payment. The 

new module also allows staff to monitor when payments are actually received.
15

TIGTA has collaborated with its information technology staff to conduct email queries on 

all Bureau employee email, using specific key words or email addresses to locate 

responsive records. This process is a much more effective and efficient in use of the 

agency’s resources with quicker turnaround times.

IRS consistently works with the inventory management system database administrators to 

ensure FOIA professionals have the tools necessary to work complex requests, requests 

with voluminous responsive records or with responsive records provided on media other 

than paper. IRS continues to utilize Microsoft SharePoint to transfer documents between 

areas quickly and to ensure training is accessible to FOIA professionals on a continuous 

basis.

• Any challenges your agency faces in this area.

IRS is required to protect any information that meets the criteria of Title 26, United States 

Code, §6103. This results in potential delays and complications with any technology that 

does not meet Information Technology standards to also protect the information.

Section V: Steps Taken to Improve Timeliness in Responding to 

Requests and Reducing Backlogs

A. Simple Track

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

The Department uses a separate track for simple requests, except IRS.

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 Fiscal Year 

2019?

Yes.

3. Please provide the percentage of requests processed by your agency in Fiscal Year 2019 that 

were placed in your simple track.

Treasury processed 20% of its requests in the simple track.

4. If your agency does not track simple requests separately, was the average number of days to 

process all non-expedited requests twenty working days or fewer?

For the one Treasury Bureau (IRS) that does not track simple requests, the average number of 

days to process all non-expedited requests was 39.

B. Backlogs
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BACKLOGGED REQUESTS

5. If your agency had a backlog of requests at the close of Fiscal Year 2019, did that backlog 

decrease as compared with the backlog reported at the end of Fiscal Year 2018?

Yes.

6. If not, did your agency process more requests during Fiscal Year 2019 than it did during 

Fiscal Year 2018?

N/A

7. If your agency’s request backlog increased during Fiscal Year 2019, 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

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 2019. If 

your agency has no request backlog, please answer with “N/A.”

Treasury’s backlog percentage is 12 percent. 

BACKLOGGED APPEALS

9. If your agency had a backlog of appeals at the close of Fiscal Year 2019, did that backlog 

decrease as compared with the backlog reported at the end of Fiscal Year 2018?

No.

10. If not, did your agency process more appeals during Fiscal Year 2019 than it did during 

Fiscal Year 2018?

No.

11. If your agency’s appeal backlog increased during Fiscal Year 2019, 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 appeals.
17

• 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

With a loss of staff, Treasury was focused on reducing backlogged requests and processing 

appeals. After the government shutdown in late 2018 through early 2019 ended, the staff 

worked diligently to process backlogged appeals quickly.

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 2019. If 

your agency did not receive any appeals in Fiscal Year 2019 and/or has no appeal backlog, 

please answer with "N/A."

Treasury’s appeal percentage is 68 percent.

C. Backlog Reduction Plans

13. In the 2019 guidelines for Chief FOIA Officer Reports, any agency with a backlog of over 

1000 requests in Fiscal Year 2018 was asked to provide a plan for achieving backlog 

reduction in the year ahead. Did you 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 2019?

In FY 2018 Treasury had a backlog of 1,445 cases and implemented a backlog reduction plan 

for FY 2019. As a result, bureau-specific goals for backlog reduction were established and 

communicated, FOIA self-assessments using DOJ’s FOIA self-assessment toolkit initiated, 

and the plan to establish a rapid response team of FOIA Analysts to address significant and 

high profile cases implemented. Treasury’s Disclosure Manager identified challenges 

affecting the backlog and focused on reducing the overall number of backlogged requests, 

with specific emphasis on the ten oldest requests, appeals, and consultations. The Disclosure 

Manager also hired and trained additional FOIA contractors to assist with the reduction of the 

backlog. Additionally, the Disclosure Manager focused on program area outreach and

following up on overdue search responses. As a result of these efforts DO was able to close 

39% more cases in FY19 as compared to FY18 and reduced its backlog by 10%. Treasury 

reduced its backlog by 1%.

14. If your agency had a backlog of more than 1,000 requests in Fiscal Year 2019, what is your 

agency’s plan to reduce this backlog during Fiscal Year 2020?

At the end of FY 2019, Treasury had a backlog of 1,427 requests, Treasury will take the 

following actions targeted to reduce the backlog of pending requests:

• Treasury’s Chief FOIA Officer will establish and communicate bureau-specific goals for 

backlog reduction.

• Complete a FOIA self-assessment within DO using DOJ’s FOIA self-assessment toolkit.
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• Identify challenges affecting the backlog and focus on reducing the overall number of 

backlogged requests, with specific emphasis on the ten oldest requests, appeals, and 

consultations. 

• Conduct targeted training and outreach to improve the timeliness of searches.

D. Status of Oldest Requests, Appeals, and Consultations

OLDEST REQUESTS

15. In Fiscal Year 2019, did your agency close the ten oldest requests that were reported 

pending in your Fiscal Year 2018 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 2018 Annual FOIA Report. If 

you had fewer than ten total oldest requests to close, please indicate that.

Treasury closed four (4) of its 10 oldest requests in Fiscal Year 2019.

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

the overall age of your pending requests.

Treasury hired additional personnel to assist with reducing the overall age of pending 

requests. Each Bureau worked closely with subject matter experts, attorneys, and FOIA 

analysts, including external agencies when consultations were necessary.

TEN OLDEST APPEALS

18. In Fiscal Year 2019, did your agency close the ten oldest appeals that were reported pending 

in your Fiscal Year 2018 Annual FOIA Report?

No

19. 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 fewer than ten total oldest appeals to close, please indicate that.

Treasury closed three (3) of its 10 oldest appeals in Fiscal Year 2019.

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

the overall age of your pending appeals.

As discussed earlier, Treasury hired additional personnel to assist with reducing the overall 

age of pending requests, including appeals. Each Bureau worked closely with subject matter 

experts, attorneys, and FOIA analysts, including external agencies when consultations were 

necessary. 
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TEN OLDEST CONSULTATIONS

21. In Fiscal Year 2019, did your agency close the ten oldest consultations that were reported 

pending in your Fiscal Year 2018 Annual FOIA Report?

No.

22. 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 2018 Annual FOIA 

Report. If you had fewer than ten total oldest consultations to close, please indicate that.

Treasury closed six (6) of its 10 oldest consultations in Fiscal Year 2019.

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

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

and consultations from Fiscal Year 2019.

Treasury continues to experience challenges closing its ten oldest requests, appeals, and 

consultations. Many of the requests require multiple searches, additional coordination 

internally or externally through consultation, collaboration on the use of exemptions, and 

determining records for proactive disclosure. Additionally, Treasury possesses a significant 

numbers of records that are classified and contain national security, law enforcement, or 

confidential business sensitivities, as well as materials that originate from other federal 

agencies. These complexities affect the timeliness of reviews and how quickly the agency 

responds to requesters. Other challenges include: an increase in the volume and complexity 

of requests, an increase in the number of requests subject to litigation, and FOIA staff 

turnover due to retirements and different job opportunities.

Also, financial institutions and other entities are often required to provide or submit 

confidential business information to Treasury, which could cause business submitters 

substantial competitive harm if inappropriately released. Based on the additional review 

required by the FOIA under the ‘submitter notice’ process, substantial time is added to the 

processing of these requests, particularly when multiple notices are required and/or there are 

a voluminous number of records.

Added to the obstacles discussed, Treasury’s FOIA process is de-centralized. Coordinating 

searches and document reviews are often complicated and time consuming. Not to mention, 

the end of 2018 and beginning of 2019 shutdown resulted in up to 35 days of lost 

productivity, which affected Treasury’s ability to clear these cases (oldest 10 requests, 

appeals, and consultations). 

24. If your 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
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25. 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 2020.

During FY 2020, Treasury will take the following actions targeted to reduce the backlog of 

pending requests, appeals, and consultations:

• Treasury’s FOIA Officers will reiterate and communicate bureau-specific goals for 

backlog reduction.

• Complete a FOIA self-assessment within DO using DOJ’s FOIA self-assessment toolkit.

• Identify challenges affecting the backlogs and focus on reducing the overall number of 

backlogged requests, with specific emphasis on the ten oldest requests, appeals, and 

consultations. 

• Conduct targeted training and outreach to improve the timeliness of searches.

• Continue working on improving and/or replacing the electronic system currently being 

used by headquarters and bureaus with a more versatile FOIA System.

• Focus more resources on complex, higher level work, addressing the FOIA backlog and 

place elevated emphasis at each management level to obtain timely reviews.

• Monitor metrics and increase the frequency of case status updates on the oldest ten 

requests, appeals, and consultations since these cases are complicated and demand high 

concentration and focus to successfully provide appropriate responses to requesters.

F. Success Stories

The Internal Revenue Service

The Tax Cuts and Jobs Act (TCJA) of 2017 had a major impact on IRS operations. Some 

of the major changes included reducing tax rates for businesses and individuals, increasing

the standard deduction and family tax credits, eliminating personal exemptions that made it 

less beneficial to itemize deductions, limit deductions for state and local income taxes and 

property taxes, and numerous other changes.

The impact of the TCJA was felt IRS-wide. New forms and instructions had to be created, 

multiple Internal Revenue manuals had to be revised, training materials created, and 

employees all over the country needed to be trained.

While IRS employees worked hard to make the changes required to comply with the 

TCJA, IRS FOIA staff worked to quickly make TCJA training materials publicly available 

on IRS.gov. By proactively posting the TCJA training materials online, tax professionals 

and the general public gained a better understanding of how IRS implemented changes 

mandated by the TCJA. IRS also categorized the training materials by audience type, so 

they would be readily available and easy to find. With the major impact the TCJA had on 

the general public, IRS promoted openness of operations and provided an insight into 

major changes to the Internal Revenue Code by proactively posting these training materials

online.
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Additionally, IRS circulated a memorandum to all IRS staff entitled “FOIA Obligations 

and Transparency”, which reiterates IRS’ commitment to openness and reinforcing every 

IRS employee’s responsibility to promote transparency. The memo additionally identifies 

specific categories of IRS records to be disclosed proactively.

Treasury Inspector General for Tax Administration

TIGTA finished FY 2019 without a backlog, closed 96% of all FOIA cases within 20 

business days of receipt, and maintained an average processing time of nine (9) days. 

Additionally, TIGTA created a Disclosure Wiki and hired a new Specialist to process 

requests and assist with other FOIA administration improvements.

Alcohol and Tobacco Tax and Trade Bureau

Historically, American Viticultural Area (AVA) petitions were not made publicly 

available, unless they were requested three or more times under the FOIA. A limited 

number of AVAs were made publicly available at Regulations.gov, but those dockets often 

were missing key documentation of interest to the public, such as petitions, comments, and 

maps. Whenever a request was received for AVA petitions, the FOIA Office had to 

collaborate with the TTB Records Officer to request the applicable records from the 

NARA Federal Records Center. This added significant burden to the workload of FOIA 

and records staff and resulted in increased processing times.

To address this challenge, TTB’s Disclosure Officer collaborated with the TTB AVA 

Manager to create an American Viticultural Area (AVA) reading room. TTB has posted 

copies of publicly available AVA documents, including AVA petitions, NPRMs, public 

comments, and final rules. As a result of this initiative, all TTB AVA petitions are now 

available electronically, which has reduced the number of FOIA requests for this type of 

information significantly.

Departmental Offices

During Sunshine Week in March of 2019, Treasury brought together over two hundred 

FOIA professionals from the Department’s nine bureaus, the Department of Homeland 

Security (DHS), and staff of the Department of Justice’s Office of Information Policy and 

the National Archives and Records Administration’s Office of Government Information 

Services. The summit provided Treasury and DHS FOIA staff the opportunity to hear new 

ideas, share experiences, and discuss best practices in FOIA administration. The event 

included FOIA training sessions on FOIA Exemption 4 and submitter notices, Exemption 

5, several group panel discussions on litigation, appeals, fees, fee waivers, and expedited 

processing.