Department of the Treasury 

 2014 Chief Freedom of Information Act Officer Report 

to the Attorney General of the United States
 

2 

Message from the Chief Freedom of Information Act Officer

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

Department1

) Chief Freedom of Information Act Officer Report to the

Attorney General. 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 2013 through March 2014 (the reporting period).

This reporting period encompasses a time of change for Treasury’s Office

of Privacy, Transparency, and Records (OPTR).  We are pleased to have a

new Deputy Assistant Secretary for Privacy, Transparency and Records

and a new Director for FOIA and Transparency.  Under their leadership, Treasury continues its

tradition of leaning forward to ensure Department compliance with the FOIA and the principles

of openness and transparency.

Inquiries about this report may be directed OPTR at (202) 622‐0930 or

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

Department’s FOIA website at www.treasury.gov/foia.

Nani Coloretti

Assistant Secretary for Management

Chief Freedom of Information Act Officer

Department of the Treasury

 

 

1 In this report, the “Department” or “Treasury” means the entire agency, including all bureaus (components) and

offices.

2 5 U.S.C.§552
 

3 

2014 Chief Freedom of Information Act Officer Report

to the Attorney General of the United States

TABLE OF CONTENTS

Message from the Chief Freedom of Information Act Officer ....................................................... 2

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

Section I:  Steps Taken to Apply the Presumption of Openness .................................................... 7

Section II:  Steps Taken to Ensure that Your Agency has an Effective System for Responding to

Requests........................................................................................................................................ 14

Section III:  Steps Taken to Increase Proactive Disclosure............................................................ 18

Section IV:  Steps Taken to Greater Utilize Technology ............................................................... 24

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

Backlogs ........................................................................................................................................ 26

Use of FOIA's Law Enforcement Exclusions.................................................................................. 33

Spotlight on Success...................................................................................................................... 34
 

4 

FOIA at the Department of the Treasury

FOIA administration is decentralized at the Department of the Treasury.  Nine Treasury Offices

and Bureaus (collectively, Bureaus) 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 (FS)3

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 Treasury program offices that are not otherwise assigned to

another Bureau. 4  This includes, 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 (See Figure 1).  The Deputy Assistant Secretary

for Privacy, Transparency, and Records leads OPTR, and reports directly to the Treasury Chief

FOIA Officer.

Figure 1.  OPTR is responsible for Treasury‐wide policy, guidance, and compliance with the

FOIA.

   

 

3

 In 2013, the Bureau of the Public Debt and the Financial Management Service were consolidated to create FS. 

4

 DO also tracks FOIA requests for the Financial Stability Oversight Council, which received seven requests in FY 

2013 and has received two requests in FY 2014 to date. 

OPTR

Treasury‐wide

Responsibilities

Policy and

Guidance

Training &

Awareness

Oversight &

Compliance

Reporting
 

5 

Treasury received 15,040 FOIA requests in Fiscal Year (FY) 2013.  This figure represents a 9

percent decrease from FY 2012 and continues a downward trend in recent years.   From FY

2009 through the present, Treasury received an average of 17,082 requests per fiscal year (See

Figure 2).

In FY 2013, there was a wide disparity in the number of FOIA requests directed to individual

Treasury Bureaus. For example, IRS received 10,990 requests in FY 2013, or 73% of Treasury’s

total requests.   On the other hand, TTB, BEP, and MINT each received fewer than 250 requests

during the same period (See Figure 3).

0

5,000

10,000

15,000

20,000

25,000

2009 2010 2011 2012 2013

20,075

16,911 16,776 16,610

15,040

Number of Requests

Fiscal Year

Figure 2.  Total Number of FOIA Requests

Received at Treasury
 

6 

The Department closed 14,915 requests in FY 2013, or 93% of the number of requests received

in FY 2013.  TTB, FinCEN, IRS, OCC, and MINT all closed as many or more requests than they

received.

Although incoming requests continue to decline, Treasury is increasing its investment in FOIA

resources.  Currently, forty‐seven Treasury employees work on FOIA issues on a full‐time basis.

These employees are assisted by numerous others who work on FOIA matters part‐time.

Treasury’s FOIA staff for FY 2013 was the full‐time equivalent of 138 employees. This represents

an increase of 16% over FY 2012 staffing levels.

 

0

2,000

4,000

6,000

8,000

10,000

12,000

IRS OCC DO FS TIGTA FinCE

N

MINT BEP TTB

Received 10,990 1,816 941 365 329 301 142 90 66

Processed 11,035 1,822 759 386 310 300 145 90 68

Number of Requests

Figure 3. Number of FOIA Requests Received

and Processed during FY 2013, By Bureau
 

7 

Section I: Steps Taken to Apply the Presumption of Openness

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

reporting period?

Yes.  Please see the full description below.

2. If so, please provide the number of conferences or trainings held, a brief description of the

topics covered, and an estimate of the number of participants from your agency who were

in attendance.  

The Department conducted a number of training sessions on FOIA as well as

transparency and open government principles.   During the Department’s Records and

Information Management Month (RIMM), the Office of Privacy, Transparency, and

Records (OPTR) hosted two sessions focused on FOIA, including a session on exemptions

featuring Melanie Pustay, Director of Office of Information Policy of the Department of

Justice.5 Each of these sessions had 51 and 65 participants, respectively.    RIMM also

included training on OPEN.gov and Data.gov.    These two sessions had more than 50

participants each.  

Treasury employees are encouraged to register for two online training resources

entitled “FOIA Essentials” and “Transparency and Open Government Awareness.”  These

courses include information on the President’s Memorandum6 and the Attorney

General’s Guidelines,7 and FOIA, privacy, and records principles and practices.  They also

describe how these principles interrelate and support transparency and open

government.    These courses are available to all Treasury employees on the online

Treasury Learning Management System (TLMS).

FS held eight training sessions.  The sessions covered FOIA administration, background

on the statute, practices and procedures at FS, and exemptions.

DO FOIA staff attended an all‐day training session developed by OPTR and entitled

“Owning the Challenge.”   This session was designed specifically for DO FOIA staff and

focused on applying customer service and project management principles to FOIA

request processing.   17 employees participated in the training.

FinCEN staff attended the RIMM training offered at Treasury and used the TLMS courses

described above.

 

5 http://www.justice.gov/oip/director‐bio.htm   6 http://www.whitehouse.gov/the_press_office/FreedomofInformationAct   7 http://www.justice.gov/ag/foia‐memo‐march2009.pdf 
 

8 

TIGTA Counsel conducted training on disclosure laws, as well as the handling of

performance and misconduct issues, for TIGTA’s Internal Affairs and Procurement Fraud

Division, a group of approximately 25 employees.   

OCC held two training sessions focused on search and FOIA administration. Each session

had approximately 8 participants.  

IRS conducted several virtual training sessions entitled "Disclosure Technical Updates."

These sessions covered a variety of FOIA topics including:

 Handling FOIA requests for International Records – estimated 50 participants  

 Avoiding unauthorized disclosures in FOIA releases – estimated 145

participants

 FOIA Internal Revenue Manual (IRM) Updates (a review of the changes made

to the IRM as they relate to FOIA) – estimated 145 participants

 Personnel and PIL issues related to FOIA requests – estimated 145

participants

 Disclosure Specialist Training (Phase I and II, core FOIA Training) –estimated

15 participants  

3. Did your FOIA professionals attend any FOIA training during the reporting period such as

that provided by the Department of Justice (DOJ)?

Treasury encourages department employees to attend FOIA training at the U.S.

Department of Justice (DOJ) and promotes such training opportunities at monthly

Treasury FOIA Council meetings.

TTB attended the DOJ “Introduction to Freedom of Information Act” training in March

2013.  Also, an employee attended the Annual National Training Conference in March

2013.   

FS FOIA staff attended the American Society of Access Professionals (ASAP) 6th Annual

National Training Conference in May of 2013.

BEP and FinCEN FOIA staff attended training sessions hosted by DOJ, including FOIA for

Attorneys and Access Professionals.

DO FOIA staff attended training sessions hosted by DOJ, including FOIA for Attorneys

and Access Professionals.  At the start of FY 2014, DO and IRS staff attended the FOIA

annual report and chief FOIA officer report refresher training.  In addition, DO FOIA staff

in OPTR attended training hosted by the Office of Government Information Services

(OGIS).
 

9 

IRS distributed copies of the DOJ video on FOIA “Procedures and Exemptions” to each of

their FOIA offices for viewing by all disclosure employees.  During the reporting period,

IRS held monthly virtual training sessions for IRS FOIA professionals.  In addition:

 2 IRS employees attended the “FOIA Fundamentals” training offered by DOJ.

 1 IRS employee attended Annual FOIA Report training offered by DOJ.  

 1 IRS employee attended the ASAP National Training Conference held in May

2013.

 3 IRS employees attended the ASAP Privacy Training held in December 2013.

OCC FOIA staff attended DOJ and ASAP training.

TIGTA’s Government Information Specialists attended:

 DOJ’s FOIA for Attorneys and Access Professionals

 DOJ/OGIS sponsored FOIA Requester Roundtable

 ASAP training

 Sixth Annual Freedom of Information Day Celebration Program offered by the

Collaboration on Government Secrecy at American University Washington

College of Law

 OIG FOIA Working Group conference (multi‐agency event)

Mint FOIA staff attended FOIA training conferences sponsored by the Department of

Homeland Security and DOJ. The Mint FOIA staff also attended training on the

Department of the Treasury’s FOIA tracking system, goFOIA.

4. Provide an estimate of the percentage of your FOIA professionals who attended substantive

FOIA training during this reporting period.

FS, FinCEN, IRS, OCC, TIGTA, and Mint had 100% of FOIA professionals attend training.

Nearly 90% of DO full‐time FOIA professionals attended FOIA training during the

reporting period.  Approximately 75% of DO employees who work on FOIA issues on a

part‐time basis attended training events during the reporting period.   

Approximately 20% of TTB FOIA professionals attended training during the reporting

period.   

   
 

10 

5. OIP has issued guidance that every agency should make core, substantive FOIA training

available to all their FOIA professionals at least once each year.  Provide your agency’s plan

for ensuring that such training is offered to all agency FOIA professionals by March

2015.  Your plan should anticipate an upcoming reporting requirement for your 2015 Chief

FOIA Officer Reports that will ask whether all agency FOIA professionals attended

substantive FOIA training in the past year.

Treasury developed two training modules entitled, “FOIA Essentials” and “Transparency

and Open Government Awareness,” which Treasury staff are encouraged to complete

on an annual basis. This online training module assists Treasury employees in

understanding the open government principles reflected in the President's

Transparency and Open Government memorandum8 and how these concepts affect

Treasury employees in the performance of their duties.    Treasury plans to continue

offering electronic online training options to all employees.  

In addition, OPTR offers a core curriculum of 8 different in‐person training courses

(constituting 28 hours of instruction) on substantive FOIA topics for FOIA professionals.  

These are available to all Treasury FOIA professionals upon request.   

TTB is in the process of updating/revising FOIA policy and procedures to ensure FOIA

training is included in Individual Development Plans.  TTB plans to provide mandatory in‐

depth training for FOIA liaisons and managers who make decisions on the release of

documents.    This training will focus on exemptions, redactions, and discretionary

release.  TTB will hold monthly meetings of TTB FOIA liaisons. These monthly meetings

will provide ongoing training on FOIA processes and procedures, FOIA exemptions,

discretionary disclosures, and other FOIA‐related topics.    In addition, FOIA awareness

training will be made mandatory for all TTB employees.  

FS, BEP, and OCC plan to have FOIA professionals attend OIP and ASAP training during

2014.

All DO FOIA professionals in OPTR are required to attend at least one DOJ‐sponsored

training event annually.  OPTR FOIA staff also will be provided with at least 10 hours of

in‐person instruction on substantive FOIA topics during FY 2014 and FY 2015, through

the OPTR core FOIA curriculum described above.  In addition, FOIA case managers are

required to attend OGIS‐sponsored training on conflict resolution.    OPTR also is

providing refresher training for all DO FOIA liaisons on Treasury’s FOIA processes and

policies, as well as on Treasury’s FOIA tracking system.       

FinCEN and TIGTA plan to continue using the TLMS course offerings, and plan to attend

Department of Justice training sessions.

 

8 http://www.whitehouse.gov/the_press_office/TransparencyandOpenGovernment 
 

11 

IRS plans to hold a “Virtual FOIA CPE” for all FOIA staff in the upcoming year.    The

training will consist of 8 hours of training on FOIA topics.   

Mint has designed its own mentoring program for its FOIA staff.  It plans to implement

core training through that program.  

6. Did your FOIA professionals engage in any outreach and dialogue with the requester

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

so, please briefly discuss that engagement.

DO FOIA personnel attended a FOIA and Information Technology working group

sponsored by DOJ/OIP.  The group met with members of the requester community to

share ideas and clarify some misconceptions about FOIA administration. Topics included

proactive disclosure, FOIA searches, and posting information to FOIA or agency

websites.

In addition, TIGTA FOIA staff attended a FOIA Requester Roundtable, hosted by DOJ/OIP

and the OGIS, on FOIA fee and fee waiver provisions.    The discussion focused on an

overview of the current fee structure and some of the challenges in administering this

area of the Act.

7. Does your agency have a formal process in place to review records for discretionary

release?  If so, please briefly describe this process.  If your agency is decentralized, please

specify whether all components at your agency have a process in place for making

discretionary releases.

As noted above, Treasury’s administration of FOIA is decentralized.  All Treasury Bureaus

make discretionary release determinations on a case‐by‐case basis.  All Bureaus follow

the Attorney Generals FOIA Guidelines9 in making discretionary release determinations

to ensure that information is released unless the disclosure creates a reasonable

expectation of foreseeable harm to the agency’s interests.  

For example, IRS performs a foreseeable harm analysis of all pre‐decisional documents

prior to applying exemption (b)(5).    Similarly, TIGTA reviews and applies foreseeable

harm analysis to any initial determination that involves withholding information

pursuant to FOIA Exemptions 2 or 5.  TIGTA FOIA staff also consult with the custodians

of responsive records to gain a better understanding of the records and to support

recommendations for discretionary release.  These reviews ensure the presumption of

openness is routinely and consistently applied to the processing of FOIA responses.  

 

9

 The Attorney Generals FOIA Guidelines were issued on March 19, 2009. They are available at 

http://www.justice.gov/ag/foia-memo-march2009.pdf. 
 

12 

8. During the reporting period did your agency make any discretionary releases of

otherwise exempt information?

Yes.  TTB, FS, FinCEN, IRS, and Mint all made discretionary releases.    

9. What exemptions would have covered the information that was released as a matter of

discretion?

 TTB, FS and Mint released materials otherwise subject to exemption 5.

 FinCEN and TIGTA released materials otherwise subject to exemptions 2 and 5.

 IRS released materials otherwise subject to exemptions 2, 5, and 7.

10. Provide a narrative description, or some examples of, the types of information that your

agency released as a matter of discretion.  

For example, TTB released internal, pre‐decisional documents related to rulemakings

and other significant decisions that would otherwise be withheld in their entirety

pursuant to FOIA Exemption 5.  

FinCEN provided discretionary release of strings of emails consisting of inter‐agency

deliberations concerning privacy training for the use of a database; such information

could have been withheld under exemption 5.    FinCEN also released communications

involving meeting arrangements that could have been withheld under exemption 2.  

These records shed light on which agencies were involved in the meetings.  

IRS employee surveys and information about agency flu shots were released, where it

was determined that release would not cause foreseeable harm.    Similarly, some

investigative audit reports were released because the disclosure would cause no

foreseeable harm.

Mint released marketing studies and surveys pertaining to the 50 State Quarters

Program as well as the United States Mint $1 Coin Programs, which in the past may have

been withheld or redacted under exemption 5.  

TIGTA released deliberations between employees at various levels of the organization

when there was no foreseeable harm in releasing the information. For example, TIGTA

released emails between IRS and TIGTA regarding the potential referral of documents

under the FOIA, as well as notes detailing the decision‐making process on requests for

expedited processing and fee waivers.

   
 

13 

11. If your agency was not able to make any discretionary releases of information, please

explain why.  

OCC records often contain bank examiner information and law enforcement information

that is collected during audits and investigations.  Generally, this type of information is

not appropriate for discretionary release.

12. Did your agency post all of the required quarterly FOIA reports for Fiscal Year 2013?   If

not, please explain why not and what your plan is for ensuring that such reporting is

successfully accomplished for Fiscal Year 2014.

Treasury OPTR did prepare quarterly reports for FY 2013; however, that information was

not made available online.  Treasury is taking steps to make the information available to

the public.  During FY 2014, the timely completion of the quarterly report will be added

as a performance metric in OPTR FOIA staff performance plans.   In addition, multiple

employees will be trained to complete the report.

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

of openness is being applied. If any of these initiatives are online, please provide links in

your description.  

Treasury strongly supports increased transparency in government.  For this reason, the

Department is amending its FOIA regulations to incorporate provisions of the OPEN

Government Act and related policy memoranda. These revisions will also institute

systemic reviews of the business submitter process and ensure all new FOIA staff are

required to complete relevant training on their roles and responsibilities for FOIA

processing.

TTB promotes openness and transparency by providing online application submissions

and interactive tutorials, webinars, and FAQs to connect the public to our information

and services.   See TTB Open Government webpage at www.ttb.gov/open/index.shtml.  

TTB also offers several news sources, such as TTB Newsletters, to keep the public

informed.    Anyone can subscribe to TTB newsletters by visiting

www.ttb.gov/publications/newsletter.shtml

DO is committed to implementing the historic Dodd‐Frank Wall Street Reform and

Consumer Protection Act10 in an open and transparent manner.    DO proactively

discloses information concerning meetings with private sector individuals or entities and

nongovernmental organizations (except media) that are set up for the purpose of

discussing policy implementation of the Dodd‐Frank Act.   This disclosure policy applies

to in‐person meetings involving DO employees at the Deputy Assistant Secretary or

higher rank, including Counselors to the Secretary and Special Advisors to the

 

10 Pub. L. 111-203, 124 Stat 1376 (July 21, 2010); 12 U.S.C. § 5301 
 

14 

Secretary.   Meeting disclosures are posted to the Department’s website at

http://www.treasury.gov/initiatives/wsr/Pages/transparency.aspx and include

information such as:    the date of the meeting, names of all covered Treasury

participants, names and affiliations of all non‐Treasury participants, and a list of the

primary topics of conversation related to Dodd‐Frank implementation.  

FinCEN has launched a webpage that provides a listing registered money services

businesses (MSBs). FinCEN's MSB Registrant Search Web page allows MSBs, banks,

regulators, law enforcement, and the general public to more efficiently access, search,

verify, download, and print MSB registration information.

IRS has undertaken a number of initiatives to promote openness and improve services

to the public.    In the spring of 2013, IRS released and promoted a video for IRS

employees that discussed each employee’s responsibility to provide access to records

from open administrative files outside of the FOIA process.  IRS also developed a new

public webpage, entitled Routine Access to IRS Records, to inform the public of

procedures designed to streamline access to frequently requested records outside of

the FOIA process.  Similarly, IRS launched a Respond Directly website for IRS employees.  

This website provides IRS employees guidance and instruction about when it is

appropriate to provide taxpayers and their representatives direct access to certain

documents outside of the FOIA process.  Responding directly to taxpayers outside of the

FOIA process has reduced the burden on taxpayers and IRS employees and has saved

time and taxpayer money.

SECTION II: Steps Taken to Ensure That Your Agency has an Effective System for

Responding to Requests

14. Has your agency converted all of its FOIA professionals to the new Government

Information Specialist job series?

DO is in the process of transforming its FOIA administration from a decentralized

structure to a centralized unit.    In the first quarter of FY 2014, the human resources

offices approved new position descriptions for all OPTR FOIA professionals under the

government information specialist job series.    Current employees will be transferred

into the new position descriptions during the second quarter of FY 2014.  All new FOIA

positions will be hired under the new job series.   

Upon completion of the conversion, DO plans to share the completed position

descriptions with Treasury Bureaus and to encourage the Bureaus to modify their FOIA

positions, where appropriate.

   
 

15 

15. If not, what proportion of personnel has been converted to the new job series?   

DO is in the process of converting 100% of FOIA professionals to the new job series.   In

addition, TIGTA has converted 100% of its FOIA professionals to the new job series.

16. If not, what is your plan to ensure that all FOIA professionals’ position descriptions are

converted?    

Three Treasury Bureaus are in the process of converting FOIA positions to the new job

series.  TTB converted one FOIA position description to the new job series in FY 2014. As

noted above, DO is in the process of converting all of its FOIA positions to the new job

series.  IRS had planned to begin conversion to the new job series in late FY 2013, but

has placed those plans on temporary hold due to other organizational priorities.   

Three Treasury Bureaus—BEP, FS, and Mint—are in the process of assessing FOIA

staffing needs and reviewing FOIA position descriptions.  These Bureaus are considering

conversion to the new job series as part of those efforts.    

Two Treasury Bureaus have declined to convert positions to the new job series.    The

FOIA professional position description for FinCEN was created in 2010 and is classified as

a Management Specialist (FOIA, Privacy Act, & Records Management).  Similarly,  

OCC recently converted its FOIA professionals from Public Affairs Specialists to

Management Specialists (FOIA).   

17. For Fiscal Year 2013 did your agency maintain an average of ten or less calendar days to

adjudicate requests for expedited processing?  If not, describe the steps your agency will

take to ensure that requests for expedited processing are adjudicated within ten

calendar days or less.

The Department‐wide average number of days to adjudicate expedited processing

requests was 2.63 business days.

18. Has your agency taken any steps to make the handling of consultations and referrals

more efficient and effective, such as entering into agreements with other agencies or

components on how to handle certain categories or types of records involving shared

equities so as to avoid the need for a consult or referral or coordinate the process to

eliminate it altogether?   Do you use e‐mail or other electronic means to communicate

with requesters when feasible?

Treasury is still exploring methods to increase efficiencies concerning the process of

consultations and referrals.    Department‐wide, open requests for consultation

decreased 28% in FY 2013.11

 

11 Open requests for consultation fell from 324 in FY 2012 to 232 in FY 2013. 
 

16 

For example, earmarking consultation requests within Treasury’s FOIA request tracking

system has improved the timely processing of those requests; particularly in situations

where the request complexity and document volume are low.  This allows FOIA staff to

shift the request into the simple track.

In addition, FinCEN established an agreement with the Office of Personnel Management

(OPM) that allows OPM’s FOIA staff to process certain FinCEN documents without going

through the consultation process.

19. Use of Electronic technology and email with requesters.

Treasury FOIA professionals routinely correspond with FOIA requesters via e‐mail. DO

accepts FOIA requests submitted via email and will routinely transmit acknowledgement

letters and response letters via email.  DO also accepts FOIA requests via the Treasury

Online FOIA request form at www.treasury.gov/foia.

20. Does your agency notify requesters of the mediation services offered by the Office of

Government Information Services (OGIS) at NARA?

Treasury includes OGIS’s contact information in all FOIA response letters.

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

operates efficiently and effectively, such as conducting self‐assessments to find greater

efficiencies, improving search processes, eliminating redundancy, etc.

Treasury has consistently invested in technology improvements to ensure the most

efficient process possible for tracking and administration of FOIA.    Phase 1.2 of

Treasury’s goFOIA electronic system was implemented during FY 2013.    This

enhancement greatly improved system reporting capacity.  Treasury has also developed

an online portal that allows FOIA requesters to submit FOIA requests online.   

In conjunction with improvements to the goFOIA system, Treasury revised its weekly

and monthly internal FOIA report templates to provide more accurate, streamlined and

meaningful information to Treasury leadership.    The new reports focus on providing

comparable measures for all Treasury Bureaus and Offices, to allow leadership to

accurately gauge FOIA production and backlog levels on a regular basis.

Treasury Bureaus also implemented a number of initiatives to gain efficiencies in the

search process, streamline internal workflows by utilizing self‐assessment and Lean Six

Sigma techniques, and improve processing by cultivating partnerships with legal staff.  

Some of these initiatives are highlighted below:
 

17 

TTB has implemented a robust review process that includes the active collaboration and

participation by TTB FOIA Officer and TTB’s Office of Chief Counsel. The review process

ensures a foreseeable harm review and analysis has been completed for all withheld

and partial release documents.

TTB also has conducted assessments of the FOIA operation through regular reviews of

closed cases, by running quarterly progress reports similar to the FOIA Annual Report,

and by conducting frequent staff meetings to discuss issues, accomplishments, and

improvements.

BEPs Disclosure Officers continue to embrace new technology to administer the FOIA

program.  The Disclosure Officers and the Office of the Chief Counsel are in the process

of reviewing and updating BEP Circular 40.006A, dated May 2, 1991, Processing Public

Inquiries Under the Freedom of Information and Privacy Acts.    

DO launched its FOIA Transformation initiative in FY 2014.  DO FOIA Transformation is

focused on improving the quality and efficiency of FOIA processing and customer service

in DO.    The first step in this effort was the restructuring of DO FOIA roles and

responsibilities to create a new team of FOIA case managers.    Beginning October 1,

2013, every active FOIA request in Treasury was assigned a case manager. These case

managers are responsible for proactively tracking the status and progress of their

assigned cases and troubleshooting and resolving issues with the processing of the

request.  For cases that are in backlog, the case manager is responsible for determining

causes for the delay and making recommendations for escalation or additional

resources to resolve the problem.    Case managers also are responsible for

communicating with requesters and coordinating efforts and communications between

Treasury Bureaus and Offices for requests involving more than one Treasury entity.  All

OPTR FOIA staff underwent customer service and project management training in

support of this new role.    Similarly, OPTR initiated extensive outreach to DO program

office FOIA liaisons to educate them on the new case manager role and to provide

refresher training and assistance with use of the goFOIA system.  

DO FOIA Transformation also envisions the consolidation of FOIA processing functions

for DO within OPTR.    Consolidation of FOIA processing will result in efficiencies from

consistent management and training of FOIA professionals and contractors and

elimination of redundant FOIA functions spread throughout DO.  In December 2013, DO

completed consolidation of FOIA processing for its nine Domestic Finance‐related

offices.   

In addition, OPTR underwent a significant reorganization in January 2014.  One of the

primary purposes of this reorganization was to provide additional staffing support to the

DO FOIA and Transparency team.  As a result, four additional full‐time employees were

reassigned to the FOIA and Transparency team in OPTR.   
 

18 

FinCEN is establishing FOIA liaisons in offices to assist with FOIA searches as a duty as

assigned.

The IRS has identified complexity factors and aligned these factors to two categories of

FOIA casework  ‐  complex and single stakeholder.    This has allowed IRS to more

effectively manage its inventory by focusing on the work that it can control.    IRS

continues to work with IRS Business Units to notify the different functions of pending

FOIA requests, permitting immediate high level management intervention on gathering

responsive records.  IRS continues to optimize its resources by balancing its inventory

Nationwide based on staff availability.

OCC conducted a business improvement initiative using lean six sigma methodologies to

self‐evaluate FOIA administration including refining the search process.

Mint’s FOIA professionals work on self‐assessments for the administration of FOIA.  To

improve Mint’s search processes, open forums for feedback with other Mint employees

involved in FOIA are held periodically.  The information gathered from the feedback is

used in the self‐assessments to gain performance improvements and establish goals.

Section III:  Steps Taken to Increase Proactive Disclosure

22. Do your FOIA professionals have a system in place to identify records for proactive

disclosures?  

All Treasury FOIA Offices have systems in place that provide for proactive disclosure.

23. If so, describe the system that is in place.

BEP proactively posts records that have been located and processed in response to a

FOIA request when those records are, or are likely to become, the subject of subsequent

requests for substantially similar records.

DO reviews calendars of specific Treasury officials, as well as FOIA logs and reports, on a

monthly and quarterly basis and posts such materials to the FOIA electronic reading

room.

FinCEN proactively posts records concerning FinCEN enforcement actions on its public

website.

IRS Disclosure Office has a staff member assigned to the Internal Management

Document Council, a group with representation from all IRS functions responsible for

managing Service‐wide instructions to staff and other IRS documents. One of the

responsibilities is to address FOIA responsibilities identifying the various offices’

materials that may be posted proactively.
 

19 

OCC conducts case‐by‐case reviews and will proactively disclose information when there

are two or more requests for similar information.

TIGTA proactively posts a number of reports, as described below.    TIGTA does not,

however, have a system for proactive disclosure of investigatory records, which

constitute the majority of its FOIA requests.  Such records generally are not appropriate

for proactive public posting.  

Mint’s Office of Corporate Communications and Sales and Marketing Department

determine what records are appropriate for proactive posting. The Office of Chief

Counsel also works with Mint offices to determine if certain records should be

proactively disclosed.

24. Provide examples of material that your agency has posted this past reporting period,

including links to where this material can be found online.  

TTB:

Petitions to Establish American Viticulture Area (AVA):

http://www.ttb.gov/foia/err.shtml

Federal Register publications and other TTB documents such as directives and

industry circulars, administrative cases, statistical data/reports, and public

comments submitted in response to Notices of Proposed Rulemaking:

http://www.ttb.gov/industry_circulars/archives/2013/13‐01.html

http://www.ttb.gov/regulations_laws/rulemaking.shtml

http://www.ttb.gov/rrd/decisions.shtml  

Additional information:  http://www.ttb.gov/foia/err.shtml and

http://www.ttb.gov/statistics/reports.shtml

FS:  

Monthly FHA Debenture Reports:

http://www.treasurydirect.gov/foia/foia_fhadr.pdf   

DO:

Final Opinions of Office of Foreign Assets Control links:

http://www.treasury.gov/resource‐center/sanctions/SDN‐List/Pages/default.aspx

http://www.treasury.gov/resource‐center/sanctions/Pages/legal‐index.aspx

   
 

20 

Statements of Policy and Interpretation/Acquisition Procedures (DTAP):

http://www.treasury.gov/about/organizational‐

structure/offices/Mgt/Documents/DTAP%20April%202013.pdf

http://www.treasury.gov/about/organizational‐

structure/offices/Mgt/Documents/APU%2013‐

02%20Class%20Deviation%20Exempting%20PSCs%20from%20PPIRS%2022May2013

%20signed%205.22.13.pdf

http://www.treasury.gov/about/organizational‐

structure/offices/Mgt/Archive/APU%2013‐04.pdf

http://www.treasury.gov/about/organizational‐

structure/offices/Mgt/Documents/APU%2013‐

05%20EHS%2030Sept13%20Signed.pdf

Statements of Policy and Interpretation:

http://www.treasury.gov/resource‐center/sanctions/Pages/default.aspx

http://www.treasury.gov/resource‐center/sanctions/CivPen/Pages/civpen‐

index2.aspx  

Policy Handbooks and Guides:

http://www.treasury.gov/about/organizational‐

structure/offices/Mgt/Documents/IAA%20Guide%20‐%20March%202013.pdf   

http://www.treasury.gov/about/organizational‐

structure/offices/Mgt/Documents/TIPR%2004‐15‐2013.pdf

http://www.treasury.gov/about/organizational‐

structure/offices/Mgt/Documents/HIA_DTAP%20April%202013.pdf

Frequently requested documents:

http://www.treasury.gov/FOIA/Pages/ofac‐index.aspx

http://www.treasury.gov/FOIA/Documents/2012‐08‐

054%20Production%206%20of%20N%20(07192013).pdf

FinCEN:  

Contact information: http://www.fincen.gov/contactus.html  

Link to filing a FOIA request online:

http://www.fincen.gov/foia/foia_filingrequest.html  

MSB registrations

http://www.fincen.gov/financial_institutions/msb/msbstateselector.htm  

Record retention schedules: http://www.archives.gov/records‐

mgmt/rcs/schedules/index.html?dir=/departments/department‐of‐the‐treasury/rg‐

0559

OCC:

Merger applications, branch applications, mutual to stock conversion applications,

and securities filings: https://foia‐pal.occ.gov/palMain.aspx
 

21 

   

TIGTA:

Audit Plans, Management Performance Challenges Facing IRS, Semiannual Reports,

Investigation Highlights, Inspections and Evaluations Reports.    The documents

posted this reporting period are available through the following links:

www.treasury.gov/tigta/oa_auditplans.shtml

www.treasury.gov/tigta/oa_management.shtml

www.treasury.gov/tigta/publications_semi.shtml

www.treasury.gov/tigta/oi_highlights.shtml

www.treasury.gov/tigta/oie_iereports.shtml

Mint:  

Press releases, annual reports, strategic plans, and other frequently requested

documents are posted at www.usmint.gov/foia/.

25. 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, such as soliciting feedback on the content and

presentation of posted material, improving search capabilities on the site, posting

material in open formats, making information available through mobile applications,

providing explanatory material, etc.?  

Yes. TTB, BEP, FS, DO, IRS, OCC, TIGTA, and Mint are all engaged in such efforts.  

26. If so, provide examples of such improvements.  

TTB has interactive accounts for industry members and actively solicits customer service

feedback.   For example, TTB is improving access for its industry members submitting a

Certificate of Label Approval (COLA) application via COLAs Online. Applicants log into

their COLAs Online account–available 24 hours a day, 7 days a week— to check the

status of their application.  

In addition, through the restructure of TTB’s website, the Bureau will better meet the

needs of web visitors by providing easier access to information and creating more

relevant content for specific audiences.    For example, TTB newsletters:

http://www.ttb.gov/publications/newsletter.shtml.    TTB often uses its newsletters to

highlight important proactive disclosures.   

   
 

22 

Other initiatives aimed at improving customer service include:

 Email Updates: Individuals can sign up for updates or access subscriber

preferences by entering their e‐mail address.    See

http://www.ttb.gov/labeling/processing‐times.shtml

 Updates about outages and upgrades to TTB online systems.

 Feedback on the content and presentation of posted material.  For example,

regarding Label Applications, at http://www.ttb.gov/labeling/processing‐

times.shtml    the following information can be found; “Tell us what you

think.”  

BEP’s Office of External Relations monitors BEP’s website and surveys visitors who

provide feedback and suggestions on ease of access, and scope/quality of information

provided.  

DO is implementing an integrated library system that will provide greater capacity for its

FOIA electronic reading room and will allow keyword searches of posted information.  

The search capability will allow the public to conduct in‐depth searches of information

that is publicly available in Treasury’s FOIA Library and at www.treasury.gov.    DO

anticipates that the new integrated library system will be available by the end of FY

2014.

IRS has made improvements in both search capability and customer service.    For

example, IRS has several social media tools that are used to communicate with the

public, including Twitter, YouTube, Facebook, and Tumblr, a mobile app, QR codes,

podcasts and widgets.    IRS incorporated these into the communications process to

maximize the taxpayer 'reach'.    These tools are advantageous particularly during the

filing season.    IRS YouTube channels (English, American Sign Language and Spanish)

surpassed 6.4 million total combined views since the 2009 launch.  The "When Will I Get

My Refund" video featured in the 2013 filing season received more than 1.1 million

views, making it the most‐watched video among all those posted on all three channels.  

Mobile apps and direct traffic account for 83% of traffic to the English You tube channel.  

More than half of all video views for this channel come from embedded players on

other websites.  IRS.gov accounts for more than 71% of embedded traffic.

Three IRS Twitter accounts grew to over 45,000 followers.    Facebook likes have

surpassed 17,000, up from 7,826 likes at the end of December 2012. The IRS2go mobile

app has nearly 500,000 downloads to smartphones since version 2 launch in February

2012.    The app allows taxpayers to view IRS YouTube videos on all three channels.  

Taxpayers can also get the latest news from IRS, put in a request for their tax records,

check their refund status, and follow IRS on Twitter and get tax tips.   

IRS has always provided a mechanism for site visitors to submit comments about the

website. Since transitioning to a new portal platform in 2012, IRS has been taking steps

to tune the search engine and provide optimized search results. IRS has reviewed much
 

23 

of the content on the site and identified priority areas for improvements. IRS is currently

focused on transforming existing content using web writing techniques and plain

language concepts to make content more useful to the public.  

OCC press office uses social media to broadcast information, press releases, and agency

activities and invite public comment.   

TIGTA utilizes a list serve to send out immediate email notifications of press releases,

audit report postings, announcements, etc., to interested stakeholders and the public.  

TIGTA issues press releases to publicize its most significant, high‐profile activities,

investigation highlights, audit reports, and inspections and evaluations reports.

27. Did your agency use any means to publicize or highlight important proactive disclosures

for public awareness? If so, was social media utilized?   

TTB often uses its newsletters to highlight important proactive disclosures.   

IRS sends informative bulletins through GovDelivery to individuals who have signed up

for emails. Many bulletins announce recent content updates on several topics of

interest for various audiences. For example, IRS’ Statistics of Income Division sends

bulletins when new Tax Stats reports are available on IRS.gov.

TIGTA utilizes a list serve to send out immediate email notifications of press releases,

audit report postings, and announcements to interested stakeholders and the public.   

28. Has your agency encountered challenges that make it difficult to post records you

otherwise would like to post?  If so, please briefly explain what those challenges are.   

Treasury has many categories of records that contain uniquely sensitive financial and

law enforcement information.   Often, such records are not appropriate for proactive

disclosure.

TTB experiences challenges due to protections attached to sensitive taxpayer

information.   

IRS is working to proactively post FOIA logs.  The high volume of requests involving tax

return or return information that must be redacted prior to posting presents a

significant challenge in posting such logs.  The necessary redactions also severely limit

the amount of information from the log that would be available to the public.  

   
 

24 

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

IRS Tumblr microblog launched just prior to the 2013 filing season and received 214,752

page views from January to September 2013. Over 800,000 widgets were viewed on

topics such as the American Opportunity Credit, Getting Transcripts, EITC and VITA.

IRS has proactively released information issued by former Acting Commissioner Danny

Werfel outlining new actions and next steps to fix problems uncovered in connection

with the IRS’ review of tax‐exempt applications and improve the processes and

operations.

See www.irs.gov/PUP/newsroom/Initial%20Assessment%20and%20Plan%20of%20Action.pdf and

related content at www.irs.gov/uac/Newsroom/Report‐Outlines‐Changes‐for‐IRS‐To‐

Ensure‐Accountability,‐Chart‐a‐Path‐Forward;‐Immediate‐Actions,‐Next‐Steps‐Outlined.

Section IV:  Steps Take to Greater Utilize Technology

30. Can a FOIA requester track the status of his/her request electronically?  

OCC provides for electronic status tracking of FOIA requests through its online portal.

Currently, TTB, BEP, FS, DO, FS, FinCEN, MINT, and TIGTA do not provide electronic

tracking for FOIA requests. The Department is developing an online FOIA request status

tool to replace the FOIA Online portal which was used during FY 2013.  In the interim,

requesters can receive up‐to‐date information on the status of their request by

contacting OPTR’s FOIA hotline at (202) 622‐0930, or via email at

TreasFOIA@treasury.gov.

At IRS, a FOIA requester cannot track the status of a FOIA request electronically;

however, the requester can check the status by contacting their FOIA Public liaison to

get the status of his/her request.   

31. If yes, how is this tracking function provided to the public? For example, is it being done

through regularly updated FOIA logs, online portals, or other mediums?  

Treasury uses a collaboration site called goFOIA which advises requesters when

information submitted electronically is received in Treasury. A digitally signed

acknowledgement letter is provided via email to the requester providing the request’s

case number, advising of any imperfections, and specifying contact information for

further questions.    Currently, TTB, BEP, FS, DO, FinCEN, and MINT have implemented

goFOIA.  Future updates to the goFOIA tool and new Treasury online FOIA request portal

will provide tracking functionality to the public.
 

25 

OCC provides an online portal with tracking functions.  IRS and TIGTA both utilize their

own FOIA tracking system.   

32. Describe the information that is provided to the requester through the tracking system.

For example, some tracking systems might tell the requester whether the request is

"open" or "closed," while others will provide further details to the requester throughout

the course of the processing, such as "search commenced" or "documents currently in

review.” List the specific types of information that are available through your agency's

tracking system.  

OCC’s portal provides basic information about the current status of the case.  Generally,

a request can characterized as (1) received, (2) in process, or (3) closed.  If the request is

closed, the portal provides information about the disposition of the request.

33. In particular, does your agency tracking system provide the requester with an estimated

date of completion for his/her request?  

OCC provides this information in a letter acknowledging the request.

34. If your agency does not provide online tracking of requests, is your agency taking steps

to establish this capability?  If not, please explain why.

As described in #30 above, Treasury expects to have electronic tracking capabilities

available in the future. Currently, a requester may contact OPTR’s FOIA hotline at (202)

622‐0930, or TreasFOIA@treasury.gov to obtain information about status and estimated

completion time.   

35. 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?  

As described in #26 above, Treasury is implementing a new Integrated Library System

which will provide its FOIA electronic reading room with robust keyword search and

analytic capabilities. The FOIA library would be available to Bureaus with access to

goFOIA.  

BEP continues to use the goFOIA system to improve consultation and referrals.  

Additionally, BEP uses an internal shared drive to input case information and monitor

case activity.

DO is in the process of procuring an e‐discovery tool, which may be used to search,

analyze, de‐duplicate, and redact FOIA records.
 

26 

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

The Integrated Library System is a cloud tool which will give the public access to both

FOIA related documents and Treasury Library’s digitized collections in one system.  

Additionally, this new system will feature enhanced FOIA reading room design, including

metasearch capability.  The updated search capability will search within content and will

allow for links and documents to appear in search results.   The tool has been used by

universities and libraries with large amounts of data. It will also provide Treasury with

the ability to monitor metrics and track analytics on use of its online resources.

37. Are there additional technological tools that would be helpful to achieving further

efficiencies in your agency’s FOIA program?   

OCC is exploring enhanced email searches of its internal system.

IRS is continuing to explore the use of e‐Discovery software for FOIA case processing.

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

Reduce Backlogs

38. 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.

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

All Treasury Bureaus utilize a separate track for simple requests, with the

exception of IRS.

b. If so, for your agency overall, for Fiscal Year 2013, was the average number of

days to process simple requests twenty working days or fewer?   

Yes.

   
 

27 

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?  

IRS, which does not use a simple track, took an average of 20.04 days to respond

to FOIA requests in FY 2013.

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

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

from the fiscal year.   Section VII.E, entitled “Pending Requests – Ten Oldest Pending

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

Section XII.C., entitled "Consultations on FOIA Requests – Ten Oldest Consultations

Received from Other Agencies and Pending at Your Agency," show the ten oldest

pending requests, appeals, and consultations.  You should refer to these numbers from

your Annual FOIA Reports for both Fiscal Years 2012 and Fiscal Year 2013 when

completing this section of your Chief FOIA Officer Report.  

Backlogs  

a. If your agency had a backlog of requests at the close of Fiscal Year 2013, did that

backlog decrease as compared with Fiscal Year 2012?   

No.

b. If your agency had a backlog of administrative appeals in Fiscal Year 2013, did

that backlog decrease as compared to Fiscal Year 2012?  

No.

Ten Oldest Requests

c. In Fiscal Year 2013, did your agency close the ten oldest requests that were

pending as of the end of Fiscal Year 2012?   

No.

   
 

28 

d. 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 2012

Annual FOIA Report.  If you had less than ten total oldest requests to close, please

indicate that.  For example, if you only had seven requests listed as part of your

"ten oldest" in Section VII.E. and you closed two of them; you should note that

you closed two out of seven “oldest” requests.  

During FY 2013, Treasury closed three of the ten oldest FOIA requests reported

in the FY 2012 Annual Report.

Ten Oldest Appeals

e. In Fiscal Year 2013, did your agency close the ten oldest administrative appeals

that were pending as of the end of Fiscal Year 2012?

No.

f. If no, please provide the number of these appeals your agency was able to close,

as well as the number of appeals your agency had in Section VI.C. (5) of your

Fiscal Year 2012 Annual FOIA Report.  

During fiscal year 2013, Treasury closed six out of the ten oldest administrative

appeals reported in the FY 2012 Annual Report.

Ten Oldest Consultations

g. In Fiscal Year 2013, did your agency close the ten oldest consultations received by

your agency and pending as of the end of Fiscal Year 2012?  

No.

h. If no, please provide the number of these consultations your agency did close, as

well as the number of pending consultations your agency listed in Section XII.C. of

your Fiscal Year 2012 Annual FOIA Report.   

During FY 2013, Treasury closed eight out of the ten oldest pending consultation

requests.

   
 

29 

40. If you answered “no” to any of the questions in item 39 above, describe why your agency

was not able to reduce backlogs and/or close the ten oldest pending requests, appeals,

and consultations.   In doing so, answer the following questions then include any

additional explanation:  

Request and/or Appeal Backlog

a. Was the lack of a reduction in the request and/or appeal backlog a result of an

increase in the number of incoming requests or appeals?

No. Overall, Treasury did not receive more requests in 2013 compared to 2012.

b. Was the lack of a reduction in the request and/or appeal backlog caused by a loss

of staff?

No. Treasury did not have a significant loss of staff.  OPTR did have leadership

vacancies that were filled in late FY 2013.    The Deputy Assistant Secretary for

Privacy, Transparency, and Records position was vacant from January through

June 2013.  Similarly, it took several months to recruit a new Director for FOIA

and Transparency. That position was filled in late September 2013.    These

vacancies impacted the efficiency of the OPTR organization and DO FOIA

processing.

c. Was the lack of a reduction in the request and/or appeal backlog caused by an

increase in the complexity of the requests received?

Yes, in part. Treasury has seen an increase in complexity of FOIA requests.  In at

least one instance, FOIA resources also were expended to support pending

complex FOIA litigation.

IRS has established a process to track the complexity of its casework and has

seen an increase in backlog cases that contain the complexity factors.

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

and/or appeal backlog?

As mentioned above, temporary vacancies in OPTR leadership roles, combined

with limited resources in a sequestration environment, impacted DO’s ability to

dedicate significant resources to FOIA backlog reduction.    In response, OPTR’s

new leadership initiated a reorganization that resulted in reassignment of four

full‐time employees to its FOIA staff for FY 2014.    

   
 

30 

“Ten oldest” Not Closed

e. Briefly explain the obstacles your agency faced in closing its ten oldest requests,

appeals, and consultations from Fiscal Year 2012.   

During FY 2012, Treasury closed three of the ten oldest pending FOIA requests.  

As outlined below, IRS and DO reported challenges closing the oldest pending

FOIA requests, appeals, and consultations due to the volume and complexity of

responsive records, and the frequent need to invoke the business submitter

notice process.  BEP, FinCEN, FS, MINT, OCC, TIGTA, and OCC all closed their ten

oldest FOIA requests, appeals, and consultations during FY 2013.

IRS has closed six of its ten oldest cases from FY 2012.  The remaining IRS cases

involve requests for large volumes of documents that require either a review by

the Business Unit with jurisdiction over the documents, a review by Counsel and

a final review by Disclosure for IRC §6103 considerations.

Within DO, where the remaining seven oldest requests from FY 2012 that are still

open are being processed, the majority of the requests are assigned to the Office

of Foreign Assets Control (OFAC).  OFAC has identified two impediments to the

substantial reduction of its FOIA backlog: (1) the complexity and classification of

its records holdings; and (2) the frequent need to invoke the submitter notice

process. The implications of these findings are discussed below.

OFAC records are extremely complex; they involve classified, national security,

law enforcement sensitive, and confidential business information, as well as

information that originated from other federal agencies.    Each such type of

records requires special handling to ensure release determinations are made

properly.   

Many of the classified records OFAC maintains were obtained from other federal

agencies. These records must be referred back to the originating agencies, not

only for a concurrent disclosure review, but also for a declassification review

before a final release determination is made.  This adds significant time to the

processing of these cases.    More than sixty percent of records maintained by

OFAC to support the designation process are obtained from the intelligence

community.   

Time‐sensitive national security concerns permeate OFAC records; these, too,

require careful consideration as the records are processed. Some of this

information does not neatly fit within any specific exemption category and must

be processed judiciously in light of the public interest and the need to safeguard

national security.   OFAC strives to strike the appropriate balance between the
 

31 

public’s right to know and the government’s ability to protect specific

information, the release of which could adversely affect national security.   

In addition, OFAC’s mission requires financial institutions and other entities to

provide or “submit” confidential business information to OFAC. The

inappropriate release of such information has the potential to cause submitters

substantial competitive harm.  The law requires that these records be subjected

to additional review under the “submitter notice process” (See 31 C.F.R §1.6).  

The submitter notice process requires OFAC to notify the submitters that a

public request for their records has been made through the FOIA; allow the

submitter the opportunity to provide OFAC with written objections to release;

conduct an independent review of the objections; notify the submitters in the

event that OFAC overrules any of the submitter’s objections; and allow the

submitters the opportunity to seek judicial review of OFAC determination.  This

process adds substantial time to the processing of a request.    At least thirty

percent of OFAC’s records are subject to this submitter notice process prior to

disclosure.

OFAC averages 25 submitter notices per request involving confidential business

information.    Responsive records processed through the submitter notice

process often vary in size, and can constitute several hundred pages per notice.  

The submitter responses also add additional documents to the review process,

increasing the administrative burden of processing the request even more.  

OFAC’s determinations with regard to the submitter response require additional

time to draft, review, and complete.    Failure to capture OFAC’s reasoning for

denying submitters objections can lead to increased litigation.   

f. If your agency was unable to close any of its ten oldest requests or appeals

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.   

Of the ten oldest pending requests at Treasury, only one remains outstanding

due to an outstanding consultation request.    Within DO, OFAC received the

initial request in 2003.  The final set of classified records requiring consultation

was transmitted to the intelligence community in December 2012.    OFAC

routinely contacts the intelligence agencies whose responses remain

outstanding.

   
 

32 

41. If your agency did not close its ten oldest pending requests, appeals, and consultations,

please provide a plan describing how your agency intends to close those “ten oldest”

requests, appeals, and consultations during Fiscal Year 2014.

As outlined below, DO and IRS are taking significant steps to close the ten oldest

pending FOIA requests, appeals, and consultations.  BEP, FinCEN, FS, MINT, OCC, TIGTA,

and OCC all closed their ten oldest FOIA requests, appeals, and consultations during FY

2013.

Within DO, where the remaining seven oldest pending FOIA requests from FY 2012 are

being processed, the Office of Privacy, Transparency, and Records is working to establish

a centralized FOIA process to improve consistency, efficiency and customer service in its

FOIA administration.    Document review will be conducted in a central location

alleviating the DO program offices of FOIA processing responsibilities.    Efficiencies in

concentrating the resources should reduce the backlog at offices with high request

volume and where resources are strained.  Centralizing resources will allow for greater

transparency and accountability in DO FOIA processes.

Within DO, OFAC focused on processing its oldest cases and leveraged resources by

modifying staff and concentrating its efforts on reducing the backlog. OFAC worked with

DO and consulted with a “Six Sigma” expert to improve internal work flows and gain

efficiencies.  As a result of these efforts, during FY 2014, OFAC has closed 2 of the ten

oldest pending FOIA requests at Treasury.

Since IRS has identified the factors that have contributed to the backlog status of these

cases, IRS will continue to work to address these factors making it a priority to move the

process forward.   

42. If your agency had a backlog of more than 1000 pending requests and did not reduce

that backlog in Fiscal Year 2013, provide your agency’s plan for achieving backlog

reduction in the year ahead.   

Treasury has fewer than 1,000 backlogged FOIA requests.

43. Does your agency have a system in place to provide interim responses to requesters

when appropriate?   

Treasury provides interim responses on a case‐by‐case basis. FS, DO, and IRS provided

interim responses in FY 2013.   A template for an interim response was provided by the

Treasury FOIA Council to the Bureaus.

44. If your agency had a backlog in Fiscal Year 2013, please provide an estimate of the

number or percentage of cases in the backlog where a substantive, interim response was

provided during the fiscal year, even though the request was not finally closed.  
 

33 

Treasury estimates 10% of the cases in backlog agency‐wide had a substantive interim

response.

 FS provided a response on an interim basis in 100% of backlog cases.

 DO provided substantive interim responses in 2% of cases in backlog.   

 IRS prepared substantive interim responses for 5% of cases in backlog.

Use of FOIA’s Law Enforcement “Exclusions”

45. Did your agency invoke statutory “law enforcement” exclusion during Fiscal Year 2013?  

Yes.

46. If so, what was the total number of times “law enforcement” exclusions were invoked?  

Once.

   
 

34 

Spotlight on Success

The IRS continued its agency‐wide FOIA and OPEN awareness campaign by developing,

publishing and marketing a web‐based video presentation building on the joint Deputy

Commissioner memo to all IRS employees. The video emphasizes each employee’s

responsibilities with regard to FOIA, including timely responses to records requests and

providing records directly to taxpayers upon request. The presentation is augmented

with companion guides developed to support the major job classifications within IRS as

they provide records directly to the taxpayers.