1

Department of the Treasury

2017 Freedom of Information Act Annual Report
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2017 Freedom of Information Act Annual Report

to the Attorney General of the United States

TABLE OF CONTENTS

I. Basic Information Regarding this Report ...............................................................................................3

II. Making a FOIA Request ..........................................................................................................................4

III. Acronyms, Definitions, and Exemptions ................................................................................................6

IV. Exemption 3 Statutes ...........................................................................................................................10

V. FOIA Requests ......................................................................................................................................14

VI. Administrative Appeals ........................................................................................................................18

VII. Processed and Pending FOIA Requests................................................................................................25

VIII. Requests for Expedited processing and fee Waiver.............................................................................32

IX. FOIA Personnel and Costs ....................................................................................................................34

X. Fees Collected for Processing Requests...............................................................................................35

XI. Use of Subsection (c) Exclusions and Proactive Disclosures ................................................................36

XII. Backlogs, Consultations, and Comparisions.........................................................................................38
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I. Basic Information Regarding this Report

1. Questions regarding this report may be directed to:

Paul Levitan

Director for FOIA and Transparency

Privacy, Transparency, and Records

Department of the Treasury

(202) 622-0930 Phone

(202) 622-3895 Fax

FOIA@treasury.gov

Address:

FOIA and Transparency

Department of the Treasury

Washington, DC 20220

2. This report is publicly available and can be downloaded from Treasury’s Freedom of 

Information Act website.

3. Paper copies of this report may be obtained by contacting the Office of Privacy, 

Transparency, and Records at the address above.
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II. Making a FOIA Request

1. Contact Information

The current names, addresses, and contact information for Treasury’s FOIA Officers can be 

found on Treasury’s Freedom of Information Act website.

Departmental Offices (DO)

Mr. Paul Levitan

FOIA and Transparency

Department of the Treasury

Washington, DC 20220

(202) 622-0930 Phone

(202) 622-3895 Fax

Alcohol and Tobacco Tax and Trade 

Bureau (TTB)

Mr. Quinton Mason

1310 G Street, N.W., Box 12

Washington, DC 20005

(202) 882-9904 Phone

(202) 453-2331 Fax

Bureau of Engraving and Printing (BEP)

Disclosure Officer

Office of the Chief Counsel

FOIA and Transparency

14th & C Streets, S.W., Room 419A

Washington, DC 20228

(202) 874-2500 Phone

(202) 874-2951 Fax

Bureau of the Fiscal Service (Fiscal 

Service)

Ms. Cynthia Sydnor/Ms. Denise Nelson

Disclosure Office

401 14th Street, S.W., Room 508B

Washington, DC 20227

(202) 874-5602 Phone

(202) 874-5484 Fax

Office of the Comptroller of the Currency 

(OCC)

Mr. Frank Vance

Disclosure Services

400 7th Street, S.W.

Suite 3E-218, Mail Stop 6W-11

Washington, DC 20219

(202) 649-6758 Phone

Financial Crimes Enforcement Network 

(FinCen)

Mr. Gilbert Paist

ATTN: FOIA Request

P.O. Box 39

Vienna, VA 22183

(703) 905-5034 Phone

Internal Revenue Service (IRS)

HQ Stop 211

P.O. Box 621506

Atlanta, GA 30362-3006

(801) 620-7638 Phone

United States Mint (Mint)

Ms. Lateau Jones 

ATTN: FOIA Request

801 9th Street, N.W., 8th Floor

Washington, DC 20220

(202) 354-4600 Phone

(202) 756-6153 Fax
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Treasury Inspector General for Tax Administration (TIGTA)

Ms. Amy Jones

ATTN: FOIA Request

TIGTA Chief Counsel

1401 H Street, N.W., Suite 469

Washington, DC 20005

(202) 622-4068 Phone

(202) 622-3339 Fax

2. Brief description of why requests are not granted

The Treasury Department may not grant full access to records because of several 

reasons. Some records are specifically exempt from disclosure pursuant to statute, such as 

records that contain Bank Secrecy Act information or certain tax return information. This 

information falls within the scope of Exemption 3. Other records and information that are 

obtained from private businesses and submitted in confidence or that contain proprietary 

information fall within the scope of Exemption 4. Internal agency communications representing 

the pre-decisional process, attorney work product, or attorney-client records fall within the 

scope of Exemption 5. Private information obtained from individuals may fall within the scope 

of Exemptions 6 and/or 7(C). Treasury also cites Exemption 7(E) to protect information that 

would disclose techniques and procedures for law enforcement investigations or prosecutions 

or would disclose guidelines for law enforcement investigations or prosecutions if such 

disclosure could be expected to risk circumvention of the law. Finally, Treasury protects 

information and records contained in or related to the examination or the supervision of 

financial institutions under the authority of Exemption 8.

3. FOIA Regulations

Treasury’s FOIA regulations are codified at 31 CFR Part 1, Subpart A, and can be accessed on 

Treasury’s Freedom of Information Act website.

The Financial Stability Oversight Council (FSOC) FOIA regulations are codified at 12 CFR Part 

1301.
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III. Acronyms, Definitions, and Exemptions

1. Agency–specific acronyms used in this Report:

Component Abbreviation Component Name

BEP Bureau of Engraving and Printing

DO1 Departmental Offices

FinCEN Financial Crimes Enforcement Network

Fiscal Service Bureau of the Fiscal Service

IRS Internal Revenue Service

MINT United States Mint

OCC Office of the Comptroller of the Currency

TIGTA Treasury Inspector General for Tax Administration

TTB Alcohol Tobacco Tax and Trade Bureau

2. Basic terms used in this Report

a. Administrative Appeal – a request to a federal agency asking that it review at a higher

administrative level a FOIA determination made by the agency at the initial request level.

b. Average Number – the number obtained by dividing the sum of a group of numbers by the

quantity of numbers in the group. For example, of 3, 7, and 14, the average number is 8.

c. Backlog – the number of requests or administrative appeals that are pending at an agency 

at the end of the fiscal year that are beyond the statutory time period for a response.

d. Component – for agencies that process requests on a decentralized basis, a “component” is

an entity, also sometimes referred to as an Office, Division, Bureau, Center, or Directorate,

within the agency that processes FOIA requests. The FOIA now requires that agencies

include in their Annual FOIA Report data for both the agency overall and for each principal

component of the agency.

 1 DO includes the Offices of Domestic Finance, Economic Policy, Financial Research, 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, an entity 

chaired by the Secretary of the Treasury, the Treasury Office of the Inspector General, and the Office of the Special 

Inspector General for the Troubled Asset Relief Program.
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e. Consultation – the procedure whereby the agency responding to a FOIA request first 

forwards a record to another agency for its review because that other agency has an 

interest in the document. Once the agency in receipt of the consultation finishes its review 

of the record, it responds back to the agency that forwarded it. That agency, in turn, will 

then respond to the FOIA requester.

f. Exemption 3 Statute – a federal statute that exempts information from disclosure and 

which the agency relies on to withhold information under subsection (b)(3) of the FOIA.

g. FOIA Request – a FOIA request is generally a request to a federal agency for access to

records concerning another person (i.e., a “third-party” request), or concerning an

organization, or a particular topic of interest. FOIA requests also include requests made by

requesters seeking records concerning themselves (i.e., “first-party” requests) when those

requesters are not subject to the Privacy Act, such as non-U.S. citizens. Moreover, because

all first-party requesters should be afforded the benefit of both the access provisions of the

FOIA as well as those of the Privacy Act, FOIA requests also include any first-party requests

where an agency determines that it must search beyond its Privacy Act “systems of records”

or where a Privacy Act exemption applies, and the agency looks to FOIA to afford the 

greatest possible access. All requests which require the agency to utilize the FOIA in 

responding to the requester are included in this Report. Additionally, a FOIA request 

includes records referred to the agency for processing and direct response to the requester. 

It does not however, include records for which the agency has received a consultation from 

another agency (Consultations are reported separately in Section XII of this Report).

h. Full Grant – an agency decision to disclose all records in full in response to a FOIA request.

i. Full Denial – an agency decision not to release any records in response to a FOIA request

because the records are exempt in their entireties under one or more of the FOIA

exemptions, or because of a procedural reason, such as when no records could be located.

j. Median Number – the middle, not average, number. For example, of 3, 7, and 14, the

median number is 7.

i. Multi‐track processing – a system in which simple requests requiring relatively minimal

review are placed in one processing track and more voluminous and complex requests are

placed in one or more other tracks. Requests granted expedited processing are placed in yet 

another track. Requests in each track are processed on a first in/first out basis.

ii. Expedited processing – an agency will process a FOIA request on an expedited basis 

when a requester satisfies the requirements for expedited processing as set forth in 

the statute and in agency regulations.

iii. Simple request – a FOIA request that an agency using multi-track processing places 

in its fastest (non-expedited) track based on the low volume and/or simplicity of 

the records requested.
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iv. Complex request – a FOIA request that an agency using multi-track processing

places in a slower track based on the high volume and/or complexity of the records

requested.

k. Partial Grant/Partial Denial – in response to a FOIA request, an agency decision to disclose

portions of the records and to withhold other portions that are exempt under the FOIA, or

to otherwise deny a portion of the request for a procedural reason.

l. Pending Request or Pending Administrative Appeal – a request or administrative appeal 

for which an agency has not taken final action in all respects.

m. Perfected Request – a request for records which reasonably describes such records and is

made in accordance with published rules stating the time, place, fees (if any) and 

procedures to be followed.

n. Processed Request or Processed Administrative Appeal – a request or administrative

appeal for which an agency has taken final action in all respects.

o. Range in Number of Days – the lowest and highest number of days to process requests or 

administrative appeals.

p. Time Limits – the time period in the statute for an agency to respond to a FOIA request

(ordinarily 20 working days from receipt of a "perfected" FOIA request).
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3. Descriptions of the nine FOIA Exemptions:

a. Exemption 1: classified national defense and foreign relations information

b. Exemption 2: information that is related solely to the internal rules and practices of an 

agency

c. Exemption 3: information that is prohibited from disclosure by another federal law

d. Exemption 4: trade secrets and other confidential business information

e. Exemption 5: inter-agency or intra-agency communications that are protected by legal

privileges

f. Exemption 6: information involving matters of personal privacy

g. Exemption 7: records or information compiled for law enforcement purposes, to the 

extent that the production of those records (A) could reasonably be expected to 

interfere with enforcement proceedings, (B) would deprive a person of a right to a fair 

trial or an impartial adjudication, (C) could reasonably be expected to constitute an 

unwarranted invasion of personal privacy, (D) could reasonably be expected to disclose 

the identity of a confidential source, (E) would disclose techniques and procedures for 

law enforcement investigations or prosecutions, or would disclose guidelines for law 

enforcement investigations or prosecutions, or (F) could reasonably be expected to 

endanger the life or physical safety of any individual

h. Exemption 8: information relating to the regulation or supervision of financial 

institutions

i. Exemption 9: geological information on wells
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IV. Exemption 3 Statutes

Statute Type of Information

Withheld Case Citation Agency / Component

Number of 

Times

Relied upon

by Agency / 

Component

Total Number 

of

Times Relied 

upon

by Agency 

Overall

26 U.S.C. §§ 6103, 6105 

(Internal Revenue Code)

Certain tax return information, to include 

Taxpayer Identification Numbers of third 

parties, and certain tax convention 

information

Church of Scientology v.

IRS, 484 U.S. 9, 15 (1987)

(26 U.S.C. § 6103); Leonard

v. U.S. Dep't of Treasury, 590

F. App'x. 141, 143-44 (3d

Cir. 2014) (per curiam); Pac. Fisheries, 

Inc. v. IRS, 395 F.

App'x. 438, 440 (9th Cir.

2010) (unpublished

disposition) (26 U.S.C.

§§ 6103, 6105); Tax Analysts

v. IRS, 217 F. Supp. 2d 23,

27-29 (D.D.C. 2002)

(26 U.S.C. § 6105).

DO 42 2,322

Fiscal Service 38

IRS 2,118

TIGTA 31

TTB 93
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Statute Type of Information

Withheld Case Citation Agency / Component

Number of 

Times

Relied upon

by Agency / 

Component

Total Number 

of

Times Relied 

upon

by Agency 

Overall

31 U.S.C. § 5319 (Bank 

Secrecy Act)

Reports pertaining to monetary 

instruments transactions filed under 

subchapter II of chapter 53 of title 

31 and records of those reports

Ortiz v. DOJ, No. 12-1674, 2014 

WL 4449686, at *4 (D.D.C. Sept. 9, 

2014); Rosenberg v. ICE, 13 F. 

Supp. 3d 92, 114-15 (D.D.C. 2014); 

Hulstein v. DEA, No. 10-4112, 2011 

U.S. Dist. LEXIS 25788, at *7-8 

(N.D. Iowa Mar. 11, 2011); Council 

on Am.-Islamic Relations, Cal. v. 

FBI, 749 F. Supp. 2d 1104, 1117 

(S.D. Cal. 2010); Berger v. IRS, 487 

F. Supp. 2d 482, 496-97 (D.N.J. 

2007), aff'd on other grounds, 288 

F. App'x 829 (3d Cir. 2008).

DO 1 1,345

FinCEN 1,207

IRS 136

TIGTA 1
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Statute Type of Information

Withheld Case Citation Agency / Component

Number of 

Times

Relied upon

by Agency / 

Component

Total Number 

of

Times Relied 

upon

by Agency 

Overall

41 U.S.C. § 253b(m)(1) 

(currently at 41 U.S.C. § 

4702)

Contractor proposals that are in the 

possession or control of an 

executive agency and that have not 

been set forth or incorporated by 

reference into contracts

Sinkfield v. HUD, No. 10-885, 2012 

U.S. Dist. LEXIS 35233, at *13-15 

(S.D. Ohio Mar. 15, 2012); Margolin 

v. NASA, No. 09-CV-00421, 2011 

WL 1303221, at *6 (D. Nev. Mar. 

31, 2011); Hornbostel v. U.S. Dep't 

of the Interior, 305 F. Supp. 2d 21, 

30 (D.D.C. 2003), summary 

affirmance granted, No. 03-5257, 

2004 WL 1900562 (D.C. Cir. Aug. 

25, 2004).

BEP 1 24

FinCEN 1

Fiscal Service 6

IRS 15

MINT 1

21 U.S.C. § 1904(e)(3) Information related to foreign 

narcotics traffickers

N/A DO 34 34

10 U.S.C. § 424 Organization or any function of, and 

certain information pertaining to, 

employees of the Defense 

Intelligence Agency, the National 

Reconnaissance Office, and the 

National Geospatial-Intelligence 

Agency

Physicians for Human Rights v. 

DOD, No. RDB-08-273, 2011 WL 

1495942, at *7 (D.D.C. Apr. 19, 

2011); Miller v. DOJ, 562 F. Supp. 

2d 82, 112 (D.D.C. 2008); Wickwire 

Gavin, P.C. v. Def. Intelligence 

Agency, 330 F. Supp. 2d 592, 602 

(E.D. Va. 2004).

DO 5 5
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Statute Type of Information

Withheld Case Citation Agency / Component

Number of 

Times

Relied upon

by Agency / 

Component

Total Number 

of

Times Relied 

upon

by Agency 

Overall

50 U.S.C. § 4565(c) Information or documentary 

material filed with the Committee on 

Foreign Investment in the United 

States

N/A DO 8 8

Fed. R. Crim. P. 6(e), enacted 

by Act of July 30, 1977, Pub. 

L. No. 95-78, 91 Stat. 319

Certain records that would reveal 

some secret aspect pertaining to 

grand jury proceedings

Sussman v. USMS, 494 F.3d 1106, 

1113 (D.C. Cir. 2007); Fund for 

Constitutional Gov't v. Nat'l 

Archives & Records Serv., 656 F.2d 

856, 867-68 (D.C. Cir. 1981); 

Durham v. U.S. Atty. Gen., No. 06-

843, 2008 WL 620744, at *2 (E.D. 

Tex. Mar. 3, 2008); Cozen 

O'Connor v. U.S. Dep't of Treasury, 

570 F. Supp. 2d 749, 776 (E.D. Pa. 

2008).

DO 1 6

IRS 5

15 U.S.C. § 6801 (GrammLeach-Bliley Act)Nonpublic personal information of 

customers of financial institutions

Hodes v. HUD, 532 F. Supp. 2d 

108, 117 (D.D.C. 2008).

DO 3 3

18 U.S.C. § 701 Likeness of any badge, 

identification card, or other insignia, 

of the design prescribed by the 

head of any department or agency 

of the United States for use by any 

officer or employee thereof, or any 

colorable imitation therof

Jones v. IRS, No. 06-CV-322, 2008 

WL 1901208, at *3-4 (W.D. Mich. 

Apr. 25, 2008).

IRS 1 1
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V. FOIA Requests

V.A. FOIA Requests – Received, Processed, and Pending FOIA Requests

Agency / Component

Number of 

Requests

Pending as of 

Start

of Fiscal Year2

Number of

Requests 

Received

in Fiscal Year

Number of

Requests 

Processed

in Fiscal Year

Number of 

Requests

Pending as of 

End

of Fiscal Year

BEP 4 56 54 6

DO 607 1,178 960 825

FinCEN 20 459 415 64

Fiscal Service 15 369 339 45

IRS 916 8,255 8,506 665

MINT 3 119 117 5

OCC 76 1,609 1,614 71

TIGTA 10 260 250 20

TTB 2 129 124 7

AGENCY OVERALL 1,653 12,434 12,379 1,708

 2 The number of requests pending at the start of the fiscal year was updated from last year’s report for DO, FinCEN, Fiscal 

Service, Mint, OCC, TIGTA, and TTB: DO increased by 9, FinCEN increased by 7, Fiscal Service decreased by 4, Mint 

increased by 3, OCC increased by 4, TIGTA decreased by 3, and TTB decreased by 1.
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V.B.(1). Disposition of FOIA Requests – All Processed Requests

Agency / 

Component

Number 

of Full 

Grants

Number 

of 

Partial 

Grants / 

Partial 

Denials

Number of 

Full Denials 

Based on 

Exemptions

Number of Full Denials Based on Reasons Other than Exemptions

No 

Records

All 

Records 

Referred to 

Another 

Component 

or Agency

Request 

Withdrawn

FeeRelated 

Reason

Records 

not 

Reasonably 

Described

Improper 

FOIA 

Request 

for Other 

Reason

Not 

Agency 

Record

Duplicate 

Request

Other 

*Explain 

in Chart 

Below

TOTAL

BEP 26 8 3 8 1 2 1 4 0 0 1 0 54

DO 108 130 32 94 105 122 31 109 72 87 64 6 960

FinCEN 20 73 216 66 4 8 0 3 5 12 8 0 415

Fiscal Service 54 109 3 37 22 11 19 2 42 26 14 0 339

IRS 2,244 2,349 95 864 20 385 51 26 2,171 33 248 20 8,506

MINT 42 14 2 16 7 3 4 4 21 1 3 0 117

OCC 1,259 54 28 69 7 59 60 10 18 44 6 0 1,614

TIGTA 34 88 14 10 25 3 1 1 54 12 8 0 250

TTB 22 24 11 28 1 20 5 0 1 2 10 0 124

AGENCY 

OVERALL

3,809 2,849 404 1,192 192 613 172 159 2,384 217 362 26 12,379
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V.B.(2). Disposition of FOIA Requests – “Other” Reasons for “Full Denials Based 

on Reasons Other Than Exemptions”

Agency / 

Component Description of "Other" Reasons for Denials from Chart B(1)

Number of Times 

"Other" Reason 

Was Relied Upon

TOTAL

BEP N/A 0 0

DO Litigation 6 6

FinCEN N/A 0 0

Fiscal Service N/A 0 0

IRS Litigation 20 20

MINT N/A 0 0

OCC N/A 0 0

TIGTA N/A 0 0

TTB N/A 0 0

AGENCY 

OVERALL

26
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V.B.(3). Disposition of FOIA Requests – Number of Times Exemptions Applied

Agency / 

Component Ex. 1 Ex. 2 Ex. 3 Ex. 4 Ex. 5 Ex. 6 Ex. 7(A) Ex. 7(B) Ex. 7(C) Ex. 7(D) Ex. 7(E) Ex. 7(F) Ex. 8 Ex. 9

BEP 0 0 1 12 33 52 0 0 0 0 3 0 0 0

DO 47 6 94 239 249 498 35 1 177 7 35 2 10 0

FinCEN 2 8 1,207 18 63 125 14 0 68 38 219 1 22 0

Fiscal Service 0 1 44 57 20 243 0 0 1 0 16 0 0 0

IRS 0 8 2,132 42 513 438 426 2 925 24 1,203 5 0 0

MINT 0 6 1 12 18 41 0 0 9 0 9 2 0 0

OCC 0 7 0 40 31 39 1 0 1 0 1 0 39 0

TIGTA 0 1 31 1 8 91 3 0 88 7 15 0 0 0

TTB 0 4 93 52 35 77 3 0 2 2 8 0 0 0

AGENCY 

OVERALL

49 41 3,603 473 970 1,604 482 3 1,271 78 1,509 10 71 0
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VI. Administrative Appeals

VI.A. Administrative Appeals of Initial Determinations of FOIA Requests – Received, 

Processed, and Pending Administrative Appeals

Agency / Component

Number of Appeals

Pending as of Start

of Fiscal Year3

Number of

Appeals Received

in Fiscal Year

Number of

Appeals Processed

in Fiscal Year

Number of Appeals

Pending as of End

of Fiscal Year

BEP 0 4 4 0

DO 80 21 16 85

FinCEN 3 3 0 6

Fiscal Service 0 4 3 1

IRS 3 123 120 6

MINT 0 2 2 0

OCC 1 13 12 2

TIGTA 2 12 14 0

TTB 0 0 0 0

AGENCY OVERALL 89 182 171 100

 3 The number of appeals pending at the start of the fiscal year was updated from last year’s report for DO, FinCEN, Fiscal 

Service, and IRS: DO increased by 15, FinCEN decreased by 1, Fiscal Service increased by 2, and IRS increased by 2.
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VI.B. Disposition of Administrative Appeals – All Processed Appeals

Agency / Component Number Affirmed on 

Appeal

Number Partially 

Affirmed & Partially 

Reversed/Remanded 

on Appeal

Number Completely 

Reversed/Remanded 

on Appeal

Number of Appeals 

Closed for Other 

Reasons

TOTAL

BEP 2 2 0 0 4

DO 4 2 0 10 16

FinCEN 0 0 0 0 0

Fiscal Service 3 0 0 0 3

IRS 117 1 2 0 120

MINT 0 1 1 0 2

OCC 5 3 0 4 12

TIGTA 8 4 1 1 14

TTB 0 0 0 0 0

AGENCY OVERALL 139 13 4 15 171
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VI.C.(1). Reasons for Denial on Appeal – Number of Times Exemptions Applied

Agency / 

Component Ex. 1 Ex. 2 Ex. 3 Ex. 4 Ex. 5 Ex. 6 Ex. 7(A) Ex. 7(B) Ex. 7(C) Ex. 7(D) Ex. 7(E) Ex. 7(F) Ex. 8 Ex. 9

BEP 0 0 0 0 1 0 0 0 0 0 0 0 0 0

DO 1 0 1 1 1 4 1 0 1 0 0 0 0 0

FinCEN 0 0 0 0 0 0 0 0 0 0 0 0 0 0

Fiscal Service 0 0 0 0 0 1 0 0 0 0 0 0 0 0

IRS 0 1 41 1 25 19 25 0 19 1 21 1 0 0

MINT 0 0 0 0 2 1 0 0 1 0 1 0 0 0

OCC 0 0 0 0 1 2 1 0 1 0 1 0 2 0

TIGTA 0 0 2 0 0 9 0 0 9 2 1 0 0 0

TTB 0 0 0 0 0 0 0 0 0 0 0 0 0 0

AGENCY 

OVERALL

1 1 44 2 30 36 27 0 31 3 24 1 2 0
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VI.C.(2). Reasons for Denial on Appeal – Reasons Other Than Exemptions

Agency / 

Component

No 

Records

Records 

Referred 

at Initial 

Request 

Level

Request 

Withdrawn

FeeRelated 

Reason

Records 

not 

Reasonably 

Described

Improper 

Request 

for Other 

Reasons

Not 

Agency 

Record

Duplicate 

Request 

or Appeal

Request 

in 

Litigation

Appeal 

Based 

Solely on 

Denial of 

Request 

for 

Expedited 

Processing

Other 

*Explain 

in chart 

below

BEP 3 0 0 0 0 0 0 0 0 0 0

DO 1 0 0 0 0 0 0 0 0 2 10

FinCEN 0 0 0 0 0 0 0 0 0 0 0

Fiscal Service 1 0 0 0 0 0 1 0 0 0 0

IRS 0 0 0 0 0 0 0 0 0 0 0

MINT 0 0 0 0 0 0 0 0 0 0 0

OCC 2 0 0 0 0 0 0 0 0 0 2

TIGTA 0 0 0 0 0 0 0 1 0 0 0

TTB 0 0 0 0 0 0 0 0 0 0 0

AGENCY 

OVERALL

7 0 0 0 0 0 1 1 0 2 12
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VI.C.(3). Reasons for Denial on Appeal – “Other” Reasons

Agency / 

Component

Description of "Other" Reasons for Denial on Appeal from Chart 

C(2)

Number of Times 

"Other" Reason 

Was Relied Upon

TOTAL

BEP N/A 0 0

DO No Component Response to Adjudicate 10 10

FinCEN N/A 0 0

Fiscal Service N/A 0 0

IRS N/A 0 0

MINT N/A 0 0

OCC No Component Response to Adjudicate 2 2

TIGTA N/A 0 0

TTB N/A 0 0

AGENCY 

OVERALL

12
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VI.C.(4). Response Time for Administrative Appeals

Agency / Component Median Number of 

Days

Average Number of 

Days

Lowest Number of 

Days

Highest Number of 

Days

BEP 26.00 26.00 18.00 33.00

DO 1,889.00 1,452.00 6.00 2,256.00

FinCEN 0.00 0.00 0.00 0.00

Fiscal Service 22.00 17.00 5.00 25.00

IRS 18.00 17.64 4.00 38.00

MINT 21.00 21.00 21.00 21.00

OCC 0.00 0.00 0.00 0.00

TIGTA 16.00 14.36 3.00 20.00

TTB 0.00 0.00 0.00 0.00

AGENCY OVERALL 15.00 148.00 3.00 2,256.00
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VI.C.(5). Ten Oldest Pending Administrative Appeals

Agency / 

Component

10th Oldest 

Appeal 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Appeal

BEP

Date of Appeal N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A

Number of Days Pending 0 0 0 0 0 0 0 0 0 0

DO

Date of Appeal 2011-07-27 2011-07-26 2011-07-20 2011-07-15 2011-06-21 2011-04-06 2011-02-02 2010-11-30 2010-09-06 2010-07-19

Number of Days Pending 1553 1554 1558 1561 1578 1631 1675 1719 1780 1815

FinCEN

Date of Appeal N/A N/A N/A N/A 2016-10-31 2016-10-31 2016-10-31 2016-03-29 2016-03-25 2012-03-26

Number of Days Pending 0 0 0 0 231 231 231 381 383 1388

Fiscal Service

Date of Appeal N/A N/A N/A N/A N/A N/A N/A N/A N/A 2017-09-20

Number of Days Pending 0 0 0 0 0 0 0 0 0 8

IRS

Date of Appeal N/A N/A N/A N/A N/A N/A N/A 2017-09-20 2017-09-19 2017-09-11

Number of Days Pending 0 0 0 0 0 0 0 7 8 14

MINT

Date of Appeal N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A

Number of Days Pending 0 0 0 0 0 0 0 0 0 0

OCC

Date of Appeal N/A N/A N/A N/A N/A N/A N/A N/A 2017-09-21 2017-09-11

Number of Days Pending 0 0 0 0 0 0 0 0 6 14

TIGTA

Date of Appeal N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A

Number of Days Pending 0 0 0 0 0 0 0 0 0 0

TTB

Date of Appeal N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A

Number of Days Pending 0 0 0 0 0 0 0 0 0 0

AGENCY OVERALL

Date of Appeal 2011-07-27 2011-07-26 2011-07-20 2011-07-15 2011-06-21 2011-04-06 2011-02-02 2010-11-30 2010-09-06 2010-07-19

Number of Days Pending 1553 1554 1558 1561 1578 1631 1675 1719 1780 1815
25

VII. Processed and Pending FOIA Requests

VII.A. FOIA Requests – Response Time for All Processed Perfected Requests

Agency / 

Component

SIMPLE COMPLEX EXPEDITED PROCESSING

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

BEP 20 33 2 259 19 71 6 726 N/A N/A N/A N/A

DO 12 32 <1 733 157 305 <1 2286 N/A N/A N/A N/A

FinCEN 2 6 <1 36 27 45 4 304 N/A N/A N/A N/A

Fiscal Service 14 16 <1 122 25 24 2 52 41 42 26 62

IRS N/A N/A N/A N/A 19 33 1 803 39 62 2 222

MINT 14 20 <1 113 22 18 <1 40 N/A N/A N/A N/A

OCC 4 9.64 <1 1508 29 41.77 <1 267 22 32 <1 104

TIGTA 20 18 <1 20 18.5 19.31 <1 186 20 23 19 30

TTB 6 12 <1 66 17 17 1 54 1 1 1 1

AGENCY 

OVERALL

6 18 <1 1508 14 36 <1 2286 30 52 <1 104
26

VII.B. Processed Requests – Response Time for Perfected Requests in Which Information Was Granted

Agency / 

Component

SIMPLE COMPLEX EXPEDITED PROCESSING

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

Median 

Number 

of Days

Average 

Number 

of Days

Lowest 

Number 

of Days

Highest 

Number 

of Days

BEP 21 42 3 259 20 76 6 726 N/A N/A N/A N/A

DO 32 106 <1 733 165 260 <1 2286 N/A N/A N/A N/A

FinCEN 4 8 1 33 28 49 14 304 N/A N/A N/A N/A

Fiscal Service 15 18 2 122 25 24 9 52 N/A N/A N/A N/A

IRS N/A N/A N/A N/A 20 35 1 803 41 70 13 222

MINT 42 36.23 12 42 24 24 22 25 N/A N/A N/A N/A

OCC 4 9.26 <1 1508 35 43.31 4 140 22 34.43 <1 104

TIGTA 11.5 12 1 20 20 23.59 1 186 25 25 20 30

TTB 7 8 3 16 22 19 1 31 1 1 1 1

AGENCY 

OVERALL

5 15 <1 1508 20 41 <1 2286 34 59 <1 104
27

VII.C. Processed Simple Requests – Response Time in Day Increments

Agency / 

Component

<1-20

Days

21-40

Days

41-60

Days

61-80

Days

81-100 

Days

101-120 

Days

121-140 

Days

141-160 

Days

161-180 

Days

181-200 

Days

201-300 

Days

301-400 

Days

401+

Days TOTAL

BEP 19 10 4 0 0 0 1 1 0 0 1 0 0 36

DO 256 67 24 21 20 5 8 9 3 6 18 7 5 449

FinCEN 358 24 0 0 0 0 0 0 0 0 0 0 0 382

Fiscal Service 170 46 4 1 0 1 1 0 0 0 0 0 0 223

IRS 0 0 0 0 0 0 0 0 0 0 0 0 0 0

MINT 59 22 3 0 0 1 0 0 0 0 0 0 0 85

OCC 1,324 147 19 13 1 1 0 0 0 0 0 0 1 1,506

TIGTA 26 0 0 0 0 0 0 0 0 0 0 0 0 26

TTB 16 2 0 1 0 0 0 0 0 0 0 0 0 19

AGENCY 

OVERALL

2,228 318 54 36 21 8 10 10 3 6 19 7 6 2,726
28

VII.C. Processed Complex Requests – Response Time in Day Increments

Agency / 

Component

<1-20

Days

21-40

Days

41-60

Days

61-80

Days

81-100 

Days

101-120 

Days

121-140 

Days

141-160 

Days

161-180 

Days

181-200 

Days

201-300 

Days

301-400 

Days

401+

Days TOTAL

BEP 8 4 1 0 0 0 0 0 0 0 0 0 1 14

DO 59 22 20 23 12 8 9 14 3 9 37 23 91 330

FinCEN 6 10 5 1 1 1 0 0 0 0 0 1 0 25

Fiscal Service 21 40 4 0 0 0 0 0 0 0 0 0 0 65

IRS 3,683 1,269 605 253 145 88 51 38 23 18 46 28 25 6,272

MINT 3 3 1 0 0 0 0 0 0 0 0 0 0 7

OCC 23 26 9 3 5 3 1 0 0 0 2 0 0 72

TIGTA 129 30 5 1 0 0 0 0 0 1 0 0 0 166

TTB 60 41 2 0 0 0 0 0 0 0 0 0 0 103

AGENCY 

OVERALL

3,992 1,445 652 281 163 100 61 52 26 28 85 52 117 7,054
29

VII.C. Processed Requests Granted Expedited Processing – Response Time in Day Increments

Agency / 

Component

<1-20

Days

21-40

Days

41-60

Days

61-80

Days

81-100 

Days

101-120 

Days

121-140 

Days

141-160 

Days

161-180 

Days

181-200 

Days

201-300 

Days

301-400 

Days

401+

Days TOTAL

BEP 0 0 0 0 0 0 0 0 0 0 0 0 0 0

DO 0 0 0 0 0 0 0 0 0 0 0 0 0 0

FinCEN 0 0 0 0 0 0 0 0 0 0 0 0 0 0

Fiscal Service 0 4 2 1 0 0 0 0 0 0 0 0 0 7

IRS 9 10 4 4 2 0 1 2 3 1 1 0 0 37

MINT 0 0 0 0 0 0 0 0 0 0 0 0 0 0

OCC 3 4 0 0 0 1 0 0 0 0 0 0 0 8

TIGTA 2 1 0 0 0 0 0 0 0 0 0 0 0 3

TTB 1 0 0 0 0 0 0 0 0 0 0 0 0 1

AGENCY 

OVERALL

15 19 6 5 2 1 1 2 3 1 1 0 0 56
30

VII.D. Pending Requests – All Pending Perfected Requests

Agency / Component

SIMPLE COMPLEX EXPEDITED PROCESSING

Number 

Pending

Median 

Number of 

Days

Average 

Number of 

Days

Number 

Pending

Median 

Number of 

Days

Average 

Number of 

Days

Number 

Pending

Median 

Number of 

Days

Average 

Number of 

Days

BEP 4 12 12 2 308 308 0 N/A N/A

DO 126 45 103 689 245 344 10 9 24

FinCEN 57 96 118 7 101 243 0 N/A N/A

Fiscal Service 29 15 51.1 15 15 96.4 1 8 8

IRS 0 N/A N/A 655 20 68 10 5 4

MINT 4 154.5 267.5 1 834 834 0 N/A N/A

OCC 62 8 20 7 87.5 76 2 N/A N/A

TIGTA 1 1 1 19 7 6 0 N/A N/A

TTB 1 10 10 6 13 14 0 N/A N/A

AGENCY OVERALL 284 28 85 1401 70 208 23 11 37
31

VII.E. Pending Reqeusts – Ten Oldest Pending Perfected Requests

Agency / 

Component

10th Oldest 

Request 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Request

BEP

Date of Receipt N/A N/A N/A N/A 2017-09-19 2017-09-19 2017-09-13 2017-09-12 2017-09-12 2015-05-11

Number of Days Pending 0 0 0 0 9 9 13 14 14 602

DO

Date of Receipt 2012-06-14 2012-06-07 2012-05-22 2012-02-07 2011-09-21 2011-08-22 2011-05-31 2011-02-09 2010-07-27 2008-01-28

Number of Days Pending 1331 1336 1347 1421 1514 1535 1593 1670 1809 2460

FinCEN

Date of Receipt 2016-08-26 2016-06-08 2016-05-10 2016-05-06 2016-04-01 2016-03-31 2016-03-02 2016-03-02 2015-10-02 2015-09-25

Number of Days Pending 275 331 351 353 378 379 400 400 501 506

Fiscal Service

Date of Receipt 2017-08-03 2017-08-01 2017-07-19 2017-06-14 2017-05-25 2017-02-14 2016-10-11 2016-08-29 2016-04-14 2013-04-03

Number of Days Pending 41 43 52 76 89 160 245 274 369 1130

IRS

Date of Receipt 2015-08-18 2015-04-27 2015-04-17 2015-04-06 2015-02-11 2014-11-12 2014-10-21 2014-09-15 2014-09-03 2014-08-08

Number of Days Pending 533 612 618 627 664 724 739 764 772 789

MINT

Date of Receipt N/A N/A N/A N/A N/A 2017-09-20 2017-09-06 2016-08-04 2014-10-01 2014-06-06

Number of Days Pending 0 0 0 0 0 8 18 291 753 834

OCC

Date of Receipt 2017-07-11 2017-07-07 2017-07-06 2017-06-27 2017-06-05 2017-05-18 2017-05-16 2017-05-15 2017-04-24 2016-07-06

Number of Days Pending 57 59 60 66 82 93 95 96 111 311

TIGTA

Date of Receipt 2017-09-28 2017-09-22 2017-09-22 2017-09-21 2017-09-19 2017-09-19 2017-09-18 2017-09-15 2017-09-15 2017-09-08

Number of Days Pending 1 5 5 6 8 8 9 10 10 15

TTB

Date of Receipt N/A N/A N/A 2017-09-28 2017-09-21 2017-09-19 2017-09-18 2017-09-07 2017-08-30 2017-08-23

Number of Days Pending 0 0 0 2 7 9 10 17 22 27

AGENCY OVERALL

Date of Receipt 2012-06-14 2012-06-07 2012-05-22 2012-02-07 2011-09-21 2011-08-22 2011-05-31 2011-02-09 2010-07-27 2008-01-28

Number of Days Pending 1331 1336 1347 1421 1514 1535 1593 1670 1809 2460
32

VIII. Requests for Expedited processing and fee Waiver

VIII.A. Requests for Expedited Processing

Agency / 

Component Number Granted Number Denied

Median Number 

of Days to 

Adjudicate

Average Number 

of Days to 

Adjudicate

Number 

Adjudicated 

Within Ten 

Calendar Days

BEP 0 4 1 1 4

DO 10 234 1 1 243

FinCEN 0 3 1 1 3

Fiscal Service 8 44 1 3.25 40

IRS 9 41 4 6 48

MINT 0 18 1 1 18

OCC 11 3 1 5.93 11

TIGTA 3 6 4 4.11 9

TTB 1 18 1 1 19

AGENCY 

OVERALL

42 371 1 3 395
33

VIII.B. Requests for Fee Waiver

Agency / 

Component Number Granted Number Denied

Median Number 

of Days to 

Adjudicate

Average Number 

of Days to 

Adjudicate

BEP 0 5 1 1

DO 84 342 1 1

FinCEN 0 9 1 1

Fiscal Service 19 103 1 1

IRS 115 23 4 18

MINT 0 27 1 1

OCC 14 1 1 6.27

TIGTA 0 0 N/A N/A

TTB 0 12 1 1

AGENCY 

OVERALL

232 522 1 4
34

IX. FOIA Personnel and Costs

Agency / 

Component

PERSONNEL COSTS

Number of "FullTime FOIA 

Employees"

Number of 

"Equivalent FullTime FOIA 

Employees"

Total Number of 

"Full-Time FOIA 

Staff"

Processing 

Costs

LitigationRelated Costs Total Costs

BEP 0 1.73 1.73 $162,134.00 $0.00 $162,134.00

DO 23 3.6 26.6 $3,318,917.24 $0.00 $3,318,917.24

FinCEN 2 0 2 $257,674.00 $47,796.00 $305,470.00

Fiscal Service 2 11 13 $1,550,548.00 $0.00 $1,550,548.00

IRS 10 58.33 68.33 $6,455,448.77 $762,708.47 $7,218,157.24

MINT 1 0.5 1.5 $180,930.00 $0.00 $180,930.00

OCC 9 0.57 9.57 $1,836,579.72 $0.00 $1,836,579.72

TIGTA 10 0 10 $188,926.72 $0.00 $188,926.72

TTB 1 1.61 2.61 $207,849.51 $0.00 $207,849.51

AGENCY 

OVERALL

58 77.34 135.34 $14,159,007.96 $810,504.47 $14,969,512.43
35

X. Fees Collected for Processing Requests

Agency / Component Total Amount of Fees 

Collected

Percentage of Total 

Costs

BEP $190.03 0.12%

DO $131,833.99 3.97%

FinCEN $0.00 0.00%

Fiscal Service $18,615.58 1.20%

IRS $46,314.00 0.72%

MINT $0.00 0.00%

OCC $149,060.00 8.12%

TIGTA $25.40 0.01%

TTB $1,254.38 0.60%

AGENCY OVERALL $347,293.38 2.45%
36

XI. Use of Subsection (c) Exclusions and Proactive Disclosures

XI.A. Number of Times Subsection (c) Used

Agency / Component Number of Times Subsection Used

BEP 0

DO 0

FinCEN 0

Fiscal Service 0

IRS 0

MINT 0

OCC 0

TIGTA 0

TTB 0

AGENCY OVERALL 0
37

XI.B. Number of Subsection (A)(2) Postings

Agency / Component

Number of Records 

Posted by the FOIA 

Office

Number of Records 

Posted by Program 

Offices

BEP 0 22

DO 8 139

FinCEN 1 7

Fiscal Service 5 23

IRS 4 3,069

MINT 3 0

OCC 0 99

TIGTA 2 0

TTB 19 0

AGENCY OVERALL 42 3,359
38

XII. Backlogs, Consultations, and Comparisions

XII.A. Backlogs of FOIA Requests and Administrative Appeals

Agency / Component

Number of 

Backlogged Requests 

as of End of Fiscal 

Year

Number of 

Backlogged Appeals 

as of End of Fiscal 

Year

BEP 1 0

DO 738 83

FinCEN 41 6

Fiscal Service 17 0

IRS 276 0

MINT 3 0

OCC 16 0

TIGTA 0 0

TTB 2 0

AGENCY OVERALL 1,094 89
39

XII.B. Consultations on FOIA Requests – Received, Processed, and Pending 

Consultations

Agency / Component

Number of 

Consultations 

Received from Other 

Agencies that were 

Pending at the Agency 

as of Start

of the Fiscal Year4

Number of

Consultations 

Received from Other 

Agencies During the 

Fiscal Year

Number of 

Consultations 

Received from Other 

Agencies that were 

Processed by the 

Agency During the 

Fiscal Year

Number of 

Consultations 

Received from Other 

Agencies that were 

Pending at the Agency 

as of End

of the Fiscal Year

BEP 0 1 1 0

DO 16 37 44 9

FinCEN 0 39 37 2

Fiscal Service 0 1 1 0

IRS 9 116 119 6

MINT 0 0 0 0

OCC 0 0 0 0

TIGTA 0 4 4 0

TTB 0 0 0 0

AGENCY OVERALL 25 198 206 17

 4 The number of consultations pending at the start of the fiscal year was updated from last year’s report for DO and IRS: DO 

increased by 4, and IRS increased by 1.
40

XII.C. Consultations on FOIA Requests – Ten Oldest Consultations Received from Other Agencies and Pending at the 

Agency

Agency / 

Component

10th Oldest 

Consultation 9th 8th 7th 6th 5th 4th 3rd 2nd Oldest Consultation

BEP

Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A

Number of Days 0 0 0 0 0 0 0 0 0 0

DO

Date N/A 2017-07-20 2017-03-02 2017-02-27 2016-07-08 2016-05-31 2016-05-16 2016-02-09 2015-12-18 2014-08-05

Number of Days 0 51 149 152 310 337 347 415 449 793

FinCEN

Date N/A N/A N/A N/A N/A N/A N/A N/A 2017-09-29 2017-04-28

Number of Days 0 0 0 0 0 0 0 0 1 108

Fiscal Service

Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A

Number of Days 0 0 0 0 0 0 0 0 0 0

IRS

Date N/A N/A N/A N/A N/A N/A 2017-09-08 2017-08-02 2017-08-02 2017-07-26

Number of Days 0 0 0 0 0 0 15 41 41 46

MINT

Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A

Number of Days 0 0 0 0 0 0 0 0 0 0

OCC

Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A

Number of Days 0 0 0 0 0 0 0 0 0 0

TIGTA

Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A

Number of Days 0 0 0 0 0 0 0 0 0 0

TTB

Date N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A

Number of Days 0 0 0 0 0 0 0 0 0 0

AGENCY 

OVERALL

Date 2017-07-20 2017-04-28 2017-03-02 2017-02-27 2016-07-08 2016-05-31 2016-05-16 2016-02-09 2015-12-18 2014-08-05

Number of Days 51 108 149 152 310 337 347 415 449 793
41

XII.D.(1). Comparison of Numbers of Requests from Previous and Current Annual Report – Requests Received 

and Processed

Agency / Component

NUMBER OF REQUESTS RECEIVED NUMBER OF REQUESTS PROCESSED

Number Received 

During Fiscal Year 

from Last Year's 

Annual Report

Number Received 

During Fiscal Year 

from Current Annual 

Report

Number Processed 

During Fiscal Year 

from Last Year's 

Annual Report

Number Processed 

During Fiscal Year 

from Current Annual 

Report

BEP 58 56 64 54

DO 894 1,178 720 960

FinCEN 417 459 399 415

Fiscal Service 280 369 284 339

IRS 8,825 8,255 8,791 8,506

MINT 97 119 97 117

OCC 1,432 1,609 1,434 1,614

TIGTA 267 260 277 250

TTB 103 129 105 124

AGENCY OVERALL 12,373 12,434 12,171 12,379
42

XII.D.(2). Comparison of Number of Requests from Previous and Current Annual 

Report – Backlogged Requests

Agency / Component

Number of Backlogged 

Requests as of End of 

the Fiscal Year from 

Previous Annual Report

Number of Backlogged 

Requests as of End of 

the Fiscal Year from 

Current Annual Report

BEP 2 1

DO 531 738

FinCEN 3 41

Fiscal Service 0 17

IRS 334 276

MINT 0 3

OCC 23 16

TIGTA 0 0

TTB 0 2

AGENCY OVERALL 893 1,094
43

XII.E.(1). Comparison of Numbers of Administrative Appeals from Previous and Current Annual Report –

Appeals Received and Processed

Agency / Component

NUMBER OF APPEALS RECEIVED NUMBER OF APPEALS PROCESSED

Number Received 

During Fiscal Year 

from Last Year's 

Annual Report

Number Received 

During Fiscal Year 

from Current Annual 

Report

Number Processed 

During Fiscal Year 

from Last Year's 

Annual Report

Number Processed 

During Fiscal Year 

from Current Annual 

Report

BEP 3 4 3 4

DO 18 21 26 16

FinCEN 9 3 11 0

Fiscal Service 11 4 13 3

IRS 190 123 192 120

MINT 1 2 1 2

OCC 7 13 7 12

TIGTA 15 12 15 14

TTB 4 0 3 0

AGENCY OVERALL 258 182 271 171
44

XII.E.(2). Comparison of Numbers of Administrative Appeals from Previous and 

Current Annual Report – Backlogged Appeals

Agency / Component

Number of Backlogged 

Appeals as of End of the 

Fiscal Year from 

Previous Annual Report

Number of Backlogged 

Appeals as of End of the 

Fiscal Year from Current 

Annual Report

BEP 0 0

DO 63 83

FinCEN 0 6

Fiscal Service 0 0

IRS 0 0

MINT 0 0

OCC 1 0

TIGTA 0 0

TTB 1 0

AGENCY OVERALL 65 89