Department of the Treasury 

 2015 Chief Freedom of Information Act Officer Report 

to the Attorney General of the United States

THE DEPARTMENT OF THE TREASURY

1789
2

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

Records 

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

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

Department1) 2015 Chief Freedom of Information Act Officer Report 

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

Treasury initiatives to comply with the Freedom of Information Act2

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

This report covers the period of March 2014 through March 2015 (the 

reporting period).

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

Transparency, and Records at (202) 622-0930 or FOIA Link: 

(TreasFOIA@Treasury.gov). This report, as well as previous reports, 

can be found on the Department’s FOIA website: Treasury's FOIA website link: 

(www.treasury.gov/foia)

Helen Goff Foster 

Deputy Assistant Secretary 

For Privacy, Transparency, and Records

U.S. 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

2015 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 ..................................................... 6

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

for Responding to Requests.......................................................................................................... 13

Section III: Steps Taken to Increase Proactive Disclosure .......................................................... 16

Section IV: Steps Taken to Improve the Use of Technology ...................................................... 20

Section V: Steps Taken to Reduce any Backlogs of Pending FOIA requests and to Improve 

Timeliness in Responding to Requests. ........................................................................................ 25

Spotlight on Success..................................................................................................................... 30
4

FOIA at the Department of the Treasury 

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

separately receive and respond to FOIA requests: 

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

2. Bureau of Engraving and Printing (BEP) 

3. Bureau of the Fiscal Service (Fiscal Service3) 

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 (DO) 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. The Deputy Assistant 

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

Treasury Chief FOIA Officer.

Treasury received 14,107 FOIA requests during Fiscal Year (FY) 2014. This figure represents a 

6 percent decrease from FY2013 and continues a downward trend in recent years. From FY 

2009 through the present, Treasury received an average of 16,567 requests per fiscal year (See 

Figure 1).

 

3

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

0

5,000

10,000

15,000

20,000

25,000

2009 2010 2011 2012 2013 2014

20,075 

16,911 16,776 16,610 15,040 14,107 

Figure 1. Total number of FOIA requests received at 

he 

Bureau of the Fiscal Service.

4 DO includes the Offices of Domestic Finance, Economic Policy, the Office of 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 (FSOC), an entity chaired by the Secretary of the Treasury. For more 

information see Treasury Organizational Structure: (Treasury's Organizational Structure: 

(http://www.treasury.gov/about/organizational-structure/Pages/default.aspx).
5

In FY 2014, there was a wide disparity in the number of FOIA requests directed to individual 

Treasury Bureaus. For example, IRS received 10,454 requests in FY 2014 or 74% of Treasury’s 

total FOIA requests. On the other hand, TTB, BEP, and MINT each received fewer than 150 

requests during the same period (See Figure 2).

0

2,000

4,000

6,000

8,000

10,000

12,000

IRS OCC DO Fiscal

Service

TIGTA FinCEN MINT BEP TTB

Received 10,454 1,806 732 292 282 284 119 88 50

Processed 10,109 1,801 946 306 287 277 130 83 50

Number of Requests 

Figure 2. Number of FOIA requests received and processed during 

FY 2014 by Treasury Bureau 

The Department closed 13,991 requests in FY 2014 or 99.2% of the number of requests received 

in FY 2014. DO, Fiscal Service, TIGTA, Mint, and TTB closed more requests than they 

received in FY 2014. 
6

Section I: Steps Taken to Apply the Presumption of Openness 

1. Did your agency conduct FOIA training during the reporting period for FOIA professionals? 

As described below, the Department conducted a number of FOIA training sessions during 

the reporting period. 

2. If yes, provide a brief description of the type of training conducted and the topics covered. 

Treasury held its first FOIA Summit on December 3, 2014. More than 60 FOIA 

professionals attended. The FOIA Summit consisted of the following topics: 

 FOIA Exemptions 4, 5, and 8

 FOIA Roundtable Discussion – FOIA Best Practices 

 Best Practices for Communicating with FOIA Requesters 

 FOIA Websites, Libraries, Proactive Disclosure, and Discretionary Releases 

IRS conducted the following training for its FOIA professionals during the reporting period:

 IRS held two virtual training sessions for IRS disclosure employees located 

outside of the National Capital Region in June 2014 and January 2015. More than 

145 IRS employees attended each session. The training covered a variety of 

FOIA topics including improving FOIA responses and improving redactions 

made to transcripts requested under the FOIA. 

 IRS provided a basic two-week FOIA training course to all new FOIA 

caseworkers and managers during the reporting period. The training consisted of 

8 hours of FOIA legal and procedural requirements. The training was conducted 

in two phases: Phase I was held March 17 – 28, 2014, with 16 participants. 

Phase II was held August 18 – 29, 2014, with 10 participants. 

 IRS conducted bureau-wide FOIA training for disclosure employees during 2015,

which included virtual sessions on FOIA obligations, proactive disclosures, and 

discretionary releases. The training was held on February 25, 2015, with 165 

participants. 

OCC conducted the following FOIA training during the reporting period: 

 Basic FOIA training and teleconferences for OCC’s Licensing Staff in May 

2014, with 10 participants.

 Basic FOIA briefings for the OCC Enforcement and Compliance Division of the 

OCC’s Law department in April 2014, with five participants to discuss disclosure 

of certain enforcement records. 

 Basic training for FOIA Professionals on processing bank corporate applications 

every Thursday during the reporting period, with eight participants. 
7

3. Did your FOIA professionals attend any FOIA training or conferences during the reporting 

period such as that provided by the Department of Justice (DOJ)? If yes, list the name of the 

training. 

Yes, the Department’s FOIA professionals attended a number of training sessions and 

conferences during the reporting period, including those provided by DOJ. 

BEP’s FOIA professionals attended the following training during the reporting period: 

 DOJ’s FOIA for Attorneys and Access Professionals on July 15-16, 2014, four 

attended. 

 DOJ’s Best Practices Workshop on Proactive Disclosures and Making Online 

Information more Useful on July 17, 2014, one attended. 

 Treasury’s FOIA Summit on December 3, 2014, six attended. 

DO’s FOIA professionals attended the following training during the reporting period: 

 DOJ’s FOIA for Attorneys and Access Professionals on February 25 – 26, 2014, 

one attended. 

 DOJ’s Freedom of Information Act Administrative Forum on June 11, 2014, five 

attended. 

 DOJ’s Requester’s Roundtable on June 17, 2014, four attended. 

 DOJ’s Annual Report and Chief FOIA Officer Report Refresher on October 7, 

2014, three attended. 

 American Society for Access Professionals (ASAP) 508 Compliance Training on 

October 20 – 23, 2014, three attended. 

 DOJ’s Best Practices from the Requester’s Perspective Workshop on October 28, 

2014, five attended. 

 Treasury’s FOIA Summit on December 3, 2014, eight attended. 

 DOJ’s Best Practices Workshop: Implementing Technology to Improve FOIA 

Processing on December 9, 2014, four attended. 

FinCEN’s FOIA professionals attended the following training during the reporting period: 

 DOJ’s FOIA for Attorneys and Access Professionals on February 25 – 26, 2014, 

one attended. 

 Treasury’s FOIA Summit training on December 3, 2014, three attended. 

IRS’ FOIA professionals attended the following training during the reporting period: 

 ASAP FOIA/Privacy Act training during September 2014, three attended. 

 ASAP webinars covering FOIA, FOIA Exemptions Overview, Exemption 4, Fees 

and Waivers and FOIA-Privacy Act Interface, 23 attended. 

 ASAP FOIA training in December 2014, three attended. 

 Treasury’s FOIA Summit on December 3, 2014, four attended. 
8

 DOJ’s Proactive Disclosures Best Practices Workshop on July 17, 2014, one 

attended. 

MINT’s FOIA professionals attended the following training during the reporting period:

 ASAP 2014 National FOIA Training Conference on May 12-14, 2014, two

attended.

 DOJ’s Proactive Disclosures and Making Online Information More Useful in July 

2014, two attended. 

 DOJ’s Reducing Backlogs and Improving Timeliness in May 2014, two attended. 

 Treasury’s FOIA Summit on December 3, 2014, two attended. 

OCC’s FOIA professionals attended the following training during the reporting period: 

 AINS, Inc. FOIA Overview on October 28 – 29, 2014, two attended. 

 AINS, Inc. User’s Group in August 2014, eight attended. 

 DOJ’s Reducing Backlogs and Improving Timeliness in May 2014, two attended. 

 ASAP Training in May, 2014, two attended. 

 DOJ’s Best Practices from the Requester’s Perspective on October 28, 2014, three 

attended. 

 Treasury’s FOIA Summit on December 3, 2014, nine attended. 

TIGTA’s FOIA professionals attended the following training during the reporting period: 

 Office of the Inspector General’s FOIA Working Group on July 22, 2014, two 

attended.

 DOJ’s Best Practices Workshop: Proactive Disclosures & Making Online 

Information More Useful on July 17, 2014, two attended. 

 DOJ’s Best Practices Workshop - Implementing Technology to Improve FOIA 

Processing on December 9, 2014, two attended.

 ASAP Annual Symposium and Training Conference in December 2014, two 

attended. 

 ASAP 2014 National FOIA Training Conference on May 12-14, 2014, two 

attended.

 Treasury’s FOIA Summit on December 3, 2014, five attended. 

 IRS’ Web Conferencing System: Workshop on FOIA Exemption (b)(5) and 

Discretionary Disclosure on February 25, 2015, one attended. 

TTB’s FOIA professionals attended the following training during the reporting period: 

 IAPP Global Privacy Summit 2014 on March 5-7, 2014, one attended. 

 DOJ’s Proactive Disclosures & Making Online Information More Useful on July 

17, 2014, one attended. 

 Treasury’s FOIA Summit on December 3, 2014, one attended. 
9

4. Provide an estimate of the percentage of your FOIA professionals and staff with FOIA 

responsibilities who attended substantive FOIA training during this reporting period. 

During the reporting period, 100% of Treasury’s full-time FOIA professionals attended 

substantive FOIA training. 

5. In the 2014 Chief FOIA Officer Report Guidelines, OIP asked agencies to provide a plan for 

ensuring that core, substantive FOIA training is offered to all agency FOIA professionals at 

least once each year. Please provide the status of your agency’s implementation of that plan.

In its 2014 Chief FOIA Officer report, Treasury reported that Department FOIA 

professionals planned to participate in Department of Justice and ASAP sponsored training 

events. During the reporting period, as described above, Treasury’s FOIA professionals 

sought out and actively participated in training opportunities. Significantly, Treasury held its 

first FOIA summit for Department FOIA professionals. As a result of these efforts, 100% of 

Treasury’s full-time FOIA professionals attended training during the reporting period. 

Treasury has already begun planning its second FOIA summit, which will take place in 

December 2015. 

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 the outreach and dialogue. 

As outlined below, Treasury met and collaborated with the requester community during the 

reporting period. 

 Treasury’s FOIA Staff met and engaged with civil society groups as part of the 

Open Government working group sessions. Topics discussed at the quarterly 

meetings included the proactive disclosure of information, the open data initiative,

and digital government strategy requirements.

 IRS met with a team that is part of the Open Government Partnership on June 30, 

2014, to discuss modernization of FOIA administration, including the launch of a 

consolidated online FOIA service. In addition, a discussion was held on the IRS’s

unique needs with respect to the FOIA and participation in an online web portal.

IRS provided the team with an overview of FOIA processing and the interplay 

with the IRC § 6103.

All Treasury Bureaus routinely engage with FOIA requesters who contact the public liaison 

for assistance. For example, BEP, FinCEN, Mint, OCC, TIGTA, and TTB provided one-onone assistance to requesters through emails, letters, and the FOIA Helpline and Resource 

Center. Bureau FOIA professionals assist by explaining the process for submitting a FOIA 

request, the FOIA fee structure, FOIA exemptions and the need for proper consent from the 

record holder before any information can be released as well as other best practices.
10

7. If you did not conduct any outreach during the reporting period, please describe why? 

N/A 

8. Does your agency have a distinct process or system 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 of your agency have such a process or 

system in place. 

The Department of the Treasury’s administration of FOIA is decentralized. All Bureaus 

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

Attorney General’s FOIA Guidelines in making discretionary release determinations to 

ensure that information is released unless the disclosure creates a reasonable expectation of 

foreseeable harm. The Bureaus have embedded reviews for discretionary releases in 

standard operating procedures. For example, within DO - as part of its normal review 

processes - a supervisory FOIA analyst in collaboration with the Program Office will 

consider whether a document, or portions of that document, may be released as a matter of 

discretion. Additionally, FinCEN established a management group to review FOIA requests 

involving certain topics for discretionary release considerations. 

9. During the reporting period, did your agency make any discretionary releases of information? 

Yes. 

10. What exemption(s) would have covered the material released as a matter of discretion? 

FOIA Exemptions 2, 5, and 7(E). 

11. Provide a narrative description, as well as some specific examples, of the types of 

information that your agency released as a matter of discretion during the reporting year. 

The Department of the Treasury released the following types of information as a matter of 

discretion during the reporting period: 

DO released draft documents that contained the deliberative opinions and recommendations 

of agency employees in situations where it was determined that the release of the information 

would not cause harm. Such information qualified for protection under Exemption 5 of the 

FOIA. 

FinCEN released 31 memoranda of understanding between FinCEN and other law 

enforcement, regulatory, and intelligence agencies after consultation with those agencies and 

determining that the release of the information would not cause harm. Such documents were 

previously withheld pursuant to Exemption 7(E) of the FOIA. 

Fiscal Service released two memoranda of understanding that had been previously withheld 

under Exemption 5 of the FOIA. 
11

IRS released certain pre-decisional documents that could have been withheld under 

Exemption 5 of the FOIA. Additionally, IRS released information related to the hiring of 

Estate and Gift Tax Attorneys. Certain information was determined to be exempt pursuant to 

Exemption 2 of the FOIA as “internal personnel rules and practices”; however, it was 

released as a matter of discretion.

MINT released internal deliberative communications that contained the recommendations 

and opinions of agency employees related to the replacement of the Mint's Order 

Management System. Such records qualified for protection under Exemption 5 of the FOIA. 

TIGTA released case notes regarding various processing actions, special agent notes 

pertaining to an investigative action plan, Counsel Guidance to staff pertaining to redacted 

tax return information, drafts of proposed response letters/search memos, and other 

information that qualified for protection under Exemption 5 of the FOIA. In each case, 

TIGTA determined that release of the exempt information would not cause harm. 

TTB released certain draft memoranda, letters, and other pre-decisional documents and 

information that qualified for protection under Exemption 5 of the FOIA.

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

why. 

Due to the nature of the records being requested, BEP was not able to make any discretionary 

releases during the reporting period. The majority of the FOIA requests submitted to BEP 

pertained to personnel matters and involved records that if publicly disclosed would cause an 

unwarranted invasion of personal privacy. 

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

obligations under the FOIA? 

During the reporting period, Treasury’s FOIA professionals conducted internal outreach and 

awareness training sessions that focused on each Treasury employee’s responsibility in 

ensuring compliance with the FOIA. 

During March and April of 2014, Treasury held a FOIA awareness campaign named “FOIA

is Everyone’s Responsibility”. The campaign involved a broadcast message to all Treasury 

employees from the Department’s Chief FOIA Officer, as well as electronic and paper 

posters that were posted at Headquarters entryways, on Treasury’s intranet page, and were 

distributed electronically to the Bureaus. Additionally, DO’s FOIA Staff conducted one-onone and group training sessions for program points of contact and held an appreciation event 

for Bureau FOIA Staff. 

Additionally, during the reporting period, Treasury employees were encouraged to register 

for two online training resources entitled “FOIA Essentials” and “Transparency and Open 

Government Awareness.” These courses are available to all Treasury employees on the 

online Treasury Learning Management System (TLMS). 
12

IRS maintains and regularly updates an internal website for IRS employees that contains 

FOIA training, guidance, and awareness materials. Additionally, IRS distributes the “IRS

Disclosure Awareness Guide” to all newly hired IRS employees during their orientation. The 

guide outlines the requirements of the FOIA and describes each employee’s role and 

responsibility in the FOIA process at IRS. 

During the reporting period, OCC published a Policies and Procedures Issuance that 

describes in detail their internal process for processing requests and the importance of every 

staff member’s cooperation in the processing of FOIA requests. This issuance was also 

transmitted by a memorandum to all employees by OCC’s Chief of Staff emphasizing each

employee’s responsibilities under the FOIA. In addition, OCC developed a number of 

information slides that appear periodically on their digital signage boards throughout the 

OCC building that reminds employees of their responsibilities under the FOIA and have 

published a number of articles for the employee bi-monthly newsletter. Finally, OCC has 

instituted an ongoing educational program for maintaining employee awareness of the 

importance of FOIA. 

TTB’s FOIA Officer circulated the President’s FOIA memorandum and the Attorney 

General’s FOIA Guidelines to all TTB staff. Additionally, TTB developed and published 

TTB-specific FOIA training for employees and has made that training available via TLMS. 

Such training is mandatory for all TTB employees. 

BEP provided an internal memorandum to all Associate Directors and Office Chiefs with 

basic FOIA and Privacy Act tips to help offices efficiently process requests. The 

memorandum outlines the requirements of the FOIA and describes each employee’s role and 

responsibility in the FOIA process. 

14. If there are any other initiatives undertaken by your agency to ensure that the presumption of 

openness is being applied, please describe them here. 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 also are expected to 

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

complete relevant training on their roles and responsibilities for FOIA processing. 
13

Section II: Steps Taken to Ensure that Treasury has an Efficient and Effective 

System in Place for Responding to Requests 

1. In the 2014 Chief FOIA Officer Report Guidelines, OIP asked agencies about the status of 

converting all eligible FOIA professionals to the new Government Information Series. If 

your agency reported that its staff was eligible for conversion but had not yet converted all 

professionals to the new series, what is the current proportion of personnel that have been 

converted? 

In the 2014 Chief FOIA Officer Report, Treasury reported that 30% of eligible full-time 

FOIA positions had been converted to the new Government Information Series. During 

FY14, additional positions were successfully converted. Currently, 51% of Treasury’s 

eligible full-time FOIA professionals have been converted to the Government Information 

Series. 

2. If your agency has not converted all of its eligible employees yet, what is your plan to ensure 

that all FOIA professionals’ position descriptions are converted?

Several Treasury Bureaus have experienced challenges in converting eligible full-time FOIA 

professionals to the Government Information Series. For example, IRS’s conversion has 

been delayed due to the requirement to negotiate the change with the National Treasury 

Employees Union. Other Bureaus, including Fiscal Service and Mint, are currently working 

with human resources professionals to initiate the conversion. 

In Treasury’s 2014 Chief FOIA Officer Report, OCC reported that they had declined to 

convert to the new series because they had recently converted their FOIA professionals to 

FOIA Specialists from Public Affairs Specialists. During the reporting period, OCC’s FOIA 

staff began discussing and planning for the future conversion of its full-time FOIA 

professionals to the Government Information Series. 

3. For Fiscal Year 2014, what was the average number of days your agency reported for 

adjudicating requests for expedited processing? 

During FY2014, Treasury’s adjudicated requests for expedited processing within an average 

of 2.3 days. 

4. If your agency’s average number of days to adjudicate requests for expedited processing was 

above ten calendar days, please describe the steps your agency will take to ensure that 

requests for expedited processing are adjudicated within ten calendar days or less. 

N/A 

5. If your agency has a decentralized FOIA process, has your agency taken steps to make the 

routing of misdirected requests within your agency more efficient? If so, please describe 

those steps. 
14

During the reporting period, the Department has taken steps to make the routing of 

misdirected requests more efficient. For example, misdirected requests received at DO are 

immediately forwarded to the correct Bureau electronically, either via email or Treasury’s

FOIA request online tracking system known as goFOIA. Additionally, DO’s FOIA 

professionals notify the FOIA requester of the transfer via phone or email. Previously, such 

requests were often entered into the tracking system twice – once by the receiving Bureau 

and again by the Bureau to which the request was directed. This process resulted in a 

duplication of effort.

6. If your agency is handling the routing of mishandled requests in an efficient manner, please 

note that here and describe your process for these requests. 

As described above, Treasury has made process changes to the FOIA intake process to 

improve timeliness and customer service in cases where a request is misdirected. 

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

Government Information Services (OGIS) at the National Archives and Records 

Administration? If yes, in what circumstances do you do so? 

Yes, the Department notifies requesters of the mediation services offered by OGIS. 

DO and Mint notify requesters of the mediation services offered by OGIS in their final 

response letter. 

BEP, FinCEN, Fiscal Service, IRS, TIGTA, and TTB notify requesters of the mediation 

services offered by OGIS in their appeal response letters. 

8. When assessing fees, does your agency provide a breakdown of how FOIA fees were 

calculated and assessed to the FOIA requester? For example, does your agency explain the 

amount of fees attributable to search, review, and duplication? 

Yes, the Department provides a detailed breakdown of how FOIA fees were calculated and 

assessed and also explains the amount of fees attributable to search, review, and duplication 

in a fee letter to the requester.

9. If estimated fees are particularly high, does your agency provide an explanation for the 

estimate to the requester? 

Yes, as described above, the Department provides a detailed explanation in each fee letter. 
15

10. If there are 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., please describe them 

here. 

The Department has consistently invested in process and technology improvement efforts to 

ensure that the FOIA systems operate efficiently and effectively. Some of these

improvements are described below: 

BEP’s FOIA staff collaborates on a regular basis with the respective BEP directorates during 

the search, review, and response period to ensure that the FOIA system operates efficiently 

and effectively. As a result of the collaboration, the FOIA staff is able to respond to requests 

in a timely manner. 

DO’s FOIA staff continue to work with the Department’s Information Technology 

professionals and goFOIA users to identify and implement improvements and enhancements 

to goFOIA, Treasury’s FOIA request tracking system. During the reporting period, DO 

began planning the next release of the goFOIA system which will include enhancements to 

FOIA reporting, correspondence automation, an online status check feature, and streamlining 

of online submissions of FOIA requests. 

FinCEN implemented a Bank Secrecy Act (BSA) IT Modernization program, which among 

other things, has resulted in expanded search capabilities for records in their electronic 

systems. This enhancement has resulted in faster search times and increased efficiency in 

searching for electronic records. 

IRS continues to evaluate and monitor its caseload. During the reporting period, IRS made 

process improvements based on staff availability that resulted in a more effective 

management of their FOIA inventory nationwide. As a result of their FOIA inventory 

control efforts and collaboration with the different business units, search times improved in 

the gathering of responsive records. In addition, IRS made use of its e-discovery system 

which is used on a limited basis to process requests where the responsive documents are 

voluminous.

OCC continues to ensure that their FOIAXpress system is current, with the latest version in 

place within a Cloud-based service maintained by its vendor. OCC’s IT professionals review 

the system annually or more, if necessary, to make sure all facets of security are met. They 

have also received dedicated space on their network to maintain documents that are gathered 

in the search process, particularly when they have requests involving voluminous quantities 

of documents. This dedicated space is on the OCC network and is routinely backed up. 

They also continue to use tools that help in the de-duplication of emails. 

TIGTA implemented new technology that expanded search functionality and added deduplication features to the FOIAXpress system. 
16

Section III: Steps Taken to Increase Proactive Disclosure

1. Does your agency have a distinct process or system in place to identify records for proactive 

disclosure? If so, please describe your agency’s process or system.

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

Treasury FOIA Offices make records available proactively on their websites or FOIA 

Libraries when a request is made for the same records three or more times. In addition, 

records are made available when the topics are of significant interest to the general public 

that will likely lead to a subsequent request for substantially the same information. 

2. Does your process or system involve any collaboration with agency staff outside the FOIA 

office? If so, describe this interaction. 

Department FOIA professionals routinely collaborate with program office staff to identify 

records for proactive disclosure. For example, during the reporting period, DO’s FOIA Staff 

collaborated with the Treasury Library to identify historical documents appropriate for 

proactive posting. 

3. Describe your agency’s process or system for identifying “frequently requested” records that 

should be posted online. 

FOIA professionals at BEP, DO, FINCEN, Fiscal Service, Mint, OCC, TIGTA, and TTB 

review incoming requests on a daily basis to identify frequently requested records. IRS has a 

cross-functional team of individuals representing major IRS functional offices that assist with 

FOIA searches and identify frequently requested documents that can be proactively 

disclosed, where applicable. 

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

reporting year, including links to the posted material. 

During the reporting period, the Department has proactively disclosed the following types of 

records and information: 

BEP has made the following documents proactively available on its website: 

 Chief Financial Officer Performance and Accountability reports: BEP's CFO 

Reports: (http://www.moneyfactory.gov/aboutthebep/cforeport.html)

 Monthly Production Reports: BEP's Monthly Production Reports: 

(http://www.moneyfactory.gov/uscurrency/monthlyproductionreport.html)

 Annual Production Figures: BEP's Annual Production Figures: 

(http://www.moneyfactory.gov/uscurrency/annualproductionfigures.html)

DO has made the following documents and information proactively available on its website: 
17

 Interest Rate Statistics: Interest Rate Statistics: 

(http://www.treasury.gov/resource-center/data-chart-center/interestrates/Pages/default.aspx)

 Treasury Recovery Act Data: Treasury's Recovery Act Data: 

(http://www.treasury.gov/resource-center/data-chart-center/recoveryact/Pages/Recovery-Act-Data-Visualization.aspx)

 Wall Street Reform: Wall Street Reform Link: 

(http://www.treasury.gov/initiatives/wsr/Pages/wall-street-reform.aspx)

FinCEN has made the following documents and information proactively available on its 

website: 

 FinCEN Open Government Initiative: FinCEN' Open Government Initiative: 

(http://www.fincen.gov/fromHome/openGov.html)

Fiscal Service has made the following documents and information proactively available on 

its website: 

 Fiscal Service Electronic Reading Room: Fiscal Service's Electronic Reading 

Room: (http://www.treasurydirect.gov/foia/foia_readroom.htm)

IRS has made the following documents and information proactively available on its website: 

 Large Business & International Division: International Practice Units have been 

identified and were evaluated for publication on the IRS.gov website. Practice 

Units are developed through internal collaboration and serve as both job aids and 

training materials on international tax issues. For example, Practice Units provide 

IRS staff with explanations of general international tax concepts as well as 

information about a specific type of transaction. IRS will only publish to its 

website Practice Units verified to have no sensitive information protected by 

FOIA exemptions in the initial phase. Remaining Practice Units will undergo 

review and clearance to identify and remove sensitive information prior to 

publication. IRS Electronic Reading Room IRS' Electronic Reading Room: 

(http://www.irs.gov)

 In January 2015, the IRS’ Return Preparer Office launched a database of 

credentialed return preparers and preparers without credentials who have met the 

requirements for certification under the Annual Filing Season Program. This 

program’s goals are to recognize the efforts of non-credentialed return preparers 

to reach a higher level of professionalism through continuing professional 

education. The database will provide taxpayers useful information to help them 

make informed decisions when selecting a tax preparer. Filing Program: IRS' Tax 

Filing Program: (http://www.irs.gov/Tax-Professionals/Annual-Filing-SeasonProgram)

Mint has made the following documents and information proactively available on its 

website: 
18

 Mint’s Newsroom, Mint's Newsroom Link: (http://www.usmint.gov/pressroom/)

o Press Releases 

o Image Library 

o Coins Online Newsletter 

o Consumer Alerts 

o Product Schedule 

o Special Reports 

 Mint Annual Reports, Mint's Annual Reports: 

(http://www.usmint.gov/about_the_mint/?action=annual_report) 

 2014 Biennial Report to Congress on the Research and Development of 

Alternative Metals for the Nation’s Circulating Coins, Mint's Biennial Report on 

Coins: (http://www.usmint.gov/about_the_mint/?action=biennialreport2014)

 Mint Production and Sales Figures, Mint's Production and Sales Figures: 

(http://www.usmint.gov/about_the_mint/?action=coin_production) 

o Cumulative Sales of Numismatic Products, updated weekly. 

o Sales of Numismatic Precious Metal Products, updated annually. 

o Sales and Mintage of Bullion, sales data updated weekly, mintage data 

updated annually. 

o Production of Circulating Coins, updated monthly. 

OCC has made the following documents and information proactively available on its 

website: 

 OCC bank license website: OCC's Bank license website: 

(http://www.occ.gov/topics/licensing/national-bank-lists/index-active-banklists.html)

TIGTA has made the following documents and information proactively available on its 

website: 

 Press releases: TIGTA's Press releases: 

(http://www.treasury.gov/tigta/publications_press.shtml)

 Congressional testimony: TIGTA's Congressional Testimony: 

(http://www.treasury.gov/tigta/publications_congress.shtml)

 TIGTA semiannual report to Congress: TIGTA's Semiannual Report: 

(http://www.treasury.gov/tigta/semiannual/semiannual_mar2014.pdf)

 TIGTA I&E report website TIGTA's I&E Reports: 

(http://www.treasury.gov/tigta/oie_iereports_fy14.shtml)

 TIGTA 2014 audit reports website TIGTA's Audit Reports: 

(http://www.treasury.gov/tigta/oa_auditreports_fy14.shtml)

 TIGTA challenges for IRS TIGTA's challenges for IRS: 

(http://www.treasury.gov/tigta/management/management_fy2015.pdf)

 TIGTA highlights: TIGTA's Highlights: 

(http://www.treasury.gov/tigta/oi_highlights.shtml)
19

 TIGTA phone scam report: TIGTA's Phone Scam Report: 

(http://www.treasury.gov/tigta/press/press_tigta-2014-03.htm)

TTB has made the following documents and information proactively available on its 

website: 

 TTB's FOIA website: (www.ttb.gov/foia/frl.shtml)

 TTB Reading Room: TTB's Reading Room: (www.ttb.gov/foia/err.shtml)) 

 Compromise Actions: TTB's Compromise Actions: 

(www.ttb.gov/fo/compromise.shtml#offers)

5. If there are any other steps your agency has taken to increase proactive disclosures, please 

describe them here. 

BEP, DO, Fiscal Service, Mint, OCC, TIGTA, and TTB monitor their FOIA request 

inventories frequently to determine if they received three or more of the same request for 

records and immediately post them to their website or FOIA library. 

DO’s FOIA professionals are currently working with the Treasury Library to identify and 

make publicly available certain historical documents that are currently only available in hard 

copy. 
20

Section IV: Steps Taken to Improve the Use of Technology 

1. Can a member of the public track the status of his or her request or appeal electronically? 

Currently, only requests and appeals submitted to OCC can be tracked electronically. OCC 

has provided this service since January 2009 through their online Public Access Link Portal 

that is connected to FOIAXpress. 

Although requesters cannot electronically track the status of requests submitted to Bureaus 

other than OCC, individual requesters can check the status of a request or appeal by 

contacting the Bureau FOIA Public Liaison via phone or email to obtain the status of his/her 

request. 

2. If yes, is this tracking feature provided to the public? For example, is it being done through 

the regular posting of status logs, an online portal, or through another medium?

As described above, OCC’s online portal is available to the public.

3. If your agency does provide online tracking, please describe the information that is provided 

to the requester through this feature. For example, some online tracking features may tell the 

requester whether the request is “open” or “closed,” while others will provide further details 

throughout the course of the processing, such as “search commenced” or documents 

currently in review.”

OCC’s status portal provides FOIA requesters with (1) the date the request was received, (2) 

the in-process status, and (3) the date closed. 

4. If your agency does provide online tracking for requesters, does this feature also provide an 

estimated date of completion? 

OCC’s Public Access Link Portal does not currently provide an estimated date of completion. 

OCC does provide each requester with an estimated date of completion in each 

acknowledgement letter. 

5. If your agency does not provide online tracking of requests or appeals is your agency taking 

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

During the reporting period, Treasury FOIA and Information Technology professionals 

began planning the next update of goFOIA, Treasury’s FOIA request tracking system. 

Planned features include an online status check. At this time, Treasury expects to implement 

the next update of goFOIA during FY2016. 

TIGTA plans to research this capability using the FOIAXpress Public Access Link in 

FY2015. 
21

6. Beyond posting new material, is your agency taking steps to make the posted information 

more useful to the public, especially to the community of individuals who regularly access 

your agency’s website?

Yes, the Department is taking steps to make posted information more useful to the public. 

7. If yes, please provide examples of such improvements. If your agency is already posting 

material in its most useful format, please describe these efforts. 

DO is partnering with the Department Information Technology staff to update the Treasury’s 

FOIA website and FOIA Library, and to provide records in different accessible formats. For 

example, this report and Treasury’s 2014 Annual FOIA Report will be made available in 

EPUB format. 

FinCEN is partnering with their Information Technology staff to revise their section 508 

compliance process to prevent posting non-compliant records. In addition, FinCEN FOIA 

staff, the Information Technology staff, and others worked as an Integrated Product Team to 

create 3 designs for a possible FinCEN.gov redesign. A Web Development blanket purchase 

agreement was awarded that will provide several options for improving FinCEN’s internal 

and external web sites.

Fiscal Service has partnered with Treasury Information Technology staff to post records in 

the most useful format for the public and other agencies. Currently, Excel spreadsheets are 

posted so that the public can manipulate the information as needed. 

IRS is partnering with their Information Technology staff to improve the usability of their 

Electronic Reading Room website by revising the names of content category headings where 

they are unclear or not descriptive, removing the content from a single web page to category 

pages, revising link names, and providing explanatory content where needed. 

OCC’s Web site is designed to ensure records are posted in the most useful format. Some of 

their improvements include posting of corporate merger applications which are highly 

popular among community-based organizations in order to solicit public comments. In 

addition, they post securities filings and other banking information that is of particular 

interest to the financial industry. OCC encourages the public and others that access their 

webpage to submit suggestions for improvement. 

TIGTA ensures all posted material is section 508 compliant and searchable. TIGTA 

restructured their FOIA website to improve customers’ ability to find and access specific 

information from their FOIA library. This site has links to many records from different 

components of TIGTA that are now available in one location for one stop accessibility. 

TTB’s improvements include an update to the Permits Online database so that if an industry 

member submits an Alcohol Permit application via Permits Online or a Certificate of Label 

Approval (COLA) application via COLA’s Online. Once the application is approved, the 

approved COLA is not only available to the submitter but also available to the public in 
22

viewable and printable electronic format at TTB's COLA Registry 

(https://www.ttbonline.gov/colasonline/publicSearchColasBasic.do).

8. Have your agency’s FOIA professionals interacted with other agency staff (such as 

technology specialists or public affairs or communications professionals) in order to identify 

if there are any new ways to post agency information online? 

The Department’s FOIA professionals consistently partner with Treasury Information 

Technology specialists, the Office of Public Affairs, Office of the General Counsel, and 

program office staff to identify documents that can be made available proactively. 

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

public awareness? If yes, please describe those efforts. 

Yes, the Department used the various means to publicize or highlight important proactive 

disclosures for public awareness. 

Treasury and its Bureaus routinely utilize their websites to publicize or highlight important 

proactive disclosures for public awareness. For example, the “Treasury Notes Blog” 

routinely highlights reports, press releases, op-eds, and other documents that are made 

publicly available on Treasury’s website. Often, such blog posts and related material are 

broadcast on Treasury’s Twitter, Facebook, Flickr, and YouTube pages. 

IRS’s Large Business and International (LB&I) Division has publicized their transition to the 

use of International Practice Networks (IPNs) for employee training and knowledge 

management through a variety of methods, including IRS Commissioner and executive 

manager outreach to tax professional organizations, the Internal Revenue Service Advisory 

Council annual reports, publication of guidance in the Internal Revenue Manual, the publicly 

available compendium instructions to staff, and external publication of internal 

memorandums announcing the adoption of IPNs to replace the tiered issues and coordinated 

issues programs. IRS executives have announced their intent to make the IPN units publicly 

available through outreach effort with the tax professional community. IRS intends to launch 

a public education campaign in 2015 publicizing the database and encouraging taxpayers to 

use it as an aid in carefully selecting return preparers and in seeking out those with 

professional credentials or other select qualifications. 

TIGTA’s Office of Investigations created a link to highlight IRS telephone scams that are 

affecting many people across the U.S., and for the public to report these scams. TIGTA also 

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

postings, and announcements 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. 
23

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

would like to post? 

Yes, Treasury has encountered challenges that make it difficult to post certain categories of 

records. 

11. If so, please briefly explain what those challenges are. 

BEP, DO, FinCEN, IRS, and TTB have categories of records that contain uniquely sensitive 

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

proactive disclosure. 

For example, IRS primarily handles records controlled by the IRC §6103 (which prohibits 

the disclosure of non-public tax information); therefore publically disclosing this confidential 

information is prohibited. Many of the records requested from the IRS are tax records. The

confidentiality statute precludes the posting of records, even in redacted form, that implicate 

or contain tax information. Therefore, IRS’s efforts in posting records are limited to non-tax 

materials such as written advice, guidance or similar documents.

12. 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? If yes, describe the 

technological improvements being made. 

Yes, the Department is taking steps to utilize more advanced technology to facilitate overall 

FOIA efficiency as described below: 

As described above, FinCEN’s BSA IT Modernization Program, among other things, has 

greatly improved electronic search capabilities and reduced FOIA search times.

IRS is working to increase the efficiency of their electronic work platform by improving 

search functionality, which will allow them to provide better customer service to requesters. 

In addition, they are updating reporting processes that will allow them to better identify types 

of documents requested and eliminate time spent on duplicate requests. 

Mint has expanded and improved search functions for email and electronic files, which has 

improved search timeliness and efficiency. Mint’s system also contains sorting and deduplicating capabilities. 

OCC is exploring options to improve searches of OCC e-mail. OCC has dedicated space on 

the network in a secure area where it can receive documents located in searches by their 

business units. 

TIGTA purchased an add-on module to its FOIAXpress software called Advanced Document 

Review that will provide the capability to sort, compare, and de-duplicate documents. They 

will also compare and contrast similar documents and the redactions on those documents. 
24

TIGTA will use FOIAXpress to send documents internally for review consultations (to legal 

staff, supervisors, subject matter experts, and/or the records holding office). In addition, they 

have created additional correspondence and email templates to increase efficiency. In FY 

2015, TIGTA plans to research the capability for using the FOIAXpress Public Access Link 

for requesters to submit requests and check the status of their requests electronically. 

TTB is in the planning stages of selecting a new records management application that will 

allow end users to quickly locate duplicate records, particularly emails, sort the records, and 

export the records as PDFs. These include SharePoint 2013 and other records management 

applications.

13. Are there additional tools that could be utilized by your agency to create further efficiencies? 

IRS continues to update their electronic platform to ensure that they can process FOIA 

requests as efficiently as possible. IRS plans to move to a Linux server, which will further 

improve the functionality of their work platform. They have begun to explore updated Webbased inventory management systems that will significantly improve their work processes. 

14. Did your agency successfully post all four quarterly reports for Fiscal Year 2014? 

Treasury posted all four quarterly reports to Treasury’s FOIA website; however, technical 

issues prevented the information from appearing on FOIA.gov website: (www.FOIA.gov)

during the reporting period. As of the date of this report, the technical issue has been 

resolved. 

15. If your agency did not successfully post all quarterly reports, with information appearing on 

FOIA.gov, please explain why and provide your agency’s plan for ensuring that such 

reporting is successful in Fiscal Year 2015. 

N/A 

16. Do your agency’s FOIA professionals use e-mail or other electronic means to communicate 

with requesters whenever feasible? If yes, what are the different types of electronic means 

utilized by your agency to communicate with requesters? 

Yes, Department FOIA professionals routinely communicate with FOIA requesters via email. 

In addition to email, OCC utilizes their Public Access Link Portal to communicate 

electronically with requesters. FOIA requesters can log into their account and directly 

download FOIA responses, submit an inquiry, or check on the status of their FOIA request. 

17. If your agency does not communicate electronically with requesters as a default, are there 

any limitations or restrictions for the use of such means? If yes, does your agency inform 

requesters about such limitations? 

IRS’s security policy prohibits the emailing of certain personally identifiable and tax 

information beyond the IRS firewall. This limits IRS FOIA professionals’ ability to transmit 
25

documents via email. If the requester asks that these types of records be provided 

electronically, IRS notifies the FOIA requester of this limitation in the final response letter. 

Section V: Steps Taken to Reduce any Backlogs of Pending FOIA requests 

and to Improve Timeliness in Responding to Requests. 

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

All Treasury Bureaus, except IRS, have multi-track processing and a separate track for 

simple requests.

2. If so, for your agency overall in Fiscal Year 2014, was the average number of days to process 

simple requests twenty working days or fewer? 

No. During Fiscal Year 2014, the average processing time for simple requests was 22.81 

working days. 

3. Please provide the percentage of requests processed by your agency in Fiscal Year 2014 that 

were placed in your simple track. 

For those Bureaus that utilize a simple track, 73% of all FOIA requests were categorized as 

“simple” cases.5

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

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

At IRS, the average processing time for non-expedited requests was 23.1 working days. 

5. If your agency had a backlog of requests at the close of Fiscal Year 2014, did that backlog 

decrease as compared with the backlog reported at the end of Fiscal Year 2013? If not, 

explain why and describe the causes that contributed to your agency not being able to reduce 

its backlog. 

As described below, Treasury’s backlog of FOIA requests decreased by 56 cases during 

FY2014. As of September 30, 2014, there were 601 backlogged FOIA requests at Treasury. 

At the end of FY2013, Treasury reported that there were 417 backlogged FOIA requests. 

During FY2014, Departmental Offices (DO) FOIA staff undertook an effort to review and 

clean-up DO data in Treasury’s FOIA request tracking system. This effort identified FOIA 

requests directed to DO that were not entered correctly, or that were missing information. 

This resulted in an increase in the number of backlogged FOIA requests that were pending 

within DO at the end of FY2013.6 As a result, in the FY2014 annual report, Treasury 

 

5

 Including IRS (which does not utilize a simple track), 21% of all requests were categorized as “simple” cases.

6

 DO reported 197 backlogged FOIA requests in FY2013, that number was adjusted to 437 backlogged FOIA 

requests in the FY2014 FOIA annual report. 
26

increased the reported number of backlogged FOIA requests in FY2013 to 657 from 417; an 

increase of 240 cases. 

6. If you had a request backlog please report the percentage of requests that make up the 

backlog out of the total number of requests received by your agency in Fiscal Year 2014. 

The percentage of requests that make up the backlog out of the total number of requests 

received by Treasury during FY2014 is 4.27% 

7. If your agency had a backlog of appeals at the close of Fiscal Year 2014, did that backlog 

decrease as compared with the backlog reported at the end of Fiscal Year 2013? If not, 

explain why and describe the causes that contributed to your agency not being able to reduce 

the backlog. 

During FY2014, Treasury’s reported backlog of pending appeals increased 100%. The 

appeal backlog increased, in part, due to the reorganization and realignment of FOIA 

resources within DO. Additionally, during the reporting period, Treasury FOIA staff 

undertook an effort to review and clean up data in Treasury’s FOIA request tracking system. 

This effort identified FOIA requests and appeals that were not entered correctly, or that were 

missing information. This resulted in an increase in the number of pending appeals. 

8. If you had an appeal backlog, please report the percentage of appeals that make up the 

backlog out of the total number of appeals received by your agency in Fiscal Year 2014. 

The percentage of appeals that make up the backlog out of the total number of appeal 

received by Treasury in FY2014 is 25%. 

9. In the 2014 guidelines for Chief FOIA Officer Reports, any agency with a backlog of over 

1,000 requests in Fiscal Year 2013 was asked to provide a plan for achieving backlog 

reduction in the year ahead. Did your agency implement a backlog reduction plan last year? 

If so, describe your agency’s efforts in implementing this plan and note if your agency was 

able to achieve backlog reduction in Fiscal Year 2014? 

Treasury’s backlog was less than 1,000 requests at the end of FY2013.

10. If your agency had a backlog of more than 1,000 requests in Fiscal Year 2014, what is your 

agency’s plan to reduce this backlog during Fiscal Year 2015? 

Treasury’s backlog was less than 1,000 requests at the end of FY2014. 

11. In Fiscal Year 2014, did your agency close the ten oldest requests that were reported pending 

in your Fiscal Year 2013 Annual FOIA Report? If no, please provide the number of these 

requests your agency was able to close by the end of the fiscal year. 

During FY2014, Treasury’s FOIA professionals closed six of the ten oldest pending FOIA 

requests. 
27

12. Of the requests your agency was able to close from your ten oldest, please indicate how 

many of these were closed because the request was withdrawn by the requester. 

Of those six oldest cases closed, none were considered withdrawn. 

13. In Fiscal Year 2014, did your agency close the ten oldest appeals that were reported pending 

in your Fiscal Year 2013 Annual FOIA Report? If no, please provide the number of these 

appeals your agency was able to close by the end of the fiscal year. 

During FY2014, Treasury’s FOIA professionals closed one of the ten oldest pending FOIA 

appeals. 

14. In Fiscal Year 2014, did your agency close the ten oldest consultations that were reported 

pending in your Fiscal Year 2013 Annual FOIA Report? 

During FY2014, Treasury’s FOIA professionals closed all ten of the oldest pending 

consultations. 

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

and consultations from Fiscal Year 2013. 

With respect to the ten oldest pending requests, appeals, and consultations, there are two 

main challenges: (1) the complexity and/or classification of the requested records; and (2) 

the frequent need to invoke the submitter notice process. 

For example, 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. 

Additionally, 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 
28

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.

16. If your agency was unable to close any of its ten oldest requests because you were waiting to 

hear back from other agencies on consultations you sent, please provide the date the request 

was initially received by your agency, and the date when you last contacted the agency where 

the consultation was pending. 

N/A 

17. If your agency did not close its ten oldest pending requests, appeals, or consultations, please 

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

appeals, and consultations during Fiscal Year 2015. 

During the reporting period, each of the ten oldest requests, appeals, and consultations was 

assigned to a case manager within Treasury’s Office of Privacy, Transparency, and Records. 

Each case manager is responsible for monitoring the day-to-day status of the case, updating 

goFOIA, Treasury’s FOIA request tracking system, identifying and removing any barriers or 

obstacles that are preventing the closure of the case, and elevating issues to FOIA leadership. 

During FY2014, this change in process had significant results – Treasury closed six of the ten 

oldest pending requests and all ten of the ten oldest pending consultations. During FY2015, 

Treasury will continue this process and expand this effort to include the 10 oldest pending 

FOIA requests. 

Additionally, during the reporting period, a list of the ten oldest pending requests, appeals, 

and consultations was added to Treasury’s monthly FOIA reports and quarterly performance 

reports. The reports are distributed widely to Treasury’s FOIA staff and Department 

leadership. 

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

appropriate? 

Yes, Department FOIA professionals provide interim responses on a case-by-case basis. For 

example, in FY2013, TTB sent more interim responses than in the past. Given the complex 

nature and scope of some of their requests, interim responses allow TTB to focus on portions 

of large requests and provide timely information to the public. TTB has received positive 

feedback from this strategy. 
29

19. If your agency had a backlog in Fiscal year 2014, 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. 

The Department estimates that 60% of the cases in backlog agency-wide had a substantive 

interim response. Significantly, BEP, FinCEN, Fiscal Service, and OCC all reported that 

they had provided interim responses in 100% of pending backlogged cases. IRS provided an 

interim response in 5% of its backlog requests. 

20. Did your agency invoke a statutory exclusion, 5 U.S.C. § 552(c)(1), (2), (3) during Fiscal 

Year 2014? If so please provide the total number of times exclusions were invoked. 

The Department did not invoke a statutory exclusion during FY2014.
30

Spotlight on Success 

 In December 2014, Treasury held its first FOIA Summit. More than 60 FOIA 

professionals from Treasury attended. The FOIA Summit consisted of the following 

topics: 

o FOIA Exemptions 4, 5, and 8 

o FOIA Roundtable Discussion – FOIA Best Practices 

o Best Practices for Communicating with FOIA Requesters 

o FOIA Websites, Libraries, Proactive Disclosure, and Discretionary Releases 

 During the reporting period, 100% of Treasury’s full-time FOIA professionals attended 

substantive training. 

 During the reporting period, Treasury’s FOIA professionals closed six of the ten oldest 

pending FOIA requests and all ten of the oldest pending FOIA consultations. The oldest 

request closed was originally received in 2003. 

 During the reporting period, OCC tested and implemented de-duplication features in its 

FOIA case tracking system/document management system, FOIAXpress. This deduplication feature has greatly improved processing efficiency; in one case, the deduplication feature identified and removed more than 90,000 pages of documents. 

 In November 2014, OCC issued an update to its agency Policies and Procedures Manual 

(PPM) with regard to “Processing Requests under the Freedom of Information Act”. The 

PPM clearly defines each employee’s role in the FOIA process and instructs them to 

work quickly and cooperatively with OCC FOIA Professionals to complete searches for 

records. The PPM was distributed by email to all OCC employees and was accompanied 

by a message from the OCC’s Chief of Staff which highlighted the importance of the 

FOIA. OCC further advertised the PPM issuance using OCC’s electronic signage 

throughout its headquarters building. 

 During the reporting period, TTB proactively disclosed more than 2,500 pages of 

documents on its website. Additionally, TTB published its second machine-readable 

dataset - Processing Times for Alcohol Beverage Formulation Applications 

(http://ttb.gov/data/index.shtml).