1

Department of the Treasury

2014 Freedom of Information Act Annual Report

 
2

2014 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................................................................................................................... 13

VI. Administrative Appeals of Initial Determinations of FOIA Requests................................ 17

VII. FOIA Requests: Response Time for Processed and Pending Requests............................ 24

VIII. Requests for Expedited Processing and Requests for Fee Waiver................................... 31

IX. FOIA Personnel and Costs................................................................................................. 33

X. Fees Collected for Processing Requests ........................................................................... 34

XI. FOIA Regulations............................................................................................................... 34

XII. Backlogs, Consultations, and Comparisons...................................................................... 35
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I. BASIC INFORMATION REGARDING THIS REPORT

1. Questions regarding this report may be directed to:

Ryan Law, Director for FOIA and Transparency

Privacy, Transparency, and Records

Department of the Treasury

(202) 622-0930 Phone

(202) 622-3895 Fax

TreasFOIA@treasury.gov

Address:

FOIA and Transparency

Department of the Treasury

Washington, DC 20220

2. This report is publicly available and can be downloaded from the Treasury website at 

www.treasury.gov/foia.

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

be found on our website at www.treasury.gov/foia.

Departmental Offices (DO)

Mr. Ryan Law

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 508C

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)

Ms. Amanda Michanczyk

ATTN: FOIA Request

P.O. Box 39

Vienna, VA 22183

(703) 905-3537 Phone

(703) 905-5126 Fax

Internal Revenue Service (IRS)

Disclosure Manager

HQ FOIA & Program Operations

ATTN: IRS FOIA Request

HQ FOIA, Stop 211

PO Box 621506

Atlanta, GA 30362-3006

(202) 317-6475 Phone

United States Mint (Mint)

Ms. Kathleen Saunders-Mitchell

ATTN: FOIA Request

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

Washington, DC 20220

(202) 354-7600 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 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.
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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 Service2 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, 

 1 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, an entity chaired by the Secretary of the Treasury.

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

the Fiscal Service. In FY2013, BPD and FMS were reported separately. 
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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.

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.

k. 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 
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placed in yet another track. Requests in each track are processed on a first in/first out 

basis.

i. 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.

ii. 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.

iii. 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.

l. 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.

m. Pending Request or Pending Administrative Appeal – a request or administrative 

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

n. 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.

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

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

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

or administrative appeals.

q. 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 Certain tax return information and 

certain tax convention information

Church of Scientology v. IRS, 484 U.S. 

9, 15 (1987); Pac. Fisheries, Inc. v. IRS, 

395 F. App'x. 438, 440 (9th Cir. 2010) 

(unpublished disposition).

IRS 2,749

2,859

Fiscal Service 28

DO 18

OCC 1

TIGTA 49

TTB 14

31 U.S.C. § 5319 Reports pertaining to monetary 

instruments transactions filed under 

subchapter II of chapter 53 of title 31 

and records of those reports

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

Dist. LEXIS 25788, at *7-8 (N.D. Iowa 

Mar. 11, 2011); 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), cert. denied, 129 S. 

Ct. 2789 (U.S. 2009); Sciba v. Bd. of 

Governors of the Fed. Reserve Sys., No. 

04-1011, 2005 WL 3201206, at *6 

(D.D.C. Nov. 4, 2005).

IRS 120

323

DO 1

FinCEN 202
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26 U.S.C. § 6105 Certain tax return information and 

certain tax convention information

Pac. Fisheries, Inc. v. IRS, 395 F. App'x. 

438, 440 (9th Cir. 2010) (unpublished 

disposition); Tax Analysts v. IRS, 217 F. 

Supp. 2d 23, 27-29 (D.D.C. 2002).

IRS 65 65

18 U.S.C. § 701 Establishes penalties for: 

manufacturing, selling, or possessing 

"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 thereof"; and 

photographing, printing, making, or 

executing "any engraving, photograph, 

print, or impression in the likeness of 

any such badge, identification card, or 

other insignia, or any colorable 

imitation thereof"

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

1901208, at *3-4 (W.D. Mich. Apr. 25, 

2008).

IRS 15 15

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

Act of July 30, 1977, Pub. L. No. 

95-78, 91 Stat. 319

Certain records 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).

IRS 15 15

5 U.S.C. 7114(b)(4), 7132 Defining agencies' and representatives' 

duty to negotiate in good faith to 

include disclosure of certain labor 

relations training and guidance 

materials and limiting the issuance of 

certain subpoenas.

Dubin v. Dep't of Treasury, 555 F. Supp. 

408, 412 (N.D. Ga. 1981) (5 U.S.C. 

7114(b)(4)), aff'd, 697 F. 2d 1093 (11th 

Cir. 1983) (unpublished table decision); 

NTEU v. OPM, No. 76-695, slip op. at 3-

4 (D.D.C. July 9, 1979) (5 U.S.C. 

7114(b)(4) and 5 U.S.C. 7132).

IRS 1 1
12

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); 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).

FinCEN 1

11

IRS 8

MINT 1

BEP 1

21 U.S.C. § 1904(e)(3) Records or information obtained or 

created in implementing U.S.C. Title 

21, Chapter 24, blocking assets of 

foreign narcotics traffickers.

DO 10 10

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 GeospatialIntelligence 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 2 2

50 App. U.S.C. § 2170(c) Information or documentary material 

filed with the Committee on Foreign 

Investment in the United States

DO 3 3
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V.A. FOIA REQUESTS - RECEIVED, PROCESSED AND PENDING FOIA REQUES

Agency / Component

Number of 

Requests

Pending as of Start

of Fiscal Year3

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 88 83 9

DO 504 732 946 290

FinCEN 1 284 277 8

Fiscal Service4 22 292 306 8

IRS 759 10,454 10,109 1,104

MINT 12 119 131 0

OCC 73 1,806 1,801 78

TIGTA 26 282 287 21

TTB 1 50 50 1

AGENCY OVERALL 1,402 14,107 13,990 1,519

 3 Updated starting pending numbers for all Bureaus

4 Two components, the Financial Management Service (FMS) and the Bureau of Public Debt (BPD) were consolidated into 

the Bureau of the Fiscal Service. FMS and BPD were reported separately in FY2013.
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V.B.(1). DISPOSITION OF FOIA REQUESTS - ALL PROCESSED REQUES

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 27 20 4 9 1 3 4 1 12 1 1 0 83

DO 90 164 15 94 94 82 27 120 190 62 8 0 946

FinCEN 8 43 178 31 1 1 0 0 5 9 1 0 277

Fiscal Service 49 92 6 53 9 48 1 1 13 29 4 1 306

IRS 3,651 2,975 122 646 0 169 104 417 1,544 21 439 21 10,109

MINT 60 12 2 26 3 6 1 2 16 0 2 1 131

OCC 1,354 66 25 70 7 52 6 18 100 88 15 0 1,801

TIGTA 29 116 22 15 28 6 5 1 57 3 5 0 287

TTB 9 14 6 7 0 2 4 2 0 3 0 3 52

AGENCY 

OVERALL 5,277 3,502 380 951 143 369 152 562 1,937 216 475 26 13,990
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V.B.(2). DISPOSITION OF FOIA REQUESTS - "OTHER" REASONS FOR "FULL DENIALS BASED O

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 N/A 0

0

FinCEN N/A 0

0

Fiscal Service Referred Records Determined to be Non-Responsive 1

1

IRS FOIA Litigation 21

21

MINT FOIA Requests Aggregated 1

1

OCC N/A 0

0

TIGTA N/A 0

0

TTB Records Publicly Available 3

3

AGENCY OVERALL 26
16

V.B.(3). DISPOSITION OF FOIA REQUESTS - NUMBER OF TIMES EXEMPTIONS APPLI

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 1 9 17 0 0 0 0 0 0 0 0

DO 19 4 34 112 121 234 18 1 85 1 8 1 8 0

FinCEN 0 1 203 4 7 13 1 0 20 4 29 0 1 0

Fiscal Service 0 1 28 22 4 82 0 0 0 0 6 0 0 0

IRS 0 9 2,772 25 630 344 467 1 914 27 1,197 5 0 0

MINT 0 1 1 7 4 13 0 0 0 0 2 1 0 0

OCC 0 2 1 25 21 37 0 0 6 1 0 1 58 0

TIGTA 0 0 49 1 8 133 6 0 130 18 14 0 0 0

TTB 0 1 14 9 6 15 0 0 1 1 0 0 0 0

AGENCY OVERALL 19 19 3,103 206 810 888 492 2 1,156 52 1,256 8 67 0
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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 Year5

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 8 8 0

DO 65 16 16 65

FinCEN 1 11 8 4

Fiscal Service 1 14 13 2

IRS 13 184 188 9

MINT 0 6 6 0

OCC 3 28 22 9

TIGTA 3 27 26 4

TTB 0 0 0 0

AGENCY OVERALL 86 294 287 93

 5 Updated starting pending numbers for IRS and TIGTA. IRS’ pending number was decreased by 1, TIGTA’s pending number 

was increased by 1.
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VI.B. DISPOSITION OF ADMINISTRATIVE APPEALS - ALL PROCESSED APPEA

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 6 1 1 0 8

DO 9 4 3 0 16

FinCEN 5 3 0 0 8

Fiscal Service 12 1 0 0 13

IRS 185 0 3 0 188

MINT 3 3 0 0 6

OCC 4 12 1 5 22

TIGTA 14 9 1 2 26

TTB 0 0 0 0 0

AGENCY OVERALL 238 33 9 7 287
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VI.C.(1). REASONS FOR DENIAL ON APPEAL - NUMBER OF TIMES EXEMPTIONS APPLI

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 4 0 0 0 0 0 0 0 0 0

DO 1 0 0 2 3 3 0 0 0 0 0 0 2 0

FinCEN 1 0 4 0 3 2 1 0 3 2 3 0 1 0

Fiscal Service 0 0 0 0 0 0 0 0 0 0 0 0 0 0

IRS 0 2 81 1 35 19 37 0 32 4 42 0 0 0

MINT 0 0 0 2 0 0 0 0 0 0 0 0 0 0

OCC 0 0 0 5 3 9 1 0 8 0 0 0 9 0

TIGTA 0 0 4 0 2 17 1 0 17 0 1 0 0 0

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

AGENCY OVERALL 2 2 90 10 50 50 40 0 60 6 46 0 12 0
20

VI.C.(2). REASONS FOR DENIAL ON APPEAL - REASONS OTHER THAN EXEMPTIO

Agency / 

Component

No Records

Records 

Referred at 

Initial 

Request 

Level

Request 

Withdrawn

Fee-Related 

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 0 0 0 1 0 0 0 0 0 0 0

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

Fiscal Service 0 0 0 0 0 0 0 0 0 0 0

IRS 42 1 0 3 2 38 0 1 0 0 0

MINT 4 0 0 0 0 0 0 0 0 0 0

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

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

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

AGENCY OVERALL 50 1 0 5 2 39 0 1 0 1 2
21

VI.C.(3). REASONS FOR DENIAL ON APPEAL - "OTHER" REASO

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 N/A 0

0

FinCEN N/A 0

0

Fiscal Service N/A 0

0

IRS N/A 0

0

MINT N/A 0

0

OCC Appealed Prior to Final Determination 2

2

TIGTA N/A 0

0

TTB N/A 0

0

AGENCY OVERALL 2
22

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 19.00 16.00 9.00 20.00

DO 91.00 105.00 87.00 137.00

FinCEN 24.00 22.00 11.00 30.00

Fiscal Service 14.00 12.80 4.00 20.00

IRS 18.00 18.64 7.00 40.00

MINT 19.00 18.20 10.00 20.00

OCC 20.00 27.75 1.00 83.00

TIGTA 15.50 24.04 3.00 269.00

TTB <1 <1 <1 <1

AGENCY OVERALL 18.00 24.72 <1 269.00
23

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 2011-09-01 2011-08-31 2011-07-27 2011-07-26 2011-07-20 2011-07-15 2011-06-21 2010-11-30 2010-03-11 2008-06-08

Number of Days Pending 773 774 799 800 804 807 824 964 1146 1585

FinCEN

Date of Appeal N/A N/A N/A N/A N/A N/A 2014-09-05 2014-08-07 2014-07-10 2014-06-26

Number of Days Pending 0 0 0 0 0 0 18 38 58 67

Fiscal Service

Date of Appeal N/A N/A N/A N/A N/A N/A N/A N/A 2013-01-17 2012-12-28

Number of Days Pending 0 0 0 0 0 0 0 0 429 442

IRS

Date of Appeal N/A 2014-09-26 2014-09-25 2014-09-23 2014-09-19 2014-09-18 2014-09-08 2014-09-08 2014-09-05 2014-09-02

Number of Days Pending 0 3 4 6 8 9 17 17 18 21

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 2014-09-23 2014-09-23 2014-09-23 2014-09-23 2014-09-23 2014-09-23 2014-09-23 2014-08-11 2011-01-19

Number of Days Pending 0 6 6 6 6 6 6 6 36 931

TIGTA

Date of Appeal N/A N/A N/A N/A N/A N/A 2014-09-26 2014-09-25 2014-09-24 2014-08-20

Number of Days Pending 0 0 0 0 0 0 3 4 5 29

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 2011-08-31 2011-07-27 2011-07-26 2011-07-20 2011-07-15 2011-06-21 2011-01-19 2010-11-30 2010-03-11 2008-06-08

Number of Days Pending 774 799 800 804 807 824 931 964 1146 1585
24

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 21 20 1 67 30 32 3 146 25 25 18 32

DO 23 65 1 771 184 309 1 2720 247 208 118 258

FinCEN 1 3 <1 20 10 14 3 85 17 17 7 26

Fiscal Service 14 17 1 84 28 28 1 96 N/A N/A N/A N/A

IRS N/A N/A N/A N/A 17 23.1 1 615 65 107.14 6 322

MINT 4 27 1 515 N/A N/A N/A N/A 12 12 12 12

OCC 7 9.91 <1 262 18 20.92 <1 135 19 18.67 <1 76

TIGTA 9 10.55 2 23 19 23.05 <1 223 72 72 30 114

TTB 3 6 1 20 25 31 1 291 31 31 31 31

AGENCY 

OVERALL 7 22.81 <1 771 15 31 <1 2720 21 38.41 <1 322
25

VII.B. PROCESSED REQUESTS - RESPONSE TIME FOR PERFECTED REQUESTS IN WHICH INFORMATION WAS GRANT

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 17 18 6 51 27 29 3 146 N/A N/A N/A N/A

DO 31 87 1 771 158 313 2 2720 247 247 247 247

FinCEN 5 8 1 20 14 19 3 85 26 26 26 26

Fiscal Service 16 15 1 40 28 26 1 96 N/A N/A N/A N/A

IRS N/A N/A N/A N/A 18 22.98 1 615 65 107.14 6 322

MINT 4 8 2 46 N/A N/A N/A N/A 12 12 12 12

OCC 7 9.3 <1 262 23 27.05 <1 93 20 19.48 1 76

TIGTA 16.5 14.75 3 23 20 34.8 5 223 72 72 30 114

TTB 2 6 1 20 31 45 6 291 31 31 31 31

AGENCY OVERALL 7 15.69 <1 771 18 28.41 <1 2720 21 44.46 1 322
26

VII.C. PROCESSED SIMPLE REQUESTS - RESPONSE TIME IN DAY INCREMEN

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 24 26 1 1 0 0 0 0 0 0 0 0 0 52

DO 261 89 41 25 26 18 24 12 14 9 24 10 10 563

FinCEN 219 0 0 0 0 0 0 0 0 0 0 0 0 219

Fiscal Service 216 34 21 5 2 0 0 0 0 0 0 0 0 278

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

MINT 115 4 6 0 0 0 0 0 0 0 0 1 4 130

OCC 1,468 108 12 5 1 1 0 0 0 0 5 0 0 1,600

TIGTA 10 1 0 0 0 0 0 0 0 0 0 0 0 11

TTB 17 0 0 0 0 0 0 0 0 0 0 0 0 17

AGENCY OVERALL 2,330 262 81 36 29 19 24 12 14 9 29 11 14 2,870
27

VII.C. PROCESSED COMPLEX REQUESTS - RESPONSE TIME IN DAY INCREMEN

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 15 3 0 1 1 0 1 0 0 0 0 0 29

DO 39 31 34 22 15 18 10 8 10 6 28 36 118 375

FinCEN 48 5 1 1 1 0 0 0 0 0 0 0 0 56

Fiscal Service 9 16 1 0 2 0 0 0 0 0 0 0 0 28

IRS 7,437 1,714 534 173 74 40 29 29 12 16 28 10 6 10,102

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

OCC 92 50 8 6 2 0 1 0 0 0 0 0 0 159

TIGTA 190 44 20 10 4 2 2 1 0 0 1 0 0 274

TTB 12 19 0 0 0 0 0 0 0 0 1 0 0 32

AGENCY OVERALL 7,835 1,894 601 212 99 61 42 39 22 22 58 46 124 11,055
28

VII.C. PROCESSED REQUESTS GRANTED EXPEDITED PROCESSING - RESPONSE TIME IN DAY INCREMEN

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 1 1 0 0 0 0 0 0 0 0 0 0 0 2

DO 0 0 0 0 0 1 0 0 0 0 2 0 0 3

FinCEN 1 1 0 0 0 0 0 0 0 0 0 0 0 2

Fiscal Service 0 0 0 0 0 0 0 0 0 0 0 0 0 0

IRS 2 0 1 2 0 0 0 0 0 0 1 1 0 7

MINT 1 0 0 0 0 0 0 0 0 0 0 0 0 1

OCC 23 18 0 1 0 0 0 0 0 0 0 0 0 42

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

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

AGENCY OVERALL 28 22 1 3 0 2 0 0 0 0 3 1 0 60
29

VII.D. PENDING REQUESTS - ALL PENDING PERFECTED REQUES

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 1 34 32 8 57 56 0 N/A N/A

DO 60 182 226 224 158 291 6 313 312

FinCEN 4 4 4 4 14 20 0 N/A N/A

Fiscal Service 4 12 86 4 23 31 0 N/A N/A

IRS 0 0 0 1090 14 47 14 336 327

MINT 0 N/A N/A 0 N/A N/A 0 N/A N/A

OCC 67 5 8 11 9 29 0 N/A N/A

TIGTA 0 0 0 19 12 11 2 152 152

TTB 0 N/A N/A 1 29 29 0 N/A N/A

AGENCY OVERALL 141 36 202.25 1361 20 118.1 22 340.5 316.91
30

VII.E. PENDING REQUESTS - TEN OLDEST PENDING PERFECTED REQUES

Agency / 

Component

10th Oldest 

Request

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

Oldest 

Request

BEP

Date of Receipt N/A 2014-08-28 2014-08-20 2014-08-18 2014-08-12 2014-08-12 2014-08-12 2014-07-17 2014-07-14 2014-07-14

Number of Days Pending 0 24 29 30 35 35 35 53 56 56

DO

Date of Receipt 2010-09-30 2010-07-20 2010-06-29 2009-12-28 2009-07-01 2008-09-18 2008-01-28 2007-03-05 2004-02-23 2003-10-30

Number of Days Pending 1004 1055 1069 1196 1318 1514 1678 1904 2664 2740

FinCEN

Date of Receipt N/A N/A 2014-09-29 2014-09-29 2014-09-22 2014-09-22 2014-09-18 2014-09-15 2014-09-05 2014-07-28

Number of Days Pending 0 0 2 2 7 7 9 12 18 46

Fiscal Service

Date of Receipt N/A N/A 2014-09-23 2014-09-22 2014-09-18 2014-09-16 2014-08-19 2014-06-26 2013-04-03 2012-10-09

Number of Days Pending 0 0 6 7 9 11 30 67 377 497

IRS

Date of Receipt 2013-04-16 2013-03-04 2013-03-04 2013-03-04 2013-02-04 2012-10-24 2012-08-03 2011-11-29 2011-09-29 2011-06-07

Number of Days Pending 368 399 399 399 418 486 542 714 754 834

MINT

Date of Receipt 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 Receipt 2014-09-08 2014-09-08 2014-09-05 2014-09-04 2014-08-28 2014-08-18 2014-07-30 2014-07-15 2014-04-16 2014-04-08

Number of Days Pending 17 17 18 19 23 31 44 55 117 123

TIGTA

Date of Receipt 2014-09-12 2014-09-12 2014-09-12 2014-09-12 2014-09-09 2014-09-05 2014-09-03 2014-08-26 2014-07-18 2013-06-26

Number of Days Pending 13 13 13 13 16 18 20 25 52 318

TTB

Date of Receipt N/A N/A N/A N/A N/A N/A N/A N/A N/A 2014-08-24

Number of Days Pending 0 0 0 0 0 0 0 0 0 26

AGENCY OVERALL

Date of Receipt 2010-09-30 2010-07-20 2010-06-29 2009-12-28 2009-07-01 2008-09-18 2008-01-28 2007-03-05 2004-02-23 2003-10-30

Number of Days Pending 1004 1055 1069 1196 1318 1513 1678 1904 2664 2740
31

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 2 0 1 4 2

DO 0 51 1 1 51

FinCEN 2 3 1 1 2

Fiscal Service 0 10 1 1 10

IRS 7 13 7 7.3125 16

MINT 1 4 1 2 5

OCC 44 33 1 0.84 75

TIGTA 1 8 4 6.78 8

TTB 1 5 1 2 5

AGENCY OVERALL 58 127 1 2.3 174
32

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 4 2 1 1

DO 16 108 1 3

FinCEN 0 8 1 1

Fiscal Service 0 37 1 1

IRS 34 10 6 11.09

MINT 0 13 7 7

OCC 3 11 1 4.07

TIGTA 7 1 1 8.25

TTB 0 8 1 1

AGENCY OVERALL 64 198 1 3.29
33

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 Litigation-Related 

Costs

Total Costs

BEP 0 1.8 1.8 $495,718.45 $0.00 $495,718.45

DO 19 9.13 28.13 $2,825,237.70 $12,660.75 $2,837,898.45

FinCEN 0 1.19 1.19 $150,685.00 $3,142.00 $153,827.00

Fiscal Service 1 12.2 13.2 $1,029,550.00 $0.00 $1,029,550.00

IRS 12.7 72.8 85.5 $12,544,926.29 $484,180.46 $13,029,106.75

MINT 1 1 2 $217,604.00 $0.00 $217,604.00

OCC 8 6 14 $1,524,673.00 $0.00 $1,524,673.00

TIGTA 0 4.37 4.37 $542,641.00 $12,166.00 $554,807.00

TTB 1 0.37 1.37 $166,356.84 $0.00 $166,356.84

AGENCY OVERALL 42.7 108.86 151.56 $19,497,392.28 $512,149.21 $20,009,541.49
34

X. FEES COLLECTED FOR PROCESSING REQUESTS

Agency / Component Total Amount of Fees 

Collected Percentage of Total Costs

BEP $603.94 0.12%

DO $9,343.03 0.33%

FinCEN $0.00 0.00%

Fiscal Service $9,471.80 0.92%

IRS $39,165.00 0.31%

MINT $2,256.39 1.04%

OCC $225,755.00 14.81%

TIGTA $203.00 0.04%

TTB $2,708.11 1.63%

AGENCY OVERALL $289,506.27 1.48%

XI. FOIA REGULATIONS

The U.S. Department of the Treasury FOIA Implementing Regulations are codified at 31 CFR Part 1, Subpart A, and can 

also be found at http://www.treasury.gov/FOIA/Documents/foiaregs.pdf.

The Financial Stability Oversight Council (FSOC) FOIA Implementing Regulations are codified at 12 CFR Part 1301.
35

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 6 0

DO 267 63

FinCEN 1 3

Fiscal Service 2 0

IRS 317 4

MINT 0 0

OCC 5 2

TIGTA 2 0

TTB 1 0

AGENCY OVERALL 601 72
36

XII.B. CONSULTATIONS ON FOIA REQUESTS - RECEIVED, PROCESSED, AND PENDIN

CONSULTATIONS

Agency / Component

Number of Consultations 

Received from Other 

Agencies that were 

Pending at the Agency as 

of Start

of the Fiscal Year6

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 18 23 36 5

FinCEN 0 17 16 1

Fiscal Service 5 5 0 10

IRS 13 149 89 73

MINT 0 0 0 0

OCC 0 0 0 0

TIGTA 0 4 3 1

TTB 0 1 1 0

AGENCY OVERALL 36 200 146 90

 6 Updated the starting number of pending consultations for DO. The number of pending consultations was reduced by 9.
37

XII.C. CONSULTATIONS ON FOIA REQUESTS - TEN OLDEST CONSULTATIONS RECEIVED FROM OTHER AGENCIES AND PENDING AT TH

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 N/A N/A N/A N/A 2014-08-05 2014-06-17 2014-05-13 2014-04-15 2014-01-16

Number of Days 0 0 0 0 0 40 74 98 118 179

FinCEN

Date N/A N/A N/A N/A N/A N/A N/A N/A N/A 2014-09-29

Number of Days 0 0 0 0 0 0 0 0 0 2

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 2014-07-01 2014-06-30 2014-06-30 2014-06-24 2014-06-20 2014-06-17 2014-06-09 2014-06-03 2014-05-30 2013-09-04

Number of Days 64 65 65 69 71 74 80 84 86 270

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 2014-09-25

Number of Days 0 0 0 0 0 0 0 0 0 4

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 2014-06-20 2014-06-17 2014-06-17 2014-06-09 2014-06-03 2014-05-30 2014-05-13 2014-04-15 2014-01-16 2013-09-04

Number of Days 71 74 74 80 84 86 98 118 179 270
38

XII.D.(1). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL REPORT - REQUESTS RECEIVED AN

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 90 88 90 83

DO 941 732 759 946

FinCEN 301 284 300 277

Fiscal Service 365 292 386 306

IRS 10,990 10,454 11,035 10,109

MINT 142 119 145 131

OCC 1,816 1,806 1,822 1,801

TIGTA 329 282 310 287

TTB 66 50 68 50

AGENCY OVERALL 15,040 14,107 14,915 13,990
39

XII.D.(2). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT ANNUAL 

REPORT - BACKLOGGED REQUES

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 0 6

DO 4377 267

FinCEN 0 1

Fiscal Service 1 2

IRS 217 317

MINT 0 0

OCC 2 5

TIGTA 0 2

TTB 0 1

AGENCY OVERALL 657 601

 7 The number of backlogged FOIA requests for DO at the end of FY2013 was updated to 437, from 197.
40

XII.E.(1). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT ANNUAL REPORT - APPEAL

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 2 8 2 8

DO 25 16 13 16

FinCEN 14 11 14 8

Fiscal Service 16 14 16 13

IRS 239 184 235 188

MINT 5 6 5 6

OCC 22 28 27 22

TIGTA 36 27 34 26

TTB 0 0 0 0

AGENCY OVERALL 359 294 346 287
41

XII.E.(2). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT 

ANNUAL REPORT - BACKLOGGED APPEA

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 34 63

FinCEN 0 3

Fiscal Service 0 0

IRS 0 4

MINT 0 0

OCC 2 2

TIGTA 0 0

TTB 0 0

AGENCY OVERALL 36 72