Department of the Treasury

FY2020 Freedom of Information Act Annual Report
2

FY2020 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 ......................................................................................................................................12

VI. Administrative Appeals ........................................................................................................................16

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

VIII. Requests for Expedited Processing and Fee Waiver............................................................................33

IX. FOIA Personnel and Costs ....................................................................................................................35

X. Fees Collected for Processing Requests...............................................................................................36

XI. Use of Subsection (c) Exclusions and Proactive Disclosures ................................................................37

XII. Backlogs, Consultations, and Comparisions.........................................................................................39
3

I. Basic Information Regarding this Report

1. Questions regarding this report may be directed to:

Mark Bittner

Director for FOIA and Transparency

Privacy, Transparency, and Records

Department of the Treasury

(202) 622-0930 Phone

(202) 622-3895 Fax

FOIA@treasury.gov

Address:

FOIA and Transparency

Department of the Treasury

Washington, DC 20220

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

Information Act website.

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

Transparency, and Records at the address above.
4

II. Making a FOIA Request

1. Contact Information

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

found on Treasury’s Freedom of Information Act website.

Departmental Offices (DO)

Mr. Mark Bittner

Director for FOIA and Transparency

Privacy, Transparency, and Records

Department of the Treasury

(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)

Leslie Rivera Pagán

Office of the Chief Counsel

FOIA and Transparency

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

Washington, DC 20228

(202) 874-2500 Phone

(202) 874-2951 Fax

Bureau of the Fiscal Service (Fiscal 

Service)

Ms. Cynthia Sydnor/Ms. Denise Nelson

Disclosure Office

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

Washington, DC 20227

(202) 874-5602 Phone

(202) 874-5484 Fax

Office of the Comptroller of the Currency (OCC)

Mr. Frank Vance

Disclosure Services

400 7th Street, S.W.

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

Washington, DC 20219

(202) 649-6758 Phone

Financial Crimes Enforcement Network 

(FinCen)

Ms. Terri Robertson

ATTN: FOIA Request

P.O. Box 39

Vienna, VA 22183

(703) 905-5034 Phone

Internal Revenue Service (IRS)

HQ Stop 211

P.O. Box 621506

Atlanta, GA 30362-3006

(312) 292-3297 Phone

United States Mint (Mint)

Ms. Lateau Jones

ATTN: FOIA Request

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

Washington, DC 20220

(202) 354-4600 Phone

(202) 756-6153 Fax
5

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 classified. Others 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. Still 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 deliberative process, attorney work product, or attorney-client records fall within the scope 

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

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

would disclose techniques and procedures for law enforcement investigations or prosecutions or 

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

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

records contained in or related to the examination or the supervision of financial institutions 

under the authority of Exemption 8.

3. FOIA Regulations

Treasury’s FOIA regulations are codified at 31 CFR Part 1, Subpart A.

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

1301.
6

III. Acronyms, Definitions, and Exemptions

1. Agency–specific acronyms used in this Report:

Component Abbreviation Component Name

BEP Bureau of Engraving and Printing

DO1 Departmental Offices

FinCEN Financial Crimes Enforcement Network

Fiscal Service Bureau of the Fiscal Service

IRS Internal Revenue Service

MINT United States Mint

OCC Office of the Comptroller of the Currency

TIGTA Treasury Inspector General for Tax Administration

TTB Alcohol Tobacco Tax and Trade Bureau

2. Basic terms used in this Report

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

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

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

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

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

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

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

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

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

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

component of the agency.

1 DO includes the Offices of Domestic Finance, Economic Policy, Financial Research, General Counsel, International Affairs, 

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

United States. DO statistics in this report also include requests made to the Financial Stability Oversight Council, an entity 

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

Inspector General for the Troubled Asset Relief Program.
7

e. Consultation – the procedure whereby the agency responding to a FOIA request first 

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

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

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

then respond to the FOIA requester.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

median number is 7.

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

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

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

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

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

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

the statute and in agency regulations.

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

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

the records requested.
8

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

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

requested.

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

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

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

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

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

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

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

procedures to be followed.

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

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

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

administrative appeals.

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

(ordinarily 20 working days from receipt of a "perfected" FOIA request).
9

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
10

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

31 U.S.C. § 

5319 (Bank 

Secrecy Act)

Reports pertaining to monetary 

instruments transactions filed 

under sub-chapter II of chapter 53 

of title 31 and records of those 

reports

Turner v. Dep’t of Treasury, No. 15-00007, 2017 WL 

1106030 at *7 (E.D. Cal. Mar. 23, 2017); Yunes v. 

DOJ, 263 F. Supp. 3d 82, 87 (D.D.C. 2017); Council 

on Am.-Islamic Relations, Cal. v. FBI, 749 F. Supp. 2d 

1104, 1117 (S.D. Cal. 2010); Berger v. IRS, 487 F. 

Supp. 2d 482, 496-97 (D.N.J. 2007), aff’d on other 

grounds, 288 F. App’x 829 (3d Cir. 2008).

FinCEN 47

142

IRS 88

TIGTA

7

26 U.S.C. § 

6103 

(Internal 

Revenue 

Code)

Certain tax return information, to 

include Taxpayer Identification 

Numbers of third parties, and 

certain tax convention 

information.

Church of Scientology v. IRS, 484 U.S. 9,15 (1987); 

Pac. Fisheries, Inc. v. IRS, 395 F. App'x. 438, 440 (9th 

Cir. 2010) (unpublished disposition).

DO 20

1656

IRS 1590

TIGTA 26

TTB 20

18 U.S.C. § 

701

Likeness of any badge, 

identification card, or other 

insignia, of the design prescribed 

by the head of any department or 

agency of the United States for 

use by any officer or employee 

thereof, or any colorable imitation 

thereof.

Jones v. IRS, No. 06-CV-322, 2008 WL 1901208, at 

*3-4 (W.D. Mich. Apr. 25, 2008).

IRS

5 5
11

26 U.S.C. § 

6105

(Internal 

Revenue 

Code)

Certain tax return information, to 

include Taxpayer Identification 

Numbers of third parties, and 

certain tax convention 

information.

Church of Scientology v. IRS, 484 U.S. 9, 15 (1987) 

(26 U.S.C. § 6103); Elec. Privacy Info. Ctr. v. IRS, 910 

F.3d 1232 (D.C. Cir. 2018); Leonard v. U.S. Dep’t of 

Treasury, 590 F. App’x. 141, 143-44 (3d Cir. 2014) 

(per curiam); Pac. Fisheries, Inc. v. IRS, 395 F. App’x. 

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

(26 U.S.C. §§ 6103, 6105); Tax Analysts v. IRS, 217 F. 

Supp. 2d 23, 27-29 (D.D.C. 2002) (26 U.S.C. § 6105).

IRS

15 15

41 U.S.C. § 

4702

Contractor proposals that are in 

the possession or control of an 

executive agency and that have 

not been set forth or incorporated 

by reference into contracts.

Sinkfield v. HUD, No. 10-885, 2012 U.S. Dist. LEXIS 

35233, at *13-15 (S.D. Ohio Mar. 15, 2012); 

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

1303221, at *6 (D. Nev. Mar. 31, 2011); Hornbostel 

v. U.S. Dep’t of the Interior, 305 F. Supp. 2d 21, 30 

(D.D.C. 2003), summary affirmance granted, No. 03-

5257, 2004 WL 1900562 (D.C. Cir. Aug. 25, 2004).

Fiscal 

Service 1

IRS 6

5

Fed. R. 

Crim. P. 

6(e), 

enacted by 

Act of July 

30, 1977, 

Pub. L. No. 

95-78, § 2 

91 Stat. 319

Certain records that would reveal 

some secret aspect pertaining to 

grand jury proceedings.

Sussman v. USMS, 494 F.3d 1106, 1113 (D.C. Cir. 

2007); Sorin v. DOJ, No. 18-99, 2018 WL 6431027 

(2d Cir. Dec. 6, 2018) (per curium); Widi v. McNeil, 

No. 12-CV-00188, 2016 WL 4394724, at *23 (D. Me. 

Aug 16, 2016); 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

3

6

TIGTA

3

50 U.S.C. § 

4565(c) 

(formerly at 

50 U.S.C. 

app. § 2170 

(c))

Information or documentary 

material filed with the Committee 

on Foreign Investment in the 

United States

N/A DO 23 23
12

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

Agency / 

Component

Number of Requests

Pending as of Start

of Fiscal Year

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 22 37 41 18

DO 1063 1368 1121 1310

FinCEN 26 211 187 50

Fiscal Service 56 382 401 37

IRS 836 8156 7773 1219

MINT 4 113 109 8

OCC 116 1349 1325 140

TIGTA 16 209 212 13

TTB 3 91 91 3

AGENCY OVERALL 2142 11916 11260 2798
13

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 12 14 1 4 2 0 1 1 3 1 2 0 41

DO 159 180 40 137 140 61 1 90 92 119 101 1 1121

FinCEN 11 41 46 32 2 1 0 18 15 10 11 0 187

Fiscal Service 43 179 7 57 27 4 9 1 51 22 1 0

401

IRS 2060 1710 366 592 0 351 39 44 1605 26 968 12 7773

MINT 25 24 7 29 2 4 1 4 3 7 3 0 109

OCC 1039 73 25 48 0 39 3 20 42 31 5 0 1325

TIGTA 12 66 14 7 38 6 0 1 52 14 2 0 212

TTB 12 24 10 20 0 13 1 3 0 2 6 0 91

AGENCY 

OVERALL 3373 2311 516 926 211 479 55 182 1863 232 1099 13 11260
14

V.B. (2). DISPOSITION OF FOIA REQUESTS - "OTHER" REASONS FOR "FULL DENIALS BASED ON REASONS OTHER THAN EXEMPTION

Agency / Component Description of "Other" Reasons for Denials from 

Chart B (1)

Number of Times 

"Other" Reason Was 

Relied Upon

TOTAL

BEP N/A 0 0

DO Litigation 1 1

FinCEN N/A 0 0

Fiscal Service N/A 0 0

IRS Litigation 12 12

MINT N/A 0 0

OCC N/A 0 0

TIGTA N/A 0 0

TTB N/A 0 0

AGENCY OVERALL 13
15

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 1 0 0 1 5 0 0 0 0 1 0 0 0

DO 1 0 29 26 37 67 5 1 18 0 1 0 0 0

FinCEN 0 0 51 4 13 43 0 0 7 3 16 0 1 0

Fiscal Service 0 0 1 14 4 157 0 0 0 0 5 0 0 0

IRS 0 11 1600 92 269 402 304 1 558 6 752 6 0 0

MINT 0 1 0 4 5 17 0 0 8 0 5 3 0 0

OCC 0 10 0 13 24 76 0 0 0 0 1 0 30 0

TIGTA 0 0 26 1 9 73 9 0 71 2 14 0 0 0

TTB 0 0 21 9 3 19 1 0 1 0 4 0 1 0

AGENCY OVERALL 1 23 1728 163 365 859 319 2 663 11 799 9 32 0
16

VI.A. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS - RECEIVED, PROCESSED, AND PENDING ADMINISTRATIV

APPEALS

Agency / 

Component

Number of 

Appeals

Pending as of 

Start

of Fiscal Year

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 1 1 0

DO 93 24 71 46

FinCEN 2 0 0 2

Fiscal Service 5 8 10 3

IRS 6 98 98 6

MINT 0 1 1 0

OCC 0 20 18 2

TIGTA 0 14 13 1

TTB 0 0 0 0

AGENCY 

OVERALL

106 166 212 60

After reviewing its database, Treasury adjusted the number of appeals pending as of the start 

of the Fiscal Year.
17

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 1 0 0 0 1

DO 51 3 3 14 71

FinCEN 0 0 0 0 0

Fiscal Service 7 0 3 0 10

IRS 92 0 0 6 98

MINT 1 0 0 0 1

OCC 7 2 1 8 18

TIGTA 7 1 1 4 13

TTB 0 0 0 0 0

AGENCY 

OVERALL

166 6 8 32 212
18

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 0 0 0 0 0 0 0 0 0 0

DO 0 0 4 5 5 2 1 0 0 0 0 0 0 0

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

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

IRS 0 2 44 2 21 15 13 0 8 0 14 0 0 0

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

OCC 0 1 0 2 1 3 0 0 0 0 0 0 1 0

TIGTA 0 1 2 0 1 6 2 0 6 0 1 0 0 0

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

AGENCY 

OVERALL 0 4 50 9 28 28 16 0 15 0 15 0 1 0
19

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

Agency / 

Component

No 

Records

Records 

Referred 

at Initial 

Request 

Level

Request 

Withdrawn

FeeRelated 

Reason

Records 

not 

Reasonably 

Described

Improper 

Request 

for Other 

Reasons

Not 

Agency 

Record

Duplicate 

Request 

or 

Appeal

Request 

in 

Litigation

Appeal 

Based 

Solely on 

Denial of 

Request 

for 

Expedited 

Processing

Other 

*Explain 

in chart 

below

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

DO 0 0 2 0 0 1 0 0 3 8 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 27 0 0 7 7 4 1 2 0 0 0

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

OCC 0 0 2 0 0 1 3 1 0 0 1

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

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

AGENCY 

OVERALL

28 0 6 7 7 6 4 4 3 8 1
20

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 Untimely 1 1

TIGTA N/A 0 0

TTB N/A 0 0

AGENCY 

OVERALL

1
21

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 14 14 14 14

DO 897 989 <1 2217

FinCEN N/A N/A N/A N/A

Fiscal Service 27 39 20 84

IRS 12 13 3 69

MINT 112 112 112 112

OCC 19 17 <1 51

TIGTA 17 16 7 30

TTB N/A N/A N/A N/A

AGENCY 

OVERALL

17 343 <1 2217
22

VI.C.(5). TEN OLDEST PENDING ADMINISTRATIVE APPEALS

Agency / 

Component

10th 

Oldest 

Appeal

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

Appeal

DO Date of 

Appeal

2016-11-

09

2016-09-

06

2015-12-

07

2015-10-

01

2013-06-

10

2012-06-

19

2012-06-

18

2011-11-

03

2011-09-

01

2011-07-

15

Number 

of Days 

Pending

977 1022 1211 1255 1836 2082 2083 2245 2290 2324

FinCEN Date of 

Appeal

N/A N/A N/A N/A N/A N/A N/A N/A 2017-09-

29

2012-03-

26

Number 

of Days 

Pending

0 0 0 0 0 0 0 0 754 2143

Fiscal 

Service

Date of 

Appeal

N/A N/A N/A N/A N/A N/A N/A 2020-01-

08

2018-01-

16

2017-12-

12

Number 

of Days 

Pending

0 0 0 0 0 0 0 186 683 705

IRS Date of 

Appeal

N/A N/A N/A N/A 2020-09-

25

2020-09-

24

2020-09-

14

2020-09-

09

2020-09-

09

2020-09-

08

Number 

of Days 

Pending

0 0 0 0 3 4 12 15 15 16
23

OCC Date of 

Appeal

N/A N/A N/A N/A N/A N/A N/A N/A 2020-09-

02

2020-04-

03

Number 

of Days 

Pending

0 0 0 0 0 0 0 0 19 125

TIGTA Date of 

Appeal

N/A N/A N/A N/A N/A N/A N/A N/A N/A 2020-09-

25

Number 

of Days 

Pending

0 0 0 0 0 0 0 0 0 3

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

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
24

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

2016-09-

06

2015-12-

07

2015-10-

01

2013-06-

10

2012-06-

19

2012-06-

18

2012-03-

26

2011-11-

03

2011-09-

01

2011-07-

15

Number 

of Days 

Pending

1022 1211 1255 1836 2082 2083 2143 2245 2290 2324
25

VII.A. FOIA REQUESTS - RESPONSE TIME FOR ALL PROCESSED PERFECTED REQUES

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 12 20 <1 114 39 173 4 805 N/A N/A N/A N/A

DO 2 4 <1 29 57 222 <1 2441 349 316 31 677

FinCEN 4 8 <1 60 68 161 <1 807 N/A N/A N/A N/A

Fiscal 

Service 14 16 <1 91 25 27 <1 218 N/A N/A N/A N/A

IRS N/A N/A N/A N/A 18 36 <1 1123 31 91 6 756

MINT 6 9 <1 34 52 66 3 173 N/A N/A N/A N/A

OCC 1 17 <1 695 N/A N/A N/A N/A 16 25 14 46

TIGTA 2 5 <1 21 15 15 <1 52 7 7 5 9

TTB 3 5 <1 16 24 32 <1 169 N/A N/A N/A N/A

AGENCY 

OVERALL 2 13 <1 695 13 39 <1 2441 31 118 5 756
26

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 21 29 2 114 39 173 4 805 N/A N/A N/A N/A

DO 3 6 <1 24 105 274 <1 2441 349 324 31 649

FinCEN 8 13 2 60 70 158 24 730 N/A N/A N/A N/A

Fiscal 

Service 14 17 <1 91 25 28 <1 218 N/A N/A N/A N/A

IRS N/A N/A N/A N/A 19 39 <1 999 31 96 6 756

MINT 13 12 <1 33 44 58 3 173 N/A N/A N/A N/A

OCC 1 13 <1 695 N/A N/A N/A N/A 16 25 14 46

TIGTA 11 12 3 21 18 19 4 52 7 7 5 9

TTB 3 3 <1 6 25 32 2 158 N/A N/A N/A N/A

AGENCY 

OVERALL 2 13 <1 695 20 53 <1 2441 31 123 5 756
27

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 15 6 2 1 0 1 0 0 0 0 0 0 0 25

DO 469 15 0 0 0 0 0 0 0 0 0 0 0 484

FinCEN 102 12 2 0 0 0 0 0 0 0 0 0 0 116

Fiscal Service 204 40 10 2 2 0 0 0 0 0 0 0 0 258

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

MINT 78 11 0 0 0 0 0 0 0 0 0 0 0 89

OCC 1024 113 50 23 11 6 8 6 1 2 7 1 8 1260

TIGTA 39 1 0 0 0 0 0 0 0 0 0 0 0 40

TTB 7 0 0 0 0 0 0 0 0 0 0 0 0 7

AGENCY 

OVERALL

1938 198 64 26 13 7 8 6 1 2 7 1 8 2279
28

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 4 2 1 1 0 0 1 0 0 0 0 1 2 12

DO 83 73 37 33 17 8 15 8 9 6 41 17 99 446

FinCEN 3 7 5 6 2 4 0 2 0 0 1 2 4 36

Fiscal Service 29 53 2 1 0 2 0 1 0 0 1 0 0 89

IRS 3995 837 482 250 163 110 78 42 30 16 60 13 30 6106

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

OCC 0 0 0 0 0 0 0 0 0 0 0 0 0 0

TIGTA 103 11 3 0 0 0 0 0 0 0 0 0 0 117

TTB 38 23 9 3 3 0 1 1 1 0 0 0 0 79

AGENCY 

OVERALL 4256 1006 546 296 186 124 95 55 41 22 103 33 135 6898
29

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 0 0 0 0 0 0 0 0 0 0 0 0 0 0

DO 0 3 0 1 0 0 0 0 0 0 0 1 4 9

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

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

0

IRS 7 8 1 2 0 1 1 1 0 0 1 1 1 24

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

OCC 2 0 1 0 0 0 0 0 0 0 0 0 0 3

TIGTA 2 0 0 0 0 0 0 0 0 0 0 0 0 2

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

AGENCY OVERALL 11 11 2 3 0 1 1 1 0 0 1 2 5 38
30

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 7 7 17 319 317 0 N/A N/A

DO 16 10 12 1251 388 457 43 452 466

FinCEN 11 12 16 39 171 262 0 N/A N/A

Fiscal Service 5 13 25 32 632 457 0 N/A N/A

IRS 0 N/A N/A 1126 48 81 6 216 268

MINT 6 4 11 1 334 334 0 N/A N/A

OCC 125 87 177 2 355 355 0 N/A N/A

TIGTA 0 N/A N/A 11 12 19 0 N/A N/A

TTB 0 N/A N/A 3 8 9 0 N/A N/A

AGENCY 

OVERALL 164 54 141 2482 128 280 49 432 442
31

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 2019-08-

23

2019-

06-26

2019-

06-21

2019-

06-04

2019-

06-04

2019-

03-21

2019-

01-09

2018-

06-19

2018-

06-18

2017-09-

13

Number of Days 

Pending

278 319 322 335 335 387 436 575 576 766

DO Date of Receipt 2014-06-

17

2014-

06-12

2014-

05-09

2014-

03-21

2014-

01-31

2013-

08-23

2012-

05-22

2011-

05-31

2011-

02-09

2008-01-

28

Number of Days 

Pending

1580 1583 1606 1641 1675 1783 2102 2357 2436 3228

FinCEN Date of Receipt 2019-03-

08

2019-

01-31

2018-

10-11

2018-

08-14

2018-

06-08

2018-

03-23

2018-

01-10

2018-

01-10

2017-

05-09

2016-03-

31

Number of Days 

Pending

396 421 496 536 582 636 686 686 854 1132

Fiscal Service Date of Receipt 2018-02-

28

2018-

02-28

2018-

02-28

2018-

02-27

2018-

02-27

2018-

02-27

2018-

02-27

2018-

02-27

2018-

02-27

2018-02-

27

Number of Days 

Pending

653 653 653 654 654 654 654 654 654 654

IRS Date of Receipt 2018-02-

27

2018-

02-23

2018-

02-14

2017-

04-17

2017-

03-07

2016-

12-20

2016-

03-18

2016-

03-15

2016-

03-08

2014-10-

21

Number of Days 

Pending

652 654 660 868 897 948 1139 1142 1147 1492
32

MINT Date of Receipt N/A N/A N/A 2020-09-

30

2020-09-

30

2020-09-

28

2020-09-

24

2020-09-

22

2020-07-

16

2019-06-

05

Number of Days 

Pending

0 0 0 1 1 3 5 7 54 334

OCC Date of Receipt 2018-02-

14

2018-01-

30

2018-01-

26

2018-01-

25

2018-01-

19

2017-11-

28

2017-11-

09

2017-10-

23

2017-10-

10

2016-07-

06

Number of Days 

Pending

661 672 674 675 679 714 725 738 747 1064

TIGTA Date of Receipt 2020-09-

30

2020-09-

29

2020-09-

29

2020-09-

28

2020-09-

18

2020-09-

08

2020-09-

08

2020-09-

03

2020-07-

31

2020-05-

22

Number of Days 

Pending

<1 1 1 2 8 16 16 18 42 89

TTB Date of Receipt N/A N/A N/A N/A N/A N/A N/A 2020-09-

28

2020-09-

21

2020-09-

07

Number of Days 

Pending

0 0 0 0 0 0 0 3 8 17

AGENCY 

OVERALL

Date of Receipt 2014-06-

17

2014-06-

12

2014-05-

09

2014-03-

21

2014-01-

31

2013-08-

23

2012-05-

22

2011-05-

31

2011-02-

09

2008-01-

28

Number of Days 

Pending

1580 1583 1606 1641 1675 1783 2102 2357 2436 3228
33

VIII.A. REQUESTS FOR EXPEDITED PROCESSING

Agency / Component Number Granted Number Denied

Median Number 

of Days to 

Adjudicate

Average Number 

of Days to 

Adjudicate

Number 

Adjudicated 

Within Ten 

Calendar Days

BEP 0 2 <1 <1 2

DO 15 313 <1 <1 328

FinCEN 0 25 <1 <1 25

Fiscal Service 0 36 <1 <1 36

IRS 24 45 5 4 67

MINT 0 21 <1 <1 21

OCC 3 3 19 19 2

TIGTA 2 5 7 7 6

TTB 0 16 <1 <1 16

AGENCY OVERALL 44 466 1 2 503
34

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 1 9 <1 2

DO 0 536 <1 <1

FinCEN 0 39 <1 <1

Fiscal Service 0 127 <1 <1

IRS 90 8 3 3

MINT 0 18 <1 <1

OCC 15 0 <1 5

TIGTA 2 0 <1 <1

TTB 0 26 <1 <1

AGENCY OVERALL 108 763 1 3
35

IX. FOIA Personnel and Costs

Agency / 

Component

PERSONNEL COSTS

Number of 

"Full-Time FOIA 

Employees"

Number of 

"Equivalent 

Full-Time FOIA 

Employees"

Total 

Number of 

"Full-Time 

FOIA Staff"

Processing Costs LitigationRelated Costs Total Costs

BEP 0 1.20 1.20 262501.00 0.00 262501.00

DO 23 14.44 37.44 4283728.77 709776.52 4993505.29

FinCEN 2 5.00 7.00 342000.00 121000.00 463000.00

Fiscal Service 2 11.00 13.00 750000.00 0.00 750000.00

IRS 12 53.23 65.23 7131069.97 628977.16 7760047.13

MINT 1 0.00 1.00 106483.00 0.00 106483.00

OCC 9 0.61 9.61 2184116.00 0.00 2184116.00

TIGTA 0 4.34 4.34 624208.66 0.00 624208.66

TTB 1 0.55 1.55 232534.02 0.00 232534.02

AGENCY OVERALL 50 90.37 140.37 15916641.42 1459753.68 17376395.10
36

X. Fees Collected for Processing Requests

Agency / Component Total Amount of Fees 

Collected

Percentage of Total 

Costs

BEP 1619.66 0.6200

DO 700.00 0.0200

FinCEN 0.00 0.0000

Fiscal Service 19088.50 2.5500

IRS 26626.75 0.3700

MINT 0.00 0.0000

OCC 68960.00 3.1600

TIGTA 259.00 0.0400

TTB 1386.00 0.6000

AGENCY OVERALL 118639.91 0.7500
37

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

Agency / Component Number of Times Subsection Used

BEP 0

DO 0

FinCEN 0

Fiscal Service 0

IRS 0

MINT 0

OCC 0

TIGTA 0

TTB 0

AGENCY OVERALL 0
38

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

Agency / Component Number of Records 

Posted by the FOIA 

Office

Number of Records 

Posted by Program 

Offices

BEP 39 16

DO 10 357

FinCEN 1 18

Fiscal Service 18 21

IRS 4 3025

MINT 1 72

OCC 105 346

TIGTA 3 192

TTB 3 0

AGENCY OVERALL 184 4047
39

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 16 0

DO 1224 43

FinCEN 39 2

Fiscal Service 28 3

IRS 719 0

MINT 2 0

OCC 93 1

TIGTA 2 0

TTB 0 0

AGENCY 

OVERALL

2123 49
40

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

Agency / Component

Number of 

Consultations Received 

from Other Agencies 

that were Pending at 

the Agency as of Start

of the Fiscal Year

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 4 3 1

DO 18 43 42 19

FinCEN 3 15 15 3

Fiscal Service 0 0 0 0

IRS 8 52 59 1

MINT 0 0 0 0

OCC 0 0 0 0

TIGTA 0 4 4 0

TTB 0 0 0 0

AGENCY OVERALL 29 118 123 24

After reviewing its database, Treasury adjusted the number of consultations pending at the start of the fiscal year.
41

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

Agency / 

Component

10th 

Oldest 

Consultati

on

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 2020-05-19

Number 

of Days

0 0 0 0 0 0 0 0 0 94

DO Date 2019-07-

17

2019-05-

16

2019-05-

02

2018-10-

17

2018-08-

13

2018-07-

31

2018-06-

12

2017-12-

01

2017-02-

27

2014-08-05

Number 

of Days

305 347 357 492 537 546 580 712 905 1546

FinCEN Date N/A N/A N/A N/A N/A N/A N/A 2020-02-

24

2020-01-

30

2018-08-14

Number 

of Days

0 0 0 0 0 0 0 155 171 536

Fiscal 

Service

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

Number 

of Days

0 0 0 0 0 0 0 0 0 0

IRS Date N/A N/A N/A N/A N/A N/A N/A N/A N/A 2020-06-18

Number 

of Days

0 0 0 0 0 0 0 0 0 72

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
42

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

Number 

of Days

0 0 0 0 0 0 0 0 0 0

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

Number 

of Days

0 0 0 0 0 0 0 0 0 0

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

Number 

of Days

0 0 0 0 0 0 0 0 0 0

AGENCY 

OVERALL

Date 2019-05-

16

2019-05-

02

2018-10-

17

2018-08-

14

2018-08-

13

2018-07-

31

2018-06-

12

2017-12-

01

2017-02-

27

2014-08-05

Number 

of Days

347 357 492 536 537 546 580 712 905 1546
43

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 70 37 67 41

DO 1195 1368 1301 1121

FinCEN 222 211 226 187

Fiscal Service 415 382 400 401

IRS 8128 8156 8006 7773

MINT 113 113 111 109

OCC 1430 1349 1447 1325

TIGTA 225 209 222 212

TTB 138 91 141 91

AGENCY OVERALL 11936 11916 11921 11260
44

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 13 16

DO 991 1224

FinCEN 15 39

Fiscal Service 37 28

IRS 369 719

MINT 1 2

OCC 68 93

TIGTA 0 2

TTB 1 0

AGENCY OVERALL 1495 2123
45

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

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 1 1 1 1

DO 19 24 9 71

FinCEN 0 0 0 0

Fiscal Service 7 8 4 10

IRS 101 98 101 98

MINT 5 1 5 1

OCC 9 20 9 18

TIGTA 6 14 8 13

TTB 0 0 0 0

AGENCY OVERALL 148 166 137 212
46

XII.E.(2). COMPARISON OF NUMBERS OF ADMINISTRATIVE APPEALS FROM PREVIOUS AND CURRENT ANNUAL REPORT - BACKLOGGE

APPEALS

Agency / Component Number of 

Backlogged Appeals as 

of End of the Fiscal 

Year from Previous 

Annual Report

Number of 

Backlogged Appeals as 

of End of the Fiscal 

Year from Current 

Annual Report

BEP 0 0

DO 93 43

FinCEN 1 2

Fiscal Service 3 3

IRS 0 0

MINT 3 0

OCC 0 1

TIGTA 0 0

TTB 0 0

AGENCY OVERALL 100 49