Department of the Treasury 

FY2018 Freedom of Information Act Annual Report 
 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

FY2018 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 

1. Contact Information ................................................................................................................................ 4 

2. Brief description of why requests are not granted ................................................................................. 5 

3. FOIA Regulations ..................................................................................................................................... 5 

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

1. Agency–specific acronyms used in this Report: ...................................................................................... 6 

2. Basic terms used in this Report ............................................................................................................... 6 

3. Descriptions of the nine FOIA Exemptions:.............................................................................................9 

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

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

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

VII. Processed and Pending FOIA Requests.......................................................................................................26 

VIII. Requests for Expedited Processing and Fee Wavier ..................................................................................34 

IX. FOIA Personnel and Costs.............................................................................................................................36 

X. Fees Collected for Processing Requests ........................................................................................................37 

XI. Use of Subsection c. Exclusions and Proactive Disclosures..........................................................................38 

XII. Backlogs, Consultations, and Comparisions................................................................................................40 

2 
I. Basic Information Regarding this Report 

1. Questions regarding this report may be directed to: 

Paul Levitan 

Director for FOIA and Transparency 

Privacy, Transparency, and Records 

Department of the Treasury 

(202) 622-0930 Phone 

(202) 622-3895 Fax 

FOIA@treasury.gov 

Address: 

FOIA and Transparency 

Department of the Treasury 

Washington, DC 20220 

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

Information Act website. 

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

Transparency, and Records at the address above. 

3 
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) Office of the Comptroller of the Currency 

 Mr. Paul Levitan (OCC) 

Director for FOIA and Transparency Mr. Frank Vance 

Privacy, Transparency, and Records Disclosure Services 

Department of the Treasury 400 7th Street, S.W. 

(202) 622-0930 Phone Suite 3E-218, Mail Stop 6W-11 

(202) 622-3895 Fax Washington, DC 20219 

(202) 649-6758 Phone 

Alcohol and Tobacco Tax and Trade 

Bureau (TTB) Financial Crimes Enforcement Network 

Mr. Quinton Mason (FinCen) 

1310 G Street, N.W., Box 12 Ms. Rosemary Law 

Washington, DC 20005 ATTN: FOIA Request 

(202) 882-9904 Phone P.O. Box 39 

(202) 453-2331 Fax Vienna, VA 22183 

(703) 905-5034 Phone 

Bureau of Engraving and Printing (BEP) 

Disclosure Officer Internal Revenue Service (IRS) 

Office of the Chief Counsel HQ Stop 211 

FOIA and Transparency P.O. Box 621506 

14th & C Streets, S.W., Room 419A Atlanta, GA 30362-3006 

Washington, DC 20228 (801) 620-7638 Phone 

(202) 874-2500 Phone 

(202) 874-2951 Fax United States Mint (Mint) 

Ms. Lateau Jones 

Bureau of the Fiscal Service (Fiscal ATTN: FOIA Request 

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

Ms. Cynthia Sydnor/Ms. Denise Nelson Washington, DC 20220 

Disclosure Office (202) 354-4600 Phone 

401 14th Street, S.W., Room 508B (202) 756-6153 Fax 

Washington, DC 20227 

(202) 874-5602 Phone 

(202) 874-5484 Fax 

4 
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. 

5 
 

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. 

6 
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. 

7 
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). 

8 
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 

9 
 

 

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 

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 2 

2 

26 U.S.C. §§ 6103, 6105 

(Internal Revenue Code) 

Certain tax return 

information, to include 

Taxpayer Identification 

Numbers of third parties, 

and certain tax convention 

information 

Church of Scientology v. IRS, 484 

U.S. 9, 15 (1987) (26 U.S.C. § 

6103); Leonard v. U.S. Dep’t of 

Treasury, 590 F. App’x. 141, 143-44 

(3d Cir. 

2014) (per curiam); Pac. Fisheries, 

Inc. v. IRS, 395 F. App’x. 438, 440 

(9th Cir. 2010) (unpublished 

disposition) (26 U.S.C. §§ 6103, 

6105); Tax Analysts v. IRS, 217 F. 

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

(26 U.S.C. § 6105). 

IRS 2,070 

2,140 

TIGTA 31 

TTB 30 

DO 9 

10 
 

 

 

 

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 

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

narcotics traffickers 

N/A DO 3 

3 

31 U.S.C. § 5319 (Bank 

Secrecy Act) 

Reports pertaining to monetary 

instruments transactions filed under 

subchapter II of chapter 53 of title 

31 and records of those reports 

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). 

IRS 130 

498 

FinCEN 367 

TIGTA 1 

41 U.S.C. § 4702 (formerly at Contractor proposals that are in the Sinkfield v. HUD, No. 10-885, IRS 3 

41 U.S.C. § 253b(m)(1)) possession or control of an 

executive agency and that have not 

been set forth or incorporated by 

2012 U.S. Dist. LEXIS 35233, 

at *13-15 (S.D. Ohio Mar. 15, 

2012); Margolin v. NASA, No. 

reference into contracts 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, 

4 

11 
 

 

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 

No. 03-5257, 2004 WL 

1900562 (D.C. Cir. Aug. 25, 

2004). 

MINT 1 

5 U.S.C. app. 3 § 7(b) Names of employees who provide 

information or complaints to the 

Inspector General 

N/A TIGTA 1 

1 

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 Sussman v. USMS, 494 F.3d 

reveal some secret aspect 1106, 1113 (D.C. Cir. 2007); 

pertaining to grand jury Widi v. McNeil, No. 12-CV00188, 

proceedings 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 18 

22 

TIGTA 4 

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 10 

10 

Foreign Relations 

Authorization Act, Fiscal 

Years 1986 and 1987, Pub. L. 

Information related to the settlement 

of claims before the Iran Tribunal. 

DO 1 

1 

12 
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 

No. 99-93, § 505, 99 Stat. 

405, 438-39 (1985) 

0 

0 

0 

13 
 

 

V. FOIA Requests 

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

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 12 66 67 11 

DO 825 1,255 936 1,144 

FinCEN 64 575 552 87 

Fiscal Service 45 382 382 45 

IRS 672 7,909 7,859 722 

MINT 10 143 151 2 

OCC 72 1,829 1,768 133 

TIGTA 20 254 261 13 

TTB 8 122 122 8 

AGENCY OVERALL 1,728 12,535 12,098 2,165 

After reviewing its database, Treasury adjusted the number of requests pending as of the end of FY17 for BEP, IRS, MINT, OCC and 

TTB. 

14 
V.B.(1). DISPOSITION OF FOIA REQUESTS -- ALL PROCESSED REQUESTS 

Agency / 

Component 

Number 

of Full 

Grants 

Number 

of Partial 

Grants / 

Partial 

Denials 

Number of 

Full Denials 

Based on 

Exemptions 

Number of Full Denials Based on Reasons Other than Exemptions 

No 

Records 

All Records 

Referred to 

Another 

Component 

or Agency 

Request 

Withdrawn 

FeeRelated 

Reason 

Records 

not 

Reasonably 

Described 

Improper 

FOIA 

Request 

for Other 

Reason 

Not 

Agency 

Record 

Duplicate 

Request 

Other 

*Explain 

in Chart 

Below 

TOTAL 

BEP 34 9 1 10 1 2 5 2 2 0 1 0 67 

DO 108 139 25 89 127 105 15 138 36 78 63 13 936 

FinCEN 7 58 353 60 0 4 0 18 28 18 4 2 552 

Fiscal Service 54 169 1 37 24 7 11 1 43 27 8 0 382 

IRS 2,050 2,405 66 643 15 257 54 10 2,085 25 231 18 7,859 

MINT 38 36 2 45 2 8 0 6 10 1 3 0 151 

OCC 1,433 58 21 84 2 63 14 21 16 48 8 0 1,768 

TIGTA 25 79 13 22 34 10 1 2 53 8 14 0 261 

TTB 27 28 19 23 1 13 3 1 0 0 7 0 122 

AGENCY 

OVERALL 3,776 2,981 501 1,013 206 469 103 199 2,273 205 339 33 12,098 

15 
 

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

BASED ON REASONS OTHER THAN EXEMPTIONS" 

Agency / 

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

Number of Times 

"Other" Reason 

Was Relied Upon 

TOTAL 

BEP N/A 0 

0 

DO Litigation 13 

13 

FinCEN Litigation 2 

2 

Fiscal Service N/A 0 

0 

IRS Litigation 18 

18 

MINT N/A 0 

0 

OCC N/A 0 

0 

TIGTA N/A 0 

0 

TTB N/A 0 

0 

AGENCY 

OVERALL 33 

16 
 

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

Agency / 

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

BEP 0 0 0 1 5 10 0 0 0 0 0 0 1 0 

DO 2 2 23 45 73 119 10 0 34 1 38 0 2 0 

FinCEN 1 1 367 1 13 35 4 0 8 3 54 0 1 0 

Fiscal Service 0 0 0 20 8 124 0 0 0 0 2 0 0 0 

IRS 0 10 2,223 53 485 428 525 1 1,008 11 1,270 5 0 0 

MINT 0 5 1 2 7 28 0 0 8 0 4 4 0 0 

OCC 0 10 0 26 30 46 1 0 0 1 5 0 27 0 

TIGTA 0 2 37 1 9 82 4 0 81 2 16 0 0 0 

TTB 0 0 30 14 3 28 0 0 1 0 1 0 0 0 

AGENCY 

OVERALL 3 30 2,681 163 633 900 544 1 1,140 18 1,390 9 31 0 

17 
VI. Administrative Appeals 

VI.A. ADMINISTRATIVE APPEALS OF INITIAL DETERMINATIONS OF FOIA REQUESTS --

RECEIVED, PROCESSED, AND PENDING ADMINISTRATIVE APPEALS 

Agency / Component 

Number of Appeals 

Pending as of Start 

of Fiscal 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 4 4 0 

DO 85 25 9 101 

FinCEN 6 1 2 5 

Fiscal Service 1 10 9 2 

IRS 6 107 110 3 

MINT 0 9 5 4 

OCC 2 9 11 0 

TIGTA 0 12 10 2 

TTB 0 0 0 0 

AGENCY OVERALL 100 177 160 117 

18 
VI.B. DISPOSITION OF ADMINISTRATIVE APPEALS -- ALL PROCESSED APPEALS 

Agency / Component Number Affirmed on 

Appeal 

Number Partially 

Affirmed & Partially 

Reversed/Remanded on 

Appeal 

Number Completely 

Reversed/Remanded on 

Appeal 

Number of Appeals 

Closed for Other 

Reasons 

TOTAL 

BEP 3 0 1 0 4 

DO 7 0 2 0 9 

FinCEN 0 2 0 0 2 

Fiscal Service 8 0 1 0 9 

IRS 106 4 0 0 110 

MINT 4 1 0 0 5 

OCC 5 5 1 0 11 

TIGTA 8 0 0 2 10 

TTB 0 0 0 0 0 

0 

AGENCY OVERALL 141 12 5 2 160 

19 
 

VI.C.(1). REASONS FOR DENIAL ON APPEAL -- NUMBER OF TIMES EXEMPTIONS APPLIED 

Agency / 

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

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

DO 1 0 3 2 7 8 0 0 1 0 2 0 2 0 

FinCEN 0 0 6 0 0 0 0 0 0 0 0 0 0 0 

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

IRS 0 2 46 1 26 19 19 0 14 0 30 0 0 0 

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

OCC 0 0 0 4 5 2 0 0 0 0 0 0 4 0 

TIGTA 0 0 1 0 1 5 1 0 5 0 0 0 0 0 

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

AGENCY 

OVERALL 1 2 57 10 40 34 20 0 20 0 32 0 6 0 

20 
VI.C.(2). REASONS FOR DENIAL ON APPEAL -- REASONS OTHER THAN EXEMPTIONS 

Agency / 

Component 

No 

Records 

Records 

Referred at 

Initial 

Request 

Level 

Request 

Withdrawn 

FeeRelated 

Reason 

Records 

not 

Reasonably 

Described 

Improper 

Request 

for Other 

Reasons 

Not 

Agency 

Record 

Duplicate 

Request or 

Appeal 

Request in 

Litigation 

Appeal 

Based 

Solely on 

Denial of 

Request 

for 

Expedited 

Processing 

Other 

*Explain in 

chart 

below 

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

DO 0 0 0 0 4 0 0 0 0 0 0 

FinCEN 1 0 0 0 0 0 0 0 0 0 0 

Fiscal Service 4 0 0 0 0 0 2 0 0 0 0 

IRS 22 0 0 0 0 29 0 0 0 0 0 

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

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

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

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

AGENCY 

OVERALL 30 0 0 1 4 29 4 0 0 0 0 

21 
VI.C.(3). REASONS FOR DENIAL ON APPEAL -- "OTHER" REASONS 

Agency / 

Component Description of "Other" Reasons for Denial on Appeal from Chart C(2) 

Number of Times 

"Other" Reason 

Was Relied Upon 

TOTAL 

BEP N/A 0 

0 

DO 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 N/A 0 

0 

TIGTA N/A 0 

0 

TTB N/A 0 

0 

AGENCY 

OVERALL 0 

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 10.00 11.80 9.00 18.00 

DO 210.00 304.80 2.00 1,725.00 

FinCEN 33.00 33.00 32.00 34.00 

Fiscal Service 20.00 19.40 18.00 20.00 

IRS 11.00 11.33 3.00 24.00 

MINT 16.00 18.40 14.00 28.00 

OCC 19.50 17.90 9.00 24.00 

TIGTA 14.00 13.40 3.00 20.00 

TTB 0.00 0.00 0.00 0.00 

AGENCY OVERALL 15.00 29.38 2.00 1,725.00 

23 
 

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

Agency / 

Component 

Date of 

Appeal/Number of 

Days Pending 

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 2012-02-232011-11-032011-09-072011-09-012011-08-312011-07-262011-07-152011-04-062011-02-022010-09-06 

Number of Days 

Pending 1660 1734 1774 1777 1778 1804 1811 1881 1925 2026 

FinCEN 

Date of Appeal N/A N/A N/A N/A N/A N/A N/A N/A2017-09-292012-03-26 

Number of Days 

Pending 0 0 0 0 0 0 0 0 252 1638 

Fiscal Service 

Date of Appeal N/A N/A N/A N/A N/A N/A N/A N/A2018-01-162017-12-12 

Number of Days 

Pending 0 0 0 0 0 0 0 0 180 202 

IRS 

Date of Appeal N/A N/A N/A N/A N/A N/A N/A2018-09-202018-09-122018-09-12 

Number of Days 

Pending 0 0 0 0 0 0 0 6 13 13 

MINT 

Date of Appeal N/A N/A N/A N/A N/A N/A2018-09-282018-07-312018-02-282017-11-07 

Number of Days 

Pending 0 0 0 0 0 0 1 43 150 225 

OCC 

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 

TIGTA 

Date of Appeal N/A N/A N/A N/A N/A N/A N/A N/A2017-09-262016-09-10 

Number of Days 

Pending 0 0 0 0 0 0 0 0 182 1814 

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

24 
 Agency / 

Component 

Date of 

Appeal/Number of 

Days Pending 

10th Oldest 

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

Appeal 

Number of Days 

Pending 0 0 0 0 0 0 0 0 0 0 

AGENCY Date of Appeal 2012-02-232011-11-032011-09-072011-09-012011-08-312011-07-262011-07-152011-04-062011-02-022010-09-06 

OVERALL Number of Days 

Pending 1660 1734 1774 1777 1778 1804 1811 1881 1925 2026 

25 
 

VII. Processed and Pending FOIA Requests 

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

Agency / 

Component 

SIMPLE COMPLEX EXPEDITED PROCESSING 

Median 

Number 

of Days 

Average 

Number 

of Days 

Lowest 

Number 

of Days 

Highest 

Number 

of Days 

Median 

Number 

of Days 

Average 

Number 

of Days 

Lowest 

Number 

of Days 

Highest 

Number 

of Days 

Median 

Number 

of Days 

Average 

Number 

of Days 

Lowest 

Number 

of Days 

Highest 

Number 

of Days 

BEP 19 19.8 <1 68 29 43.1 1 185 N/A N/A N/A N/A 

DO 4 9.4 <1 232 163 280.1 <1 1402 150 130.5 17 207 

FinCEN 2 3.3 <1 39 26 39.6 <1 119 N/A N/A N/A N/A 

Fiscal Service 15 14.4 <1 64 25 32.9 <1 158 56 55.5 22 89 

IRS N/A N/A N/A N/A 15 27 1 959 29 39 8 209 

MINT 9 12.1 <1 135 38 48.1 <1 156 N/A N/A N/A N/A 

OCC 4 9.72 <1 265 113 136.09 2 627 18 20.11 3 49 

TIGTA 3.5 5.27 <1 18 17 16.65 <1 81 6.5 6.5 3 10 

TTB 2 3.8 <1 15 18 16.9 <1 30 N/A N/A N/A N/A 

AGENCY 

OVERALL 4 14 <1 265 17 39 <1 1402 25 63 3 209 

26 
VII.B. PROCESSED REQUESTS -- RESPONSE TIME FOR PERFECTED REQUESTS IN WHICH INFORMATION WAS 

GRANTED 

Agency / 

Component 

SIMPLE COMPLEX EXPEDITED PROCESSING 

Median 

Number 

of Days 

Average 

Number 

of Days 

Lowest 

Number 

of Days 

Highest 

Number 

of Days 

Median 

Number 

of Days 

Average 

Number 

of Days 

Lowest 

Number 

of Days 

Highest 

Number 

of Days 

Median 

Number 

of Days 

Average 

Number 

of Days 

Lowest 

Number 

of Days 

Highest 

Number 

of Days 

BEP 18 17.3 1 39 23 30.5 1 93 N/A N/A N/A N/A 

DO 5 14.8 <1 232 133 210.9 <1 1391 150 137.6 17 174 

FinCEN 4 9 <1 39 52 54.1 17 119 N/A N/A N/A N/A 

Fiscal Service 16 16 <1 64 26 35.2 3 158 22 22 22 22 

IRS N/A N/A N/A N/A 13 38.1 1 254 28 27 10 49 

MINT 14 15.8 <1 135 51 69.1 30 156 N/A N/A N/A N/A 

OCC 3 8.22 <1 265 87.5 147 2 627 20 22.86 8 49 

TIGTA 9 8.33 <1 18 19 20.72 1 81 N/A N/A N/A N/A 

TTB 5 4.6 <1 15 23 19.8 <1 30 N/A N/A N/A N/A 

AGENCY 

OVERALL 6 11 <1 265 23 58 <1 1391 29 65 22 174 

27 
 

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

Agency / 

Component 

<1-20 

Days 

21-40 

Days 

41-60 

Days 

61-80 

Days 

81-100 

Days 

101-120 

Days 

121-140 

Days 

141-160 

Days 

161-180 

Days 

181-200 

Days 

201-300 

Days 

301-400 

Days 

401+ 

Days TOTAL 

BEP 26 12 1 2 0 0 0 0 0 0 0 0 0 41 

DO 342 14 1 1 1 0 0 0 0 0 2 0 0 361 

FinCEN 458 13 0 0 0 0 0 0 0 0 0 0 0 471 

Fiscal Service 192 32 4 1 0 0 0 0 0 0 0 0 0 229 

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

MINT 113 5 1 2 0 0 1 0 0 0 0 0 0 122 

OCC 1,488 155 33 15 6 4 5 3 0 0 2 0 0 1,711 

TIGTA 1 47 0 0 0 0 0 0 0 0 0 0 0 48 

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

AGENCY 

OVERALL 2,637 278 40 21 7 4 6 3 0 0 4 0 0 3,000 

28 
 

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

Agency / 

Component 

<1-20 

Days 

21-40 

Days 

41-60 

Days 

61-80 

Days 

81-100 

Days 

101-120 

Days 

121-140 

Days 

141-160 

Days 

161-180 

Days 

181-200 

Days 

201-300 

Days 

301-400 

Days 

401+ 

Days TOTAL 

BEP 5 6 1 1 1 0 0 0 0 1 0 0 3 18 

DO 70 34 23 20 13 6 17 14 13 9 54 23 101 397 

FinCEN 8 9 3 2 1 3 0 0 0 0 0 0 8 34 

Fiscal Service 24 54 6 3 7 1 0 1 0 0 0 0 13 109 

IRS 3,036 1,255 706 299 156 99 50 41 32 15 41 16 18 5,764 

MINT 3 4 4 0 0 0 1 1 0 0 0 0 0 13 

OCC 3 0 1 1 0 1 1 1 1 1 0 0 1 11 

TIGTA 3 77 11 8 1 1 0 0 0 0 0 0 0 101 

TTB 57 39 0 0 0 0 0 0 0 0 0 0 8 104 

AGENCY 

OVERALL 3,209 1,478 755 334 179 111 69 58 46 26 95 39 152 6,551 

29 
 

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

Agency / 

Component 

<1-20 

Days 

21-40 

Days 

41-60 

Days 

61-80 

Days 

81-100 

Days 

101-120 

Days 

121-140 

Days 

141-160 

Days 

161-180 

Days 

181-200 

Days 

201-300 

Days 

301-400 

Days 

401+ 

Days TOTAL 

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

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

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

Fiscal Service 0 1 0 0 1 0 0 0 0 0 0 0 0 2 

IRS 13 0 0 0 0 0 0 0 0 0 0 0 0 13 

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

OCC 6 2 1 0 0 0 0 0 0 0 0 0 0 9 

TIGTA 0 2 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 20 5 2 1 1 0 2 4 2 0 1 0 0 38 

30 
VII.D. PENDING REQUESTS -- ALL PENDING PERFECTED REQUESTS 

Agency / Component 

SIMPLE COMPLEX EXPEDITED PROCESSING 

Number 

Pending 

Median 

Number of 

Days 

Average 

Number of 

Days 

Number 

Pending 

Median 

Number of 

Days 

Average 

Number of 

Days 

Number 

Pending 

Median 

Number of 

Days 

Average 

Number of 

Days 

BEP 9 104 180 2 589 589 0 N/A N/A 

DO 129 152 205 883 279 370 32 232 204 

FinCEN 24 122 147 24 93 153 0 N/A N/A 

Fiscal Service 10 14 138 29 178 181 0 N/A N/A 

IRS 0 N/A N/A 722 20 77 5 82 145 

MINT 2 13 13 0 N/A N/A 0 N/A N/A 

OCC 125 20 58 0 N/A N/A 0 N/A N/A 

TIGTA 0 N/A N/A 5 14 12 0 N/A N/A 

TTB 0 N/A N/A 6 18 16 0 N/A N/A 

AGENCY OVERALL 299 82 133 1671 143 235 37 191 188 

31 
 

 

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

Agency / 

Component 

Date of 

Receipt/Number of 

Days Pending 

10th Oldest 

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

Request 

BEP 

Date of Receipt 2018-09-102018-06-222018-06-222018-06-182018-01-232017-12-142017-10-052017-09-132016-10-262015-05-11 

Number of Days 

Pending 15 69 69 73 175 200 247 263 482 852 

DO 

Date of Receipt 2013-07-262013-07-252013-07-252012-05-222012-02-072011-09-212011-05-312011-02-092010-07-272008-01-28 

Number of Days 

Pending 1300 1336 1336 1597 1671 1764 1843 1920 2055 2885 

FinCEN 

Date of Receipt 2017-11-212017-11-212017-11-202017-11-202017-11-202017-10-162017-10-022017-06-202017-05-092016-03-11 

Number of Days 

Pending 216 216 217 217 217 241 250 322 351 643 

Fiscal Service 

Date of Receipt 2018-02-272018-02-272018-02-272018-02-272018-02-122018-01-102017-10-022017-06-142016-09-292013-04-03 

Number of Days 

Pending 151 151 151 151 161 183 250 326 502 1380 

IRS 

Date of Receipt 2015-09-152015-09-152015-09-152015-08-192015-08-082015-08-082015-04-272015-04-062014-10-212014-08-08 

Number of Days 

Pending 765 765 765 783 784 784 863 878 990 1041 

MINT 

Date of Receipt N/A N/A N/A N/A N/A N/A N/A N/A2018-09-212018-09-11 

Number of Days 

Pending 0 0 0 0 0 0 0 0 5 18 

OCC 

Date of Receipt 2017-11-282017-11-092017-11-032017-10-262017-10-262017-10-232017-10-172017-10-102017-07-182016-07-06 

Number of Days 

Pending 211 222 226 232 232 235 239 244 302 561 

TIGTA 

Date of Receipt N/A N/A N/A N/A N/A2018-09-212018-09-112018-09-102018-09-062018-09-06 

Number of Days 

Pending 0 0 0 0 0 5 13 14 16 16 

TTB Date of Receipt N/A N/A N/A N/A2018-09-252018-09-252018-09-252018-09-142018-09-132018-09-12 

32 
 

 Agency / 

Component 

Date of 

Receipt/Number of 

Days Pending 

10th Oldest 

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

Request 

Number of Days 

Pending 0 0 0 0 3 3 3 10 11 12 

AGENCY Date of Receipt 2013-07-262013-07-252013-04-032012-05-222012-02-072011-09-212011-05-312011-02-092010-07-272008-01-28 

OVERALL Number of Days 

Pending 1332 1332 1411 1627 1702 1794 1874 1950 2084 2712 

33 
VIII. Requests for Expedited Processing and Fee Wavier 

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 7 1 1 7 

DO 32 230 1 1 252 

FinCEN 0 41 1 1 41 

Fiscal Service 1 66 1 1 67 

IRS 13 23 4 5 34 

MINT 0 20 1 1 20 

OCC 12 5 8 15.18 10 

TIGTA 3 2 1 1.6 5 

TTB 0 18 1 1 18 

AGENCY 

OVERALL 61 412 1 1.75 454 

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 0 0 N/A N/A 

DO 51 12 1 1 

FinCEN 0 0 N/A N/A 

Fiscal Service 3 1 1 1 

IRS 90 14 4 7 

MINT 0 0 N/A N/A 

OCC 27 1 1 4.43 

TIGTA 0 0 N/A N/A 

TTB 0 0 N/A N/A 

AGENCY 

OVERALL 171 27 2 4.6 

35 
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 1.9 1.9 $302,784.00 $0.00 $302,784.00 

DO 20 13.34 33.34 $5,428,651.73 $291,197.56 $5,719,849.29 

FinCEN 2 5 7 $336,284.40 $130,969.80 $467,254.20 

Fiscal Service 2 11 13 $1,973,032.79 $0.00 $1,973,032.79 

IRS 10 53.6 63.6 $5,800,177.72 $746,016.17 $6,546,193.89 

MINT 1 1 2 $359,370.00 $0.00 $359,370.00 

OCC 9 0.59 9.59 $2,148,798.27 $0.00 $2,148,798.27 

TIGTA 0 3.84 3.84 $594,683.00 $27,198.00 $621,881.00 

TTB 1 1.53 2.53 $208,549.98 $0.00 $208,549.98 

AGENCY 

OVERALL 45 91.8 136.8 $17,152,331.89 $1,195,381.53 $18,347,713.42 

36 
X. Fees Collected for Processing Requests 

Agency / Component Total Amount of Fees 

Collected 

Percentage of Total 

Costs 

BEP $0.00 0.00% 

DO $5,070.90 0.09% 

FinCEN $0.00 0.00% 

Fiscal Service $12,645.63 0.64% 

IRS $39,678.00 0.68% 

MINT $0.00 0.00% 

OCC $144,435.00 6.72% 

TIGTA $41.00 0.01% 

TTB $1,520.93 0.73% 

AGENCY OVERALL $203,391.46 1.19% 

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

XI.A. NUMBER OF TIMES SUBSECTION (C) USED 

Agency / Component Number of Times Subsection Used 

BEP 0 

DO 0 

FinCEN 0 

Fiscal Service 0 

IRS 0 

MINT 0 

OCC 0 

TIGTA 0 

TTB 0 

AGENCY OVERALL 0 

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 0 9 

DO 12 156 

FinCEN 1 71 

Fiscal Service 18 37 

IRS 4 2,837 

MINT 3 103 

OCC 138 398 

TIGTA 9 27 

TTB 56 78 

AGENCY OVERALL 241 3,716 

39 
XII. Backlogs, Consultations, and Comparisons 

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 9 1 

DO 1,045 103 

FinCEN 22 2 

Fiscal Service 29 2 

IRS 282 0 

MINT 0 5 

OCC 66 0 

TIGTA 0 0 

TTB 0 2 

AGENCY OVERALL 1,453 115 

40 
 

 

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

PENDING CONSULTATIONS 

Agency / Component 

Number of 

Consultations Received 

from Other Agencies 

that were Pending at the 

Agency as of Start 

of the Fiscal 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 1 0 1 

DO 9 38 34 13 

FinCEN 2 30 31 1 

Fiscal Service 0 1 1 0 

IRS 6 72 73 5 

MINT 0 0 0 0 

OCC 0 2 2 0 

TIGTA 0 4 4 0 

TTB 0 0 0 0 

AGENCY OVERALL 17 148 145 20 

41 
 

 

XII.C. CONSULTATIONS ON FOIA REQUESTS -- TEN OLDEST CONSULTATIONS RECEIVED FROM OTHER AGENCIES 

AND PENDING AT THE AGENCY 

Agency / 

Component 

10th Oldest 

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

BEP 

Date N/A N/A N/A N/A N/A N/A N/A N/A N/A 2018-09-13 

Number of Days 0 0 0 0 0 0 0 0 0 12 

DO 

Date 2018-06-122018-06-062018-05-142018-03-192017-12-012017-12-012017-02-272016-05-162016-02-09 2014-08-05 

Number of Days 77 81 97 137 209 209 402 597 665 1043 

FinCEN 

Date N/A N/A N/A N/A N/A N/A N/A N/A N/A 2018-02-23 

Number of Days 0 0 0 0 0 0 0 0 0 153 

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/A2018-09-142018-09-142018-09-052018-09-05 2018-08-22 

Number of Days 0 0 0 0 0 11 11 18 18 27 

MINT 

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

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

OCC 

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

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

TIGTA 

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

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

TTB 

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

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

AGENCY 

OVERALL 

Date 2018-06-062018-05-142018-03-192018-02-232017-12-012017-12-012017-02-272016-05-162016-02-09 2014-08-05 

Number of Days 77 81 97 153 209 209 402 597 665 1043 

42 
 

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

REQUESTS RECEIVED AND PROCESSED 

Agency / Component 

NUMBER OF REQUESTS RECEIVED NUMBER OF REQUESTS PROCESSED 

Number Received 

During Fiscal Year from 

Last Year's Annual 

Report 

Number Received 

During Fiscal Year from 

Current Annual Report 

Number Processed 

During Fiscal Year from 

Last Year's Annual 

Report 

Number Processed 

During Fiscal Year from 

Current Annual Report 

BEP 57 66 41 67 

DO 1,204 1,255 961 936 

FinCEN 459 575 442 552 

Fiscal Service 376 382 339 382 

IRS 8,262 7,909 8,512 7,859 

MINT 120 143 110 151 

OCC 1,609 1,829 1,613 1,768 

TIGTA 260 254 250 261 

TTB 129 122 124 122 

AGENCY OVERALL 12,476 12,535 12,392 12,098 

After reviewing its database, Treasury adjusted the number of requests received and processed in FY17. 

43 
XII.D.(2). COMPARISON OF NUMBERS OF REQUESTS FROM PREVIOUS AND CURRENT 

ANNUAL REPORT -- BACKLOGGED REQUESTS 

Agency / Component 

Number of Backlogged 

Requests as of End of the 

Fiscal Year from Previous 

Annual Report 

Number of Backlogged 

Requests as of End of the 

Fiscal Year from Current 

Annual Report 

BEP 1 9 

DO 738 1,045 

FinCEN 41 22 

Fiscal Service 17 29 

IRS 276 282 

MINT 3 0 

OCC 17 66 

TIGTA 0 0 

TTB 2 0 

AGENCY OVERALL 1,095 1,453 

After reviewing its database, Treasury adjusted the number of backlogged requests for OCC as of the end of FY17. 

44 
 

 

After reviewing its database, the agency adjusted the number of appeals processed in FY17 for DO and FinCEN.

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

REPORT -- APPEALS RECEIVED AND PROCESSED 

Agency / Component 

NUMBER OF APPEALS RECEIVED NUMBER OF APPEALS PROCESSED 

Number Received 

During Fiscal Year from 

Last Year's Annual 

Report 

Number Received 

During Fiscal Year from 

Current Annual Report 

Number Processed 

During Fiscal Year from 

Last Year's Annual 

Report 

Number Processed 

During Fiscal Year from 

Current Annual Report 

BEP 4 4 4 4 

DO 22 25 6 9 

FinCEN 13 1 12 2 

Fiscal Service 4 10 3 9 

IRS 123 107 120 110 

MINT 2 9 2 5 

OCC 2 9 12 11 

TIGTA 12 12 14 10 

TTB 0 0 0 0 

AGENCY OVERALL 182 177 173 160 

After reviewing its database, the agency adjusted the number of appeals received in FY17 for DO, FinCEN, OCC, and BEP. 

45 
 

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

PREVIOUS AND CURRENT ANNUAL REPORT -- BACKLOGGED APPEALS 

Agency / Component 

Number of Backlogged 

Appeals as of End of the 

Fiscal Year from Previous 

Annual Report 

Number of Backlogged 

Appeals as of End of the 

Fiscal Year from Current 

Annual Report 

BEP 1 1 

DO 77 103 

FinCEN 0 2 

Fiscal Service 0 2 

IRS 0 0 

MINT 0 5 

OCC 0 0 

TIGTA 0 0 

TTB 0 2 

AGENCY OVERALL 78 115 

After reviewing its database, Treasury adjusted the number of backlogged appeals as of the end of FY17 for BEP, DO, 

and FinCEN 

46