Department of the Treasury 

 2016 Chief Freedom of Information Act Officer Report 

to the Attorney General of the United States THE

D

EPARTMENT OF THE TREASURY

1789
2 

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

Records 

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

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

Department1

) 2016 Chief Freedom of Information Act Officer Report 

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

Treasury initiatives to comply with the Freedom of Information Act2

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

This report covers the period of March 2015 through March 2016 (the 

reporting period). 

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

Transparency, and Records via phone at (202) 622-0930 or via e-mail 

at TreasFOIA@treasury.gov. This report, as well as previous reports, 

can be found on the Department’s FOIA website, www.treasury.gov/foia. 

Helen Goff Foster 

Deputy Assistant Secretary 

Privacy, Transparency, and Records 

U.S. Department of the Treasury 

 

 

1 In this report, the “Department” or “Treasury” means the entire agency, including all bureaus (components) and 

offices.

2 5 U.S.C.§552
3 

2016 Chief Freedom of Information Act Officer Report 

To the Attorney General of the United States 

Table of Contents 

Message from the Chief Freedom of Information Act Officer ....................................................... 2 

FOIA at the Department of the Treasury ........................................................................................ 4 

Section I: Steps Taken to Apply the Presumption of Openness ..................................................... 6

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

for Responding to Requests .......................................................................................................... 12

Section III: Steps Taken to Increase Proactive Disclosures ......................................................... 18

Section IV: Steps Taken to Greater Utilize Technology ............................................................. 19

Section V: Steps Taken to Improve Timeliness in Responding to Requests and Reducing 

Backlogs ........................................................................................................................................ 27

Section VI: Use of the FOIA’s Law Enforcement Exclusions ..................................................... 28

Section VII: Spotlight on Success ................................................................................................. 28
4 

FOIA at the Department of the Treasury 

FOIA administration is decentralized at the Department of the Treasury. In other words, the nine 

Bureaus that comprise the Department separately receive and respond to FOIA requests: 

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

2. Bureau of Engraving and Printing (BEP) 

3. Bureau of the Fiscal Service (Fiscal Service3) 

4. Departmental Offices (DO) 

5. Financial Crimes Enforcement Network (FinCEN) 

6. Internal Revenue Service (IRS) 

7. Office of the Comptroller of the Currency (OCC) 

8. Treasury Inspector General for Tax Administration (TIGTA) 

9. United States Mint (Mint) 

Departmental Offices encompasses a number of Treasury program and policy offices,4 

including, for example, the Office of Foreign Assets Control (OFAC). The Office of Privacy, 

Transparency, and Records (OPTR), situated within DO, functions as the centralized DO 

resource for FOIA administration. OPTR is also responsible for Treasury-wide policy, guidance, 

and compliance with the FOIA. The Deputy Assistant Secretary for Privacy, Transparency, and 

Records leads OPTR, and reports directly to the Treasury Chief FOIA Officer.

Treasury received 13,992 FOIA requests during Fiscal Year (FY) 2015. This figure represents a 

0.8% percent decrease from FY2014 and continues a downward trend in recent years. From FY 

2009 through the present, Treasury received an average of 16,216 requests per fiscal year (See 

Figure 1). 

 

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

Bureau of the Fiscal Service.

4

 DO also include the Offices of the Secretary, 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 (FSOC), an entity chaired by the Secretary of the Treasury. For more 

information, please visit Treasury’s webpage at www.treasury.gov/about/organizationalstructure/Pages/default.aspx.

0

5,000

10,000

15,000

20,000

25,000

2009 2010 2011 2012 2013 2014 2015

20,075 16,911 16,776 16,610 15,040 14,107 13,992

Figure 1. Total number of FOIA requests received at Treasury
5 

In FY 2015, there was a wide disparity in the number of FOIA requests directed to individual 

Treasury Bureaus. For example, IRS received 10,197 requests in FY 2015, or 73% of Treasury’s 

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

requests during the same period (See Figure 2). 

The Department closed 13,987 requests in FY 2015, or 99.53% of the requests received in FY 

2015. BEP, IRS, and Mint closed more requests than they received in FY 2015. 

0

2,000

4,000

6,000

8,000

10,000

12,000

IRS OCC DO FinCEN Fiscal

Service

TIGTA TTB MINT BEP

Received 10,197 1,638 771 392 327 312 108 95 82

Processed 10,416 1,634 627 390 327 308 106 96 83

Number of Requests

Figure 2. Number of FOIA requests received and processed during 

FY 2015 by Treasury Bureau
6 

Section I: Steps Taken to Apply the Presumption of Openness 

FOIA Training 

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

Yes 

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

In October 2015, the Department hosted three days of comprehensive FOIA training. Thirty 

FOIA professionals attended. The training was provided by Mr. Richard Huff, an instructor 

from the USA Graduate School. Topics covered included FOIA administration, exemptions, 

appeals, and the Privacy Act. 

On December 2, 2015, the Department held its second annual FOIA Summit. More than 40 

FOIA professionals attended. The Department of Justice Office of Information Policy (OIP) 

and the National Archives and Records Administration Office of Government Information 

Services (OGIS) provided training in the areas of Exemption 5, discretionary releases, 

proactive disclosure, customer service, dispute resolution, and accuracy and accountability in 

FOIA processing. Additionally, the Director for FOIA and Transparency reviewed and 

discussed the FOIA commitments in the Third Open Government National Action Plan, and 

reviewed DOJ Guidance concerning “Limitations on Use of ‘Still-Interested’ Inquiries”, and 

“Proactive Disclosures of Non-Exempt Agency Information: Making Information Available 

Without the Need to File a FOIA Request”. 

Additionally, IRS held a number of training opportunities for IRS’ FOIA professionals: 

 In June and October 2015, IRS held “Basic Introduction to Disclosure” and “New 

Hire Case-Worker Training”. In total, more than 40 employees attended. 

 All IRS Disclosure Office employees attended “Disclosure Technical Updates” 

training. Topics covered during the training included discretionary release (presented 

by OIP), error trends in IRS FOIA processing, and IRS FOIA processing guidance. 

Additionally, IRS employees watched the DOJ Executive Briefing on the FOIA. In 

addition, all IRS Disclosure Office employees were provided an overview of OGIS 

services and training on FOIA best practices and communication (hosted by OGIS). 

 Additionally, IRS conducted targeted training for groups of Disclosure Office 

employees: 

o All IRS FOIA Tax Law Specialists attended training on national-level FOIA 

processing. 

o FOIA Case Workers attended training that focused on FOIA searches; 

specifically, FOIA cases seeking database extracts of certain public 

information. 

o Senior FOIA Disclosure Specialists received training on FOIA referrals and 

consultations. 
7 

3. If no, please explain why your agency did not hold training during the reporting period, such 

as if training offered by other agencies was sufficient for your agency’s training needs. 

N/A 

4. Did your FOIA professionals attend any FOIA training or conference during the reporting 

period such as that provided by the Department of Justice (DOJ)? 

Yes. Treasury FOIA professionals participated in training opportunities offered by DOJ 

during the reporting period, including: 

 Introduction to the FOIA 

 FOIA for Attorneys and Access Professionals 

 Advanced FOIA Seminar 

 FOIA Litigation Seminar 

 FOIA Annual Report Training 

 Best Practices Workshops: 

o Best Practices for Small Agencies FOIA Workshop 

o Self-Assessments and Internal Reviews 

o Reducing Backlogs and Improving Timeliness 

o FOIA Processing Workshop 

o Best Practices from the Requester’s Perspective 

BEP FOIA professionals attended FOIA training offered by the District of Columbia Bar 

Continuing Legal Education Office on May 13, 2015. 

OCC and TIGTA FOIA professionals attended OGIS’ “Dispute Resolutions Skills Training” 

in June 2015 and October 2015. 

IRS, OCC, TIGTA, and TTB FOIA professionals attended the ASAP FOIA Training 

Conference in Arlington, Virginia during July 2015. 

OCC FOIA professionals attended the FOIAXpress Users Group Conference in August 2015. 

IRS and OCC FOIA professionals attended the ASAP FOIA Training Conference in 

Chicago, Illinois during September 2015. 

FinCEN and DO FOIA professionals attended FOIA and Privacy Act training offered by the 

USA Graduate School during the reporting period. 

 
8 

BEP, DO, and TIGTA FOIA professionals participated in a webinars offered by the 

American Society of Access Professionals (ASAP); including: 

 Introduction to the FOIA 

 Exemption 5 and Discretionary Disclosures 

 Fees and Fee Waivers 

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

responsibilities who attended substantive FOIA training during this reporting period. 

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

substantive FOIA training. 

6. OIP has directed agencies to “take steps to ensure that all of their FOIA professionals attend 

substantive FOIA training at least once throughout the year.” If less than 80% of your FOIA 

professionals attended training, explain your agency’s plan to ensure that all FOIA 

professionals receive or attend substantive FOIA training during the next report year. 

N/A 

Outreach: 

7. Did your FOIA professionals engage in any outreach or dialogue with the requester 

community or open government groups regarding your administration of the FOIA? 

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

the reporting period: 

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

Government working group sessions. Topics discussed at the quarterly meetings 

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

government strategy requirements, and the National Open Government Action Plan. 

 Departmental Offices FOIA Staff conducted targeted outreach to frequent FOIA 

requesters. For example, upon receipt of ten FOIA requests from one individual, a 

FOIA Case Manager proactively contacted the requester to discuss the FOIA requests 

and to answer any questions. 

 The IRS Governmental Liaison, Disclosure and Safeguards Associate Director for 

Disclosure Joyce Peneau met with a small group of executives and employees of 

Jackson-Hewitt, Inc., the second-largest tax-preparation service in the United States 

and a frequent FOIA-requester. Ms. Peneau delivered a high-level presentation on 

the IRS FOIA program, and discussed topics such as how to make a valid FOIA 

request, how requesters can gain direct access to records from open compliance cases 

under the rules of Internal Revenue Code (IRC) § 6103, the roles of IRS FOIA 

liaisons and how they can assist with the resolution of FOIA request issues, and 

information available on IRS’ website and FOIA Library. 
9 

8. If you did not conduct any outreach during the reporting period, please explain why. 

N/A 

Discretionary Releases: 

9. Does your agency have a distinct process or system in place to review records for 

discretionary release? If yes, please briefly describe this process. If your agency is 

decentralized, please specify whether all components of your agency have such a process or 

system in place? 

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

discretionary release determinations on a case-by-case basis and follow the Attorney 

General’s FOIA Guidelines in making such determinations to ensure that information is 

released unless the disclosure creates a reasonable expectation of foreseeable harm. The 

Bureaus have embedded reviews for discretionary releases in standard operating procedures. 

For example, within DO and TIGTA - as part of its normal review processes - a supervisory 

FOIA analyst in collaboration with the program office will consider whether a document, or 

portions of that document, may be released as a matter of discretion. 

Within IRS, the Internal Revenue Manual (which provides IRS procedures and instructions 

to staff) instructs FOIA case workers to make discretionary releases of information where 

possible and that information should not be withheld solely because it falls within the scope 

of a FOIA exemption. 

10. During the reporting period, did your agency make any discretionary releases of 

information? 

Yes. 

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

Exemptions 5 and 8. 

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

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

The Department released the following types of information as a matter of discretion during 

the reporting period: 

DO, IRS, TIGTA, and TTB released draft and pre-decisional documents that contained the 

deliberative opinions and recommendations of agency employees in situations where it was 

determined that the release of the information would not cause harm. Such information 

qualified for protection under Exemption 5 of the FOIA. 

OCC released certain legal interpretations, memoranda, and letters that contained information 

about defunct banks. The banks in question had been closed for more than 25 years, and had 
10 

no living successor. Due to the age of the records and the status of the banks, OCC 

determined that the disclosure of the information would not cause harm. Such information 

qualified for protection under Exemptions 5 and 8 of the FOIA. 

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

explain why. 

Due to the nature of the records requested, BEP, FinCEN, and Mint were not able to make 

any discretionary releases of information during the reporting period. The majority of 

requests submitted to BEP, FinCEN, and Mint pertained to personnel matters and involved 

records that if publicly disclosed would cause an unwarranted invasion of privacy.

Other Initiatives: 

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

obligations under the FOIA. 

During the reporting period, DO, FinCEN, Fiscal Service, Mint, TIGTA, and TTB FOIA 

professionals conducted internal outreach and awareness training sessions that focused on 

each Treasury employee’s responsibility in ensuring compliance with the FOIA. For 

example, FinCEN FOIA professionals met with Associate Directors to explain the FOIA 

process, regulations, and answer FOIA related questions. 

During March and April of 2015, Treasury held a FOIA awareness campaign entitled “FOIA 

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

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

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

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

for Bureau FOIA Staff. 

During the reporting period, Treasury employees were encouraged to register for the online 

training course “FOIA for Government Employees”, which was developed by DOJ OIP. In 

May 2015, Treasury made this course available to all Treasury employees via the online 

Treasury Learning Management System (TLMS) and IRS’s Electronic Learning 

Management System (ELMS). 

Within BEP, the Office of the Chief Counsel and FOIA and Transparency Services 

distributed to all BEP Associate Directors and Office Chiefs a memorandum that addressed 

basic FOIA and Privacy Act procedures and best practices and encouraged distribution of the 

memo to BEP program staff. 

Within DO, FOIA staff developed a “FOIA Welcome Message” which is distributed by email to all new hires at Treasury Headquarters. The message provides an overview of the 

FOIA process, outlines each person’s role in the FOIA process, and provides links to 

Treasury’s FOIA resources and contact information for Treasury’s FOIA professionals. 
11 

Similarly, IRS distributed the “Disclosure Awareness Guide” to all new hires during the 

reporting period. The guide contains information about (1) procedures to access IRS tax 

information, (2) FOIA procedures, and (3) employee responsibilities with respect to the 

processing of FOIA requests. Additionally, during Sunshine Week 2015, IRS distributed 

daily articles to employees that highlighted each employee’s responsibilities under the FOIA 

to provide timely access to records, and to protect federal tax information. Included with the 

articles were frequently asked questions about the IRS Disclosure program. 

OCC FOIA professionals held a “FOIA Awareness Week Celebration” in March 2015. OCC 

created and distributed a “FOIA Bookmark” and a “FOIA Tip Sheet” to all Bureau 

employees. These materials are now distributed to all new hires at OCC. 

Within TIGTA, the Office of Chief Counsel distributed links to the DOJ OIP video for 

agency senior executives to TIGTA executive. All who were contacted reported that they 

had viewed the video. Additionally, TIGTA made the DOJ e-learning course “FOIA for 

Federal Employees” mandatory for all employees and added the course to the list of required 

training for new hires. 

DO, FinCEN, IRS, and OCC updated their internal-agency websites with information about 

FOIA processes, procedures, and resources. 

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

openness is being applied, please describe them here. If any of these initiatives are online, 

please provide links in your description. 

The IRS Disclosure Office has implemented a telephone and e-mail “Help Desk” that is 

available to IRS employees who need assistance with FOIA and disclosure issues. The Help 

Desk is available to educate IRS employees about their role and responsibilities in the FOIA 

process. Help Desk staff seek to promote access to IRS records through proactive disclosure 

and through direct disclosure of records outside of the FOIA process when law, regulations, 

and procedures allow. 

Additionally, IRS has undertaken two efforts to ensure that all staff instructions that affect a 

member of the public are available on the IRS website: 

 Publicly post interim instructions to staff on the IRS website. 

 Establish a cross-functional team of IRS employees that will identify IRS staff 

instructions for proactive disclosure. 
12 

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

System in Place for Responding to Requests 

Processing Procedures: 

1. For Fiscal Year 2015, what was the average number of days your agency reported for 

adjudicating requests for expedited processing? 

During FY15, Treasury’s average number of calendar days for adjudicating requests for 

expedited processing was 4 days. 

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

above ten calendar days, please describe the steps that will be taken to ensure that requests 

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

N/A 

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

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

those steps. If your agency is already handling the routing of misdirected requests in an 

efficient manner, please note that here and describe your process for these requests. 

Treasury has a decentralized FOIA process. As reported in the 2015 Chief FOIA Officer 

report, the Department has taken steps to make the routing of misdirected requests more 

efficient. Misdirected requests received at Treasury Headquarters (DO) are promptly 

forwarded to the correct Bureau electronically, either via e-mail or Treasury’s FOIA request 

tracking system. Additionally, DO’s FOIA professionals notify the FOIA requester of the 

transfer via phone or e-mail. Previously, such requests were often entered into the FOIA 

request tracking system twice – once by the receiving Bureau and again by the Bureau to 

which the request was directed. This process resulted in a duplication of effort. 

IRS made changes to its FOIA website to encourage submission of FOIA requests by fax or 

mail to the IRS Central Processing Unit (CPU) in Atlanta, Georgia. The CPU receives all 

incoming FOIA requests to IRS and routes those requests to the appropriate office for 

processing. Previously, requesters could submit requests directly to the field offices, which 

lead to misdirected and/or duplicate requests. The IRS Disclosure Office also updated its 

internal FOIA webpage with instructions for IRS employees concerning the correct address, 

handling instructions, and procedures for routing misdirected mail. Additionally during the 

reporting period, the IRS Disclosure Office identified a single IRS field office as a source of 

a significant number of misdirected requests. IRS FOIA professionals collaborated with the 

IRS field office to identify the issue and to establish procedures for redirecting FOIA-related 

correspondence to the IRS CPU. 

4. On July 2, 2015, OIP issued new guidance to agencies on the proper procedures to be used 

in the event an agency has a reason to inquire whether a requester is still interested in 

processing the request. Please confirm if your agency had occasion to send a “still 
13 

interested” inquiry, and if it was done in accordance with the new guidelines including 

affording requesters thirty working days to respond. 

During the reporting period, BEP, DO, FinCEN, Fiscal Service, IRS, Mint, OCC, and TTB 

did not have an occasion to send a “still interested” inquiry. 

TIGTA made one “still interested” inquiry during the reporting period, which was consistent 

with OIP’s July 2, 2015 guidance “Limitations on Use of ‘Still-Interested’ Inquiries”. 

During the processing of a FOIA request, TIGTA FOIA professionals identified a large 

number of potentially responsive records and reached out to the requester to discuss the 

scope of the request. Between May 20, 2015 and July 7, 2015, TIGTA made multiple 

unsuccessful attempts to contact the requester via his preferred methods of communication, 

which were identified in his FOIA request (his work e-mail address and his work phone 

number). On July 7, 2015, TIGTA sent a letter to the requester’s home address inquiring 

whether he was still interested in pursuing his FOIA request. The letter provided the 

requester with 14-working days to respond to the inquiry.5

 On July 15, 2015, the requester 

contacted TIGTA by phone and confirmed that he was still interested in obtaining the 

information. Accordingly, TIGTA continued processing the request. 

Requester Services: 

5. Agency FOIA Requester Service Centers and FOIA Public Liaisons serve as the face and 

voice of an agency. In this capacity they provide a very important service for requesters, 

informing them about how the FOIA process works and providing specific details on the 

handling of their individual requests. The FOIA also calls on agency FOIA Requester 

Service Centers and FOIA Public Liaisons to assist requesters in resolving disputes. Please 

explain here any steps your agency has taken to strengthen these services to better inform 

requesters about their requests and to prevent or resolve FOIA disputes. If your agency has 

not taken any steps recently to strengthen these services, either because there has been no 

need to due to low demand or because these services are already robust, please briefly 

explain that here. 

During the reporting period, Treasury implemented a number of enhancements to its FOIA 

webpage and customer service processes to improve customer access to FOIA services. In 

December 2015, Treasury implemented an online status check feature that allows FOIA 

requesters to directly obtain the status of their FOIA request. Additionally, Treasury 

implemented a new phone system in the main FOIA Requester Service Center that 

immediately routes incoming calls to an available FOIA employee. The new phone system 

has also reduced the number of “non-FOIA related” calls received at the FOIA Requester 

Service Center. 

IRS’s ten FOIA processing offices serve as the Requester Service Centers, and their 

managers serve as the FOIA Public Liaisons for requests submitted by requesters located in 

the geographical areas covered by those offices. Because the Public Liaisons are primarily 

 

5

 TIGTA confirmed that any future “still-interested” inquiry will provide the requester with 30-working days to 

respond, as required by the DOJ OIP guidance. 
14 

responsible for the FOIA requests processed by their offices, they are uniquely positioned to 

resolve issues with specific cases worked by their offices or to facilitate the transfer of public 

liaison issues to the appropriate office. The IRS Disclosure Office has installed senior staff 

analysts to serve as liaisons between the FOIA Public Liaisons and OGIS to facilitate FOIA 

dispute resolution and to assist the Public Liaisons in resolving issues. The analysts also 

serve to communicate government-wide best practices and encourage their adoption into IRS 

FOIA processes. Also, all FOIA correspondence to requesters includes the name and contact 

information for the FOIA case processer, ensuring the requester can reach the employee most 

familiar with their case for questions. 

Other Initiatives: 

6. If there are any other steps your agency has undertaken to ensure that your FOIA system 

operates efficiently and effectively, such as conducting self-assessments to find greater 

efficiencies, improving search processes, eliminating redundancy, etc., please describe them 

here. 

During the reporting period, DO completed the third stage of its FOIA Transformation 

initiative. As previously reported in the 2014 Chief FOIA Officer Report, FOIA 

Transformation is focused on improving the quality and efficiency of FOIA processing and 

customer service in DO through the consolidation of FOIA processing resources into a single 

office. Since FY14, the Office of Privacy, Transparency, and Records has completed 

consolidation of FOIA processing for the Offices of Domestic Finance, Economic Policy, 

Tax Policy, the Treasurer, International Affairs, Legislative Affairs, Public Affairs, 

Executive Secretariat, and the Assistant Secretary for Management.6

During the reporting period, the IRS Disclosure Office conducted a wide-ranging review of 

its programs, including many FOIA-related areas, such as communications, disclosure 

awareness to other IRS offices, formal on-the-job instruction for staff, training for Disclosure 

managers and managerial case review criteria and processes. IRS has begun to implement 

recommendations made as a result of the review. 

 

 

6

 Assistant Secretary for Management includes the Office of the Chief Information Officer, Deputy Chief Financial 

Officer, Departmental Offices Operations, D.C. Pensions, Emergency Programs, Human Resources, Management 

and Budget, Senior Procurement Executive, and Small Business Programs. 
15 

Section III. Steps Taken to Increase Proactive Disclosures 

Posting Material: 

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

required to be posted online under Subsection (a) (2) of the FOIA. Does your agency 

monitor its FOIA logs or is there some other system in place to identify these records for 

posting? 

Each Treasury Bureau has a system in place to identify and post frequently requested 

records. 

BEP, DO, FinCEN, Fiscal Service, and Mint FOIA professionals review lists of incoming 

requests on a quarterly basis to identify frequently requested documents and information. 

When three or more requests are received for substantially the same information, those 

records are flagged for proactive posting. 

IRS conducts an annual review of its FOIA log to identify frequently requested records. 

Additionally, IRS has established a team that will identify frequently requested records and 

make those documents available on IRS’s website. 

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

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

that this question is directed towards proactive disclosure of records that go beyond 

frequently requested records required to be posted under Subsection (a) (2) of the FOIA. 

Each Treasury Bureau has a system in place to identify records for proactive disclosure. 

BEP, DO, Mint, OCC, and TIGTA FOIA professionals collaborate with program office staff 

to identify records and information that would be appropriate for proactive disclosure. For 

example, DO FOIA professionals collaborate with Treasury Library staff to identify 

historical records that would be appropriate for proactive disclosure. In addition to program 

office staff, Mint’s FOIA professionals collaborate with Mint’s Office of Corporate 

Communications and Mint’s web team to identify records for proactive disclosure. 

IRS has established a cross-functional team that will be responsible for identifying records 

for proactive disclosure. 

3. When making proactive disclosures of records, are your agency’s FOIA professionals 

involved in coding the records for Section 508 compliance or otherwise preparing them for 

posting? If so, provide an estimate of how much time is involved for each of your FOIA 

professionals and your agency overall. 

Treasury FOIA professionals collaborate with Department Information Technology 

professionals to ensure 508 compliance of posted materials; however, remediation of those 

documents – if they are found to be non-compliant – is performed by Bureau staff. Treasury 

is not able to provide a reliable estimate for the number of hours spent remediating 
16 

documents during the reporting period; however, IRS reported that for a single document, 

more than 12.5 working hours were expended coding the document for Section 508 

compliance. 

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

would like to post? 

Yes 

5. If so, please briefly explain those challenges. 

DO and IRS FOIA professionals have encountered challenges proactively posting certain 

records. For example, IRS has experienced delays in posting materials due to 508 

compliance issues. Additionally, DO and IRS have experienced problems posting larger, 

paper-based historical documents due to large file sizes. 

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

reporting year, including links to the posted material. 

During the reporting period, all Treasury Bureaus proactively processed and posted copies of 

their FOIA logs. Links to each Bureau’s FOIA logs can be accessed below: 

BEP FY 2011 – FY 2014

DO CY 2007 – CY 2014

FinCEN CY 2012 – March 31, 

2015

Fiscal Service FY 2015

IRS CY 2010 – CY 2014

Mint July 1, 2015 – 

September 30, 2015

OCC FY 2015

TIGTA CY 2012 – CY2015

TTB FY 2009 – March 31, 

2015

BEP proactively disclosed monthly and annual production reports for Federal Reserve Notes. 

FinCEN proactively disclosed reports, statistics, and other documents concerning FinCEN 

enforcement actions, statistics and data concerning FinCEN suspicious activity reports, and 

speeches and testimony of the FinCEN Director and other FinCEN staff. 

OCC proactively posted documents concerning bank merger applications, thrift mutual to 

stock conversion applications, and bank securities filings in their searchable electronic 

reading room. 

TIGTA proactively posted documents concerning audit reports, inspections and evaluations 

reports, and investigation highlights. 
17 

TTB proactively posted information concerning bonded wine producers by state and 

production and operations reports. 

IRS proactively posted knowledge management files from its Large Business & International 

Division (LB&I), called International Practice Units that serve as both job aids and training 

materials on international tax issues, GL-1 Training materials on IRS collection issues from 

the Chief Counsel Office, and Global Awareness Training for International Tax Examiners 

from LB&I, consisting of training for international tax examiners working issues involving 

bilateral income tax treaties with the U.S (also known as a “double tax conventions” or 

“double tax agreements”). 

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

public awareness; for example, through social media or e-mail subscription services? If yes, 

please describe those efforts. 

During the reporting period, the Department used various means to publicize or highlight 

important proactive disclosures for public awareness. 

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

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

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

publicly available on Treasury websites. Often, such blog posts and related material are 

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

Each of Treasury’s websites allows the public to request and receive notice when new 

material is posted. 

Other Initiatives: 

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

describe them here. 

During the reporting period, the Department began tracking proactive disclosures on a 

monthly basis. Additionally, during monthly teleconferences, the Director for FOIA and 

Transparency encouraged each Treasury Bureau to seek out and post new material. 
18 

Section IV: Steps Taken to Greater Utilize Technology 

Making Material Posted Online More Usable: 

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

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

your agency’s website? 

Yes. 

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

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

IRS worked collaboratively with web content owners on targeted web content improvement 

projects and has revised website content on several different topics. The improvement project 

teams conduct an in-depth analysis of website traffic, search terms and public user browsing 

patterns to identify issues. IRS also examines user comments received via ForeSee’s 

American Customer Satisfaction Survey, particularly those comments received from 

respondents who indicated they were not able to achieve the goal they had when visiting 

IRS’ website. Using that data, plain language principles and best practices for content 

organization and presentation, IRS Online Services Division works with business owners to 

revise, restructure and simplify web content. 

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

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

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

Yes. During the reporting period, Department FOIA professionals worked collaboratively 

with Information Technology professionals to identify new methods of posting information 

online. For example: 

 The IRS Disclosure Office conferred with the IRS Online Services Division to 

identify potential improvements to the IRS FOIA Library, including alternative 

methods of posting information. 

 DO FOIA professionals collaborated with Treasury Printing and Graphics to make 

FOIA publications accessible and available in mobile reader format (EPUB). 

 TTB FOIA professionals collaborated with Information Technology Professionals to 

make improvements to the Public Certificates of Label Approval (COLA) Registry. 

Use of Technology to Facilitate Processing of Requests: 

4. Did your agency conduct training for FOIA staff on any new processing tools during the 

reporting period, such as a new case management system, or for search, redaction, or other 

processing tools? 

Yes. During the reporting period, DO FOIA professionals received training in the use of an 

e-discovery system for processing large, complex FOIA requests. Additionally, DO, 
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FinCEN, and Fiscal Service FOIA professionals received training in the use of Adobe 

Professional redaction tools. 

5. Beyond using technology to redact documents, is your agency taking steps to use more 

advanced technology to facilitate overall FOIA efficiency, such as improving record search 

capabilities utilizing document sharing platforms for consultations and referrals, or 

employing software that can sort and de-duplicate documents? If yes, describe the 

technological improvements being made. 

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

meta-data searches and search functionality. 

In June 2015, TIGTA tested and installed an update to their FOIA request tracking system 

(FOIAXpress), which added enhanced search capabilities and de-duplication to their 

processing system. 

The DO e-discovery system described above performs de-duping and sorting functions, and 

should increase efficiency in processing large productions. 

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

Yes. The Department has received demonstrations of DHS’s FOIA App and FOIAOnline 

processing tools during the reporting period. Additionally, DO and IRS FOIA professionals 

received demonstrations of other FOIA systems currently in use at other federal agencies. 

Other Initiatives: 

7. Did your agency successfully post all four quarterly reports for Fiscal Year 2015? 

Yes. 

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

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

reporting is successful in Fiscal Year 2016.

N/A 

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

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

that are utilized by your agency to communicate with requesters? If decentralized, please 

indicate whether all components use e-mail or other electronic means to communicate with 

requesters.

Yes. BEP, DO, FinCEN, Fiscal Service, Mint, OCC, TIGTA, and TTB communicate with 

FOIA requesters by e-mail whenever feasible, particularly when the requester identifies email as their preferred communication method. 
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In addition to e-mail, OCC utilizes an online portal (Public Access Link) to communicate 

with FOIA requesters. 

IRS FOIA professionals utilize e-mail to communicate with FOIA requesters; however, as 

described below, there are restrictions that prevent the use of e-mail as the only means of 

communication. 

10. If your agency does not communicate electronically with requests as a default, are there any 

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

requesters about such limitations? If decentralized, please indicate whether any of your 

agency’s components have specific limitations or restrictions for the use of such means and if 

those components have informed requesters of such limitations.

The majority of FOIA requests to the IRS relate to the tax information of particular 

taxpayers, which is protected under the provisions of the Internal Revenue Code (IRC) § 

6103. IRC § 6103 limits the use of electronic communication options and requires secure 

methods of transmittal. As a result, the majority of IRS responses are transmitted by U.S. 

Mail. 
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Section V: Steps Taken to Improve Timeliness in Responding to Requests and 

Reducing Backlogs 

Simple Track: 

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

BEP, DO, FinCEN, Fiscal Service, Mint, OCC, TIGTA, and TTB utilize a separate track for 

simple requests. 

IRS does not utilize a separate track for simple requests. 

2. If so, for your agency overall in Fiscal Year 2015, was the average number of days to 

process simple requests twenty working days or fewer?

Yes. During FY15, the average processing time for simple requests was 12 working days. 

3. Please provide the percentage of requests processed by your agency in Fiscal Year 2015 that 

were placed in your simple track. 

Of the requests processed during FY15 (excluding IRS), 74% (2,645 of 3,574) were placed in 

the simple track. 

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

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

During FY15, IRS’ average processing time for non-expedited requests was 30 working 

days. 

Backlogged Requests: 

5. If your agency had a backlog of requests at the close of Fiscal Year 2015, did that backlog 

decrease as compared with the backlog at the end of Fiscal Year 2014? 

No. Treasury’s FOIA request backlog increased during FY15. 

 

6. If not, explain why and describe the causes that contributed to your agency not being able to 

reduce its backlog. When doing so, please also indicate if any of the following were 

contributing factors: 

 An increase in the number of incoming requests. 

 A loss of staff. 

 An increase in the complexity of the requests received. If possible, please provide 

examples or briefly describe the types of complex requests contributing to your 

backlog increase. 

 Any other reasons – please briefly describe or provide examples when possible. 
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During the reporting period, IRS experienced a loss of experienced staff and employees in 

key positions, particularly at the national office level. In most cases, the departing staff has 

been replaced with more junior, less-experienced employees. At the same time, IRS has 

experienced an increase in the volume and complexity of FOIA requests that seek 

voluminous quantities of records, particularly surrounding IRS’s compliance priorities. 

Similarly, DO and OCC experienced an increase in case volume and complexity. For 

example, the Office of Foreign Assets Control (OFAC) within DO experienced a 27% 

increase in incoming requests during FY15. This can be attributed to increasing public 

interest in OFAC’s compliance records and databases resulting from high-profile financial 

sanctions activities during the reporting period. 

One OCC FOIA specialist, one FinCEN FOIA specialist, and two DO Government 

Information Specialists retired during the reporting period. 

FinCEN experienced a significant increase in the number of referrals from other federal 

agencies. These referrals law enforcement information and require consultation with one or 

more other agencies prior to a final release determination. 

During FY15, five Treasury Bureaus experienced an increase in the number of requests 

received: (1) DO received 5% more requests, (2) FinCEN received 38% more requests, (3) 

Fiscal Service received 12% more requests, (4) TIGTA received 11% more requests, and (5) 

TTB received 116% more requests. 

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

backlog out of the total number of requests received by your agency in Fiscal Year 2015. 

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

received at Treasury during FY15 was 5.58%. 

Backlogged Appeals: 

8. If your agency had a backlog of appeals at the close of Fiscal Year 2015, did that backlog 

decrease as compared with the backlog reported at the end of Fiscal Year 2014? 

No. Treasury’s FOIA appeal backlog increased during FY15. 

9. If not, explain why and describe the causes that contributed to your agency not being able to 

reduce the backlog. When doing so, please indicate any of the following were contributing 

factors: 

 An increase in the number of incoming appeals. 

 A loss of staff. 

 An increase in the complexity of the requests received. If possible, please provide 

examples or briefly describe the types of complex requests contributing to your 

backlog increase. 

 Any other reasons – please briefly describe or provide examples when possible. 
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As described above, DO and OCC experienced an increase in case volume and complexity, 

and also experienced a loss of full-time FOIA staff. These factors are also reflected in 

processing appeals. 

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

backlog out of the total number of appeals received by your agency in Fiscal Year 2015. 

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

received at Treasury during FY15 was 32.07%. 

Backlog Reduction Plans: 

11. In the 2015 guidelines for Chief FOIA Officer Reports, any agency with a backlog over 1,000 

requests in Fiscal Year 2014 was asked to provide a plan for achieving backlog reduction in 

the year ahead. Did your agency implement a backlog reduction plan last year? If so, 

describe your agency’s efforts in implementing this plan and note if your agency was able to 

achieve backlog reduction in Fiscal Year 2015? 

Treasury’s backlog was fewer than 1,000 requests at the end of FY14. 

12. If your agency had a backlog of more than 1,000 requests in Fiscal Year 2015, what is your 

agency’s plan to reduce this backlog during Fiscal Year 2016? 

N/A 

Ten Oldest Requests: 

13. In Fiscal Year 2015, did your agency close the ten oldest requests that were reported 

pending in your Fiscal Year 2014 Annual FOIA Report? 

No. 

14. If no, please provide the number of these request your agency was able to close by the end of 

the fiscal year, as listed in Section VII.E of your Fiscal Year 2014 Annual FOIA Report. If 

you had less than ten total oldest requests to close, please indicate that. 

During FY15, Treasury closed seven of the ten oldest FOIA requests that were reported 

pending in the FY14 annual report. 

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

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

closed because the request was withdrawn, did you provide any interim responses prior to 

the withdrawal? 

None of the ten oldest requests were closed because the request was withdrawn by the 

requester. 
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Ten Oldest Appeals: 

16. In Fiscal Year 2015, did your agency close the ten oldest appeals that were reported pending 

in your Fiscal Year 2015 Annual FOIA Report? 

Yes. 

17. If no, please provide the number of these appears your agency was able to close by the end of 

the Fiscal Year, as listed in Section VII.C. (5) of your Fiscal Year 2014 Annual FOIA Report. 

If you had less than ten total oldest appeals to close, please indicate that. 

N/A 

Ten Oldest Consultations: 

18. In Fiscal Year 2015, did your agency close the ten oldest consultations that were reported 

pending in your Fiscal Year 2014 Annual FOIA Report? 

No. 

19. If no, please provide the number of these consultations your agency was able to close by the 

end of the fiscal year, as listed in Section XII.C. of your Fiscal Year 2014 Annual FOIA 

Report. If you had less than ten total oldest consultations to close, please indicate that. 

During FY15, Treasury closed eight of the ten oldest consultations that were reported 

pending in the FY14 annual report. 

Additional Information on Ten Oldest Requests, Appeals, Consultations, and Plans: 

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

and consultations from Fiscal Year 2014. 

Treasury is presented with two main challenges to closing its ten oldest pending requests, 

appeals, and consultations: (1) the complexity and/or classification of the requested records; 

and (2) the frequent need to invoke the submitter notice process. 

For example, Office of Foreign Assets Control (OFAC) records are extremely complex: they 

involve classified, national security, law enforcement sensitive, and confidential business 

information, as well as information that originated from other federal agencies. Each such 

type of records requires special handling to ensure release determinations are made properly. 

Many of the classified records OFAC maintains were obtained from other federal agencies. 

OFAC must consult with the originating agencies concerning the release of these records. 

Often, the originating agencies must conduct a declassification review before they can 

provide a release determination. This adds significant time to the processing of these cases. 
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Additionally, Treasury’s mission may require financial institutions and other entities to 

provide or submit confidential business information. The inappropriate release of such 

information has the potential to cause submitters substantial competitive harm. FOIA 

requires that these records be subjected to additional review under the “submitter notice 

process”, which requires Treasury to notify the submitters that a public request for their 

records has been made through the FOIA; allow the submitter the opportunity to provide 

Treasury with written objections to release; conduct an independent review of the objections; 

notify the submitters in the event that Treasury overrules any of the submitter’s objections; 

and allow the submitters the opportunity to seek judicial review of Treasury’s determination. 

This process adds substantial time to the processing of a request, particularly when multiple 

notices are required, and/or if there are a voluminous quantity of records. 

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

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

was initially received by your agency, the date when your agency sent the consultation, and 

the date when you last contacted the agency where the consultation was pending. 

N/A 

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

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

appeals, and consultations during Fiscal Year 2016. 

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

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

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

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

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

FY2015, this change in process had significant results – Treasury closed seven of the ten 

oldest pending requests at Treasury. 

Similarly, with respect to the oldest pending cases at IRS, the Disclosure Office has 

centralized the review of those cases in an effort to simplify and streamline the process. 

Additionally, Treasury includes a list of the ten oldest pending requests, appeals, and 

consultations in its monthly FOIA reports and quarterly performance reports. The reports are 

distributed widely to Treasury’s FOIA staff and Department leadership and are used to 

encourage compliance and recognize progress. 

Interim Responses: 

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

appropriate? 

Yes. 
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24. If your agency had a backlog in Fiscal Year 2015, please provide an estimate of the number 

of percentage of cases in the backlog where a substantive, interim response was provided 

during the fiscal year, even though the request was not finally closed. 

The Department estimates that during FY15, 20% of the cases in the backlog had been issued 

a substantive interim response. Significantly, OFAC issued interim responses in all 

backlogged cases. 
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Section VI: Use of the FOIA’s Law Enforcement Exclusions 

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

Year 2015? 

Treasury did not invoke a statutory exclusion during FY15. 

2. If so, please provide the total number of times exclusions were invoked.

N/A 
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Section VII: Spotlight on Success 

Out of all the activities undertaken by your agency since March 2015 to increase 

transparency and improve FOIA administration, please briefly describe here at least on 

success story that you would like to highlight as emblematic of your agency’s efforts. The 

success story can come from any of the five key areas. As noted above, these agency success 

stories will be highlighted during Sunshine Week by OIP. To facilitate this process, all 

agencies should use bullets to describe their success story and limit their text to a half page. 

The success story is designed to be a quick summary of key achievements. A complete 

description of all your efforts will be contained in the body of your Chief FOIA Officer 

Report. 

During the reporting period, DO completed the third stage of its FOIA Transformation 

initiative. As previously reported in the 2014 Chief FOIA Officer Report, FOIA 

Transformation is focused on improving the quality and efficiency of FOIA processing and 

customer service in DO through the consolidation of FOIA processing resources into a single 

office. Since FY14, the Office of Privacy, Transparency, and Records has completed 

consolidation of FOIA processing for the Offices of Domestic Finance, Economic Policy, 

Tax Policy, Treasurer, International Affairs, Legislative Affairs, Public Affairs, Executive 

Secretariat, and the Assistant Secretary for Management. 

During the reporting period, the IRS Disclosure Office initiated the “New Hire Training 

Program”. To support this effort, IRS selected a group of experienced and highly qualified 

disclosure professionals to join a training taskforce; referred to as the “Blended Training 

Team” to convert the existing classroom training for new hires into a blended format. The 

blended format includes three primary training components: (1) self-study training, (2) 

instructor led virtual training, and (3) face-to-face training. The new format enables 

participants to set their own pace during the self-study portion and allows for remedial or 

refresher training by reviewing the recorded virtual sessions while still providing the 

important elements of traditional face-to-face training. IRS expects the new training format 

to cause improvements in the timeliness, accuracy, and completeness of FOIA casework 

while reducing the overall cost of training. 

During the reporting period, TTB proactively created and posted a list of “Bonded Wine 

Producers by State”. In response to a significant increase in requests, TTB proactively 

worked with Information Technology professionals and program staff to create and publish 

this information, which was previously not publicly available. TTB plans to publish similar 

information for breweries in the future. 

During the reporting period, BEP updated its FOIA website and created an electronic FOIA 

library.