DEPARTMENT OF THE TREASURY

INTERNATIONAL AFFAIRS TECHNICAL ASSISTANCE

2012 REPORT TO CONGRESS

Section 129 of the Foreign Assistance Act of 1961, as amended, authorizes the 

establishment of a Department of the Treasury program to provide technical assistance to 

governments and central banks of developing or transitional countries. This legislation 

also requires Treasury to prepare and submit this report on the conduct of the Treasury 

International Affairs Technical Assistance (TIATA) program by Treasury’s Office of 

Technical Assistance (OTA).
TABLE OF CONTENTS

I. Introduction and Executive Summary 1

II. Program Organization and Principles 2

III. Project Allocation and Funding 3

IV. Project Identification and Structure 5

V. Country Achievements 6

VI. Global Initiatives

A. Fighting Financial Crimes Through Asset Recovery 9

B. Harnessing Infrastructure Finance for Economic Development 9

C. Improving Natural Resource Revenue Transparency 10

VII. Program Evaluation and Monitoring 11

Annex 1: Strategic Plan 2011-2015 12

Table A - 2012 Budget Execution Plan 14

Table B - 2012 Non-TIATA Sources of Funding 18
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I. Introduction and Executive Summary

This report provides an overview of the activities of the Department of the Treasury’s

Office of Technical Assistance (OTA) for calendar year 2012. The report provides 

information on program organization, funding, and the process for selecting and 

implementing projects, describes changes in the program’s global footprint, and 

summarizes project-specific highlights. 

Effective financial management is a core element of a well-functioning state. It enables a 

government to provide basic services for its citizens and supports broader goals such as 

economic growth, security, and good governance. By contrast, ineffective or corrupt

management of public finance is frequently one of the root causes of failed states. For 

more than 20 years, OTA has helped finance ministries and central banks of developing 

countries to strengthen their capacity to manage public finances. OTA’s cadre of 

globally-experienced advisors help developing countries strengthen institutions 

responsible for revenue, budget, debt, financial sector oversight, and combating economic 

crimes. OTA advisors work with their counterparts to translate international best 

practices into terms which are relevant to the laws and customs of developing countries. 

In 2012, OTA’s global footprint evolved in parallel with broader U.S. foreign policy 

priorities and in response to specific requests for technical assistance that seemed 

especially promising. OTA continued to strengthen its presence in Asia, with a quarter of 

the program’s total projects now being executed in that region. A visit by senior 

Treasury officials to Burma in October 2012 pointed the way towards meeting Burmese 

requests for technical assistance to deepen economic reforms. In Latin America and SubSaharan Africa, OTA maintained a strong presence overall and strengthened its 

engagement in certain countries, such as El Salvador and Tanzania. In Arab Spring 

countries, OTA initiated engagements in Tunisia and Libya, but had to interrupt these 

projects because of security constraints. In line with the broader draw-down of U.S. 

engagement in Iraq and Afghanistan, OTA reduced its staffing in these countries. 

In 2012, OTA’s partnership-based approach had success. Countries with OTA assistance 

saw a bottom-line increase in revenues, strengthened the alignment between budget 

resources and development goals, built effective public-private partnerships, tapped 

international financial markets, and strengthened their anti-money laundering regimes. 

For example, in Nigeria, a tax evasion research project aided by OTA uncovered $4.2 

million in underpayments in just five cases by flagging returns for audit. The Nigerian 

government is well positioned to scale up these initial test cases. In Cambodia, a 

program budgeting project with OTA’s guidance laid the groundwork for improved 

utilization of revenue. Cambodian ministries will be better able to prioritize and fund 

medium to long-term objectives in areas such as education and economic development. 

In Costa Rica, OTA support for public-private partnerships led to the opening of a new 

$35 million airport terminal. In Guatemala, OTA advisors facilitated a successful 10-

year, $700 million Eurobond issue. In Ghana, authorities took steps, with OTA support,
2

to implement anti-money laundering requirements, which allowed local banks to 

maintain critical links with overseas banks. 

II. Program Organization and Principles 

OTA is organized along functional lines, operating in five major disciplines:

 Revenue Administration and Policy: Creates more effective tax administrations 

that simplify procedures to encourage voluntary compliance on the part of taxpayers, 

effectively uncover tax evasion, and maintain high standards of fairness and 

transparency.

 Budget and Financial Accountability: Strengthens the effectiveness of ministries 

of finance, the readability and transparency of budget documents, and the 

management and expenditure of government resources.

 Government Debt Issuance and Management: Provides strategic and technical 

assistance to develop market-based means of public finance through the issuance of 

domestic government securities; increases the efficiency of government debt 

management; and implements comprehensive debt strategies that diversify sources of 

finance, reduce liability risk and lower debt service burdens.

 Banking and Financial Services: Supports the development of strong financial 

sectors in which institutions are well-regulated, stable and accessible, serve as 

efficient intermediaries between savers and investors, and are resistant to criminal 

activity.

 Economic Crimes: Assists the development and implementation of anti-money 

laundering and counter terrorist financing regimes that are compliant with 

international standards.

In providing technical assistance, OTA follows a number of guiding principles:

 OTA supports self-reliance. OTA provides countries with the knowledge and skills 

required to move towards financial self-sufficiency—including the capability to 

generate and better manage their own government finances—and to reduce 

dependence on international aid. OTA generally follows a three- to five-year project 

cycle that is aimed at creating maximum impact and exiting when local capacity has 

been created. 

 OTA is selective. OTA works with governments that are committed to reform—

reform that they design and own—and to using U.S. assistance effectively. Among 

U.S. agencies involved in foreign aid, OTA was singled out for praise in a report 

commissioned by the Department of State and USAID for supporting country 

ownership; achieving alignment with host country priorities; managing for 

development results; and fostering mutual accountability with host country officials. 

OTA does not engage with a country without a signed bilateral Terms of Reference 

agreement that sets out the high-level terms and aims of the engagement, followed by 

a tactical-level work plan specifying activities in support of those aims.

 OTA works side-by-side with counterparts. OTA engagements are based on close 

interaction between advisors and working-level partners, whether in a finance 

ministry, central bank, financial intelligence unit, tax administration, or other relevant 
3

government agency. OTA advisors introduce sound practices in daily work routines 

through ongoing mentoring and on-the-job training.

III. Project Allocation and Funding

As of the end of 2012, OTA had 108 projects in 53 countries. Twenty-eight percent of 

OTA’s total projects in 2012 were in the Americas, 25 percent in Asia, 23 percent in SubSaharan Africa, 14 percent in Europe and Eurasia, and 10 percent in the Middle East and 

North Africa (see chart below). While the specific number of projects and countries 

fluctuates from year to year, OTA has focused on providing more robust assistance to 

fewer countries. This selective approach recognizes the systemic nature of public 

financial management and the importance of engaging with a counterpart government in 

various disciplines—tax administration, budget execution, debt management, financial 

sector supervision, and anti-corruption—both simultaneously and in a coordinated way to 

achieve more convincing results and a stronger overall system.

Chart 1 - OTA Projects by Region

Funding for OTA projects in 2012 totaled $43.9 million. Seventy-six projects, with a 

combined budget of $30.658 million, were financed either wholly or partly by OTA’s 

direct annual appropriation, formally known as “Treasury International Affairs Technical 

Assistance” or TIATA. 

As the chart below indicates, TIATA is the single largest resource available to OTA for 

pursuing its mission. In addition to TIATA funding, OTA receives resources from the 

Department of State via Assistance for Europe, Eurasia and Central Asia (AEECA). 

AEECA resources have declined significantly over the last decade and have remained at 

a relatively low level in recent years as the countries in these regions become more selfsufficient and U.S. Government technical assistance is needed less. 

28%

25% 14%

10%

23%

Americas

Asia

Europe/ Eurasia

Middle East/N. Africa

Sub-Saharan Africa
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Chart 2 - OTA Funding by Source FY 2008-FY 2012

 

Notes

1. FY08 funds for AEECA engagements not received by OTA from State until FY09.

2. FY10 TIATA figure includes $7.1 million supplemental appropriation for assistance to Haiti.

3. FY10 figures include $9.5 million in one-time supplemental Financial Crisis Rapid Response funding received by 

OTA from USAID.

4. FY11 and FY12 AEECA figures include multi-year funding for certain projects.

5. FY12 TIATA figure includes $1.5 million Overseas Contingency Operations (OCO) funding.

6. Details may not add to totals due to rounding.

Occasionally, OTA has received funding through supplemental appropriations. In some 

cases, such as OTA’s work in Iraq and Afghanistan, supplemental funds are transferred to 

OTA from USAID and the Department of State. In other cases, supplemental funds may 

be appropriated directly to OTA, such as the 2010 supplemental TIATA appropriation

($7.1 million), which was part of the U.S. Government’s post-earthquake assistance 

package for the Government of Haiti. Tables A and B at the end of this report provide 

additional data on OTA funding sources in 2012.

While relatively infrequent, as shown by Table A, TIATA funding has sometimes been

used to co-fund projects with USAID and the Department of State’s Bureau of

International Narcotics and Law Enforcement (INL). However, OTA has experienced 

significant decreases in transfers from other U.S. agencies. In 2012, funding received by 

OTA through interagency transfers declined by 23 percent compared to the average level 

of funds received in the preceding four years.
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IV. Project Identification and Structure

Receiving and Assessing Requests. Requests for technical assistance and information 

regarding potential projects come from many sources, including U.S. embassies, USAID 

missions, other Department of the Treasury offices, foreign governments, international 

organizations such as the International Monetary Fund (IMF), and from OTA advisors 

already on the ground implementing other projects. 

For promising requests that are determined to be within the OTA mandate, an on-theground assessment is carried out by our subject matter experts. Assessment results are 

shared with the partner government and the embassy. OTA looks to its host-country 

counterparts to define project goals in the first instance. In our experience, goals and 

objectives that are not “owned” by the counterpart are seldom achieved. 

A project proposal based on the assessment is submitted by the manager of one of OTA’s 

five core disciplines. Decisions to begin new projects, or continue or terminate existing 

projects, are based on criteria and considerations that include: the need for technical 

assistance; evidence of counterpart commitment to reform and good use of assistance; 

whether the project would complement other projects in a particular country or region; 

the relation of the project to Treasury policy priorities and broader U.S. Government

goals; and the availability of funding. In the course of assessing the prospects for a given 

project, OTA consults with other Treasury offices, and other partners and stakeholders 

such as the Department of State and USAID (both in the field, at the embassy level and at 

the headquarters level in Washington), the International Monetary Fund, and the World 

Bank.

Project Delivery Models. OTA carries out technical assistance through two basic 

delivery models: a resident advisor-based project and an intermittent advisor-based

project. A resident advisor-based project is anchored by an expert advisor living in the 

counterpart country, typically for a period of several years, and working side-by-side with 

officials in the ministry of finance, central bank, tax administration authority or other 

government institution. Our experience has been that working directly with the 

counterpart over a sustained period of time is critical for transferring knowledge and 

strengthening systems, especially in countries where government capacity is very limited. 

A resident project frequently includes, in addition to a resident advisor, the participation 

of OTA experts in specialized areas who make short-term visits. 

For an intermittent advisor-based project, a group of advisors typically spends a total of 

30 to 45 weeks per year over several years, in periods of two to three weeks at a time,

working with host-country counterparts. Between these multi-week direct engagements, 

the counterparts are expected to carry out planned activities that are directed toward the 

objectives stated in a mutually-agreed-upon work plan. Between trips, advisors and 

counterparts are in frequent contact by email and phone. OTA often hires a permanent, 

full-time program assistant in-country to support the intermittent project.
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Whether a resident or intermittent project model is selected depends on the extent and 

nature of the problems to be solved, and the most practical solutions to those problems. 

Typically a resident advisor will be utilized to cover a single large subject area such as 

program budgeting or debt management that will require several years to complete. An 

intermittent advisor-based project will use several advisors to cover a multitude of 

specialized assistance topics, such as audits, arrears collection and strategic planning in 

tax administration, or financial crime investigation techniques and anti-money laundering 

regulations. 

Project Documents. Once a resident or intermittent project is selected for funding, Terms 

of Reference (TOR) are worked out with the counterpart agency and signed. The TOR 

describe the broad goals of the project and represent a bilateral understanding at the 

policy level between the U.S. Treasury and the host institution. Within a short period 

(normally six to eight weeks) after signing the TOR, a detailed work plan is agreed upon 

between the advisor assigned to the project and the working-level counterpart. This plan 

specifies objectives and planned completion dates, and is the primary basis for regular 

monthly progress reports to Treasury headquarters. 

The monthly reports are shared with counterpart institutions, U.S. Embassy staff, other 

bureaus and offices in Treasury, and other interested partners such as USAID, the 

Millennium Challenge Corporation (MCC), and the relevant International Financial 

Institutions (IFIs). The reports are used as a management tool to oversee the progress of 

the project and to make any necessary changes. The reports also form the information 

base for responses to project queries from U.S. Government officials. In addition,

supervising officials conduct field visits to meet counterparts and advisors, and review 

the project’s progress, generally on an annual basis. 

Project Cost Sharing. OTA covers the cost of advisor salary, travel and personal support,

and pays for office equipment and a local program assistant. The host institution must 

provide office space for the advisor in its own headquarters building and adequate phone 

and internet communications. 

OTA’s small administrative staff in Washington, D.C., is focused on supporting projects 

in the field, such as providing project oversight and program management, arranging 

travel, and performing other administrative functions. 

V. Country Achievements

In 2012, OTA partner countries made significant achievements across all five areas of 

public financial management and financial sector strengthening in which OTA is 

involved. Notable accomplishments include the following:

Revenue Administration and Policy

Afghanistan Increases Airport Revenue. OTA assisted the Afghan Government in 

designing a series of controls and transparency measures to manage air transportation 
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fees, which resulted in more than $8 million in additional revenue. Two key measures

were to standardize and then publicize fees for airport services, and eliminate cash 

payments in favor of electronic transactions.

Nigeria Uncovers Tax Evasion. In Nigeria, a tax evasion research project supported by 

OTA uncovered $4.2 million in underpayments in just five cases by flagging returns for 

audit using objective and transparent criteria. Service customers are supposed to 

withhold a certain portion of payments to service providers and remit these portions to 

the government as withholding tax. Based on techniques taught by OTA, auditors then 

trace the withholding payments from the customers to the tax returns of the service 

providers, ensuring that all income is reported. Other research projects undertaken by the 

Nigerian Federal Inland Revenue Service with OTA assistance focus on obtaining real 

estate and banking transaction data to compare with income reported on tax returns.

Budget and Financial Accountability

Cambodia Implements Improved Budgeting. Since October 2009, a Budget Advisor 

has worked in the Ministry of Economy and Finance to improve the comprehensiveness 

and transparency of public budgeting systems. Having a predictable, stable, and 

executable budget is vital for the Government to address national concerns such as 

reducing poverty and providing stable and dependable public services. Significant 

advances include the approval of the framework for a new budget classification, the 

completion of manuals, provision of extensive staff training to support further 

implementation of program budgeting, and development of strategies for automating 

budget systems.

Philippines Modernizes Payroll Processing. OTA is advising the Government of the 

Philippines on a multi-year process of modernizing and centralizing the payroll system 

for 1.7 million state employees. Under the guidance of the OTA advisor, teams are 

working on functional requirements, redesigning business processes, harmonizing payroll 

policies, and reviewing software packages. Once fully implemented, streamlined 

administration for disbursing salaries will result in an estimated savings of 10% of 

payroll or approximately $1.6 billion.

Government Debt Issuance and Management

Guatemala Diversifies Funding Sources. Guatemala utilized strategic advice from 

OTA in preparing for its $700 million, 10 year Eurobond issue in May 2012. 

Approximately 94% of the issuance was sold to U.S. and European investors, fulfilling 

the main objective, which was to diversify funding sources and tap a new investor pool 

outside the country. The bond will act as a benchmark, facilitating the issuance of debt by 

Guatemalan companies, and is large enough to qualify for placement on emerging 

markets bond indices, further raising the country’s profile among international investors. 

OTA provided technical assistance throughout the process, from drafting the Request for 

Proposal letter to final issue placement.
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Banking and Financial Services

Nigeria Improves Problem Bank Resolution Capability. The Nigerian Deposit 

Insurance Corporation (NDIC) has taken steps to improve its ability to monitor and 

manage risk to the deposit insurance fund, close insolvent banks, pay insured deposits 

quickly and dispose of failed bank assets. OTA is providing assistance in bank 

supervision capacity building and the development of a secondary market that will 

enhance the NDIC's ability to dispose of non-performing assets. In addition, OTA 

uncovered a major problem involving a large unpaid tax liability of the NDIC, based on

the tax imposed by the Nigerian government on deposit insurance premiums. With our 

assistance, NDIC senior management has come to understand the tax issue and how it 

had been mishandled internally, leading to payment of the liability. OTA is now assisting 

the NDIC in the development of new policies that will rectify how premiums will be 

treated for tax purposes in the future.

Guatemala Supports Microfinance Institutions. A new law to provide for the future 

growth of the burgeoning microfinance sector is out for public comment in Guatemala. 

The innovative law, drafted with OTA assistance, allows each microfinance institution 

(MFI) to choose between two regulatory paths according to its capacities, vision and 

mission. It is expected that about a dozen larger MFIs will immediately opt to create 

supervised entities under the commercial code while hundreds of smaller MFIs will 

remain as non-governmental organizations for a longer period of time. Previous attempts 

at a microfinance law were stymied due to opposition from the formal banking sector. 

OTA played a key role in garnering input from a cross-section of stakeholder groups. 

Economic Crimes

Ghana Fulfills Anti-Money Laundering Standards. Ghana was removed from an 

international blacklist after taking active steps to improve strategic deficiencies in its antimoney laundering/countering the financing of terrorism (AML/CFT) standards. Among 

the improvements identified by the Financial Action Task Force, the international body 

focused on AML-CFT issues, are areas in which OTA worked intensively with Ghanaian 

authorities, such as improving AML/CFT bank supervision and compliance, and 

enhancing the effectiveness of the financial intelligence unit.

Costa Rica Prosecutes Major Contraband Case. Following a two-week trial in August 

2012, the Costa Rican Attorney General’s Office successfully prosecuted an individual 

for laundering $26 million in proceeds from the sale of contraband cigarettes in the 

United States. OTA provided considerable technical assistance in building the capacity 

necessary for the investigation and prosecution of the case, which represents the first 

sophisticated money laundering conviction in Costa Rica. Among other activities, OTA 

provided consultation on trial strategy and techniques, developed protocols for 

international cooperation, and provided training on the management of seized assets. 
9

VI. Global Initiatives

While most of its projects operate on a bilateral basis, OTA has several initiatives that

operate globally. This section focuses on three of those initiatives: recovery of 

criminally-acquired assets, infrastructure finance, and natural resource revenue 

transparency. 

A. Fighting Financial Crimes Through Asset Recovery

Over the past four years, more than $120 million in assets traceable to criminal activity 

have been seized or forfeited by law enforcement authorities in Latin America and the 

Caribbean as a result of technical assistance provided by OTA. 

OTA encourages counterparts to recognize the importance of asset recovery as an integral 

component of criminal prosecutions and convictions. Many police and prosecutors have 

traditionally focused on obtaining convictions and putting offenders in prison, without 

devoting sufficient attention to taking away a criminal’s assets–which strikes at the heart 

of the profit motive of crime. Using asset recovery as a tool to combat crime is an 

international practice enshrined in United Nations conventions and in the standards of 

the FATF. 

In Honduras, OTA facilitated the creation of a financial crimes task force comprised of 

various law enforcement agencies that pools distinct authorities and skills to develop a 

more comprehensive criminal case, including the identification of assets that might be 

recovered. 

OTA also works with judicial officials to develop the specialized expertise necessary to 

oversee cases involving the potential recovery of assets. Over the past four years, Haiti 

reports that it has confiscated more than $90 million in assets from convicted narcotics 

traffickers. In recent months, Guatemalan authorities have forfeited more than $250,000 

in cash from a narcotics trafficker, as well as a ranch used to store narcotics in transit 

from Colombia to the United States. 

OTA also provides assistance in the management of assets once they are recovered. In 

Haiti, for example, many government buildings were destroyed in the 2010 earthquake, 

but agencies were able to continue their work in properties that were confiscated from 

drug dealers. In Honduras, a seized plot of land was transferred to the bureau of prisons 

to build a new correctional facility. OTA can assist countries in developing plans and 

strategies to transparently and effectively manage such assets. 

B. Harnessing Infrastructure Finance for Economic Development

Basic infrastructure, such as facilities for transportation, waste management, and energy,

is critical both to the quality of life in a given country and to economic development. 

Given the fiscal challenges faced by developing countries, many turn to public-private 

partnerships (PPPs) to design, fund, build and operate their infrastructure projects when 

outright procurement is not advantageous or impossible.
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PPP projects can be difficult for a government to execute. These complex, high-stakes 

projects require expertise across a number of fields such as finance, engineering, and law,

combined with cultural and political sensitivity. OTA’s Infrastructure Finance Team 

(IFT) helps governments build capacity to prioritize financially viable infrastructure 

projects and market those projects to prospective investors, creditors, and 

concessionaires. IFT assistance enables counterpart officials to advance a project from 

the feasibility study stage to the tender stage, refining the project’s technical 

specifications and financial structure so that objective, relevant criteria determine the 

auction winner. Competitive offers by prospective concessionaires provide real value to 

the country by satisfying the primary need of the public sector -- the delivery of 

beneficial public services. 

OTA assistance in this area is provided on a regional basis in Central America and the 

East African Community. Important support for IFT work comes from the State 

Department-sponsored Pathways to Prosperity initiative, which supports the resident 

advisor in Costa Rica and his work throughout Central America. IFT works in close 

cooperation with another State Department program, Partnership for Growth, to improve 

infrastructure in El Salvador and Tanzania.

The most notable success for IFT in 2012 was the opening in January of the $35 million 

terminal at Daniel Oduber International Airport in the tourist gateway of Liberia, Costa 

Rica. OTA provided particular assistance in the phase after most of the construction was 

completed but before the terminal was approved for operation. The concessionaire was 

eager to open the terminal while the government wanted to ensure all contractual terms 

were met. The team helped the government and the concessionaire appreciate the other’s 

concerns, stay focused on the issues, and work towards an equitable, technical and nonpolitical resolution within the framework of the existing contract. 

In El Salvador, the most important infrastructure need is the modernization and 

expansion of its principal airport. IFT is providing intensive intermittent support to 

expedite a two-year project to staff a modern project office, update a master plan for 

future development, and begin a long-overdue expansion. OTA is providing high-level 

consultation to officials to help them understand the results of feasibility studies, review 

airport revenue and expense forecasts, and assess and recommend options for funding.

C. Improving Natural Resource Revenue Transparency

In 2012, OTA continued its assistance in improving transparency in natural resource 

revenue in two ways—clarifying and harmonizing general tax legislation with extractive 

industry production sharing agreements, and assisting countries in standing up audit units 

with the specialized expertise needed to examine complex oil, gas, and mineral tax 

returns. In Colombia, OTA assisted the hydrocarbon audit unit in developing a manual of 

standardized procedure. OTA also consulted with revenue officials on treatment of tax 

issues specific to the extractive industry, such as the deductibility of royalty payments 

and environmental research and expenses. In Cambodia, OTA conducted a five day 

workshop covering basic petroleum auditing techniques for 50 staff from the tax 

administration and national petroleum agency. In Mongolia, OTA participated in a 
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public-private task force drafting a new general tax law, with significant impact on the 

mining industry, and provided advice on transfer pricing issues, which involve complex 

transactions between related subsidiaries of international corporations. 

VII. Program Evaluation and Monitoring

OTA evaluates its projects using a variety of methods, including on-site evaluations by 

OTA managers and written monthly reports prepared by advisors that describe progress 

against work plan objectives. In 2012, OTA placed a renewed emphasis on evaluating 

the outcome of concluded engagements through end-of-project reports. These reports are 

independent – undertaken by someone in OTA other than the project implementer – and 

are conducted typically within three to six months following the end of OTA’s assistance 

activities. The purpose is to better understand the program’s longer-term impact. OTA 

completed 17 end-of-project reports in 2012.

OTA also utilizes two other tools that offer additional perspectives on program 

performance. The first is a formal evaluation that focuses on the level of “traction” (the 

degree to which changes in behavior occur—e.g., officials take an active and 

participative role in pursuing change, interim deliverables are on or ahead of schedule), 

and “impact” (the extent to which the objectives are actually achieved) for each technical 

assistance project. The level of traction and impact is measured by OTA advisors and 

headquarters staff according to specific indicators that are relevant to each of the five 

OTA financial disciplines (revenue, budget, debt, banking, and economic crimes). 

Revenue team indicators, for example, include adoption of modern functional processes 

and procedures, and adequacy of investigation and adjudication of internal/conduct 

matters by the tax agency. 

For 2012, the baseline targets for OTA’s traction and impact were set on a 5-point scale 

(with 5 representing the highest possible traction and impact) at 3.6 and 3.1, respectively. 

OTA’s performance goals were exceeded or met with actual scores of 3.9 for traction, 

and 3.1 for impact, which are consistent with the program’s historical averages. The 

setting of annual baseline targets and measuring results against those targets are done in 

accordance with Office of Management and Budget (OMB) guidance on program 

evaluations.

In addition to the traction and impact evaluation, OTA surveys country counterparts 

(policy and working-level counterparts in the host country) and other stakeholders (e.g. 

U.S. Embassy, other donor partners, local interest groups) who have worked first-hand 

with OTA advisors. The survey is valuable as it provides direct feedback from those 

outside of the program who have an interest in receiving high quality technical assistance, 

and who in many cases have a basis for comparing assistance programs. In 2012, OTA 

received 30 survey reports covering 19 projects. The results indicate that, within the

respondent countries, project objectives are being met and assistance is making an 

important contribution to strengthening institutional capacity.
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Annex 1: OTA Strategic Plan

STRATEGIC PLAN 2011-2015

U.S. DEPARTMENT OF THE TREASURY

OFFICE OF TECHNICAL ASSISTANCE

Mission. The mission of the Treasury Department’s technical assistance program, 

managed by the Office of Technical Assistance (OTA), is to support the development of 

strong financial sectors and sound public financial management in countries where 

assistance is needed and there is a strong commitment to reform. 

OTA pursues this mission in support of the Treasury Department’s overall mission “to 

promote the conditions for prosperity and stability in the United States and encourage 

prosperity and stability in the rest of the world” as well as broader U.S. Government 

international objectives, such as increasing transparency and accountability, reducing 

corruption, and strengthening the development of market-based policies and practices.

Vision. OTA aims to build upon its reputation as a high-quality provider of financial 

sector technical assistance and policy advice. It aims to be recognized as the provider of 

choice wherever its multi-disciplinary assistance model best addresses country needs and 

U.S. Government objectives. 

The foundation of OTA’s program will continue to reside in five core disciplines—

Revenue Administration and Policy, Budget and Financial Accountability, Government 

Debt Issuance and Management, Banking and Financial Services, and Economic Crimes, 

complemented by the ability to support other aspects of financial sector strengthening.

Values 

 OTA will continue to place the highest priority on capacity building and 

developing country self-sufficiency.

 OTA exits countries when project objectives are accomplished or if country 

commitment to reform is not sustained.

 OTA program engagements are distinguished by flexibility, selectivity and 

responsiveness.

 OTA recognizes that its core strength lies in the dedication, adaptability and 

expertise of its advisors. 

Programmatic Goals

 Encourage depth of engagement and an integrated, multi-discipline approach. 

Where circumstances warrant, deeper, stronger, more comprehensive 

engagements may improve the prospects for material impact. 

 Encourage an approach that targets geographic regions and common financial or 

economic problems. Look for opportunities to place advisors in countries with 

common needs by virtue of location, financial structure (e.g. significant 

dependence upon donor revenue), or dislocations (e.g. highly affected by 

extractive industry income). 
13

 Provide specialized multi-discipline programs and rapid response teams to 

support key U.S. Government priorities.

 Recruit, retain and support a cadre of advisors that manifests OTA’s tradition of 

excellence. 

 Continue to strengthen OTA coordination within Treasury and with other parts of 

the U.S. Government. 

 Enhance awareness of Treasury’s technical assistance program.

 Ensure that OTA’s management systems fully support the achievement of our 

mission. 
14

Table A

2012 Budget Execution Plan

Projects Funded By FY 2012 Treasury International Affairs Technical Assistance (TIATA) Appropriation

Team Advisor Category Co-Financing TIATA Total 

LATIN AMERICA AND CARRIBBEAN

1 Colombia TAX Project Coordinator + Intermittents $ - $ 448,416 $ 448,416 

2 Costa Rica ECRIMES Resident $ 62,052 $ 542,955 $ 605,007 

3 Dominican Republic GDIM Intermittent $ - $ 152,462 $ 152,462 

4 El Salvador GDIM Resident $ - $ 522,005 $ 522,005 

5 El Salvador BANK Intermittent $ - $ 150,000 $ 150,000 

6 Guatemala BUD Resident $ - $ 473,487 $ 473,487 

7 Guatemala GDIM Resident $ - $ 578,053 $ 578,053 

8 Guatemala TAX Project Coordinator + Intermittents $ - $ 290,673 $ 290,673 

9 Guatemala ECRIMES Resident/Intermittent $ 63,251 $ 404,885 $ 468,136 

10 Honduras BUD Resident $ - $ 502,805 $ 502,805 

11 Honduras GDIM Resident $ - $ 563,552 $ 563,552 

12 Honduras TAX Project Coordinator + Intermittents $ - $ 240,838 $ 240,838 

13 Honduras ECRIMES Resident/Intermittent $ 361,962 $ 449,147 $ 811,109 

14 Infrastructure Finance Team GDIM Intermittent $ 29,028 $ 453,566 $ 482,594 

15 Peru (Infrastructure Finance) GDIM Intermittent $ - $ 43,529 $ 43,529 

16 Regional LACFII BANK Resident/Regional $ - $ 705,130 $ 705,130 

17 Uruguay GDIM Intermittent $ - $ 58,576 $ 58,576 

18 Uruguay BANK Intermittent $ - $ 215,908 $ 215,908 

Subtotal Latin America and Caribbean $ 516,293 $ 6,795,987 $ 7,312,280 
15

Team Advisor Category Co-Financing TIATA Total 

ASIA

19 Cambodia BUD Resident $ - $ 582,635 $ 582,635 

20 Cambodia BANK Intermittent $ - $ 426,243 $ 426,243 

21 Cambodia TAX Project Coordinator + Intermittents $ - $ 490,069 $ 490,069 

22 India BUD Intermittent $ - $ 202,382 $ 202,382 

23 India-US Economic and Financial Partnership GDIM Intermittent $ - $ 145,000 $ 145,000 

24 Indonesia BANK Intermittent $ - $ 210,926 $ 210,926 

25 Indonesia GDIM Resident $ - $ 514,996 $ 514,996 

26 RegANE (Mekong Regional) ECRIMES Resident $ - $ 566,312 $ 566,312 

27 Mongolia TAX Project Coordinator + Intermittents $ - $ 611,198 $ 611,198 

28 Mongolia GDIM Resident $ - $ 599,685 $ 599,685 

29 Nepal BANK Intermittent $ - $ 215,972 $ 215,972 

30 Philippines BUD Resident $ - $ 749,461 $ 749,461 

31 Thailand BANK Intermittent $ - $ 109,912 $ 109,912 

32 Vietnam (Accounting) BUD Resident $ - $ 670,720 $ 670,720 

33 Vietnam GDIM Intermittent $ - $ 142,126 $ 142,126 

34 Vietnam TAX Project Coordinator + Intermittents $ - $ 434,000 $ 434,000 

35 Vietnam BANK Resident + Intermittent $ - $ 776,332 $ 776,332 

Subtotal Asia $ - $ 7,447,969 $ 7,447,969 

Team Advisor Category Co-Financing TIATA Total 

MIDDLE EAST AND NORTH AFRICA

36 Libya BANK Intermittent $ - $ 294,118 $ 294,118 

37 Libya BUD Intermittent $ - $ 294,118 $ 294,118 

38 Morocco ECRIMES Resident $ - $ 590,897 $ 590,897 

39 Palestinian Authority ECRIMES Resident $ - $ 971,449 $ 971,449 

40 Yemen BANK Intermittent $ - $ 117,647 $ 117,647 

Subtotal Middle East and North Africa $ - $ 2,268,228 $ 2,268,228 
16

Team Advisor Category Co-Financing TIATA Total 

SUB-SAHARAN AFRICA

41 Angola GDIM Resident $ 270,000 $ 651,408 $ 921,408 

42 Botswana ECRIMES Resident $ - $ 554,861 $ 554,861 

43 Djibouti BUD Intermittent $ - $ 136,000 $ 136,000 

44 Ghana ECRIMES Resident + Intermittent $ 234,135 $ 528,743 $ 762,878 

45 Ghana BUD Resident $ 299,867 $ 244,434 $ 544,301 

46 Ghana TAX Project Coordinator + Intermittents $ - $ 371,348 $ 371,348 

47 Lesotho BUD Resident $ - $ 131,256 $ 131,256 

48 Lesotho TAX Project Coordinator + Intermittents $ - $ 241,195 $ 241,195 

49 Liberia TAX Project Coordinator + Intermittents $ 95,000 $ 289,834 $ 384,834 

50 Regional East Africa (Kenya, Uganda, Rwanda, Burundi) BANK Resident $ - $ 564,246 $ 564,246 

51 Regional East Africa (Kenya, Rwanda, Burundi) GDIM Resident $ - $ 644,882 $ 644,882 

52 Regional East Africa EAC IFT Initiative (Kenya) GDIM Resident $ - $ 569,914 $ 569,914 

53 Niger TAX Project Coordinator + Intermittents $ - $ 374,102 $ 374,102 

54 Nigeria TAX Resident + Intermittent $ - $ 390,105 $ 390,105 

55 Nigeria BANK Resident $ 115,444 $ 672,959 $ 788,403 

56 Rwanda BANK Resident + Intermittent $ - $ 548,494 $ 548,494 

57 Senegal GDIM Resident $ - $ 661,576 $ 661,576 

58 South Africa BUD Intermittent $ - $ 96,303 $ 96,303 

59 Tanzania GDIM Resident $ - $ 555,931 $ 555,931 

60 Tanzania - Infrastructure GDIM Intermittent $ - $ 256,471 $ 256,471 

61 Uganda GDIM Resident $ - $ 436,492 $ 436,492 

62 Uganda TAX Intermittent $ 120,000 $ 133,370 $ 253,370 

63 Zambia TAX Project Coordinator + Intermittents $ - $ 501,456 $ 501,456 

64 Zambia BUD Resident $ - $ 644,163 $ 644,163 

Subtotal Sub-Saharan Africa $ 1,134,446 $ 10,199,543 $ 11,333,989 
17

Team Advisor Category Co-Financing TIATA Total 

SENIOR ADVISORS

65 Senior Advisor BANK $ - $ 253,200 $ 253,200 

66 Senior Advisor TAX $ - $ 480,478 $ 480,478 

67 Senior Advisor: Africa/Middle East ECRIMES $ - $ 362,756 $ 362,756 

68 Senior Advisor: EurAsia ECRIMES $ - $ 342,686 $ 342,686 

69 Senior Advisor: LAC ECRIMES $ - $ 294,513 $ 294,513 

70 Senior Advisor BUD $ - $ 546,421 $ 546,421 

71 Senior Advisor GDIM $ - $ 312,908 $ 312,908 

72 Senior Advisor BANK $ - $ 401,415 $ 401,415 

Subtotal Senior Advisors $ - $ 2,994,377 $ 2,994,377 

Team Advisor Category Co-Financing TIATA Total 

OTHER FUNDED ACTIVITIES

73 Cash Management BUD/GDIM Full-time TDY $ - $ 360,665 $ 360,665 

74 Deposit Insurance BANK Intermittent $ - $ 120,491 

75 Global Petroleum Audit TAX Full-time TDY $ - $ 257,952 $ 257,952 

76 Global FIU Development ECRIMES Full-time TDY $ - $ 213,382 $ 213,382 

Subtotal Other Funded Activities $ - $ 952,490 $ 952,490 

GRAND TOTAL $ 1,650,739 $ 30,658,594 $ 32,309,333 

Notes

1. TIATA figures include carryover of prior year TIATA funds.

2. Libya and Yemen projects funded by FY 2012 Overseas Contingency Operations appropriation.

3. OTA Team abbreviations: BUD = Budget and Financial Accountability; ENF = Economic Crimes; FIT = Banking and Financial Services; GDIM = Government Debt Issuance 

and Management; TAX = Revenue Administration and Policy.
18

Table B

2012 Non-TIATA Sources of Funding

Treasury International Affairs Technical Assistance (TIATA)

Purpose Source Amount

Assistance for Europe, Eurasia and Central Asia (AEECA) State 632(a) $6,863,109

Technical Assistance to Government of Iraq State Economic Support Fund & INL 632(b) $3,200,245

Energy Governance Capacity Initiative USAID 632(b) $1,514,200

Central America Regional AML State/INL 632(b) $1,500,000

Caribbean Basin Security Initiative State/INL 632(b) $1,150,000

Technical Assistance to Government of Tunisia USAID 632(a) $700,000

Technical Assistance to Government of Libya USAID 632(a) $390,000

Technical Assistance to Government of Dominican Republic USAID 632(b) $325,000

Technical Assistance to Government of Ghana USAID 632(b) $299,890

Technical Assistance to Government of Saudi Arabia Office of Program Management - Ministry of 

Interior (OPM-MOI)

632(b) $261,212

Technical Assistance to Government of Ghana State/INL 632(b) $234,135

Technical Assistance to Government of Guinea USAID 632(b) $171,374

Technical Assistance to Government of Armenia State/INL 632(b) $111,301

Technical Assistance to Government of Tanzania USAID 632(b) $89,000

Technical Assistance to Government of Cambodia Center for Disease Control 632(b) $34,623

Technical Assistance to Government of Ghana MCC 632(b) $26,000

TOTAL $16,870,089

Transfer 

Category

Notes

1. TIATA figures include carryover of prior year TIATA funds.