Open Government Plan 3.0

Department of the Treasury

June 2014
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Table of Contents

Introduction................................................................................................................................... 1

Treasury’s Mission and Strategic Goals ............................................................................................... 1

Treasury’s Open Government Goals..................................................................................................... 2

Department-wide Leadership and Established Governance Structure.................................................. 2

Treasury’s Organizational Structure ..................................................................................................... 2

New and Expanded Initiatives..................................................................................................... 4

A. Open Data Initiative......................................................................................................................... 4

B. Proactive Disclosures....................................................................................................................... 5

C. Privacy and Civil Liberties .............................................................................................................. 6

D. Whistleblower Protection................................................................................................................. 7

E. Websites........................................................................................................................................... 8

Ongoing Initiatives........................................................................................................................ 9

A. Participation in Transparency Initiatives......................................................................................... 9

B. Public Notice.................................................................................................................................. 10

C. Records Management..................................................................................................................... 10

D. Freedom of Information Act Requests........................................................................................... 11

E. Congressional Requests................................................................................................................. 12

F. Declassification.............................................................................................................................. 12

G. Participation ................................................................................................................................... 12

H. Collaboration ................................................................................................................................. 13

I. Flagship Initiative .......................................................................................................................... 14

Conclusion ................................................................................................................................... 16
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Introduction

On January 21, 2009, President Obama issued the first executive memorandum of his 

Administration, entitled “Transparency and Open Government” (Open Government 

Memorandum). In his memorandum, the President established three guiding principles for the 

conduct of government activities: Government should be transparent, participatory, and 

collaborative. On December 8, 2009, the Office of Management and Budget (OMB) issued 

memorandum number M-10-06, “Open Government Directive,” providing guidance to federal 

agencies on specific actions they must take to increase transparency, participation, and 

collaboration in government.

In May 2010, Treasury published its first Open Government Plan that detailed the Department’s 

initial efforts to implement the Open Government Directive. In 2012, Treasury released Open 

Government Plan Versions 2.0 and 2.1, which further described Treasury’s efforts to implement 

the principles of open government in Department operations and activities. Treasury continues 

to embrace the three pillars of open government – transparency, participation, and collaboration 

– to help further the Department’s mission, vision, values, and goals. Treasury’s Open 

Government Plan Version 3.0 demonstrates this continuing commitment and describes past, 

ongoing, and future actions to achieve the objectives of the Open Government Memorandum.

Treasury’s Mission and Strategic Goals

Treasury’s open government strategy is aligned with the Department’s mission and strategic 

plan.

1

 Treasury’s mission is to (1) maintain a strong economy and create economic and job 

opportunities by promoting conditions that enable economic growth and stability at home and 

abroad; (2) strengthen national security by combating threats and protecting the integrity of the 

financial system; and (3) manage the U.S. government’s finances and resources effectively.

Treasury’s strategic goals are to (1) promote domestic economic growth and stability while 

continuing reforms of the financial system; (2) enhance U.S. competitiveness and job creation, 

and promote international financial stability and more balanced global growth; (3) fairly and 

effectively reform and modernize federal financial management, accounting, and tax systems; (4) 

safeguard the financial system and use financial measures to counter national security threats; 

and (5) create a 21st century approach to government by improving efficiency, effectiveness, and 

customer interaction. Department employees demonstrate the principles of open government on 

a daily basis in support of Treasury’s strategic goals.

 

1 See the Department of the Treasury’s Strategic Plan for Fiscal Years 2014-2017.
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Treasury’s Open Government Goals

Goal 1: Increase transparency efforts.

• Increase agency accountability and responsiveness through transparency efforts;

• Improve public knowledge of the agency and its operations;

• Further the core mission of the agency;

• Create economic opportunity; and

• Respond to need and demand as identified through public requests.

Goal 2: Expand participation.

• Promote opportunities for the public to participate throughout the decision-making 

process; and

• Create an interactive platform for the people who benefit from our assistance.

Goal 3: Expand collaboration efforts.

• Improve technology and tools as enablers of knowledge generation, sharing, exchange, 

application and use; and

• Increase innovation as a source of new ideas, new solutions and approaches, and 

conversations about challenges being addressed.

Department-wide Leadership and Established Governance Structure

The Deputy Assistant Secretary for Privacy, Transparency, and Records is Treasury’s Senior 

Agency Official for the Open Government initiative. The Assistant Secretary for Management 

serves as the Senior Accountable Official for data quality.

Treasury’s Organizational Structure

Treasury is organized into the Departmental Offices (DO), seven operating bureaus, and three 

inspectors general. The Departmental Offices are primarily responsible for policy formulation, 

while the bureaus are primarily the operating units of the organization.

The Departmental Offices (DO) is composed of offices that are responsible for establishing 

policy and for overall management of Treasury. DO Offices include Domestic Finance, 

International Affairs, Terrorism and Financial Intelligence, Economic Policy, Tax Policy, The 

Treasurer of the United States, Management, General Counsel, Legislative Affairs, and Public 

Affairs.

The Alcohol and Tobacco Tax and Trade Bureau (TTB) collects federal excise taxes on 

alcohol, tobacco, firearms, and ammunition and is responsible for enforcing and administering 

laws covering the production, use, and distribution of alcohol and tobacco products. 

The Bureau of Engraving and Printing (BEP) develops and produces U.S. currency notes that 

are trusted worldwide. 
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The Financial Crimes Enforcement Network (FinCEN) safeguards the financial system from 

illicit use and combats money laundering and promotes national security through the collection, 

analysis, and dissemination of financial intelligence and strategic use of financial authorities. 

The Bureau of the Fiscal Service (Fiscal Service) – previously the Financial Management 

Service and the Bureau of the Public Debt – provides central payment services to federal 

program agencies, operates the U.S. government’s collections and deposit systems, provides 

government-wide accounting and reporting services, and manages the collection of delinquent 

debt owed to the U.S. government. In addition, the Fiscal Service borrows the money needed to 

operate the U.S. government through the sale of marketable, savings, and special-purpose U.S. 

Treasury securities, and accounts for and services the public debt. 

The Internal Revenue Service (IRS) is the largest of the Department’s bureaus and determines, 

assesses, and collects tax revenue in the United States. 

The United States Mint (U.S. Mint) designs, mints, and issues U.S. circulating and bullion 

coins, prepares and distributes numismatic coins and other items, and strikes Congressional Gold 

Medals and other medals of national significance. The Mint maintains physical custody and 

protection of most of the nation’s gold and all of its silver assets. 

The Office of the Comptroller of the Currency (OCC) charters, regulates, and supervises 

national banks and federal savings associations to ensure a safe, sound, and competitive banking 

system that supports the citizens, communities, and economy of the United States. The OCC also 

supervises federal branches and agencies of foreign banks. Effective July 21, 2011, Title III of 

the Dodd-Frank Wall Street Reform and Consumer Protection Act transferred to the OCC 

responsibility for the supervision of federal savings associations (thrifts) and rule-making 

authority for all savings associations.

Inspectors General – Three inspectors general - the Office of the Inspector General, the 

Treasury Inspector General for Tax Administration, and the Special Inspector General for the 

Troubled Asset Relief Program, provide independent audits, investigations, and oversight of 

Treasury and its programs.
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New and Expanded Initiatives

In December 2013, the Obama Administration released the second “Open Government National 

Action Plan for the United States of America,” which included 23 new or expanded opengovernment commitments. Treasury’s Open Government Plan 3.0 describes actions taken by the 

Department to implement the new and expanded initiatives in the areas of open data, proactive 

disclosures, privacy, whistleblower protections, and websites.

A. Open Data Initiative

The May 9, 2013 Open Data Memorandum2 directed agencies to develop and maintain an 

“enterprise data inventory” of all data resources across the agency, and publish a “public data 

listing.”

Treasury is in the process of creating an Enterprise Data Inventory of all public and non-public 

data assets. Treasury has published a list of inventory schedules and has made a Departmentwide data inventory publicly available in human and machine-readable formats. Treasury 

bureaus continue to review and update the data inventories. Available data sets include:

• Daily yield curve for Treasury bills and bonds

• U.S. debt auction schedule published by the Fiscal Service

• Annual currency production by denomination published by the Bureau of Engraving 

and Printing

• Total outstanding United States public debt

• List of specially designated nationals published by the Office of Foreign Assets 

Control

Treasury has broadcast the availability of new data sets and inventories via blogs on both 

external and internal websites. Treasury’s Office of Consumer Policy organized a public

“finance datapalooza” and has taken the lead in creation of consumer.data.gov community. 

Consumer Policy also led the Finance Data Initiative, an effort to encourage the release of open 

data sets across the federal government to spur financial innovations and empower consumers to 

make informed choices. As part of the Finance Data Initiative, Treasury launched the Finance 

Data Directory, a one-stop shop for developers to discover finance data sets from over a dozen 

federal agencies.

 

2 See OMB Memorandum M-13-13. 
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B. Proactive Disclosures

Proactive disclosures are an integral part of Treasury’s transparency policies. As described 

below, the Department routinely makes the following types of records and information available:

• The Secretary of the Treasury’s calendar is proactively posted in the Freedom of 

Information Act (FOIA) Library on a quarterly basis.

• Treasury’s Press Center provides public access to current and historical press releases, 

speeches, statements, testimony, and op-eds.

• Treasury actively utilizes Twitter, Facebook, Flickr, and YouTube to publicly disclose 

Department news, photographs, and videos. Treasury’s social feeds can be accessed on 

Treasury’s social media page. 

• Treasury proactively discloses contract award information through the Federal 

Procurement Data System.

• Treasury’s FOIA offices routinely make records and information available in advance of 

requests for such information. Treasury’s FOIA Library contains links to each individual 

Treasury bureau’s FOIA library.

• Treasury proactively posts a list of payments made under the 1603 program for Specified 

Renewable Energy Property in Lieu of Tax Credits.

• Treasury has made available dozens of data sets at data.gov including but not limited to 

the Treasury Reporting Rates of Exchange, the Monthly Statement of the Public Debt, the 

Financial Report of the United States Government, and the Daily Treasury Statement. A 

full list of available Treasury data sets is available at treasury.gov/data.

Treasury proactively posts records and information concerning ongoing Department initiatives 

and current events in advance of requests for such information, for example:

• Treasury proactively posts correspondence, reports, statements, press releases, op-eds, 

and testimony concerning the debt limit.

• Treasury routinely publicly discloses information about meetings with private sector 

individuals or entities and nongovernmental organizations for the purpose of discussing 

policy implementation of the Dodd-Frank Act.

• Treasury proactively discloses meeting minutes of the Financial Stability Oversight 

Council.
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C. Privacy and Civil Liberties

Pursuant to OMB guidance and other requirements, Treasury is required to prepare and publish 

various privacy compliance reports, including the Chief Privacy Officer Annual Report to 

Congress; the Senior Agency Official for Privacy reporting required under the Federal 

Information Security Management Act; the Federal Agency Data Mining Report; the Privacy and 

Civil Liberties Assessment required under Executive Order 13636; and the Biennial Computer 

Matching Activity Report. Treasury Privacy and Civil Liberties within the Office of Privacy, 

Transparency, and Records (OPTR) prepares the following reports:

NAME OF 

REPORT

STATUTE/AUTHORITY 

REQUIRING 

REPORTING

DEADLINE(S) REPORT RECIPIENTS

Quarterly Report 

on Privacy and 

Civil Liberties 

Activities

Implementing the 

Recommendations of 

the 9/11 Commission 

Act of 2007, Section 

803, 42 USC § 

2000ee-3

December 31

March 31 

June 30

September 30

Privacy and Civil Liberties Board; Chairman and 

Ranking Member, Senate Committee on Homeland 

Security and Governmental Affairs; Chairman and 

Ranking Member, Senate Committee on the 

Judiciary; Chairman and Ranking Member, House 

Committee on the Judiciary; Chairman and Ranking 

Member, House Committee on Oversight and 

Government Reform; Chairman and Vice 

Chairman, Senate Select Committee on 

Intelligence; Chairman and Ranking Member, 

House Permanent Select Committee on Intelligence

Senior Agency 

Official for 

Privacy FISMA 

Report

Federal Information 

Security Management 

Act of 2002

December 31 The Office of Management and Budget

Chief Privacy 

Officer Annual 

Report

Section 522 of the 

Consolidated 

Appropriations Act of 

2005

Not Specified Congress

Privacy and 

Civil Liberties 

Assessment

E.O. 13636 Sec 5(b) 

Improving Critical 

Infrastructure 

Cybersecurity

Reviewed and 

updated 

annually

The Department of Homeland Security

Biennial Privacy 

Act Report

OMB A-130, 

Appendix I

June 30 The Office of Management and Budget
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Data Mining 

Report

Federal Agency Data 

Mining Reporting Act 

of 2007, Section 804 

(Public Law 110-53)

January 30 Chairman and Ranking Member, Senate Committee 

on Homeland Security and Governmental Affairs; 

Chairman and Ranking Member, Senate Committee 

on the Judiciary; Chairman and Ranking Member, 

House Committee on the Judiciary; Chairman and 

Ranking Member, House Committee on Oversight 

and Government Reform; Chairman and Vice 

Chairman, Senate Select Committee on 

Intelligence; Chairman and Ranking Member, 

House Permanent Select Committee on Intelligence; 

Chairman and Ranking Member, Senate 

Subcommittee on the Constitution, Committee on 

the Judiciary; Chairman House Subcommittee on 

the Constitution, Committee on the Judiciary

Biennial 

Matching 

Activity Report

OMB A-130, 

Appendix I

June 30 The Office of Management and Budget

Annual Data 

Integrity Board 

Report

The Privacy Act, As 

amended, 5 U.S.C. 

552a(u)(3)(D)

Not Specified The Office of Management and Budget

Copies of Treasury’s privacy compliance reports are publicly available on Treasury’s website.

D. Whistleblower Protection

Consistent with the amendments to the Whistleblower Protection Act (WPA), Treasury has 

implemented a number of measures to strengthen whistleblower protections. These measures 

include:

• The posting of information on Treasury’s internal and external websites advising 

employees of their rights under the WPA, including the rights governing disclosures to 

Congress;

• Proactively updating the Department’s non-disclosure agreements through an addendum 

to the SF-312,3 informing employees with security clearances that their right to lawfully 

disclose information to Congress is not superseded by the non-disclosure agreements, as 

required by the WPA amendments;

• Circulating the revised addendum to the SF-312 directly to all employees holding 

security clearances and mandating that the employee review, sign, and return the 

addendum to the Office of Security Programs;

 

3 The SF-312 is a non-disclosure agreement that restricts disclosure of classified information.
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• Revising the Department’s security directive, consistent with the requirements of the 

recently issued Presidential Policy Directive 19 (PPD-19),4 to provide for a fair and 

expeditious process for reviewing retaliation claims that relate to determinations of 

eligibility for access to classified information; and

• Designating an ombudsman within the Office of the Inspector General to further educate 

employees as to their rights under the WPA; and

• Providing notice and training for its employees of their rights and responsibilities under 

the WPA.

These actions reflect Treasury’s continued commitment to protecting employees’ rights to make 

lawful disclosures without fear of reprisal.

E. Websites

As part of its Digital Government Strategy, Treasury has implemented the Google Analytics tool 

and ForeSee customer survey tool on most of the public facing department and bureau websites. 

The metrics collected by these tools are being used to improve the content of Treasury’s publicfacing websites.

In addition, Treasury is working diligently to ensure its services and publications are available 

anytime, anywhere, on any device. The following mobile applications and open data services or 

Application Programming Interfaces (APIs) reflect Treasury’s ongoing commitment to align 

public-facing government services with 21st century expectations:

• Treasury is making its publications available in mobile formats. For example, the 2014-

2017 Treasury Strategic Plan and Treasury 2015 Budget in Brief are available in EPUB 

format and are accessible on most mobile devices and e-readers.

• In summer 2014, Treasury plans to unveil its new Treasury Mobile Tour and History 

App. Designed for smartphones and other small handheld devices, the app will give the 

public access to photographs and a detailed history of the Treasury building.

• IRS2Go, a free mobile app developed by IRS, provides users access to tax tips, news, and 

the relevant tools to help navigate taxes and the IRS. The app also allows individuals to 

check on the status of their return and request a transcript of their tax return. IRS2GO is 

currently supported on Apple and Android devices and is available in English and 

Spanish. 

• EyeNote, a free mobile app developed by BEP, identifies denominations of United States

currency as an aid for the blind or visually impaired and works with or without network 

connectivity or equipment modification. EyeNote is currently supported on most Apple 

devices and is available in English and Spanish.

 

4 PPD-19 was signed by the President on October 10, 2012 and, among other things, strengthens whistleblower 

protections for employees holding security clearances.
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• OCC and TTB have optimized their public facing websites for customers using mobile 

devices. 

• The Fiscal Service is developing mobile versions of three of its most popular 

applications: Auction Announcements and Results, Latest Debt to the Penny, and the 

Savings Bond Calculator.

Ongoing Initiatives

As detailed below, Treasury continues work on open government initiatives identified in the 

Department’s previous plans.

A. Participation in Transparency Initiatives

Treasury continues to fully participate in government-wide transparency initiatives including 

Data.gov, eRulemaking, IT Dashboard, Recovery.gov, Grants.gov, CFDA.gov, SAM.gov, 

FSRS.gov, and USAspending.gov. Below are some examples of how Treasury is contributing to 

these transparency initiatives.

USAspending.gov

As the federal government’s financial manager, the Fiscal Service’s objective is to provide 

reliable, timely, secure, and consumable financial management data for the purpose of promoting 

transparency, facilitating better decision making, and improving operational efficiency. The 

Fiscal Service plans to (1) implement tactical enhancements to improve the usability of 

USAspending.gov; (2) implement data validation techniques to improve the quality of the data 

displayed on USAspending.gov; (3) engage the user community and gather feedback from key 

stakeholder groups; and (4) enhance and expand financial management data available to the 

public.

Transparency.Treasury.gov

Treasury is committed to ensuring that the billions of financial transactions it processes on behalf 

of the Federal Government are carried out with the highest standards of performance, 

accountability, and transparency. Transparency.Treasury.gov allows users to analyze financial 

data trends, patterns, and gain insight about federal government payments, revenue, debt 

collection, and accounting data through interactive reports, dashboards, and visuals. The Fiscal 

Service plans to continue to expand the capabilities of the website and add additional 

functionality, reports, and data sources.

Summary Debt Accounting Modernization

The Summary Debt Accounting (SDA) Modernization initiative, led by the Fiscal Service, was 

created to ensure the accurate and appropriate collection, verification, standardization, and 

dissemination of all federal debt accounting information. The initiative, which began in October 

2010 and ended in October 2013, has increased governance and transparency in the federal debt 

accounting environment. As a result of improvements under this initiative, the Fiscal Service has 

expanded debt reporting capabilities and the public has greater access to debt accounting 

information.
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B. Public Notice

Treasury utilizes a variety of resources to keep the public informed of significant actions and 

business of the Department.

Treasury actively utilizes Twitter, Facebook, Flickr, YouTube, and other social media to publicly 

disclose Department news, photographs, and videos. Treasury’s social feeds can be accessed on 

Treasury’s social media page. Notice of public meetings, press conferences, and daily schedules 

are available in Treasury’s Press Center. Video and webcasts are available in Treasury’s 

Webcast Center.

C. Records Management

Treasury continues work to comply with the records management requirements identified in the 

President’s November 28, 2011 Memorandum on Managing Government Records and the 

accompanying August 24, 2012 Managing Government Records Directive. In this regard, the 

Assistant Secretary for Management has been designated the senior agency official responsible 

for implementing the records management initiative.

Treasury OPTR maintains an internal records and information management website for Treasury 

employees. That website contains information, guidance, and training for Treasury employees 

on records management responsibilities. Treasury’s Record Schedules are publicly available on 

National Archives and Records Administration’s (NARA) website.

In compliance with the Managing Government Records Directive, Treasury has developed and 

implemented five records management training courses, which are available to all Treasury 

employees via the Treasury Learning Management System (TLMS). The subjects covered in 

each of the training courses are based upon the National Archives and Records Administration’s 

designated subject matter areas: (1) Employees and Contractors; (2) General Counsel; (3) 

Information Technology; (4) Senior Officials; and (5) Records Management staff. These 

training courses are being used to communicate records management policy and procedures 

across the Department and increase awareness of individual employees’ responsibilities in 

ensuring compliance.

During April 2013, OPTR again hosted Records and Information Management Month (RIMM)

at Treasury. During RIMM, Treasury records professionals provided training and outreach 

sessions to increase Treasury-wide employee understanding and awareness of the full 

information management life cycle, including records management, disclosure, and transparency. 

More than 400 Treasury and other Federal government employees participated in RIMM events 

during 2013. 

Treasury will conduct a triennial assessment of Treasury bureau records management programs 

during the summer of 2014. The assessment will be used to identify gaps between practices and 
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generally accepted recordkeeping principles, assess risks based on identified gaps, determine 

whether additional information or analysis is necessary, develop priorities, and assign 

accountability for further program development.

Other Records and Information Management Initiatives

In addition, Treasury OPTR is also leading an initiative to increase the conversion and proactive 

management of records to digital form. Maintaining records in accessible digital format reduces 

storage and management burden and makes the records more easily available, searchable, and 

available for proactive disclosure.

Treasury is also implementing the National Archives and Records Administration’s (NARA) 

Capstone approach in accordance with NARA Bulletin 2011-03, “Guidance Concerning the use 

of E-mail Archiving Applications to Store E-mail” (Capstone approach). The Capstone 

approach will allow Treasury to standardize email management in compliance with NARA M12-18, “Managing Government Records Directive.” Full implementation of the Capstone 

approach is anticipated by December 31, 2016.

D. Freedom of Information Act (FOIA) Requests

Treasury is committed to ensuring that the President’s directive regarding the presumption of 

openness is applied to all FOIA decisions including increased proactive disclosures and 

discretionary releases consistent with the Department’s legal responsibility to protect national 

security, personal privacy, privileged records, and other protected interests. 

Treasury OPTR is leading an effort to improve DO FOIA performance. The FOIA 

Transformation initiative will consolidate DO FOIA processing, improve reporting capabilities 

to foster accountability, and update Department FOIA policies and procedures.

Treasury received 15,040 FOIA requests in Fiscal Year (FY) 2013. This figure represents a nine

percent decrease from FY 2012 and continues a downward trend in recent years. Although the 

number of incoming requests continues to decline, Treasury is increasing its investment in FOIA 

resources. Currently, forty-seven Treasury employees work on FOIA issues on a full-time basis. 

These employees are assisted by numerous others who work on FOIA matters part-time. 

Treasury’s FOIA staff for FY 2013 was the full-time equivalent of 138 employees. This 

represents an increase of 16% over FY 2012 staffing levels.

From FY 2009 through the present, Treasury received an average of 17,082 requests per fiscal 

year. Treasury closed 14,915 requests in FY 2013, or 93% of the number of requests received in 

FY 2013. TTB, FinCEN, IRS, OCC, and MINT all closed as many or more requests than they 

received.

As of April 30, 2014, Treasury has 569 “backlogged” FOIA requests. Department FOIA 

professionals are working diligently to reduce the FOIA backlog – efforts to date in FY 2014 

have resulted in the closure of ten of the twenty oldest pending FOIA requests. Since the 
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beginning of FY 2014, Treasury FOIA professionals have reduced the overall inventory of 

pending FOIA requests by 13% and have closed 256 more requests than have been received.

E. Congressional Requests

Treasury’s Office of Legislative Affairs continues to serve as the principal contact and 

coordinator for all Department interaction with Congress and the Congressional relations offices 

in the White House and other Departments and agencies. Legislative Affairs develops strategies 

to implement initiatives that require legislation, communicates Treasury’s positions to Congress, 

and keeps the Department informed of Congressional objectives, concerns, activities, and 

interests. In addition, Legislative Affairs responds directly to Congressional inquiries and 

facilitates replies from other offices in the Department, monitors the flow of Congressional 

correspondence to ensure accurate and prompt response, coordinates officials’ testimony before 

Congressional Committees, and advises the Department on Congressional concerns during 

policy formation.

F. Declassification

Treasury Order 105-19, “Delegation of Original Classification Authority; Requirements for 

Downgrading and Declassification,” was updated in 2011 to reflect delegations of both original 

classification authority and downgrading and declassification authority. Treasury has completed 

significant declassification activities over the past several years, including allowing, with certain 

exceptions, classified information to be automatically declassified after 25 years. 

Declassification activities are ongoing. Treasury follows NARA’s guidelines for 

declassification. More information is available at NARA’s declassification website.

G. Participation

Treasury continues to promote opportunities for public participation in the Department’s 

decision making processes. As described below, Treasury routinely seeks the public’s feedback 

and input.

• Treasury routinely posts proposed and interim rules for public comment at 

Regulations.gov.

• OCC attends meetings with the Mutual Savings Association Advisory Committee 

multiple times each year. The committee provides advice to the OCC about mutual 

savings associations. Official notices about the meetings are made through the Federal 

Register and more information is available on the OCC public website.

• OCC attends meetings with the Minority Depository Institution Advisory Committee 

(MDIAC) several times per year. The committee provides advice to OCC on meeting the 

goals of Section 308 of the Financial Institutions Reform, Recovery, and Enforcement 

Act of 1989 and provides OCC with an assessment of the current condition of minority 

depository institutions, and what regulatory changes or other steps OCC should consider 
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to preserve such institutions. Official notices about the meetings are made through the 

Federal Register and more information is available on the OCC public website.

• OCC Community Affairs conducts outreach and training in support of the OCC's mission 

by helping national banks and federal savings associations to be leaders in providing safe 

and sound community development financing and making financial services accessible to 

underserved communities and consumers. More information is available on the OCC 

public website.

H. Collaboration

Treasury collaborates with a range of partners and continues to expand its collaboration efforts as 

described in the initiatives below.

North American Tobacco Regulatory Network Technical Forum

In 2012, TTB’s Tobacco Laboratory organized and helped to establish the first annual North 

American Tobacco Regulatory Network Technical Forum, NATRLIN. The second forum was 

held on September 19, 2013 at the National Laboratory Center in Beltsville, MD. The 

discussions included tobacco related issues such as (1) current or emerging issues in Tobacco 

Regulation and Research; (2) challenges in Tobacco Regulation, Enforcement and Analysis; and 

(3) collaboration and alignment of Tobacco Laboratory Research Activities. The discussions 

also included regulatory and enforcement challenges of emerging products such as electronic 

cigarettes, shisha, herbal, and tobacco free products. Forty scientists and regulators representing 

11 federal agencies from the United States, Canada, and Mexico participated in the second 

NATRLN forum. More information can also be found in TTB’s annual report.

Collaboration with the University Community - Student Employment Program

Treasury is continuing to expand its collaboration efforts with colleges and university student 

employment programs. Treasury’s Student Employment Programs provide an opportunity for 

students to gain professional experience and build leadership skills while contributing 

significantly to the Treasury mission.

Vendor Outreach Sessions

Treasury’s Office of Small and Disadvantaged Business Utilization Programs assists, counsels, 

and advises small businesses of all types (small businesses, small disadvantaged business, 

women-owned small businesses, veteran owned small businesses, service disabled veteran 

owned small businesses, and small businesses located in historically underutilized business 

zones) on procedures for contracting with Treasury and conducts monthly vendor outreach 

sessions. 

FinCEN Resource Center

In 2013, FinCEN established the FinCEN Resource Center (FRC) to serve as the call center for 

FinCEN, handling a wide variety of intake requests, information exchange mechanisms, and 

requests for information. The FRC assists FinCEN’s stakeholders and the public, as financial 

institutions strive to comply with their responsibility to report certain information and suspicious 

activities to FinCEN. In an effort to enhance collaboration, FinCEN posts on its Web site direct 

links to useful information for addressing the most common and important questions that are 
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asked of the FRC. These “Hot Topics” are revised regularly to reflect the changing nature of 

questions regarding Bank Secrecy Act/anti-money laundering obligations. The FRC can be 

reached by calling 1-800-767-2825 or (703) 905-3591, or by emailing FRC@fincen.gov.

Enforcing Compliance in the Import and Export Trade

During fiscal year 2013, TTB collaborated with the U.S. Customs and Border Protection (CBP) 

Office of Regulatory Audits (ORA) to ensure that taxes due on imported products are collected 

in a timely manner. TTB and CBP jointly developed and implemented new protocols for tax 

collections on TTB-regulated commodities to strengthen federal tax enforcement. The pilot 

effort resulted in the identification of $6.3 million in previously uncollected federal excise taxes.

Manuscript on Tobacco Analysis Method Published in the International Tobacco Journal

TTB continues to collaborate with international partners. In 2011, TTB’s Tobacco Laboratory 

initiated a project to develop a method for the analysis of humectants in tobacco products to 

support project characterization. A TTB Chemist, and a TTB intern and graduate student from 

the Department of Chemistry and Chemical Biology at Indiana University-Purdue University 

Indianapolis, designed the experimental parameters, prepared the technical manuscript, and 

submitted it to the tobacco industry journal. The manuscript entitled “Quantitative Analysis of 

Humectants in Tobacco Products using Gas Chromatography with Simultaneous Mass 

Spectography and Flame Ionization Detectors” was published in the June 2013 edition of the 

Beiträge zur Tabakforschung International / Contributions to Tobacco Research Journal.

Trans-Pacific Partnership Agreement (TPP)

TTB collaborated with the Office of the U.S. Trade Representative (USTR) in the negotiation of 

a free trade agreement to reduce barriers to trade in the regulation of wine and spirits by laying 

out acceptable procedure in the areas of labeling, identity standards, conformity assessments, 

compliance periods and acceptance of oenological practices. The countries in negotiations 

include Australia, Brunei, Canada, Chile, Japan, Malaysia, Mexico, New Zealand, Peru, 

Singapore, and Vietnam. President Obama and other TPP leaders had intended to conclude the 

negotiations by the end of calendar year 2013, but the negotiations are ongoing. The 

Administration is also seeking “trade promotion authority,” also known as “fast track negotiating 

authority” which allows the President to submit the TPP to Congress for an “up or down vote” 

without amendment or filibuster. The agreement ensures that a number of issues that have been 

raised in other countries will not adversely affect trade among TPP participant countries. The 

goal of the agreement is to facilitate U.S. exports of alcohol beverages to TPP participant 

countries. More information is available in TTB’s 2013 annual report.

I. Flagship Initiative

The Bureau of Engraving and Printing’s (BEP) Meaningful Access initiative embodies the three 

pillars of open government.

In May 2002, the American Council of the Blind (ACB) and two visually impaired individuals 

filed a complaint in the U.S. District Court for the District of Columbia alleging that the currency 

of the United States violates the rights of the blind and visually impaired because they could not 

denominate United States paper currency. In October 2008, the District Court ruled that the 
treasury.gov/open 15 OPEN@treasury.gov

Department of the Treasury must provide meaningful access to U.S. currency for blind and other 

visually impaired persons in the next currency redesign.

BEP commissioned a study to review and analyze the needs of the blind and visually impaired 

community, examine methods available at that time that could potentially improve access to 

Federal Reserve notes, perform a cost impact analysis of the possible accommodations on 

various government and industry sectors, and provide a decision model whereby the BEP could

compare and contrast various accommodations. BEP published the final study report on its 

website in July 2009.

The study confirmed that there is no single solution that will enable all segments of the blind and 

visually impaired population to denominate U.S. currency with 100 percent accuracy. As such, 

BEP recommended three actions to the Secretary of the Treasury to provide meaningful access, 

which he approved on May 31, 2011. Those accommodations are:

• Pursuing inclusion of a raised tactile feature to each Federal Reserve note the BEP is 

permitted by law to alter.5 This feature would provide users with a means of identifying 

each denomination via touch;

• Continuation of the process of adding large, high-contrast numerals and different colors 

to each denomination that the BEP is permitted by law to alter; and

• Distribution of currency readers to blind and visually impaired U.S. citizens and those 

legally residing in the United States that would allow users to denominate U.S. currency.

Transparency

Throughout the development and implementation of this initiative, BEP has made significant 

efforts to be transparent and to provide the public access to information. BEP created a webpage

for the initiative that contains up-to-date information about the status of the project. BEP has 

made information and reports about the initiative publicly available in advance of requests for 

such information.

Participation

BEP commissioned a comprehensive study analyzing options for the blind and visually impaired 

community to denominate U.S. currency. Among other things, the study utilized focus group 

sessions, open forum discussions, and small group sessions which were conducted at the 2008 

American Council for the Blind (ACB) and National Federation of the Blind (NFB) Annual 

Conventions to evaluate potential accommodations and seek feedback from the blind and

visually impaired community. The sessions included participants from a wide range of 

demographic groups – gender, age, geographical regions, and vision impairment levels.

On May 20, 2010, the Department of the Treasury and BEP issued a notice in the Federal 

Register. The purpose of the notice was to provide notice and solicit public comment on the 

proposed accommodations. The public comment period closed on August 18, 2010. More than 

64 comments were received. On June 22, 2010, as part of the public comment process, BEP 

hosted two open public forums simultaneously in Washington, DC and Fort Worth, Texas. 

 

5 Under current law, Treasury is not permitted to redesign the $1 Federal Reserve note. 
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Transcripts from these two forums were made publicly available. Additionally, BEP has and 

will be participating in Stakeholder Organization Meetings and Conferences to discuss and 

answer questions about the initiative. BEP participated in the National Library Service National 

Conference in May 2014 and will participate in the National Federation for the Blind, American 

Council for the Blind, and the Blinded Veterans Association annual conferences in July and 

August 2014.

Collaboration

BEP collaborated with the Department of Education in developing The IDEAL Currency 

Identifier, a free downloadable app to assist individuals who are blind or visually impaired to 

denominate U.S. currency on mobile devices. The app was created by IDEAL Group, IQ 

Engines, and the Wireless Rehabilitation Engineering Research Center (RERC) at the Georgia 

Institute of Technology through a grant from the Department of Education’s National Institute on 

Disability and Rehabilitation Research (NIDRR), a component of the Office of Special 

Education and Rehabilitative Services. The app operates on the Android platform.

Conclusion

The Department of the Treasury will continue to promote the principles of open government. In 

addition to building or modernizing information resources to maximize interoperability and 

information accessibility, Treasury will continue to develop, maintain, and supplement internal 

and external data inventories, enhance information safeguards, engage with internal and external 

customers and users, and clarify information management responsibilities.