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Department of the Treasury

Open Government Plan 4.0

October 2016 
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Message from the Acting Deputy Assistant Secretary for Privacy, 

Transparency, and Records

As the Senior Agency Official for Open Government, I am pleased to 

present the U.S. Department of the Treasury’s fourth Open Government 

Plan. This report documents Treasury’s efforts to embrace the three 

pillars of open government: transparency, participation, and 

collaboration.

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

Transparency, and Records via e-mail at open@treasury.gov. This 

report, as well as previous reports, can be found on the Department’s 

website, www.treasury.gov/open.

Ryan Law

Acting Deputy Assistant Secretary

Privacy, Transparency, and Records

U.S. Department of the Treasury
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Table of Contents

Message from the Acting Deputy Assistant Secretary for Privacy, Transparency, and Records... 2

Introduction..................................................................................................................................... 4

Treasury’s Mission and Strategic Goals..................................................................................... 4

Treasury’s Open Government Goals .......................................................................................... 5

Treasury’s Organizational Structure ........................................................................................... 5

New and Expanded Initiatives........................................................................................................ 7

A. Open Data .............................................................................................................................. 7

B. Proactive Disclosure............................................................................................................. 11

C. Privacy.................................................................................................................................. 13

D. Whistleblower Protection..................................................................................................... 13

E. Websites ............................................................................................................................... 14

F. Open Innovation Methods .................................................................................................... 15

H. Open Source Software ......................................................................................................... 15

I. Spending Information............................................................................................................ 17

Ongoing Initiatives........................................................................................................................ 17

A. Participation in Transparency Initiatives ............................................................................. 17

B. Public Notice........................................................................................................................ 17

C. Records Management........................................................................................................... 17

D. Freedom of Information Act (FOIA) Requests.................................................................... 18

E. Congressional Requests........................................................................................................ 19

F. Declassification..................................................................................................................... 19

G. Public Participation.............................................................................................................. 19

H. Collaboration........................................................................................................................ 20

I. Flagship Initiatives ................................................................................................................ 21

The New 10 – Using Public Participation to Develop United States Currency.................... 21

Creating Transparency by Proactively Releasing Nonprofit Tax Filings............................. 22

Developing Transparency.Treasury.gov............................................................................... 22

Public Participation in the Development of USASpending.gov........................................... 23

Increasing Transparency by Promoting Feedback to Stakeholders...................................... 25

Meaningful Access................................................................................................................ 25

Conclusion .................................................................................................................................... 28
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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 it, 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, which 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. In 

2014, Treasury released Open Government Plan version 3.0, which described Treasury’s efforts 

to implement new and expanded open government initiatives.

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 4.0 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.

Treasury’s Organizational Structure

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

general. 

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. 

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 
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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 promote 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 Treasury 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 October 2015, the Administration released the “Third Open Government National Action Plan 

for the United States of America,” which included 40 new or expanded open government 

commitments. Treasury’s Open Government Plan 4.0 describes actions it has taken to 

implement the new and expanded initiatives in open data; proactive disclosure; privacy;

whistleblower protection; websites; open innovation methods; and access to scientific data and 

publications, open source software, and spending information.

A. Open Data

Treasury operates and oversees the government’s central financial accounting and reporting 

system. This role is critical to helping ensure the proper management of the nation’s finances 

and public confidence in the U.S. government. In this role, Treasury collects, analyzes, and 

publishes government-wide financial information, which is used to establish fiscal and debt 

management policies. The public and private sectors also use this information to monitor the 

government’s financial status, which in turn informs their business decisions.

By successfully partnering with our government agency customers, Treasury has advanced 

federal financial management and administrative services across the government. Treasury has

made great strides to improve financial accounting and reporting, made Treasury’s collection and 

payment processes more efficient, and modernized the federal financial management 

infrastructure.

Treasury’s accomplishments in this area include:

• Implementing the Central Accounting and Reporting System (CARS) as the central 

accounting system of record for the federal government, with nearly 90% of Treasurydisbursed agencies migrated to full CARS reporting.

• Establishing the General Fund of the U.S. Treasury as a significant reporting entity and 

beginning quarterly reconciliations with agencies of General Fund intra-governmental 

transactions.

• Migrating the reporting of trial balance data by all federal entities to the Governmentwide Treasury Account Symbol (GTAS) Adjusted Trial Balance System.

• Establishing the initial data standards for federal spending transparency.

• Implementing e-commerce pilots across more than 30 agencies. The expansion of ecommerce is part of an ongoing Treasury initiative to move away from paper-based 

processes to more efficient and secure electronic transactions for the federal government. 

E-commerce provides a convenient, simple, and improved customer experience through 

innovation while achieving cost effectiveness for the federal government.

o Digital Wallets (PayPal and Dwolla) generated over 30,000 transactions totaling 

more than $5,000,000.

o Online bill payment generated over 370,000 transactions totaling more than 

$100,000,000.
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• Implementing Executive Order 13681, “Improving the Security of Consumer Financial 

Transactions,” by replacing or retiring 3,435 standalone point-of-sale payment card 

terminals with Europay, MasterCard, and Visa (EMV) chip and PIN-enabled terminals.

• Fully or partially converting nine Non-Treasury Disbursing Organizations or Entities to 

Treasury Disbursed, including alternative payment methods, international services, and 

phased conversions.

By May 2017, federal agencies must report financial and payment information data in 

accordance with the data standards Treasury and OMB established under the Digital 

Accountability and Transparency Act of 2014 (DATA Act). When fully implemented, the 

DATA Act will make federal spending data more accessible, searchable, and reliable, and will 

make it easier for citizens to understand how the federal government spends taxpayer dollars. 

Treasury, in collaboration with OMB, provides various tools to assist agencies in the 

implementation process, and continues outreach efforts to keep public and private stakeholders 

informed of DATA Act implementation issues and progress.

Additionally, the DATA Act directs Treasury to report to Congress on agency noncompliance 

with a new administrative offset referral requirement. This new requirement requires agencies to 

refer to Treasury legally enforceable, non-tax debts that are over 120 days delinquent for the 

purpose of administrative offset. Previously, agencies were required to refer such debts when 

they were over 180 days delinquent. To support compliance and the timely collection of 

delinquent non-tax debts, Fiscal Service has modified the Treasury Report on Receivables 

(TROR) to automatically capture referral information. Agencies began reporting to the TROR 

their first quarter 2016 data in January 2016. TROR information is presented to the public 

through Treasury's Transparency site, a website designed to simplify and streamline the public 

reporting of the financial data that Treasury receives from federal agencies. 

Fiscal Service’s Centralized Receivables Service (CRS) pilot improves agencies’ management of 

their current receivables portfolio, reduces the percentage of delinquent receivables, and refers 

delinquent receivables to Treasury's Cross-Servicing Program for collection. CRS also improves 

data quality and compliance, promotes efficiency, and enables agencies to focus on their core 

missions.

Treasury is working with agencies to increase electronic collections and to provide a suite of 

next generation electronic payment alternatives targeted to provide greater convenience, ease of 

use, and a better overall customer experience. Treasury is encouraging agencies to take 

advantage of innovative e-commerce solutions such as online bill payment, digital wallets 

(PayPal and Dwolla are currently available, and Amazon Payments will be available later in 

2016), and the Mobile App Program, which allows agency personnel and the public to use 

mobile applications on smartphones for federal agency revenue collections.

Treasury took significant steps in 2015 to strengthen the integrity, security, and efficiency of the 

federal payment process. Improved procedures have enhanced funds recovery efforts and 

returned nearly $12 billion in misdirected disbursed funds to federal payment agencies. Our 

extensive efforts in fraud detection and deterrence led to the recovery of millions of dollars and 

138 convictions. 
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Likewise, the Improper Payment Elimination and Recovery Improvement Act of 2012 mandates 

that a review of all payments and awards be conducted through Treasury’s Do Not Pay Business 

Center, which partners with federal agencies to prevent, reduce, stop improper payments, and 

identify potential fraud, waste, and abuse. The Fiscal Service will continue to enhance the Do 

Not Pay Analytics Center by deploying a long term analytics solution and working 

collaboratively with agencies to identify opportunities to expand the services offered to the user 

community. By the end of FY 2016, we will have implemented a Payment Integrity Program to 

assist in the prevention, detection, and remediation of improper payments and the reduction of 

fraud, waste, and abuse.

Treasury will draw on the U.S. Digital Service’s recently released playbook to make 

USASpending.gov an effective digital services project, including agile approaches to make rapid 

improvements in two-week sprints for the DATA Act implementation.

Treasury has developed a data-centric, iterative approach for DATA Act implementation to 

minimize cost and burden. This approach differs from the traditional “system-centric” way of 

collecting, aggregating, and validating data from agencies. The data-centric approach helps 

minimize system changes across all agencies to collect information and instead focuses on 

managing data in a more streamlined way. Data can be collected and compiled from disparate 

sources and generated into a computer-readable and industry standard format, which makes it 

portable and easier to extract and analyze.

Treasury has several initiatives underway aimed at improving the quality and integrity of 

government-wide financial data and reporting, including:

• Leveraging capabilities of both the Intra-governmental Payment and Collection (IPAC) 

system and the Invoice Processing Platform (IPP) to introduce a new “G-Invoicing”

solution aimed at improving the quality of intra-governmental buy/sell transactional data. 

• Expanding the use of GTAS data in the compilation of the Financial Report of the U.S. 

Government (FR). This effort should not only improve Treasury’s FR compilation 

process, but also reduce agency reporting burden in the process. 

• Aggressively pursuing auditability of the FR. Treasury has established a plan to 

remediate several material weaknesses contributing to the longstanding disclaimer of 

opinion on the FR.

• Delivering smarter shared services. The Fiscal Service’s shared services provide superior 

reimbursable administrative and information technology services to over 80 agencies.

Treasury Application Programming Interfaces (APIs)

To make Treasury’s data more accessible and available to the public, the Department has 

implemented several APIs and has several more under development:

Existing Treasury APIs:

• Treasury Auction Announcement and Results

• Consumer Price Index for Treasury Inflation-Protected Securities

• Latest Debt to the Penny
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• Treasury Offset Program State Program Data

• Treasury Offset Program Federal Collections Data

• Treasury Report on Receivables

• Delinquent Debt (Multiple APIs)

o Accruals

o Receivables (Multiple Receivables)

o Referral to Treasury Offset Program (TOP)

o Referral to Treasury

o Collection on Delinquent Debt

• Annual Debt Outstanding

• Exchange Rates

• State and Local Government Securities Data

• Federal Investment Program Rates and Prices

• U.S. Government Gold Reserve

• Revenue Collections Management Collections Information Repository

• Treasury Data Registry

• Transparency.Treasury.gov (Multiple APIs)

Treasury APIs in Development:

• Savings Bond Calculator

• Average Interest Rates on U.S. Treasury Securities

• Interest Expense on the Debt Outstanding

• U.S. Government Balance Sheets

• Unemployment Trust Funds Quarterly Yields

• Gift Contributions to Reduce Debt Held by the Public Statements of Net Cost

Treasury Open Data Events

Treasury holds several forums and conferences each year to increase collaboration and 

participation by and between its federal and state government partners.

• Data Transparency Town Hall to Kick-Off DATA Act Implementation

With the enactment of the DATA Act, Treasury hosted a Data Transparency Town Hall

to kick off the government-wide implementation of the federal financial transparency 

legislation. Senior officials from the White House, Treasury, and all major federal 

agencies and non-federal stakeholders participated in the one-day town hall meeting 

devoted to learning about DATA Act implementation, hearing from members of the 

public about the importance of federal spending transparency, and learning from experts 

on what is possible from a technical perspective. This town hall is part of Treasury and 

the OMB’s efforts to foster a two-way communication and collaboration with federal and 

non-federal stakeholders.

• Shared Services Workshop
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The Office of Financial Innovation and Transformation (FIT) conducted a Shared 

Services Workshop. This workshop brought together industry experts in shared services 

to assist in identifying next steps for federal financial management shared services based 

upon recent studies conducted by several industry associations. The associations who 

conducted the studies are the American Council for Technology and Industry Advisory 

Council, the Partnership for Public Service, and the Association of Government 

Accountants. The event provided a venue to discuss the studies and gather stakeholder 

input.

• 2016 Intragovernmental Transactions (IGT) Day

The Fiscal Service hosted the 2016 IGT Day for federal agencies.

• JFMIP Federal Financial Management Conference

The Joint Financial Management Improvement Program (JFMIP) is a collaborative 

undertaking of the Department of the Treasury, the Government Accountability Office, 

OMB, and the Office of Personnel Management. It held a conference to discuss ways to 

improve and coordinate financial management policies and practices throughout the 

government.

• Annual IPP Agency Forum and User Group Meeting

During the annual Invoice Processing Platform (IPP) meeting, the Fiscal Service IPP 

team presented new perspectives on how IPP is improving government efficiency and 

customer service through electronic invoicing.

• Annual Government-wide Federal Receivables Management Symposium: Milestone 

Twenty: 1996 - 2016 and Beyond

During this symposium, federal agency participants learned how the Fiscal Service could

help identify, prevent, collect, and resolve an agency’s receivables.

• Pay.gov Forum

The Revenue Collections Management division of Fiscal Service hosted a Pay.gov 

Forum.

• Fiscal Service Advisory Council Payments Forum

Treasury hosted the Fiscal Service Advisory Council Payments Forum. The forum 

provided a unique opportunity for federal agencies to hear first-hand updates related to 

federal government payment products, services, and initiatives. 

• 26th Annual Government Financial Management Conference

This training event covers the latest developments in federal financial management 

practices, systems, and operations. Federal financial management experts from Treasury, 

OMB, the Federal Reserve System, and other partners and agents lead all the sessions.

B. Proactive Disclosure

Proactive disclosure is an integral part of Treasury’s transparency policy. The Department 

routinely makes the following types of records and information available:

• 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 processes and discloses FOIA logs, which contain information 

about requests made under the FOIA.
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• Treasury posts the Secretary’s calendar in the 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 discloses Department news, photographs, and videos through Twitter, 

Facebook, Flickr, and YouTube. Treasury’s social feeds can be accessed on Treasury’s 

social media page. 

• Treasury discloses contract award information through the Federal Procurement Data 

System.

• Treasury 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.

• Beginning in 2014, FinCEN has made SAR Stats, an annual review of aggregated 

Suspicious Activity Reports (SARs), available to the public. Additionally, in 2015, in 

response to a large number of public requests for more current, aggregated SAR data, 

FinCEN added the Interactive SAR Stats tool to its website. The tool enables users to 

search FinCEN’s data for aggregated counts of defined suspicious activities, sector by 

sector, or in combination. FinCEN updates the data monthly, allowing users to access the 

most up to date information quickly.

• In addition to providing links to published tax guidance, the IRS also provides advance 

releases of Internal Revenue Bulletins, Proposed Regulations, and weekly compilations 

of announcements and notices online where the public may proactively weigh in on 

proposed rulings, guidance, and programs. 

• The IRS proactively discloses the following types of frequently requested information:

o Active Enrolled Agents Listing

o Automated Lien System (ALS) Database Listing

o Document 6209, ADP and IDRS Information

o Document 11734, Transaction Code Pocket Guide

o Ponzi Scheme Guidance

o Procedures for requesting a private letter ruling

o Return Preparer PTIN Listing

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 publishes meeting minutes of the Financial Stability Oversight Council.

• TTB regularly updates and publishes a list of alcohol industry members who hold permits 

under the Federal Alcohol Administration Act. These permits allow for the production, 

bottling, importation, or distribution of beverage alcohol products. In addition to making 
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the list available on our site, TTB distributes weekly updates to more than 12,000 users 

who have subscribed to receive updates to that page. 

• TTB also publishes monthly statistics and data on the production and operations of the 

alcohol and tobacco industry members.

• The IRS has made dozens of data sets available through the Statistics of Income program. 

The Statistics of Income home page provides a wide range of tables, articles, and data 

that describe and measure elements of the U.S. tax system.

C. Privacy

Treasury prepares and publishes 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. These reports are available on Treasury’s 

website.

A list of Treasury’s Privacy Act System of Records Notices, which includes links to the notices 

published in the Federal Register, are also available on Treasury’s website.

31 CFR, Subtitle A, Part 1, Subpart C, Sections 1.26 and 1.27 govern how an individual can 

request access to an amend their records under the Privacy Act. Information and instructions on 

submitting a request can be accessed on Treasury’s website.

Treasury’s online privacy policies can be accessed at the links below:

• DO, http://www.treasury.gov/SitePolicies/Pages/privacy.aspx

• TIGTA, https://www.treasury.gov/tigta/important.shtml

• Mint, http://www.usmint.gov/policy/

• IRS, http://www.irs.gov/privacy/index.html

• BEP, http://moneyfactory.gov/privacystatements.html

• OCC, http://www.occ.gov/about/policies/web-privacy-policy.html

• Fiscal Service, http://www.fms.treas.gov/privacy.html

• TTB, http://www.ttb.gov/about/privacy_policy.shtml

• FinCEN, https://www.fincen.gov/privacy-security

D. Whistleblower Protection

The Department recognizes that the effectiveness of its whistleblower protection program is 

critical to transparency in government operations. The Department does not tolerate retaliation 

against whistleblowers. Consistent with the amendments to the Whistleblower Protection Act 

(WPA), Treasury has implemented a number of measures to strengthen whistleblower 

protections, including:

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

the WPA; 
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• Posting information on Treasury’s internal and external websites advising employees of 

their rights under the WPA, including those governing disclosures to Congress;

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

to the SF-312,2 informing employees with security clearances that these agreements do 

not supersede their right to disclose information lawfully to Congress;

• 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;

• Revising the Department’s security directive, consistent with the requirements of the 

recently issued Presidential Policy Directive 19,3 to provide for a fair and expeditious 

process for reviewing retaliation claims that relate to determinations of eligibility for 

access to classified information; 

• Designating an ombudsman within the office of the Inspector General, SIGTARP, and 

TIGTA to further educate employees as to their rights, responsibilities, and remedies 

under the anti-retaliation laws, under the WPA;

• Working, through the ombudsman, to inform employees who disclose information of 

their rights, responsibilities, and remedies under the anti-retaliation laws, and provide 

advisory services and support to whistleblowers, which may include a formal 

investigation by an Inspector General investigation; and

• Making access to Whistleblower Ombudsmen easier for employees and contractors by 

posting the contact information on the Office of Inspector General’s website.

On October 31, 2016, Treasury received official notification that the Office of Special Counsel’s 

2302(c) certification program approved our application. Qualifying for the certification was 

another part of Treasury’s efforts to inform employees of their rights and remedies under the 

WPA, the Whistleblower Protection Enhancement Act, and the Civil Service Reform Act. 

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

lawful disclosures without fear of reprisal. For more information, please refer to Treasury’s

Whistleblower Protection Ombudsman site.

E. Websites

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

and ForeSee customer survey tool on most of its public facing websites. The metrics collected 

by these tools are being used to improve the content of Treasury’s websites. Treasury contributes 

to the Analtyics.USA.gov website through its participation in the federal-wide Digital Analytics 

Program (DAP), where Treasury currently reports on 37 domains.

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

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

 2 The SF-312 is a non-disclosure agreement that restricts disclosure of classified information. 3 Signed by the President on October 10, 2012, PPD-19’s requirements include strengthening whistleblower 

protections for employees holding security clearances.
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services or 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 2001-2017 Budget in Brief are available in 

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

• Treasury unveiled its new Treasury Mobile Tour and History App. designed for 

smartphones and other small handheld devices. The app gives the public access to 

photographs and a detailed history of the historic Main Treasury building.

• Direct Express, a free mobile app developed by the Fiscal Service that is rich with 

financial capability and literacy tools. This app is especially vital to those who depend on 

monthly federal benefit payments as a primary or sole source of income, because it 

delivers essential financial tools for individuals to take charge of their own finances.

• IRS2Go, a free mobile app developed by the IRS, provides 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 tax return and request a transcript of their return. IRS2GO is 

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

Spanish. 

• EyeNote, a free mobile app developed by the BEP, identifies denominations of U.S.

currency as an aid for the 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. 

• The OCC and TTB have optimized their public facing websites for customers using 

mobile devices.

F. Open Innovation Methods

In June 2016, the IRS completed a crowdsourcing competition, the Tax Design Challenge, under 

the authority of the he America COMPETES Reauthorization Act (Pub. L. No. 111-358). As 

part of a broader effort to plan for the future of tax administration, the three-week competition 

invited the public to imagine the taxpayer experience of the future and specifically design an 

online experience that better organizes and presents a person’s tax information. The goal was to 

make it easier for a person to manage their tax responsibilities, and use their own tax data to 

make informed and effective decisions about their personal finances.

Out of 48 submissions, winners from California, Minnesota, and Washington, D.C., were among 

those selected in categories covering overall design, taxpayer usefulness, and best financial 

capability.

The competition engaged teams of designers, developers, and innovative thinkers across the 

country to envision options for taxpayer interactions. The Mortgage Bankers Association funded 

the monetary prizes, and winners were recognized at an event in Washington.

H. Open Source Software
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Treasury is committed to providing the public with software and coding concurrently as it is in 

development by publishing data in a CSV format this eases the analysis and automation process

for developers when using government data, in line with the Open Data initiative. 

Treasury has published more than 238 data sets on data.gov, the centralized platform to find 

open data from federal agencies. Treasury’s open data catalog also is available in machine 

readable format, which uses the common core metadata schema for federal agency open data 

listings.

Treasury’s datasets include:

• Specially Designated Nationals (SDN) List, OFAC SDN List and XSD

As part of its enforcement efforts, Treasury’s Office of Foreign Assets Control publishes 

a list of individuals and companies owned or controlled by, or acting for or on behalf of, 

targeted countries. It also lists individuals, groups, and entities, such as terrorists and 

narcotics traffickers, designated under programs that are not country-specific. 

Collectively, such individuals and companies are called “Specially Designated Nationals”

or “SDNs.” Their assets are blocked and U.S. persons are generally prohibited from 

dealing with them. More information on Treasury’s sanctions programs is available on 

Treasury’s website.

• Auction Schedule of U.S. Treasury Securities, Debt Auction Schedule (XML) and 

XSD

Treasury sells bills, notes, bonds, FRNs, and TIPS at regularly scheduled auctions. The 

schedule of Treasury securities auctions is released at the Treasury’s Quarterly Refunding 

press conference, usually held on the first Wednesday of February, May, August, and 

November. The Auction Query also is available to download data in CSV, JSON, TSV 

and XML formats.

• Daily Treasury Yield Curve Rates, XSD

This curve, which relates the yield on a security to its time to maturity, is based on the 

closing market bid yields on actively traded Treasury securities in the over-the-counter 

market. These market yields are calculated from composites of quotations obtained by the 

Federal Reserve Bank of New York. For information on how the Treasury’s yield curve 

is derived, visit our Treasury Yield Curve Methodology page. This is also made

available through Federal Reserve System (H.15) & Federal Reserve Economic Data.

• Daily Treasury Bill Rates, XSD

These rates are composites of closing market bid quotations on recently issued Treasury 

Bills in the over-the-counter market as obtained by the Federal Reserve Bank of New 

York at approximately 3:30 PM each business day. Rates are also made available 

through Federal Reserve System (H.15) & Federal Reserve Economic Data.

• United States Mint Product Information Updates, Product Information Updates

This lists United States Mint's products and their descriptions. 

• Tax Preparation Software Developers

IRS requires all tax preparation software used for preparing electronic returns to pass the 

requirements for Modernized e-File Assurance Testing (ATS). The Modernized e-File 

(MeF) User Guides & Publications provides general information and technical guidance 

for Electronic Return Originators, Software Developers and Transmitters who participate 

in MeF. provides general information and technical guidance for Electronic Return 
treasury.gov/open 17 OPEN@treasury.gov

Originators, Software Developers and Transmitters who participate in Modernized e-File 

(MeF).MeF.

I. Spending Information

Treasury continues to work as the lead agency in the USAspending.gov initiative. To read more

about the progress of this initiative, please see our flagship initiative titled, Public Participation 

in the Development of USASpending.gov.

Ongoing Initiatives

Treasury continues to work on open government initiatives identified in its previous plans.

A. Participation in Transparency Initiatives

To read more about progress Treasury has made toward increasing transparency, please see our 

flagship initiatives below titled The New 10, Creating Transparency by Proactively Releasing 

Nonprofit Tax Filings, Developing Transparency.treasury.gov, Public Participation in the 

Development of USASpending.gov, Increasing Transparency by Promoting Feedback to 

Stakeholders, Increasing Transparency of Legal Entities Formed in the United States and 

Meaningful Access.

B. Public Notice

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

business of the Department. 

Treasury publishes on Twitter, Facebook, Flickr, YouTube, and other social media to share the

Department videos, photographs, and news with the public. Treasury’s social feeds are 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 to promote openness and accountability through compliance with the Federal 

Records Act, Presidential Memorandum on Managing Government Records, and OMB 

Memorandum M-12-18 (Managing Government Records Directive). Treasury is committed to 

developing policy, educating Treasury personnel, and modernizing compliance processes to 

reflect the evolving nature of records management in the digital age.

Treasury continues to provide tailored, online records training for employees and contractors.

Treasury has augmented these efforts by developing mandatory records training for incoming 

and departing personnel. Treasury records schedules are publicly available at the National 

Archives and Records Administration (NARA) website.
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During FY 2014, Treasury conducted a triennial assessment of its bureau records management 

programs. The assessment identified opportunities to enhance compliance with generally 

accepted recordkeeping principles; assessed risks based on identified gaps; and assisted bureaus 

in developing priorities and assigning accountability for further program improvements.

To comply with OMB Memorandum M-12-18, and specifically its requirement that agencies 

manage email records in an accessible electronic format by December 31, 2016, Treasury is in 

the process of adopting NARA’s Capstone approach to email management. Under this approach, 

Treasury will manage all email messages electronically in a manner that complies with 

applicable law, policy, and OMB and NARA guidance. Furthermore, Treasury will manage 

email messages based upon the user’s role or position, rather than the content of individual email 

messages.

As part of this effort, Treasury is developing department-wide policy, including a Treasury 

Directive and related guidance on email management. Treasury is also in the process of 

obtaining NARA approval to adopt the General Records Schedule for email managed under 

Capstone. Implementation efforts to date include drafting IT policies that will govern Capstone 

and non-Capstone accounts, developing rules on applying litigation and other administrative 

“holds” to email records, and establishing human resources processes to identify new and legacy 

Capstone employees. The Department is also developing Capstone training and awareness to 

educate senior leadership and employees in DO and serve as a model for Treasury bureau 

training.

To comply with the OMB Memorandum M-12-18 requirement that agencies manage all 

permanent electronic records in an electronic format by December 31, 2019, Treasury has 

championed the adoption of electronic content management platforms capable of carrying out 

critical records management functions. Treasury continues to provide training on records 

management capabilities and making the transition to an all-electronic records management 

system. Treasury has also introduced digitization initiatives to migrate paper-based records to 

digital records centers.

D. Freedom of Information Act (FOIA) Requests

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

openness to all FOIA decisions, including increased proactive disclosures and discretionary 

releases consistent with the Department’s responsibility to protect national security, personal 

privacy, privileged records, and other interests.

Treasury’s Annual Chief FOIA Officer Report assesses the Department’s capability to process 

and respond to FOIA requests effectively, efficiently, and in a timely manner. Copies of this

report are available on Treasury’s website.

Although Treasury does not have a significant backlog of FOIA requests, the Department 

continues to focus its efforts on responding to requests in a timely manner.

During FY16, Treasury implemented an online status check tool that allows FOIA requesters to 

check on the status of their requests online. During FY17, Treasury will conduct a full review 
treasury.gov/open 19 OPEN@treasury.gov

and update of the Department’s FOIA websites, update Treasury’s FOIA regulations, and revise 

Treasury Directive 25-05, “The Freedom of Information Act” to incorporate changes to the 

FOIA in light of the FOIA Improvement Act of 2016.

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. Public Participation

Treasury continues to promote opportunities for public participation in its decision making 

processes. As described below, Treasury routinely seeks the public’s feedback and input.

In 2015, Treasury decided to engage the public in the currency redesign process. Treasury turned 

to the Public Participation playbook on how best to engage the public in the development of the 

new currency. Treasury decided to use a multi-tiered path approach to involving the public in 

the decision making process. Treasury launched the website Modern Money to provide the 

platform for communicating with the American people during the redesign process. During this 

process Secretary Lew, Deputy Secretary Raskin, Treasurer Rios, and other Administration 

officials reached out to the public through roundtables, town halls, and other meetings to collect 

input. Treasury also identified what channels people were most likely to use and devised a large 

social media campaign to be incorporated in the awareness plan. This push allowed Treasury to 

review comments submitted via the website, as well as those posted on various social media

outlets, including Facebook and Twitter, using the “TheNew10” hashtag, or #TheNew10. The 

use of hashtags was a creative approach for Treasury to enhance public engagement, while 

making engaging an easier process for the public. By creating numerous avenues for public 

response, Treasury was able to foster broad participation and involve more citizens in the 

decision-making process. The success of the public participation campaign led Secretary Lew to 
treasury.gov/open 20 OPEN@treasury.gov

direct Bureau of Engraving and Printing to work closely with the Federal Reserve to accelerate 

work on the new $20 and $5 notes. To read more about the progress Treasury has made with this 

initiative please see our flagship initiative titled, The New 10 – Using Public Participation to 

Develop United States Currency.

Treasury is committed to designing responsive, accessible, intuitive, mobile-ready tools that can 

be rendered in multiple formats on a wide range of platforms. Please see our Website section, 

above, for more information on the progress Treasury has made with our mobile-ready tools. 

Since Congress passed the DATA Act in 2014, OMB and Treasury have engaged with the 

communities that create and use government data and taken important first steps towards 

creating a more data driven government and making federal data more transparent and available 

to the public. As a result of input from our partners in Congress, industry stakeholders, federal 

agencies, and taxpayers through feedback on our public GitHub collaboration space, all agencies 

will use 57 final data standards for all federal spending data posted on USAspending.gov, the 

federal government’s one-stop shop for spending data. Conversation and collaboration with the 

public has been key to our progress thus far and we encourage you to visit our online 

collaboration space on GitHub for more information on these proposed standards. In addition to 

data standards, we have been testing new formats for exchanging data across the federal 

government. In particular, Treasury’s pilots have demonstrated how we can digitally tag award 

data through the extensible Business Reporting Language (XBRL) format. Treasury released the 

DATA Act Information Model Schema (DAIMS) version 1.0 in April 2016, to include data 

elements that capture account-level outlays and the schema will continue to be refined with 

public input. To read more about the progress Treasury has made with this initiative please see 

our flagship initiative titled, Public Participation in the Development of USASpending.gov.

The public can engage in existing agency participatory processes through Regulations.gov and 

USA.gov/developer. Treasury continues to look for ways to include public participation in 

policymaking. 

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.
treasury.gov/open 21 OPEN@treasury.gov

Collaboration with the University Community - Student Employment Program

Treasury continues to expand its collaboration efforts with college 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 counsels small 

businesses of all types (including 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.

I. Flagship Initiatives

The New 10 – Using Public Participation to Develop United States Currency

Treasury uses social media websites and applications to engage in dialog with members of the 

public to promote transparency, improve public access to government information, and 

encourage public participation and collaboration. In accordance with the President’s 

Memorandum on Transparency and Open Government4 and the Director of OMB’s Open 

Government Directive Memorandum,5 Treasury upholds the three principles of transparency, 

participation, and collaboration to foster a culture of open government throughout the 

Department. Treasury is dedicated to being an agency that seeks out public participation and 

believes that engaging the public enhances effectiveness and improves the quality of the 

decision making process. 

In 2015, Secretary Lew announced with a press release that the U.S. Department of the 

Treasury would be asking the American people to share ideas, symbols, and designs for the 

new $10 note that would reflect what democracy means to them. Treasury launched the

website https://modernmoney.treasury.gov/ to provide the platform for communicating with 

the American people. Historically, the Secretary has relied on the BEP to provide advice on 

themes, symbols, and concepts to be used on currency. However, for the newly redesigned 

$10 note, the Secretary sought input from the public about what qualities best represent 

democracy to help guide the design process for the next generation of notes.

Treasury officials conducted roundtables, town halls, and other meetings to collect input from 

the public. Treasury also reviewed comments submitted via the website as well as those posted 

on social media using “TheNew10” hashtag, or #TheNew10. Numerous Americans 

participated in a robust national discussion about what unique American stories should be told 

on the new currency. 

 4 Transparency and Open Government Memorandum for the Heads of Executive Departments and Agencies 

https://www.whitehouse.gov/the_press_office/TransparencyandOpenGovernment

5

 OMB Memorandum M-10-06, Open Government Directive 

https://www.whitehouse.gov/sites/default/files/omb/assets/memoranda_2010/m10-06.pdf
treasury.gov/open 22 OPEN@treasury.gov

The success of the public participation campaign has led Secretary Lew to direct the Bureau of 

Engraving and Printing (BEP) to work closely with the Federal Reserve to accelerate work on 

the new $20 and $5 notes. The press release can be viewed here. Treasury’s goal is to have all 

three new notes go into circulation as quickly as possible, while protecting against 

counterfeiting through effective and sophisticated production. 

Creating Transparency by Proactively Releasing Nonprofit Tax Filings

Tax filings for nonprofit organizations contain data that is legally required to be publicly released

(pursuant to 26 U.S.C. § 6104). Accessing the filings generally requires a request from the 

public, which can include a FOIA request, and results in more than 40 million pages provided in 

a non-machine-readable format. The IRS launched a new process that removed personally 

identifiable information before proactively releasing the public information within electronically 

filed nonprofit tax filings. The electronically filed Form 990 tax filings were released as open, 

machine-readable data within Amazon Web Services’ public data sets, allowing the public to 

review the finances and other information of more than 340,000 American nonprofit and 

charitable organizations. The IRS search for Forms 990-N (e-Postcard) filed by small taxexempt organizations can be found here.

Developing Transparency.Treasury.gov

Transparency.Treasury.gov is developed with the Open Government Policy goals in mind: 

transparency, participation, and engagement with the public. Transparency.Treasury.gov is a 

website that supports transparency, openness and accessibility by providing easier access to the 

government’s publically available financial information. The website promotes accountability, 

enhances the Treasury’s effectiveness, and actively engages the public in the Treasury’s mission. 

The website is designed to simplify and streamline the public reporting of the financial data that 

Treasury receives from federal agencies. It provides the public with usable, easy-to-understand, 

summarized federal agency financial management data. The website allows users to analyze 

financial data trends, patterns, and insights about federal government payments, revenue, debt 

management, accounting, and open data through interactive reports, APIs, and descriptive 

articles and images.

The website aims to improve Treasury operations by providing user-friendly public access to the 

federal government’s financial information to promote transparency and accountability. To aid 

in public engagement the website also serves as a social platform for exchanging ideas and 

soliciting public input. Allowing the public to collaborate with Treasury improves customer 

service while providing Treasury insights that might not have been learned without data sharing.

To aid in collaboration the site also offers a “Contact Us” feature, which provides opportunities 

for the public to pose questions, offer feedback, and interact with Treasury. Real-time usage 

statistics are tracked by the team to identify trends in subject areas, search terms, browser 

characteristics, and geographic information.

During the initial phases of the initiative, the team engaged with an outside consulting firm to 

tailored website functions to address public user transparency needs and expectations, to ensure 
treasury.gov/open 23 OPEN@treasury.gov

the design would meet public user web interface needs, and to ensure outreach plans were 

effective for increasing awareness of the website. 

Through this research process, which included online quantitative surveys, expert interviews, 

focus group conversations, and an online bulletin board, several ideas and concepts were 

presented. The primary output included the identification of user groupings, which helped to 

define the personas (or descriptions of user types) that were then used to help redesign the 

website interface and functionality 

In FY2017, the team plans to conduct more targeted research and development to gather insights 

from people through understanding their attitudes and motivators, which will shape the future 

direction of the site. This will include interviews, direct networking, and participation in 

conferences. 

Future plans include further developing a separate, stand-alone understanding of the citizens who 

make up the potential user base, through interviews, direct networking, and participation in 

conferences. This will be followed by an evaluation of the website and services (comparing 

what we offer to what the citizens want and need). 

The user research and subsequent development of the website will be done iteratively to ensure 

continual enhancements and ongoing assessments are part of the website service offering. Future 

plans also include the addition of site surveys to gather real-time user feedback as they navigate 

the site’s features and functions.

Public Participation in the Development of USASpending.gov

Treasury leads the government-wide implementation of the DATA Act in collaboration with 

OMB and has also been working to improve the USAspending.gov site to better meet 

stakeholder needs since assuming responsibility for it in February 2014. 

Once implemented, the DATA Act will make federal spending data more accessible, searchable, 

and reliable. The purpose of the DATA Act is to establish government-wide financial data 

standards and increase the availability, accuracy, and usefulness of federal spending information 

across financial management, procurement, grants, and loans. By increasing the transparency 

and accessibility of this information, the DATA Act seeks to enhance oversight and decisionmaking in the federal government, while generating innovation in both the private and the public 

sectors. It will not only make it easier to understand how the federal government spends taxpayer 

dollars but will also serve as a tool for better oversight, data-centric decision-making, and 

innovation both inside and outside of government. The DATA Act implementation includes 

several key work streams that Treasury is leading, including the DATA Act Schema, the DATA 

Act Broker, Treasury Platform Development, and Data Publication. 

On April 29, 2016, Treasury released the DATA Act Information Model Schema (DAIMS) 

version 1.0. This technical guidance is the result of work led by Treasury, in collaboration with 

agencies and the broader federal communities, over the past year to iteratively develop the 

DATA Act reporting requirements. The DAIMS captures the data elements needed, their 
treasury.gov/open 24 OPEN@treasury.gov

relationships, and the overall context of how they fit together. It also provides clarity, guidance, 

and instruction on the need, submission, and use of the DATA Act elements. 

Treasury continues to develop the DATA Act Broker, the online tool agencies will utilize to 

submit and validate their data to Treasury. The Broker is being developed using open source 

code, which can be accessed on the Federal Spending Transparency Collaboration Github site. 

On June 29, 2016 Treasury released the beta version of the DATA Act Broker for agency testing 

and review.

OpenBeta.USAspending.gov, our beta site obtains feedback from the American people on the 

design of the future USASpending.gov site. This site allows the public to review, test, and 

provide feedback that will advise Treasury of the needs of data users. Treasury continues to add 

new features and functions for the public to review on a rolling basis in preparation for the 

launch of the new USASpending.gov site in May 2017. Treasury continues to maintain and 

update the Federal Spending Transparency GitHub site. Treasury uses comments received 

through these sites a to inform its efforts to support data users’ needs. 

Treasury established a series of six performance measures to track the progress of participation 

and collaboration through the DATA Act implementation. The measures include communication 

with federal agencies, engagement of Treasury executives in the process, requesting and 

obtaining public feedback during the decision making process, and engagement with external 

stakeholders. These metrics are tracked on a quarterly basis. 

The data-centric approach allows agency data to be structured at the source and then published or 

used for internal analysis, as this data will be linked and standardized and disseminated in a way 

that is consumable. When the data are accessible, they can then be used to create value 

internally and externally.
treasury.gov/open 25 OPEN@treasury.gov

Increasing Transparency by Promoting Feedback to Stakeholders

In 2015, FinCEN began a program to recognize criminal cases where Bank Secrecy Act (BSA) 

data, filed by financial institutions, plays a significant role in successful prosecutions. There 

are two primary goals of the program: (1) to recognize law enforcement agencies that made 

effective use of financial institution reporting to obtain a successful prosecution, and (2) to 

demonstrate to the financial industry the value of their reporting to law enforcement. Six 

award categories recognize achievements in combatting significant threats to the integrity of 

the financial system and the safety of our communities. Every May, FinCEN holds a 

ceremony at Main Treasury to present the awards for each category.

FinCEN’s Law Enforcement Awards promote feedback to FinCEN’s stakeholders, applaud the 

transparency efforts of financial institutions under FinCEN’s regulations, and celebrate the 

collaboration involved in achieving successful prosecutions and safeguarding the financial 

system. 

FinCEN has an obligation to ensure that information reported under the BSA is properly 

collected, securely maintained, and appropriately disseminated. The Law Enforcement 

Awards emphasize FinCEN’s unique role as the bridge between law enforcement and the 

financial industry, and highlight that a strong public/private partnership is critical to FinCEN’s 

efforts to administer the BSA effectively. As the financial system faces evolving threats, the 

input FinCEN receives from law enforcement, its regulatory partners, and the financial 

industry is vital to staying one step ahead of illicit actors.

Increasing Transparency of Legal Entities Formed in the United States

Treasury is committed to strengthening financial transparency and combatting the misuse of 

companies to engage in illicit activities. Treasury is focused on countermining money 

laundering and corruption, cracking down on tax evasion, and hindering those looking to 

circumvent our sanctions. Building on years of important work with stakeholders, on May 5, 

2016, FinCEN implemented the Customer Due Diligence (CDD) Final Rule requiring financial 

institutions to know and verify the identities of the natural persons who own, control, and profit 

from companies when those companies open accounts. This rule amended existing regulations 

under the Bank Secrecy Act that have allowed Treasury to enhance transparency and protect the 

integrity of the financial system by clarifying and strengthening the customer due diligence 

obligations of financial institutions.

The CDD Final Rule makes available to law enforcement valuable information needed to disrupt 

illicit finance networks. This has increased financial transparency and augmented the ability of 

financial institutions and law enforcement to identify the assets and accounts of criminals and 

national security threats. This has also facilitated compliance with sanctions programs and other 

measures that cut off financial flows to these actors.

The CDD Final Rule became effective July 11, 2016. Covered institutions have until May 11, 

2018 (two years from the date the final CDD Rule was published in the Federal Register) to 

implement and comply with the rule. Shortly after the rule became effective, FinCEN issued 
treasury.gov/open 26 OPEN@treasury.gov

FAQs to assist covered financial institutions in understanding the scope of the CDD 

requirements. FinCEN will issue additional FAQs or guidance as appropriate.

Meaningful Access

As an update to the Open Government Plan 3.0, Treasury continues to improve on the Bureau of 

Engraving and Printing’s (BEP) Meaningful Access initiative. This initiative will allow for the 

blind and visually impaired community the means of denominating U.S. currency by locating the 

raised tactile feature and being able to identify the note’s denomination independently. The BEP 

implemented the U.S. Currency Reader Program nationwide in 2015, and to date, nearly 44,000 

iBill® Talking Banknote Identifier devices or currency readers have been requested and or 

distributed. As of September 2016, there have been approximately 29,000 downloads of the 

EyeNote® mobile application launched in 2011 and more than 8,000 downloads of the Ideal 

Currency Identifier® mobile application launched in 2012. Both mobile applications are 

available for free for Apple and Android smartphones.

In addition, significant progress continues in developing tactile features. The BEP anticipates 

that the next redesigned denomination will contain a tactile feature and large, high-contrast 

numerals, along with new security features. 

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 

Moneyfactory.gov webpage for the initiative that contains up-to-date information about the 

status of the project. 

To make information readily available regarding the U.S. Currency Reader Program, there is a 

dedicated call center to field requests and comments regarding the iBill currency reader. There is 

also a dedicated webpage that contains application information in Spanish and English. There 

are video and audio instructional guides for the iBill® currency reader device, brochures for both 

print and in Braille, and a press kit that can be used by organizations and media to help promote 

the program and notify their customers about currency reader device availability. The press kit 

contains recorded public service announcements, images, general FAQs, sample newsletter 

articles, and social media posts. 

Obtaining feedback from users over the years also resulted in the upgrading of the EyeNote® 

mobile application in December 2013. The updated version, EyeNote® 2.0, utilizes a continuous 

scan function with no need to hold the device still or capture a photo. Once it scans the note it 

denominates the currency. EyeNote® 2.0 also utilizes Voiceover for vocal and gesture feedback 

if it is turned on for the target iOS device. The press release announcing Version 2.0 can be

viewed here.

As development of the raised tactile feature continues, Treasury has sought feedback actively 

from two key stakeholder groups, the blind and visually impaired community. Both groups are 

looking for an independent means of denominating U.S. currency by locating the raised tactile 

feature and being able to identify the note’s denomination, and the cash-handling community, 

which includes the Federal Reserve System as well as the Banknote Equipment Manufacturer 
treasury.gov/open 27 OPEN@treasury.gov

(BEM) community. BEP has engaged in dialogue and some testing with these two stakeholder 

groups since the very earliest part of the process. 

A thorough needs assessment of the BEM community has been integrated into BEP’s technical 

requirements for the tactile feature and is considered in all testing that is done. This type of 

engagement will allow BEP to identify major red flags with features as they pertain to cash 

handling equipment until the down selection process is complete for the final optimized tactile 

feature and application method. BEP has engaged individuals from many different blind 

organizations in dozens of end-user testing sessions to help narrow in on effective options for a 

raised tactile feature. Another round of end-user testing with the blind and visually impaired 

community and preliminary process and handling tests for prototypes with BEMs are anticipated 

to take place sometime in 2017.

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

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

impaired to denominate U.S. currency with Android mobile devices. The application 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. 

In 2014, the BEP launched the U.S. Currency Reader Pilot Program in partnership with the 

Library of Congress’s National Library Service (NLS) for the Blind and Physically 

Handicapped. In 2015, The U.S. Currency Reader Program launched nationally. The NLS 

administers a free library program providing Braille and audio book materials available to more 

than 400,000 U.S. residents and citizens living abroad whose low vision, blindness, or physical 

handicap makes it difficult to read a standard printed page. The NLS assists the BEP with the 

administration of the program by processing applications and shipping currency readers to all 

eligible applicants through an interagency agreement. Utilizing the NLS’s extensive, nationwide 

distribution system, allows the BEP to have direct access to the members of the blind and 

visually impaired community

All U.S. citizens who are blind or visually impaired can obtain an iBill® Talking Banknote 

Identifier device at no cost to them. 

Treasury continues to promote the principles of open government as it relates to the meaningful 

access initiative. Not only is public outreach efforts and awareness vital to the continued success 

of the U.S. Currency Reader Program, but also in the development of effective and high tech 

currency features for future currency. 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.
treasury.gov/open 28 OPEN@treasury.gov

Conclusion

The Department of the Treasury continues to promote 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, engage with internal and external customers and users, and clarify information 

management responsibilities.