emoval of Records by Departing Officials

Removal of Records by Departing O° —<—_—______—_

Types of documents that can be removed without approval:
* Personal papers - documents not owned by the Federal Government
____» Personal. diaries, journals or other personal notes that were. not prepared or used for or. _
communicated in the course of transacting government business (includes planners used
solely for personal memory jogging purposes
« Personal contacts from Outlook
* <Acopy of documents, which are not classified or confidential in fiature and are available
to the public via the Treasury websites
+. Library and museum materials used solely for reference or exhibit purpose (articles,
journals, posters, etc.)
« Acopy of public publications or documents (e.g. the Treasury Strategic Plan)

Types of federal records that require approval for removal (includes electronic records):

Requests shall be only for records that.are reasonably related to the requester’s official
responsibilities while an employee at Treasury

Papers (letters, memos, completed forms, reports, maps, etc.)

Electronic (databases. e-mail, spreadsheets, geographic information systems, etc.)

Audio recordings :

Photographic prints and negatives

Video recordings & motion picture films

Documents posted to certain internal websites

Copies of calendars

Copies or originals of briefing books for senior officials

Working papers. developed, during tenure with the Department

Copies of e-mails that pertain:to the business of the Department

er er

Types of federal records that ¢an never: be removed (includes electronic records):
° Classified material
«Any federal record
« Information subject to Privacy Act (5 U.S.C. 552a) - this includes any record about an
individual not in the public domain
+ Any part of a record included in a file that will diminish the integrity of the record
« Information that would not normally be disclosed to the public
* Copies of the Department of Treasury Weekly Reports

How do I request records for removal?
* Complete TD F 80.05-6, Request for Access to or Removal of Documentary Materials or
submit the request in writing to the Deputy Assistant Secretary
* Assemble requested records (if electronic), records must be printed to paper for review

Contact: Veronica Marco, Office of Treasury Records (202) 622-2477

Office of DAS Privacy and Treasury Records — April 2008


Dialogue is to discuss long-term strategic challenges; however, in many cases the SED
also has to a role in seeking immediate solutions to the issues of the day.

The discussion of long-term structural issues in the SED provides a stronger foundation
for pursuing concrete results through existing bilateral economic dialogues and ensuring
that citizens of both countries benefit fairly from the growing bilateral economic
relationship. It also provides support and guidance for existing bilateral economic

__._ forums, which remain essential to managing specialized aspects of the interdependent

U,S.-China economic relationship; the SED uses these dialogues to accomplish work
between sessions and thereby enhances these existing forums, as the most recent meeting
of the JCCT suggests. Existing economic and related dialogues include:

> The Joint Commission on Commerce and Trade (JCCT) between the U.S.

Department of Commerce, the U.S. Trade Representative, and the Chinese

Vice Premier responsible for trade.

The Joint Economic Committee (JEC) between the U.S. Department of the

Treasury and the Chinese Ministry of Finance.

> Joint Commission on Science and Technology between the U.S. Director of
the Office of Science and Technology Policy and the Chinese Ministry of
Science and Technology.

> The Economic Development and Reform Dialogue between the U.S.
Department of State and China’s National Development and Reform
Commission.

> The Energy Policy Dialogue between the U.S. Department of Energy and
China’s National Development and Reform Commission.

> The Global Issues Forum led by the U.S. Department of State and China’s
Ministry of Foreign Affairs.

> The Healthcare Forum between the U.S. Department of Health and Human
Services and the Chinese Ministry of Health.

Vv

Critical Issues for First Six Months



« (202) 622-3068

From: Alix, Cathy

Sent: Thursday, October 02, 2008 4:48 PM

To: Cuffe, Elizabeth; Duffy, Michael; Foster, Wesley; Granat, Rochelle; Runnels, Al; Sharpe, Thomas Jr.; Thomas, James;
Wolsiayer, Kelly

Cc: Lewis, Mike

Subject: DATA CALL - Transition Briefing Paper

In preparation for the upcoming Presidential Transition, Management has been asked to prepare a briefing
paper for the incoming Secretary and Deputy Secretary. Please provide me with the following information for
each of your respective offices to be incorporated into the ASM briefing paper:

© Executive Summary ~ basic overview of your office mission/function
¢ Big decisions/deadlines that the new Administration will confront in the first 90 days in office
e Hot topics

This information should be no longer than 2 pages in length - very top-line and submitted to Mike Lewis no
later than Friday, October 10, 2008.

In addition, I am forwarding you the last version of the ASM Briefing Book that was prepared for Pete. Please
update your respective sections. Please note that the ASM Reorganization has created the need for a DASPTR
section and has altered the HQ Ops (now DOOps) and OCIO sections a bit. Your updated section is due to
Mike Lewis no later than Fridays October 17, 2008.

<< File: Updated FY06-08 Budget Snapshot ASM.xls >> << File: ASM Documents.doc >> << File: ASM
Org Chart.ppt >> << File: Bureau Heads Bios.doc >> << File: BureauHead.xls >> << File: DASHR
CHCO.doc >> << File: DASHR CHCO.ppt >> << File: DASMB.doc >> << File: DASMB.ppt >> << File:
DCFO.doc >> << File: DCFO.ppt >> << File: EP.doc >> << File: EP.ppt >> << File: Executive
Summary.doc.rtf >> << File: HQ Ops.doc >> << File: OCIO.doc >> << File: OCIO.ppt >> << File: OPE.doc
>> << File: OPE.ppt >> << File: Roles of the ASMCFO FINAL.doc >>

While past experience indicates that each incoming Administration provides unique instructions on preparing
briefing materials, there are some. fundamentals that we can anticipate. Hopefully, having this up-to-date

information readily available will facilitate quick and accurate responses to the incoming Administration's
inquiries and keep quick turnaround requests to a minimum.

Thank you in advance for your timely response to these taskings.

Cath

Cathy D. Alix

Senior Advisor to the Assistant Secretary for
Management/Chief Financial Officer

Department of the Treasury

Main Treasury

Phone: 202.622.1030


umice or economic

Policy


DEPARTMENT OF THE TREASURY
WASHINGTON. D.C

ER SECRETARY. January 14, 2009

INFORMATION MEMORANDUM FOR INTERNATIONAL AFFAIRS
FROM: David H. McCormick, Under Secretary for Intemation eho
SUBJECT: January 2009 IA Transition Plans

As we all prepare for the pending changes later this month, I wanted to share with you the
transition plans to cover the period until the new Treasury team is fully in place.

First, I am pleased to report that Mark Sobel and Andy Baukol have agreed to serve as
Acting Under Secretary and Assistant Secretary for IA, respectively. They will take up
these roles effective at noon on January 20. Mark will take the lead on all issues in his
deputate, Energy and Environment, Research and Risk Analysis, International
Development Finance and Debt, as well as the Business Office. Andy will cover all of
the regional offices, OTA, CFIUS, Trade and Investment, and maintain his leadership
role on the management agenda, Sonja and Jamie will also continue to serve as senior
advisors. I have every confidence that their broad experience and sound judgment will
steer IA wisely during the transition period.

Second; with respect to changes in the Deputates:

> Western Hemisphere: Nancy Lee will return to her previous position as DAS for
Western Hemisphere, resuming this position officially on January 20, 2009. Tam
extremely grateful for Brian O’Neill’s regional expertise and energetic advancement
of Treasury’s priorities during his tenure with us.

> Investment Security: Mark Jaskowiak will serve as Acting DAS for Investment
_ Security, also effective on January 20, 2009. 1A has benefited greatly from the many
important improvements in CFIUS policies and process achieved by Nova Daly,
Mark, and the rest of the team. Iam particularly appreciative of Nova’s leadership in
this critical area.

‘Trade and Investment: As of Janvary 12, 2009, Steve Tvardek will serve as Acting
Deputy Assistant Secretary for Trade and Investment. Dave Kavanaugh’s leadership
and service in advancing free trade and investment has been tireless, despite many

obstacles, and I wish him luck in his new position in Senator Ensign’s office.

v

> Europe and Eurasia: Given his outstanding performance during the ongoing financial -
maelstrom in Europe, Eric Meyer will continue to serve as Acting DAS for Europe.


Paulson Gears Up Transition Plan - WSJ.com Page | of 3

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THE WALL STREET JOURNAL

OCTOBER 31, 2008

Paulson Gears Up Transition Plan

By DEBORAH SOLOMON

WASHINGTON -- Treasury Secretary Henry Paulson is laying the groundwork to
give the next administration a role in making crucial decisions before
Inauguration Day, raising the odds that parallel teams will help navigate the
financial crisis in the coming weeks.

The unusual degree of coordination is a sign of the enormous task facing a new
administration that will inherit a $700-billion rescue program that it didn't
create and may not fully embrace. It also means the winner of Tuesday's election
could be running a shadow Treasury Department inside the agency.

Mr. Paulson -- who has an interest in seeing the bailout succeed -- plans to
consult with the new administration on key decisions, according to a Treasury
official. He is carving out office space at Treasury, assembling briefing books and
has been in frequent contact with both Sens. John McCain and Barack Obama.

"Secretary Paulson has strong views about the program. At the same time, it
would be irresponsible to not consult on any big moves with the next team,” the

official said.

Mr. Paulson's plan to take equity stakes in banks and buy bad loans and other
troubled assets from financial institutions didn't get full approval from either

candidate.

Sen. McCain, the Republican nominee, has said he's "disappointed" Mr. Paulson
hasn't adopted his proposal to spend $300 billion to buy up and restructure
individual home loans, and has criticized the use of taxpayer money to help
financial institutions without requiring additional regulation.

Democratic Sen. Obama has suggested he wants to attach conditions to money
the government spends, such as tighter restrictions on executive pay and more
protections for homeowners.

Mr. Paulson will be in control until Jan. 21, But there will be a host of decisions
made before then about how to spend some of the $700 billion. While Treasury

http://online.ws}.com/article/SB122541580743786687.html 11/4/2008


A. Offices
1. Information Sheet-and Budget-Overview-

2.

B. Bureaus

Table of Contents

Front Office
« Scheduling
© Office of Operations
¢ The Executive Secretariat
Office of Domestic Finance
Office of Financial Stability
Office of Economic Policy
Office of the General Counsel
Office of International Affairs
Office of Legislative Affairs
Office of the Assistant Secretary for Management / CFO
Office of Public Affairs
Strategic Economic Dialogue
e U.S.-China Ten Year Energy and Environment Cooperation
Framework
Office of Tax Policy
Office of Terrorism and Financial Intelligence
Office of the Treasurer
Office of the White House Liaison

The Alcohol and Tobacco Tax and Trade Bureau
Bureau of Engraving and Printing

Bureau of Public Debt

Financial Management Service

Inspector General

Internal Revenue Service

Office of the Comptroller of the Currency

Office of Thrift Supervision

The U.S. Mint



DASP TS

ASMICFO Briefing Paper PTR Overview
October 15, 2008

Executive Summary:

The Office of the Deputy Assistant Secretary for Privacy and Treasury Records
(PTR) serves the American public and the Treasury community by setting the standard
for the protection, access, and appropriate disclosure of Treasury's information assets.
PTR also maintains a Treasury Orders and Directives program that accurately reflects
current Departmental policies, activities, and procedures. The Department of the Treasury
is committed to maintain, collect, use, and disseminate information as authorized by law
and as necessary to carry out Treasury's mission.

The PTR was established in FY08 in order to strengthen the Department’s privacy
programs by combining key privacy functions and elevating the privacy program to
directly report to the Assistant Secretary for Management and Chief Financial Officer
(ASM/CFO). The realignment of information privacy, civil liberties, records
management, library, and disclosure functions into one office promotes an integrated
approach to information management and protection across the Department. PTR
developed FY08 goals:and objectives within a strategic plan that supports the PTR core
values of service, quality, excellence, and teamwork. The combined efforts of the PTR
team ensure that the Treasury community has the knowledge resources needed to serve
an informed public; while continuing to strengthen the Department's compliance with all
privacy and disclosure requirements, safeguarding of personally identifiable information,
and promoting process transparency, accountability, and timeliness.

The Office of Privacy-and Civil Liberties was created to protect the privacy and civil
liberties of individuals by ensuring that due consideration and regard for information
privacy and civil liberties are addressed in the execution of Departmental programs and
policies. It has enabled Treasury to highlight the need for proactive prevention policies
and procedures for protecting personally identifiable information (PII). The Privacy
Office developed policy and procedures regarding and implemented the requirements of
the Implementing Recommendations of the 9/11 Commission Act of 2007.

The Office of Treasury Records ensures the preservation of records containing the
adequate and proper documentation of the organization, functions, policies, decisions,
procedures, and essential transactions of the agency, and to furnish the information
necessary to protect the legal and financial rights of the government and of persons
directly affected by the agency’s activities.

The Treasury Library manages and provides convenient access to mission critical
information required by Treasury offices and bureaus, and provides information about the
Department to the public. The Library is a partial Federal Depository Library, which
means that it is open to the public. The Library initiated efforts to preserve the collection
by digitizing historic documents, including legislative histories compiled by Treasury

librarians.


OFFICE OF TAX ANALYSIS (OTA)

Office Overview. OTA advises and assists the Assistant Secretary (Tax Policy) and his
deputies in the development, analysis, and implementation of tax policies and programs. The
Office provides economic and policy analyses leading to development of the Administration's
tax proposals and also assesses major Congressional tax proposals.

OTA-analvzes the effects of the existing tax law and alternative tax programs and

prepares a variety of background papers, position papers, policy memoranda, and analytical
reports on economic aspects of domestic and international tax policy. OTA is responsible for
official Administration estimates of all Federal receipts included in the President's Budget and
Mid-Session Review, and revenue estimates for actual and proposed tax legislation, earmarked
revenue allocated to various trust funds, Treasury cash management decisions, and the Tax
Expenditure Budget. OTA staff also engages in tax treaty negotiations with foreign governments
and participate in meetings of international organizations.

OTA develops and operates several major microsimulation models and maintains large
statistical databases to analyze the economic, distributional, and revenue effects of alternative tax
proposals and tax systems. Many of the large microdata files used in OTA's models are
developed from samples of tax returns prepared by the IRS Statistics of Income Division under

the Office's direction.

OTA helps implement the administration of tax provisions by assisting the IRS in
developing studies of tax compliance and taxpayer compliance burdens, developing and revising
tax forms and, working with the Tax legislative Counsel, International Tax Counsel, and Benefits
Tax Counsels staffs formulating and reviewing tax regulations.

OTA is divided into five divisions: the Business and International Taxation Division, the
Economic Modeling and Computer Applications Division, the Individual Taxation Division, the
Revenue-Estimating Division, and the Receipts Forecasting Division.

Currently, OTA has 44 economists, most with PhDs.

Key Personnel. James B. Mackie If is the Director of the Office of Tax Analysis. He
has been with OTA since 1985. He is a graduate of the University of Virginia (PhD 1986).

Geraldine Gerardi is the Director of the Business and International Taxation Division.
She came to OTA in 1974, and, after stints at other federal agencies, has remained at OTA since

1983. She is a graduate of American University (PhD 1976).

Robert Gillette is the Director of the Economic Modeling and Computer Applications
Division. He has been at OTA since 1985. He is a graduate of the University of Maryland (PhD

1985).

John McClelland is the Director of the Revenue Estimating Division. He has been at
OTA since 1997. He is a graduate of the University of Maryland (PhD 1997).

J. Scott Jaquette is the Director of the Receipts Forecasting Division. He has been at
OTA since 1994. He is a graduate of the University of Michigan (MPP 1994).



RE: Benefits briefings/Q&A Session Page 1 of 2

Alix, Cathy
From: Wilkins, Vernetta

Sent: Tuesday, October 28, 2008 12:10 PM
To: Granat, Rochelle; Dick, Denise

Ce: Alix, Cathy; Cannon, Dennis
Subject: RE: Benefits briefings/Q&A Session

West Gable has been confirmed for both dates
11/6 12:30 - 2pm - will be conference style may hold up to 25 people -
11/13 1:30 - 2:30 - will be theatre style may hold up to 60 people

From: Granat, Rochelle

Sent: Tuesday, October 28, 2008 10:54 AM

To: Dick, Denise

Ce: Alix, Cathy; Cannon, Dennis; Wilkins, Vernetta
Subject: RE: Benefits briefings/Q&A Session

If you confirm dates and times, we.will try to reserve the Gable room. How is 11/6 at 12:00 and 11/13 at 1:00?

Rochelle F. Granat

Deputy Assistant Secretary for Human Resources
and Chief Human Capital Officer

Department of the Treasury

202-622-6052

Sent: Tuesday, October 28, 2008 10:09 AM

To: Granat, Rochelle
Subject: FW: Benefits briefings/Q&A Session

| will send out an e-mail but wanted to know if rooms have been reserved and if all the letters have been sent? At
this point, even if someone did not attend one of the briefings, | think we should send the letter. Do you agree?

From: Alix, Cathy
Sent: Tuesday, October 28, 2008 9:37 AM

To: Dick, Denise
Subject: Re: Benefits briefings/Q&A Session

Yes, please.

From , Denise
To: Alix, Cathy
Sent: Tue Oct 28 09:21:57 2008

10/28/2008


MINS VI UIS
White House Liaison


Actions:

Meetings: The PWG meets regularly (currently about every 6 weeks) and as needed.

Recent Market Statement: The PWG released a statement and an update on the recent market
turmoil, and continues to monitor implementation of its recommendations, including three
private-sector committees (disclosure; credit ratings; and risk management) that are developing
implementation plans.

Private Pools of Capital: The PWG released a statement on private pools of capital and

facilitated-twe-privat ty mittees-(asset managers and investor: ) that developed

voluntary industry best practices.


Line Th #RD

Adams, Shanda

A —— —— Se ae
From: Coffman, Robert

Sent: Monday, September 08, 2008 1:08 PM

To: Adams, Shanda; Wright, Lillian; Knight, Bernard Jr.

Ce: Cannon, Dennis

Subject: RE: Guidlines/Information for Farewell Events, exiting mementos, etc.

My office is in the process of putting together a transition book on items such as that, but do not have it ready yet.

Rob Coffman, CGMP
Office of Conference, Event & Meeting Services
Department of the Treasury

From: Adams, Shanda

Sent: Monday, September 08, 2008 1:06 PM

To: Coffman, Robert; Wright, Lillian; Knight, Bernard Jr.

Ce: Cannon, Dennis

Subject: Guidlines/Information for Farewell Events, exiting mementos, etc.

Good Afternoon,

Thank you for your time and effort.

Shanda Adams
Human Resources Assistant

Department of the Treasury

Human Capital Strategic Management
Phone: 202-622-4178

Fax: 202-622-3454


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Operations Support
(IRS)

ccna

au FY 2007 FY 2008 FY 2009
President's increase’ | Percent
Appropriation Enacted Enacted Budget Decrease | Change
Operations Support $3,544,835 $3,680,059 $3,856,172 $176,113 4.79%
Infrastructure 845,203 843,720 883,325 39,605 4.69%
Shared Services and Support 4,179,216 4,170,686 4,243,703 73,017 6.24%|
Information Services —[ 1,520,416 4,665,653 4,729,144 63,491 3.81%|

The Operations Support appropriation provides overall planning, direction, and support for the IRS.
Operations Support funding is provided within the following budget activities:

Infrastructure:

+» Provides administrative services related to space and housing, rent and space alterations, building
services, maintenance, guard services, and non-Automated Data Processing (ADP) equipment

Shared Services and Support:

+ Provides policy and management of IRS-wide research, strategic plan'
finance, human resources, and equal employment opportunity and div

+ Funds printing and postage, business systems planning, security,
procurement, and specific employee benefits programs

ning, communications and liaison,
ersity services and programs
corporate training, legal services,

Information Services:

+ Funds staffing, equipment, and related costs to manage, maintain, and operate information systems
critical to the support of tax administration programs

22


The Office of Terrorism and Financial Intelligence (TFD

Overview:

Treasury’s Office of Terrorism and Financial Intelligence (TFI) was created in September 2004
to safeguard the financial system against illicit use and combat threats to U.S. national security.
TFI plays an important role within the U.S. government on a wide range of national security

issues, including counter-terrorism, counter-proliferation, and U.S. policy toward countriés such ~~

as Iran, Syria, North Korea, Sudan, and Burma, among others. TFI looks at these issues with the
understanding that certain asymmetric threats may not be susceptible to traditional pressure or
deterrence but can be materially affected by targeting and disrupting their financial support lines.

Components of TFI:

Office of Terrorist Financing and Financial Crimes (TFFQ

As the policy development and outreach office for TFI, the Office of Terrorist Financing and
Financial Crimes (TFFC) develops policies, initiatives and strategies to combat money
laundering, terrorist financing, WMD proliferation, and other criminal and illicit activities both
at home and abroad. TFFC works with the U.S. national security community, foreign
governments, multilateral organizations, and the private sector.

Office of Intelligence and Analysis (OIA)
The Intelligence Authorization Act of Fiscal Year 2004 statutorily created the Office of

Intelligence and Analysis (OIA), which is responsible for the receipt, analysis, collation, and
dissemination of intelligence related to the operation and responsibilities of the Treasury
Department. OIA provides expert analysis and intelligence production on financial and other
support networks for key national security threats. OIA also is responsible for protecting the
personnel, programs, and information of the Treasury Department from information security and

counterintelligence threats.

The Office of Foreign Assets Control (OFAC)

The Office of Foreign Assets Control (OFAC) administers and enforces economic and trade
sanctions based on U.S. foreign policy and national security goals against specific foreign
countries and regimes, terrorists, weapons proliferators, and international narcotics traffickers,
and other threats to the national security, foreign policy, or economy of the United States.
OFAC acts under Presidential national emergency powers, as well as authority granted by
specific legislation, to impose controls on transactions and freeze assets under U.S. jurisdiction.

Financial Crimes Enforcement Network (FinCEN)

The mission of the Financial Crimes Enforcement Network, known as FinCEN, is to enhance
US. national security, deter and detect criminal activity, and safeguard financial systems from
abuse by promoting transparency in the U.S. and international financial systems. As the
administrator of the Bank Secrecy Act (BSA), FinCEN regulates the financial industry for anti-
money laundering/counterterrorist (AML/CFT) financing purposes, and collects, analyzes, and
disseminates financial data in support of criminal, tax, regulatory, and counterterrorism
investigations. As a bureau, FinCEN will also submit a separate briefing paper.


The AGC (B&F) supervises the Chief Counsels of the Bureau of the Public Debt and the
Financial Management Service and the Legal Counsels to the CDFI Fund and the
Terrorism Risk Insurance Program. The new Chief Counsel for the recently established
Office of Financial Stability will also report to the AGC (B&F).

Enforcement & Intelligence

The Assistant General Counsel for Enforcement and Intelligence (E&I) principally advises the
Under Secretary for Terrorism and Financial Intelligence. The AGC (E&I) provides legal advice
relating to a wide range of issues impacting the Department's enforcement and intelligence
functions, including matters focused on safeguarding the financial system against illicit use and
combating rogue nations, terrorists, the proliferation of weapons of mass destruction, money
laundering, narcotics kingpins, and other national security threats.

© The AGC (E&I) supervises the Chief Counsels of the Financial Crimes Enforcement
Network and the Office of Foreign Assets Control and the Legal Counsel for the Treasury

Executive Office for Asset Forfeiture.

General Law, Ethics, and Regulation

The Assistant General Counsel for General Law, Ethics, and Regulation (GLER) is responsible
for managing a wide array of legal issues, including ethics, government contracts, privacy law,
equal employment opportunity and personnel law, human resources, appropriations, fiscal,
procurement, information, significant litigation, and other matters.

The AGC (GLER) supervises the Chief Counsels of the U.S. Mint, the Alcohol and

.
Tobacco Tax and Trade Bureau, and the Bureau of Engraving and Printing.

International Affairs

The Assistant General Counsel for International Affairs (1A) principally advises the Under
Secretary for International Affairs. The AGC (IA) provides legal advice regarding a broad range
of international economic and financial matters, including matters involving sovereign and third
world debt, the International Monetary Fund, the World Bank and other international financial
institutions, international trade and trade in financial services, inward and outward foreign
investment, including the Committee on Foreign Investment in the United States (CFIUS),
bilateral investment treaties, energy, environment and climate change, and international banking

and securities.
International Legal Regimes Counselor

The Counselor to the General Counsel for International Legal Regimes develops and coordinates
the Legal Division’s approach to international law. This position, created in 2008, researches the


——————————————————_—

Transition Benefits — Quick Facts
Civil Service. Retirement System (CSRS) & Federal Employees. Retirement System (FERS)

Years of Service

Age & Service Requirements
Immediate Retirement

CSRS Optional Retirement (Voluntary)

ee

FERS Optional Retirement (Voluntary)

EE
CSRS and FERS J
Discontinued Service Retirement (Involuntary)

FERS Minimum Retirement Age (MRA) is age 55 to age 57, depending upon your year of birth. The full
MRA table is available at http://www.o) m_gov/retire/html/faqs/faq1 Lasp.

CSRS “1 out of 2” Requirement — You must be covered by CSRS for at least 1 year within the 2-year period
immediately before the separation on which your annuity is based. The 1 year of service does not have to be
continuous.

Discontinued service retirement (DSR) is an early retirement option for employees who are involuntarily
separated. You may qualify for DSR if you are involuntarily separated due to a change in agency leadership or
as a result of the transition to anew Presidential administration. In some cases, a resignation will qualify as an
involuntary separation for DSR eligibility; however, please check with Human Resources before submitting a
resignation. (Please see note regarding resignations under the unemployment compensation section.)

Deferred Retirement -- If you have at least 5 years of civilian service under CSRS or FERS and do not take a
refund of your retirement contributions, you may receive a deferred retirement benefit at age 62. Also under
FERS, you may receive a deferred annuity when you reach your MRA if you have at least 10 years of creditable
service or at age 60 if you have at least 20 years of creditable service.

Applying for a Refund of Your Retirement Contributions -- If you are not eligible for an immediate
retirement benefit, you may apply for a refund of your retirement contributions. If you are under CSRS, the
service covered by the refund may be creditable towards retirement benefits if you return to Government
service. If you are under FERS, receipt of the refund permanently terminates the right to use the service
covered by the refund for retirement benefits under any circumstances.

Federal Employees. Health Benefits (FEHB)

If you retire on an immediate annuity, you can continue your FEHB coverage if you have been enrolled or
covered as 4 family member for at least the last five years of service or since your first opportunity to enroll.
After retirement, you pay the same share of FEHB premiums, but cannot pay premiums on a pre-tax basis.

If you do not meet the requirements for continuing coverage into retirement, your FEHB coverage will continue
for 31-days, at no cost. After the 31-day extension of coverage, you can:

e continue FEHB coverage for up to 18 months by enrolling in Temporary Continuation of Coverage
(TCC) and paying both the employee and the Government share of costs plus a 2% administration fee (rates
ij w.opmn.gov/insure/08/guides!70-05/)

available at: http:
«convert to an individual (non-group) contract with your current FEHB carrier at the time of separation or
after your TCC coverage ends.



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Office of International Affairs

Overview:

Treasury's Office of International Affairs (1A) protects and supports economic prosperity at
home by encouraging financial stability and sound economic policies abroad. In order to
advance this mission IA has focused on six policy priorities over the past year:

1) Market reform in China

2) Enhancing inbound and outbound investment policy
3) Responding to the changing economic landscape

4) Reforming the international financial institutions

5) Supporting economic liberalization and development
6) Adopting an environment and energy agenda

7) Improving JA’s management capabilities.

In addition to our priorities IA also leads and/or participates in negotiations to reduce barriers to
international trade and finance, oversees USS. participation in the TMF and the multilateral
development banks, including the World Bank, coordinates U.S. participation in the G-7 and G-
20, the Financial Stability Forum (FSF), the Paris Club, and chairs the interagency process for
the Committee on Foreign Investment in the United States (CFIUS).

Immediate Hires:

1A currently has 174 professional and administrative staff. In terms of immediate political
appointees that will need to be made, IA has an Under Secretary, and two Assistant Secretaries
that require Presidential appointment and Senate confirmation, as well as two/three Deputy
‘Assistant Secretaries who are traditionally politically appointed.

Financial Market Turmoil:
1) International Outreach: IA is responsible for communicating U.S. market actions to

our Finance Ministry counterparts around the world — particularly Europe ~ and
developed a coordinated global response by working through the G-7 and G-20 process.

2) Emerging Markets: IA has been tracking, monitoring, and developing policy responses
to emerging market countries that have been affected by the market volatility. IA takes
the lead for the USG in coordinating our response with the International Financial
Institutions (IFIs).

3) TARP Engagement: JA is a member of the TARP Team and our Banking Office has
provided advice on various aspects of TARP implementation, particularly related to the
participation of foreign-based institutions.

4) Global Financial Crisis Response: 1A is exploring ideas to strengthen the coordination
between the FSF, the IMF, and various standard setting bodies (e.g., international fora for
banking, securities, and insurance supervisors) as a response to calls for a global
regulatory body and new global financial architecture. The Financial Stability Forum,


President's

Annual Discretionary Appropriations Enacted Enacted Budget $Change %Change
Operating Accounts 11,626,074 12,009,090 42,470,724 461,634 3.8%
Intemational Accounts 1,357,369 1,327,579 2,241,305 913,726 68.8%
Sub-Total Discretionary Accounts $12,983,443 $13,336,669 $14,742,029 $1,375,360 10.3%)

Other Treasury Accounts Actual Estimated Estimated $Change %Change
Interest Payments 437,902,000 467,440,000 495,419,000 27,979,000 6.0%
Permanent Authority Appropriations and Trust Funds 59,891,000 61,330,000 63,539,000 2,209,000 3.6%
Offsetting Collections (16,676,000) (18,275,000) (24 458,000) (3,183,000) 17.4%
Sub-Total Other Treasury Accounts $481,117,000 $10,495,000 $537,500,000 _ $27,005,000 5.3%)

Total Funding Levels $494,100,443 _ $523,831,669 $552,212,029 __ $28,380,360 5.4%|

Non-Appropriated Treasury Acco unts Actual Estimated Estimated $Change % Change
Operating Accounts 3,241,141 3,700,926 3,747,826 46,900 1.3%
Total Non-Appropriated Accounts $3,241,141 $3,700,926 $3,747,826 $46,900 41.3%

Centralized Services Accounts Actual Estimated Estimated $Change %Change

Working Capital 287,931 265,133 265,783 650 0.2%

Treasury Franchise Fund 437,902 467,440 495,419 27,979 6.0%
Total Centralized Services Accounts $695,833 $732,573 $761,202 $28,629 3.3%)



The Deputy TLC < Regulation) is Jeffrey Van Hov: joined this Office in 2008

Previously, he was a partner of Perkins Coie (Portland) and of Willkie Farr & Gallagher (N

He is a graduate of New York University (LL.M. 1999), Columbia Law School (J.D. 1994), and
Yale College (B.A. 1



DEPARTMENT OF THE TREASURY
WASHINGTON, D.C.

August 22, 2008
ASSISTANT SECRETARY

The Honorable Edolphus Towns

Chairman

Subcommittee on Government Management,
Organization, and Procurement

Committee on Oversight and Government Reform

USS. House of Representatives

Washington, DC 20515-6143

Dear Mr. Chairman:

During Secretary Paulson’s tenure with the Department of the Treasury, he has made
effective management a key pillar of his tenure. The Secretary has instituted
management reforms at the Department that not only improve effectiveness and
efficiency, but alse provide flexibility that allows the Department to be responsive to
world events and capital market challenges. The Secretary considers the upcoming
transition to be of the utmost importance and is committed to providing the new
Administration with a seamless transition.

In response to your first question, Secretary Paulson has appointed Jim Wilkinson, Chief
of Staff to the Secretary, to lead the transition effort at the Department of the Treasury.
Mr. Wilkinson has significant transition experience, having personally participated in
other Cabinet transitions. His partners in this endeavor are Peter McCarthy, Assistant
Secretary for Management and Chief Financial Officer, and Ken Carfine, Fiscal Assistant
Secretary. Mr. McCarthy brings many years of experience that will benefit our
preparation as well as having accomplished many management reforms, along with his
team, during his tenure at the Department. Mr. Carfine is a highly respected Treasury
career senior official bringing 35 years of Department experience to the effort and
rounding out Treasury's integrated approach to the presidential transition.

Regarding Treasury’s preparations for briefing the incoming administration, the

Department will prepare comprehensive briefing materials on the Department’s basic
organization, mission and performance goals, and key personnel. The Department will
also identify and summarize the policy, jnternal management, legal, and infrastructure
issues that require immediate attention by the new ‘Administration officials. These
materials are expected to be completed by November 1, 2008. In order to facilitate the
on-boarding of new employees ina timely and orderly fashion, the Department will
provide work tools, new employee briefings, badges, computers, blackberries, parking,
work spaces, access to secure areas, ethics briefings, etc The Department expects to
have these work tools and orientation vehicles ready for implementation by January 20.
2009.



From: Dick, Denise (b) (5)

Sent: Tuesday, September 30, 2008 2:32 PM
To: Alix, Cathy
Subject: . Transition

oe



The Legal Division also plays a critical role in CFIUS cases. Early in the tenure of the new
administration, senior policy officials (including the Genera! Counsel, the AGC (IA), and the
AGC (E&I)) can expect to be asked to consider and provide their views on the national security
implications of foreign investments in U.S. companies. Such national security reviews are
conducted under tight statutory time frames, require by statute personal consideration by officials
at the Assistant Secretary, Undersecretary, Deputy Secretary, or Secretary level depending on the
nature of the transaction, and occasionally attract significant congressional and/or public interest.

International Tax Treaties

Various tax treaties are being prepared for review and signature, such as those with New
Zealand, France, Hungary, and Italy. After preparation and review by the Legal Division, the

Secretary (or Deputy Secretary) will be the signatory.
Treasury Executive Office for Asset Forfeiture (TEOAF) Seized Asset Contract

The AGC (GLER) works closely with TEOAF and the Procurement Services Division (PSD) in
support of an over $105 million (with a potential future value of over $175 million) contract for
nationwide services for the receipt, possession, custody, management, and disposition of seized,
blocked, and forfeited personal property. A full-time attorney is working to realign the current
contract. Later this year or early next year, the Legal Division will also begin working with the
PSD and TEOAF to re-compete PSD’s current contract for nationwide services for the receipt,
custody, management, and disposition of seized and forfeited real property.

ADMINISTRATIVE NOTES

The Treasury Legal Division is unique in the Departmental] Offices in that it maintains a separate
budget from the rest of the offices. This places an emphasis on carefully managing Legal
Division resources as there is less of an ability to share resources with other components of DO.

The Legal Division has been engaged in several strategic planning initiatives to evaluate staffing
and resource allocation to meet the evolving legal needs of the Department. Budget allocation
and space planning have been critical pieces of this process, and will continue to present
challenges that the Division will encounter over the coming years.

SUMMARY

The Treasury Legal Division is one of the premier government legal organizations, recognized as
such by our clients, the government legal community, and public stakeholders. The Division has
worked diligently to foster leadership in our legal and policy fields, excellence in our lawyering,
proactive approaches to legal problems, and development of our lawyers and professionals. I
know that you will continue this proud tradition.


organizations such as the Organisation for Economic Cooperation and Development. The office
has a Deputy International Tax Counsel, an Associate International Tax Counsel, a Senior
Counsel, four attorney-advisors, a taxation specialist, and two administrative assistants, all of
whom report directly to the International Tax Counsel. An additional Deputy International Tax

Counsel position is currently vacant.

Key Biographies. John Harrington is the International Tax Counsel. Prior to joining the

_____ Treasury Department in 2001, he was a Tax Counsel on the Ways and Means Committee staff

for 11 years. He graduated with high honors from the University of Florida witha B-S-in ——
Psychology (1 984) and received a J.D. from the Columbia University School of Law (1987). He

worked as an associate at the Washington law firm of Steptoe and Johnson from 1987 to 1990.

Gretchen Sierra is the Deputy International Tax Counsel. Prior to joining the Treasury
Department in 2005, she was a Legislation Counsel on the Joint Committee on Taxation staff for
2 years and an associate at Skadden, Arps, Meagher and Flom, LLP. She graduated with honors
and distinction from the University of lowa with a B.A. in Comparative Literature (1994) and
received a J.D. with high distinction from the University of Iowa College of Law (1999).

Critical Issues.


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PETER WELCH, VERMONT www.oversight house.gov

May 12, 2008

The Honorable Henry Paulson
Secretary of Treasury

1500 Pennsylvania Avenue NW
Washington, DC 20220

Dear Secretary Paulson:

The Subcommittee on Government Management, Organization and
Procurement has jurisdiction over the Presidential Transition Act and is
conducting oversight of the preparations for the upcoming transition. As you
know, to prepare for this year’s upcoming presidential transition, agencies must
appoint officials to be responsible for the agencies” continued performance,
including the performance of national essential functions in the event ofa
catastrophic emergency. Under the Presidential Transition Act, these officials
should also be prepared to brief the incoming Administration on current problems
and challenges as well as effective strategies for governance.

Accordingly, the Subcommittee requests information on the Department
of Treasury’s plans for interim operations during the presidential transition.
ically, we request answers to the following questions:

Have officials been designated to lead Treasury and each of its bureaus
and offices during the transition? If so, please name these officials. If not,
please describe your plan and timetable for designating such officials.

How is Treasury preparing to brief the incoming Administration?

3) How is the planning for the upcoming transition integrated with
Treasury's existing continuity of operations planning (COOP)?



Alix, Cathy
— — — — ——
From: McCarthy, Peter
Sent: Friday, June 20, 2008 1:52 PM
To: Wilkinson, Jim
Ce: Alix, Cathy
Subject: FW: Transition Meeting Attendance

Jim--
You asked for recommendations for the initial transition meeting. Here's our list.

Pete

From: Alix, Cathy
Sent: Friday, June 20, 2008 1:51 PM
To: McCarthy, Peter

Subject: ‘Transition Meeting Attendance

OxG)

Cathy D. Alix

Senior Advisor fo the Assistant Secretary for
Management/Chief Financial Officer

Department of the Treasury

Main Treasury

Phone: 202.622.1030



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(TTB)

Alcohol & Tobacco Tax and Trade Bureau

—— anne

FY 2007 FY 2008 FY 2009
Enacted Enacted | President's Increase! Percent
Appropriation Budget Decrease Change
Salaries and Expenses $90,618 $93,515 $96,900 $3,385 3.6%
Collect the Revenue 46,215 47,693) 49,420 4,727 3.6%
Protect the Public 44,403 45,822 47,480 4,658 3.6%

funding is provided within the following budget activities:

Collect the Revenue
Protect the Public

+ Conducts investigations, application reviews, laboratory te:

TTB administers the Federal A\cohol Administration Act and enforces the secti
Code associated with the collection of excise taxes on alcohol, tobacco, firearm

+ Ensures the effective and efficient collection of excise tax revenue a
industries, and eliminates or prevent tax evasion and other criminal conduct

ing, and education programs

ions of the Internal Revenue
5 and ammunition. TTB

pplicable to the alcohol and tobacco

+ Ensures the integrity of products in the marketplace and industry compliance with laws and regulations,
and provides information to the public as a means to prevent consumer deception


+ Promotes sound acquisition planning through customer outreach and
education, as well as interlock with rest of management platform (OFM,
OGC, and technical representatives from DO offices.)

+  Obligates the government in accordance with the Federal Acquisition
Regulation and the Department of the Treasury Acquisition Regulation and
Policies.

+ Performs contract management to ensure delivery of supplies and services.

Major Accomplishments
« High Impact Acquisition Control Model: Developed and deployed model in FY06 to

focus on:
+ Getting current IT Issues off the Congressional Watch List;

+ Preventing new IT Investments (contracts) from getting on the Watch List;
+ Improving acquisition planning and management, and
+ Ensuring appropriate staffing.
¢ Strategic Sourcing: OPE stood up and managed one of the best strategic sourcing
programs in government, with real savings and improved ability to meet socio-
economic goals for the Department.
+ The Department was also a co-founder with GSA and OMB of a government-
wide Federal Strategic Sourcing Initiative (F 'SSI) to leverage federal spending.
+ Working with the Treasury Acquisition Institute, the Department established a
three course strategic sourcing offering, unique in the federal government.
e Procurement Metrics. OPE has developed a comprehensive suite of Department-wide
metrics and indicators to measure procurement maturity and continuous
improvement.


Office of Legislative Affairs

Overview:

Overview:

Treasury’s Office of Legislative Affairs (OLA) advances the President’s and Secretary’s
legislative initiatives and other interests before the Congress. OLA articulates the
Administration’ s and Department’s position on legislation proposed by Congress, communicates
congressional priorities and concerns to Treasury officials, facilitates the appearance of

Department witnesses at congressional hearings, and manages the interagency Cicarance Process
led by OMB. OLA coordinates the Department's responses to congressional committee
oversight requests and other inquiries from individual Members and congressional staff. OLA
also manages the process of gaining confirmation by the Senate for the Department’s
Presidential appointees (PAS positions) including the Secretary, Deputy Secretary, Under
Secretaries; General Counsel, Assistant Secretaries, the Commissioner of the Internal Revenue
Service, the Director of the U.S. Mint, and the Treasurer.

Organization:

OLA is aligned with the major policy offices of Main Treasury, with five deputy assistant
secretaries who manage specific policy and program areas, working closely with their relevant
Under/Assistant Secretaries. The Assistant Secretary heads the office and is assisted in
managing the office and nominations by a Deputy to the Assistant Secretary.
Current positions within OLA are as follows:

1) Deputy Assistant Secretary (Tax and Budget)

2) Deputy Assistant Secretary (International)

3) Deputy Assistant Secretary (Banking and Finance)

4) Deputy Assistant Secretary (Appropriations and Management)

5) Deputy Assistant Secretary (Terrorism and Financial Intelligence)

6) Deputy to the Assistant Secretary (Nominations)

7) Special Assistant to the Assistant Secretary

8) Special Assistant (Tax and Budget)

9) Special Assistant (International)

10) Special Assistant (Banking and Finance)

11) Special Advisor (Economic Policy)

12) Office Manager

13) Legislative Correspondence

14) Legislative Research

15) Administrative Assistant

Each Treasury bureau has congressional relations offices which coordinate with Treasury OLA

as necessary.

Operating Budget

For October | through March 6, 2009, the Office of Legislative Affairs budget totals $820,873,
including $805,110 for salary and $15,763 for non-salary expenses.


Bureaus



The Executive Secretariat

OVERVIEW:
The Executive Secretariat (“ExecSec”) coordinates department-wide review and analysis of

policy initiatives, regulations, testimony, correspondence, memoranda, reports and briefing
materials for the Secretary and Deputy Secretary. ExecSec is also responsible for the
conveyance of papers and communications between other Executive Secretary Offices in the
federal government. The Process and Correspondence Units operate under detailed SOPs.

ORGANIZATION:
Executive Secretary: Ensures that the Secretary, the Deputy Secretary, and Chief of Staff receive

all necessary information in a timely manner and that all paper materials are consistently high
quality and accurate and that they reflect the Secretary and Deputy Secretary’s policy objectives
while fully utilizing the policy expertise within the Department’s offices and bureaus. In
addition, the Executive Secretary promulgates rules and regulations.

ExecSec is divided into three sections each reporting to the Executive Secretary.

Deputy Executive Secretaries: Consists of two Deputy Executive Secretaries (DES). Each DES
provides policy advice and guidance to key staff, and reviews, analyzes and evaluates materials
drafted for the Secretary and Deputy Secretary within an assigned portfolio and after close
consultation with the Executive Secretary and Chief of Staff.

Executive Secretariat Process Unit (ESPU): Consists of three Special Assistants. ESPU
manages the preparation and delivery of all briefing and action memoranda required by the
Secretary and Deputy Secretary by tasking and reviewing all documents, and compiling and
delivering daily, trip and Congressional hearing briefing books.

Executive Secretariat Correspondence Unit ( “Correspondence”): Consists of five
administrative specialists working under an Office Director. Correspondence maintains the
central files (both physical and electronic) for the Secretary, Deputy Secretary and the Executive
Secretariat. Correspondence processes all incoming mail/correspondence for the Secretary and
Deputy Secretary and, as required, coordinates for the timely response from the appropriate

Treasury office.

Legislation and Legislative Review (“LLR”): Consists of one Special Assistant. LLR
coordinates with OMB for interagency review of all Treasury-drafted materials transmitted to
Congress. LLR also coordinates Treasury clearance of similar materials from other agencies.

DAILY OPERATIONS:

e ExecSec meets as a team twice daily (usually 8:00 a.m. and 3:00 p.m.) to review
correspondence, coordinate the daily briefing requirements, and discuss key policy and
process issues. Following the morning meeting, ESPU sends a “Daily Briefing List” email to
key personnel that outlines the materials due that day and in the upcoming week.


( TREASURY DEPARTMENT
POC — 1-800-344-4497

The Treasury Department Federal

FEDERAL CREDIT UNION

w.tdfcu.org or call 1-800-344-4497.

CO BUSINESS CARDS

POC ~ Barry Stevens, 622- 2123

Business cards may be ordere:
http://www. recgov.org/treasury.

is located in the basement level of Main Treasury.

£L PRINTING DIVISION

1 Credit Union is located in the Treasury Annex. For more information or to join you can visit

d through the Treasury Department Recreation Association (TDRA). To order business cards visit
_ TDRA also operates a store of Treasury Department logo items where members receive discounts. It

POC ~ Printing Division, 622-1438

The Printing Division is locate

(GRAPHICS DIVISION
POC - Graphics Division, 62

12-2160

din the Treasury Annex, Room SB-12.

The Graphics Division has the ability to produce flyers, brochures, color copies or photographs. They are located in the Treasury

Annex Room B-39.

© PHOTOGRAPHIC SERVICES

POC ~ Chris Taylor 622-262

The Treasury photographer can assist with photographing event:

photographer Chris Taylor at

1

s for the Secretary or Treasury Senior Staff. Please contact

622-2621 or e-mail chris.taylor@do.treas.zov to schedule an appointment.

1 CLEARING VISITORS INTO MAIN TREASURY

POC — USSS, 962-6720
Full name, date of birth and s

ocial security number are needed

to clear a visitor into the building. The visitor’s information is

submitted via the Treasury intranet at http://home.do.treas.gov/appointments/. Only individuals with a permanent Treasury badge are

allowed to clear in visitors.

PARKING/METRO CHECKS
POC — Administrative Contact/Veris Bailey, 622-6333
‘fic number of parking spots. Contact your administrative contact to find out if you are eligible. Treasury

the Metro Benefit Program. Contact Veris Baley for more information on the program.

Each office is allotted a speci
employees may participate in

© SUPPLIES
POC —Administrative Contac!

To obtain office supplies, please contact your

(0 DOCUMENTS & RECORDS

t

POC — Office of Records Management, 622-0790
appointees in senior leadership positions) to understand which documents and records can be taken with

Records Management for more information.

It is important (especially for
you upon departure. Contact

administrative contact.


Paulson Gears Up Transition Plan - WSJ.com

has already begun buying equity stakes in banks, the $250 billion program will
continue taking applications for 10 days after the election. Treasury has yet to
determine which financial assets to buy and who to buy them from. Given that
Treasury has authority to buy almost any financial instrument — including
residential mortgages, car loans and mortgage-backed securities — a new
administration may want to exert its own influence.

Aspokesman for the Obama campaign declined to comment. The McCain
campaign didn't respond to requests for comments.

While every administration prepares for a hand-off in power, Treasury's efforts

are moving at a faster pace than normal. The agency already has office space set
aside, as well as phone and Internet connections in place. Treasury officials say

they are operating under the assumption that they need to be ready by

Wednesday.

Most observers expect the next president to quickly tap a Treasury secretary,
given the country’s fragile economic state and the thicket of financial issues
facing the next administration. In the past, most Treasury secretaries were
picked in December and confirmed in February.

Sen. Obama's possible picks include former Clinton Treasury Secretary Lawrence
Summers, Federal Reserve Bank of New York President Timothy Geithner and
former Fed Chairman Paul Volker. Sen. McCain has mentioned both former
eBay Inc. Chief Executive Officer Meg Whitman and Cisco Systems Inc. CEO
John Chambers as possibilities. Other possibilities include World Bank President
Robert Zoellick, Merrill Lynch & Co. CEO John Thain and John Taylor, a
Stanford University economist and McCain economic adviser.

Treasury's briefing books include detailed information on topics as varied as the
government takeover of Fannie Mae and Freddie Mac, its foreclosure prevention
efforts and its rescue program. The transition efforts are being spearheaded by
Jim Wilkinson, Mr. Paulson's chief of staff, who has overseen four presidential
and cabinet-level transitions; Kenneth Carfine, Treasury's fiscal assistant
secretary and a 35-year veteran of the department; and Peter McCarthy, assistant

secretary for management.

One of the first topics the team plans to brief the incoming administration about
is personnel decisions. Aside from picking a Treasury secretary, the new
president will need to fill such key slots as the undersecretary for domestic
finance and an assistant secretary to oversee the rescue plan. Both posts require
Senate confirmation, though nominees can work at Treasury in an advisory role
until they're confirmed.

http://online.wsj.com/article/SB122541580743786687.html

Page 2 of 3

11/4/2008


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Mandatory Accounts

ance
- —_— -

+ In addition to annual appropriations, Treasury manages over $500 billion in mandatory
accounts:

Permanent indefinite funds for interest payments needed:
* to finance the public debt
* by the IRS on refunds of taxes
* on special accounts handled through Treasury

Special accounts for which Congress has given the Department permanent authority to expend
funds as appropriations, such as:

+ payments when eared income, child care and health care credits exceed tax liability,
* payments to the Resolution Funding Corporation
* reimbursements to Federal Reserve Banks.

Offsetting Collections including receipts from other government agencies and private sources,
subtracted from the total Treasury budget as an offset.

Offsetting Collections

President's increase/

(Dollars in M Enacted Enacted Budget Decrease Change
Interest Payments 437,902 467,440 495,419 27,979 6.0%
Trust Funds and Other Funds 1,993 1,539 1,538 (1) 0.1%
Permanent Authority Appropriations 57,898 §9,791 62,001 2,210 3.7%

(16,676) (18,275) (24,458) (3,183) 17.4%



Office of Terrorism and
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U.S. Department of the
Treasury

Transition Briefing Materials


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Inspector General for Tax Administration
(TIGTA)

cv FY 2007 | FY 2008 FY 2009
Enacted Enacted | President's Increase! Percent
Appropriation Budget Decrease Change
Salaries and Expenses $132,861 $140,533 $145,736) $5,203 3.7%
Audit 50,260 52,959 55,055 2,096) 4.0%
investigations 82,601 87,574 90,681 3,107 3.5%

TIGTA promotes economy, efficiency, and integrity within the IRS, concentrating on improving the integrity of
IRS operations by deterring fraud, waste, and abuse or misconduct by IRS employees. TIGTA also addresses

risk through modernization of operations, the tax gap, and enforcement issues. TIGTA funding is provided
through the following budget activities:

Audits
+ Provides comprehensive coverage and oversight of IRS daily operations, with a focus on economy,
efficiency, and protection of the taxpayers’ rights
+ Provides recommendations for:
-- Cost savings and increased or protected revenue
_- Reduction of taxpayer burden
_- Protection of taxpayer rights and entitlements, taxpayer privacy and security
-- Protection of IRS resources
Investigations
+ Investigates all allegations of criminal violations and misconduct involving the IRS in three core areas
designed to protect integrity:
-- Employee integrity
- Employee and Infrastructure Security
-- External Attempts to Corrupt Tax Administration

26


functions from a processing-centric capability to a strategy-centric capability,
enabling staff to focus on strategic and cor mission functions.



Appropriated Accounts

en en en —

Annual discretionary accounts are funded through the appropriations
from two congressional subcommittees:

+ Financial Services and General Government subcommittee provides
operating appropriations for nine of the 12 Treasury bureaus

* 14 accounts fund the bureau salaries, expenses and IT investments

+ Each account has several budget activities for funding bureau responsib ities

President's Increase/ “Percent

(Dollars in Thousands) Enacted Enacted Budget Decrease Change
Alcohol and Tobacco Tax and Trade Bureau 90,618 93,515 96,900 3,385 3.6%
Bureau of the Public Debt 178,854 182,871 187,054 4,183 2.3%
Community Development Financial Institutions Fund 54,506 94,000 28,620 (65,380) 69.6%
Departmental Offices 246,616 267,070 300,870 33,800 12.7%
Salaries and Expenses 216,348 248,360 273,895 25,535 10.3%
Department-wide Systems & Capital Investment Program 30,268 18,710 26,975 8,265 44.2%
Financial Crimes Enforcement Network 73,216 85,844 91,335 5,491 6.4%
Financial Management Service 235,381 234,423 239,344 4,921 2.1%
internal Revenue Service 40,597,065 10,892,384 11,361,509 469,125 43%
Taxpayer Services 2, 138,238 2,150,000 2,150,000 co) 0.0%
Enforcement 4,686,477 4,780,000 5,117,267 337,267 7.1%
Operations Support 3,544,835 3,680,059 3,856,172 176,113 4.8%
Business Systems Modemization 212,659 267,090 222,664 (44,426) -16.6%
Health Insurance Tax Credit Administration 14,856 15,235 15,406 171 1.1%

Office of Inspector General 16,957 18,450 19,356 906 49%

132,864 3



CHECKLIST FOR ARRIVING APPOINTEES AND HELPFUL INFORMATION

a FOR ARRIVAL
HUMAN RESOURCES

POC — Vernetta Wilkins, 622-1069

Human Resource is the point of contact for leave, retirement, insurance, health benefits, thrift savings plan, etc. An HR Contact will

meet with each incoming appointee to review and sign HR benefit forms.

O Ernics

POC - Bernie Knight, 622-1137
ine-ethics briefing is required. The ethics attorney will brief you on financial disclosure paperwork such as the Standard

E
Form 278 and the Hatch Act.

0 BADGE
POC ~ United States Secret Service, 622-1112
The USSS will contact you after your arrival to schedule a time for a badge photo. The process to obtain a badge usually takes a week

Cl EQUIPMENT
POC — Your Division’s Administrative Contact
The Management Division will work with your Administrative Contact in obtaining equipment such as computers and desk phones.

laptops, blackberries, cell phones, keys, parking permits, access badges, travel credit card, etc.

OQ SECURITY

POC - Larry Marlow, 622-1837
Appointees needing to acquire a security clearance need to contact Treasury’s Special Security Officer.

or

POC - DO IT Service Desk, 622-1111
For all 1T, computer or blackberry related issues, you can call the DO IT Service Desk at 622-1111 or email help.desk@do.treas.gov

Quon SERVICES
POC - Building Services Help Desk, 622-1350
For all building services, such as moving, repairs, and framing, contact the Building Services Help Desk at 622-1350 or email

FacilitiesServiceDesk@do.treas.gov.
HELPFUL INFORMATION

0 ENTRY INTO MAIN TREASURY
Pennsylvania Avenue Entrance ~ 6:45 am ~ 6:30 pm (Monday — Friday)

Alexander Hamilton Place Entrance — 24-hour access for Treasury permanent badge holders

For additional information and entry locations, please visit the Treasury internet at http://home.do..treas. gov/facilities/MTentrance.asp

OGym
The Treasury Gym is located in the basement of Main Treasury. Open 24 hours a day. Locker rooms with towel service are available.

The woman’s locker room is accessible only by key code. Please contact 622-2358 to receive the code.

O VAULT CAFETERIA
The Vault Cafeteria is located on the first floor of Main Treasury. Breakfast is served from 7:00am- 9:00am, lunch is served from

11:00am- 2:30pm, and the coffee shop is open until 4:00pm.

C1 TREASURY DINING ROOM

POC ~ Ador Carreon, 622-2065
The Treasury Dining Room is available for Deputy Assistant Secretaries and above including Bureau Heads and equivalent levels.

Please contact the Treasury Dining Room for an application. The Treasury Dining Room is located on thi 24 FI, f Mai
and serves breakfast and lunch from 8:00am - 2:00pm. ¢ 2" floor of Main Treasury

0 Mai RooM
\C — Mail Room, 622-1650
eroffice scheduled mail deliveries and pickups for Main Treasury are 9:00am, 11:30am, 1:30pm and 3:00pm daily. Outgoing mail

for USPS is sorted and processed for pickup by 3:45pm daily. Special mail (red tagged items) is delivered to outside agencies etc.
twice daily at 10:00am and 3:00pm with priority given to the Secretary, Deputy Secretary and Undersecretaries offices. For
messenger services to outside agencies please contact Preston Dyson and Maurice Miller at 622-1650.


The Committee on Oversight and Government Reform is the principal
oversight committee in the House of Representatives and has broad oversight
jurisdiction as set forth in House rule X. If you have any questions, please contact
Bill Jusino of the Subcommittee staff at (202) 225-3741.

Sincerel;

Edolphus Towns

Chairman

Subcommittee on Government Management,
Organization, and Procurement

ce: Rep. Brian Bilbray
Ranking Minority Member



CHECKLIST FOR ARRIVING APPOINTEES AND HELPFUL INFORMATION

CHECKLIST FOR ARRIVAL

(HUMAN RESOURCES
POC - Vernetta Wilkins, 622-1069 (Vernetta will schedule a specific time for you to meet with a HR Specialist)

Human Resources is the point of contact for leave, retirement, insurance, health benefits, thrift savings plan, etc. The HR office has a
comprehensive package which contains related forms and detailed information to simplify your arrival process.

O Eruics
POC — Bernie Knight, 622-1137
An incoming ethics briefing is suggested. The ethic attorney will brief you on financial disclosure paperwork (such as a final SF 278)

and the Hatch Act.

C1) BADGE
POC - United States Secret Service, 622-1112
The USSS will contact you after your arrival to schedule a time for a badge photo. The process to obtain a badge usually takes a week.

( EQUIPMENT

POC — Your Division's Admin Contact

The Management Division will assist your Administrative Contact in obtaining equipment (such as computers and desk phones),
laptops, blackberries, cell phones, keys, parking permits, access badges, credit cards, etc.

SECURITY
POC - Larry Marlow, 622-1837
Appointees needing to acquire a security clearance need to contact Treasury’s Special Security Officer.

CO DocuMENTS & RECORDS

POC — Office of Records Management, 622-0790

It is important (especially for appointees in senior leadership positions) to understand which documests and records can be taken with
you upon departure. Contact Records Management for more information.

oir
POC ~ DO IT Service Desk, 622-1111
For all IT, Computer or Blackberry related issues you can call the DO IT Service Desk at 622-111.1-or email help.desk@do.treas.gov.

(1 BUILDING SERVICES
POC — Building Services Help Desk, 622-1350
For all building services, such as moving, repairs, framing contact the Building Services Help:‘Desk.at 622-1350 or email

FacilitiesServiceDesk/@do.treas.g0v.

HELPFUL INFORMATION

a GYM
The Treasury Gym is located in the basement of Main Treasury. Open 24 hours a day. Locker rooms with towel service are available.
The woman's locker room is accessible only by key code. Please contact 622-2358 to receive the code,

© VAULT CAFETERIA
The Vault Cafeteria is located is located on the first floor of Main Treasury. Breakfast is served from 7:00am- 9:00am, Lunch is
served from | 1:00am- 2:30pm, and the Coffee shop is open until 4:00pm.

OG TREASURY DINING ROOM

POC — Ador Carreon, 622-2065

The Treasury Dining Room provides exquisite dining experiences for the Secretary of the Treasury, as well as officials at the Deputy
Secretary, Under Secretary, Assistant Secretary, Deputy Assistant Secretary and Bureau Heads, and all equivalent levels, The
Treasury Dining Room is located on the 2" floor of Main Treasury and serves breakfast and lunch from 8am -2pm.

O Malt Room

POC — Mail Room, 622-1650

For all mailing services contact the mail room at 622-1650. Interoffice scheduled mail deliveries and pickups for Main Treasury are
9:00am, 11:30am, 1:30pm and 3:00pm. daily. Outgoing mail for USPS is sorted and processed for pickup by 3:45pm daily. Special
mail (red tagged items) is delivered to outside agencies etc. twice daily at 10:00am and 3:00pm with priority given to the Secretary,
Deputy Secretary and Undersecretaries offices. For messenger services to outside Agencies please contact Preston Dyson and Maurice
Miller at 622-1650.


Office of Thrift Supervision

Overview:

The Office of Thrift Supervision oversees 829 savings associations with approximately $1.51
trillion in assets as of June 30, 2008.

Operating Budget:

The OTS’ budget for FY 2009 is balanced, despite lost assessment revenue from two large thrifts
that closed in 2008 — Washington Mutual and IndyMac Bank. No reduction in staff will be
required as a result of these closures, although there will be a decrease in hiring new examiners.
The examination force will undergo some redistribution to align the workforce with the current

workload.

Personnel:

When OTS was formed in 1989, a large part of staff - and substantially all examiners - were
transferred from the Federal Home Loan Bank system into federal service as Schedule A
employees. As Schedule A employees, these staff are not considered competitive status
employees and cannot be considered for positions in other federal agencies open only to such
candidates. To make these staff eligible for openings for status candidates in other federal
agencies, OTS is investigating options to transfer its existing Schedule A employees to
competitive status service. In addition, the majority of OTS Schedule A employees are covered
by a private pension plan - the Financial Institution Retirement Fund (FIRF) - which is not
transportable to other agencies. Approximately 420 OTS employees are currently covered by

FIRF.

Critical Issues:

cqnica



Office of the
General Counsel



CHECKLIST FOR ARRIVING APPOINTEES AND HELPFUL INFORMATION

CHECKLIST FOR ARRIVAL

1 HUMAN RESOURCES

POC ~ Vernetta Wilkins, 622-1069 (Vernetta will schedule a specific time for you to meet with a HR Specialist)

Human Resources is the point of contact for leave, retirement, insurance, health benefits, thrift savings plan, etc. The HR office has a
comprehensive package which contains related forms and detailed information to simplify your arrival process.

OG ETHICS

POC - Bernie Knight, 622-1137

An incoming ethics briefing is suggested. The ethic attorney will brief you on financial disclosure paperwork (such as a final SF 278)
and the Hatch Act.

OC BabGe
POC — United States Secret Service, 622-1112
The USSS will contact you after your arrival to schedule a time for a badge photo. The process to obtain a badge usually takes a week.

CO EQUIPMENT

POC - Your Division’s Admin Contact

The Management Division will assist your Administrative Contact in obtaining equipment (such as computers and desk phones),
laptops, blackberries, cell phones, keys, parking permits, access badges, credit cards, etc.

O SECURITY
POC — Larry Marlow, 622-1837
Appointees needing to acquire a security clearance need to contact Treasury’s Special Security Officer.

0 DocuMENTS & RECORDS

POC - Office of Records Management, 622-0790

I is important (especially for appointees in senior leadership positions) to understand which documents and records can be taken with
you upon departure. Contact Records Management for more information.

oIT
POC — DO IT Service Desk, 622-1111
For all IT, Computer or Blackberry related issues you can call the DO IT Service Desk at 6222tf11 or email help.desk@do.treas.gov.

O BUILDING SERVICES

POC — Building Services Help Desk, 622-1350

For all building services, such as moving, repairs, framing contact the Building Services Help Désk as 622-1350 or email
FacilitiesService Desk @do.treas. gov.

HELPFUL INFORMATION

OGYM
The Treasury Gym is located in the basement of Main Treasury. Open 24 hours a day. Locker rooms with towel service are available.
The woman's locker room is accessible only by key code. Please contact 622-2358 to receive the code.

© VAULT CAFETERIA
The Vault Cafeteria is located is located on the first floor of Main Treasury. Breakfast is served from 7:00am- 9:00am, Lunch is
served from 11:00am- 2:30pm, and the Coffee shop is open until 4:00pm.

O TREASURY DINING ROOM

POC - Ador Carreon, 622-2065

The Treasury Dining Room provides exquisite dining experiences for the Secretary of the Treasury, as well as officials at the Deputy
Secretary, Under Secretary, Assistant Secretary, Deputy Assistant Secretary and Bureau Heads, and all equivalent levels. The
Treasury Dining Room is located on the 2" floor of Main Treasury and serves breakfast and lunch from 8am -2pm.

© Mai Room

POC ~ Mail Room, 622-1650

For all mailing services contact the mail room at 622-1650. Interoffice scheduled mail deliveries and pickups for Main Treasury are
9:00am, 11:30am, 1:30pm and 3:00pm. daily. Outgoing mail for USPS is sorted and processed for pickup by 3:45pm daily. Special
mail (red tagged items) is delivered to outside agencies etc. twice daily at 10:00am and 3:00pm with priority given to the Secretary,
Deputy Secretary and Undersecretaries offices. For messenger services to outside Agencies please contact Preston Dyson and Maurice
Miller at 622-1650.


In 2007, TTB collected $323 of revenue for every dollar spent to administer its tax-collection
operation. TTB attributes this success to its good working relationship with industry members as
well as its Jean administrative overhead. In 2005, TTB underwent a Program Assessment and
Review Tool (PART) review by the Office of Management and Budget and received an effective

rating for its Collect the Revenue Program.

‘Key to collecting all the révenue rightfully due is-an-active field presence, TTB maintains 17
field offices that perform auditing, investigative, and analytical work to ensure the fair and
uniform enforcement of all applicable laws and regulations, to identify gaps in tax payment, and

to identify any individuals operating illegally.

In addition to the collection of excise tax, TTB administers cover-over payments to Puerto Rico
and the Virgin Islands, and processes excise tax drawback claims. Federal excise taxes collected
on articles produced in Puerto Rico and the Virgin Islands and subsequently transported and sold
in the United States are “covered-over” (or paid) into the treasuries of Puerto Rico and the Virgin
Islands. In FY 2007, TTB processed $459 million in cover-over payments from rum to Puerto
Rico and $8 million to the Virgin Islands. Also, under current law, persons who use non-
beverage alcohol in the manufacture of medicines, food products, flavors, extracts, or perfume
and other non-potable products may be eligible to claim drawback of most of the excise taxes
paid on distilled spirits used in their products. In FY 2007, TTB processed $332 million in such

drawback claims.

The financial resources to support TTB core business activities under the FY 2009 President’s
Budget are $99,768,000, including $96,900,000 from direct appropriations and an estimate of
$2,868,000 in offsetting collections, mainly from the Puerto Rico cover-over program.

The Federal laws TTB Administers are Chapters 51 and 52, and sections 4181 and 4182 of the
Internal Revenue Code of 1986 (IRC), as well as the Federal Alcohol Administration (FAA) Act
and the Webb-Kenyon Act. Under these authorities, TTB is chiefly responsible for: (1)
collecting alcohol, tobacco, firearms, and ammunition excise taxes, and classifying alcohol and
tobacco products for excise tax purposes; (2) reviewing applications and issuing permits for
distilled spirits and wine operations and for tobacco product manufacturing, warehousing,
importing and exporting operations, (3) regulating the production, packaging, and storage of
alcohol and tobacco products; and (4) ensuring that the labeling and advertising of alcohol
beverages are not misleading and provide adequate information to the consumer.



Thank you for your time and effort.

Shanda Adams

Human Resources Assistant
Department of the Treasury

Human Capital Strategic Management
Phone: 202-622-4178

Fax: 202-622-3454


APPOINTEE COUNT

Chief of Staff Special Envoy to China and Strategic Economic Dialogue SES 1
Chief of Staff White House Liaison SES 41
Chief of Staff Senior Advisor to the Secretary SES 4
Chief of Staff Deputy Chief of Staff, Executive Secretary SES 4
hief-of Staff. Chief of Staff. . oan SES 1
Chief of Staff Chief of Staff to the Deputy Secretary SES TF
International Affairs — DAS, investment Security SES 1
International Affairs DAS, Internationa! Development Finance & Debt SES 4
International Affairs DAS, Trade and Investment SES 4
International Affairs © DAS, Western Hemisphere SES 4
Domestic Finance DAS, Financial Institutions and GSE Policy SES 4
Domestic Finance DAS, Financial Education SES 1
Domestic Finance DAS, Critical Infrastructure Policy and Compliance Policy SES 4
Domestic Finance DAS, Governement Financial Policy SES 4
Domestic Finance DAS, Federal Finance SES 4
Economic Policy DAS, Microeconomic Analysis SES 4
Economic Policy DAS, Macroeconomic Analysis SES 1
Economic Policy DAS, Policy Coordination SES 4
General Counsel Deputy General Counsel SES 1
Legislative Affairs DAS, International SES 1
Legislative Affairs DAS, Banking and Finance SES 1
Legislative Affairs DAS, Tax & Budget SES 4
Legislative Affairs DAS, Approproations & Management SES 1
Management DAS, Management & Budget SES 1
Public Affairs DAS, Public Affairs SES 4
Public Affairs DAS, Pulblic Liaison SES 4
Tax Policy DAS, Tax Analysis SES 4
Tax Policy DAS, Tax Policy SES 4
Total SES 28
Secretary Director of Scheduling SKC 1
Chief of Staff Deputy Scheduler SKC 4
Deputy Secretary Executive Assistant SKC 4
Chief of Staff Deputy White House Liaison SKC 1
Chief of Staff Director of Protocol SKC 4
Chief of Staff Deputy Executive Secretary SKC 4
Chief of Staff Deputy Executive Secretary SKC 4
Chief of Staff Deputy Executive Secretary SKC 1
Chief of Staff Special Assistant, Executive Secretary SKC 4
Chief of Staff Director of Operations SKC 1
Chief of Staff Operations Coordinator SKC 1
Chief of Staff Associate Director for Operations SKC r]
Chief of Staff Special Assistant for Advance SKC 1
Chief of Staff Special Assistant for Advance SKC 4
Chief of Staff Executive Assistant, SED SKC 4
Chief of Staff Special Advisor, SED SKC 4
Domestic Finance Director of Outreach (Financial Education) SKC 4



Office of Domestic


Clearance Sheet (Response to Chairman Towns re: PTA)

Drafted: Cathy Alix, Senior Advisor/ASM — ext. 2-1030
Approved: Peter B. McCarthy, Assistant Secretary for Management/CFO, ext. 2-0410
Cleared: Deputy Exec Sec — Jeff Chapman OK w/edit (8/19/08)
PA — Courtney Forsell OK (8/ 19/08)
LA — Peter Dugas OK w/edits (8/ 19/08)
Deputy Secretary — Steve Myrow OK w/edit (8/20/08)
Chief of Staff - Jim Wilkinson OK wiedits (8/18/08)
GL -Dvsha Pilener—ok Wedits wd one gestion

Sf2/oB

Action Memo Delivery Instructions
Bq _ Return tepolicy office for delivery
oO Deliver through the Executive Secretary {include specific instructions below)

[1 Other (see below)

Specific delivery instructions:



Office of Public Affairs

Overview:

The Office of Public Affairs develops and implements communications strategy for the
Department and advises officials within the Department and its bureaus how best to
communicate issues and priorities of public interest.

Immediate Hires:

The Public Affairs Office is currently comprised of about 17 employees: 10 political
appointments and seven career. There are no career spokespeople in the office so there is an
immediate need to bring on board on-the-record press secretaries.

Political Appointees:
«Assistant Secretary for Public Affairs (Presidentially-Nominated, Senate-Confirmed)

- Deputy Assistant Secretary for Public Affairs (Press)
«Director Office of Public Affairs
» Public Affairs Specialist for Domestic Finance
Public Affairs Specialist for International Affairs
Public Affairs Specialist for Tax Policy and the Economy
Public Affairs Specialist for [llicit Finance, Enforcement

«Senior Adviser to the Assistant Secretary
+ Media Coordinator

+ Deputy Assistant Secretary for Business Affairs and Public Liaison (Consumer Groups,
Trade Associations, etc)
Senior Advisor
Special Advisor

«  Speechwriter

Career Employees:
» Review Analyst & Scheduling Coordinator — Carmen Alvarado

Public Information Coordinator — Frances Anderson
Administrative Support Assistant — Ronda Buckmon
Administrative Support Specialist - Rowena Holloway
Public Liaison Program Coordinator — Vee Joeseph

« Photographer — Chris Taylor

«News Analyst — Bill Robertson

ee ee

Bureaus
Each of the 10 bureaus under the Treasury Department has their own public affairs office. All

bureau public affairs employees are career, They operate independently but should coordinate
with, and seek guidance from, the PA office at the Main Treasury. Policy is set at Main Treasury

and executed at the Bureaus.


DO (continued)

acannon

Financial Policies and Programs:

+ Provides the strategic policy direction in the areas of domestic finance and tax policy

+ Includes the Office of the Undersecretary of Domestic Finance, which provides strategic policy direction
in the areas of financial regulation and banking, fiscal policy, tax policy and capital markets, as well as
overseeing the new Office of Financial Stability, which will implement the Troubled Assets Recovery
Program

Terrorism and Financial Intelligence:
* Develops and implements strategies to counter terrorist financing and money laundering
+ Includes the Office of the Undersecretary, TFI which provides strategic policy direction to the bureaus of
the Financial Crimes Enforcement Network and Executive Office of Asset Forfeiture, as well as the
Offices of Terrorist Financing and Financial Crimes, Foreign Assets Control and Intelligence and
Analysis

Treasury-wide Management:
* Provides policy direction to Treasury bureaus and offices in the areas of human resources, information

technology, strategic planning and financial administration, including formulation and management of the

budget

Administration Programs:
+ Provides operational support and shared services, including accounting and budget, human resources,
information technology, procurement, facilities support and travel, to all offices within DO

15


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Office of the Comptroller of the Currency
(OCC)

arrester

FY 2007 FY 2008 FY 2009
Obligated | Estimated Estimated | Increase/ Percent
Budget Activity Decrease Change
Office of the Comptroller of the Currency $638,433} $749,100 $810,872 $61,772 8.2%
Superise 528,622 625,582 675,780 50,198 8.0%
Regulate 91,296) 98,669) 108,414! 9,745 9.9%
Charter $18,515 $24,849 $26,678 $1,829 7.4%

Created by Congress, OCC charters and oversees the nationwide banking system to ensure its resiliency for
the nation. OCC assessments levied on national banks provides funding the following budget activities:

Supervise:
+ Assures that each national bank is operating in a safe and sound manner and complying with applicable
laws, rules, and regulations relative to the bank and the customers it serves

Regulate:

. Establishes policies, provides operating guidance and general applicability to national banks with the intent
to establish system-wide practices, provides guidance on risks and responsibilities facing national banks,
or prohibits/restricts banking practices that are deemed to be imprudent or unsafe

Charter:

+ Evaluates the permissibility of structures and activities of national banks and their subsidiaries to include
the review and approval of new national bank charters, federal branches and agencies, mergers,
acquisitions, conversions, business combinations, corporate reorganizations, changes in control, operating
subsidiaries, branches, relocations, and subordinated debt issues

2

9


Departmental Offices
(DO)

ee at

FY 2007 FY 2008 FY 2009

Enacted Enacted | President's Increase/ Percent

Appropriation Budget Decrease Change
Salaries and Expenses $216,348 $248,360 $273,895: $25,535 10.3%
Executive Direction 19,728 20,749 21,592 843 4.1%
Economic Policies and Programs 38,393 44,242 45,853} 4,611 3.6%
Financial Policies and Programs 24,695 29,465 34,735 5,270 17.9%
Terrorism and Financial Intelligence 47,540] 56,775] 61,712 4,937 8.7%
Treasury-wide Management 16,748) 18,505 19,009 504 2.7%
Administration Programs 69,244 78,624 90,994 12,370 15.7%

As the headquarters bureau of the Treasury Department, Departmental Offices (DO) is responsible for
policy direction and formulation across the missions of the Department. DO funding is provided within the
following budget activities:

Executive Direction:
+ Provides direction and policy formulation to the Department, and interacts with Congress and the
public

+ Includes the Offices of the Secretary and Deputy Secretary, Executive Secretary, General Counsel,
Legislative Affairs, and Public Affairs

Economic Policies and Programs:
+ Monitors domestic and international economic conditions and collects and analyzes financial data
+ Includes the Offices of the Assistant Secretary, Economic Policy and the Undersecretary, international
Affairs, which oversees the Treasury Department's international presence and US participation in
international financial institutions



The Treasury Executive Office for Asset Forfeiture (TEOAF)
The Treasury Executive Office for Asset Forfeiture administers the Treasury Forfeiture Fund

(TFF). Effective law enforcement actions against criminal enterprises, from drug cartels to
terrorist organizations, require depriving those enterprises of their enabling assets and profits that
support or stem from their existence. The TFF is derived from the forfeited assets of criminal

enterprises. TEOAF promotes the use of forfeited proceeds to fund programs and activities
aimed at disrupting and dismantling criminal infrastructures.

Critical Issu



(7 ./REASURY DEPARTMENT FEDERAL CREDIT UNION

POC — 1-800-344-4497
The Treasury Department Federal Credit Union is located in the Treasury Annex. For more information or to join you can visit
www.tdfcu.org or call 1-800-344-4497.

CO TREASURY DEPARTMENT RECREATION ASSOCIATION- BUSINESS CARDS

POC - Barry Stevens, 622- 2123
The Treasury Department TDRA provides a business card and social printing service and operates a Catalog Store of Treasury
Department logo jtems where members receive discounts. It is located in the basement level of Main Treasury. For business card

orders you can visit http:/www.recgov.orss treasury.

1 PRINTING DIVISION
POC — Printing and Graphics Division 622-1438
The Printing Division has the ability to produce a variety of documents. They are located in the Treasury Annex Room SB-12.

(2 Grapuics DIVISION

POC -Graphics Division 622-2160

The Graphics Division has the ability to produce flyers, brochures, color copies or photographs. They are located in the Treasury
Annex Room B-39.

( PHOTOGRAPHIC SERVICES

POC -—Chris Taylor 622-2621

The Treasury Photographer can assist with photographing events for the Secretary or Treasury Senior Staff. Please contact
Photographer Chris Taylor at 622-2621.

CO CLEARING VISITORS INTO THE BUILDING

POC -USSS, 962-6720

To clear visitors into Main Treasury and the Treasury Annex you need to provide the date of birth and social security number to the
Secret Service. Enter this information only on the Treasury intranet at http://home.do. treas.gov/appointments/,

 PARKING/METRO CHECKS

POC —Administrative Contact/Veris Bailey, 622-6333

Each office is allotted a specific number of parking spots. To obtain a parking spot you can speakawith your administrative contact. If
you do not receive a parking spot you are eligible to participate in the Metro Benefit Program.-Contact Veris Baley for more
information on the program.

© SuPPLIES
POC -Administrative Contact
To obtain office supplies you can ask your administrative contact. Your office contact will be-able-to order you the needed supplies.


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Office of Inspector General
(OIG)

ce —
ae

: im FY 2007 FY 2008 FY 2009
4 Enacted Enacted President's Increase/ Percent
Appropriation Budget Decrease Change
Salaries and Expenses : $16,957, $18,450 $19,356 $906 4.9%
Audit 41,639 42,658 13,280 622 4.9%
investigations 5,318 5,792 6,076 284 4.9%

OIG conducts and supervises audits and investigations of Treasury programs and operations and
makes recommendations to promote economy, efficiency, and effectiveness within Treasury. OIG
programs also prevent, report, and detect fraud, waste, and abuse within the Department. OIG is
funded within the following budget activities:

Audits

¢ Audits Treasury programs including those mandated by Treasury officials and Congress to identify
significant cost savings
Investigations

* Prevents, detects, and investigates complaints of fraud, waste, and abuse. Cases are referred to

to agency officials for corrective administrative ac! ion

the Department of Justice and state or local prosecutors for criminal prosecution or civil litigation, or

25


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SASINIOddV TWILNAGISAYd 40 ONILSIT AONSDV



Office of the Assistant
Secretary for Man/CFO


EXECUTIVE SUMMARY ~ OFFICE OF THE ASSISTANT SECRETARY FOR MANAGEMENT/CFO

Key Functions

e Oversees Department-wide management programs including information technology,
management, financial/accounting, strategic planning, performance budgeting/metrics,
acquisition/procurement, training, human capital and workforce management, equal
employment opportunity, environmental health and safety, administrative support
services, emergency preparedness, competitive sourcing, privacy and civil liberties, and
freedom of information. Responsible for implementation of the President’s Management
Agenda; serves as the Department's Chief Operating Officer for purposes of the
Presidential Memorandum, "Implementing Government Reform," dated July 1 1, 2001.

Serves as the Department’s Chief Financial Officer with authorities and functions as
described in the Chief Financial Officers Act of 1990. As CFO, responsible for
preserving the integrity and reliability of the Department’s financial systems, overseeing
Department-wide financial management, accounting policy, internal controls, cash
management, credit management, debt management, and the coordination and monitoring
of Department-wide government accountability; manages the financial reports and
statements process, and the integrated agency and bureau financial management systems,
chairs the Treasury Chief Financial Officers Council and represents the Department at the
government wide Chief Financial Officers Council.

ae The ASM/CFO supervises the following offices:

¢ Deputy Chief Financial Officer DCFO) responsible for implementing the Chief Financial
Officers Act of 1990 and the Government Management Reform Act of 1994, accounting
policy and procedures, internal controls, and oversight of the automated financial
management and revenue systems; provides policy and programs and investment management
for assets related to real property, personal property and fleet; manages the Treasury
Franchise Fund and Working Capital Fund, which includes oversight responsibilities.

© Deputy Assistant Secretary for Management and Budget (ASMB) responsible for

strategic planning, budget formulation, organizational issues, and program evaluation,
oversees the strategic planning processes and the implementation of the Government
Performance and Results Act, analyzes resource requests and allocations, as well as budget
execution; makes recommendations to departmental offices and bureaus on budget priorities
and strategies; prepares and coordinates the annual budget submission for the Department to
OMB, and works with OMB on the Department’s portion of the President’s Budget;
formulates, manages, and directs the budget process for Departmental Offices.

e Deputy Assistant Secretary for Departmental Offices Operations (DASDO) provides

management and ‘administrative support for the offices and employees in the Department’s
headquarters offices (Departmental Offices). The office oversees the Department’s
headquarters facilities, as well as offices which provide various support functions in the areas
of renovations, travel, historical preservation and curatorial services, telephone operator
services, special events, food services, asset management, safety/health/environmental
compliance, and printing and graphics.


Office of Public
Affairs


Finally, the Department will ensure that all COOP and NRF procedures are tested and the
senior career Officials who have been designated to lead Treasury during the transition
fully understand these procedures and responsibilities no later than November 1, 2008.

Please call me if you require any additional information regarding Treasury’s plans for
the upcoming transition.

Sincerely,
Si I Jama

Kevin I. Fromer
Assistant Secretary for Legislative Affairs


HQ,

Office of the Deputy Assistant Secretary for Human Resources and
Chief Human Capital Officer (DASHR/CHCO)

Executive Summary

The Office of the Deputy Assistant Secretary for Human Resources and Chief Human
Capital Officer (DASHR/CHCO) is responsible for Department-wide policy and
oversight in all areas of human capital management, including employment and staffing,
compensation, benefits, executive resources, succession planning, labor and

employee relations, workforce development, performance management, diversity
management, equal employment opportunity and other human capital functions. In this
capacity, the Office works closely with bureau HR and EEO offices and the Office of
Personnel Management (OPM). The Office also provides for the full range of human
resource services to support operations of Departmental Offices and executes Treasury’s
responsibilities under Title XI of the Balanced Budget Act of 1997, as amended. This
Act transferred to Treasury certain responsibilities for District of Columbia retirement
programs for police officers, firefighters, teachers and judges. The following offices

comprise the DASHR/CHCO organization:

The Office of Human Capital Strategic Management

The Office of Civil Rights and Diversity

The Office of Human Resources Operations for Departmental Offices
The Treasury Executive Institute

The Office of DC Pensions

Major Decisions/Deadlines-First 90 Days
(b) (5)



Office of the Assistant Secretary for Management/CFO

Overview:
The Office of the Assistant Secretary for Management (ASM) oversees Department-wide

management programs including information technology, management, financial/accounting,
strategic planning, performance budgeting/metrics, acquisition/procurement, training, human
capital and workforce management, equal employment opportunity, environmental health and

safety, administrative support ervices; emergency preparedness, comp! itive sourcing, privac.
and civil liberties, and freedom of information. The office is responsible for implementation of
the President’s Management Agenda and serves as the Department's Chief Operating Officer for
purposes of the Presidential Memorandum, "Implementing Government Reform".

As the Department’s Chief Financial Officer, the ASM is responsible for preserving the integrity
and reliability of the Department’s financial systems, overseeing Department-wide financial
management, accounting policy, internal controls, cash management, credit management, debt
management, and the coordination and monitoring of Department-wide government
accountability; managing the financial reports and statements process, and the integrated agency
and bureau financial management systems; chairing the Treasury Chief Financial Officers
Council and represents the Department at the government wide Chief Financial Officers Council.

The ASM/CFO supervises the following offices:

Deputy Chief. Financial Officer (DCFO) responsible for implementing accounting policy and
procedures, jnternal controls, and oversight of the automated financial management and revenue
systems; provides policy and programs and investment management for assets related to real
property, personal property and fleet; manages the Treasury Franchise Fund and Working

Capital Fund, which includes oversight responsibilities.

Deputy Assistant Secretary for Management and Budget (DASMB) responsible for strategic
planning, budget formulation, organizational issues, and program evaluation; oversees the
strategic planning processes and the implementation of the Government Performance and Results
Act, analyzes resource requests and allocations, as well as budget execution; makes
recommendations to departmental offices and bureaus on budget priorities and strategies;
prepares and coordinates the annual budget submission for the Department to OMB, and works
with OMB on the Department’s portion of the President’s Budget; formulates, manages, and
directs the budget process for Departmental Offices.

Deputy Assistant Secretary for Departmental Offices Operations (DASDO) provides

’ management and administrative support for the offices and employees in the Department’s

headquarters offices (Departmental Offices). The office oversees the Department’s headquarters
facilities, as well as offices which provide various support functions in the areas of renovations,
travel, historical preservation and curatorial services, telephone operator services, special events,
food services, asset management, safety/nealth/environmental compliance, and printing and

graphics.


-
Y CHECKLIST FOR ARRIVING APPOINTEES AND HELPFUL INFORMATION

CHECKLIST FOR ARRIVAL

( HUMAN RESOURCES

POC ~ Vernetta Wilkins, 622-1069 (Vernetta will schedule a specific time for you to meet with a HR Specialist)

Human Resources is the point of contact for leave, retirement, insurance, health benefits, thrift savings plan, etc. The HR office has a
comprehensive package which contains related forms and detailed information to simplify your arrival process.

(3 ETHICS

POC — Bernie Knight, 622-1137

An incoming ethics briefing is suggested. The ethic attorney will brief you on financial disclosure paperwork (such as a final SF 278)
and the Hatch Act.

0 BADGE
POC - United States Secret Service, 622-1112
The USSS will contact you after your arrival to schedule a time for a badge photo. The process to obtain a badge usually takes a week.

(3 EQUIPMENT

POC — Your Division’s Admin Contact

The Management Division will assist your Administrative Contact in obtaining equipment (such as computers and desk phones),
laptops, blackberries, cell phones, keys, parking permits, access badges, credit cards, etc.

CO SECURITY
POC = Larry Marlow, 622-1837
Appointees needing to acquire a security clearance need to contact Treasury’s Special Security Officer.

( DocuMENTS & RECORDS

POC — Office of Records Management, 622-0790

It is important (especially for appointees in senior leadership positions) to understand which documents and records can be taken with
you upon departure. Contact Records Management for more information,

oir
POC — DO IT Service Desk, 622-1111
For all IT, Computer or Blackberry related issues you can call the DO IT Service Desk at 622-1111 or email help.desk@do.treas.gov.

© BUILDING SERVICES

POC — Building Services Help Desk, 622-1350

For all building services, such as moving, repairs, framing contact the Building Services Help Desk at 622-1350 or email
FacilitiesServiceDesk@do.treas.gov.

HELPFUL INFORMATION

OGYM
The Treasury Gym is located in the basement of Main Treasury. Open 24 hours a day. Locker rooms with towel service are available.
The woman’s locker room is accessible only by key code. Please contact 622-2358 to receive the code.

1 VAULT CAFETERIA
The Vault Cafeteria is located is located on the first floor of Main Treasury. Breakfast is served from 7:00am- 9:00am, Lunch is
served from 11:00am- 2:30pm, and the Coffee shop is open until 4:00pm.

0 TREASURY DINING ROOM

POC = Ador Carreon, 622-2065

The Treasury Dining Room provides exquisite dining experiences for the Secretary of the Treasury, as well as officials at the Deputy
Secretary, Under Secretary, Assistant Secretary, Deputy Assistant Secretary and Bureau Heads, and all equivalent levels. The
Treasury Dining Room is located on the 2" floor of Main Treasury and serves breakfast and lunch from 8am -2pm.

© Mati ROOM

POC — Mail Room, 622-1650

For all mailing services contact the mail room at 622-1650, Interoffice scheduled mail deliveries and pickups for Main Treasury are
9:00am, 11:30am, 1:30pm and 3:00pm. daily. Outgoing mail for USPS is sorted and processed for pickup by 3:45pm daily. Special
mail (red tagged items) is delivered to outside agencies etc. twice daily at 10:00am and 3:00pm with priority given to the Secretary,
Deputy Secretary and Undersecretaries offices. For messenger services to outside Agencies please contact Preston Dyson and Maurice
Miller at 622-1650.


* CHECKLIST FOR ARRIVING APPOINTEES AND HELPFUL INFORMATION

(CHECKLIST FOR ARRIVAL

© HUMAN RESOURCES

POC — Vernetta Wilkins, 622-1069 (Vernetta will schedule a specific time for you to meet with a HR Specialist)

Human Resources is the point of contact for leave, retirement, insurance, health benefits, thrift savings plan, etc. The HR office has a
comprehensive package which contains related forms and detailed information to simplify your arrival process.

O Ernics
POC - Bernie Knight, 622-1137
An incoming ethics briefing is suggested. The ethic attorney will brief you on financial disclosure paperwork (such as a final SF 278)

and the Hatch Act.

0D BADGE
POC ~ United States Secret Service, 622-1112
The USSS will contact you after your arrival to schedule a time for a badge photo. The process to obtain a badge usually takes a week.

© EQuipMeNT

POC ~ Your Division’s Admin Contact

The Management Division will assist your Administrative Contact in obtaining equipment (such as computers and desk phones),
laptops, blackberries, cell phones, keys, parking permits, access badges, credit cards, etc.

SECURITY
POC - Larry Marlow, 622-1837
Appointees needing to acquire a security clearance need to contact Treasury’s Special Security Officer.

.G DOCUMENTS & RECORDS

POC — Office of Records Management, 622-0790

«It is important (especially for appointees in senior leadership positions) to understand which documents and records can be taken with
you upon departure, Contact Records Management for more information.

oir
POC ~ DO IT Service Desk, 622-1111
For all [T, Computer or Blackberry related issues you can call the DO IT Service Desk at 622-1111 or email help.desk@do.treas.gov.

O BUILDING SERVICES
POC - Building Services Help Desk, 622-1350
For all building services, such as moving, repairs, framing contact the Building Services Help Desk at 622-1350 or email

FacilitiesServiceDesk@do.treas.gov.
HELPFUL INFORMATION

oO GYM
The Treasury Gym is located in the basement of Main Treasury. Open 24 hours a day. Locker rooms with towel service are available.
The woman’s locker room is accessible only by key code. Please contact 622-2358 to receive the code.

D VAULT CAFETERIA
The Vault Cafeteria is located is located on the first floor of Main Treasury. Breakfast is served from 7:00am- 9:00am, Lunch is
served from 1 1:00am- 2:30pm, and the Coffee shop is open until 4:00pm.

O TREASURY DINING ROOM

POC — Ador Carreon, 622-2065

The Treasury Dining Room provides exquisite dining experiences for the Secretary of the Treasury, as well as officials at the Deputy
Secretary, Under Secretary, Assistant Secretary, Deputy Assistant Secretary and Bureau Heads, and all equivalent levels. The
Treasury Dining Room is located on the 2 floor of Main Treasury and serves breakfast and lunch from 8am -2pm.

O Malt RooM

POC ~ Mail Room, 622-1650

For all mailing services contact the mail room at 622-1650. Interoffice scheduled mail deliveries and pickups for Main Treasury are
9:00am, 11:30am, 1:30pm and 3:00pm. daily. Outgoing mail for USPS is sorted and processed for pickup by 3:45pm daily. Special
mail (red tagged items) is delivered to outside agencies etc. twice daily at 10:00am and 3:00pm with priority given to the Secretary,
Deputy Secretary and Undersecretaries offices. For messenger services to outside Agencies please contact Preston Dyson and Maurice
Miller at 622-1650.


Macasury DEPARTMENT FEDERAL CREDIT UNION

POC — 1-800-344-4497

The Treasury Department Federal Credit Union is located in the Treasury Annex. For more information or to join you can visit
wwsv.tdfcu.org or call 1-800-344-4497,

(0 TREASURY DEPARTMENT RECREATION ASSOCIATION- BUSINESS CARDS.

POC — Barry Stevens, 622- 2123
The Treasury Department TDRA provides a business card and social printing service and operates a Catalog Store of Treasury
Department logo items where members receive discounts. It is located in the basement level of Main Treasury. For business card

orders you can visit http://www. recgov.org/treasury.

(0 PRINTING DIVISION
POC — Printing and Graphics Division 622-1438
The Printing Division has the ability to produce a variety of documents. They are located in the Treasury Annex Room SB-12.

(1 GRAPHICS DIVISION
POC —Graphics Division 622-2160
The Graphics Division has the ability to produce flyers, brochures, color copies or photographs. They are located in the Treasury

Annex Room B-39.

(CO PHOTOGRAPHIC SERVICES
POC —Chris Taylor 622-2621
‘The Treasury Photographer can assist with photographing events for the Secretary or Treasury Senior Staff. Please contact

Photographer Chris Taylor at 622-2621.

0 CLEARING VISITORS INTO THE BUILDING

POC -USSS, 962-6720
To clear visitors into Main Treasury and the ‘Treasury Annex you need to provide the date of birth and social security number to the

Secret Service. Enter this information only on the Treasury intranet at http//home.do.treas.gov/appointments/.

C PARKING/METRO CHECKS

POC —Administrative Contact/Veris Bailey, 622-6333

Each office is allotted a specific number of parking spots. To obtain a parking spot you can speak with your administrative contact. If
you do not receive a parking spot you are eligible to participate in the Metro Benefit Program.-Contact Veris Baley for more

information on the program.

D SupPLigs
POC —Administrative Contact
To obtain office supplies you can ask your administrative contact. Your office contact will beable to order you the needed supplies.


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Alcohol and Tobacco Tax and Trade Bureau (TTB)

Overview:
TTB collects certain excise taxes (alcohol, tobacco, firearms) and protects the public by ensuring
that alcohol beverages are produced, labeled, advertised, and marketed in accordance with
Federal law. TTB was created within the Department of the Treasury in 2003 as a result of the

~~“Homeland Seeurity-Act of 2002,when firearms and explosives functions of the former er Treasury

TTB collects nearly $15 billion in annual Federal excise tax revenues. The excise taxes collected
by TTB come from more than 10,000 businesses. Members of the regulated industries paying
excise taxes are distilleries, breweries, bonded wineries, bonded wine cellars, alcohol fuel plants,
manufacturers of cigarette papers and tubes, manufacturers of tobacco products, and
manufacturers and importers of firearms and ammunition. We note that the excise tax on these
imported products (except for firearms and ammunition) is collected by Customs and Border

Protection.

In FY 2007, 49 percent of the taxes TTB collected were on alcohol, 49 percent on tobacco and
two percent on firearms and ammunition. The alcohol and tobacco taxes we collect are remitted
to the Treasury General Fund. The firearms and ammunition excise taxes we collect are remitted
to the Fish and Wildlife Restoration Fund under provisions of the Pittman-Robertson Act of

1937.

The following table displays the amount of Federal excise taxes TTB collected ftom FY 2003

through FY 2007 by revenue type.

Revenue FY 2003 | FY 2004 FY 2005

FY 2006

FY 2007

Type |
Alcohol $6,910,631,00 | $6,995,366,00 | $7,074,076,00 | $7,182,940,00 | $7,232,138,00
_ 0 Oo; _ 0 0

| Tobacco $7,382,435,00 | $7,434,211,00 | $7,409,758,00 | $7,350,842,00 | $7,194,113,00
) 0 0 0 0

Firearms
Ammunitio | $193,414,000 | $216,006,000 | $225,818,000

| n Mfg

$249,578,000

$287,835,000

Special

Occupation | $103,781,000 | $100,562,000 { $10,190,000 $2,895,000 $2,808,000

al Taxes*

TOTALS $14,590,261,0 | $14,;746,145,0 | $14,719,842,0 | $14,786,255,0 | $14,716,894,0
00 00 00 00 00

| *Special Occupational Taxes (SOT) were ‘suspended on ‘most alcohol taxpayers, effective July 1,
2005, and repealed for all alcohol taxpayers effective July 1, 2008.



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‘Lewis DC®O

Lewis, Mike

From: Runnels, Al

Sent: Tuesday, October 14, 2008 4:25 PM

To: Lewis, Mike

Ce: Alix, Cathy; Lingebach, James

Subject: RE: DATA CALL - Transition Briefing Paper
Follow Up Flag: Follow up

Due By: Wednesday, October 15, 2008 12:00 AM
Flag Status: Flagged

Mike,

Ijust talked with Jim. For DCFO’s part, first 90 days of the new Administration, our office will be:

CxS)

So disregard latter portion and use bullets above or perhaps merge them into just one major bullet. | can do that
later, but must get to some OFS stand-up support issues now.

Al

From: Lewis, Mike

Sent: Tuesday, October 14, 2008 3:17 PM

unnels, Al

Ce: Alix, Cathy; Lingebach, James

Subject: RE: DATA CALL - Transition Briefing Paper

Al, copying Jim L. too - | know you guys are pressed. What | need primarily are any hot topics or 90
day decisions that are on your radar. Thx.

Mike

Mike Lewis
Sr. Advisor to the Assistant Secretary for ManagementCFO

Department of the Treasury
4500 Pennsylvania Ave. Room 2426
Washington, DC


iD “REASURY DEPARTMENT FEDERAL CREDIT UNION

POC - 1-800-344-4497
The Treasury Department Federal Credit Union is located in the Treasury Annex. For more information or to join you can visit
www.tdfcu.org or call 1-800-344-4497.

CO TREASURY DEPARTMENT RECREATION ASSOCIATION- BUSINESS CARDS

POC - Barry Stevens, 622- 2123 .
The Treasury Department TDRA provides a business card and social printing service and operates a Catalog Store of Treasury
Department logo items where members receive discounts. It is located in the basement level of Main Treasury. For business card

orders you can visit http:/ww w.recgov.org/treasury,

1 PRINTING DIVISION
POC — Printing and Graphics Division 622-1438
The Printing Division has the ability to produce a variety of documents. They are located in the Treasury Annex Room SB-12.

© GRAPHICS DIVISION

POC -Graphics Division 622-2160

The Graphics Division has the ability to produce flyers, brochures, color copies or photographs. They are located in the Treasury
Annex Room B-39.

( PHOTOGRAPHIC SERVICES

POC —Chris Taylor 622-2621

The Treasury Photographer can assist with photographing events for the Secretary or Treasury Senior Staff. Please contact
Photographer Chris Taylor at 622-2621.

CO CLEARING VISITORS INTO THE BUILDING

POC -USSS, 962-6720
To clear visitors into Main Treasury and the Treasury Annex you need to provide the date of birth and social security number to the
Secret Service. Enter this information only on the Treasury intranet at http://home.do.treas. gov/appointments/.

0 PARKING/METRO CHECKS

POC —Administrative Contact/Veris Bailey, 622-6333

Each office is allotted a specific number of parking spots. To obtain a parking spot you can speak with your administrative contact. If
you do not receive a parking spot you are eligible to participate in the Metro Benefit Program. Contact Veris Baley for more eo
information on the program.

O SuPPLiES
POC —Administrative Contact
To obtain office supplies you can ask your administrative contact. Your office contact will be able to order you the needed supplies. »


e Evaluation and Monitoring Program. OPE has implemented a program recognized by
Office of Federal Procurement Policy as having integrated the Government
Accountability Office (GAO) Framework for Review of an Acquisition Function, and
aligned it with the Internal Controls process within the Department.

e Treasury Acquisition Council (TAC): Chaired monthly TAC meetings to build
common management platform and forum to drive synergies, continuous
improvement and to develop strong relationships with bureau acquisition leaders.

+ Membership includes Bureau Chief Procurement Officers (BCPOs) and
leaders from the offices of the CFO and CIO, and served as a forum to support
emerging cross-disciplinary issues and manage initiatives.

+ The TAC reviewed BCPO, Inspector General (IG), and Government
Accountability Office (GAO) audit results as a Department-wide learning

- opportunity.

© PSD successfully completed obligating all FY08 funds timely, meeting all DO

procurement requirements,

« Mobilized to support emergency procurements related to the ongoing financial crisis.

(b) (5)



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Paulson Gears Up Transition Plan - WSJ.com Page 3 of 3

Write to Deborah Solomon at deborah.solomon@wsj.com

Copyright 2008 Dow Jones & Company, inc. AllRights Reserved
This copy is for your personal, non-commercial use only. Distribution and use of this material are governed by our Subscriber
‘Agreement and by copyright iaw. For non-personal use of to order multiple copies, please contact Dow Jones Reprints at 1-
800-843-0008 or visit
‘www .direprints.com

http://online.wsj.com/article/SB 122541580743786687.html 11/4/2008


> Multilateral Development Banks, Debt and Development Policy: Similarly, given her
strong leadership over the past six months, Karen Mathiasen will continue to serve in
her position as Acting DAS.

> Strategic Economic Dialogue: David Loevinger will serve as our point person for IA
on the SED, with our DC Treasury team supporting him. Eugene Huang will
continue to work, in coordination with IA, on the SED and Ten-Year Framework

from the Chief of Staff's office.

Finally, while there will be many changes in the coming months here at Treasury, I take
heart that this Department, and IA in particular, has some of the best civil servants in
government. I know that you will work tirelessly to help the new team get on their feet
and address the significant economic challenges ahead. .

Tt has been a great pleasure and honor to work with all of you over the past 18 months. T
wish you great success in 2009 and beyond.

ce: Pete McCarthy
Jim Wilkinson
Rochelle Granat


Information Sheet and
Budget Overview



APPENDIX A

“Acting Official” Designations for PAS Positions

PAS Position [Designated Acting —_—_ Specific | Basis of designation
! Official | authority for | 1
i i acting a
Secretary Deputy Secretary 31 USC. § EO. 13246
1 . 301 (¢) _— :
“Deputy Secretary U/S for Domestic "Secretary's written
—_ ee Finance | designation herein
U/S (International Deputy U/S | Only Deputy
Affairs) designated as A/S i
| Unternational |
i Financial Markets and | :
; _ Investment Policy) H i
 U/S/ Terrorism and AJS (Terrorist Secretary’s written
| Financial Intelligence _| Financing) designation herein i
7 U/S (Domestic Finance) | Fiscal Assistant Secretary’s written |
{ | Secretary designation herein
Commissioner of ‘Deputy Commissioner Secretary's written |
| Internal Revenue ! for Services and designation herein i
i _| Enforcement i
| Comptroller of the | First Deputy 12 U.S.C. § 4
| Currency | Comptroller _ |
/ Director of the Office of First Deputy Director (12US.C.§ | |
| Thrift Supervision | 1462a(c) - i
"General Counsel Deputy General Z1US.C.§ i ” H
—_ Counsel 301(f) |
| Inspector General Deputy Inspector ' Only Deputy
i General !
' Treasury Inspector Deputy TIGTA for TIGTA Delegation
| General for Tax Audit Order No. 28 1
| | Administration (TIGTA) i
i “Deputy USS, designated DAS for Legislative Secretary’s written i
| A/S (Legislative Affairs (Tax and | designation herein \
Affairs) Budget) i {

Secretary’ s written

Deputy U/S, designated DAS (International
| A/S (International Monetary & Financial | designation herein
| Financial Markets and | Policy) i
| Investment Policy)

A/S (International
| Economics and
L Development)

DAS (Asia)

Secretary’s written
designation herein

es a


JUSLUUOJIAUZ DILUOUODJ


International Tax Counsel
Office Overview. The Office of the International Tax Counsel (ITC) develops and
reviews policy, legislation, regulations, revenue rulings, revenue procedures, and other published
guidance dealing with the international aspects of U.S. and foreign tax rules. In addition, the
office is responsible for negotiating and reviewing income tax and estate and gift tax treaties

with foreign countries and coordinating tax treaty matters with the State Department and the

Congress. ITC attorneys develop international tax legislation proposals, review and assess all
international tax bills, prepare background information, produce testimony for Treasury officials,

and coordinate with Congressional staffs and other agencies on matters related to U.S.
international tax policy.

The ITC staff works closely with the Business and International Taxation Division of the
Office of Tax Analysis in the preparation of detailed technical analyses and the publication of
Congressionally mandated reports on various international tax issues. ITC works with the IRS in
designing and finalizing regulations to implement international tax aspects of Congressional acts.
ITC attorneys serve as the official representative of the United States in various international


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cial Crimes Enforcement Network

Finan
(FinCEN)
FY 2007 FY 2008 FY 2009

Enacted Enacted | President's Increase! Percent

Appropriation Budget Decrease Change
Salaries and Expenses $73,216 $85,844 $91,335 $5,491 6.4%
BSA Administration and Analysis 64,780! 76,889 82,157 5,268 6.9%
Regulatory Support Programs 8,436 8,955 9,178 223 2.5%

requires financial institutions and other industries
al activity and to establish appropriate

and other types Of illicit finance.

FinCEN administers the Bank Secrecy Act (BSA), which
to file reports on certain types of financi

vulnerable to money laundering
internal controls to guard against money laundering, terrorist financing,
FinCEN funding is provided within the following budget activities:

BSA Administration and Analysis:
+ Funds activities related to the administration of the BSA

guidance to the regulated industries, overseeing complial
of BSA data
+ Funds information technology investmen

Regulatory Support Programs:
+ Supports reimbursable agreements with the internal Revenue Se

FinCEN’s a ies to implement, strengthen and clarify the progr:
requirements of the BSA

cluding promulgating regulations, providing
nce, initiating enforcement actions, and analysis

ts related to data management

rvice for data processing, enabling
ammatic, recordkeeping and reporting

7


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Office of Economic Policy

Overview:
The Office of Economic Policy (OEP) provides information and analysis for the Secretary and

other key policy-makers within Treasury and other parts of the government about economic
conditions, the economic impacts of current and proposed economic and regulatory policies, and

possible alternative policies that better achieve the desired objectives.

Personnel:
The Office of Economic Policy is divided into two sub-offices: the Office of Microeconomic

Analysis and the Office of Macroeconomic Analysis. The career staff of the Office of Economic
Policy includes two office directors — one each for microeconomic analysis and macroeconomic
analysis — a staff of 18 economists, and four administrative assistants.

Immediate Hires
In addition to the Assistant Secretary, the Office of Economic Policy includes 4 political

appointees: three Deputy Assistant Secretaries (DAS) — one each covering microeconomic
analysis, macroeconomic analysis, and policy coordination — and a Senior Advisor. The Micro
and Macro Deputy Assistant Secretaries work closely with the office directors of their respective
offices to direct staff efforts to support the Assistant Secretary. The DAS for Policy
Coordination works on topical issues, The Senior Advisor works directly with the Assistant
Secretary and typically serves as the point of contact for the political staff in other offices within

the building.

Office of Microeconomic Analysis:

Office Director: John Worth

Topics:
Pension Benefit Guarantee Corporation— joint with Domestic Finance (DF)
- Defined benefit pension reform
- Healthcare — joint with tax policy
- Health Information Technology
Energy and the environment — joint with International Affairs (IA)
- Housing — joint with DF
- Social Security and Medicare
o Social Security and Medicare Trustees Process ~ supporting the Secretary in his
role as Managing Trustee of the Social Security and Medicare Trust Funds.
- Terrorism risk insurance
- Natural disaster insurance
- Immigration ~ joint with IA
- Government spectrum policy
- Patent policy


Once again this is just a short list of examples. I’m sure others will be able to flesh this out.

Carl

-----Original Message---~

From: Alix, Cathy

Sent: Tuesday,

February 05, 2008 9:08 AM

To: Cuffe, Elizabeth; Duffy, Michael; Foster, Wesley; Granat, Rochelle; Lingebach, James; Sharpe, Thomas Jr.;
Thomas, James; Wolslayer, Kelly; Froehlich, Carl; Farrell, Stuart; Lewis, Mike; Nelson, Sheila; Alix, Cathy

Cc: McCarthy, Peter
Subject: Transition

Please read the
ASM Goal #1 —
Thank you.

attached document on transition planning prior to our Friday 11:00 a.m. staff meeting focusing on

Work Place. Our discussion will touch

<< File: Planing for Transition 2009.doc >>

Cath

Cathy D. Alix
Senior Advisor

to the Assistant Secretary for

Management/Chief Financial Officer
Department of the Treasury

Main Treasury

Phone: 202.622. 1030

briefly on transition preparation at the end of the meeting.


Critical Issues:

Capital Purchase Program

CPP-underthe FARR.

On October 1472008; Treasury announced the program de: cription-ferthe CPP -under-the-FARF
and made available $250 billion of purchase authority for the CPP. The purpose of the CPP is to
stabilized the U.S. banking industry buy encouraging U.S. financial institutions to build their
capital base. Treasury believes that stabilizing the banking industry will increase the capacity of
banks to lend to U.S. businesses and consumers and to support the U.S. economy. Under the
voluntary CPP, Treasury will purchase up to $250 billion of senior preferred shares on
standardized terms. The CPP is available to qualifying U.S. controlled banks, savings
associations and certain bank and savings and loan holding companies engaged solely or
predominately in financial activities permitted under the relevant law.

On October 20, 2008, Treasury announced a streamlined, systematic process for all publicly
organized financial institutions wishing to access the CPP. The next step in the CPP will be to
post an application form and term sheet for privately held eligible institutions and establish a
reasonable deadline for private institutions to apply.

Treasury has worked with the Federal banking agencies to establish streamlined evaluations; this
means that all Federal banking agencies will use a standardized process to review al] applications
to ensure consistency. Once a regulator has reviewed an application, it will send the application
along with its recommendation to the OFS. Upon receipt of the application and recommendation
from the Federal banking agency, the TARP Investment Committee will review it and decide
whether or not to make the capital purchase. Treasury welcomes the expertise of the Federal
banking agencies, and will give considerable weight to their recommendations. Consistent with
the provisions of EESA, all transactions will be publicly announced within 48 hours of

completion. Treasury will not, however, announce any applications that are withdrawn or

denied.

Insurance Guarantee Program

Consistent with the EESA, Treasury will establish a troubled assets guarantee program for
troubled assets purchased under the TARP.

Additional TARP Programs

Treasury has policy teams examining several different areas that show promise to help
strengthen our financial markets, particularly homeownership preservation. Programs will be
designed to include requirements on executive compensation and warrants as appropriate and to
ensure compliance with other statutory provisions. Treasury will take additional steps to restore


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Non-Appropriated Accounts

—_

- Four Treasury bureaus are funded with resources derived solely from their
own activities, classifying them as non-appropriated accounts

+ The United States Mint operates on proceeds from the sales of circulating coins to
the Federal Reserve Banks and numismatic items to the public

+ The Bureau of Engraving and Printing operations are financed by means of a
revolving fund established in 1950 and reimbursed through product sales

+ The Office of the Comptroller of the Currency is primarily funded from semiannual
assessments levied on national banks

+ The Office of Thrift Supervision revenue is derived principally from assessments
on savings associations and savings and loan holding companies

President's Increase! Perc

(Dollars in Thousands) Enacted Enacted Budget Decrease Change
Bureau of Engraving and Printing 566,000 531,000 559,500 28,500 5.4%
Office of the Comptroller of the Currency 638,433 749,100 810,872 61,772 8.2%
Office of Thrift Supenision 232,500 245,500 251,638 6,138 2.5%

UI States Mint

2,175,326 -2.3%

ABM

2,125,

1,814,208



Bureau Detail

November 2008

ERR ELE



Community Development Financial Institutions
Fund (CDFI)

FY 2007 FY 2008 FY 2009

Enacted Enacted President's Increase/ Percent

Appropriation Budget Decrease Change
Salaries and Expenses $54,506 $94,000 $28,620) ($65, 380): (69.6%)
CDFI Program 31,881 58,480. 24,417 (34,063) (58.2%)
New Markets Tax Credit 4,258 4,120 4,203 83 2.0%
Bank Enterprise Award 12,551 21,400 0 (21,400) (100.0%)
Native ives 5,816 10,000) 0 (10,000) (100.0%)

CDF promotes economic revitalization and community development through investment in and assistance to

community development financial institutions (CDFls). CDFI funding is provided within the following budget
activities:

CDFI Program:

+ Provides federal resources to CDFis investing in economic development (job creation, business
development, and commercial real estate development), affordable housing, and financial services
projects targeting underserved communities and low-income individuals

Bank Enterprise Award Program:

+ Provides monetary awards to financial institutions for increasing community development activities in
distressed communities throughout the nation

+ Provides financial incentives to expand investments in CDF ls and increase lending, investment, and
service activities within economically distressed communities

Native Initiatives:

+ Comprises programs designed to overcome barriers preventing access to credit, capital and financial
services in Native American, Alaska Native and Native Hawaiian communities

New Markets Tax Credit:

+ Allocates tax credits to community development entities (CDEs), which in turn provide tax credits to
private investors in exchange for equity investments in projects serving low-income communities
+ Includes administrative expenses of the program :

1

3


Freddie maintain a positive net worth and can continue to buy and sell mortgages. The Legal
Division continues to monitor these authorities.

American Council for the Blind Litigation

The Legal Division, principally the AGC (GLER) and the Chief Counsel of BEP, continues to
play an integral role in defending a class action lawsuit, which claims that the Treasury
Department discriminates against visually impaired individuals by failing to design, produce, and

issue paper currency that is readily distinguishabte to blind and-visually impaired people: Fh
district court and the D.C. Circuit granted and sustained plaintiffs’ summary judgment on the
main legal issue—whether the Treasury Department violated Section 504 of the Rehabilitation
Act by discriminating against the blind and visually impaired with regard to U.S. currency. The
Department is currently in the process of resolving the remaining issues in the case and
redesigning the currency to make it more accessible to the blind with the help of a
comprehensive study that should be finalized by February 28, 2009.

Terrorist Finance Tracking Program

The Treasury Department issues administrative subpoenas for terrorist-related data to SWIFT, a
company that operates a worldwide messaging system used to transmit completed financial
transaction information. This valuable Terrorist Finance Tracking Program is the subject of a
pending lawsuit in which plaintiffs are seeking injunctive and monetary relief. The Department
is working with the Justice Department in defending the suit.

Executive Orders and National Emergencies

Under the National Emergencies Act and the International Emergency Economic Powers Act
(“IEEPA”), the President can use an Executive Order to declare a national emergency with
respect to a foreign-based threat to our national security, foreign policy, or economy and to put in
place economic sanctions to deal with that threat, As of November 5, 2008, there were three
such potential threats that might require action through such an Executive Order in the near

future, and Treasury Jawyers are preparing relevant drafts

Housing and Financial Market Tax Issues

The IRS and Tax Legislative Counsel have developed many tax guidance items on issues such as
municipal bond purchases by issuers; loss corporations and the limits on deductibility of loss
carryovers; money market funds and Federal guarantees; real estate mortgage investment
conduits (REMICs) and work-outs of mortgages. These timely issues need to be quickly
addressed so Treasury can continue to provide the necessary support for our nation’s economy.

Committee on Foreign Investment in the United States (CFIUS) Regulations and Cases

Treasury recently issued proposed regulations implementing the Foreign Investment and
National Security Act of 2007 (FINSA), which amended the CFIUS law. The Legal Division is

working with the CFIUS staff to prepare final regulations.


Internal Revenue Service
(IRS)

—

FY 2007 FY 2008 FY 2009

President's Increase! Percent

Appropriation Enacted Enacted Budget Decrease Change
Taxpayer Services $2,138,238 $2,150,000 $2,150,000 $0 0.00%
Pre-filing Taxpayer Assistance and Education 576,537 645,375 617,326 (28,049) (4.35%)
Filing and Account Services 4,561,701 4,504,625 4,532,674 28,049 1.86%
Enforcement $4,686,477 $4,780,000 $5,117,267 $337,267 7.06%
investigations $76,785 593,794 603,466 9,672 4.63%
Exam and Collections 3,959,741 4,038,309 4,363,826 325,517 8.06%
Regulatory 149,951 147,897 149,975 2,078 1.41%
[Operations Support $3,544,835 $3,680,059 $3,856,172 $176,113 4.79%
Infrastructure 845,203 843,720 883,325 39,605 4.69%
Shared Senices and Support 4,179,216 4,170,686 4,243,703 73,017 6.24%
Information Services 4,520,416 4,665,653 4,729,144 63,491 3.81%
Business Systems Modernization $212,659 $267,090 $222,664 ($44,426) (16.63%)
Health Insurance Tax Credit Administration $14,856 $15,235 $15,406 $171 4A2%
Total Appropriated Resources $10,597,065 $10,892,384 $11,361,509 $469,125 4.31%

IRS administers America’s tax laws and collects the revenue that funds most federal govern!

ment operations.
IRS funding is provided in five appropriations:

Taxpayer Services

Enforcement

Operations Support

Business Systems Modernization

+ Health Insurance Tax Credit Administration

.

.



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Alix, Cathy

a — — — — NT

From: Schmader, Catherine

Sent: Friday, July 18, 2008 10:57 AM

To: DeLuca, Laura; Minor, Mario; Coleman, Sherri; Granat, Rochelle; Alix, Cathy

Ce: Coachman-Steward, Rhonda; Cannon, Dennis; Marshall, Stephanie; Nalli, Christine; Barnes,
Shalamar; Hastings, Rick; Crawford, Tonya; Hyland, Jim

Subject: Ethics Training Attendance

importance: High

Attachments: Attended Ethics Training.xls

(b) (5)

Outside of DO, the following have also attended training:

Attended Ethics
Training.xis (...

Catherine R. Schmader
Executive Resources Program

Human Capital Strategic Manag:
Phone: 202-622-0396
Fax: 202-622-2278


Transition Benefits — Quick Facts

Federal Employees Group Life Insurance (FEGLD

If you retire on an immediate annuity, you can continue your FEGLI coverage if you have been enrolled for at

least the last five years of service or since your first opportunity to enroll.

If you do not meet the requirements for continuing coverage into retirement, your FEGLI coverage will stop at
the end of the day on which you separate from service. You then have a3 1-day free extension of coverage
during which you may convert to an individual policy.

Federal Employees Dental and Vision Insurance (FEDVIP) - If you are eligible to retire on an immediate

annuity, your FEDVIP coverage will continue into retirement. If you are not eligible to retire, your FEDVIP
coverage will terminate when you separate from Federal service. There is no 31-day extension of coverage,
Temporary Continuation of Coverage (TCC), or opportunity to convert to a private plan when your FEDVIP

coverage ends.

Federal Long Term Care Insurance Program (FLTCIP) -- Your FLTCIP insurance coverage will continue

as long as you continue paying premiums to the Long Term Care Partners. You can pay premiums directly, by
automatic debit from your bank account, or have premiums withheld from your retirement annuity.

Flexible Spending Account (FSAFEDS) Program -- If you separate or retire before the end of the 2008

Benefit Period (December 31, 2008), any eligible health care expenses incurred before your date of separation
can be reimbursed from your Health Care Flexible Spending Account (HCFSA) or Limited Expense Health
Care Flexible Spending Account (LEX HCFSA). Expenses incurred after the separation date are not
reimbursable. If you have used your entire elected amount before FSAFEDS has deducted it from your pay:

you will not be responsible for the remaining allotments. You can continue to use the remaining balance in
your Dependent Care Flexible Spending Account (DCFSA) to pay for eligible dependent care expenses until the
end of the Benefit Period (December 31, 2008) or until your account balance is used up, whichever comes first.

Thrift Savings Plan (TSP) Account

You are always vested in your own TSP contributions, in the matching contributions the agency makes for
FERS employees, and in the earnings on the employee and matching contributions. However, FERS employees
must complete 2 or 3 years of civilian service to be vested in the Agency Automatic (1%) contributions.

When you leave Federal service, you may leave your money in the TSP, make a partial withdrawal, or make a
full withdrawal. You can have the TSP transfer all or part of any single payment or, in some cases, a series of
monthly payments, to a traditional IRA or eligible employer plan. You may also be eligible to transfer to a
Roth IRA; however, rules and restrictions apply. Before you request any withdrawal, read the booklet
Withdrawing Your TSP Account After Leaving Federal Service and the tax notice Important Tax Information
‘About Payments From Your TSP Account, available on the TSP website, http://www.tsp.gov/. :

Unused Annual Leave and Sick Leave

When you leave Federal service, you will receive a lump sum payment for unused annual leave. Generally, the
payment will equal the pay you would have received if you remained employed until expiration of the period
covered by the annual leave. if you are reemployed in the Federal service, you may be required to repay the
annual leave lump sum payment. Unused sick leave may be used to increase retirement benefits under CSRS.
Generally, FERS employees do not receive retirement credit for unused sick leave, but your sick leave may be
recredited to your account if you return to Federal service. -

Unemployment Compensation for Federal Employees (UCFE)

Unemployment compensation is provided through the State in which your last official duty station is located.
Benefit levels and eligibility requirements vary from State to State. Note: Resigning before receiving a request
to resign is generally considered an unprompted resignation and is not usually viewed as sufficient for
unemployment compensation purposes. °


Homeland Security Council Policy and Initiatives: While it does not currently
comprise a separate program, the Office serves as the Department’s primary liaison to the
Homeland Security Council (HSC). It coordinates the Treasury response to HSC
initiatives and represents Treasury on numerous interagency senior official forums that
exist to address strategic national security and emergency preparedness issues. Examples
include Policy Coordination Committees (PCCs) such as the Pandemic Influenza PCC
and sub-PCC; Continuity PCC; the Plans, Training, Exercises and Evaluation PCC; and
the Domestic Readiness Group. Examples of the operational forums include the Joint
Federal Committee (JFC), JFC Emergency Management Sub-Committee, and the
National Capital Region Operations Center Working Group.

Test, Training & Exercise Program: The Test, Training, and Exercise (TT&E) program
directly supports the Office’s SIP/E, EM, and Continuity Programs. By implementing a
robust training and exercise schedule, this program measures the extent to which
Treasury’s emergency and continuity plans, policies, procedures, systems, teams, and
alternate operating facilities meet Treasury, Homeland Security Council, and Department
of Homeland Security/ Federal Emergency Management Agency expectations.

Emergency Communications: The Emergency Communications Program provides an
array of equipment and services to Treasury Senior Staff and Continuity team members
to ensure the interoperability of the Department’s and Bureaus’ various Emergency
Programs and their ability to safely and securely transmit voice and data information.
This includes Wireless Priority Service, Secure Video, High Frequency HF-ALE radios
at Headquarter and Bureau sites, Top Secret Satellite Phones, Top Secret Cell Phones,
Secure facsimile and:Telephones and GETS cards.

Emergency Information Management Program: This program partners with the
Office of Privacy and Treasury Records to ensure that suitable protective measures are in
place for Treasury emergency records and copies of DO/B vital records sets. Vital
records include “Emergency Operating Records” and “Rights and Interests” Records.

Big Decisions


Enforcement
(IRS)
a a TT
[ FY 2007 FY 2008 FY 2009

President's | Increase/ Percent

Appropriation Enacted Enacted Budget Decrease | Change

Enforcement $4,686,477 $4,780,000 $5,117,267 $337,267 7.06%
Investigations 576,785 593,794 603,466 9,672 1.63%
Exam and Collections 3,959,741 4,038,309 4,363,826 325,517 8.06%
Regulatory 149,951 147,897 449,975 2,078 4.41%

The Enforcement appropriation deters taxpayers inclined to evade their responsibilities while vigorously
pursuing those who violate tax laws. Enforcement funding is provided within the following budget activities:

investigations:
+ Investigates potential criminal violations of internal revenue tax laws, enforces criminal statutes relating to

these violations, and recommends prosecution as warranted
+ |dentifies and documents the movement of both legal and illegal sources of income to identify and

document cases of suspected intent to defraud
+ Investigates and prosecutes tax/money laundering violations associated with narcotics organizations

Exam and Collections:
+ Enforces the tax laws and compliance through examination and collection programs that ensure proper
payment and tax reporting
+ Supports appeals and litigation activities associated with exam and collection

Regulatory:
+» Develops IRS guidance materials; interpretation of tax laws; advice on rulings and agreements;

enforcement of regulatory rules, laws, and approved business practices; and supporting taxpayers in the
areas of pre-filing agreements, determination letters, and advance pricing agreements



Strategic Economic Dialogue (SED)

Overview

The U.S. China Strategic Economic Dialogue (SED) was launched in September 2006.
This Dialogue, occurring at the highest official levels, is the first of its kind, reflecting the
growing interrelati ship between the U.S. and Chinese economies by providing an

overarching framework for existing discussions and future economic relations.
Specifically, it examines long-term strategic issues, provides coordination among the
specialized continuing dialogues, and prioritizes the economic agenda between the
United States and China while creating a track record of concrete outcomes. SED also
creates a forum for discussing ways the United States and China can work together to
address economic challenges (such as the recent global economic turmoil) and
opportunities as responsible stakeholders in the international economic system.

The Strategic Economic Dialogue is convened semi-annually in the United States and
China, with the next meeting scheduled for December 4-5, 2008, in Beijing. Each
session is lead by the “special representatives” of the two countries’ Presidents, currently
Secretary Paulson in the United States and Vice Premier Wang Qishan in China, whose
delegations are comprised of Cabinet officials from each country. For the December
meeting, the U.S. delegation will include approximately 10 U.S. Cabinet officials, and the
Chinese delegation anticipates about 15 Ministers. At each session of the SED, the host
country’s President formally receives the Dialogue’s participants.

In China, President Hu designated Vice Premier Wang Qishan (who has a direct and
close relationship with Hu and Chinese Premier Wen) in March of 2008 to lead the
Chinese side of the Dialogue. In that role, he has been given full decision making
authority across all aspects of the Chinese economy as it relates to the United States,
including trade, finance, macroeconomic policy, energy, the environment, and healthcare.
President Hu has also created a special ministerial-level working group composed of all
18 economic and related Chinese ministries specifically to support the SED. At the end
of each formal session of the Dialogue, the two sides issue a joint fact sheet that shares
publicly the results of the work that the two sides have concluded since the last meeting
of the SED, and lays out a work plan for the next six months. As such, the Dialogue is a

process which continues throughout the year.

The SED helps to ensure that the leaders of the two countries are focused on critical
economic challenges facing their economies, have a forum for discussing cross-cutting
issues, and can make the most productive use of the existing bilateral commissions and
dialogues. Themes from the Dialogue include: seizing the opportunities of global
integration and trade; unleashing the power of innovation, competition and markets;
meeting the challenges of demographic change; ensuring energy security; and promoting
conservation and economic growth. The United States will also support China in China’s

goal of building a consumer-driven economy rooted in open markets. The intent of this


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| Bureau of Engraving and Printing

Overview:

The Bureau of Engraving and Printing (BEP) is the security printer for the United States. The
BEP designs and manufactures Federal Reserve notes (U.S. paper currency) and also produces
other types of security priming products s vrctras-passport-doeuments on behalof Federal. __
agencies. The BEP operates from two Jocations: Washington, D.C. and Fort Worth, Texas.

facility produces about 50% of the nation’s currency. The BEP currently employs 2,000

workers, all of whom are career civil servants.

Operating Budget:

The Bureau’s annual operating budget is roughly $550 million. BEP operations are financed
through an industrial revolving fund, meaning that the Bureau is directly reimbursed for its work
by customers and does not receive annual appropriations from the Congress. By far, the
Bureau’s largest customer is the Federal Reserve System. During Fiscal Year 2008 the BEP

manufactured more than 7 billion individual currency notes on behalf of our nation’s central

bank.



¢ The Deputy Executive Secretaries routinely attend interagency, intra-departmental, and inter-
bureau meetings and conferences as an observer and spokesperson for the Secretary or
Deputy Secretary and to communicate Treasury policies on pertinent issues.

ESPU’s additional functions include: managing Congressional reporting, the TIRE process
and the information flow with the National Security Council; coordinating “global” emails;
tracking overdue Congressional and VIP correspondence; and processing scheduling

requests, the CFIUS and White House Weekly Updates, awards, and MILAIR requests.

« The Correspondence Unit’s additional functions include: managing the telephone comment
line, processing FOIA requests and Eagle Scout letters, distributing NSC documents, and

managing WH correspondence.

A member of ExecSec is always on-call to perform ExecSec functions that are required after
normal work hours or during weekends and holidays.

PERSONNEL & IMMEDIATE HIRES:

Deputy Executive Secretaries: The DES for International Affiars, TF] and Management is a
career employee. The second DES spot is vacant and has traditionally been filled with a political
appointee. The portfolio focuses on Domestic Finance and Economic and Tax Policy.

ESPU: ESPU is comprised of two Presidential Management Fellows (PMFs) and one detaiolee
here from FMS through April. One PMF is scheduled to leave ExecSec in the spring. The other
is a PME on rotation from IRS through April. The detailee from FMS is covering the vacant
third Special Assistant position which has traditionally been filled with a political appointee.

Correspondence: The Office Director is retiring on January 3. Hiring a well-experienced
replacement with strong leadership abilities should be a top priority. The Correspondence Unit

is comprised of all career employees.


Office of the Treasurer

Overview:

The United States Treasurer’s principal duties include advising the Director of the Mint, the
Director of the Bureau of Engraving and Printing, the Deputy Secretary and the Secretary on
matters relating to coinage, currency and the production of other instruments by the United
States—Fhe-Freasurer participates-in the redesign and promotion of our nation’s paper money to

protect the integrity of our currency and to stop counterfeiting.

The Treasurer serves as one of the Treasury Department's principal advisors and spokespersons.
One of the major areas of outreach is in financial literacy and education. Further, the Treasurer
promotes the President’s and the Secretary’s economic agenda to ensure strong economic growth
and works to encourage and assist the millions of unbanked Americans to join the financial

mainstream.

Operating Budget:
Our initial operating budget for Fiscal Year 2008 was $448,157.00.

Actual budget numbers were slightly higher as the number increased as the year progressed to
accommodate unfunded requests. The Fiscal Year 2009 numbers are not yet available, and will

not be available until the budget is passed.

On September 30, 2008, a Continuing Resolution (CR) was signed through March 6, 2009.
While operating under the CR, we ensured there was no spending on new projects or initiatives.
In addition, all non-essential spending, including non-essential travel, training, subscriptions, and

supply purchases were delayed.

Personnel:

The Office of the Treasurer consists of four full time staff members. The United States
Treasurer is at the top of this chart. Below the Treasurer is the Senior Advisor who serves as the
Treasurer’s main policy advisor. In addition, the Treasurer has a Scheduler/Special Assistant
who is responsible for organizing the Treasurer’s participation in events and coordinating all
logistical aspects regarding the Treasurer’s participation in speaking events. The Executive
Assistant performs routine office work.

Immediate Action Items/Deadlines:

The Office of the Treasurer has no current projects which require immediate attention within the
first 90 days.


Secretary

Deputy Secretary
International Affairs
TFI

Domestic Finance.
Domestic Finance
Domestic Finance
Domestic Finance
General Counsel
Treasurer

Public Affairs
Legislative Affairs
Management
Economic Policy
international Affairs
International Affairs
TFI

TFI

Tax Policy

U.S. Mint

Int'l Affairs - Bank
Int'l Affairs - Bank
Int'l Affairs - Bank
Int Affairs - Bank
int'l Affairs - Bank
Int'l Affairs - Bank
Int Affairs - Bank
Int! Affairs - Bank
Int'l Affairs - Bank
IRS Oversight Board
IRS Oversight Board
IRS Oversight Board
IRS Oversight Board
IRS Oversight Board
IRS Oversight Board
IRS Oversight Board

APPOINTEE COUNT

Secretary

Deputy Secretary
Under Secretary, IA
Under Secretary, TFI

__lUnder Secretary, Domestic Finance

Assistant Secretary, Financial Markets

Assistant Secretary, Financial Institutions

Assistant Secretary, Financial Stability

General Counsel

Treasurer

Assistant Secretary, Public Affairs & Director of Policy Planning
Assistant Secretary, Legislative Affairs

Assistant Secretary and CFO

Assistant Secretary, Economic Policy

Assistant Secretary, International Financial Markets & Investment Policy

Assistant Secretary, International Economics & Development
Assistant Secretary, intelligence and Analysis
Assistant Secretary, Terrorist Financing
Assistant Secretary, Tax Policy

Inspector General

Inspector General, Office of Financial Stability
Inspector General

Commissioner

Chief Counsel

Comptroller of the Currency

Director

Director

U.S. Executive Director - IMF

U.S. Executive Director - WB

U.S. Executive Director - IADB

U.S. Executive Director - Asia

U.S. Executive Director - Africa

U.S. Executive Director - Eurpoe

Alternate U.S. Executive Director - IMF
Alternate U.S. Executive Director - WB
Alternate U.S. Executive Director - ADB
Chairman and Member
Member

Member
Member
Member
Member
Member

Total PAS

PAS
PAS
PAS
PAS

“PAS

PAS

PAS

PAS

PAS

PAS

PAS
PAS
PAS

PAS

PAS
PAS
PAS
PAS
PAS
PAS
PAS
PAS
PAS
PAS
PAS
PAS
PAS
PAS
PAS
PAS
PAS
PAS
PAS
PAS
PAS
PAS
PAS
PAS

PAS
PAS
PAS

CS a

>


Froehlich, Carl
Tuesday, February 05, 2008 10:14 AM
Alix, Cathy
Cc: McCarthy, Peter
Subject: RE: Transition

Cathy,

Some thoug)



Scheduling Office / Front Office

Overview:
The scheduling process is controlled by the Director of Scheduling and the Deputy
£

Director of Scheduling. An Ouilook Calendar is maintained by the Direetor-of
Scheduling for the Secretary’s daily schedule. A Block Calendar is maintained by the
Deputy Director. This schedule covers up to year in advance and notes all possible travel
and large events. It is circulated to senior staff at the weekly Strategy Meeting.

‘A database known as TACT is used to track all incoming invitations to the Secretary.
This program electronically records all information for each invitation through every step
of the scheduling process. However, we made the decision not to put any social
invitations in TACT due to the large number received. All social invitations are filed
using a filing system pased on the date of the request.

Immediate Hires:

Both the Director of Scheduling (who is also the executive assistant to the Secretary) and
the Deputy Director of Scheduling are political appointees and will need to be filled

immediately.

The Basic Scheduling Process:
~ Allincoming requests are sorted by the Correspondence Office.
+ Request is logged into TACT by the Executive Secretariat Correspondence Unit

(ESPU).
. Ahard copy of the request with cover sheet is printed and given to the Deputy

Scheduler
« The Deputy Scheduler works with the Director to determine which Policy Office

should take the lead on the Recommendation.
» The Deputy Scheduler electronically tasks the chosen Policy Office to write the
Recommendation (1-5 day turnaround).
The Policy Office writes the Recommendation and works with ESPU to gain
appropriate clearances.
» The Policy Office submits an electronic copy and a signed (by Principal) hard

copy to ESPU.

.  ESPU checks the recommendation for accuracy and forwards to the Deputy
Scheduler.

« The Deputy Scheduler and Director of Scheduling meet with the COS on each
Recommendation.

. A final decision is made for each invitation using the Recommendation as a guide.
. The Deputy Scheduler takes the determined action for each invitation (Accept,

Decline, Offer Surrogate, Hold).
«All invitations are closed out in TACT once final action has taken place.


United States Mint

Overview:
Mission: The core statutory mission of the United States Mint is to execute the Secretary of the
coins in amounts necessary tO meet the needs of the

Treasury's respo bility to mint and issue
tes The United States Mint-also-carries out the Secretary’s statutory authorities to
tional medals. -

nited States— The uniec a=
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Alix, Cathy

From: Dick, Denise

Sent: Tuesday, December 16, 2008 12:32 PM
To: Alix, Cathy

Subject: Mgmt Awards

Cathy — this is the final list | have from management (and the award) for you to include in your ceremony in addition to your

politicals.



Office of the Comptroller of the Currency

Overview:

The Office of the Comptroller of the Currency (OCC) is a Treasury bureau headed by
John C. Dugan, whose five-year term expires in August, 2010. The OCC regulates
nationally chartered banks, which include all of the nation’s largest banks and about one
quarter of all mid-size and community banks. -



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U.S.-China Ten Year Energy and Environment Cooperation
Framework

Overview

The Ten Year Energy and Environment Cooperation Framework (TYF) under the U.S.-China

Strategic Economic Dialogue (SED) was created to foster long term, extensive collaboration to
L-sustainability, climate change and energy ecurity. The

address the chatienges of environmentat
aim of the TYF is to close the gap between energy and environmental targets set by each country

and performance of each country in meeting those targets. While these are not shared targets, the
two countries share the objective of developing a new model of environmental sustainability that
improves energy efficiency and reduces dependency on foreign oil while maintaining economic
growth. Asa result, the TYF is a flexible mechanism aimed at producing concrete results. It
does not attempt to address the political factors of climate change, but rather focuses on
ameliorating the root causes of climate change in each country. The initial five goals are:

1) Clean, Efficient and Secure Electricity Production and Transmission
2) Clean Water

3) Clean Air

4) Clean and Efficient Transportation

5) Conservation of Forest and Wetland Ecosystems

For each of these five goals, task forces have been established. Each task force, consisting of the
relevant U.S. and Chinese agencies, is working on developing an action plan for each goal.
These task forces are jointly managed by the Department or Agency on the U.S. side or the
Ministry on the Chinese side with the most direct technical expertise in the subject matter of the
particular goal. The lead agency on each side is responsible for coordinating all agencies on its

side with a stake in the goal.

To date, the Clean Water Action Plan is completed and cleared by both the United States and
Chinese Governments. The other four action plans are being negotiated and will be presented in
final form at the SED V meeting the first week of December in Beijing. In addition to these five
goals, it is anticipated that a six goal, energy efficiency, will be announced at the SED V meeting
in Beijing. These goals are designed to be flexible to sustain changes in policy and technology
advancement. The action plans are not binding documents, but rather organic mechanisms
aimed at prioritizing U.S. - China cooperation in each area. Both countries recognize that the

action plans will change over time.

A Joint Steering Committee has been established with the Secretary of the Treasury and the Vice
Premier of China serving as co-chairs. There are seven participating cabinet agencies for the
United States, including the Departments of the Treasury, State, Commerce, Agriculture,
Transportation, and Energy, the Environmental Protection Agency and the U.S. Technical
Assistance Agency. There are seven participating agencies for China, including the National
Development and Reform Commission, State Forestry Administration, National Energy
Administration, and the Ministries of Finance, Environmental Protection, Science and
Technology and Foreign Affairs. Additional agencies can be added by the United States and
China as appropriate. The Steering Group meets every six months, or at each SED. The


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e Office of the White House Liaison

Overview:

The Office of the White House Liaison (WHL) oversees the search, vetting, interviewing
and hiring process of all political appointees including Presidential Appointments Senate

——_——_—-confirmed(PAS), non-career Senior Executive Service (SES) and Schedule C positions.

The WHL office works in close consultation and coordination with the White House
Presidential Personnel Office (PPO) on these appointments. The office is comprised of
the White House Liaison and the Deputy White House Liaison.

The WHL also develops and distributes SES Commissions and Schedule C Appointment
Certificates as well as coordinates departure photos with the Secretary and departing
appointees. The WHL office is responsible for and oversees the Secretary’s Honor
Awards program for political appointees.

Critical Issues:

Attachments:

Transition Checklist for Arrival

Treasury Organizational Chart

Appointee Count by PAS, SES, Schedule C and Department

Non-career SES List



1 FOR THE ASSISTANT SECRETARY FOR FINANCIAL MARKETS

I designate the Deputy Assistant Secretary for Federal Finance.

J. FOR THE ASSISTANT SECETARY FOR MANAGEMENT

I designate the Deputy Assistant Secretary for Management and Budget.

K. FOR THE ASSISTANT SECRETARY FOR INTELLIGENCE AND ANALYSIS

I designate the Deputy Assistant Secretary for Intelligence and Analysis.

L. FOR THE ASSISTANT SECRETARY FOR TAX POLICY

I designate the Deputy Assistant Secretary for Tax Policy.

M. FOR THE ASSISTANT SECRETARY FOR PUBLIC AFFAIRS

I designate the Deputy Assistant Secretary for Public Affairs.

N. FOR THE COMMISSIONER OF INTERNAL REVENUE

I designate the Deputy Commissioner for Services and Enforcement.

O. FOR THE CHIEF COUNSEL, INTERNAL REVENUE SERVICE

I designate the Deputy Chief Counsel (Operations).

Any previous designations of First Assistants are hereby superseded.
OTHER DESIGNATIONS

Pursuant to 31 U.S.C. § 301()(1), I designate the following Assistant General Counsels, in the
order listed below, to act as General Counsel when the General Counsel is absent or unable to
serve or when the office of General Counsel is vacant.

The Assistant General Counsel designated as the Deputy General Counsel
The Assistant General Counsel (General Law, Ethics, and Regulation)
The Assistant General Counsel (Enforcement and Intelligence)

The Assistant General Counsel (Banking and Finance)

The Assistant General Counsel (International Affairs)

yRyne


Department of the Treasury
Office of Emergency Programs

Overview

The Department of the Treasury, Office of Emergency Programs coordinates and
facilitates Treasury emergency management programs and directly supports White
House, Department of Homeland Security (DHS), and other partners in critical national
security, Homeland Security, and emergency management initiatives.

Key Functions

Shelter-in-Place/Evacuation: The Shelter-in-Place/ Evacuation (SIP/E) program is the
foundation of the Treasury Department’s Emergency Programs. It ensures the safety and
protection of Treasury Departmental Office employees by providing situational
awareness, emergency notification, and incident response on behalf of Treasury
management, working directly with the United States Secret Service. It also develops
and implements comprehensive occupant emergency plans and procedures, conducts
training at Town Hall meetings and annual drills. Alert and notification systems include
fire alarm and emergency broadcast systems (EBS), E-Pop emergency alert software, and

a cache of emergency radios to provide occupant notifications during emergencies.

Emergency Management: The Emergency Management (EM) Program ensures that the
Treasury Department is prepared to continue Mission Essential Functions under all
circumstances, supports Senior Official decision making, and facilitates reporting
mechanisms to Federal, State, local, and Non-Governmental emergency management
partners and the White House during emergency events. The EM Program provides
tailored services to Treasury Departmental Offices and Bureaus (DO/B) to enhance their
preparedness for all hazards events. The EM Program also operates the Emergency
Management Center (EMC) which manages and coordinates DO/B response and
recovery efforts to emergency situations such as Hurricanes and increases its operational
status during higher risk events such as the State of the Union.

Continuity: The Continuity Program manages both Continuity of Operations (COOP)
and Continuity of Government (COG) requirements on behalf of the Department. The
COOP Program monitors DO/B’s on-going ability to continue Treasury’s Mission
Essential Functions (MEFs) and the overarching Primary Mission Essential Functions
(PMEFs) under all circumstances with minimal to no interruption. Program elements
include maintaining a primary and alternate COOP site (W2 and W4); a Treasury team of
essential personnel capable of performing all essential functions; interoperable
communications capabilities between the Departmental Offices COOP team, the Bureaus,
and other Federal agency COOP teams; and succession orders and pre-planned
devolution of authorities. The Office also supports the National COG Program which is a
coordinated effort within the Federal Executive Branch (FEB) to ensure the continuation
of National Essential Functions during a Catastrophic Emergency.


Office of Domestic Finance

Overview:

The Office of Domestic Finance advises and assists the Secretary and Deputy Secretary on the
domestic financial system, fiscal policy and operations, governmental assets and liabilities and

related economic and financial matters.

Immediate Hires:

The Office of Domestic finance is currently comprised of about 120 employees; of which 13 are
political appointments. There is an immediate need to bring on the following political and career

hires:

« Under Secretary for Domestic Finance
¢ Senior Advisor to the Under Secretary
e AS for Financial Stability
e Senior Advisor
Chief Operating Officer (career)
Chief Investment Officer (career)
Chief Risk Officer (career)
Chief Financial Officer (career)
Chief Compliance Officer (career)
Chief Homeownership Preservation Officer (career)
«AS for Financial Institutions
« Senior Advisor
¢ DAS Financial Institutions Policy -
¢ DAS Critical Infrastructure Protection and Compliance Policy
¢ DAS Financial Education
« AS for Financial Markets
e Senior Advisor
« DAS Federal Finance
« DAS Government Financial Policy

eeeeee

Critical Issues:

Temporary Guarantee Program for Money Market Funds

Under the Temporary Guarantee Program for Money Market Funds, the Department of the
investors that they will receive $1 for each money market fund share held
as of close of business on September 19, 2008. Eligible funds must be regulated under, and in
compliance with, Rule 2a-7 of the Investment Company Act of 1940, maintain a stable share
price of $1, and be publicly offered and registered with the Securities and Exchange
Commission. Both taxable and non-taxable funds are eligible for this program. To participate in
the program, eligible funds must pay a fee and complete the Guarantee Agreement and

found on this page. As the program covers all shareholders in a

as of close of business on September 19, 2008, individual investors
The President approved the use of existing Treasury authorities

Treasury guarantees to i

corresponding documents
participating eligible fund
cannot sign-up for the program.


D0

THE OFFICE OF THE DEPUTY ASSISTANT SECRETARY FOR
DEPARTMENTAL OFFICES OPERATIONS

Executive Summary

The Office of the Deputy Assistant Secretary for Departmental Offices Operations has
the responsibility for providing management and administrative support services for the
offices and employees in the Department’s headquarters offices (Departmental Offices).
The office oversees the Department’s headquarters owned and leased facilities, as well as
offices which provide various support functions in the areas of renovations, planning,
property management, relocation services, historic preservation and curatorial services,
telephone operator services, special events, food services, asset management,
safety/health/ environmental compliance, and printing and graphics.

Office of the Deputy Assistant Secretary for Departmental Offices Operations includes
the following organizations:

e Conference Event and Meeting Services ~ serves as the primary source for special
event and conference planning, meeting room and program management, and in-

house dining services.

« Curator — preserves the cultural resources of the Treasury Building and Treasury
‘Annex for the enjoyment of the public, Treasury employees, and future
generations.

« Environment, Safety, and Health ~ provides leadership and guidance on
Environmental, Energy, Safety, and Health issues at Departmental Offices and

Treasury’s bureaus,

Printing and Graphics — provides printing and graphics services in the most cost-
effective and efficient manner. Includes printing procurement, graphics design
services, and in-house printing operations.

e Real Estate and Facilities Management — functions as the single point of contact
for Departmental Offices in the areas of space management and allocation, mail

delivery, motor pool services, personal property management, relocation services,
maintenance, repair and alteration of assigned buildings.

¢ Telephone Operators — provides general public Treasury Department telephone
answering services and teleconference setup for Departmental Offices and
Bureaus from 6:00 AM to 7:00 PM seven days a week.

J Big decisions/deadlines
(b) (5)
°


g Bud:

. The Public Affairs annua! operating budget is roughly $2.4 million.

e Salaries and Bonuses — $2.2 million
« Travel — $105,000
« Other Expenses — $110,000

ical Issu



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Financial Management Service
(FMS)

os

FY 2007 FY 2008 FY 2009

Enacted Enacted | President's Increase! Percent

Appropriation Budget Decrease Change
Salaries and Expenses $235,381 $234,423! $239,344: $4,921 2.1%
Payments 148,408) 145,977 147,445 1,468 1.0%
Collections 17,434 19,804 21,481 1,677 8.5%
Debt Collection 5,029 0) 0 0 0.0%
Government-wide Accounting and Reporting 64,510 68,642) 70,418 1,776 2.6%

FMS, as the financial manager and principal fiscal agent for the federal government, manages the nations
payments, collects money due to the United States. Itis also responsible for central government-wide
accounting and reporting. FMS funding is provided within the following budget activities:

Payments:

+ Issues and distributes federal payments, develops and implements federal payment policy and procedures
promotes the use of electronic transactions reconciliation, accounting and claims
Collections:

+ Establishes and implements collection policies, regulations, standards and procedures for the federal
government

» Manages the collection of revenues needed to operate the federal government, including federal, individual,
and corporate income tax deposits, and other revenues

Debt Collection:

+ Provides centralized debt collection. Oversight and operational services for delinquent government and child

support debt as required by the Debt Collection Improvement Act of 1996 and related legislation
Government-wide Accounting and Reporting:

+ Maintains the federal government's books and accounts for monetary assets and liabilities by operating and
overseeing central accounting and reporting systems 18
+ Establishes fiscal and debt management polices and monitor the government's financial status



————————————————__—Sh

Adams, Shanda

680
Briskin, Michael

—— a

From:

Sent: Monday, September 08, 2008 1:35 PM
To: Adams, Shanda
Subject: FW: Guidlines/information for Farewell Events, exiting mementos, etc.

Mike

From: Knight, Bernard Jr.
Sent: Monday, September 08, 2008 1:12 PM

To: Briskin, Michael

Cc: Lepley, Richard
Subject: FW: Guidlines/Information for Farewell Events, exiting mementos, etc.

®» Mike,
Can you please assist Shanda?

Bemard J. Knight, Jr.

Assistant General Counsel

(General Law, Ethics & Regulation)
and Designated Agency Ethics Official
U.S. Department of Treasury

Phone: 202-622-1 137

Fax: 202-622-1176

From: Adams, Shanda

Sent: Monday, September 08, 2008 1:06 PM

To: Coffman, Robert; wright, Lillian; Knight, Bernard Jr.

Cc; Cannon, Dennis

Subject: Guidlines/Information for Farewell Events, exiting mementos, etc.



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Other Treasury Managed Resources

— _ — wn

+ In addition to operating funds provided through appropriations and non-
appropriated revenues, Treasury manages two centralized services accounts
funded by billings to Treasury bureaus and other federal customers:

+ Working Capital Fund provides Treasury-wide administrative services (primarily IT

services) to promote economies of scale and reduce overhead and duplicative
services within the bureaus

+ Treasury Franchise Fund provides administrative business processes solutions to
Treasury and other federal customers

President's Increase! Percent
(Dollars in Thousands) Enacted Enacted Budget Decrease Change

Working Capital 257,931 265,133 265,783 650 0.2%
Treasury Franchise Fund 437,902 467,440 495,419 27,979 6.0%

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U.S. government consolidated financial statements — joint with DF, the Fiscal Assistant
Secretary’s Office, and the Financial Management Service.
Specific industry issues:

o Telecom

o Aviation

o Automobile manufacturing

o Housing

Office of Macroeconomic Anatysis:

Office Director: Ralph Monaco

Topics:

Analysis of general macroeconomic and financial market conditions.

Corporate yield curve
Analysis of macroeconomic data releases
o Production of 350 to 400 reports each year on U.S. economic indicators.

Semi-annual Administration Troika forecast (joint with OMB and CEA).
Macroeconomic talking points for Public Affairs and Treasury officials.

“Profile of the Economy” chapter to the Monthly Treasury Bulletin.

Section on U.S. Macroeconomic trends for the semi-annual Treasury foreign exchange
report.

Information on the U.S. economy to the Financial Report of the U.S. government.
Data tables and data release calendars on the Treasury website.

Maintaining a public website summarizing current economic conditions.

Review of IMF Article IV report and OECD economic survey of the United States.
Assistant Secretary’s Quarterly Treasury Borrowing Advisory Committee.
Briefing documents for senior Treasury officials’ Congressional hearings.

Facts for and review of Treasury officials’ speeches.

Meetings with international officials to discuss U.S. economic conditions.
Analysis of economic policy proposals.

Development of economic policy initiatives.


business, estate and gift, excise, individual and payroll tax proposals, they work closely with the
other divisions in developing Treasury tax proposals or responding to Congressional proposals in
these areas, The division also is responsible for estimates included in the Tax Expenditures
section of the President's Budget.

Receipts Forecasting Division

The Receipts Forecasting Division provides the official Administration forecasts of all

Federal tax and other receipts included in the President's Budget and Mid-Session Review.
Monthly receipts forecasts are provided to the Office of the Fiscal Assistant Secretary for use in
determining the timing and size of government borrowing and for determining the amounts to be
deposited into many federal trust funds. The division also produces estimates of revenue
changes for certain tax proposals that are closely associated with receipts forecasts, such as
forms of payment and trust fund management, including the highway excise taxes and the federal

unemployment insurance taxes.

Critical Issues for OTA



Alix, Cathy

- — -
From: Dick, Denise
Sent: Tuesday, September 30, 2008 2:32 PM
To: Alix, Cathy
Subject: Transition
Info needed:

e budget

org charts

* executive summary
* big decisions/ deadlines
e hot topics


OFFICE OF TAX POLICY

The Office of Tax Policy (OTP) assists the Secretary in developing and implementing tax
policies and programs; provides the official estimates of all Government receipts for the
President's budget, fiscal policy decisions, and Treasury cash management decisions; establishes
flected in regulations and rulings and guides preparation of them with the

Service (IRS) to implement and administer the Internal Revenue Code;
d-representsthe United States in meetings and

policy criteria re
Internal Revenue

negotiates tax treaties for the United States
work of multilateral organizations dealing with tax policy matters; and provides economic and

legal policy analysis for domestic and international tax policy decisions.

TAX COUNSELS

The Tax Legislative Counsel, International Tax Counsel, and Benetits Tax Counsel
provide legal advice to OTP. In addition to the critical issues described below, the offices of the
three tax counsels are actively involved in completion of an ambitious Priority Guidance Plan.
This Plan is formulated each year in response to input from all interested parties, including
taxpayers, tax practitioners, and industry groups. The Plan focuses resources at the Treasury
Department and the IRS on the guidance most important to taxpayers and tax administration.
The 2008-2009 Priority Guidance Plan contains 314 projects to be completed over a twelve-
month period, from July 2008 through June 2009. The Plan is updated during the plan year (July
1 — June 30) to reflect additional guidance that will be published during the year. Items of
particular importance on the Plan include updating the tax rules for “cost sharing agreements”,

and other items discussed below.

Office of the Tax Legislative Counsel (TLC)

Office Overview. TLC develops and reviews policy, legislation, regulations, revenue
rulings, revenue procedures, and other published guidance dealing with all aspects of domestic
Federal tax Jaw (other than employee benefits taxation matters handled by the Office of the
Benefits Tax Counsel). TLC is responsible for advising the Assistant Secretary (Tax Policy) and
other Treasury officials on the formulation of the Administration's domestic tax policy, for
formulating, analyzing, and reviewing domestic tax legislation, and for preparing the
Administration’s testimony on such legislation. TLC assists Congressional staff in drafting
legislation and in documenting the legislative history of domestic tax legislation. In consultation
with IRS (Chief Counsel), TLC is responsible for review of all Treasury Regulations and IRS
revenue rulings, revenue procedures, and other published guidance relating to domestic tax

issues. Currently, TLC has 16 attorneys.

Key Biographies. The Acting TLC is Eric A. San Juan, who has been Deputy TLC (Tax
Legislation) since 2006, after joining this Office in 2002. Previously, he served as an assistant
professor of law at St. Louis University, an associate at Hale and Dorr, and a judicial clerk at the
U.S. Tax Court. He is a graduate of Harvard University (J.D. 1991, A-B. 1987).

The Deputy TLC is John H. Parcel, who became Acting Deputy in 2001, and has been
with this Office since 1987. Previously, he worked at TRS’ Legislation and Regulations
Division. He is a graduate of Georgetown University (LL.M. 1978, LL.B. 1975, B.A. 1969).


executing the Treasury Department’s TARP programs and strategies in coordination with other
Departmental Offices.

The Assistant Secretary further exercises this authority in consultation with the Board of
Governors of the Federal Reserve System, the Federal Deposit Insurance Corporation, the
Comptroller of the Currency, the Chairman of the National Credit Union Administration Board,
the Director of the Office of Thrift Supervision, and the Secretary of Housing and Urban

Development.

Chief Operating Officer

The Chief Operating Officer (COO) works in conjunction with the Assistant Secretary to
develop the infrastructure to support the TARP Program and administer its operations. The COO
facilitates communication among the TARP units and between the TARP’s policy and
investment resources and operating divisions. The COO manages the TARP budget in
conjunction with the Chief Financial Officer (CFO) and works closely with Treasury’s
administrative resource unit to ensure that the TARP can operate efficiently and effectively.

Chief Investment Officer

The Chief Investment Office (CIO) is responsible for the approval and asset management of all
investments made pursuant to the TARP. Investments can be made either by purchasing or
insuring “troubled assets” (as defined in EESA). To date, the CIO has made direct investments
in the form of preferred equity and warrants in qualified financial institutions pursuant to the
Capital Purchase Program (CPP). Purchases of portfolios of mortgage-backed securities, other
asset-backed securities, whole loans or other “troubled assets” may occur either directly or
through investment vehicles.

The CIO will manage all assets it acquires or insures through contracted asset managers and a
custodian. The CIO also manages a contract with an investment advisor who provides guidance

on the selection of asset managers.

Chief Risk Officer

The Office of the Chief Risk Officer (CRO) is responsible for identifying the most significant
risks that the TARP faces. These risks include operational tisk, credit risk, market risk, and

reputational risk.

The CRO will assess those risks (either quantitatively or qualitatively) and work to ensure that
this assessment is integrated into the decision making processes of each business line of the
TARP and that risks are managed in a consistent fashion across business lines. The CRO will
oversee the development of risk metrics and mechanisms to enable the evaluation and reporting
of the risks associated with each business line and the aggregate risks to the TARP portfolio.
The CRO will track the evolution of these risks over time.


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The Department of the |
Treasury

Budget Overview

November 2008 |


Strategic Economic
Dialogue



financial market stability in a clear and efficient manner while ensuring that the taxpayer is
properly protected.

Executive Compensation

Section 111 of EESA provides that financial institutions that sell assets to the Treasury are
subject to specified executive compensation standards. Under EESA, different standards apply
depending on whether the Treasury purchases assets pursuant to an auction/market purchase or a

“direct purchase. The Treasury has issued guidance, developed by the Office of Tax Policy and
the Office of Domestic Finance, on these executive compensation standards as they apply for
particular EESA programs: Interim final regulations provide guidance for participants in the
Capital Purchase Program; Notice 2008-PSSFI provides guidance for direct purchases for
systemically significant failing institutions; Notice 2008-TAAP and IRS Notice 2008-94 provide
guidance for financial institutions participating in auction purchases. Further guidance may be
required for any new programs or as the need otherwise arises

Program Reports

Under the EESA, Treasury is required to submit a Tranche Report to Congress (Report) and
submitted that Report to Congress on November 4. The Report is the first report under section
105(b) of the EESA and is intended to meet the requirements for reporting at the $50 billion and
$100 billion commitment levels, because Treasury has made transactions of approximately $125
billion under EESA. Treasury will submit the next report when transactions to purchase troubled

assets reach the $150 billion level


| PAS Position Designated Acting Specific | Basis of designation |
Official authority for |
— acting |
A/S (Tax Policy) DAS (Tax Policy) Secretary’s written i
designation herein {
‘AVS (Economic Policy) DAS (Macroeconomic Secretary’s written i
Analysis) designation herein |
A/S (Financial DAS (Financial Secretary’s written
(Institutions) _ Institutions Policy) designation herein
TAs (Financial Markets) DAS (Federal Secretary’s written
i Finance) designation herein
AUS (Public Affairs) DAS (Public Affairs) Secretary’s written
i i to designation herein '
A/S (Management) “DAS (Management & Secretary's written '
. Budget) designation herein i
Chief Financial Officer | Deputy CFO Only Deputy i
Assistant GC/Chief Deputy Chief Counsel Secretary’s written
Counsel IRS (Operations) designation herein
Treasurer of the U.S. i i
| Director of the Mint ' Deputy Director Only Deputy
i A/S (Terrorist “DAS (Terrorist Only Deputy
| Financing) | Financing and
| ; | Financial Crimes)
AUS (intelligence and | DAS (Intelligence & Secretary’s written
Analysis) _ Analysis) i designation herein |
Abbreviations: "PAS" is Presidentially-appointed, Senate-con firmed; “U/S" is Under Secretary;

"A/S" is Assistant Secretary, "DAS" is Deputy Assistant Secretary.


Deputy Assistant Secretary for Tax, Trade, and Tariff Policy in the Office of

TTB reports to the
Tax Policy.


Department-wide Systems & Capital Investment
Program (DSCIP)

es a

i FY 2007 [| FY 2008 FY 2009
Enacted Enacted | President's Increase/ Percent
Appropriation Budget Decrease Change
Department-wide Systems and Capital Investments Progran $30,268 $18,710 $26,975) $8,265 44.2%

DSCIP is authorized for use by or on behalf of Treasury bureaus at the Secretary's discretion, to modernize
business processes and increase efficiency through technology investments. As a zero based account
DSCIP funding is provided annually for specific investments. The FY 2009 request provides funding for the
following projects:

Annex Repair and Renovation:

+ Addresses the immediate need to repair the Treasury Annex Building, with long term plans for renovation

Treasury Secure Data Network (TSDN):

« Provides analysts with enhanced data search tools, and improved analysis

Cyber Security:

* Protects the security and integrity of Treasury's classified and unclassified systems, addresses
weaknesses and conducts real-time security assessments

Enterprise Content Management (ECM): :

« Enhances data management, increases efficiencies, reduces overall costs and allows for the retirement
of legacy systems

E-Government:

+ Leverages existing systems and services to reduce costs and duplication within Treasury and across
government

16


Office of Legislative
Affairs


APPOINTEE COUNT

Domestic Finance Program Coordinator (Financial Education)

Domestic Finance Senior Advisor to the Under Secretary

Domestic Finance Special Assistant to U/S

Domestic Finance Senior Advisor, Financial Institutions

Domestic Finance Senior Advisor, Financial Markets

Econ Policy. Senior Advisor to AS

Legislative Affairs Special Assistant, Tax & Budget

Legislative Affairs Special Assistant, Banking & Finance

Legistative Affairs Special Assistant, International

Legislative Affairs Special Assistant to the A/S

Legislative Affairs Special Advisor

Legislative Affairs Deputy to the A/S

Management Special Assistant

Management Senior Advisor

Public Affairs Senior Speechwriter

Public Affairs Sr. Advisor to the A/S

Public Affairs Policy Advisor to the Secretary

Public Affairs Sr. Advisor, Business Affairs & Public Liaison

Public Affairs Special Advisor, Business Affairs & Public Liaison

Public Affairs Director of Public Affairs

Public Affairs Public Affairs Specialist

Public Affairs Public Affairs Specialist

Public Affairs Public Affairs Specialist

Public Affairs Media Coordinator

Tax Policy Senior Advisor

TF Senior Advisor and Chief of Staff to the U/S

TFI Senior Advisor to the U/S

TFi Senior Advisor to the Assistant Secretary (TF)

Treasurer Senior Advisor

Treasurer Special Advisor

U.S. Mint Deputy Chief of Staff

U.S. Mint Special Assistant to Director

U.S. Mint Special Assistant to Director of Leg Affairs

U.S. Mint Director of Leg. & Intergovernmental Affairs
Total SKC

TOTAL APPOINTEE POSITIONS

122


Taxpayer Services
(IRS)

— a
\- FY 2007 FY 2008 FY 2009
President's | Increase/ Percent
Appropriation Enacted Enacted Budget Decrease | Change
Taxpayer Services $2,138,238 | _ $2,150,000 $2,150,000 $0 0.00%
Pre-filing Taxpayer Assistance and Education 576,537 645,375 617,326 (28,049) (0)
Filing and Account Sernices 4,561,701 1,504,625 1,532,674 28,049 1.86%

The Taxpayer Services appropriation assists taxpayers with understanding and meeting their tax
obligations. Taxpayer Services funding is provided within the following budget activities:

Pre-filing Taxpayer Assistance and Education:

+ Assists taxpayers with tax return preparation, including tax law interpretation, publication production,
and advocate services

Filing and Account Services:

+ Provides filing and account services to taxpayers, processes paper and electronically submitted tax
returns, issues refunds, and maintains taxpayer accounts


———————————

(0 SREASURY DEPARTMENT FEDERAL CREDIT UNION

POC — 1-800-344-4497
The Treasury Department Federal Credit Union is located in the Treasury Annex, For more information or to join you can visit
www.tdfcu.org or call 1-800-344-4497.

CO TREASURY DEPARTMENT RECREATION ASSOCIATION- BUSINESS CARDS

POC — Barry Stevens, 622-2 123
The Treasury Department TDRA provides a business card and social printing service and operates a Catalog Store of Treasury
Department logo items where members receive discounts. It is located in the basement level of Main Treasury. For business card
orders you can visit http://www recgov.org/treasury.

(1 PRINTING DIVISION
POC — Printing and Graphics Division 622-1438
The Printing Division has the ability to produce a variety of documents. They are located in the Treasury Annex Room SB-12.

(2 Graenics DIVISION

POC -Graphies Division 622-2160

The Graphics Division has the ability to produce flyers, brochures, color copies or photographs. They are located in the Treasury
Annex Room B-39.

(2 PHOTOGRAPHIC SERVICES

POC —Chris Taylor 622-2621

The Treasury Photographer can assist with photographing events for the Secretary or Treasury Senior Staff. Please contact
Photographer Chris Taylor at 622-2621.

C1 CLEARING VISITORS INTO THE BUILDING

POC -USSS, 962-6720

To clear visitors into Main Treasury and the Treasury Annex you need to provide the date of birth and social security number to the
Secret Service. Enter this information only on the Treasury intranet at http://home.do.treas gov/appointments!.

1 PARKING/METRO CHECKS

POC —Administrative Contact/Veris Bailey, 622-6333

Each office is allotted a specific number of parking spots. To obtain a parking spot you can speak with your administrative contact. If
you do not receive a parking spot you are eligible to participate in the Metro Benefit Program. Contact Veris Baley for more- ee
information on the program.

SUPPLIES
POC ~Administrative Contact
To obtain office supplies you can ask your administrative contact. Your office contact will be able to order you the needed supplies.


Page 1 of 2

Alix, Cathy

From: Duffy, Michael
Sent: Tuesday, September 16, 2008 7:40 AM

To: Alix, Cathy; Thomas, James

Cc: Granat, Rochelle; Swartz, Richard; Schultz, Rory

Subject: Fw: [CIO-COUNCIL] Presidential Transition Team - 09/26/2008

Cathy - | need a sense of how folks want me to respond to the incoming below. We are being asked to decide
how we are going to support incoming transition team personnel. Each of these options has pros and cons.

Rory/Rick: please get back to me with what supply of DO LAN laptops and BBs we can have on hand by Nov-1 if
we choose to host PTT parachute teams on DO LAN. Also, how quickly could we install 2 dozen DSL drops.

Jim T: do you have space’ in MTB or Annex identified for the transition teams? My folks will need to ensure
appropriate comm capability very soon.

MDD

From: CIO-COUNCIL

To: CIO-COUNCIL@LISTSERV.GSA.GOV

Sent: Tue Sep 16 07:04:22 2008

Subject: {CIO-COUNCIL] Presidential Transition Team - 09/26/2008

The following is sent on behalf of Karen Evans, OMB, for Ed O'Hare, GSA.

enna RRR EEE A I IE

The General Services Administration (GSA) is authorized to provide logistical support for the
transition of the Office of the President-elect of the United States. The facilities and services
that GSA provides to the Presidential Transition Team (PTT) are similar to that provided to all
GSA customers, including office space, telecommunications, information technology (IT)
services and equipment, and furnishing supplies. The IT support specifically includes data and
voice networks, back office infrastructure, and end-user infrastructure to include PTT laptops
and blackberry devices.

The PTT may include “parachute” teams, who will work within your agency to begin learning
about your agency. In many cases, this will be the new administration's first impression of your
agency. They will require office space and typical 1T equipment and services such as email
and internet access. These parachute team members are likely not to be government
employees and may not have HSPD-12 credentials. The following options are presented for
providing IT support for the parachute team members while they are working in your agency:

4. Each agency provides all IT equipment and services to the parachute team.

2. The parachute team can use the GSA-provided laptop and services, but the agency will
ide i et access in the space you rovide. The internet access should allow

9/16/2008


‘Office of Tax Policy



Department of the Treasury - Non-Career SES

Chief of Staff Total of 6
1 Chief of Staff
2 Deputy Chief of Staff/Executive Secretary
3 White House Liaison
4 Special Envoy for China and Strategic Economic Dialogue
5~—-Chief of Staff to the Deputy Secretary _

Senior Advisor to the Secretary

General Counsel Total of 1
7 Deputy General Counsel

International Affairs Total of 4
Deputy Assistant Secretary (Trade & Investment Policy)

8

9 Deputy Assistant Secretary (International Development Finance and Debut)
10 Deputy Assistant Secretary (Investment Security)

11 Deputy Assistant Secretary (Western Hemisphere)

Domestic Finance Total of 5
12 Deputy Assistant Secretary (Critical Infrastructure and Compliance Policy)
13 Deputy Assistant Secretary (Financial Institutions & GSE Policy)
14 Deputy Assistant Secretary (Financial Education)
15 Deputy Assistant Secretary (Government Financial Policy)
16 Deputy Assistant Secretary (Federal Finance)

@ Legisiative Affairs Total of 4
17 Deputy Assistant Secretary (Tax & Budget)

18 Deputy Assistant Secretary (International)
19 Deputy Assistant Secretary (Banking & Finance)
20 Deputy Assistant Secretary (Approps & Management)

Public Affairs Total of 2
21 Deputy Assistant Secretary (Public Affairs)
22 Deputy Assistant Secretary (Public Liaison)

Economic Policy , Total of
23 Deputy Assistant Secretary (Microeconomic Analysis)

24 Deputy Assistant Secretary (Macroeconomic Analysis)
25 Deputy Assistant Secretary (Policy Coordination)

Tax Policy : Total of 2
26 Deputy Assistant Secretary (Tax Policy)
27 Deputy Assistant Secretary (Tax Analysis)

Management/CFO Total of 1

28 Deputy Assistant Secretary (Management and Budget)

28 slots allowed



(b) (5)

DASE

DASMB EXECUTIVE SUMMARY

The Deputy Assistant for Management and Budget (DASMB) oversees the Treasury-
wide offices of Performance Budgeting (OPB) and Strategic Planning and
Performance Management (OSPPM) and the Departmental Office of Financial
Management (OFM). The Department-wide responsibilities consist of all budget and
performance functions and policy related to: budget formulation and execution,
strategic planning, performance metrics, management analysis, and implementation
of the President’s Management Agenda at the Treasury Department. The
Departmental responsibilities include budget, accounting, and travel services for al]
Departmental customers and funds, including: Working Capital Fund Programs,
Department-wide Systems and Capital Investment Programs, the Office of Technical
Assistance, the Exchange Stabilization Fund, and the Office of Financial Stability.

Decisions/Deadlines for the New Administration
First 90 days



Alix, Cathy _— _ _

Knight, Bernard Jr.
Monday, July 14, 2008 5:34 PM

Alix, Cathy
Ce: Cohen, Heidi
Subject: RE: First Assistants

Bernard J. Knight, Jr.

Assistant General Counsel

(General Law, Ethics & Regulation)
and Designated Agency Ethics Official
U.S. Department of Treasury

Phone: 202-622-1137

Fax: 202-622-1176

From: Alix, Cathy

Sent: Monday, July 14, 2008 4:25 PM
To: Knight, Bernard Jr.

Subject: FW: First Assistants

al

Cathy D. Alix

Senior Advisor to the ASM/CFO
Department of the Treasury
Main Treasury

Phone: 202.622.1030

From: Granat, Rochelle

Sent: Wednesday, April 16, 2008 12:13 PM
To: Alix, Cathy

Subject: FW: First Assistants

Cathy wittbe working wit OGC to make sure itis updated: Footnotes may not show-up-Of
screen, but they do when you print. Also, | have copies of documents referenced in the far right column if you want.

Rochelle F. Granat

Deputy Assistant Secretary for Human Resources
and Chief Human Capital Officer

Department of the Treasury

202-622-6052

From: Schmader, Catherine


THE SENIOR PROCUREMENT EXECUTIVE

Executive Summary

The Senior Procurement Executive (SPE) is responsible for operations of two offices, the
Office of the Procurement Executive (OPE) and Procurement Services Division (PSD).
OPE is responsible for Department-wide acquisition management and strategies
including policy, process, evaluation, setting and measuring acquisition goals, and
continuous improvement. PSD is the operational procurement function for Departmental
Offices (DO), responsible for correctly obligating and managing approximately $200
million per year of DO procurement requirements.

Key Decision (First 90 Days)

(b) (5)

~

Hot Topics
Oxo)

~~

x
x



Office of the General Counsel

The Office of the General Counsel (OGC) provides legal and policy advice to the Secretary, the
Deputy Secretary, and other senior Department officials. The General Counsel is also the chief

regulatory officer of the Department.

The General Counsel

The General Counsel heads the office and is a statutory officer appointed by the President with
the advice and consent of the U.S. Senate. The General Counsel also heads the Treasury Legal
Division (TLD or Legal Division), a separate bureau within the Department that comprises
attorneys and support staff across the Treasury Department. Virtually all lawyers at Treasury
report directly to the General Counsel as head of the Legal Division, not their clients. In this
capacity, the General Counsel is responsible for all legal work in the Department.

The Deputy General Counsel assists the General Counsel in the operation of the Legal Division.
The Counselor to the General Counsel assists the General Counsel and the Deputy General
Counsel by coordinating issues of general interest within the Legal Division and undertaking
special assignments as requested by the General Counsel or the Deputy General Counsel. The
General Counsel also is assisted by one or more Senior Advisors.

TREASURY LEGAL DIVISION

Throughout the entire Legal Division, there are approximately 2100 attorneys, of which
approximately 60 operate in Treasury’s Departmental Offices along with an additional 10
administrative and support staff. The Office is organized around the central functions of the

department:

1) Banking and Finance;

2) Enforcement and Intelligence;

3) General Law, Ethics, and Regulation;
4) International Affairs; and

5) Tax Policy and Administration.

Banking & Finance

The Assistant General Counsel for Banking and Finance is principally responsible for providing
legal advice on isSues arising in the Office of Domestic Finance, which focuses on financial
services, terrorism risk insurance, critical infrastructure protection, government-sponsored
enterprises, Treasury borrowing authority and debt management (including the debt limit),
regulation of Treasury securities, federal credit policy and transactions, investment of federal
trust funds, and other fiscal law matters. The AGC (B&F) has been principally involved in
drafting and preparing the various programs under the recently passed Emergency Economic
Stabilization Act, the funding of Fannie Mae and Freddie Mac, and other recent significant

actions regarding the financial stability of the United States.


DEPARTMENT OF THE TREASURY
WASHINGTON, D.C. 20220

TO: Treasury Team

FROM: Jim Wilkinson, Chief of Staff
RE: Transition Update

DATE: October 30, 2008

The upcoming transition to a new Administration will be one of the most
important in Treasury's history. It is important that we all continue our efforts to
plan and prepare for this important period, and Secretary Paulson expects each
of us to do everything we can to help the next Treasury team prepare for
success.

Treasury's transition efforts are being coordinated internally by me, Fiscal
Assistant Secretary Ken Carfine, Assistant Secretary for Management Pete
McCarthy, and Deputy Executive Secretary Lindsay Valdeon. This team will
Provide the primary interface with the President-elect's Treasury transition team.

In recent weeks our team has held personal meetings and conversations with
each of your organizations to provide transition guidance, including guidance on
Preparation of briefing materials for the transition team which will soon arrive on
behalf of the President-elect.

We appreciate all of your hard work thus far to prepare for the transition, and
many of you have already submitted your briefing materials. If you have not yet
done so, please submit your materials to Lindsay Valdeon as soon as possible,
but no later than Monday. As previously discussed, all briefing materials are to
be complete prior to Election Day so that we can be prepared to begin briefings
immediately.

As the transition begins, | will provide regular updates to you. Please feel free to
contact me with any questions.


Business Systems Modernization

(IRS)

FY 2007 FY 2008 FY 2009
President's Increase’ | Percent
Appropriation Enacted Enacted Budget Decrease | Change
Business Systems Modernization $212,659) $267,090 $222,664} -$44,426 ($0)

The Business Systems Mo!
information technology to mot
dollars) and related contractual costs.

dernization appropriation funds the pla
dernize the IRS business systems, in

inning and capital asset acquisition of
cluding labor (salaries and expense

23


computers with hi gh-speed internet connections and links to the Treasury network, a fax
machine, and office supplies will be available. A secure telephone for the Secretary (usually in
the Secretary’s room) and plan for any secure communications contingencies will be provided as
well as cellular communications for staff (when needed).

Funding:
For domestic trips and hosted events, including those hosted by Bureaus, the host is responsible
for all costs associated with the Secretary participation Other event costs-are-processed

through Conference, Events, and Meeting Services or Public Affairs. Travel (transportation, per
diem and hotel) costs are covered by executive direction funding.

All foreign trips are funded through the executive direction budget via the use of a fund site.
However, all contracting must be done through the United States embassy in the country that the

Secretary is visiting.
Military Aircraft:

For trips outside of the United States, the Secretary is granted the use of aircraft operated by the
39" Airlift Wing stationed at Andrews Air Force Base by the White House. In October 2006, the
White House Chief of Staff directed the White House Deputy Chief of Staff for Operations to
provide the Secretary with non-reimbursable military air support. This agreement will need to
be renewed in the next administration.

All trips are approved as non-reimbursable for Treasury officials. Guests and non-US
government travelers must reimburse the Treasury Department for travel aboard military aircraft
at a rate determined by the Department of Defense, including any member of the press corps

accompanying the Department on a trip.


Page 1 of 1

Message
Alix, Cathy
From: Alix, Cathy
Sent: Thursday, September 11, 2008 2:55 PM
To: Granat, Rochelle; Thomas, James; Froehlich, Carl; Dut , Michael; Wolslayer, Kelly; Fi
Wesley; LaRue, Pamela fy yer, Kelly; Foster,
Subject: FW: McCarthy Transition Notebook

Attachments: Roles of the ASMCFO FINAL.doc, ASM Documents.doc; ASM Org Chart.ppt; Updated FY06-
08 Budget Snapshot ASM.xls; DASHR CHCO.doc; DASHR CHCO. ppt; DASMB.doc;
DASMB.ppt; DCFO.doc; DCFO.ppt; HQ Ops.doc; OCIO.doc; OCIO.ppt; OPE.doc, OPE. ppt;
BureauHead.xls; Bureau Heads Bios.doc; Executive ‘Summary.doc.rtf; EP.doc; EP.ppt ;

Per our discussion this morning at the Transition meeting, attached is the last ASM Transition Notebook (from
when Pete joined). We have had the ASM reorg since then, so we'll need to reconfigure a bit — but this should

give you an idea.

Cathy D. Alix

Senior Advisor to the ASM/CFO
Department of the Treasury
Main Treasury

Phone: 202.622.1030

Sent: Thursday, September 11, 2008 1:24 PM
To: Alix, Cathy
Subject: McCarthy Transition Notebook

These are not in any particular order obviously. | may have the hard copy too.

Mike Lewis
Sr. Advisor to the Assistant Secretary for Management/CFO

Department of the Treasury

4500 Pennsylvania Ave. Room 2426
Washington, DC

(202) 622-3068

9/23/2008



DEPARTMENT OF THE TREASURY
WASHINGTON, D.C.

GENERAL COUNSEL October 16, 2008

ACTION MEMORANDUM FOR SECRETARY PAULSON

FROM: Robert F. Hoyt @

General Counsel
SUBJECT: Designation of First Assistants
Recommendation

That you sign the attached document entitled, “Designation of First Assistants.” The designation
will improve continuity of the Department’s functions by designating “first assistants” who may
serve as Treasury officials in an acting capacity when vacancies arise under the Vacancies

Reform Act.
_ Approve Disapprove Let’s Discuss
jackground

The Vacancies Reform Act (5 U.S.C. §§ 3345-3349d) (“Act”) establishes the procedures and
requirements for vacancies in presidentially-appointed, Senate-confirmed offices within the
Executive Branch that may be filled on a temporary basis. Under the Act, if a presidentially-
appointed, Senate-confirmed (PAS) official covered by the Act dies, resigns, or is otherwise
unable to perform the functions and duties of the office, the requirements of the Act must be
followed. The Act specifies the individuals who may serve in an acting capacity.

The first assistant to the PAS official who has left the position automatically serves as an acting
official, unless the President directs otherwise. To ensure continuity, it is advisable to establish
first assistants for PAS positions, The Department has promulgated regulations (31 C.F.R. Part
18) that set forth general requirements for designation of first assistants not already established
by statute. Under the regulations, each PAS position may have a first assistant. Specifically, the
regulations provide that where there is a position of principal deputy to the PAS’s office, the
principal deputy shall be the first assistant. In addition, where there is only one deputy position
to the PAS’s office, the official in that position is designated the first assistant. For positions
where there is neither a principal deputy or a single deputy, the regulations authorize the
Secretary of the Treasury to designate, in writing, the first assistant. Several specific individual
designations have been made under this authority.

In preparation for the transition, and to have a single document that sets forth all of the PAS
positions and their first assistants, the Office of General Counsel has prepared the attached
document for your approval and signature. The document, entitled, “Designation of First



Alix, Cathy

From: Valdeon, Lindsay

Sent: Tuesday, October 28, 2008 8:31 AM
To: Alix, Cathy

Subject: transition

Ihave received and am editing: BEP, Operations (Mike Heath), IA, WHL. | expect to see today TFI and the Mint.

Lindsay J. Valdeon

U.S. Department of the Treasury
1500 Pennsylvania Avenue NW
Washington, DC 20220
202-622-5780

Lindsay. Valdeon@do.treas.gov


TO: Treasury Team
FROM: Jim Wilkinson, Chief of Staff
RE: Transition Update

DATE: October 30, 2008

The upcoming transition to a new Administration will be one of the most
important in Treasury's history. It is important that we all continue our efforts to
plan and prepare for this important period, and Secretary Paulson expects each
of us to do everything we can to help the next Treasury team prepare for
success.

Treasury's transition efforts are being coordinated internally by me, Fiscal
Assistant Secretary Ken Carfine, Assistant Secretary for Management Pete
McCarthy, and Deputy Executive Secretary Lindsay Valdeon. This team will
provide the initial primary interface with the President-elect’s Treasury transition

team.

In recent weeks our'team has held personal meetings and conversations with
each of your organizations to provide transition guidance, including guidance on
preparation of briefing materials for the transition team which will soon arrive on
behalf of the President-elect.

We appreciate all of your hard work thus far to prepare for the transition, and
many of you have already submitted your briefing materials. If you have not yet
done so, please submit your materials to Lindsay Valdeon as soon as possible,
but no later than Monday. As previously discussed, all briefing materials are to
be complete prior to Election Day so that we can be prepared to begin
immediately.

As the transition begins, | will provide regular updates to you. Please feel free to
contact me with any questions.


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. FW: Keys to the Treasury Page 2 of 2

1500- $5397.00

Copies made with bleed tabs and fastened with plastic spiral binding:
500- $4238.00

1000- $4895.00

4500- $5552.00

Tina

_a---- End of Forwarded Message

9/23/2008


Alix, Cathy

—
From: McCarthy, Peter
Sent: Friday, June 20, 2008 9:28 AM
To: Alix, Cathy
Subject: FW: GSA Plan for Presidential Transition
Attachments: GSA Planning for PresidentialTransition.pdf

For your info

From: Wolslayer, Kelly

Sent: Friday, June 20, 2008 9:20 AM

To: McCarthy, Peter .
Subject: FW: GSA Plan for Presidential Transition

Pete, I know Jacqui talked about this while I was gone, but I thought it might be handy to have
when you eventually talk to Jim about Transition (the GSA brief is attached at the bottom)

ano fas pt

Nally Wotslayer

Director, Treasury Emergency Programs
Phone: 202-622-2195

Cell: 202-435-8180
Pager: 1-800-759-8888 pin# 1018492

Kelly.Wolslayer@do.treas.gov

Wo Islayerk@tsdn.treasury.Sgov.dov
Wolslayerk@treasury.ic.gov

Please consider the environment before printing this e-mail and/or attachments.

From: Phillips, Jacquelyn
Sent: Friday, May 30, 2008 10:46 AM
To: Cuffe, Elizabeth; Duffy, Michael; Foster, Wesley; Granat, Rochelle; Runnels, Al; Shari ;

n; Dut 4 7 ‘pe, Thomas Jr.; Wolsl A
Farrell, Stuart; Lewis, Mike; Nelson, Shella; Kim, Cheh; Gilligan, Eileen; Thomas, James; Perry, Rosa , ayer, Kelly,
Cc: Brauer, John; Hepler, Brian; Jiggetts, Steven; Lewis, Jo Ann (Contractor); Sass, Paige
Subject: GSA Plan for Presidential Transition

All,
‘As [mentioned yesterday, here are the GSA slides from the Domestic Readiness Group (DRG) PCC that I

attended on Kelly’s behalf this week. J hope they are helpful!

vit,
Jacqui

Recap of the notes from DRG PCC 28 May 08:


Office of Operations

Overview:

The Office of Operations, within the Office of the Chief of Staff, provides the Secretary and
other senior officials with advance and operational support. The office plans and executes
foreign and domestic travel, as well as all public events, for the Secretary and, at the direction of

the Chief of Staff, the Deputy Secretary.

Immediate Hires:
Operations is comprised of five full-time staffers: a Director, an Associate Director, an

Operations Coordinator, and two full-time Advance Representatives. The Office also maintains a
30 member corps of un-paid volunteers to provide supplemental staffing as needed.

Director of Operations: responsible for the management and staffing and is the primary point of
contact with all outside agencies for all things related to the support of secretarial events and

travel, including the use of military aircraft.

Associate Director of Operations: responsible for advance team staffing and trip administration
including both full-time and volunteer advance representatives

Operations Coordinator: responsible for the collection and dissemination of logistical
information for Secretarial travel and events and manages the trip schedule.

Advance Representative: responsible for implementing logistics on foreign and domestic visits
by working with host entities, including foreign officials, and the United States Secret Service.

Critical Issues:

Trip/Event Planning:

There are generally four types of trip/event each with a baseline level of support. Domestic —
National Capital Region “In-Towners”, Domestic — Non National Capital Region; Foreign; and
Summits (Hosted by Treasury)

Support Requirements:

Domestic trips require anywhere from one to three advance representatives. Audio-visual
support may be required and will be handled by Treasury Conference Services. Staff offices will

be provided on overnight trips only.

Foreign trips require up to three Advance Representatives five to seven working days prior to the
visit. Audio-visual support is contracted through the United States embassy in the country where
the visit is to occur. IT Travel Support will establish a staff office consisting of a copier,


5)

established in 1997, is the key forum we have used to address regulatory problems

associated with the current financial crisis.
Dollar Policy: IA is responsible for providing the analysis, decision making,
coordination, and execution of exchange rate policies.

Committee on Foreign Investment in the United States (CFIUS):

1)

CFIUS Reform: CFIUS, a USG interagency committee (12 member agencies) chaired
by Treasury, reviews certain foreign acquisitions in the U.S. to determine if they pose a
threat to national security. Over the past 2 years, since Dubai Ports World, IA has

2)

reorganized our process to enhance accountability, worked with Congress to-amend the.

CFIUS statute, and recently revised the 1992 regulations.

Current Case Load: 145 cases have been filed so far in 2008, an annual pace of over
180 cases, compared to 147 for 2007 and 113 for 2006, and an annual average of roughly
60 prior to Dubai Ports World. CFIUS had 50 cases during August and September alone.

Individual Country Priorities:

1)

2)

3)

4)

5)

China: China’s rapid economic growth and integration into the world economy have
increased the impact of Chinese policy decisions on global economic growth. IA has the
jead in engaging China in three areas: (1) greater exchange rate flexibility; (2)
encouraging a less export dependent growth model; and (3) modernization of China’s
financial system. All three are critical topics in the Strategic Economic Dialogue. A
financial attaché and deputy attaché are posted in Beijing.

Iraq: IA plays a major role in developing and executing U.S. economic and financial
policy in Iraq. A financial attaché, three Office of Technical Assistance (OTA) budget
advisors, and an OTA bank supervision advisor are posted in Baghdad.

Afghanistan: IA is working with the Afghan government to improve budget
management, building capacity, and tackling corruption at all levels of government. IA
has an attaché in Kabul, and technical advisors in the Finance Ministry and central bank
working on debt management, money laundering, and terrorist financing.

Pakistan: Pakistan is in the middle of a balance of payments crisis and is on the verge of
possible default. At this point, Pakistan needs a formal IMF stabilization program that is
both credible and backed by actions in order to increase market confidence and make it
possible for us to organize external financial support.

Crisis Countries: As countries go into financial crisis, [A takes a lead role in analyzing

and developing policy responses to those crises.

IA FY09 150 Account Budget Request:

1)

2)

3)

150 Account: The 150 account covers Treasury’s request for the USG contribution to
the multilateral development banks (World Bank, ADB, AfDB, and IADB) as well as our
debt accounts and the Office of Technical Assistance (OTA).

FY09 Request: For FY09, IA requested $2.2 billion for Treasury Programs, a 30%
increase over FY08 requested and 6% of total 150 Account Request ($39.5 billion). The
majority of this increase comes from two key priorities — our request for the International
Development Association (World Bank’s fund for the poorest countries), and our request
for the Clean Technology Fund. As a result of the CR, the FY09 budget request will be
funded in an FY09 Omnibus negotiated in March 2009.

Upcoming Issues: While not immediate priorities, over the next six months we will
need to address implementing agreed World Bank reform and IMF quota deals and
capital increase requests or reviews at the ADB, the EBRD and the IDB.


The Office of Disclosure Services provides Treasury-wide policy, oversight and
compliance, and reporting functions, as well as policy, reporting, and operational support
for the decentralized Departmental Offices FOIA functions. With Disclosure Services
support, Treasury met its annual 10% FOIA backlog reduction goal. In fact, Treasury
substantially surpassed its FY08 target and reduced its FOIA backlog by 40%.

The Office of Treasury Orders and Directives (OTOD) is committed to ensuring that
the Department maintains a system of Orders and Directives that accurately reflects
current policies, activities, and responsibilities. Significant progress has been made this
year to establish a robust and accountable system to ensure the Department’s governance
documents accurately reflect the operating environment within Treasury. OTOD revised
procedures, established quality review points, and strengthened the tracking system to

ensure appropriate reviews are conducted throughout the update process.

Big Decisions/Deadlines during first 90 days:

Oxo)



——————

(3 ..REASURY DEPARTMENT FEDERAL CrepiT UNION

POC — 1-800-344-4497

The Treasury Department Federal Credit Union is located in the Treasury Annex. For more information or to join you can visit
www.tdfcu.org or call 1-800-344-4497.

CO TREASURY DEPARTMENT RECREATION ASSOCIATION- BUSINESS CARDS

POC — Barry Stevens, 622- 2123
The Treasury Department TDRA provides a business card and social printing service and operates a Catalog Store of Treasury
Department logo items where members receive discounts. It is located in the basement level of Main Treasury. For business card
orders you can visit http: ‘dwww recgov org: treasury.
(1 PRINTING DIVISION

POC — Printing and Graphics Division 622-1438
The Printing Division has the ability to produce a variety of documents. They are located in the Treasury Annex Room SB-12.

CO GRapHICS DiviSION

POC -Graphics Division 622-2160

The Graphics Division has the ability to produce flyers, brochures, color copies or photographs. They are located in the Treasury
Annex Room B-39.

() PHOTOGRAPHIC SERVICES

POC —Chris Taylor 622-2621

The Treasury Photographer can assist with photographing events for the Secretary or Treasury Senior Staff. Please contact
Photographer Chris Taylor at 622-2621.

1 CLEARING VISITORS INTO THE BUILDING

POC -USSS, 962-6720

To clear visitors into Main Treasury and the Treasury Annex you need to provide the date of birth and social security number to the
Secret Service. Enter this information only on the Treasury intranet at http://home.do.treas.gov/appointments/.

CO PARKING/METRO CHECKS

POC -Administrative Contact/Veris Bailey, 622-6333

Each office is allotted a specific number of parking spots. To obtain a parking spot you can speak with your administrative contact. If
you do not receive a parking spot you are eligible to participate in the Metro Benefit Program. Contact Veris Baley for more .
information on the program.

1 SuPPLIES
POC —Administrative Contact
To obtain office supplies you can ask your administrative contact. Your office contact will be able to order you the needed supplies.


Office of Financial Stability

Overview:

The Office of the Financial Stability (OFS) was established under the Emergency Economic
Stabilization Act of 2008 (EESA) within the Office of Domestic Finance of the U.S. Department
of the Treasury (Treasury) to implement the Troubled Asset Relief Program (TARP). The OFS

bilit: 4o-the-Under Sectetary-for

is headed by the Assistant Secretary for-Financiat Stability end reports to-th
Domestic Finance.

Financial Stability Oversight Board

The Financial Stability Oversight Board (FSOB) was created to review the policies implemented
by the Secretary and the OFS. Accordingly, the Office of the Assistant Secretary prepares
reports for the FSOB, and the Assistant Secretary participates in the FSOB meetings. The Office
of the Assistant Secretary liaisons with the members of the FSOB, which, in addition to the
Treasury Secretary, comprise the Federal Reserve Board System, the Federal Housing Finance
Agency, the Securities and Exchange Commission, and the Department of Housing and Urban
Development. The Chairman of the Federal Reserve Board serves as the chairman of the FSOB.

Capital Purchase Program Office

The Capital Purchase Program (CPP) Office, part of the Office of the CIO, is responsible for all
aspects of (1) program application analysis and processing, (2) equity investment documentation,
execution and closing, and (3) equity portfolio management pursuant to the terms of the EESA.
The CPP Office receives applications from four principal Federal bank regulators (as well as
direct submissions from parties which do not have a federal regulator) and prepares analysis for
Treasury’s TARP Investment Committee. The CPP Office works directly with financial agents
such as a document custodian, legal counsel and equity asset managers in execution and

management of the CPP.

Investment Committee

The TARP Investment Committee is responsible for reviewing all applications for the CPP
received from Federal banking agencies or from other non-federally regulated entities.

Immediate Hires:

The Assistant Secretary for Financial Stability

The Assistant Secretary provides advice to the Secretary, Deputy Secretary, Under Secretary and
other senior Departmental officials on policies related to financial stability and the operation of
the TARP. The Assistant Secretary heads the OFS and is appointed by the President and
confirmed by the Senate. All OFS staff report to the Assistant Secretary, who is responsible for


to make available as necessary the assets of the Exchange Stabilization Fund to support the
Program.

Action: Program Expiration Decision Date December 18, 2008: The program is in effect for an
initial three-month term which ends on December 18, 2008. Prior to that date, the Secretary of
the Treasury will review the need for and the terms of, the program as well as the costs to
provide the coverage. If the Secretary chooses not to extend the program at the end of the initial
three month period, by December 18, 2008, the program will automatically terminate. The
Secretary has the option to extend the program up to the close of business on September 18,

2909—If the program is extended, fund: would have to renew their participation in the program

after each extension in order to maintain coverage.

Blueprint for a Modernized Regulatory Structure
Treasury recently completed a review of the financial regulatory structure resulting in a

regulatory blueprint. The review focused on all types of financial institutions: insured depository
institutions (commercial banks, thrifts, etc.), insurance companies, securities firms, futures firms,
and other types of financial intermediaries. The goal was to evaluate the regulatory structure and
consider ways to improve efficiency, reduce overlap, strengthen consumer and investor
protection, and ensure that financial institutions have the ability to keep pace with evolving

markets.
Action: None

Government Sponsored Enterprises
In September 2008, Treasury worked with the Federal Housing Finance Agency (FHFA) and the

Federal Reserve to take steps to stabilize Fannie Mae and Freddie Mac. Actions from this work ,
included FHFA placing the enterprises into conservatorship. Treasury, and FHFA acting as
conservator, entered into a Preferred Stock Purchase Agreement for each entity placed in
conservatorship. Under these agreements, Treasury will ensure that each company maintains a
positive net worth. Treasury also established a new secured lending credit facility which will be
available to Fannie Mae, Freddie Mac, and the Federal Home Loan Banks. Finally, Treasury

initiated a temporary program to purchase GSE MBS.

Action: The appropriate level of Federal involvement in the mortgage market, including the
future structure of the GSEs, will likely be raised during the next Congress.

The President’s Working Group on Financial Markets
The PWG is comprised of the Secretary of the Treasury, who chairs the group, and the Chairmen

of the Federal Reserve Board, SEC, and CFTC; although others, such as FRBNY, OCC, FDIC,
and FHFA have been included as invited guests in meetings of the group more recently. Its
goals are “enhancing the integrity, efficiency, orderliness, and competitiveness of our Nation's
financial markets and maintaining investor confidence.” A new Executive Order to expand the
PWG’s mission and membership has been drafted and is being reviewed by OMB. The PWG
has issued several reports over the years, on the topics of the 1987 stock market crash; hedge
funds and leverage; over-the counter derivatives; retail swaps; mortgage-backed securities;
terrorism risk insurance; private pools of capital; and the recent market turmoil. Member
agencies of the PWG also have been asked to submit opinion letters to and testify before

Congress, particularly on energy issues.


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Deputy Assistant Secretary for Information Systems and Chief Information Officer

@ASIS/CIO)

Executive Summary:
The Office of the DASIS/CIO provides leadership to the Department and its Bureaus in all areas of

information and technology management. The DASIS/CIO supports Treasury's mission by
implementing strategies that improve the efficiency and performance of Treasury information
technology (IT) systems and business processes. The DASIS/CIO has Department-wide responsibility
for the direction and development of Treasury’s IT strategy, compliance with IT management policies,
governance of IT resources and investments, and leadership of key technology programs and
initiatives.

Specifically, the DASIS/CIO leads the U.S. Department of Treasury’s use of IT and resources to
improve the operations and service delivery of Treasury programs and functions. The DASIS/CIO
advances the achievement of the agency’s mission by assisting senior management in recognizing
where IT can add value while transforming and supporting program operations. Additionally, the
DASIS/CIO advises the Secretary of the Treasury, in partnership with other senior managers, to ensure
management’s needs are addressed, market innovative uses of technology, and facilitate management’s
access to information resources.

Consistent with the Information Technology Management Reform Act of 1996 (Clinger-Cohen Act),
the DASIS/CIO leads Treasury’s Bureaus in effectively managing information resources through
advocating cross-organizational program and process improvements. This role includes promoting and
identifying opportunities for cost-effective and efficient use of IT resources, and communicating
principles of effective IT acquisition and management.

The DASIS/CIO provides leadership, strategic direction, and oversight for Department level programs
including Telecommunications Management, Infrastructure Operations, Cyber Security, Architecture
and Planning, HR Connect, as well as management and governance programs including Capital
Planning and Investment Control (CPIC). The DASIS/CIO also oversees operation of IT services for

the Departmental Offices.

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Business and International Taxation Division

The Business and International Taxation Division develops and analyzes tax policies
affecting businesses and intemational taxation. The Division provides economic analyses and
conducts research on tax provisions affecting corporations, partnerships and other
unincorporated businesses, financial institutions and products, and energy and the environment,
including taxes on income, consumption, and capital income, and business excise taxes. In recent

‘ars, the Division has devoted substantial attention to analyzing corporate tax shelters,

depreciation allowances, integration of corporate and personal income taxes, and options to
simplify and reform business taxation. The Division also analyzes and researches the taxation of
both income earned outside the United States by U.S. citizens, residents, and domestic

income earned within the United States by foreign corporations and
nonresidents. Along with the Office of the International Tax Counsel, the Division engages in tax
treaty negotiations with foreign governments and participates in meetings of international
organizations. The Division works closely with the Office of the Tax Legislative Counsel to

develop legislative proposals and regulations.

corporations and ii

Economic Modeling and Computer Applications Division

The Economic Modeling and Computer Applications Division develops and maintains
several major simulation models which are used to provide estimates and analyses of changes in
current or proposed tax legislation. Currently, there are five major production modeling systems:
the individual income tax model, the corporate tax model, the corporate panel model, the
depreciation model, and the estate tax model. Other specialized modeling systems include the
corporate receipts model, the banking model, the life insurance calculator, the capital gains panel
study, and the collation of estate and income tax returns. Results from these modeling systems
are used in mandated studies, official testimony, the Federal budget, revenue estimates of
Administration and Congressional policy proposals, and other economic analyses. Considerable
time and effort is spent by the Division in developing new data sources and improving
simulation methodologies to meet Office of Tax Policy needs.

Individual Taxation Division

The Individual Taxation Division develops policy proposals and provides analysis of the
impact of existing and proposed individual income tax provisions on economic activity and
welfare, marginal tax rates, and the distribution of the tax burden among families. Policy issues
include the structure of tax rates, the tax treatment of different types of families, savings
incentives, the tax treatment of pensions and health insurance, education incentives, tax-exempt
bonds, and income tax compliance. The Division also is responsible for policy development and
analysis of payroll taxes, excise taxes, estate and gift taxes, and nonprofit organizations.

Revenue Estimating ision

The Revenue Estimating Division estimates the revenue consequences of all the
Administration's legislative tax proposals and major Congressional tax proposals. The revenue
estimates are used to evaluate the tax proposals and to assist in determining Administration

policy positions on the proposals, Because the staff is responsible for revenue estimates for


. FW: Keys to the Treasury Page | of 2

Alix, Cathy

From: Adams, Shanda

Sent: Tuesday, September 23, 2008 1:35 PM
To: Alix, Cathy; Nalli, Christine

Subject: Price Quotes Keys to the Treasury

The quotes are listed below for the first print batch. | still need to get a cost on future prints
from the digital format. Hopefully we can present these numbers and get an ok to proceed

today.

See you soon,

Shanda Adams

Human Resources Assistant
Department of the Treasury

Human Capital Strategic Management
Phone: 202-622-4178

Fax: 202-622-3454

= From: McCracken, Keith
Sent: Tuesday, September 23, 2008 11:53 AM
To: Adams, Shanda
Ce: Huegelmeyer, Ann
Subject: FW: Keys to the Treasury

Shanda,

Please see below for estimates (please remember these are estimates and will be competitively bid; other factors like
lack of lead time may increase costs):

-~---- Forwarded Message

From: "Decker, Tina" <T! ina.Decker@do.treas.gov>

Date: Tue, 23 Sep 2008 11:12:05 -0400

To: "McCracken, Keith" <Keith. McCracken@do.treas.gov>
Ce: "Huegelmeyer, Ann" <Ann.Huegelmeyer@do.treas.gov>
Conversation: Keys to the Treasury

Subject: RE: Keys to the Treasury

Keith and Ann,

We need to have the first set of booklets completed by Oct. 15, 2008. There will be a meeting
on the 23rd of September where we will discuss quantity and binding options.

Now that we have the number of pages, we need to get quotes for the following options:
Copies made with bleed tabs and fastened with staples:

500- $ 4190.00
1000- $4795.00

9/23/2008


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Appendix A lists all officials designated to serve in an acting capacity by written designation
herein, as the principal or only deputy to a position pursuant to 31 C.F.R. 18.1(a) or (b), or

through other statutory or regulatory authority.

ous Cs, 28 Non y

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DEPARTMENT OF THE TREASURY
WASHINGTON, D.C.

SECRETARY OF THE TREASURY

DESIGNATION OF FIRST ASSISTANTS TO OFFICES IN THE DEPARTMENT
Pursuant to the authority vested in the Secretary of the Treasury by 5 U.S.C. § 301, 31 U.S.C. §
321(b), and 31 CFR. § 18.1(c), I hereby make the following designations of First Assistants (as
that term is used in 5 U.S.C. §§ 3345-3349d):

A. FOR THE DEPUTY SECRETARY OF THE TREASURY

I designate the Under Secretary of the Treasury for Domestic Finance.

B. FOR THE UNDER SECRETARY FOR TERRORISM AND FINANCIAL
INTELLIGENCE

I designate the Assistant Secretary of the Treasury for Terrorist Financing.

C. FOR THE UNDER SECRETARY FOR DOMESTIC FINANCE

I designate the Fiscal Assistant Secretary.

D. FOR THE ASSISTANT SECRETARY FOR LEGISLATIVE AFFAIRS

I designate the Deputy Assistant Secretary for Legislative Affairs (Tax and Budget).

E. FOR THE ASSISTANT SECRETARY FOR INTERNATIONAL FINANCIAL MARKETS
AND INVESTMENT POLICY

I designate the Deputy Assistant Secretary for International Monetary and Financial Policy.

F, FOR THE ASSISTANT SECRETARY FOR INTERNATIONAL ECONOMICS AND
DEVELOPMENT

i designate the Deputy Assistant Secretary for Asia.

G. FOR THE ASSISTANT SECRETARY FOR ECONOMIC POLICY

1 designate the Deputy Assistant Secretary for Macroeconomic Analysis.

H. FOR THE ASSISTANT SECRETARY FOR FINANCIAL INSTITUTIONS

I designate the Deputy Assistant Secretary for Financial Institutions Policy.


Bureau of Engraving and Printing
(BEP)

FY 2007 FY 2008 FY 2009
Obligated Estimated Estimated Increase! Percent
Budget Activity Decrease Change
Bureau of Engraving and Printing $556,000[ $531,000 $559,500 $28,500 5.4%
Manufacturing 493,000 469,000 497,500 28,500) 6.1%
Protection and Accountablity of Assets 63,000 62,000 62,000 0 0.0%

BEP is financed by a revolving fund which is reimbursed through sales of United States currency and other
security documents for direct and indirect costs of operations including administrative expenses. BEP is also

authorized to price its products to cover capital investments and working capital requirements. BEP funding is
provided within the following budget activities:

Manufacturing:

+ Manufactures high quality security documents that defer counterfeiting
+ Products are grouped as Federal Reserve notes and other security documents

Protection and Accountability of Assets:
+ Employs BEP Police to protect assets including facilities and the workforce

- Using proper policies and procedures, and coordinating as needed with federal, state and local law
enforcement agencies

28


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Office of Thrift Supervision
(OTS)

Fy 2007 | FY 2008 FY 2009 |
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Budget Activity Decrease Change
Supension of the Thrift Industry $232,500 $245,500 $251,638 $6,138 2.5%

OTS supervises savings associations and their holding companies to maintain their safety, soundness and
compliance with consumer laws and to encourage a competitive industry that meets the nation’s financial
needs. Revenue, primarily from OTS assessments on savings associations and savings and loan holding

companies provides funding within the following budget activity:

Supervision of the Thrift Industry:
+ Examines savings associations every 42-18 months for safety and soundness and compliance with

consumer protection laws and regulations
+ \dentifies, measures, monitors, and controls
corporate structure

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- Assistants” designates a first assistant for those positions that have not been designated by
operation of statute or regulation. In addition, appendix A to the document includes a table that
displays each PAS position, the designated acting official or first assistant, the specific statutory
authority for acting, and the basis upon which the designation was made.

This also partially fulfills a separate OMB request that agencies identify the career individuals
who will be acting in PAS positions by October 15.

Attachment:
Designation of First Assistants


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Once again this is just a short list of examples. I’m sure others will be able

to flesh this out.

anon Original Message----~

From: Alix, Cathy

Sent: Tuesday, February 05, 2008 9:08 AM

To: Cuffe, Elizabeth; Duffy, Michael; Foster, Wesley; Granat, Rochelle; Lingebach, James; Sharpe, Thomas Jr.;
Thomas, James; Wolslayer, Kelly; Froehlich, Carl; Farrell, Stuart; Lewis, Mike; Nelson, Sheila; Alix, Cathy

Ce: McCarthy, Peter

Subject: Transition

Please read the attached document on transition planning prior to our Friday 11:00 a.m. staff meeting focusing on
ASM Goal #1 - Work Place. Our discussion will touch briefly on transition preparation at the end of the meeting.

Thank you.

<< File: Planing for Transition 2009.doc >>
Cath

Cathy D. Alix

Senior Advisor to the Assistant Secretary for
Management /Chief Financial Officer

Department of the Treasury

Main Treasury

Phone: 202.622.1030


Page 1 of 1

Alix, Cathy

From: Granat, Rochelle
Sent: Friday, July 11, 2008 1:39 PM

To: Froehlich, Carl; Thomas, James; Alix, Cathy
Cec: McCarthy, Peter

Subject: RE: Transition deliverables (draft)
Kb) (5)

Rochelle F. Granat

Deputy Assistant Secretary fortduman K-sources
and Chief Human Capital Officer

Department of the Treasury

202-622-6052

From: Froehlich, Carl

Sent: Monday, July 07, 2008 10:38 AM

To: Granat, Rochelle; Thomas, James; Alix, Cathy
Ce: McCarthy, Peter

Subject: Transition deliverables (draft)

All,

Following up from or meeting last week, attached is a draft product to identify departing political
appointee deliverables. Please review and comment on missing elements or other suggestions.

Carl

Carl T. Froehlich
Treasury Department
202 622-2658

7/11/2008


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Bureau of Public Debt

Overview:

The Bureau of the Public Debt (BPD) is part of the Treasury Fiscal Service under the
supervision of the Fiscal Assistant Secretary. BPD borrows the money needed to operate
ote federat governmentand accounts for the resulting debt. BPD conducts auctions of

Treasury securities (bills, notes, bonds and TIPS) on a regular and predictable schedule
published by Treasury’s Office of Debt Management. Cash management bills (CMBs),
are auctioned on an unscheduled basis to cover temporary, unanticipated shortfalls.
Treasury is increasing the offering amounts for regular auctions, issuing CMBs and
issuing additional amounts of specific, previously issued Treasury securities (reopening)
found to be in short supply to meet extraordinary borrowing requirements for programs
authorized by the Emergency Economic Stabilization Act of 2008 and the Supplementary
Financing Program that provides funding for the recently established credit and liquidity
facilities of the Federal Reserve System.

Action Required:
None at this time.



United States Mint

FY 2007 FY 2008 FY 2009
Obligated Estimated | Estimated Increase/ Percent
Budget Activity Decrease Change
United States Mint $1,814,208| $2,175,326 $2,125,816] ($49,510) (2.3%)
Manufacturing 1,770,265| 2,129,806] 2,079,192 (50,614) (2.4%)
Protection and Accounabiity of Assets 43,943 45,520) 46,624 1,104 2.4%

The United States Mint manufactures and delivers domestic circulating and numismatic coinage and bullion
products. It also provides security for assets, including the government's stock of gold bullion, silver bullion,
coins and coinage metal. Sales of circulating coins to the Federal Reserve Banks and numismatic items to the
public fund the United States Mint’s Public Enterprise Fund for the following budget activities:

Manufacturing:
+ Manufactures and sells coin products:
-- Circulating Coinage
-- 50 State Quarters
-- Numismatic

Protection and Accountability of Assets:
+ Secures over $100 billion in market value of the nation’s gold reserves, silver and other assets
+ Employs U.S. Mint Police to protect assets including facilities and the workforce
+ Using the proper policies and procedures in the production and transport of coinage, and coordinating as
needed with federal, state and local law enforcement agencies

i)



Office of the Inspector General

Overview:

The Department of the Treasury’s Office of Inspector General (OIG) was established pursuant to
the 1988-amendment to the Inspector General Act of 1978. O1G is headed by an Inspector
General who is appointed by the President of the United States, with the consent of the United
States Senate. OIG performs independent and objective reviews of Treasury programs and
operations, except for those of the Internal Revenue Service (IRS). The Treasury Inspector
General for Tax Administration (TIGTA) performs audit and investigative oversight related to

IRS. The mission of the OIG is to:

(1) Conduct and supervise audits and investigations of Treasury programs and operations;

(2) Provide leadership and coordination and recommend policies for activities designed to;
(a) promote economy, efficiency, and effectiveness in the administration

of Treasury programs and operations, and
(b) prevent and detect fraud, waste, and abuse in Treasury programs and

operations; and

(3) Keep the Secretary and the Congress fully and currently informed about problems, abuses,
and deficiencies in Treasury programs and operations.

Operating Budget:

1) InFiscal Year 2008, the OIG was authorized 115 FTE and had an operating budget of
$18,450,000, with salaries and benefits accounting for about 72% of funding.

2) For Fiscal Year 2009, the OIG accepted the final OMB determination of 115 FTE and
$19,356,000, however, a Continuing Resolution through March 6, 2009 at Fiscal year 2008 rates
has been signed. OIG may need to request relief from the CR limitation due to failed bank
Material Loss Review (MLR) related travel that may be required by OA to meet this

congressionally mandated requirement.

The FY 2010 budget process has been stretched out due to the transition to a new administration.
Treasury expects to submit the budget to Congress in late March/early April, rather than in
January, In addition to an FY 2010 budget request of $20,156,000, OIG will also include an
initiative to staff and fund material loss reviews that will likely be required due to the increasing
number of bank failures. The initiative requests an additional 60 FTE (50 audit, 7 investigators &
3 support), and $10,550,000 to meet the anticipated work (An MLR typically takes six auditors
six months to complete.), for a total request of $30,706,000 and 175 FTE.


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—————

From: Lewis, Mike

Sent: Monday, September 08, 2008 12:11 PM
To: Thomas, James

Subject: RE: Transition Background

What's the what?

Mike Lewis

Sr. Advisor to the Assistant Secretary for Management/CFO
Department of the Treasury

4500 Pennsylvania Ave. Room 2426

Washington, DC

(202) 622-3068

From: Thomas, James

Sent: Monday, September 08, 2008 12:09 PM
To: Lewis, Mike

Subject: FW: Transition Background

Mike,

What the reg?

Jim

-From: Cannon, Dennis

Sent: Monday, September 08, 2008 11:43 AM

To: Thomas, James
Subject: Transition Background

Jim,
(Ox)

Thanks,

Dennis Cannon
Director, Office of HC Strategic Management
Office of the Deputy Assistant Secretary
for Human Resources/CHCO
(202) 622-1109
FAX: (202) 622-3454


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« Deputy Assistant Secretary for Human Resources and Chief Human Capital Officer
(DASHR/CHCO) provides Department-wide oversight in all areas of human capital

management, including Equal Employment Opportunity (EEO) and diversity and civil rights;
executes Treasury’s responsibilities for certain District of Columbia retirement programs;
develops broad programs and policy guidance for human resources programs and
initiatives/strategies; provides consultative services for the bureaus on human capital issues,
including performance management, workforce development, executive resources,
employment and staffing, compensation policy, labor and employee relations, and workers
compensation; manages the Treasury Executive Institute, providing learning opportunities for
executives and GS-15s from the Departmental Offices and bureaus.

« Deputy Assistant Secretary (Information Systems) and Chief Information Officer
(DASIS/CIO) responsible for Department-wide information technology (IT) strategy, budget,

and governance; responsible for policy, compliance, and oversight of the Treasury IT
investment portfolio, compliance with the Paperwork Reduction Act and Information Quality
Act, Department-wide IT security, operational compliance and privacy safeguards, and serves
as the Department’s lead on E-Government initiatives. The CIO chairs the Technical
Investment Review Board, provides policy direction and oversight of the Department’s IT
human capital requirements, enterprise architecture development and information
management. The CIO also oversees the Department’s IT governance and IT capital planning
and investment controhprocess, cyber security, telecommunications, and the human resources

management system.

e Deputy Assistant Secretary for Privacy and Treasury Records (DASPTR) responsible for
Department-wide policy, reporting, and compliance with applicable authorities, as well as
Departmental Offices operations, in the privacy and civil liberties areas, as well as in the
related information management areas of records disclosure under the Freedom of
Information Act; the management, preservation, and appropriate release of Treasury records;
and library and research services; maintains a system of Treasury Orders and Directives
program that reflect current Departmental policies, activities, and procedures.

© Senior Procurement Executive (SPE) provides guidance for Departmental offices and

bureau procurement programs and systems, evaluates bureau procurement operations, directs
and expands the use of streamlined, cost effective procurements, purchase card and strategic
sourcing, commercial item acquisitions, and performance-based service contracting. Manages
the Procurement Services Division, the operational procurement function for Departmental
Offices, responsible for obligating and managing DO procurements. SPE also administers a
Department-wide career management program for acquisition professionals.

« Director of Emergency Programs (EP) coordinates and facilitates the Department’s
emergency programs, working with other national security and emergency preparedness
components in the federal government. EP is responsible for the development and
maintenance of policies, plans, and procedures to support those initiatives as well as the
associated training, tests, and exercises. Office functional areas include emergency
management, continuity of operations, and continuity of government, emergency
communications, and shelter in place/evacuation.


Office of Benefits Tax Counsel (BTC)

Office Overview. The Office of BTC develops and reviews policy, legislation,
regulations, and revenue rulings dealing with all aspects of employee benefits taxation and
related matters including qualified retirement plans, Employee Stock Ownership Plans, employee
welfare plans, health and long term care benefits, social security taxes, and executive
compensation. BTC is responsible tor advising the Assistant Secretary (Tax Policy) and other
Treasury officials in the formulation of the Administration's employee benefits taxation policy,
including, formulating, analyzing, and reviewing employee benefits taxation legislation and for
preparing the Administration's testimony on such legislation. BTC assists Congressional staff in
drafting legislation and in documenting the legislative history of employee benefits legislation.
In consultation with IRS, BTC is responsible for review of all Treasury regulations and IRS
revenue rulings relating to the taxation of employee benefits. Such regulations and rulings play a
crucial role in the development of tax policy and implementation of tax law. Currently, BTC has
five attomeys and works closely with the Government Actuary, who is technically part of the

office of the Assistant Secretary (Tax Policy).

Key Biographies: Thomas Reeder is the Benefits Tax Counsel. Prior to joining Treasury
as an attorney advisor in 2000, Mr. Reeder was a Washington partner in the employee benefits
practice group of Paul, Hastings, Janofsky & Walker. He is a graduate of the University of
Texas at Austin, including the College of Liberal Arts (1972), Graduate School of Business

(1982) and School of Law (1987).

Helen Morrison is the Acting Deputy Benefits Tax Counsel. Prior to joining the Treasury
Department in 2006, Ms. Morrison was a Partner and the Employee Benefit Practice Leader in
the Chicago office of Deloitte LLP, and prior to that a Partner in Employee Benefits Practice of
McDermott, Will & Emery. Ms. Morrison received her B.A. from Trinity College (1979) and
her 1.D., cum laude, from Illinois Institute of Technology/Chicago-Kent College of Law (1985).
She served as a law clerk to the Honorable Hector M. Laffitte of the U.S. District Court in San

Juan, Puerto Rico, from 1985 to 1987.


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Cannon, Dennis

From: Thomas, James

Sent: Monday, September 08, 2008 12:26 PM
To: Cannon, Dennis

Ce: Lewis, Mike

Subject: FW: Transition Background

Dennis,

Jim

From: Lewis, Mike

Sent: Monday, September 08, 2008 12:22 PM
To: Thomas, James

Subject: RE: Transition Backgrounc:

Ok, yes you're going back some.

Mike Lewis

Sr. Advisor to the Assistant Secretary for ManagemenvCFO
Department of the Treasury

4500 Pennsylvania Ave. Room 2426

Washington, DC

(202) 622-3068

From: Thomas, James
Sent: Monday, September 08, 2008 12:12 PM

To: Lewis, Mike
Subject: RE: Transition Background
Regulation — so quickly we forget.

Don't we have a DO Directive on this?



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Appropriated Accounts

+ State, Foreign Operations and Related Programs Subcommittee also provides
appropriations to support Treasury's International assistance Programs
+ International Financial Institutions promote economic growth and poverty reduction in
developing countries through U.S. participation in multilateral development banks
(approximately $2 billion)
+ Debt Restructuring funds efforts to prevent the buildup of unsustainable debt burden
in poor countries (over $100 million)

ing market-based

+ Treasury Technical Assistance to developing countries on bui

economies

President's Increasef Percent

(Dollars in Thousands) Enacted Enacted Budget Decrease Change
International Financial Institutions 1,273,219 1,277,289 2,071,305 794,016 62.2%
Technical Assistance 19,800 20,235 29,000 8,765 43.3%
Debt Restructuring 64,350 30,055 441,000 110,945 369.1%

& i

Bh


Financial Management Service

Overview:

The U.S. Department of the Treasury’s Financial Management Service provides central

payment services to federal agencies, operates the federal government’s collections and
deposit systems, provides government-wide accounting and reporting services, and

inquent debt owed to the government. FMS currently has

1,878 employees, with one-third working in the four Regional Financial Centers in
Austin, TX; Kansas City, MO; Philadelphia, PA; and San Francisco, CA; and in one
National Debt Center in Alabama. The remaining two-thirds work in the Washington,

DC area.

Overarching Priorities:

Fiscal Year 2008 Key Statistics:

*Total Payments more than 1.1 billion payments
totaling nearly $1.9 trillion
--Stimulus Payments nearly 117 million payments
totaling more than $94 billion
Collections nearly $3.2 trillion
*Total Delinquent Debt Collected more than $5.9 billion
~Child Support Collected more than $2.8 billion
Dailv Cash Flow Managed nearlv $68 billion

*These statistics reflect a significant increase in the payments disbursed and delinquent debts collected due
to the implementation of the Economic Stimulus Act of. 2008.


Chief of Homeownership Preservation

The Office of the Chief of Homeownership Preservation was established with the aim of
identifying opportunities to help homeowners protect their homes, while also protecting
taxpayers. The key policy goals of the Office are to reduce the number of principal residences
lost to foreclosure and to stabilize the value of homeownership in surrounding communities
through polices which impact homeowners, home mortgage loans, lenders, servicers and their

communities.

The priorities of the Office are:
To work closely with key organizations on strategies to adopt and implement a

comprehensive and aggressive loss mitigation program.

To develop and implement a robust outreach program targeted to at-risk homeowners.
This will require Treasury to work with key organizations to develop additional
communications strategies for reaching borrowers who are most in need of assistance.

To outline and implement strategies to regularly update the Administration, Congress, the
public, and other key stakeholders, on results.

« To monitor, analyze and report on the results of the loan modification program.

Chief Compliance Officer

The Office of the Chief Compliance Officer (CCO) is responsible for developing and
implementing, in conjunction with the relevant program offices, processes and procedures to
provide for overall program compliance with the EESA. These include the executive
compensation, statutory reporting and conflict of interest requirements. In addition, the Office
serves as liaison to the external oversight entities including the GAO, Special IG, FSOB and the
Congressional Oversight Panel. The Office will also be the point of contact within the OFS for

other Treasury-wide compliance activities.

Chief Financial Officer

The Office of the Chief Financial Officer (CFO) acts as the liaison between the OFS and
Treasury for budget, financial systems, accounting, and reporting support. The CFO also serves
as the liaison to the Custodian, who provides the subsidiary ledger to the Treasury maintained
general ledger for all financial data including funding of Custodian, movement of funds by the
Custodian, and receipt of funds. The CFO also manages cash flow requirements, A-123 internal
controls, and administrative support activities for all of OFS. The Office serves as liaison with
staff of the Government Accountability Office (GAO) for financial statement reporting.

Chief Counsel

The TARP Chief Counsel provides legal and policy advice to the OFS on the execution of the
EESA and the implementation of the TARP. The Chief Counsel reports to the Assistant General

Counsel (Banking and Finance) in Treasury’s Legal Division


Deputy Assistant Secretary for Human Resources and Chief Human Capital Officer
(DASHR/CHCO) provides Department-wide oversight in all areas of human capital
management, including Equal Employment Opportunity (EEO) and diversity and civil rights;
executes Treasury’s responsibilities for certain District of Columbia retirement programs;
develops broad programs and policy guidance for human resources programs and
initiatives/strategies; provides consultative services for the bureaus on human capital issues,
including performance management, workforce development, executive resources, employment
.¢-siaffing, compensation policy, labor and employee relations, and workers compensation,

manages the Treasury Executive Institute, providing learning opportunities for executives and
GS-15s from the Departmental Offices and bureaus.

Deputy Assistant Secretary (Information Systems) and Chief Information Officer
(DASIS/CIO) responsible for Department-wide information technology (IT) strategy, budget,
and governance, responsible for policy, compliance, and oversight of the Treasury IT investment
portfolio, compliance with the Paperwork Reduction Act and Information Quality Act,
Department-wide IT security, operational compliance and privacy safeguards, and serves as the
Department’s lead on E-Government initiatives. The CIO chairs the Technical Investment
Review Board, provides policy direction and oversight of the Department’s IT human capital
requirements, enterprise architecture development and information management. The CIO also
oversees the Department’s IT governance and IT capital planning and investment control
process, cyber security, telecommunications, and the human resources management system.

Deputy Assistant Secretary for Privacy and Treasury Records (DA SPTR) responsible for
Department-wide policy, reporting, and compliance with applicable authorities, as well as
Departmental Offices operations, in the privacy and civil liberties areas, as well as in the related
information management areas of records disclosure under the Freedom of Information Act; the
management, preservation, and appropriate release of Treasury records; and library and research
services; maintains a system of Treasury Orders and Directives program that reflect current

Departmental policies, activities, and procedures.

Senior Procurement Executive (SPE) provides guidance for Departmental offices and bureau
procurement programs and systems, evaluates bureau procurement operations, directs and
expands the use of streamlined, cost effective procurements, purchase card and strategic
sourcing, commercial item acquisitions, and performance-based service contracting. Manages the
Procurement Services Division, the operational procurement function for Departmental Offices,
responsible for obligating and managing DO procurements. SPE also administers a Department-
wide career management program for acquisition professionals.

Director of Emergency Programs (EP) coordinates and facilitates the Department's emergency
programs, working with other national security and emergency preparedness components in the
federal government. EP is responsible for the development and maintenance of policies, plans,
and procedures to support those initiatives as well as the associated training, tests, and exercises.
Office functional areas include emergency management, continuity of operations, and continuity
of government, emergency communications, and shelter in place/evacuation.


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needs of the Legal Division with respect to foreign law and international law expertise and meets
those needs through training, seminars, speakers, and other events.

Tax Policy and Administration: Chief Counsel for IRS and the International, Legislative, and
Benefits Tax Policy Counsel

The Chief Counsel of the IRS is appointed by the President of the United States with the advice
and consent of the U.S. Senate. The Chief Counsel is the chief legal advisor to the IRS
tof

Commissioner on ail inatters pertaining to the interpretation; administration_and-enfereem £
the Internal Revenue Laws (as well as all other legal matters) and provides legal guidance and
interpretive advice to the IRS, Treasury, and taxpayers.

The Tax Policy Counsels are responsible for developing regulatory and other guidance to
administer the tax code and provide legal advice in connection with domestic and legislative tax
proposals and issues, international tax matters, including the negotiation of tax treaties and
related documents, and benefits tax issues such as those involving pensions. These offices work
closely with the IRS Commissioner and senior tax policy officials in the Department.

Other Important Legal Reporting Notes

The IRS Chief Counsel reports to both the General Counsel and the IRS Commissioner. The
Chief Counsels of two other Treasury bureaus, the Office of the Comptroller of the Currency
(OCC) and the Office of Thrift Supervision (OTS), work with the General Counsel and other
members of the Legal Division but report directly to the Comptroller and the OTS Director,
respectively. Similarly, the Counsel to the Treasury Inspector General (IG) and the Counsel to
the Treasury Inspector General for Tax Administration report directly to their respective IGs.

CRITICAL UPCOMING ISSUES

Emergency Economic Stabilization Act

The Legal Division continues to provide legal and policy advice to Treasury officials on the
execution of this important statute—including asset and debt management, tax guidance,
personnel selection and procurement, special reporting and oversight obligations to GAO,
Congress, the Office of Financial Stability, and the newly-created Special Inspector General.

The Legal Division is also assisting in the creation of a troubled asset “guarantee” program and a
temporary guarantee program for money market mutual funds.

GSE Funding and Programs

Treasury continues to fund and take other actions with regard to Fannie Mae and Freddie Mac,
The Legal Division was integral in creating market stability and increased liquidity in these
entities by helping to put in place a secured credit facility, investment managers to purchase
mortgage backed securities, and senior preferred stock facilities, thus ensuring that Fannie and



Bureau of the Public Debt
(BPD)

en on

[- FY 2007 FY 2008 FY 2009

Enacted Enacted | President's increase/ Percent

Appropriation Budget Decrease Change
‘Administering the Public Debt $178,854 $182,871 $187,054 $4,183) 2.3%
Wholesale Securities Services 19,996 20,518) 21,047 529 2.6%
Government Agency Investment Services 14,594 14,648 14,497 (151) (1.0%)
Retail Securities Services 437,020) 140,573 144,194! 3,621 2.6%
Summary Debt Accounting 7,244 7,132 7,316 184 2.6%

BPD manages the public debt through auctions of federal debt instruments, regulates the primary and
secondary Treasury securities markets, and provides timely and accurate reporting on the public debt. BPD
funding is provided within the following budget activities:

Wholesale Securities Services:
+ Ensures the government's critical financing needs are met and an the infrastructure is in place for the
custody and transfer of Treasury securities in the wholesale market
+ Issues marketable Treasury bills, notes, bonds and Treasury Inflation-Protected Securities
Government Agency Investment Services:
* Supports federal, state, and local government agency investments in non-marketable Treasury securities
and federal agency borrowing, including trust and investment funds held by various agencies
Retail Securities Services:
+ Issues and services retail customers holding marketable and savings securities directly with Treasury
Summary Debt Accounting:
* Accounts for and reports on all financial act ity related to public debt
+» Provides accounting controls for funds received from the sale of securities, and funds disbursed as
interest and principal payments



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Assistant Secretary level (lead by an Under Secretary level official) Joint Working Group
representatives meet at least once between the Steering Group meetings.

EcoPartnerships
Over the last few months, the two countries have been actively developing the EcoPartnerships

concept outline at SED IV. The aim of these partnerships is to develop new models for
economic sustainability, energy security, and environmental sustainability in the United States
and China. Recognizing that in both countries, local entities have often been laboratories for
new and innovative policy initiatives, EcoPartnerships are meant to leverage the

accomplishments of the T YF taskforces by providing opportunities to test and demonstrat
policies, technologies, and new approaches at sub-national levels. EcoPartnerships are also
intended to facilitate innovations that may include development, commercialization and
deployment of energy and environmental technologies. The EcoPartnership Framework and
approximately 3 to 5 EcoPartnerships between companies, universities and municipalities will be
introduced at the SED V meeting in Beijing where they will sign Statements of Intent. On the
US. side, EcoPartnerships must be entirely voluntary and be able to clearly demonstrate benefits

to the United States.

Critical Issues for the First Six Months



————

CHECKLIST FOR ARRIVING APPOINTEES AND HELPFUL INFORMATION

CHECKLIST FOR ARRIVAL

(2 HUMAN RESOURCES

POC - Vernetta Wilkins, 622-1069 (Vernetta will schedule a specific time for you to meet with a HR Specialist)

Human Resources is the point of contact for leave, retirement, insurance, health benefits, thrift savings plan, etc. The HR office has a
comprehensive package which contains related forms and detailed information to simplify your arrival process.

0 Ernics
POC — Bernie Knight, 622-1137
An incoming ethics briefing is suggested. The ethic attorney will brief you on financial disclosure paperwork (such as a final SF 278)

and the Hatch Act.

0 BADGE
POC — United States Secret Service, 622-1112
The USSS will contact you after your arrival to schedule a time for a badge photo. ‘The process to obtain a badge usually takes a week.

© EQUIPMENT

POC - Your Division's Admin Contact

The Management Division will assist your Administrative Contact in obtaining equipment (such as computers and desk phones),
laptops, blackberries, cell phones, keys, parking permits, access badges, credit cards, etc.

(SECURITY
POC -- Larry Marlow, 622-1837
Appointees needing to acquire a security clearance need to contact Treasury's Special Security Officer.

( DOCUMENTS & RECORDS

POC - Office of Records Management, 622-0790

It is important (especially for appointees in senior leadership positions) to understand which documents and records can be taken with
you upon departure, Contact Records Management for more information.

or
POC — DO IT Service Desk, 622-1111
For all IT, Computer or Blackberry related issues you can call the DO IT Service Desk at 622-1111 or email help.desk@do.treas.gov.

(BUILDING SERVICES
POC — Building Services Help Desk, 622-1350 '
For all building services, such as moving, repairs, framing contact the Building Services Help Desk at 622-1350 or email

FacilitiesServiceDesk:@do.treas. gov.

HELPFUL INFORMATION

HELPFUL INFORMATION

OG GYM
The Treasury Gym is located in the basement of Main Treasury. Open 24 hours a day. Locker rooms with towel service are available.
The woman’s locker room is accessible only by key code. Please contact 622-2358 to receive the code.

CO VAULT CAFETERIA
The Vault Cafeteria is located is located on the first floor of Main Treasury. Breakfast is served from 7:00am- 9:00am, Lunch is

served from 1 {:00am- 2:30pm, and the Coffee shop is open until 4:00pm.

CO TREASURY DINING ROOM

POC — Ador Carreon, 622-2065

The Treasury Dining Room provides exquisite dining experiences for the Secretary of the Treasury, as well as officials at the Deputy
Secretary, Under Secretary, Assistant Secretary, Deputy Assistant Secretary and Bureau Heads, and all equivalent levels. The
Treasury Dining Room is located on the 2" floor of Main Treasury and serves breakfast and lunch from 8am -2pm.

(3 Matt ROOM

POC — Mail Room, 622-1650

For all mailing services contact the mail room at 622-1650, Interoffice scheduled mail deliveries and pickups for Main Treasury are
9:00am, 11:30am, 1:30pm and 3:00pm. daily. Outgoing mail for USPS is sorted and processed for pickup by 3:45pm daily. Special
mail (red tagged items) is delivered to outside agencies etc. twice daily at 10:00am and 3:00pm with priority given to the Secretary,
Deputy Secretary and Undersecretaries offices. For messenger services to outside Agencies please contact Preston Dyson and Maurice

Miller at 622-1650.


~~
OFFICE OF THE DEPUTY ASSISTANT SECRETARY FOR INFORMATION
SYSTEMS AND CHIEF INFORMATION OFFICER (@ASIS/CIO)

Overview
Treasury’s Office of the Deputy Assistant Secretary for Information Systems and Chief

Information Officer (DASIS/CIO) is responsible for Department-wide information
technology (IT) policy and oversight for cyber security, implementation of the Electronic
Government (E-Gov) component of the President’s Management Agenda, enterprise
architecture (EA), information management, and IT capital planning for Treasury’s IT
investment portfolio valued at $2.7B FY 2008). Additionally, the Office of the
DASIS/CIO is responsible for the management and operation of the Treasury-wide
telecommunications infrastructure supporting Bureaus and Departmental Offices (DO) as
well as Treasury’s web-based human resource system, HR Connect.

Key Functions
¢ Cyber Security: Leads the Department-wide Cyber Security Program to ensure
protection of Treasury’s systems and automated information assets. Functions
include Federal Information Security Management Act (FISMA) oversight,
performance management, security policy, cyber critical infrastructure protection,
security configuration management, and incident reporting. The program’s scope
includes classified and unclassified systems throughout the Department.

e E-Government:. Supports Treasury’s mission by implementing strategies that
improve the efficiency and performance of Treasury’s IT systems and business
processes. The Office identifies high-payoff IT investment opportunities, enhances
cross-bureau collaboration, and facilitates development and use of the Treasury EA.

© IT Capital Planning and Information Management: Manages Treasury’s IT

investment portfolio and establishes IT capital planning and investment control
policies and processes. Provides leadership, oversight, policy development and
training for Treasury information collection programs, accessibility, forms
management, and information quality programs. Additionally, provides leadership
and program management for a Terrorism and Financial Intelligence Enterprise
Content Management solution.

e Telecommunications Management: Oversees DO IT infrastructure management as
well as the enterprise voice and data telecommunications infrastructure for the
Department, including enterprise-wide applications. Also responsible for providing
comprehensive IT services and support for DO, including policy office
systems/applications as well as Secure Network infrastructure and applications.

«® HRConnect: Manages the Treasury Human Resources LoB Shared Services
Center (SSC). The Treasury SSC technical platform (HR Connect) is an enterprise-
wide human resources system asset, built on a variety of commercial-off-the-shelf
software, to include PeopleSoft. As an SSC, HR Connect leverages Treasury and
National Finance Center legacy systems to transform core back-office HR


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Office of International
Affairs


Treasury Accounts

+ Treasury funding is provided through appropriated, mandatory and
non-appropriated accounts

+ Annual Discretionary Appropriations (over $13 bi on)

+ Mandatory Accounts (over $500 billion)

* Non-Appropriated Accounts (over $3 n)

+ Additionally Treasury manages over $700 million of resources for
centralized services



THE SENIOR PROCUREMENT EXECUTIVE

Overview

The Senior Procurement Executive (SPE) is responsible for operations of two offices, the
Office of the Procurement Executive (OPE) and Procurement Services Division (PSD).
OPE is responsible for Department-wide acquisition management and strategies
including policy, process, evaluation, setting and measuring acquisition goals, and
continuous improvement. PSD is the operational procurement function for Departmental
Offices (DO), responsible for correctly obligating and managing approximately $200

million per year of DO procurement requirements.

SPE focuses on high-value, critical acquisition issues that:

+ Support and promote the achievement of federal business goals and strategies;

«Reduce federal overhead buying products and services at lower cost;

+ Facilitate improved taxpayer service delivery by placing better quality, higher
performing supplies, technology, and support service in the hands of federal
managers;

+ Improve efficiency, timeliness, and increased focus on customer,

¢ Produce better information to support planning and execution of the procurement
function;

+» Encourage the participation of all the nation's diverse human and business resources
jin a revitalized economy;

+ Serve and protect the public interest; and

+ Ensure that the government's business be conducted under the highest ethical

standards.

Key Functions
and Oversight (OPE):

+ Prescribe Department-wide procurement policies, regulations, and procedures.

+ Make procurement-related determinations and decisions and take other
actions, consistent with appropriate laws, Executive Orders, policies and
regulations.

- Evaluate bureau procurement operations against established goals and
requirements.

+ Promote implementation of innovative practices and streamlined processes
designed to improve procurement management and productivity.

* Develop and maintain an automated procurement data system and assure that
system procurement data are accurate, complete and timely.

« Manage a Department-wide acquisition career management program.

* Manage the Department competition advocate program.

+ Establish goals and oversee bureau activities in support of mandated

procurement programs.

e Operational Procurement (PSD):



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Operating Budget:

During the current CR (October ~ March), IA is operating under a hiring freeze and all non-
salary expenses are being closely monitored.

Office of Technical Assistance (OTA): 1A also manages OTA which includes 20 permanent

hires and over 100 contractors worldwide — working in about 70 countries. Their budget is
appropriated directly from Congress and is managed separately from other JA resources.

JA Attachés: IA currently has Attachés in 11 locations (Abu Dhabi, Baghdad, Beijing, Brussels,
Cairo, Jerusalem, Kabul, New Delhi, Sao Paulo, Singapore, and Tokyo), and is looking to hire
and/or deploy to another 8 locations (Dubai, Islamabad, Jakarta, Johannesburg, London, Mexico
City, Moscow, and Riyadh) in FY09.

International Financial Institutions (IFI) Staff: JA currently staffs 25 people at the IFIs (IMF,
World Bank, IDB, ADB, AfDB, and EBRD), which includes both non-political staff and the
Executive Directors and Alternates at these institutions, each of whom is a Presidential appointee
and some of whom require Senate confirmation. IFI Staff to the Executive Directors are hired
directly by these institutions or their salaries are reimbursed, and they are granted re-employment

tights to Treasury.