The Obama Administration's continued
commitment to transparency reinforces a system of public participation and
collaboration in government. Treasury continues
to embrace the three pillars of open government transparency, participation,
and collaboration to help further the Department's mission, vision, values,
and goals.
In terms of mission, the Department
of the Treasury manages the public purse. The nation looks to Treasury for financial guidance, resources, and
opportunity. While safeguarding privacy
and security, Treasury has taken a number of steps over the past three years to
share information with the world. To date,
Treasury has designated staff to advocate open government within and beyond Treasury,
established a web site devoted to open government at http://www.treasury.gov/open/, and brought a renewed focus on process improvement to Freedom of Information
Act requests. Treasury's goal is to
reinforce a culture of transparency throughout all of its functions and
activities, so that the concept of open government becomes integral to the
Department's work.
Treasury's initial Open
Government Plan was published in April 2010 with updates in May 2010. In April 2012, Treasury published its second
version of the Open Government Plan (2.0). The Plan served as a roadmap describing how Treasury will continue to
implement the principles of open government. The Plan describes recent accomplishments, provides narrative
explanations for any items identified by the first plan that are ongoing, and outlines
a future plan of action with milestone dates when each achievement will be
accomplished. The Plan also describes accomplishments
on Treasury's flagship administrative initiative Moving to a Paperless
Treasury and identifies challenges and lessons learned.
This Open Government Plan version
2.1 takes Treasury beyond the implementation of the principles of open
government; it identifies the framework to put these principles into operation
in the Department's everyday activities.
Maintain a strong economy and
create economic and job opportunities by promoting conditions that enable
economic growth and stability at home and abroad, strengthen national security
by combating threats and protecting the integrity of the financial system, and
manage the U.S. Government's finances and resources effectively.
Treasury remains committed to promoting the
principles of open government (transparency, participation, and collaboration)
throughout the Department. By setting
the standard for the protection, access, and disclosure of information,
Treasury can better communicate to and consult with the public about the
policies and programs it implements or administers.
The Open Government Plan version
1.0, published in 2010, included existing initiatives that supported the core
principles of open government (transparency, participation, and collaboration)
and identified new activities to further these goals. The following sections review Treasury's approach,
achievements, and work which continue from version 1.0.
Goal 1: Increase Transparency Efforts
Goal 2: Expand Participation and Collaboration
Efforts
Goal 3: Continue Ongoing Efforts on Treasury's Current
Flagship Initiative Moving to a Paperless Treasury
In accordance with the Office of
Management and Budget's (OMB) Open Government Directive,[1] Treasury appointed the Deputy Assistant Secretary for Privacy, Transparency,
and Records (DASPTR) the Senior Agency Official for implementing and
establishing a governance structure that provides leadership and guidance. The DASPTR chartered the Treasury Open
Government Steering Committee to implement open government activities throughout
the Department. (The Steering Committee
is discussed on page 4 under the section titled Treasury-Wide Open Government
Steering Committee.)
Treasury aligned its open
government strategy with the agency's strategic plan, particularly with respect
to Treasury's strategic goal of management and organizational excellence. Treasury has demonstrated its thorough
commitment to open government by tying the goals of transparency, participation,
and collaboration to the mission and strategic goals of the Department.
Treasury's current Strategic
Action Plan for Data Quality, developed in May 2010, focuses on the internal
controls implemented over information quality, system process improvements, and
integration of the controls within the existing information technology and
strategic planning processes. (For more
detail on data quality and accessibility, see page 13, et seq.)
The Department of the Treasury
has embraced e-rulemaking by posting proposed rules for public comment and
final rules on Regulations.gov on a regular basis. This is an e-government initiative that
promotes public participation and provides public access to the development of
rules and regulations that impact American citizens. E-rulemaking promotes more effective and
efficient rulemaking through public participation. (For examples of e-rulemaking postings see Examples
of Successful Participation Initiatives on page 17.)
Treasury enhanced its internal
collaboration efforts with the implementation and production of the Enterprise Content
Management platform (ECM) in Fiscal Year 2011. The ECM platform allows Treasury employees to share content and
collaborate more effectively across the Department, and better links Treasury's
internal and external platforms. The
public is also able to connect with Treasury for information and services through
the www.treasury.gov website. Treasury's social media hub
includes a Twitter account (@USTreasuryDept) with over 34,000 followers,
Facebook, YouTube, and other forms of communication, all available from the
Treasury Notes Blog.
In accordance with the Open Government Directive,
Treasury developed the first version of the Open Government Plan to inform the
public on how the Department will implement the principles of open
government. Treasury developed a
training module titled Transparency and Open Government Awareness, which
Treasury staff are required to complete on an annual basis. This online training module assists Treasury
employees in understanding the open government principles reflected in the
President's memorandum on transparency, open government, and the Freedom of
Information Act (FOIA) and how these concepts affect Treasury employees in the performance
of their daily work activities. This
training also addresses how Treasury conducts all business, including the
administration of its FOIA-related activities, with the presumption of
openness. Training is also conducted at
Treasury's Annual Records and Information Management Month (RIMM) event. This event is open to all Federal government
agencies. Treasury will continue to
identify accomplishments in open government initiatives and identify new
opportunities to continue supporting the initiative in compliance with the
Directive.
To
ensure success in promoting open government across the Department, Treasury
established open government performance measures as follows:
1. Release a minimum of three datasets per
quarter
2. Track and increase stakeholder outreach
efforts
3. Reduce FOIA backlog by a minimum of 10
percent
4. Identify cost savings resulting from open government
initiatives
The
Deputy Assistant Secretary for Privacy, Transparency, and Treasury Records (DASPTR)
was designated as the senior agency official for implementing the Open
Government Directive. The Assistant
Secretary for Management and Chief Financial Officer was designated by the
Secretary of the Treasury to serve as senior accountable official for data
quality. In accordance with the Open
Government Directive, this official is accountable for the quality and
objectivity of, and internal controls over, the Federal spending information
publicly disseminated through such public venues as USAspending.gov or other
similar websites. The Deputy Chief
Financial Officer was designated to develop and implement the framework for
data quality. Together, these senior officials
lead Treasury's work toward a sustainable culture of open government.
The DASPTR established a steering
committee to develop guidance and provide leadership on activities across the
Department and identify existing data and resources to enable Treasury to
provide the public with greater transparency, increased participation, and more
collaboration opportunities. The
committee is comprised of representatives from each of Treasury's bureaus. Additional members of the committee include
representatives from the offices of Public Affairs, General Counsel, Inspectors
General, Management and Budget, Privacy and Records, Deputy Chief Financial
Officer, Chief Information Officer, Procurement Executive, and Human
Resources.
The DASPTR serves
as chairperson of the committee and engages with key Department partners to
assist with the development and implementation of effective strategies and
activities for implementing open government principles. In addition, the steering committee developed
a reporting framework to ensure accountability to the Department and the
public. This Treasury-wide governance
structure developed processes and identified activities that enabled Treasury
to nurture and institutionalize a culture of transparency and openness in the
conduct of Treasury mission activities, and to support the quality of Treasury
information as well as the presumption of disclosure. Examples of Treasury-wide participation in
this structure include:
The
office of Public Affairs works with offices across the Department to
communicate with the public, advocacy groups, and key stakeholders concerning the
Department's priorities across issues, including its commitment to open
government, and actively engages these communities to learn how the Department can
better provide information of high interest and value to the public.
The
Office of the Chief Information Officer determines the most effective use of
technology for creative solutions and active stakeholder engagement, including
support of the open government webpage www.treasury.gov/open and other websites available to the public.
The
offices within the Office of Privacy, Transparency, and Records continue to collaborate
with both the steering committee and the data quality official to support
maximum disclosure of Treasury information while ensuring appropriate protections
for individual privacy and security.
New governance councils will be
created as needed, and existing governance bodies that have been formally
charged with driving andoverseeing
open government efforts on an ongoing basis will ensure that open government
remains a priority and is integrated into the strategic goals of the Department
into the future.
Subcommittees
In
Treasury's Open Government Plan version 1.0, six subcommittees were formed to
oversee specific lines of activities for the Department to construct and
implement the open government strategy. Figure
1 provides an organizational chart of the reporting structure and function of
these subcommittees. (Note: In version
2.0, the subcommittees were consolidated to three to combine functions, focus
efforts, and strengthen Treasury's open government outcomes.)
Figure 2 shows the status of the
transparency commitments contained in the Open Government Implementation
Tracking Matrix from version 1.0. Below
are accomplishments on transparency where Treasury made information to the
public readily available online, in machine readable, platform independent
formats on various public websites such as Data.gov, Federal IT Dashboard,
etc.
Open Government Commitment |
Type of Commitment |
Page in Plan 1.0 |
Status |
Identify current policies impacted and in need of
revision, as well as new policies needed, to support and enable transparency,
collaboration and participation activities in support of the Open Government
Directive |
General |
Pg. 5 |
The following Treasury orders and directives have
been identified and are being revised to address cloud computing, social
media, and collaborative work tools:
TD 80-05, Records and Information Management;
TD 25-05, Freedom of Information Act Program;
TD 25-20, Ensuring Compliance with Privacy and
Records Management Requirements using social media websites;
TO 105-19, Declassification Program;
TD 27-09, Organization and Functions of the Office
the Assistant Secretary (Legislative Affairs);
TD 87-06, Electronic and Information Technology
Accessibility under Section 508 of the Rehabilitation Act. |
Develop a Treasury-wide strategy and network for
both disseminating and receiving key information pertaining to Treasury's
implementation of the Open Government Directive activities. |
Transparency |
Pg. 5
|
Treasury has developed a Communications Plan for
internal use. |
Revise Data quality plan and process to ensure
that security and privacy requirements identified by the Privacy and Security
Steering committee are incorporated. |
Transparency |
Pg. 5 |
Treasury published its first plan in Version 1.0
of its Open Government Plan. |
Develop a framework for the structure and content
of Treasury's Open Government Plan to describe how the agency will foster a
culture of openness by incorporating the principles of transparency,
participation, and collaboration into all facets of the Department's
operations. |
Transparency |
Pg. 5 |
Treasury completed the framework of the Open
Government Plan in May of 2010. |
Identify
current datasets and information to make available to the public and
possibilities for partnerships with other agencies to provide and/or create
complementary datasets.
|
Transparency |
Pg. 5 |
Treasury exceeded its target of publishing 3
datasets per quarter on Data.gov for a total of 19 datasets added to Data.gov
in FY2011. |
Implement an option for requesters to submit FOIA
requests to Departmental Offices online |
Transparency |
Pg. 23 |
goFOIA was launched on April 29, 2011, and
provides the public the ability to submit FOIA requests and check the status
of their requests via www.treasury.gov. |
Implementation of a permanent process for
continuous, proactive identification, preparation, and release of data on an ongoing
basis. |
Transparency |
Pg. 24 |
Treasury's process for identification, preparation,
and release of data on an ongoing basis is included in the revision of
Treasury's Data Quality Plan in May, 2012. |
Make available
in raw, downloadable format the following legal materials:
Comptroller of the Currency Enforcement Actions
IRS Actions on Decisions
IRS Internal Revenue Bulletin
IRS General Counsel Memoranda
IRS Private Letter Rulings and Technical Advice
Memoranda
IRS Revenue Bulletin
IRS Written Determinations
Office of Foreign Assets Control Interpretive
Rulings on OFAC Policy
Office of Thrift Supervision Enforcement Actions |
Transparency |
Pg. 36 |
These datasets were 'submitted to Data.gov for FY 2011.
|
Provide greater search capabilities across the
Department's FOIA reading rooms and incorporate public feedback mechanisms. |
Transparency |
Pg. 23 |
The Department's online FOIA reading room currently
employs enhanced search capabilities such as keyword search, which was
deployed in January 2012. |
Development of a training module entitled
Transparency and Open Government Awareness which will help Treasury
employees understand the open government principles reflected in the
President's memorandum on transparency, open government, and FOIA; how these
concepts affect Treasury employees daily work activities; and how Treasury
conducts business with the presumption of openness, including the administration
of its FOIA related activities. |
General |
Pg. 8 |
This training module was completed and launched on
the Treasury Learning Management System (TLMS) in Spring of 2010. |
Figure 3 illustrates ongoing transparency efforts in
the Open Government Implementation Tracking Matrix.
Open Government Commitment |
Type of Commitment |
Page in Plan 1.0 |
Status |
Identify current datasets and information to make
available to the public and possibilities for partnerships with other
agencies to provide and/or create complementary datasets to help drive
economic change. |
Transparency |
Pg. 5 |
Treasury continues to identify current datasets to
make available to the public and partner with other agencies to create
complementary datasets. This will be
an ongoing effort to identify new datasets and information that can be made
available to the public and possible partnerships with other agencies. |
Eliminate the backlog of FOIA requests in order to
ensure the American public has access to as much information as possible. |
Transparency |
Pp. 21-2 |
The Department completed a Lean Six Sigma review
of the FOIA process from end to end to identify strategies to improve the
response time for FOIA processing and reduce the backlog. Backlog reduction continues. |
Post data quality information online, with an
emphasis on the contracts and grants data. |
Transparency |
Pg. 24 |
The Department has been and will continue to post
data quality information online with an emphasis on contracts and grants data
via USAspending.gov and Grants.gov. This is an on-going initiative because the information will be
continually updated as new contracts and grants are awarded. |
Engagement in identifying and planning for the use
of new technologies as opportunities arise for alignment with mission
objectives and open government activities. |
Transparency |
Pg. 32 |
The Department's electronic content management
(ECM) initiative has provided the Department with improved technologies to
support Treasury's mission, objectives, and open government activities. This will continue as new tools are added
to the ECM platform to improve the functionality. |
Grants.gov
The Department of the Treasury's Community
Development Financial Institutions Fund publishes its grant opportunities on
Grants.gov here. This website, linked from www.treasury.gov/open, allows users to search for
Treasury grant opportunities.
Data.gov
Treasury exceeded its Plan version
1.0 goal to submit three datasets per quarter to Data.gov. During FY 2011, the Department submitted 19
datasets to Data.gov in addition to the wealth of information available from
other Treasury and bureau public websites. Figure 4 shows the datasets posted in FY 2011. These datasets are considered high value
because they accomplish one or more of these criteria: increase agency
accountability and responsiveness, improve public knowledge of agency and its
operations, further the core mission of agency, create economic opportunity, or
respond to an identified public need and demand.
Datasets published in the year following
Treasury's Open Government Plan 1.0 |
1. Bureau
of the Public Debt Debt Position and Activity Report |
2. Bureau
of the Public Debt Interest Cost on
Outstanding Debt |
3. Bureau
of the Public Debt Monthly Statement of the Public Debt |
4. Financial
Crimes Enforcement Network (FinCEN) SAR Activity Review - By the Numbers
(Issue 15) |
5. IRS
Actions on Decisions |
6. IRS
General Counsel Memoranda |
7. IRS
Private Letter Rulings and Technical Advice Memoranda |
8. IRS
Written Determinations |
9. IRS
Internal Revenue Bulletin |
10. Bureau
of the Public Debt Average Interest Rate for Treasury Securities |
11. TARP
TARP Transaction Report, Capital Purchase Program (Investments) |
12. Interest Rate Statistics -Daily Treasury Bill Rates (Current Year) |
13. FinCEN
Enforcement Actions for Violations of the Bank Secrecy Act |
14. IRS
Individual Income and Tax Statistics, 1916 2005 |
15. IRS
Internal Revenue Collections by Type of Tax and State |
16. Bureau
of Engraving and Printing Annual Production Report (1980 2010) |
17. Financial Management Service Financial Report of the US Government |
18. Treasury Recovery Act Data (September 2010) |
19. Financial Management Service US Treasury Owned Gold |
USASpending.gov
In
alignment with the Open Government Directive, which calls for publishing
information online to increase accountability and enable the public to stay
informed about the use of taxpayer dollars, the Department posts its award
information on OMB's USASpending.gov. USASpending.gov includes the following information
for each Federal award posted:
1. Name
of the entity receiving the award;
2. Amount
of the award;
3. Information
on the award including transaction type, funding agency, etc.;
4. Location
of the entity receiving the award; and
5. A
unique identifier of the entity receiving the award.
The
Treasury Department uses OMB's IT Dashboard, a website where the public can
track the progress of the Department's information technology (IT) investments. The Dashboard, located at http://it.usaspending.gov/, is a public-facing website that
contains performance measures on multiple dimensions of the IT portfolio e.g.,
cost and schedule and is updated monthly with new IT investments by Treasury's
Office of the Chief Information Officer.
FOIA
Treasury
is committed to ensuring that the President's directive regarding the
presumption of disclosure is applied to all decisions involving FOIA, including
the increased proactive disclosures and discretionary releases consistent with its
legal responsibility to protect national security, personal privacy, privileged
records, and other protected interests. Treasury
is further committed to an open and transparent government, to provide the
American public with access to as much information as possible. Treasury's FOIA activities will be fully
integrated into the Department's Open Government Plan and implementation
efforts.
The Department's FOIA Improvement
Plan targets at least a 10 percent reduction in the backlog each year. Treasury's Chief FOIA Officer Reports include
discussions of how Treasury will continue to improve the FOIA database, better
utilize emerging technology, support more proactive disclosure, and continue to
eliminate the backlog of requests.
The
website, www.Treasury.gov/FOIA provides links to Instructions
on how to file a FOIA request with the Department, a listing of all the Bureau
FOIA Requester Service Centers and FOIA Public Liaisons, Treasury's FOIA
Improvement Plan update, the Department's Annual FOIA Reports to the Department
of Justice, the Chief FOIA Officer reports, and other items of interest such as
frequently requested records. These plans
and reports arealso available on Treasury's open
government web page (www.treasury.gov/open) under the heading "Freedom
of Information Act (FOIA)."
Reduction of FOIA Backlogs
From
FY 2009 to FY 2011 Treasury reduced its FOIA backlog by over 43 percent (Figure
6). This accomplishment far exceeds the
requirements contained in the Open Government Directive to reduce pending
backlogs by ten percent per year.
Treasury is committed to continuing process improvements to achieve
total elimination of the backlog. Indeed
one bureau, the Alcohol and Tobacco Tax and Trade Bureau (TTB), successfully
lowered its backlog to zero in FY2011. In
addition, the Department continues to proactively disclose useful and relevant
information about activities to the public such as: FOIA request logs, the Secretary's
and other key officials calendars, and Dodd-Frank implementation meetings with
senior officials, to name just a few.
FOIA Process Improvement
The
Department completed a review of its entire FOIA process from end to end to
identify how we can continue to improve its response time for FOIA requests. The review process assisted in finding opportunities
to eliminate redundancies and process gaps and identifying technology solutions
that will enable Treasury to respond more quickly to FOIA requests. Treasury's FOIA improvement process consisted
of these concrete steps:
Conducted
a systemic review of the entire FOIA process within the agency to identify
roadblocks and to improve timeliness;
Analyzed the workload involved in
responding to FOIA requests and determining the appropriate resource levels and
then allocating those resources;
- Relied on a broad range of
senior-level agency personnel, including Legislative Affairs, Public Affairs,
legal and policy staff, and relevant subject-matter experts, to identify
material for proactive release;
Established
regular meetings between FOIA professionals and Treasury's Chief FOIA Officer
to ensure an established dialogue between those officials, so that the Chief
FOIA Officer can troubleshoot problems and facilitate timely responses; and
Deployed
a cloud-based tracking and reporting tool Treasury-wide that provides ongoing
status of FOIA requests at various stages of the process.
Electronic Services Delivery
Even
prior to the completion of version 1.0 of Treasury's Open Government Plan, two
key areas of the FOIA process were already under review with the intent to
improve the electronic delivery of service to the public. The first process implemented was the option
for requesters to submit FOIA requests to Departmental Offices online in
addition to continuing the option of submitting FOIA requests in hard
copy. The Citizen Web Portal (Figure 7) went
live on April 30, 2011. The second
improvement created the electronic reading room, a repository of previously
released information, including frequently requested items. The Department is now investigating cloud
technologies to provide greater search capability across the Department's FOIA
reading rooms and to incorporate public feedback mechanisms.
Treasury
utilizes GovDelivery to improve its digital communication with the public and
improve transparency, participation, and collaboration opportunities. Treasury currently offers over 370 specific
topics by subscription at no cost including Accounting & Budget News,
Budget in Briefs, Currency & Coins News, and Daily Treasury Bills Rates for
subscribers that receive updates via email.
Treasury's open government
webpage has linked to the National Archives and Records Administration (NARA)
website to show how the Department is meeting its existing records management
requirements (Figure 8). These
requirements serve as the foundation for the Department's records management
program, which includes such activities as identifying and scheduling all
electronic records and ensuring the timely transfer of all permanently valuable
records to the National Archives.
Treasury's
Office of Legislative Affairs serves as the principal contact and coordinator
for all Department interaction with Congress and the Congressional relations
offices in the White House and other Departments and agencies. Legislative Affairs develops strategies to
implement initiatives that require legislation, communicates Treasury's
positions to Congress, and keeps the Department informed of Congressional
objectives, concerns, activities, and interests. In addition, Legislative
Affairs responds directly to Congressional inquiries and facilitates replies
from other offices in the Department, monitors the flow of Congressional
correspondence to ensure accurate and prompt response, coordinates officials testimony
before Congressional Committees and advises the Department on Congressional
concerns during policy formation. The
Open Government webpage links to the Treasury webpage with links to all
testimony from senior Treasury officials. All Congressional correspondence addressed to the Secretary or Deputy
Secretary is routed through the Office of the Executive Secretariat and the
Office of Legislative Affairs prior to creation of a record in Treasury's
correspondence database and transmittal to the appropriate office or program
for response. Information on the mission
and functions of this officecan be found at http://www.treasury.gov/about/organizational-structure/offices/Pages/Legislative-Affairs.aspx and a link to Congressional
testimony is on www.treasury.gov/open under Most Requested.
Treasury
Order 105-19, Delegation of Original Classification Authority; Requirements
for Downgrading and Declassification, was updated in 2011 to reflect
delegations of both original classification authority and downgrading and
declassification authority. Declassification
of government information that no longer needs protection, in accordance with
established procedures, is essential to the free flow of information. Treasury completed significant
declassification activities over the past several years, including allowing,
with certain exceptions, classified information to be automatically declassified
at 25 years of age. It is important to
remember that declassification does not equate to automatic release of the
information since there may still be reasons to withhold particular
material. Declassification activities
are ongoing.
The PRA requires OMB approval for
certain information collection efforts. The approval process requires the Department and its bureaus and offices
to provide a detailed explanation of why the information requested from the
public is critical to their mission requirements. The request for collection is published in
the Federal Register with two opportunities for public comments.
Treasury
has created a website to provide an additional, easy-to-use tool to elicit
ideas from the public on Treasury's forms and information collections. Treasury implemented www.PRAComment.gov (Figure 9) to engage the public
further in the PRA process and to solicit comments on all Treasury information
collection activities.
The
pilot Treasury form for www.PRAComment.gov was Internal Revenue Service
(IRS) form Application for Recognition of Exemption Under Section 501(c)(3) of
the Internal Revenue Code, also called Form 1023. The pilot was very successful so Treasury now
allows public comment on 100 percent of its information collection activities
on www.PRAComment.gov.
Among
its many initiatives to promote transparency, participation, and collaboration,
the Open Government Directive requires agencies to address the quality of
Federal spending information. Treasury's
plan will address the quality of both financial and non-financial data to be
made available to the public.
Data Quality
Treasury
submitted its first Open Government Data Quality Plan to OMB in May 2010.
This document is being revised to incorporate new guidance from OMB. The current version of this document is used for
internal information sharing and process improvements. The Data Quality Plan describes the current
processes used within Treasury to ensure the quality of the data posted online,
with an emphasis on the contracts and grants data on USASpending.gov. The Data Quality Plan also lays out the
additional actions Treasury is taking to improve the quality of Treasury data
released to the public.
Treasury's
Data and Information Identification, Integrity and Partnerships subcommittee
developed a robust framework to ensure datasets are evaluated and verified for
usefulness, accuracy, and completeness. Treasury has developed an internal online Data Quality Checklist for
dataset evaluation that supports the Moving to a Paperless Treasury
initiative. The Records Management
office will ensure that the information is retained and archived.
Other Data Activities
Ongoing Data Prioritization and
Release Process
Treasury
implemented a permanent process for continuous, proactive identification,
preparation, and release of data on an ongoing basis a pipeline which is
explicitly incorporated into the strategic planning, IT planning, and budget
formulation processes of the agency. Treasury
developed a data release process that clearly outlines how security, privacy,
quality, and confidentiality risks will be managed before release. The data prioritization process will describe
the criteria used to determine how the data is prioritized for release. Criteria may include value of the data with
respect to a number of specific dimensions: FOIA requests for data, public
interest in the data, resources required to release the data, timeliness of the
data, and other similar factors. The process also may provide for a
mechanism for agency employees to suggest high-value data sets for release. Treasury's Office of the Chief Information
Officer (OCIO) is working to better coordinate its data and systems to conform to
ISO (International Standards Organization) 19115, 11179, 704, 1087, 11404,
19773, and 17442 (Legal Identity Identifiers) standards along with
recommendations by the Information Sharing Environment (ISE) and the Federal
Enterprise Architecture Reference Models (FEA RM). The FEA RMs can be mapped to planning and
control processes and other data management functions within the databases and
systems across Treasury. By
understanding the internal data architecture, Treasury can better discover and
prioritize the potential release of machine-readable and mashable public
datasets. The Data and Information
Identification, Integrity, and Partnerships subcommittee processed the
following initiatives:
Provided
guidance on datasets to bureaus. Treasury
has provided guidance on datasets to the bureaus by providing instructions on
how to complete the Data Quality Checklist in order to submit datasets to
data.gov.
Sent
quarterly requests to all bureaus and offices for new datasets via the
mechanisms outlined in Treasury's Data Quality Plan.
Worked
with the communications subcommittee to cull information and needs about
potential new datasets from internal and external stakeholders.
o Treasury's Open Government
Steering Committee has solicited ideas from the communications subcommittee to
identify potential new datasets from internal and external stakeholders by
engaging the communications subcommittee directly in discussions held in the
monthly Open Government Steering Committee meetings. The data and information subcommittee has
contributed its expertise to analyze the information collected by the
communications subcommittee.
Released
a minimum of three new datasets per quarter to Data.gov totaling 19 new
datasets in FY2011.
Made
available to all bureaus the Data Quality Plan, including guidance for timely
publication of underlying data for public information maintained in electronic
format.
Identified
key audiences for information and their needs, with a goal of publishing high
value information for each of those audiences in the most accessible forms and
formats. Treasury has accomplished this
task by obtaining the most requested information from internal Library, FOIA,
and open government communities as well as its public-facing open government website. The information obtained from these sources
will guide the publication of Treasury's high value data. This data is available on the FOIA Library
reading room.
Figures
10 and 11 show the status of the participation commitments contained in the
Open Government Implementation Tracking Matrix. Accomplishments in the area of participation are circumstances where the
government promotes the public to participate throughout the decision-making
process.
Open Government Commitment |
Type of Commitment |
Page in Plan 1.0 |
Status |
Develop and implement Treasury's open government
website |
Participation |
Pg. 5 |
Treasury's open government website was launched in
February 2010. While not required, several
other Treasury bureaus have launched their own open government websites as
well. |
Implementation of a permanent process for
continuous proactive identification, preparation, and release of data on an
ongoing basis. |
Participation |
Pg. 24 |
A permanent process for continuous, proactive
identification, preparation, and release of data on an ongoing basis was
implemented in Treasury's Data Quality Plan and Data Quality Checklist to
ensure that privacy, security, and confidentiality concerns were
addressed. |
Implement an effective internal control and review
process of information and datasets to be made public to ensure the accuracy,
timeliness, and usefulness of this data, including proper review for privacy
and disclosure compliance before release. |
Participation |
Pg. 5 |
Treasury's Data Quality Plan and processes enabled
Treasury to exceed the target of 3 datasets per quarter for posting on
Data.gov. |
Provide greater search capabilities across the
Department's FOIA reading rooms and incorporate public feedback mechanisms. |
Participation |
Pg. 23 |
The Department's treasury.gov website redesign and
Enterprise Content Management (ECM) projects included requirements for on
FOIA and eDiscovery along with the discovery tools for datasets inventory
compilation. TTB has developed an
online FOIA request tool and a FOIA reading room. DO's FOIA e-library was originally launched
in 1996, accessible to all bureaus and the public, and upgrades were
completed during the summer of 2011. |
Development of an infrastructure to support
employees participating in open government activities at all levels of the
Department. |
Participation |
Pg. 34 |
Treasury developed the ECM platform in fiscal year
2011 which provides a department wide collaboration workspace. In September 2011 Treasury launched
theGreen, the ECM based Department wide collaboration platform. The Assistant Secretary for Management
implemented the IdeaXchange platform where DO employees can participate by contributing
ideas for solutions of various Departmental challenges. |
Participation
Ongoing Efforts
Open Government Commitment |
Type of Commitment |
Page in Plan |
Status |
Increase open government public participation
through vendor outreach sessions. |
Participation |
Pg. 5 |
Treasury's Office of Small and Disadvantaged
Business Utilization Programs will continue to conduct vendor outreach
sessions to educate the public on Treasury's procurement requirements. This
will be an ongoing effort to advertise procurement requirements to the
public. |
Elicit innovative ideas for promoting openness and
transparency |
Participation |
Pg. 5 |
Treasury will continue to promote open government
to employees by continuing the open government Road Show to communicate the
plan, activities and key principles of open government to all Treasury
bureaus. This is an ongoing effort to
educate the Treasury employees about the principles of open government. |
Implementation of a series of open work sessions
with various stakeholder segments and the public to share information with
the public regarding their concerns and areas of interest. |
Participation |
Pg. 29 |
Treasury will continue conducting press conferences
and making them available at http://www.treasury.gov/press-center/press-releases. A table of Stakeholder outreach sessions
is also available in the appendix E of this document. |
Conduct outreach to key segments of the public via
a number of other means, including periodic outreach to members of the open
government advocacy groups and library communities regarding information they
would like to have Treasury make publicly available. |
Participation |
Pg. 13 |
Treasury will continue outreach efforts to key
segments of the public and post the information on Treasury's open government
public facing website at www.treasury.gov/open. . BPD has enhanced the Treasury Direct
application to add entity accounts and a payroll savings plan module to make
it easier for individuals to purchase electronic securities using funds from
their pay. BPD will continue to
communicate to a broader audience by maintaining their Twitter accounts. |
Build on existing prizes and challenges
experiences to develop an inter-departmental proposal centered on the
challenges of maintaining a historic structure. |
Participation |
Pg. 18 |
Treasury will continue to build on relationships
with different offices to develop challenges and experiences to the
employees. |
Participation in several interagency work groups
to analyze how the various datasets and information provided by each agency
can be leveraged to help develop greater benefits to the public in key areas. |
Participation |
Pg. 30 |
Treasury will continue participating in job
initiative interagency working groups to analyze how various datasets and
information provided by agencies can be leveraged to help provide greater
benefits to the public in key areas. Treasury is currently participating in the jobs initiatives
interagency working group with Commerce. Treasury will also continue participating in leading practices
interagency working groups to help evaluate federal agencies open government
plans. |
Regulations.gov
E-rulemaking
is an e-Government initiative that promotes public participation and provides
public access to the development of rules and regulations that impact American citizens. E-rulemaking promotes more effective and
efficient rulemaking through public participation. The Department of the Treasury has been in
compliance with the e-rulemaking requirement by posting proposed and interim
rules for public comment on Regulations.gov on a regular basis. Treasury links to regulations.gov in the
footer on every page of Treasury.gov.
Title |
Document |
Agency |
ID |
Posted Date |
Acquisition
Regulations |
Rule |
TREAS |
TREAS_FRDOC_0001-0130 |
7/18/2011 |
Amendment to the Bank Secrecy Act Regulations: Defining Mutual Funds as Financial
Institutions |
Rule |
TREAS |
TREAS_FRDOC_0001-0091 |
4/14/2010 |
Analysis by the President's Group on Financial
Markets on Long-term Availability and Affordability of Insurance for
Terrorism Risk Comments due August 2, 2010, 11:59 p.m. |
Notice |
TREAS |
TREAS-DO-2010-0004-0001 |
6/17/2010 |
Opportunities to Participate in
Existing Treasury Efforts
Treasury
incorporated the strategic goals and objectives of its Open Government Plan
into the existing Strategic Plan Framework. The performance measures framework for open government initiatives is
aligned with the agency's overall performance framework, enabling specific open
government activities to be assessed. As
Treasury moves forward with the next strategic plan update process (Figure 11),
Open Government questions will be included in the senior leadership interview
process to ensure the Department's open government activities are aligned with
the Department's overall strategic objectives.
Existing Measure |
Incorporation of Open Government Objectives |
Routinely scheduled Q&A with top management |
Include questions on definition and level of
priority of open government initiatives |
Quarterly reviews of departmental offices and
bureaus by top management |
Require quarterly reporting of open government
measures, such as number of datasets produced for open government disclosure,
etc. |
Communication channels with public stakeholders |
Invite comments re: open government
initiatives/issues/concerns |
Figures
14 and 15 show the status of the collaboration commitments contained in the
Open Government Implementation Tracking Matrix. In this section of the Open Government Plan Treasury will highlight the
Open Government accomplishments in the area of collaboration where the
government cooperates with Federal and non-Federal governmental agencies, the
public, non-profit and commercial entities in fulfilling the agency's core
mission activities.
Open Government Commitment |
Type of Commitment |
Page in Plan |
Status |
Identify needed functionality to enable
collaboration and participation |
Collaboration |
Pg.5 |
Treasury launched a website utilizing enhanced
technology allowing for greater use of social media tools such as blogs,
twitter and YouTube. Treasury deployed
an electronic content management tool to electronically capture, store
search/analyze, collaborate, share and manage documents. A Treasury-wide portal, theGreen was
launched in October 2011 and Treasury's re-designed and more user-friendly public-facing
web page was launched in the first quarter of 2010. |
Identify current datasets and information to make
available to the public and possibilities for partnerships with other
agencies to provide and/or create complementary datasets to help drive
economic change. |
Collaboration |
Pg.5 |
Treasury compiled dataset inventory utilizing
technology and determined partnership opportunities with other agencies to
leverage existing tools to publish datasets. Treasury published 19 datasets in FY 2011. |
Implementation of a permanent process for
continuous, proactive identification, preparation and release of data on an
ongoing basis. |
Collaboration |
Pg. 24
Para 2 |
A permanent process for continuous, proactive
identification, preparation and release of data on an ongoing basis was
implemented. The process will remain
manual until an appropriate technology solution is evaluated and selected
that will assist with continuous identification, preparation for release and
provide a comprehensive dataset inventory. |
Development of an infrastructure to stimulate and
support employees participating in open government activities at all levels
of the Department |
Collaboration |
Pg. 34
Para 1 |
Treasury deployed a Department wide electronic
content management tool to electronically capture, store search/analyze,
collaborate, share and manage documents in FY 2011. In September 2011, Treasury launched
theGreen, a department wide collaboration platform. BPD launched an enterprise wiki on
September 30, 2011 to increase collaboration within Public Debt by allowing
document sharing, blogs by Senior Executives and information on the Bureau's
history. The Public Debt History
Center keeps track of items of historical significance and employees can add
items as necessary. A blog by the BPD Commissioner
was created to keep employees informed of upcoming events. The Assistant Secretary for Management
implemented the IdeaXchange platform where Treasury employees can
contribute ideas to help provide ideas and solution for various Departmental
challenges. |
Collaboration
Ongoing Activities
Open Government Commitment |
Type of Commitment |
Page in Plan |
Status |
Formalize processes for accepting input, providing
data review and approving website content. |
Collaboration |
Pg. 5 |
Standard operating procedures will continuously be
revised for posting information to the websites. |
Identify current datasets and information to make
available to the public and possibilities for partnerships with other
agencies to provide and/or create complementary datasets to help drive
economic change. |
Collaboration |
Pg. 5 |
Treasury's Data Quality subcommittee will continue
evaluating options for compiling datasets. |
Implementation of a series of open work sessions
with various stakeholder segments and the public to share information with
the public regarding their concerns and areas of interest. |
Collaboration |
Pg. 29
Para 2 |
Treasury will continue to conduct meetings with
the public to release current information. Treasury will also continue to post information on websites that the
public can easily access. |
Conduct outreach to key segments of the public via
a number of other means, including periodic outreach to members of the open
government advocacy groups and library communities regarding information they
would like to have Treasury make publicly available. |
Collaboration |
Pg. 13
Para 1 |
Treasury will continue outreach efforts to key
segments of the public via websites such as www.treasury.gov/open, and other
Bureau websites such as the TreasuryDirect KIDS website at the Bureau of the Public
Debt. Other Bureaus will also continue
outreach efforts to make collaboration easier with the public. |
Build on its existing prizes and challenges
experience to develop an inter-departmental proposal centered on the
challenges of maintaining a historic structure. |
Collaboration |
Pg. 18
Para 3 |
The Office of the Curator will continue to work
with the Facilities Management Office to maintain the historic fabric of the
Main Treasury Building as a resource. |
Treasury
will continue to promote Collaboration Activities including:
Proposals
to use technology platforms to improve collaboration among people within and
outside the agency.
Descriptions
of and links to appropriate websites where the public can learn about existing
collaboration efforts of the agency.
Innovative
methods, such as prizes and competitions, to obtain ideas from and to increase
collaboration with those in the private sector, non-profit, and academic
communities.
The
open government team is also leveraging the existing networks within Treasury
to enhance the communication of Treasury's open government values and efforts,
such as the various executive councils (e.g., CIO, CFO, Privacy, FOIA, and
Human Capital Councils), and intra-agency work committees. Through these collaboration efforts within
the Department, Treasury effectively combines availableresources to present a uniform
effort toward open government. Highlights
of some of these efforts include:
FinCEN continuously reaches out to a variety of
industries that fall under its regulatory requirements. FinCEN's ongoing outreach assists the
financial industry as institutions strive to comply with their responsibility
to report certain information and suspicious activities to FinCEN, as well as
FinCEN's responsibility to ensure this useful information is made available to
law enforcement, as appropriate. FinCEN
issued a public report on its meetings with the prepaid access industry in July
2012. FinCEN's reports on its outreach
to the different sectors of the financial industry are published at http://www.fincen.gov/news_room/rp/financial_institutions_outreach_initiative.html
In accordance with the Open Government Directive,
Treasury has dedicated a website to highlight Treasury's Open Government
efforts at: http://www.treasury.gov/open/. The website invites the public to contact Treasury and provides contact
information for key officials responsible for the Open Government effort. The website offers e-mail subscriptions and
Really Simple Syndication (RSS) Feed, a method of receiving web updates on
topics of choice as an alternative to email subscriptions.
Treasury
also conducted outreach to key segments of the public via a number of other
means, including periodic outreach to members of the open government advocacy
groups and library communities regarding information they would like to have
Treasury make publicly available. Treasury's Office of Public Liaison is a key partner in identifying
specific interest groups for Treasury's various program activities.
The
Treasury bureaus also have identified key segments of the public that are
interested in the bureau-specific program activities. A variety of interest groups such as the
financial institutions and currency exchanges, gaming industry, journalists,
banknote equipment manufacturers, law enforcement, and the retail industry, are
targeted through various program specific websites such as www.newmoney.gov. Figure 16 includes other key examples from several of Treasury's
bureaus.
Bureau |
Description |
Bureau of the Public Debt (BPD) |
Provides information to public on how to do
business with BPD at http://www.publicdegt.treas/gov/vendorinfo/vendor_info.htm and how to
invest in Treasury securities at http://www.treasurydirect.gov |
Financial Management Service (FMS) |
Provides ongoing training opportunities to federal
employees and the public at http://www.fms.treas.gov/calendar.html |
FinCEN |
FinCEN actively
collaborates with the Financial Fraud Enforcement Task Force (FFETF). The
FFETF was established in November 2009 to hold accountable those who helped
bring about the last financial crisis and to prevent another crisis from
happening. It is comprised of more than 20 Federal agencies, 94 U.S.
Attorneys Offices and state and local partners, and is the broadest coalition
of law enforcement, investigatory and regulatory agencies ever assembled to
combat fraud. FinCEN continues to engage heavily within the FFETF as co-chair of the
Training and Information Sharing Committee and at the working group level.
The FFETF's Website is www.stopfraud.gov. More information on FinCEN's
role within the FFETF can be found at http://www.fincen.gov/fraudenftaskforce.html . |
FinCEN |
FinCEN
collaborates with other agencies to combat mortgage fraud. FinCEN analysts work with the Federal
Bureau of Investigation on major initiatives involving mortgage fraud
investigations. They also work closely
with the Department of Housing and Urban Development's Office of the
Inspector General to raise awareness of an apparent increase in fraudulent
activity involving reverse mortgages. Information on FinCEN's efforts to combat mortgage fraud can be found
at http://www.fincen.gov/newsroom/rp/mortgagefraud.html. |
FinCEN |
FinCEN is
actively engaged in identifying and planning for the use of new innovative
technologies. Examples include
FinCEN's Webinar service, which presents a time efficient and cost effective
way to facilitate online communication with up to 1,000 participants. |
Treasury, Federal Reserve and U.S. Secret Service |
The advanced Counterfeit Deterrence (ACD) Steering
committee coordinated counterfeit deterrence activities of the government
agencies involved in U.S. currency efforts. New designs are introduced every 7 10 years. |
Office of the Comptroller of the Currency (OCC) |
OCC's Public Affairs office promotes public
awareness of OCC's mission of ensuring the safety and soundness of America's
national banks and federal savings associations by conducting, producing and
distributing public service advertisements, maintaining online
subscription-based email service and operating two public web sites http://www.OCC.gov and http://www.HelpWithMyBank.gov |
U.S. Mint |
The Mint provides information for the public as
well as businesses at: http://www.usmint.gov/consumer. They also
provide information for educators and students at http://www.usmint.gov/kids/teachers |
Office of Financial Stability (OFS) |
This office was established under the Emergency
Economic Stabilization Act for the Troubled Asset Relief Program (TARP) to
purchase troubled assets after the financial crisis. To maintain transparency and accountability
the redacted investment contracts for future transactions are listed on the
following website: http://www.officeoffinancialStability.gov |
Office of Financial Research (OFR) |
The Dodd-Frank Wall Street Reform and Consumer
Protection Act established the Office of Financial Research (OFR) within the
Treasury Department to improve the quality of financial data available to
policymakers and facilitate more robust and sophisticated analysis of the
financial system. OFR's mission,
goals, and objectives are available at: http://www.treasury.gov/connect/blog/Pages/Treasurys-Office-of-Financial-Research-Releases-FY-2012-2014-Strategic-Framework.aspx |
OFR |
The OFR Working Paper Series offers staff and
their co-authors an opportunity to disseminate their preliminary research
findings in a format intended to generate discussion and critical
comments. The goal is to inform and
improve the quality of the analysis conducted by the OFR. |
The Alcohol and Tobacco Tax and Trade Bureau (TTB) serves
as the Nation's primary federal authority in the regulation of the alcohol and
tobacco industries. TTB is responsible for the administration and enforcement
of the Internal Revenue Code associated with the collection of excise taxes on
alcohol, tobacco, firearms, and ammunition, and the Federal Alcohol
Administration Act, which provides for the regulation of those engaged in the
alcohol beverage industry and the protection of consumers of alcohol beverages. Here are a few examples:
Bureau |
Description |
TTB |
TTB entered into an interagency agreement in FY2011 to
reimburse the Internal Revenue Service (IRS) for agent services to enforce
the criminal provisions of TTB's jurisdiction. In FY 2011, IRS assigned a Special Agent In
Charge and five special agents to TTB full-time. In its eight months of activity opening new
investigations, this program resulted in the initiation of 21 cases with a
total estimated federal excise tax liability of over $20 million and combined
seizures and forfeitures totaling approximately $1.7 million. |
TTB |
TTB works with industry, foreign and state governments
and other interested parties to protect the integrity of the alcohol beverage
trade, ensuring that all businesses are operating in compliance with federal
laws and regulations, and that U.S. industry can penetrate foreign markets. |
TTB |
TTB has a Floor Stocks Tax (FST) examination program,
which conducts FST examinations of tobacco manufacturers, importers,
wholesalers and retailers. TTB uses an
interagency approach in applying these enforcement strategies that involves
cooperation with local, state, federal and foreign government counterpart
agencies to maximize the deterrent impact of enforcement actions. In just over two years, TTB auditors and
investigators have completed 465 FST examinations, identifying $16.3 million
and collecting $8.5 million of potential tax penalties and interest to date. |
TTB |
In FY2011, TTB participated in the Fraud Investigative
Strike Team (FIST), an interagency collaborative effort lead by Immigration
and Customs Enforcement (ICE) to address smuggling and fraud associated with
activity along U.S. borders, primarily at Customs Bonded Warehouses (CBWs)
and Foreign Trade Zones (FTZs), which are known points for diversion
activity. |
TTB |
TTB collaborates with the U.S. Postal Service (USPS) on
enforcing the Prevent All Cigarette Trafficking (PACT) Act, a law enacted in
2010 to prevent tobacco smuggling and to ensure the collection of all tobacco
taxes. Under the PACT Act, shipments
of tobacco products via USPS are prohibited. The vast majority of the illegal importers are individuals purchasing
tobacco products in small quantities for personal consumption through online
tobacco outlets via the USPS. |
TTB |
TTB collaborates with several Federal agencies,
international organizations, and other stakeholders in ensuring collection of
the revenue due on imported alcohol and tobacco products. Through its partnership with U.S. Customs
and Border Protection, and by effectively leveraging data available to TTB
from CBP's International Trade Data System, TTB identified 47 entities (14
percent of those who imported cigarettes or other tobacco products in FY2011)
as having imported tobacco products without a Federal permit. |
TTB |
In FY2011, TTB expanded the e-filing program to allow
all excise taxpayers to file and pay taxes and file monthly operational
reports electronically through the Pay.gov system. The total number of Pay.gov registrants
increased over the prior year by 12 percent in FY2011, bringing the total to
nearly 7,200. |
TTB |
To assure compliance in the importer community that TTB
regulates, TTB participates in joint Federal agency initiatives designed to
trace alcohol and tobacco product through the Customs bonded warehouse to
ensure alcohol and tobacco products moving into domestic commerce are
properly tax paid and meet packaging and marking requirements. |
TTB |
TTB is also involved in multiple ongoing criminal
investigations of illegal activity in the industries TTB regulates. Using an integrated enforcement approach,
auditors follow up on referrals provided by the TTB Intelligence Division to
address suspected illegal activity. TTB auditors and investigators use partnerships cultivated with
the United States Attorneys Offices
(USAO) and other law enforcement agencies, including the Internal Revenue
Service, Criminal Investigation (IRS CI), to effectuate TTB's criminal
enforcement operations. |
Regardless
of the method or technology used, Treasury adheres to sound policies and
practices to ensure that security, privacy, and confidentiality risks are
identified and mitigation strategies developed for all information
handling. Part of the strategy for each
method will include how Treasury will provide feedback to the public regarding
how the input is evaluated and/or incorporated into Treasury operations. The efficacy of the various methods for
engagement will also be measured.
Treasury's
flagship administrative initiative, Moving
to a Paperless Treasury, is designed to improve the public's experience
interacting with Treasury while effecting operational efficiencies of several
key Treasury activities. These
activities range from disbursement and collection of select federal government
payments and receipts, to improving electronic tax return filing
capabilities. The desired outcome of
paperless disbursement and collection activities are cost savings or avoidance
for the government and improved flexibility and response to customers.
Completed Electronic Federal
Tax Payment System (EFTPS) - Requires businesses to pay
taxes electronically. Effective January
1, 2011, businesses with quarterly tax payments greater than $2,500 that were
previously permitted to use paper Federal Tax Deposit (FTD) coupons are
required to make deposits electronically through the Electronic Federal Tax
Payment System (EFTPS).
Completed Electronic issuance
of Treasury Savings Bonds Eliminates new issues of paper
savings bonds. The Bureau of the Public
Debt (BPD) eliminated the sale of paper savings bonds through employer
'sponsored payroll savings plans on January 1, 2011. The Bureau of the Public Debt stopped issuing
paper savings bonds sold over-the-counter at financial institutions on December
31, 2011. The web-based TreasuryDirect
portal has become the primary retail system for investors to buy marketable
securities and conduct business electronically.
Completed BPD TreasuryDirect - Internet-accessed,
account-based system through which the public can purchase and hold any of
Treasury's retail securities products in electronic form. These products include savings bonds,
Treasury bills, notes, and Treasury inflation protected securities (TIPS). This project was enhanced in 2011 to improve
two factor authentication processes for security. Benefits include: providing a more user-friendly interface,
increasing communication with customers, and improving security measures (security
enhancement was completed in November 2011).
Completed BPD Kids web site - Launched a web site in 2010
for 6th to 12th graders to educate them on BPD, the role of borrowing to fund
the federal government, and saving and investing with Treasury securities. Benefits include: educating the public in fun
and interactive ways. Project was
completed in August 2010.
Completed BPD RSS Feeds for
Treasury Auction Announcements and Treasury Auction Results -Implemented in January 2010 to
promote transparency and the use of social media and to provide customers with
an alternative method for obtaining auction data. Benefits include: lowering costs and increasing
communication with customers.
Completed Departmental Offices
(DO) Wiki Pilot for Paperwork Reduction
Act Information Collection - Encourages public
participation via a wiki with the IRS information collection 1545-0056,
Application for Recognition of Exemption under Section 501(c)(3) of the
Internal Revenue Code. Public comments
for information collections via the Federal Register process are minimal to
none. Benefits include: increasing participation
from the public, reducing paperwork burden hours, reducing cost of publishing
Federal Register notices, and reducing cost of producing and distributing the
form.
Completed DO Office of
Financial Stability (OFS)Financial Recovery Information Transparency - Provides the public with
information on financial stability programs through www.financialstability.gov,
www.makinghomeaffordable.gov, and an upcoming presence on YouTube. Benefits include: increasing communication
with the public, and improving transparency, accountability, and effectiveness
of programs.
Completed TTB Online Tutorial:
How to Get Started in a TTB-Regulated Industry Online Tool - The tool went live on October
6, 2010, and it gives step-by-step instructions and illustrations for getting
started in any of the TTB regulated industries. Benefits include: reducing
telephone calls and other inquiries to Bureau personnel on the process for
starting a business, simplifying industry members process by providing
instructions in plain language on how to start a business, and increasing
public knowledge of TTB requirements.
Completed TTB Formulas Online
Webinar Series - Free online Web seminar
(Webinar) to demonstrate the Formulas Online system and provide a high-level
overview of its features. The first
webinar was held on May 12, 2011. TTB
trained more than100 people on the new system. Benefits include: opening lines of communication between TTB and the
industry, increasing taxpayer compliance, promoting e-government, and supporting
open government initiatives.
Completed IRS Preparer Taxpayer
Identification Number - Implements a web-based program
to require paid tax return preparers to register. Completed September 2010. Benefits include: increasing taxpayer
compliance and ensuring uniform ethical standards for preparers.
Completed IRS Federal Student
Aid (FSA) Datashare - Supports the simplification of
the Department of Education's online Free Application for Federal Student Aid
(FAFSA) process by providing applicants with 14 IRS data elements needed to
complete the FSA forms. Completed
January 2010. Benefits include: improving
accuracy, reducing applicant burden, and reducing program costs.
Completed IRS Web-Adjusted
Gross Income (AGI) - Online web application for
taxpayers to obtain their AGI information for multiple purposes, such as filing
electronically and mortgage verification. Completed January 2010. Benefits
include: streamlining taxpayer ability to obtain AGI tax information, reducing
call center wait times for taxpayers, providing information in English and
Spanish, and rolling project into electronic filing pin.
Completed - Financial Crimes Enforcement Network
(FinCEN) Registrant Search Page - FinCEN launched a new Web page;http://www.fincen.gov/financial_institutions/msb/msbstateselector.html,
in January 2012 that provides a listing of entities registered with FinCEN as
money services businesses (MSBs). FinCEN's MSB Registrant Search Web page
allows MSBs, banks, regulators, law enforcement, and the general public to more
efficiently access, search, verify, download, and print MSB registration
information. With its launch, FinCEN has
discontinued the mailing of paper letters to MSBs to confirm their
registration. Benefits of the new system
include greater accessibility of MSB registration information to financial
institutions as well as the public and reduction of paper flow and associated
costs.
Completed
-Paperless Statements of Earnings and Leave (SELs) The Department of the Treasury has eliminated paper documents sent to its
employees serviced by the National Finance Center (NFC).
Completed Bureau of Engraving
and Printing (BEP) MoneyFactoryStore.gov - New web site launched in
November 2009 that was developed and deployed using the Software as a Service
(SAAS) cloud computing model, including a Pay.gov payment gateway that allows
the public to easily and securely buy products from BEP using credit cards. Benefits include: increasing online orders
for products and decreasing transaction costs.
Completed Office of the Comptroller
of the Currency (OCC) Online Customer Complaint (OLCC) - Provides consumers with the
option of submitting complaints via the internet. Prior to the launch of OLCC, complaints were
received via U.S. mail, fax, and email only. Benefits include: reducing paper
processing, reducing data entry errors, reducing personally identifiable
information (PII) required to file a complaint, reducing costs, and promoting a
paperless Treasury.
In Progress Permits Online - Alcohol and Tobacco Tax and
Trade Bureau (TTB) launched a new online system on February 14, 2011, that
allows applicants to draft, submit and track original and amended applications
to operate alcohol and tobacco businesses and to register to make tax free
sales of firearms and ammunition. TTB
has replaced its paper intensive manual permit application process with a new
electronic filing system. Keeping
development costs low by investing in a commercial, web-based product, TTB
released the Permits Online electronic filing solution for permit applications
in February 2011. Prior to the system's
release, limited staffing and the rising volume of applications had reached a
critical point, with the average processing time for original permit
applications projected to reach 90 days. Since its release, TTB has achieved a 15 percent reduction in processing
times for the eligible application types, issuing original permits to
businesses in 48 days compared to 57 days for the same application type
submitted on paper. The customer
response to Permits Online has been extremely positive, with nearly 60 percent
of permit applicants electing to file electronically.
In Progress Formulas Online - TTB released Formulas Online
in January 2011, a web-based system that members of the alcohol industry can
use to draft and submit alcohol product formulas for TTB approval. The review of formulations is both critical
in terms of applying the appropriate tax rate and in terms of properly labeling
an alcohol beverage product. This e-Gov
system also met with customer approval, with more than 500 industry members
registering to use Formulas Online within the first weeks of operation. Registrations continue to rise and, to date,
more than 30 percent of formulas are received electronically, saving both the
industry and TTB time and resources in fulfilling this regulatory
requirement. The Bureau reported
increases in the percent of electronically filed COLA applications, which in FY
2011 reached 88 percent of all applications.
In Progress Electronic Benefits
Payments - The Financial Management
Service have taken steps to eliminate paper check payments. By March 1, 2013, federal beneficiaries and
retirees will receive payments electronically, either through direct deposit
into a bank account or Treasury's Direct Express debit card. The elimination of paper checks will provide
timely, accurate, and efficient disbursement of federal government payments,
minimize the costs associated with postage and the re-issuance of lost or
stolen checks, and protect against fraud and identity theft.
In Progress E-file - The Internal Revenue Service
(IRS) has focused on better ways to do business by eliminating paper
processes. IRS will continue to
encourage more taxpayers to file their returns electronically through e-file.
In Progress Paperless
Statements of Earnings and Leave (SELs) - IRS is eliminating paper
documents sent to its employees serviced by the National Finance Center (NFC). On February 22, 2011, NFC converted 60,994
employees to paperless Statements of Earnings and Leave (SELs) and is working
to convert the remaining 52,000 employees that continue to receive paper SELs,
which will eliminate 2.8 million paper forms by enhancing its Single Entry Time
Reporting (SETR) system and by automating its Leave Bank and Leave Transfer
Programs.
In Progress UNAX electronic
certification process - Allows employees to digitally
and securely confirm completion of the mandated training and eliminates more
than 180,000 pieces of paper per year. IRS
is considering extending this process to their contractors.
In Progress Treasury Library
Digitization - In support of Treasury's
flagship initiative and in the spirit of open government, the Departmental
Offices Treasury Library began digitizing over two million pages of library
documents in July of 2010. The digitized
library documents are comprised of legislative histories and historical reports
and documents that were originally published by Treasury. The goal is to make every page both available
online and searchable by the general public. To accomplish this goal, the Treasury Library is collaborating with
Treasury's FOIA office to make all documents available to the public through
Treasury's FOIA reading room website located at http://www.treasury.gov/FOIA/Pages/reading_room.aspx. The Library digitization
efforts came to a halt in fiscal year 2011 due to lack of funding. These efforts will resume in fiscal year 2013
pending availability of fiscal year 2013 funding.
In Progress Bureau of the Public
Debt (BPD) Do Not Pay (previously
GOVerify) - The Do Not Pay business center
provides automated tools, including a web-based single entry access portal, that
federal agencies can use to gain access to an array of data sources to assist
in determining whether an individual or entity is eligible to receive federal
payments or engage in federal contracts or grants. This initiative was developed in 2011 and
became available to federal agencies in January 2012. Do Not Pay will benefit any federal agency
that enters into a financial transaction with a person. During the pre-award process Do Not pay allows
agencies to verify benefit program eligibility and ensure contract or grant
eligibility. During the pre-payment
process agencies can re-verify program eligibility for recurring payments and
research irregularities based on the match results. During the post payment process agencies can
utilize the Do Not Pay Data Analytics Services to perform analytics, fraud
detection and payment recaptures. In
April 2012, the GoVerify Business Center was renamed "Do Not Pay Business
Center" to be consistent with the President's memorandum about the
"Do Not Pay List" and other communications from the White House and
OMB that use the Do Not Pay terminology. Within one week of the notification about the change to Do Not Pay, BPD
changed its website for this initiative to donotpay.treas.gov and changed all
materials to the new name. To increase
awareness and participation by government agencies, BPD participated in a Town
Hall with OMB and held various informational webinars. BPD expanded the donotpay.treas.gov website
to include information about the portal, available data sources, data analytics
services, and the support services provided by the agency support center. The website also provides resources and FAQs
and information about the enrollment process. The Do Not Pay Business Center currently has 28 unique agency programs
enrolled and 54 agency programs in progress. BPD's donotpay.treas.gov home page has had over 50,000 page views since
early April and there have been over 37,000 downloads of the presentations and
user guide for the program.
In Progress BPD Summary Debt
Accounting Modernization - The purpose of summary Debt
Accounting (SDA) modernization project is to increase governance over the debt
accounting environment to ensure the collection, verification, and
dissemination of all debt accounting information is accurate, appropriate,
flexible and standardized and that more data is available to the public. This initiative started October 1, 2010 and
is scheduled to be completed by October 1, 2013. Benefits include: providing real time data retrieval options,
increasing collaboration and operational integration, improving customer
service due to the flexibility of shared service solutions, producing 100
percent of daily financial statements within three business days, and
leveraging best practices and common functions across system users. Scheduled for completion by October 1, 2013.
In Progress Office of Foreign
Assets Control (OFAC) Electronic processing for license applications pursuant
to the Trade Sanctions Reform and Export Enhancement Act of 2000 (TSRA) - To respond to the increase in
the number and complexity of applications submitted to OFAC pursuant to TSRA,
OFAC is upgrading the technology and remodeling the software application
logic. This initiative introduces a
public-facing electronic license application. Benefits include: increasing in the number of applications processed
annually, increasing ease of use by the public, and moving away from paper
based process.
In Progress FinCEN Mandatory
E-Filing Initiative Nearly all FinCEN reports must be
electronically filed (E-Filed) from July 1, 2012. Benefits of e-filing include improved
efficiency; decreased government and industry costs due to significant
reduction in paper flow; and enhanced ability of investigators, analysts, and
examiners to gain better and more timely access to important financial
information.
In Progress FinCEN Bank Secrecy
Act (BSA) Information Technology (IT) Modernization - IT modernization will improve
the efficient capture, dissemination, and proactive/reactive analysis of FinCEN
data, which is critical to assuring the stability of the nation's financial
system. This quickens the response to
changes in the financial industry and patterns of criminal activity. Further benefits will include reducing costs
and simplifying stakeholder interaction for filing.
The
open government initiative is a major effort to bring together federal
agencies, state and local agencies, financial institutions, and the business
community, to participate in sharing information. These efforts include:
Creating
technologies that are compatible and improve the flow of information.
Obtaining
resources in the form of funding and human capital to design, test, and put
into production the equipment required to allow the flow of information across
a spectrum of agencies or businesses.
Ensuring
that information and data released to the public does not create unintentional exposure
of personally identifiable information and does not present a national security
risk, while ensuring that we are able to release as much information as
possible.
Having
defined social media usage policies in place for information governance.
Updating
the information technology manual to include accessibility information ensuring
that all people have access to information posted on websites and social media,
including those with disabilities.
Updating
Treasury websites to ensure that non-English speaking individuals will be able
to access information and that the information on the websites is useful to
them.
Establishing
a culture of open government and communicating the three principles of open
government to senior management executives by continuing road shows to all
bureaus.
Continuing
to build out and enhance the electronic content management platform so that all
Department employees can participate and collaborate using records management
and other, more efficient workflows.
Treasury's
goals for version 2.0 of the open government plan build on those in version 1.0
to strengthen the framework and practices for incorporating open government initiatives
into Treasury's day-to-day activities.
The
goals include:
Goal
1: Continue to increase transparency
Goal
2: Continue to expand participation and
collaboration
Goal
3: Continue flagship initiative
one: Moving
to a Paperless Treasury
Goal
4: Implement Treasury's new flagship
initiative: www.Treasury.gov Accessibility Portal
Treasury
continues to receive public feedback via OPEN@do.treas.gov e-mail address and for 60 days
following the report, will use a public collaboration tool linked from
Treasury's Open Government webpage IdeaScale for feedback on version 2.0. For programs and activities that require
detailed feedback, we will utilize additional forms of engagement, including
discussions with key stakeholder groups, panel discussions, and interactive
forums. In an effort to update the
current Open Government Plan and promote collaboration and participation at
Treasury, the Open Government Plan 2.0 version will be made available on
Treasury's internal collaboration site for all Treasury employees to provide
input across the Department.
Treasury
will continue to support and drive open government principles throughout the
Department. Version 2.0 of Treasury's
Open Government Plan is a renewal of the Open Government commitments. This plan will focus on incorporating the
open government principles into the daily activities of all Treasury
employees. Treasury will also strengthen
efforts to identify activities that employees are already doing in their daily
jobs that promote the principles of open government.
Objectives - Goal 1: Continue to
Increase Transparency
Enhance Participation in Data.gov
and Increase High-Value Datasets
Treasury
is in compliance with Data.gov requirements. Treasury publishes a minimum of three datasets per quarter on
Data.gov. In fiscal year 2011, Treasury
exceeded this target by publishing 19 new datasets on Data.gov. Treasury is aspiring to increase the number
of datasets published per quarter.
Develop a Plan for Future Publication
of High-Value Datasets
Treasury
has developed a plan to publish future high-value datasets by targeting
specific program offices to publish its data of ongoing operations on Data.gov.
Develop a Plan for Future
Publication of High-Value Datasets Using API Technology
Treasury
developed a plan to publish current and future high-value datasets using API
(Application Program Interface) in accordance with OMB Guidance on the Digital
Strategy. It is developing a timeline
with action items to implement the digital strategy.
Continued Publication on Grants.gov
The
Community Development Financial Institutions Fund (CDFI is a grant-issuing
entity within Treasury). CDFI's mission
is to provide grant resources to underserved communities to stimulate economic
growth and to create jobs. Grants are
also extended for Native American assistance. CDFI announces grants through the Department of Health and Human
Services Grant.Gov initiative.
Continued Publication on USAspending.gov
Treasury
published contract and grants information regarding each award, providing the
amount, name and location of the receiving entity, transaction type, and
funding agency.
Continued Publication on Federal
IT Dashboard
Treasury
used OMB's IT Dashboard to allow the public to track the progress of
investments. The Dashboard (http://it.usaspending.gov/) is a public-facing website to
gauge the health of its portfolio. Each
month, the Office of the Chief Information Officer evaluates the Department's 49
major investments on cost and schedule performance metrics.
Objectives - Goal 2: Continue to
Expand Participation and Collaboration
Enhance feedback tools and
practices for public engagement
Treasury
will explore more advanced feedback tools and reviewing existing policies to
increase or enhance the use of more robust feedback tools and practices.
Enhance Participation in
e-Rulemaking
The
Department was an early participant in the e-rulemaking initiative,
Regulations.Gov, and has numerous proposed and interim rules and other
materials posted for public comment and review on that site. The Department uses the Federal Register to
publish notices on its rulemaking activities. In addition, it posts its proposed and final rules to Regulations.Gov,
the Federal e-Rulemaking Portal. The
public can review, read, and comment on all the Departments postings on the Portal.
Use technology platforms to
improve collaboration among people within and outside of the agency
Treasury
implemented the Electronic Content Management (ECM) technology to improve
collaboration capabilities and functionality within and outside the department.
Enhance description and links to
websites for public participation
Treasury
is re-designing the public facing website as well as the internal Treasury
collaboration site to include more descriptions and links to information
regarding participation efforts.
Continue Ongoing Training and
Education on Principles of Open Government
Continue
conducting Open Government Road Shows with the remaining bureaus. Treasury is also involved in making the Open
Government and Transparency Awareness training within Treasury's Learning
Management System available to other federal agencies.
Multi-Agency FOIA Module
Treasury
will be a participating agency within the multi-agency FOIA Module to
facilitate the public's submission of FOIA requests to Treasury. This website will replace the previous
Treasury only web submission page. The
new service will also be via web services using a username and password. User credentials will be authenticated to
Treasury.
goFOIA 2.0 Launch
Treasury
will be launching its internal goFOIA 2.0 system on October 1, 2012. goFOIA 2.0 will include an enhanced process
for managing FOIA requests and improved internal reporting capabilities to
support Treasury's effort to continue to reduce cycle time for responding to
FOIA requests. Treasury will continue to make improvements to our process
for managing FOIA requests.
Objectives
- Goal 3: Continue Flagship Initiative One
Moving to a Paperless Treasury
Identify additional paper-based
processes for conversion to electronic workflows
Treasury
will utilize the Enterprise Content Management (ECM) review process to identify
suitable candidates for conversion from paper-based to electronic workflows.
Continue to track progress of
previously identified paperless efforts
The
Paperless initiative is designed to improve the public's experience interacting
with Treasury while effecting operational efficiencies of several key Treasury
activities. These activities range from
disbursement and collection of select federal government payments and receipts,
to improving electronic tax return filing capabilities. The desired outcome of paperless disbursement
and collection activities are cost savings/avoidance for the government and
improved flexibility and response to customers. Treasury currently monitors the progress of multiple paperless and
electronic service delivery efforts across the department.
Objectives
- Goal 4: Implement Treasury's New Flagship
Initiative: Treasury.gov Accessibility Portal
Create a one-stop portal for both
language and disability accessibility for Treasury information
Treasury
has outlined a two-year plan for implementing the accessibility portal as
described later in this Plan.
The
Senior Agency Official for implementing the Open Government Directive continues
to provide leadership and direction of the open government efforts
Treasury-wide. The senior official continues
to chair the Open Government Steering Committee, which has oversight over the
various open government subcommittees, including Open Government
Communications, Data and Information Identification Integrity and Partnerships,
and the Policy and Guidance subcommittees.
In version 1.0 of the Open
Government Plan, six subcommittees were formed to oversee specific lines of
activities for the Department. These
subcommittees report progress on open government actions to the Treasury-Wide
Open Government Steering Committee. In
this new version of the plan, these subcommittees have been reduced from six to
three (Figure 17) to combine functions and strengthen open government
efforts.
Open Government
Communications
This
subcommittee enhances and implements a Treasury-wide strategy and network for
both disseminating and receiving key information pertaining to Treasury's
implementation of the Open Government Directive activities, elicits innovative
ideas for promoting openness and transparency, and provides status reports on
progress. Through outreach, education,
and engagement, the subcommittee ensures that Treasury employees at every level
incorporate transparency, accountability, public participation, and
collaboration into their daily work. This
subcommittee identifies necessary tools to enable collaboration and
participation; and it also formalizes the process for accepting input,
providing data review, and approving website content.
Data and Information
Identification, Integrity, and Partnerships
This
subcommittee continues to identify information to make available to the public,
as well as opportunities for partnerships with other agencies to provide and
create complementary datasets to promote efficiency. They have
implemented an effective internal control and review process of information and
datasets to be made public to ensure the accuracy, timeliness, and usefulness
of this data, including proper review for privacy and disclosure compliance
before release by following the requirements outlined in Treasury's Data
Quality Plan and Checklist for submitting datasets to Data.gov. These documents are currently being revised
to incorporate the requirements of the new digital strategy.
Policy and Guidance
This
subcommittee identifies current policies impacted, as well as new policies
needed, to support and enable transparency, collaboration, and participation
activities in support of the Open Government Directive. This subcommittee will also update the Open
Government Plan every two years at a minimum.
Treasury's
Open Government performance measures remain the same as they were in Open
Government Plan 1.0, but the targets have been updated:
Increase
the number of datasets released per quarter by 2 beginning in July 2012
Identify
stakeholder outreach efforts by December 30, 2012
Reduce
in FOIA backlog by 30 percent by December 30, 2012
Identify
cost savings resulting from open government initiatives by December 30, 2012
Tracking,
reporting, and accountability will be monitored closely via the Open Government
Tracking Matrix and the Open Government Steering Committee meetings. Results will be reported monthly in those
meetings via the assigned subcommittees responsible for reporting the required
information.
Treasury will be involved in
several projects stemming from President Obama's National Action Plan for Open
Government (National Action Plan), including the Extractive Industries Transparency
Initiative (EITI), the Smart Disclosure New Initiative, and the Foreign
Assistance Dashboard.
The senior official for open
government has also been designated as the senior agency official for
implementing the records management initiative in support of the President's
memorandum dated November 28, 2011, Managing Government Records, which mandates
agency-wide review of current records management practices. This effort also builds on Executive Order
13589 of November 9, 2011 (Promoting Efficient Spending), which directed
agencies to reduce spending and focus on mission critical functions. Having the same senior official managing both
of these important efforts provides increased opportunities to ensure effective
records management practices enhance Treasury's transparency.
The SAO sponsors the Department's
Records and Information Management Month (RIMM) activities every April and provides a broad range of Treasury-wide training and
education sessions to increase employee understanding of the full information
management life cycle, including records management, disclosure, and transparency. Managing records effectively and efficiently
facilitates the completion of Treasury's work, preserves official agency
records, and ensures access to Treasury information. Previous RIMM events were successful in
providing education and awareness to over 2100 Treasury and other Federal government
employees. This year's event is entitled
Records Modernization: Reducing Our Carbon Footprint, and is designed for
participants to learn about the objectives as outlined in the Presidential
Memorandum.
In summer 2011, the Office of
Privacy, Transparency, and Records conducted a triennial assessment of Treasury
bureau records management programs. These assessments will be used to identify gaps between practices and
generally accepted recordkeeping principles, assess risks based on identified gaps,
determine whether additional information or analysis is necessary, develop
priorities, and assign accountability for further program development.
Treasury launched goFOIA 1.0, its
case and document management system, in spring 2011. In fall 2012, goFOIA
2.0 will be released. It will include an
enhanced process for managing FOIA requests and improved internal reporting
capabilities. Treasury will continue to make improvements to our process
for managing FOIA requests. Additionally, Treasury will utilize the FOIA
Module, a multi-agency FOIA tracking and processing tool, for citizens online
submissions in fall 2012. Treasury also
continues working to include a FOIA virtual library with enhanced search
capability and links to the Treasury Library's digitized information
collection.
Efforts to promote access to the
beneficial ownership information of legal entities is one key element of
Treasury's strategy to enhance financial transparency in order to strengthen
efforts to combat financial crime, including money laundering, terrorist
financing, and tax evasion. To that end,
in March 2012, FinCEN issued an Advance Notice of Proposed Rulemaking (ANPRM)
to solicit public comment on a wide range of issues related to the possible
application of an explicit Customer Due Diligence (CDD) obligation for
financial institutions, including a requirement to collect the beneficial
ownership information of their accountholders.
Consistent with the requirements
stated in the National Action Plan, Treasury will collaborate with the
Department of the Interior and other federal agencies to work with industry and
citizens to develop a sensible plan for disclosing relevant information and enhance
the accountability and transparency of revenue collection efforts.
As part of the National Action
Plan for providing greater transparency of foreign aid, Treasury is
collaborating with the Department of State and USAID in order to produce
datasets to communicate information to the public about international aid. Foreign aid transparency empowers citizens to
hold their government accountable for the use of foreign assistance
funding. Agencies will be responsible
for providing timely and detailed datasets regarding budgets, disbursements,
and project implementation. The data
will be released in an open platform and made available on a central portal
known as the Foreign Assistance Dashboard. Treasury anticipates providing a link to the Foreign Assistance
Dashboard from Treasury's public facing Open Government web page.
Treasury is currently
participating in an interagency task force on 'smart Disclosure in support of the
National Action Plan and to comply with OMB guidance on disclosing data to the
public to encourage informed decision-making in areas such as searching for
insurance options for an individual's specific needs. Over the next year, Treasury will work to
provide standardized data in machine-readable formats that enable consumers to
make informed decisions. Several
Treasury employees attended a conference on Smart Disclosure to learn about
ways to further this initiative.
Flagship Initiative:
Treasury.gov Accessibility Portal
Treasury's objective is to create
a one-stop portal that will provide both language accessibility and disability
accessibility for public facing Treasury information. The language disability portion will have
different language interpretations for the Limited English speaking individuals
to access information from Treasury's website. The site will contain information regarding access to low-vision IRS
forms (with a link), information about the money readers for the blind, and
information about how to request an interpreter when visiting an IRS Taxpayer
Assistance Center. The initiative will
result in improved access to Treasury's information by Limited English
proficient (LEP) individuals and persons with disabilities by providing a one-point
access portal.
Transparency: This initiative will increase transparency by
providing additional access to LEP individuals and persons with disabilities who
otherwise will have problems accessing the information. As part of the initiative Treasury will
determine the information of interest to the key groups and make it available
on the portal. Relevant information will
be published in appropriate languages and in accessible formats.
Participation: This initiative addresses participation by
ensuring that LEP individuals and persons with disabilities have an equal
opportunity to participate in Treasury's open initiative. The initiative will result in an increase of
the availability of information in accessible formats and languages. The portal will provide a contact e-mail
address to a dedicated mailbox, to ensure LEP individuals and persons with
disabilities have the ability to contribute ideas and comments about the
initiative and Treasury's programs and services.
Collaboration: This initiative will address improving
collaboration between Treasury and the public by providing LEP individuals and
persons with disabilities with an accessible way to provide feedback to the
agency about the information available, and the types of information relevant
to them.
Treasury will track the progress
toward completion according to the following timelines:
First
Year
Phase
1 Began February 14, 2012 - Determine vision and mission of this initiative and conduct inventory of
current language and accessibility information available from all Treasury
bureaus projected timeline 60 days to be completed by April 15, 2012. The vision and mission of this initiative were
determined in February 2012. In April
2012, Treasury completed an inventory of current language and accessibility
information needed for the accessibility team to meet and discuss portal design
options.
Phase
2 Began March 1, 2012 - Determine additional information that needs to be available to the key groups
(limited English proficient (LEP) individuals and persons with disabilities)
90 days to be completed by June 3, 2012.
Phase
3 Began February 29, 2012 - Develop additional content. Content
will be offered in alternative accessible formats and in Spanish 120 days
to be completed by September 30, 2012. Translation of content to Spanish is underway.
Phase
4 Beginning July 29, 2012 - Design web portal 90 days to be completed by October 30, 2012
Second Year
Phase
5 Beginning September 30, 2012 - Determine and develop structure to regularly maintain and review content 90
days to be completed by December 30, 2012.
Phase
6 Beginning February 1, 2013 - Develop solutions to make existing content available in the top five LEP
languages 150 days (June 30, 2013).
After analysis, design, and
update of the existing FOIA Reading Room powered by Share Point, an enhanced
FOIA online library went into production January 2012. The Department can generate usage metrics for
on-demand and periodic reporting to management in an effort to identify high
value document sets. The design
facilitates access in an independent open standard, FOIA records in a publicly
available information exchange reading room which readers can access and search
for recent releases by the agency.
Enhancements include public
search and easy download of FOIA documents via the web. The Department of the Treasury can generate
usage metrics for on-demand and periodic reporting to management in an effort
to identify high-value data sets. The
new design facilitates access to an independent open standard, FOIA records in
a publicly available information exchange (reading room) which readers can
access and search for recent releases by the agency.
Treasury's library has been
making progress on the digitization project of key items from their collection
and has been able to make some of their print materials available online for
public access. The Statements of the
Public Debt are now available online in a text searchable format starting with
the year 1869 through the present at http://www.treasurydirect.gov/govt/reports/pd/mspd/mspd.htm. Future releases of information will
include legislative histories and the historical exchange rates. The library is developing a public facing portal
to be launched by summer 2012.
The OFR's mission is to serve the
Financial Stability Oversight Council (FSOC), FSOC member agencies, and the
public by improving the quality, transparency, and accessibility of financial
data and information, by conducting and sponsoring research related to
financial stability, and by promoting best practices in risk management.
In the spirit of open government,
OFR will provide the public with key data and analysis, while protecting
sensitive information.
The OFR continues to expand its Working Paper Series, available on its
website, which offers an opportunity to disseminate preliminary research
findings in a format intended to generate discussion and critical
comments. The goal is to inform and
improve the quality of the analysis conducted by the OFR.
As part of its mission managing
the U.S. Government's finances, the Department of the Treasury serves millions
of customers. As required by Executive
Order 13571 on Streamlining Service Delivery and Improving Customer Service,
the Department has developed this plan, which identifies specific actions and
initiatives which will further advance Treasury's customer service over the
next year, focusing on one signature initiative and three key service
areas. Treasury strives to be a
citizen-centered organization and serve customers in the most efficient,
expedient, and convenient manner possible.
Electronic transcript Delivery
Application on IRS.gov
This initiative enables a
taxpayer to securely send a transcript to an authorized third party from an
online application on IRS.gov. As a
result of this effort, taxpayers will gain access to their tax records with greater
efficiency and decreased burden.
Participation: Third parties such as banks, credit unions
and other financial institutions have been integral partners in the planning
and development of this service. Once
the service is deployed, third parties will be able to introduce better
processes that serve their end customers with easier access to Agency services.
Collaboration: Treasury will maintain a dialogue with
stakeholders through discussions, webinars, electronic communications, and
other public forums. Treasury will be
collaborating directly with mortgage lenders, banking associations and Income
Verification Express Services (IVES) vendors to iteratively add functionality.
Electronic Payments to
Beneficiaries Financial Management Service
The Financial Management Service
(FMS) is supporting the effort by fostering a prudent use of taxpayer resources
by providing timely, accurate, and efficient disbursements of federal
payments. FMS is working to pay federal
beneficiaries electronically rather than via paper checks. This is called the GoDirect campaign.
Participation: FMS will foster participation by working with
the federal beneficiaries to ensure they have accounts set-up and understand
how to convert from paper checks to electronic payments.
Collaboration: FMS will continue nationwide GoDirect
campaign to convert current check recipients to direct deposit. Additionally, FMS will enable the GoDirect
call center to process both direct deposit and Direct Express enrollments via a
single toll free telephone number or a single website and expand the Direct
Express card to multiple benefit payment types.
Video Communications Technology
as a Service Delivery Alternative IRS
The IRS will test the use of
video communications technology to provide a service delivery alternative
outside of IRS facilities. This service
will increases access to face-to-face service where it is currently unavailable
and improve the timely delivery of services and case resolution for taxpayers.
Participation: The IRS will deploy the video communications
technology to a segment of the taxpaying population who has become accustomed
to an in-person channel of service. This
will test the viability of interacting with taxpayers in a virtual environment.
Collaboration: The video communications technology will be
deployed in more than a dozen customer-facing locations where taxpayers can
walk-in to receive services. The
customer facing locations will be supported by 27 locations where IRS employees
will deliver services. This will
leverage established partner sites as an alternate service delivery
location. It will establish a virtual
presence in geographic areas with no staff or few staff. It will also supplement with virtual service
delivery option at sites that are understaffed and sites that have high
taxpayer traffic.
The open government team is
continuing to leverage the existing networks within Treasury to enhance the
communication of Treasury's open government values and efforts, such as the
various executive councils (e.g., CIO, CFO, Privacy, FOIA, and Human Capital
Councils), and intra-agency work committees. Through these collaboration efforts within the Department, Treasury
effectively combines available resources to present a uniform effort toward
open government.
Various bureaus already have
taken the initiative to use technology to promote open government goals. The chart below highlights some of Treasury's
Bureau specific new innovative projects.
Grants.gov
The
Department of the Treasury's Community Development Financial Institutions Fund will
continue to publish grant opportunities at this link: http://www07.grants.gov/search/search.do;jsessionid=9JycPh8GHd35hgLfDYcYZKb4Pxc3xLS2QzhhJb8G6pYDs1WLC9dt!-408580364. This link provides search capabilities for
Treasury grant opportunities. Figure 18 includes
some of the opportunities that exist for Treasury on the Grants.gov website for
FY2012 to date.
Open Date |
Opportunity
Title |
Agency |
Funding
Number |
11/14/2011 |
FY 2012 Native
American CDFI Assistance Program |
CDFI |
CDFI-2012-NACA |
11/03/2011 |
FY 2012 CDFI
Program - Financial Assistance & Technical Assistance Awards |
CDFI |
CDFI-2012-FATA |
Data.gov
During
FY 2011, the Department of the Treasury submitted 19 datasets to Data.gov. Treasury exceeded its goal to submit three
datasets per quarter to Data.gov. Treasury has already submitted seven datasets to Data.gov in the first
two quarters of FY 2012. Figure 19 lists
the datasets submitted in FY 2012 to date.
FY2012
Treasury Dataset Status |
Bureau |
Dataset |
Status |
Qtr |
Qtr Total |
FMS |
Treasury Daily
Statement |
Posted to
Data.gov |
1 |
1 |
FMS |
Monthly
Treasury Statement |
Posted to
Data.gov |
1 |
1 |
FMS |
Combined
Statements of Outlays, Receipts and Balances |
Posted to
Data.gov |
1 |
1 |
| |
Total for
Quarter 1 |
|
|
3 |
FINCEN |
Mortgage Fraud
Suspicious Activity Report (SAR) Data Tables by Urban Area |
Posted to
Data.gov |
2 |
1 |
FINCEN |
Mortgage Fraud
Suspicious Activity Report (SAR) Data Tables by County |
Posted to
Data.gov |
2 |
1 |
FINCEN |
Mortgage Fraud
Suspicious Activity Report (SAR) Data Tables by State |
Posted to
Data.gov |
2 |
1 |
TTB |
Listings of
alcohol industry members who hold permits under the Federal Alcohol
Administration Act |
Posted to
Data.gov |
2 |
1 |
| |
Total for
Quarter 2 |
|
|
4 |
IRS2Go
IRS2Go is a smartphone
application that lets individuals interact with the IRS using mobile devices.
This mobile application provides a convenient way of checking the status of
federal refund status and getting easy-to-understand tax tips. 'several new tools for IRS2Go are scheduled
this filing season. They include You
Tube videos and IRS latest news. Completion Date: February 2012
Exempt
Organizations Select Check (New)
Exempt Organizations Select Check
is an online search tool that allows users to select an exempt organization and
check certain information about its federal tax status and filings. It
consolidates three former search sites into one, providing expanded search capability
and a more efficient way to search for organizations that:
Are
eligible to receive tax-deductible charitable contributions (Publication 78
data),
Have
had their tax-exempt status automatically revoked because they have not filed
Form 990 series returns or notices annually as required for three consecutive
years (Auto-Revocation List), or
Have
filed a Form 990-N annual electronic notice (e-Postcard).
Completion Date: January 2012.
IRS.gov
Improved Search capability
IRS plans to implement a new
search capability for the public facing website, IRS.gov. At the core
will be an enhanced search appliance, which will rely on greater use of tags
within the content to deliver better search results. The new search will feature auto-correct
capability to address potential typos. In
addition, IRS will be able to have more control over the tool's configuration
to perpetually improve search functionality. Visitors will be able to
refine their searches, making it easier to find information.
Projected Completion
Date: January 2013.
IRS
AFOIA (New)
The new IRS AFOIA system has the
capability to respond to FOIA requests in paperless formats. IRS
currently responds to FOIA requests on CDs or flash drives when the requester
is willing to accept it in that format. The IRS Information Technology
function is moving toward the point where it could potentially provide secure
email FOIA responses.
Projected Completion Date:
September 2014.
Please refer to appendix D to
view Treasury Success Stories.
VI. Conclusion
The Department of the Treasury
enthusiastically supports open government. The Department successfully increased its transparency, participation,
and collaboration with the public through the initiatives laid out in Open
Government Plan 1.0. Open Government
Plan 2.0 builds on the achievements of 1.0 by presenting innovative methods to
increase public accessibility and participation, while simultaneously improving
the security of sensitive information. Open
Government Plan 2.1 provides an update on Treasury's open government
commitments, flagship initiatives, and other on-going efforts in the areas of
transparency, participation, and collaboration. The Department will continue to harness new
ideas and technologies to improve the quality of information it provides to the
public and actively engage the people it serves in its everyday operations.
Appendix A: Treasury Bureaus
The Treasury Bureaus make up 98 percent of the Treasury work force and are responsible for carrying out specific operations assigned to the Department.
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The Alcohol and Tobacco Tax and Trade Bureau (TTB) is responsible for enforcing and administering laws covering the production, use, and distribution of alcohol and tobacco products. TTB also collects excise taxes for firearms and ammunition. |
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The Bureau of Engraving & Printing (BEP) designs and manufactures U.S. currency, securities, and other official certificates and awards. |
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The Bureau of the Public Debt borrows the money needed to operate the Federal Government. It administers the public debt by issuing and servicing U.S. Treasury marketable, savings and special securities. It also provides reimbursable support services to other government agencies through its Administrative Resource Center. |
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The Community Development Financial Institution (CDFI) Fund was created to expand the availability of credit, investment capital, and financial services in distressed urban and rural communities. |
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The Financial Crimes Enforcement Network (FinCEN) supports law enforcement investigative efforts and fosters interagency and global cooperation against domestic and international financial crimes. It also provides U.S. policy makers with strategic analyses of domestic and worldwide trends and patterns. |
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The Financial Management Service (FMS) receives and disburses all public monies, maintains government accounts, and prepares daily and monthly reports on the status of government finances. |
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The Inspector General conducts independent audits, investigations and reviews to help the Treasury Department accomplish its mission; improve its programs and operations; promote economy, efficiency and effectiveness; and prevent and detect fraud and abuse. |
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The Treasury Inspector General for Tax Administration (TIGTA) provides leadership and coordination and recommends policy for activities designed to promote economy, efficiency, and effectiveness in the administration of the internal revenue laws. TIGTA also recommends policies to prevent and detect fraud and abuse in the programs and operations of the IRS and related entities. |
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The Internal Revenue Service (IRS) is the largest of Treasury's bureaus. It is responsible for determining, assessing, and collecting internal revenue in the United States. |
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The Office of the Comptroller of the Currency (OCC) charters, regulates, and supervises national banks to ensure a safe, sound, and competitive banking system that supports the citizens, communities, and economy of the United States. In July of 2011, the Office of Thrift Supervision (OTS) was merged with OCC. The OCC now perform the functions previously handled by OTS such as: regulating federal and state-chartered thrift institutions, including savings banks and savings and loans associations. |
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The U.S. Mint designs and manufactures domestic, bullion and foreign coins as well as commemorative medals and other numismatic items. The Mint also distributes U.S. coins to the Federal Reserve banks as well as maintains physical custody and protection of the nation's silver and gold assets. |