Treasury Directive 67-01

Date: June 28, 1999

Sunset Review: June 28, 2003

SUBJECT: Safeguard and Notification Requirements for Race and National Origin Data

1. PURPOSE. To prescribe Departmental policies and procedures to:

a. inform employees that race and national origin (RNO) data is maintained, and how it is maintained;

b. allow employees to verify their RNO code; and

c. safeguard RNO identifiers.

2. SCOPE. This policy applies to all Department of the Treasury employees authorized to collect, maintain and use data containing RNO codes.

3. POLICY. It is the policy of the Department of the Treasury that the employees authorized to collect data for, maintain, use and operate Treasury automated data systems containing race and national origin codes are held responsible and accountable for the safeguarding and proper use of such codes in accordance with applicable statutory and regulatory provisions.

4. COLLECTION, ACCESS, VERIFICATION AND CORRECTION OF DATA.

a. All employees authorized to collect data for, maintain, use and operate Treasury automated data systems are responsible and accountable for the safeguarding and the proper use of RNO data.

b. The number of employees who in the course of their official duties have access to the Treasury automated data shall be kept to a minimum. Access requires prior supervisory approval.

c. No later than March 1 of every year, each bureau must notify its employees of the nature of RNO data maintained and the bureau's procedures for employee access to, and correction of, their personal data.

d. Once the RNO data has been transferred to the data entry point, it is the responsibility of each employee who has access to the data to provide physical and technical safeguards that ensure the confidentiality of the combined personnel and RNO data and prevent the disclosure of this information to unauthorized personnel.

e. Since the operations environment differs from installation to installation, safeguard mechanisms will be built into production of printed products containing RNO data.

5. DATA COLLECTION. When entering on duty, new employees are requested to complete SF 181, Race and National Origin Identification. OPM Form 1468 will be used for RNO identification in the State of Hawaii.

a. If the designated responsible bureau official disagrees with the RNO designation provided by the employee, the official will counsel the employee as to the purpose of the Department's recognition of the sensitivity of the data, and the existence of safeguard procedures to protect its disclosure. If the employee refuses to change the designation, the official must accept it.

b. If an employee refuses to complete the SF 181 or OPM Form 1468, the designated responsible bureau official will counsel the employee as described above. If the employee continues to refuse to complete the form, the designated responsible bureau official will identify the employee's race and national origin as that which the official perceives to be the correct classification for the employee. The employee must be informed of that classification.

6. DATA CONTROLS.

a. The RNO identification code may be manually recorded on an input form, or the data may be directly entered into the terminal from an SF 181 or OPM Form 1468. After the RNO information has been recorded, the source document(s) must be destroyed by shredding or some other appropriate method. The responsible official must ensure that the source document(s), reflecting the race and national origin identification code used, will never become a part of the employee's official personnel Folder and is destroyed.

b. If the data is input by someone other than the collector, it must be provided for data entry in an appropriately sealed and labeled envelope in person, by mail or by messenger.

c. During this phase of identification and collection of the RNO data, the source document(s) will not be left unattended or unsecured. When the forms are not in the custody of authorized personnel, they will be placed in a properly labeled, sealed envelope and maintained in a locked metal file cabinet or in a secured area.

7. DATA PROTECTION. After the race and national origin (RNO) data has been input into the automated system, it is the responsibility of each employee who has access to the data to ensure its confidentiality and appropriate use.

a. The output of RNO information, and reports based on that information, must be produced for official purposes only, and in conformance with applicable law and regulation. Individual bureaus may develop specific internal procedures for authorizing access to RNO data within their respective bureaus and to reports therefrom, and for the proper retention and disposition of hard copy in conformance with applicable law and regulation.

8. COMPLIANCE REVIEW. The automated personnel data files of the Department of the Treasury will be reviewed as part of scheduled internal audit surveys and/or EEO program evaluations. These reviews will determine:

a. whether employees engaged in the collection, maintenance and use of the RNO data are familiar with the contents of this instruction;

b. whether the proper physical, technical and administrative safeguards are maintained to protect such data; and

c. whether regulations regarding handling and use of data are followed.

9. RESPONSIBILITIES.

a. The Assistant Secretary for Management and Chief Financial Officer is the Department's Director of Equal Employment Opportunity (EEO) and is responsible for the full control of automated RNO identification systems.

b. The Director, Office of Equal Opportunity Program has oversight responsibility for the design, development and implementation of procedures necessary to assure that RNO data is protected-in accordance with appropriate laws and regulations and for the automated combined Personnel-EEO data files.

c. Personnel and Equal Employment Opportunity Officers in each bureau are responsible for:

(1) assuring adherence to Treasury's RNO safeguard procedures;

(2) establishing procedures to notify employees of the maintenance of RNO records and the methods by which they may access and verify their own data; and

(3) conducting the annual notification of employees as specified in this directive.

d. The Treasury Integrated Management Information System (TIMIS), or any successor system, will be the sole automated personnel data system.

10. CANCELLATION.

a. TD 62-02, "Safeguard and Notification Requirements for Treasury Race and National Origin (RNO) Data," dated January 29, 1987.

b. Human Resources Directorate (formerly TPMM) Manual Chapter 298.

11. REFERENCES.

a. 5 U.S.C. 552 and 552a

b. 5 CFR Part 297

c. FPM Supplement 298-1

d. 29 CFR S1614.601

12. OFFICE OF PRIMARY INTEREST. Office of Equal Opportunity Program