TREASURY DIRECTIVE

TREASURY DIRECTIVE 80-05

Date: June 26, 2002

Sunset Review: June 26, 2006

SUBJECT: Records and Information Management Program

1. PURPOSE. This Directive provides policies and assigns responsibilities for records management, forms management, and interagency reports management. This Directive also authorizes the issuance of Treasury Department Publication (TD P) 80-05, Records and Information Management (RIM) Manual, which includes additional policy guidance for specific categories of records.

2. SCOPE. This Directive applies to all Treasury bureaus and offices. This Directive applies to all records of the Treasury Department, as defined in the Federal Records Act, regardless of medium, which are created, collected, processed, used, stored and/or destroyed by Treasury bureaus and offices.

3. DEFINITIONS.

a. Business need is an agency's need to conduct business, maintain a record of its essential activities and decisions for its own use, support oversight and audit of those activities, fulfill legal requirements, and permit appropriate public access.

b. Classified material is national security information that can be classified pursuant to Executive Order 12958, requires protection against unauthorized disclosure, and it is marked to indicate its classified status when in documentary form.

c. Documentary material is a collective term for records, nonrecord materials and personal papers that refers to all media containing recorded information, regardless of the nature of the media or the methods or circumstances of recording.

d. Electronic mail (e-mail) message is a document created or received on an e-mail system, including brief notes, more formal and substantive documents and any attachments, such as word processing documents transmitted, but not created, on an e-mail system.

e. Electronic record is any information that is recorded in a form that only a computer can process and that satisfies the definition of a Federal record in 44 U.S.C. 3301.

f. Electronic recordkeeping system is an electronic system in which records are collected, organized, and categorized to facilitate their preservation, retrieval, use and disposition.

g. General Records Schedules are mandatory disposition instructions issued by the National Archives and Records Administration (NARA) for temporary administrative records that are common to most Federal agencies (see record schedule).

h. Nonnrecord materials are Government information materials that do not meet the statutory definition of Federal records (44 U.S.C. 3301) or that have been excluded from coverage by the definition. Excluded materials are extra copies of documents kept only for reference, stocks of publications and processed documents, and library or museum materials intended solely for reference or exhibit.

i. Personal papers are materials which contain work-related information, but their purpose is for the official's personal use and not for the transaction of Government business. This category could include materials accumulated by an official before joining Government service that are not used subsequently in the transaction of Government business, materials relating solely to an individual's private affairs such as outside business pursuits or professional affiliations that do not relate to agency business, and diaries, journals, notes, and personal calendars and appointment schedules. Personal papers are excluded from the definition of Federal records and are not owned by the Government.

j. Program official is a division director, or equivalent, who is responsible for a major program or functional area.

k. Records include all books, papers, photographs, machine-readable materials, or other documentary materials, regardless of physical form or characteristics, made or received by an agency of the United States Government under Federal law or in connection with the transaction of public business and preserved or appropriate for preservation by that agency or its legitimate successor as evidence of the organization, functions, policies, decisions, procedures, operations, or other activities of the Government or because of the informational value of data in them. (44 U.S.C. 3301)

l. Record schedule or schedule is a document that describes agency records, establishes a period for their retention by the agency, and provides mandatory instructions for what to do with them when they are no longer needed for current Government business. The term means (a) a Standard Form (SF) 115, Request for Records Disposition Authority, that has been approved by the (NARA) to authorize the disposition of Federal records; (b) a General Records Schedule (GRS) issued by NARA; or (c) a printed agency manual or directive containing the records descriptions and disposition instructions approved by NARA one or more SF 115s or issued by NARA in the GRS.

m. Recordkeeping system is a manual or automated system in which records are collected, organized, and categorized to facilitate their preservation, retrieval, use, and disposition.

n. Sensitive but unclassified (SBU) information refers to any information in which the loss, misuse, unauthorized access to, or modification of could adversely affect the national interest, the conduct of Federal programs, or the privacy to which individuals are entitled but is not eligible for classification pursuant to Executive Order 12958.

4. POLICY. It is the policy of the Department of the Treasury to manage records effectively and efficiently throughout their life cycle in order to facilitate accomplishment of the agency's programmatic and administrative missions, to preserve official agency records in accordance with applicable statutory and regulatory requirements, and to ensure access to information by Treasury officials, and the public as appropriate. This is to be accomplished through adequate and proper documentation of all Treasury organizations, their functions, policy decisions, procedures, and essential transactions in a manner that promotes accountability, establishes a historical record, and protects the legal and financial rights of the Government and the privacy of individuals. It is also the policy that:

a. the Department shall plan and establish a framework for managing and overseeing a comprehensive agency-wide records management program which shall be integrated into the Department's information technology policy management program to promote effective management, communication, sharing, and transfer of information regardless of the medium or format in which it exists;

b. the Department shall inform its employees of their responsibilities to manage the agency's records and ensure that records management staff receive adequate training to carry out their responsibilities;

c. records collected, created, or maintained by the Department shall be safeguarded commensurate with the risk and magnitude of the harm that would result from the loss, misuse, unauthorized access to or modification of information. Safeguards shall be adopted to provide protection for information that is restricted from disclosure by the Privacy Act, the Computer Security Act, and other statutes, regulations and Executive Orders, as well as to adhere to additional security measures authorized by the Office of Security;

d. all records of the Department shall be listed, and accounted for, in record schedules, and their disposition shall be in accordance with the schedules;

e. all records created or received by an official or employee of the Department of the Treasury in the course of conducting Government business are the property of the Department of the Treasury. No person attains a proprietary interest in any record that he/she may create, provide input into, or acquire custody or possession of, by virtue of his/her position as an official or employee. The penalties for the willful and unlawful destruction, damage, removal from the files, or alienation of Federal records are contained in 18 U.S.C. 2071;

f. papers that are entirely personal are not "records" for purposes of agency records management requirements and shall at all times be maintained separately from an office's records and may be removed from an agency;

g. no records may be destroyed, transferred to a Federal Records Center (FRC), another agency, or to NARA, without authorization from the Archivist of the United States through an approved record schedule or General Records Schedule (GRS). In addition, disposition of financial records requires concurrence of the General Accounting Office (GAO). The Records and Information Management (RIM) manual describes the approval process and GRS. Supplemental guidance will be provided through the Treasury Intranet;

h. records not eligible for destruction, which have decreased in value to the extent that their retention is no longer warranted in an office, shall be removed as soon as possible to a Federal Records Center or a bureau storage center;

i. nonrecord material shall NOT be moved to a Federal Records Center or a bureau storage center;

j. an active forms management program be managed to achieve Department-wide economies and efficiencies by employing information technology to create, maintain, and use common forms;

k. an interagency reports management program be managed to ensure that interagency reports and recordkeeping requirements are based on need, are cost-effective, and comply with General Services Administrations (GSA) applicable regulations; and

l. upon notification from the Office of the General Counsel, or other appropriate organization, records and other documents that pertain to any potential, pending, or ongoing litigation, claim, audit, administrative reviews, or Freedom of Information Act request will be retained until further notification from the Office of General Counsel. The notifying office/organization shall advise the Bureau Records Management Officer when such retention of the records and other documents is no longer required.

5. RESPONSIBILITIES.

a. The Deputy Assistant Secretary (Information Systems) (DASIS)/CIO is responsible for leadership, planning, overall policy, and general oversight of the records and information management program in the Treasury Department and its incorporation into the broader information technology policy management framework. The DASIS/CIO shall:

(1) promulgate and communicate Treasury-wide policies and guidance that reflect records, forms, and interagency reports management mission and goals and incorporate Federal requirements;

(2) designate a Treasury Records and Information Management Officer to lead and manage the Treasury-wide program;

(3) encourage bureaus to develop and use technology applications to improve management of records and information;

(4) assign overall responsibility for the records and information management aspects of centrally provided information technology infrastructure, e.g., electronic recordkeeping, electronic forms, electronic signatures, and network applications; and

(5) ensure that evaluations of bureau records and information management programs are conducted to determine the degree of compliance with the policies and standards prescribed in Federal regulations.

b. The Department Records and Information Management Officer, under the Office of the DASIS/CIO, is responsible for managing and coordinating the Department-wide records and information management program. This officer shall:

(1) serve as Treasury liaison with NARA and GSA on matters pertaining to records and information management policies;

(2) provide leadership and guidance to bureau records, forms, and interagency reports management officers to ensure reasonable uniformity in records and information management activities throughout the Department;

(3) sponsor and/or facilitate training opportunities for bureau records management officers and Treasury employees through seminars, conferences, workshops or briefings for the purpose of keeping abreast of current government-wide and Treasury records management practices;

(4) facilitate the use of electronic records management applications within the Department and establish procedures for the bureau records management officers to participate in the development of electronic recordkeeping requirements;

(5) develop policies, standards, and procedures for records, forms, and interagency reports management throughout the Department;

(6) conduct reviews and evaluations of bureau programs to ensure conformance with government-wide and Department records and information management standards and partner with NARA on evaluations of Treasury programs;

(7) develop procedures to ensure that employees do not remove Federal records from Department custody without appropriate authorization;

(8) monitor proposed legislation and determine potential impact of such proposal on the Department;

(9) promote the use of electronic forms and provide guidance and support to the bureaus in their forms automation efforts;

(10) review, approve, assign numbers, and manage Treasury Department forms (TD F's) and maintain and publish a catalog of all TD F's; and

(11) review and obtain GSA's approval of new interagency reports for the bureaus.

c. The Heads of Bureaus, the Deputy Assistant Secretary for Administration as it relates to the Departmental Offices, the Inspector General and the Treasury Inspector General for Tax Administration, as it relates to their respective bureaus and offices, shall:

(1) designate a records management officer to act as liaison to the DASIS/CIO to oversee the records management program, with particular emphasis on the transition to electronic records management. The records management officer serves as a point of contact for the Treasury Records and Information Management Officer and is responsible for managing and ensuring the implementation of an appropriate records management program tailored to the organization's requirements;

(2) implement a records management program within their respective area of responsibility to accomplish the objectives identified in Federal regulations and Treasury policies and procedures;

(3) develop records management oversight roles and communications networks with all program offices to ensure that the records management program is implemented at all sites under their program jurisdiction;

(4) develop and disseminate directives and operating procedures, as needed, to supplement Treasury policy to meet the unique records management needs of their organizations and to support a records management program within the organization;

(5) designate a forms management officer to be responsible for developing, implementing, and maintaining a forms management program and to work with the DASIS/CIO on forms management issues and to collaborate on Treasury-wide issues to acquire and use information technology to create forms;

(6) designate an interagency reports management officer to work with the DASIS/CIO on interagency reports; and

(7) ensure compliance with Treasury policies and procedures and applicable Government wide policies, procedures, and standards, such as those issued by the Office of Management and Budget (OMB), NARA, GAO, GSA, and National Institute of Standards and Technology (NIST).

d. The Director, Office of Security, is responsible for developing Treasury guidance on textual record and nonrecord materials which are classified or SBU information to ensure that the record and nonrecord materials are protected at all times and as authorized by Executive Order 12958.

e. The Bureau Records Management Officers are responsible for administering the bureau's records management program. They shall:

(1) review all records schedules triennially to ensure that new categories of records are scheduled, discontinued categories of records are eliminated and that retention periods are altered where appropriated. The process for the reviews is included in the RIM manual and supplemental guidance will be provided prior to the triennial review process;

(2) provide training and guidance to bureau employees, contractors and consultants who create and maintain Treasury records and ensure that employees who work at home or at off-site locations maintain Treasury records in accordance with Federal regulations and Treasury policy. They shall also annually brief all employees, consultants, and contractors with access to Treasury records concerning their records management responsibilities with respect to information acquired as a part of duties performed while employed by the Department;

(3) establish and implement procedures to ensure that departing officials, employees, consultants and contractors do not remove documentary materials from the custody of the Department without appropriate written authorization;

(4) ensure that nonrecord material being removed by a departing employee or official is examined by the bureau-reviewing official for the purpose of providing the appropriate protection for information that is privileged or restricted from release under the Privacy Act or other statutes, regulations or executive orders;

(5) obtain a signed Treasury Department Form (TD F) 80-05.6, "Removal of Documentary Materials by Presidential Appointees with Senate Confirmation," from departing Presidential appointees with Senate (PAS) confirmation and obtain a signed TD F 80-05.5, "Documentary Materials Removal/Nonremoval Certification," from all other departing employees;

(6) ensure that the respective bureau personnel officers retain the signed TD F 80-05.5, TD F 80-06.6, and related documentation for ten years;

(7) develop procedures to ensure that classified or SBU materials are handled according to the requirements of the CIO and the Director, Office of Security, and that they are properly protected at all times;

(8) conduct triennial reviews of records schedules to determine compliance with Federal records regulations and provide the Department's Records and Information Management Officer the required documentation to conduct Departmental reviews;

(9) ensure that adequate electronic recordkeeping requirements are established and implemented for new or revised programs, processes, systems, and procedures;

(10) serve as liaison with NARA on matters pertaining to the operations of records management; and maintain current schedules for all bureau records;

(11) participate in the Department's records management working group meetings to share knowledge, resources, and approaches that improve the management and cost-effectiveness of records;

(12) cooperate with the Department Records and Information Management Officer in administering the records management program to ensure reasonable uniformity throughout the Department; and

(13) as requested, report to the Department Records and Information Management Officer on the status or particular aspects of the bureau program.

f. The Program Officials have primary responsibility for creating, maintaining, protecting, and disposing of records in their program area. They shall:

(1) create and maintain those records needed to ensure adequate and proper documentation of their area of responsibility;

(2) implement procedures to ensure that records are protected from loss, theft, and unauthorized access;

(3) consult with their bureau records management officers to establish filing systems and implement procedures to ensure that records are maintained in a manner that information and documents are readily retrievable;

(4) consult with their bureau records management officers when retiring or destroying inactive records according to the appropriate schedule;

(5) cooperate with the Department and bureau records management officers in requests for information and the management of records; and

(6) notify the bureau records management officer of organization or program changes that will result in the establishment of new types of records or records systems.

g. Bureau Forms Management Officers shall:

(1) review, at least annually, the most frequently used forms and those forms that create a significant burden for preparation for continued need and possible improvement;

(2) collaborate with other bureau forms managers to investigate cost-effective electronic forms applications and share those applications already developed; and

(3) review all requests for new forms and all reprints or revisions of existing paper forms to ensure that:

(a) forms are not duplicative within the bureaus;

(b) all forms efficiently collect data necessary to the bureau mission;

(d) forms are supported by a directive setting forth instructions for preparing, submitting, and using the forms, except for self-explanatory forms used by a single organizational element; and

(e) forms used to gather information from the public or State and local governments the OMB control number and the expiration dates in the right hand corner of the form as required by 5 CFR 1320.5(d)(1).

h. Bureau Interagency Reports Management Officer shall:

(1) review the GSA inventory of Approved Interagency Reports to decided if a proposed interagency report is necessary; and

(2) request GSA and OMB approval of interagency reports that collect information for Federal agencies and from either the public or state and local governments.

6. GENERAL RECORDS SCHEDULES (GRS). The Archivist of the United States has issued General Records Schedules to provide minimum records retention standards for records common to all activities, regardless of mission (36 CFR Section 1228.44). Current GRS can be obtained at the NARA web site at http://www.ardor.nara.gov/grs/index.html.

7. CANCELLATION. Treasury Directive 80-05, Records and Information Management Program, dated February 23, 2000, is superseded.

8. AUTHORITIES.

a. 44 U.S.C. Chapters 21, 29, 31, 33, and 35 pertaining to records maintenance and disposition.

b. 18 U.S.C. 2071 concerning provisions for criminal penalties for the unlawful removal or destruction of official records.

c. 36 CFR Part 1222, "Creation and Maintenance of Federal Records."

d. 41 CFR Part 102-93, "Creation, Maintenance, and Use of Records."

e. Pub. L. 104-13, "Paperwork Reduction Act of 1995," as amended.

f. Executive Order 12958, "Classified National Security Information."

g. Pub. L. 105-277, "Government Paperwork Elimination Act."

h. Pub. L. No. 100-325, "Computer Security Act of 1987," as amended.

i. OMB Circular A-130, "Management of Federal Information Resources."

9. OFFICE OF PRIMARY INTEREST. Office of Information Technology Policy and Strategy, Office of the Deputy Assistant Secretary (Information Systems)/CIO, Office of the Assistant Secretary for Management and Chief Financial Officer.

/S/
Edward R. Kingman, Jr.
Assistant Secretary for Management
and Chief Financial Officer