Date: April 13, 2000

Sunset Review: April 13, 2004

SUBJECT: Treasury Information Technology (IT) Programs
 

1.    Purpose. This Directive provides policies and assigns responsibilities for the information resources management and information technology (IT) programs.

2.    Scope. This Directive applies to all bureaus, offices and organizations in the Department of the Treasury, including the Office of the Inspector General and the Treasury Inspector General for Tax Administration.

3.    Policy. It is the policy of the Department to:

    a.    provide a framework for managing information, information resources, and information technology investments, which supports the operating bureaus of the Department in the accomplishment of its missions and functions in both an efficient and effective manner and in accordance with Departmental policy;

    b.    ensure Treasury missions and goals, information, information resources, and information technology investment decisions will be made based on programmatic need, performance-based measures tied to the budget, sound business practices, a sound IT architecture and investment management process, and compliance with applicable laws and regulations;

    c.    treat information, information resources, and information technology as corporate assets integrated with programmatic planning and budgeting;

    d.    manage information, information resources, information technologies in a manner that supports the mission, goals, and strategic plan of the Department; and,

    e.    establish, maintain, and manage information management activities in a manner that addresses Departmental policy and implements appropriate laws and regulations.

4.    Background. Treasury Directive (TD) 27-01, "Organization and Functions of the Office of the Assistant Secretary for Management and Chief Financial Officer," sets out the responsibilities of the Deputy Assistant Secretary for Information Systems (DASIS) and Chief Information Officer (CIO) pertaining to the direction and operation of information technology (IT) functions of the Department (e.g., IT planning, IT architecture, IT security, telecommunications programs and services, IT training, and IT standards).

The CIO reports organizationally to the Treasury Assistant Secretary for Management and CFO, but, in accordance with TD 27-01 and under the Clinger-Cohen Act, the DASIS/CIO has direct access to the Treasury Secretary on information technology issues. Mission critical responsibilities of the CIO include strategic direction and priorities for IT investments; oversight of the Department's information resource management; management of the Department-wide information infrastructure; and implementation of other statutory mandates, including the Paperwork Reduction Act. The CIO is also responsible for coordination and management of security policy and implementation across all areas of information technology.

5.    Responsibilities.

    a.    The Deputy Assistant Secretary (Information Systems)/CIO, is responsible for implementing Federal policy contained in the Clinger-Cohen Act, Computer Security Act, Paperwork Reduction Act, Government Paperwork Elimination Act, and other IT-related statutes and Executive Orders. The CIO shall:

        (1)    provide advice and other assistance to the Secretary of the Treasury and other senior management personnel of the Department to ensure that information technology is acquired and information resources are managed consistent with the policies and procedures of Clinger-Cohen;

        (2)    develop, maintain, and facilitate implementation of a sound and integrated information technology architecture for the Department;

        (3)    promote effective and efficient design and operation of all major information resources management processes for the Department;

        (4)    partner with the Department's Chief Financial Officer (CFO) to ensure that the capital planning and investment are integrated into the budget process;

        (5)    chair the Treasury CIO Council to ensure sound decision making;

        (6)    establish, implement, and maintain policies, procedures, manuals, and/or guidelines relative to the Department of the Treasury classified and sensitive but unclassified telecommunications security and unclassified computer security programs of all Departmental elements;

        (7)    promote effective use of information technology for public access to public information and facilitate Treasury-wide electronic information dissemination programs in accordance to statutes and regulations; and,

        (8)    establish and implement sound information management activities as they relate to the Department's records and public reports management programs.

    b.    The Heads of Bureaus, as it relates to their respective bureaus and offices, shall:

        (1)    promote sound business practices in information management and information technology activities consistent with applicable laws and regulations;

        (2)    budget for and establish information technology management capabilities to meet their programmatic mission requirements and ensure that their information technology investments and information resources are effectively managed in a manner that supports the policies of this directive;

        (3)    implement business practices for the creation, collection, and use of information as a corporate resource and link decisions for information technology investments, protection, operation, etc., of information and information resources to programmatic missions and Departmental goals and objectives;

        (4)    ensure that the policy and objectives of this directive are incorporated into their program planning, management, investment management, and performance evaluation; and,

        (5)    ensure that requirements and procedures of this directive and the authorized manual are implemented and that individual information technologies are effectively managed throughout their life cycle.

    c.    The Bureau Chief Information Officers, shall

        (1)    serve as the principal advisor to the bureau head regarding investment of information technology and information resources management;

        (2)    advise the Treasury CIO on the effective use of IT to accomplish the missions and goals of the bureau;

        (3)    establish a bureau investment review process, chair, upon bureau head approval, the bureau's investment review board, and maintain a portfolio of bureau information systems;

        (4)    serve as a member of the Treasury CIO Council and, when necessary, the Treasury Investment Review Board; and,

        (5)    provide a business case to justify bureau IT investments that require Board approval.

    d.    The Deputy Chief Financial Officer (DCFO), as it relates to the CFO's Act of 1990, is responsible for ensuring that implementing and maintaining financial systems investments achieve performance objectives, measures, and expectations. The DCFO and the CIO will work together to ensure that all information technology investments provide return on investment and reliable, consistent, and timely program performance information.

    e.    Investment Review Boards (IRB), established by the Department and the bureaus shall:

        (1)    establish a process to maximize the value, and to assess and manage the risk of IT investments;

        (2)    implement a repeatable process for selecting, controlling, and evaluating IT investments; and,

        (3)    ensure that the investment review process drive budget formulation and execution for information systems;

6.    Procedures. This directive authorizes the CIO to prescribe and publish the Department of the Treasury Information Technology (IT) Manual, Treasury Department Publication (TD P) 81-01, which shall be issued as a separate document by the CIO and shall be binding on all Treasury bureaus and offices.

The IT Manual:

    a.    provides uniform policies and general procedures for use by the bureaus and offices in carrying out their IT responsibilities in several areas, including IT planning, IT architecture, telecommunications programs and services, information resources management, IT training, and IT standards, in accordance with the standards and guidelines issued by the Office of Management and Budget, General Services Administration, General Accounting Office, and the National Institute of Standards and Technology;

    b.    implements and supplements, where necessary, Executive Orders and other Government regulations by providing guidance when such regulations are not sufficiently detailed, or details are left to Departmental discretion;

    c.    supersedes most of the existing Treasury IT directives. Orders providing delegations of authority from the Assistant Secretary (Management)/CFO with respect to the CIO remain in effect. Existing Treasury directives will stay in effect until a corresponding IT manual chapter is issued and/or notice is given that a specific directive is canceled. The manual, therefore, will continuously be updated and posted on the Department's Intranet site; and

    d.    the IT Manual is binding on all Treasury bureaus and offices. It sets forth the minimum standards or requirements for the IT functions of each bureau and office. The policies and procedures contained in the manual do not preclude a bureau from applying more stringent internal requirements where necessary to accomplish its mission, as long as additional standards or procedures adopted are consistent with those in the IT Manual.

7.    Cancellation. The following Treasury Directives are superseded:

    a.    TD 24-02, Public Reports Management Program, April 2, 1990.

    b.    TD 81-03, Treasury Senior Information Resources Management (IRM) Officials, November 22, 1989.

    c.    TD 81-04, Organizing the Information Systems Function, October 31, 1992.

    d.    TD 81-06, Information Systems Planning, July 31, 1991.

    e.    TD 83-01, Acquisition of Federal Information Processing Resources, December 3, 1991.

    f.    TD 87-01, Information Systems Standards Program, August 23, 1989.

    g.    TD 87-03, Electronic Messaging Systems, July 10, 1992.

    h.    TD P 83-01, Guidelines for Acquiring Federal Information Processing Resources, October 1994.

8.    Supply of Manual. The IT Manual and its amendments may be obtained from the Treasury CIO Intranet site at <http://intranet.treas.gov/sites/cio>.

9.    Authorities.

    a.    TD 27-01, "Organization and Functions of the Office of the Assistant Secretary for Management and Chief Financial Officer."

    b.    Treasury Order 210-10, "Delegation of Authority to the Senior Official."

    c.    Public Law 104-106, "The Information Technology Management Reform Act of 1996 (the Clinger-Cohen Act)."

    d.    Public Law 104-13, "The Paperwork Reduction Act of 1995."

    e.    Public Law 100-235, "The Computer Security Act of 1987."

    f.    Public Law 104-231, "Electronic Freedom of Information Act of 1996."

    g.    44 U.S.C. 3101, "Federal Records Act."
 
    h.    Public Law 105-277, "Government Paperwork Elimination Act."

10.    References.

    a.    Executive Order 13011, "Federal Information Technology," July 16, 1996.

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

11.    Office of Primary Interest. Office of Information Technology Policy and Management, Office of the Deputy Assistant Secretary (Information Systems)/Chief Information Officer, Office of the Assistant Secretary for Management and Chief Financial Officer.