Privacy Impact Assessment – End-To-End Publishing
End-to-End Publishing System Overview
The End-to-End Publishing System will replace current system(s) Centralized Inventory Distribution System (CIDS) and Computer Assisted Publishing System (CAPS) used by Media & Publishing Division. The CAPS & CIDS systems will support the automated publishing needs of the IRS by providing: the tracking of creation & changes to all publications, the ability to provide collaborative review, the tracking and editing of printing procurement jobs, the interfacing with other IRS organizations (IFS, Training) as well as non-IRS organizations (Treasury, Government Printing Office (GPO), Private Contractors). The E2EP system will use new IT technologies to modernize the current systems.
System of Record Number(s)
Treasury/IRS 00.001 Correspondence Files and Correspondence Control Files
Treasury/IRS 30.003 Requests for Printed Tax Materials Including Lists
Treasury/IRS 36.003 General Personnel and Payroll Records
Treasury/IRS 34.037 IRS Audit Trail and Security Records System
Data in the System
1. Describe the information (data elements and fields) available in the system in the following categories:
A. Taxpayer
B. Employee
C. Audit Trail Information (including employee log-in info)
D. Other (Describe)
A. No taxpayer account data is kept in this system. However, taxpayer addresses are kept temporarily when forms and publications are ordered.
B. There is no personnel data kept in the system other than user ID’s, authentication, user name, user location, and phone work numbers.
C. Yes, Audit trail information will update the product status (i.e. delivery dates) used to track product location, creation/edits, and section workload.
D. Other includes:
* Procurement specifications and supporting documents are kept for procurements of printing and distribution services.
* Comments from document users.
* Estimated and actual cost and schedule data
* OMB Clearances (Burden)
* Survey/Subscriber Contact Information
2. Describe/identify which data elements are obtained from files, databases, individuals, or any other sources.
A. IRS
B. Taxpayer
C. Employee
D. Other Federal Agencies (List agency)
E. State and Local Agencies (List agency)
F. Other third party sources (Describe)
A. Personnel data – for workflow assignments, LDAP, training, audit trail information, and procurement specifications. There is no personnel data kept in the system other than user ID’s, authentication, user name, user location, and phone work numbers.
B. Taxpayer addresses, and Comments from document users
C. None
D. Estimated and actual cost and schedule data from GPO (Future); Office of Management & Budget (OMB) Clearances (Burden) from Treasury and OMB
E. None
F. Estimated and actual cost and schedule data from print, distribution, and transportation vendors, survey/subscriber contact information
3. Is each data item required for the business purpose of the system? Explain.
* Taxpayer Addresses – used to fulfill orders for tax publications
* Personnel data – used to manage workflow assignments and notifications
* Audit Trail – used to manage the risk of intrusion and improper disclosures of information
* Taxpayers names and addresses to send the requested products
* Procurement specifications – used to purchase 3rd party vendor-printed publications and distribution services
* Comments from document users - used to improve the readability and usefulness of tax products
* Estimated and actual cost and schedule data – used to manage costs and delivery of published products
* OMB Clearances (Burden) – used to validate burden approvals for tax products
* Survey/Subscriber information used to distribute tax forms & publications to appropriate outlets
* Tracking of tax laws and affected tax products for the update of tax products
4. How will each data item be verified for accuracy, timeliness, and completeness?
* Taxpayer Addresses – Order takers use software to verify addresses (using the software Finalist - to verify that a supplied address is a valid address for delivery). Data is deleted upon fulfillment of the order. Personnel data – Rely on the IRS’s LDAP system to verify personnel data
* Audit Trail – Software built-in to each of the system COTS products automatically performs audit data collection.
* Procurement specifications – Job management software will verify procurement information based upon historical data
* Comments from document users - Customer Comment software will pull comments directly from emails and associate it with categories. Paper-based comments require manual inspection.
* Estimated and actual cost and schedule data ( This is the cost associated with the purchasing of the printed products) – Job Management software reconciles actual costs and delivery dates with contract specifications
* OMB Clearances (Burden) – Manual processing
* Survey/Subscriber information will be verified from previous data and address verification software
* Taxpayer name/address data is maintained temporarily to allow tracking and researching orders. Order data is maintained for forecasting and planning
5. Is there another source for the data? Explain how that source is or is not used.
No, except that instead of getting information from the Contractor, the info could come from GPO (i.e. scheduled delivery date(s) of printed products). But it would not be as timely as the data coming from the Contractor.
6. Generally, how will data be retrieved by the user?
Via a web browser.
7. Is the data retrievable by a personal identifier such as name, SSN, or other unique identifier?
* Taxpayer Addresses are retrievable by Order # until the order is fulfilled. Once the order is fulfilled, the data is purged from the system.
* Personnel data are retrieved by user ID and user name
* Others - none
Access to the Data
8. Who will have access to the data in the system (Users, Managers, System Administrators, Developers, Others)?
* Taxpayer Addresses – ADC-A76 Service Provider (could be IRS or 3rd Party Vendor), National Institute for Severely Handicapped (handle telephone orders), and IRS CAS call centers.
* Personnel data – M&SP workflow managers
* Audit Trail – E2EP System Administrators, IRS Chief Counsel, TIGTA
* Procurement specifications – M&P staff, Government Printing Office (GPO), and qualified vendors
* Comments from document users - M&P staff
* Estimated and actual cost and schedule data – M&P staff, IRS financial accounting personnel, Product Owners from IRS business units, (This is the cost associated with the purchasing of the printed products).
* OMB Clearances (Burden) – M&P staff
9. How has access to the data by a user determined and by whom?
Access to E2EP systems requires user authentication via LDAP (and Siteminder, etc) plus assignment of role-based permissions by System Administrators.
10. Do other IRS systems provide, receive, or share data in the system? If YES, list the system(s) and describe which data is shared. If NO, continue to Question 12.
* LDAP provides Personnel data
* IFS provides information about budget amounts and stores obligation transactions based upon cost estimates
* *Check Mail out Summary (interface#31)
11. Have the IRS systems described in Item 10 received an approved Security Certification and Privacy Impact Assessment? Yes
12. Will other agencies provide, receive, or share data in any form with this system?
* GPO will receive procurement specifications and may provide estimated and actual cost and schedule data.
* OMB/Treasury will provide OMB Clearances (Burden)
Administrative Controls of Data
13. What are the procedures for eliminating the data at the end of the retention period?
* Taxpayer addresses are purged upon fulfillment of orders.
* Procurement specifications and Customer Comments will be archived automatically using Records Management software.
* All other data is captured in data warehouses for later analysis and forecasting.
14. Will this system use technology in a new way? If "YES" describe. If "NO" go to Question 15. No
15. Will this system be used to identify or locate individuals or groups? If so, describe the business purpose for this capability.
Yes for surveys to subscription partners. So IRS can supply the necessary products to the appropriate user communities.
16. Will this system provide the capability to monitor individuals or groups? If yes, describe the business purpose for this capability and the controls established to prevent unauthorized monitoring.
The E2EP system will not use Personnel data to track the performance of individual staff. It will allow M&P managers to inspect staff workloads as part of assigning current work tasks.
17. Can use of the system allow IRS to treat taxpayers, employees, or others, differently? Explain. No.
18. Does the system ensure "due process" by allowing affected parties to respond to any negative determination, prior to final action?
Not applicable because the E2EP system will not be used to make determinations about individual staff.
19. If the system is web-based, does it use persistent cookies or other tracking devices to identify web visitors? No.
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