Privacy Impact Assessment - Total Evaluation Performance System (TEPS)

TEPS System Overview

TEPS provides employee performance information for the evaluation of Submission Processing center GS-08 and below employees on a measured performance plan under the numerical performance standards concept as mandated by the NC V agreement.  The performance standards concept requires that employees be told how well they must perform to achieve rating levels two through five before the work is performed.  TEPS includes employee identification and performance data, performance plans, and employee master file data.

The Release/Recall System, a sub-system under TEPS, assists managers in the release and recall seasonal, career/career-conditional intermittent, and term employees, regardless of their assigned performance plan.

System of Records Number(s)

Treasury/DO .001 (personnel records)
Treasury/IRS 36.003 (personnel records)
Treasury/IRS 34.037 (audit trail records and security records such as Forms 5081)

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 information)
D. Other (Describe)

A:  Taxpayer -- N/A

B:  Employee
* Last_Name, First_Initial, Mid_Initial, Social Security Number (SSN), Grade/Step.  In addition, TEPS contains numerical information relating to hours worked, volume (type of work), skill sets, performance evaluations, and ranking.
The TEPS host platform contains within the security files of the operating system employee information requiring protection under the Privacy Act of 1974.  This information includes:

* Employee Name
* Employee Work Location
* Employee Phone Number

C: Audit Trail Information
* User-ID
* Date and Time
* Employee Phone Number

D:  Other – N/A

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: IRS
Database information is provided by a Files Transfer Protocol (FTP) download from the PCA Downloads:  PCA data for each IRS SP center is extracted from the SP center mainframe by the System Administrator for mainframe operations and is transmitted via FTP directly to the TEPS database at ECC-MEM.

* Employee Performance data
* Employee Master File Data
* OFP Consistency Data

B:  Taxpayer -- N/A

C: Employee
Employee information, collected from the IRS Form 5081, is used to grant access to the TEPS.  This includes:

* Employee’s Name
* Employee’s Social Security Number
* Employee’s Work Location

Employee performance data is also collected from the IRS Forms 3081, “Employee Time Report,” and 3929, “Quality Assurance Review Record.”   This includes:
* Employee’s Name
* Employee’s Social Security Number
* Employee’s Work Location

D: Other Federal Agencies
The Treasury Payroll and Personnel System (TPPS; formally called TIMIS) file is provided by the Department of Agriculture National Finance Center (NFC). 
TPPS Downloads:  TPPS data for all IRS SP centers is transmitted via FTP directly to the TEPS database located in the Enterprise Computing Center (ECC-MEM).   Data includes:

* Region Code; District Code; SSN; Service Computation Date;  Enter On Duty Date; Success Code

E:  State and Local Agencies -- N/A

F:  Other third-party sources  -- N/A

3.  Is each data item required for the business purpose of the system?  Explain.

Yes, each data item supports the business purpose of TEPS; as it collects this particular data to produce reports that management use to make pertinent decisions relating to employee performance and to releasing and recalling employees.

4. How will each data item be verified for accuracy, timeliness, and completeness?

The development tools and the application itself include validations and consistency checks to verify accuracy; while individuals must ensure the timeliness and completeness of the data.

5. Is there another source for the data?  Explain how that source is or is not used.  No.

6. Generally, how will data be retrieved by the user? 

Data will be retrieved by users by accessing the TEPS application.  Users of TEPS must have access privileges via the on-line 5081 process.

7. Is the data retrievable by a personal identifier such as name, SSN, or other unique identifier? 

Yes, once the user has access to the TEPS application via the 5081 process, that person is uniquely identified by user ID.

Access to the Data

8. Who will have access to the data in the system (Users, Managers, System Administrators, Developers, Others)?

* TEPS TCC SAs
* TEPS Functional Security Coordinator at TCC
* TEPS SAs at each IRS Service Center
* TEPS Development Team
* TEPS Users (Coordinators, Operators and Analysts in the Reports and Analysis Section)

9. How is access to the data by a user determined and by whom? 

Access to the TEPS is established through use of the IRS Electronic Form 5081. 
Each employee must be granted access to the TEPS via an electronic form 5081.  Specific application and database permissions (Read, Write, Execute, Search) are defined on the IRS electronic form 5081 and set (activated) by the SA or Functional Security Coordinator prior to the employee being allowed network and TEPS access.  The IRS electronic form 5081 is maintained by the On-Line 5081 system. 

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.

Yes.  TEPS receives data from Production Control Accounting (PCA)/Integrated Management Planning Information System (IMPIS).

11. Have the IRS systems described in Item 10 received an approved Security Certification and Privacy Impact Assessment?

Yes.  These applications run on the XXXX XXXXX.

12.  Will other agencies provide, receive, or share data in any form with this system?

No.  The National Treasury Employees Union (NTEU) and its National Oversight Committee may have access to individual records contained in TEPS only if General Legal Services, along with Labor Relations agree that 5 USC 7114 is applicable.

Administrative Controls of Data

13.  What are the procedures for eliminating the data at the end of the retention period?

Data is eliminated when tapes (where data was stored) are written over (recycled/reused).

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.  No.

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 purpose of TEPS is to monitor employees’ performance and based on an employee’s rating, management makes decisions.

17. Can use of the system allow IRS to treat taxpayers, employees, or others differently?  Explain.

Use of this system does allow management to make decisions based on the performance of an employee.

18.  Does the system ensure "due process" by allowing affected parties to respond to any negative determination, prior to final action?

Yes, affected parties have a right to respond to any action taken.

19.  If the system is web-based, does it use persistent cookies or other tracking devices to identify web visitors?

TEPS is not yet web-based.