Privacy Impact Assessment (PIA) – Tax Forms and Publications Oracle Program Tracking System (TFPOPTS)
TFPOPTS System Overview
The Tax Forms and Publications Oracle Program Tracking System (TFPOPTS) is the management information system used by Tax Forms and Publications (TFP) to track and manage functional program areas. Functions of the Oracle database application include managing the production of tax products, tracking legislation that affects tax products, computing taxpayer burden as required under the Paperwork Reduction Act, processing and logging submissions to the Office of Management and Budget, processing customer correspondence, and managing organizational and personnel data.
System of Records Number(s)
IRS 00.001 Stakeholder Relationship & Correspondence
IRS 36.003 General Personnel and Payroll Records
IRS 38.001 General Training Records
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. Containing correspondence regarding improvements to tax products – taxpayer emails or letter, Congressional letters, IRS employee suggestions, and TFP replies.
B. Contains division employee information including assigned function, home, social security number and emergency information, appraisal ratings, training, database permissions, and position information. Data sources include Forms SF 182 (Request, Authorization, Agreement and Certification of Training), TD. F 73-50 (Employee Locator Card), 6850 (Bargaining Unit/ NBU Performance Appraisal and Recognition) and 12450 (Management Performance Agreement).
C. Contains audit fields that track changes to sensitive database records and tracks system log-in information.
D. 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. None
B. Correspondence information from the public including name, address, email address, and phone number. No tax data is accepted or stored but rather referred to Customer Service.
C. All employee personal information is obtained from the employee. The manager or appropriate branch management assistant enters training and appraisal information.
D.N/A
E. N/A
F. N/A
3. Is each data item required for the business purpose of the system? Explain.
Yes. Public comments are necessary for the improvement of the tax products, to simplify areas of difficulty or misunderstanding and to improve overall taxpayer compliance.
Employee data is necessary to provide a structure for controlling work, reporting progress, and responding to AWSS requests for records on training and appraisals. Incorporation of the latter data replaces individual manager spreadsheets or files.
4. How will each data item be verified for accuracy, timeliness, and completeness?
Taxpayer correspondence is monitored to ensure timely responses. Employee records are verified by the employee and by his or her manager.
5. Is there another source for the data? Explain how that source is or is not used.
The Executive Correspondence Management System (ECMS) is not available below the division level, thus necessitating a secondary level of records and control for correspondence.
Agency-wide applications for managing employee personal data, training, and appraisals are not yet available. The management of this data through TFPOPTS promotes reporting compliance and efficiency.
6. Generally, how will data be retrieved by the user?
Taxpayer correspondence records (which only contain name, address, and issue) are generally available toTFP employees for research and to respond to similar issues, allowing a standardized and more rapid response.
Employee data is only available to the subject employee and his or her management chain of command, the division personnel analyst, and the IRS database administrator (as a backup).
7. Is the data retrievable by a personal identifier such as name, SSN, or other unique identifier?
The data is retrievable only by name. While we assign a unique identifier to an employee, it is only used in the database to maintain uniqueness of records in the case of similar names or employees changing their surnames due to marriage. The SSN is not a searchable field.
Access to the Data
8. Who will have access to the data in the system (Users, Managers, System Administrators, Developers, Others)?
All division employees and certain non-division employees have access to view the correspondence records. The employee can view his or her own data. His or her immediate supervisor can view the data for section employees. The branch chief can view the data for the branch and the branch management assistant (a non-bargaining unit employee) can change this information. The director, the division personnel analyst, and the IRS database administrator (all non-bargaining unit employees) can create new personnel records and modify as needed.
9. How is access to the data by a user determined and by whom?
Access rules are determined by the IRS database administrator under the guidance of the branch chiefs and the division director.
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.
Only statistical records relating to correspondence are shared outside the division. For employee records, data is aggregated for W&I-provided reports as required regarding appraisals and training. The record information does not leave the division.
11. Have the IRS systems described in Item 10 received an approved Security Certification and Privacy Impact Assessment?
No, we are working on this currently.
12. Will other agencies provide, receive, or share data in any form with this system? No.
Administrative Controls of Data
13. What are the procedures for eliminating the data at the end of the retention period?
Sensitive data on employees will be purged as they leave the IRS. Otherwise, records will be appropriately archived when no longer useful. Data is eliminated via IRM 1.15.3 – Disposal of Records.
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. The system is used to identify work and its progress and information pertaining to normal IRS management duties (general employee information, appraisal status, and training).
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. No.
17. Can use of the system allow IRS to treat taxpayers, employees, or others, differently? Explain.
No. Correspondence is collected only to improve tax products for all taxpayers. The system is a tool for the management of customer feedback. The employee records are strictly to facilitate normal management roles and duties.
18. Does the system ensure "due process" by allowing affected parties to respond to any negative determination, prior to final action?
Employees have the right to review and request correction of their own records through their manager or branch management assistant.
19. If the system is web-based, does it use persistent cookies or other tracking devices to identify web visitors?
Not applicable. The system is currently not web-based.
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