Privacy Impact Assessment – Automated Case Workload Manager (ACWM)
ACWM System Overview
ACWM is a Wage and Investment (W&I) Earned Income (EIC) Exam Inventory Invoicing system. ACWM generates weekly invoices to order W&I EIC Exam cases targeted for distribution to the Correspondence Exam Operations at the Campus sites. ACWM, in conjunction with the Risk Based Scoring and Selection (RBSS), provides the first part of the Case Selection and Assignment Business’ vision under the Earned Income Tax Credit (EITC)-Redesign effort.
ACWM generate/send a weekly invoice (order) for EIC cases, which triggers the Dependant Database (DDB) processes to distribute the most eligible and correct amount of exam cases to the appropriate campus. In order to calculate the correct invoice numbers, ACWM will - on a weekly basis - use various information from various sources:
* Campus Capacity information will be obtained using Correspondence Examination Automation Support (CEAS) inventory levels
* Examiner Full Time Equivalent (FTE) hours, Examination Plan Goals, Examination Case Type Statistics (i.e. time per case) will be input to the system via Web-based Graphical User Interface (GUI) screens.
* Leveling/distribution rules will be imbedded in the code logic
* Selectable Return Levels (DDB Case Supply) will be received via file transfer protocol (ftp) from the DDB processes.
System of Records Number(s)
Treasury/IRS 24.030 CADE Individual Master File (IMF)
Treasury/IRS 34.037 IRS Audit Trail and Security Records System
Treasury/IRS 36.003 General Personnel and Payroll Records
Treasury/IRS 42.001 Examination Administrative File
Treasury/IRS 42.021 Compliance Programs and Project Files
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)
Taxpayer: ACWM does not modify or store information specific to a taxpayer case (i.e. Taxpayer Identification Number). ACWM is an invoicing system which does its ordering on a case type basis. ACWM performs calculations using the program categories and case types. ACWM compiles inventory counts & inventory levels. It does not add/update/store specific taxpayer information.
Employee: ACWM receives the Employee SEID to verify authentication when the employee logs in.
Audit Trail Information: ACWM stores the SEID and the update time of users who change ACWM data.
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)
IRS:
ACWM has two system-to-system interfaces
1) ACWM & DDB
2) ACWM & CEAS
1) DDB Interface:
ACWM receives two files from Dependant Data Base(DDB) on weekly basis(every Friday)
- DDB Case Supply Levels
- Posted File Counts
The mode is file transfer from IBM Mainframe to Wintel (a windows based server). File is read/parsed for DDB Case Supply Level information and stored in ACWM Tables.
2) CEAS Interface
ACWM receives query results on the CEAS Campus Inventory Levels. It reads/utilizes the query results data for capacity and invoice calculations then stores for historical usage in ACWM Tables.
Taxpayer: None
Employee: SEID from the users IRS domain login is passed to ACWM for authentication. Users input Analytical Assumption data regarding exam cases (i.e. Time on Case, Response Rate, Exam Cycle time…) ACWM users also view and adjust the invoice information.
Other Federal Agencies: No Federal Agencies provide data for ACWM.
State and Local Agencies: No State or Local Agencies provide data for ACWM.
Other third party sources: No Other third party sources provide data for ACWM.
3. Is each data item required for the business purpose of the system? Explain.
Each data element is necessary to perform calculations regarding Campus Capacity, Invoice Generation, Variance of Actual inventory verses ordered inventory, and Alerts to the users on Variances from the planned work.
4. How will each data item be verified for accuracy, timeliness, and completeness?
Cross checks of the data have been defined by the business and incorporated into the system code. Alert and system prompts have been designed into the system.
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?
Users will be using the ACWM Web based programs for displaying the invoice, exam plan, analytical assumption, campus profile data stored in the ACWM Tables. This data in not taxpayer specific data. It only reflects the invoicing and capacity level at the campus regarding EIC W&I exam cases.
7. Is the data retrievable by a personal identifier such as name, SSN, or other unique identifier?
No. Invoice data, exam plan data, Analytical Assumption data, and exam case inventory are retrievable at the overall Campus level. There are no name, SSN, or other personal unique identifiers in the data.
Access to the Data
8. Who will have access to the data in the system (Users, Managers, System Administrators, Developers, Others)?
W&I and SB/SE Headquarters Senior Program Analysts who are tasked with monitoring Exam Campus Inventories have access to the data. This community is extremely limited to less than ten users. The system sends alerts to Points of Contacts at the Campus. The alerts go to a limited community of 25 or less. The alerts do not contain taxpayer specific data. They contain only a notice of the variance from plan work verses the actual inventory level.
9. How is access to the data by a user determined and by whom?
Access to ACWM is controlled by IRS Intranet system security enacted by Windows NT authentication and the firewalls. Only designated IRS employees with ACWM accounts will have access to the ACWM.
Approval for ACWM access is processed via OL5081 approval layers of:
- employee’s manager
- security coordinator,
- HQ approval to use ACWM
- MITS approval
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.
ACWM has two system-to-system interfaces
1) ACWM & DDB
2) ACWM & CEAS
1) DDB Interface
ACWM receives two files from Dependant Data Base(DDB) on weekly basis(every Friday)
- DDB Case Supply Levels - define the number and types of cases available for exam EIC selection. This prevents ACWM from ordering more than the selectable case.
- Posted File Counts – this file reflects the number of case that were ordered but could not be delivered do to an unpostable condition at Master file. ACWM need to know this shortage so that it can make up the backorder.
2) CEAS Interface
ACWM receive query results on the CEAS Campus Inventory Levels. This data reflect the inventory level of exam cases already assigned to the Campuses. Knowing the Inventory levels is essential to calculating the Campus’ capacity for ordering additional new cases for the current week.
11. Have the IRS systems described in Item 10 received an approved Security Certification and Privacy Impact Assessment?
Dependent Database is a part of IDRS & does not require a separate PIA.
It is a combination of Dept. of Health & Human Services and SSN Administration data. This information provides custody information that can be used to help determine the validity of dependant and EITC claims. It is acquired by accessing IDRS and EITC claims.
Correspondence Examination Automation support (CEAS) PIA dated 9/12/2002. The C&A for CEAS was 4/15/2005. **Please Note: CEAS PIA expired 9/12/2005.
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?
Business requested that the historical invoice data be saved for 10 years. This historical information will be used for the purpose of perfecting the Automated Case Workload process. This is not taxpayer specific data. Purge of this data at the end of the retention period will be performed in accordance with IRM and Service Level Agreement. This data is not taxpayer sensitive data.
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.
No, measurements of the system will be based on case types and case categories, which are inherently tax issue-based and do not identify individuals or groups. Individual IRS employees will not be performance rated based on any data in used or in this system.
17. Can use of the system allow IRS to treat taxpayers, employees, or others, differently? Explain.
No, the purpose of the system is to improve workload performance to ensure the campus’s (individually and as a whole nationwide) are not over or under burdened with inventory.
18. Does the system ensure "due process" by allowing affected parties to respond to any negative determination, prior to final action?
The ACWM system allows for the automation of exam case invoicing with regards to the quantity of cases. It is not part of the determination process.
19. If the system is web-based, does it use persistent cookies or other tracking devices to identify web visitors?
ACWM has session based cookies. ACWM does not have persistent cookies.
|
