Privacy Impact Assessment – Automated Cycle Proof Listing (ACPL)
ACPL System Overview:
Automated Cycle Proof Listing (ACPL) is an application that automates the manual block proof process by downloading daily Service Center Control File (SCCF) and Electronic Filing System (ELF) cycle block Document Locator Number (DLN) lists into a computer database thereby certifying receipt of a block of documents.
As documents are received at the Service Center, they are grouped by form number into blocks. Subsequently, blocks are assigned an ABC code (3 position alpha numeric) and a block DLN (15 position numeric including slashes). These blocks of documents then proceed through pipeline processing at the Service Center. This process is done to ensure that blocks of documents are not filed before completing the pipeline process.
The Cycle Control Unit (CCU) in each Service Center is responsible for the block proofing process which is automated by the ABC code or block DLN numbers from a mainframe generated file with the corresponding ABC or block number on the processed block.
Input data for this program is extracted from file SCF0754 by LA155 A/X (runs 5 days each for each Service Center) and from file ELF6142 by LA168 ( runs only when input data is present and only for those Service Centers that process ELF records).
System of Records Number(s):
Treasury/IRS 24.062 Electronic Filing Records
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. Taxpayer: ACPL does not contain any taxpayer information.
B. Employee: Employee login name.
D. Other: The Batch Number, Cycle Number, Block Document Locator Number (DLN), ABC Code, SCCF Post Date, Master File Indicator, Block Received Date, Block Validation, Re-input Code (Indicator), ERS Indicator, Original Document Count, G/E/R Document Count, Quality Review, Defect code, Quality Review Code, and Remarks.
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: ACPL does not collect data from sources other than IRS records.
B. Taxpayer: ACPL does not contain any taxpayer information.
C. Employee: Employee login name is collected from the employee.
D. Federal Agencies: No federal agency other than IRS provides data for use in ACPL application.
E. State/Local: No state or local agencies provide data for use in ACPL. Application.
F. Other/Third Party: No third party sources provide data for use in the ACPL application.
3. Is each data item required for the business purpose of the system? Explain.
Yes. The design of the application is to provide a systematic way to monitor blocks of documents through the pipeline for processing.
ACPL uses the data to accomplish the following:
> Track all blocks received in the Cycle Control Unit in Files and allow Quality Review on all work performed on the blocks.
> Control incoming blocks.
> Research missing blocks.
> Track errors.
> Block proof re-inputs and overage blocks.
> Check cycle status.
> Generate reports.
4. How will each data item be verified for accuracy, timeliness, and completeness?
Data is received in a paper format and is compared with system data to ensure accuracy, completeness and timeliness. ACPL keeps the data current by receiving an extract from SCF0754 on a daily basis. Electronically Filed (ELF) 6142 data is received when ELF data is worked in the pipeline process.
5. Is there another source for the data? Explain how that source is or is not used.
ACPL does not collect data from sources other than IRS records.
6. Generally, how will data be retrieved by the user?
Data is retrievable by Batch Number, Cycle Number, Block Document Locator Number (DLN), ABC Code, SCCF Post Date, Master File Indicator, Block Received Date, Block Validation, Re-input Code, ERS Indicator, Original Document Count, G/E/R Document Count, Quality Review, Defect Code, Quality Review Code, or Remarks.
7. Is the data retrievable by a personal identifier such as name, SSN, or other unique identifier?
Data is retrievable by employee login name (validated by) a personal identifier.
Access to the Data
8. Who will have access to the data in the system (Users, Managers, System Administrators, Developers, Others)?
Production Users, Quality review, Managers, User Administrators.
9. How is access to the data by a user determined and by whom?
Access to the data is determined by the manager based on the user’s position and need-to-know. At manager’s request, user will be added. Form 5081, Information System User Registration/Change Request, must be completed to request access to the 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.
No. ACPL does not share data with any other system(s)/application(s).
11. Have the IRS systems described in Item 10 received an approved Security Certification and Privacy Impact Assessment?
None applicable as ACPL does not share data with any other system(s)/application(s).
12. Will other agencies provide, receive, or share data in any form with this system?
No. ACPL data is not shared with any other agency ( international, federal, state, local).
Administrative Controls of Data
13. What are the procedures for eliminating the data at the end of the retention period?
1. Manager/User Administrator will run a “Missing Block List and a “Missing Re-input List” report to identify missing records with prior year’s cycles or SCCF dates in ACPL’s active table.
2. If located, these records are validated using the “validation Screen” per normal processing. If not located, they will still be validated and the reason will be included in the “Remarks” area. This moves the data to the history table.
3. After all prior year data is validated, the System Administrator will purge he data for prior year from the history table. The procedures are documented in the annual maintenance for the Automated Cycle Proof Listing (ACPL) Program memorandum. The records are not subjected to an established record control procedure.
14. Will this system use technology in a new way? If "YES" describe. If "NO" go to Question 15.
No. ACPL does not use technologies in ways not previously employed by IRS.
15. Will this system be used to identify or locate individuals or groups? If so, describe the business purpose for this capability.
The system provides the capability to view, print, or monitor an employee’s production and quality. While the system has the capability to monitor individuals, only group monitoring for training purposes is allowed. National Treasury Employees Union (NTEU) would have to approve any monitoring of individuals.
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 system provides the capability to view, print, or monitor production and quality information for all users who were quality reviewed for the period requested. Access to ACPL is controlled by the System Administrator. Only at a manager’s request is a user added. Form 5081 must be completed to request access. The System Administrator determines to which group and menu the user will be given access. Unauthorized Access (UNAX) training is also provided to inform users of the statutory rules governing IRS’ policy on unauthorized access and inspection of taxpayer records by IRS employees. The operating system of the hardware on which ACPL is located provides audit trails as required by IRS.
17. Can use of the system allow IRS to treat taxpayers, employees, or others, differently? Explain.
ACPL automates a formerly manual process. There is no disparate treatment of taxpayers, employees, or others.
18. Does the system ensure "due process" by allowing affected parties to respond to any negative determination, prior to final action?
The ACPL application automates the quality review of existing manual processes and does not change the current “due process” rights of affected parties (i.e. employees).
19. If the system is web-based, does it use persistent cookies or other tracking devices to identify web visitors?
ACPL is not a web-based system.
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