Privacy Impact Assessment – GRB Assist
GRB Assist System Overview:
Assist is a software application used by Benefits Specialists to perform retirement annuity calculations, high-three salary computations, complete benefits forms like the Certified Summary of Federal Service and return this data to employees via hardcopy or secured e-mail. The software is used to assist in the processing of retirement and estimate cases. As necessary to carry out the personnel laws, the data is sent to the Office of Personnel Management, Office of Federal Employees Group Life Insurance and the National Finance Center to adjudicate cases. This system is needed to meet Service goals for reshaping the workforce by assisting with the timely processing of retirements and estimates for those employees with a buyout offer, meeting measures for retirement and estimate case processing, to provided IRS Benefits and Services Team employees with the tools necessary to accomplish their job, and to find automated solutions to problems.
System of Records Number(s):
Treasury/IRS 36.003 General Personnel and Payroll Records
Treasury/IRS 36.009 Retirement, Life Insurance and Health Benefits 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- this system does not have any taxpayer data
B. Employee
Last Name, First Name, MI
o SSN
o DOB
o Spouse’s DOB
o Dependent Children
o Retirement Coverage
o Annual Pay
o Annual Leave Balance
o Sick Leave Balance
o FEGLI Code
o FEHB Plan
o Retirement SCD
o LEO/FF/ATC SCD
o FERS Transferee
o Total CSRS Service in Retirement SCD
o Total CSRS LEO/FF/ATC Service in LEO/FF/ATC SCD
o Unused Sick Leave at Date of Transfer
o Total Unpaid CSRS Deposit Service After 09/30/1982
o Total Unpaid CSRS Redeposit Service After 09/30/1990
o Retired Military
o Total Active Duty Military Service Included in Retirement SCD
o Total Unpaid Post-1956 CSRS Military Service Included in Retirement SCD
o Total FERS Military Service Included in Retirement SCD
o Total CSRS Congressional Service
o Total FERS Congressional Service
o Post-1986 Special Service Abroad
o Performed Part-Time CSRS Service After 04/06/1986
o Performed Title 38 Part-Time CSRS Service
o Performed Part-Time FERS Service
o Total CSRS Service Prior to 04/07/1986
o Salary data/periods
o Social Security Covered Earnings
o FERS Covered Earnings
2. Describe/identify which data elements are obtained from files, databases, individuals, or any other sources.
A. IRS – most, see chart below
B. Taxpayer – none, not included in chart below
C. Employee – many, see chart below
D. Other Federal Agencies (List agency) – rare, see chart below
E. State and Local Agencies (List agency) – none, not included in chart below
F. Other third party sources (Describe) – rare, see chart below
Primary Source listed without parenthesis. Secondary/Verification sources listed within.
DATA ELEMENT A (IRS) C (Emp.) D (Fed) F (3rd P)
SSN 1 (47)
DOB 1 (47)
Spouse’s DOB 52
Dependent Children 52
Retirement Coverage 1 (3) 49
Annual Pay 1 (3) 49
Annual Leave Balance 1
Sick Leave Balance 1
FEGLI Code 1 (38)
FEHB Plan 1
Retirement SCD 1 (3) 49
LEO/FF/ATC SCD 1 (3) 49
FERS Transferee 28
Total CSRS Service in Retirement SCD 1 (3) 49
Total CSRS LEO/FF/ATC Service in LEO/FF/ATC SCD 1 (3) 49
Unused Sick Leave at Date of Transfer 3 48 (49)
Total Unpaid CSRS Deposit Service After 09/30/1982 3 48 (49)
Total Unpaid CSRS Redeposit Service After 09/30/1990 3 48 (49)
Retired Military 47 (50)
Total Active Duty Military Service Included in Retirement SCD 50
Total Unpaid Post-1956 CSRS Military Service Included in Retirement SCD 50
Total FERS Military Service Included in Retirement SCD 50
Total CSRS Congressional Service 49
Total FERS Congressional Service 49
Post-1986 Special Service Abroad 49
Performed Part-Time CSRS Service After 04/06/1986 3 49
Performed Title 38 Part-Time CSRS Service 3 49
Performed Part-Time FERS Service 3 49
Total CSRS Service Prior to 04/07/1986 3 49
Salary data/periods 1 (3) (49)
Social Security Covered Earnings 51
FERS Covered Earnings 51
SOURCES
A. IRS
1. Treasury Integrated Information Management System (TIMIS)
2. HR Connect
3. SF-50 filed in Official Personnel File (OPF)
B. Taxpayer
C. Employee
4. RI 20-97 - Estimated Earnings During Military Service
5. RI 38-128 - Sign-up for Direct Deposit
6. SF 144 - Statement of Prior Federal Service
7. SF-2800 - Application for Death Benefits (Civil Service Retirement System)
8. SF-2800A - Documentation and Elections in Support of Application for Death Benefits When Deceased Was an Employee at the Time of Death
9. SF2801 Schedules A,B,C - A- Military Service Information, B- Military Retired Pay, C- Federal Employees Compensation Information
10. SF2801 - Application for Immediate Retirement CSRS
11. SF2801-1 - Certified Summary of Federal Service
12. SF2801 Schedule D - Agency Check List of Immediate Retirement Procedures
13. SF2801-3 - Election of Former Spouse Survivor Annuity or Combination Current/Former Spouse Annuity
14. SF2801-2 - Spouses Consent to Survivor Election
15. SF2802B - Current/Former Spouse's Notification of Application for Refund of Retirement Deductions Under CSRS
16. SF2802 - Application for Refund of Retirement Deductions
17. SF2808 - Designation of Beneficiary
18. (CSRS) SF2803 - Application to Make A Deposit or Redeposit CSRS
19. SF3106 - Refund Application SF3102 - Designation of Beneficiary (FERS)
20. SF3104 - Application for Death Benefit (FERS)
21. SF3104B - Documentation and Elections in Support of Application for Death Benefits when Deceased was an Employee at the Time of Death (FERS)
22. SF3107 Schedules A,B,C - A- Military Service Information, B- Military Retired Pay, C- Federal Employees Compensation Information
23. SF3107 - Application for Immediate Retirement FERS
24. SF3107-1 - Certified Summary of Federal Service
25. SF3107 Schedule D - Agency Check List of Immediate Retirement Procedures
26. SF3107-2 - Spouses Consent to Survivor Election
27. SF3108 - Application to Make Service Credit Payment for Civilian Service FERS
28. SF3109 - Election Coverage, Federal Employee Retirement System
29. SF3112A - Applicant's Statement of Disability
30. SF3112B - Supervisor's Statement
31. SF3112C - Physician's Statement
32. SF3112D - Agency Certification of Reassignment and Accommodation Efforts
33. SF3112E - Disability Retirement Application Checklist
34. OPM1510 - Certification of Agency Officer of Position and Required Documentation for Discontinued Service Retirement Under CSRS or FERS
35. OPM1514 - Military Deposit Worksheet
36. OPM1515 - Military Service Deposit Election
37. W-4P - Federal Withholding Certificate for Pension or Annuity Payments
38. SF2817 - FEGLI Life Insurance Election
39. SF2818 - Continuation of Life Insurance Coverage
40. SF2819 - Notice of Conversion Privilege, Federal Employee's Group Life Insurance Program
41. SF2818 - Continuation of Life Insurance Coverage as an Annuitant or Compensationer
42. SF2821 - Agency Certification of Insurance Status
43. SF2823 - Life Insurance Designation of Beneficiary
44. SF2809 - Health Benefits Elections Form
45. SF2809 TCC Addendum SF-2810 - Notice of Change in Health Benefits Enrollment
46. TSP1-C - Election Form TSP1 - Election Form /Data/telephone
47. OF-306 – Declaration of Federal Employment
D. Other Federal Agencies (List agency)
48. Office of Personnel Management (OPM)
49. Agency previously worked (SF-50)
50. Military branch (DD2-14)
51. Social Security Administration (Earnings Statement)
E. State and Local Agencies (List agency)
F. Other third party sources (Describe)
52. Employee’s survivors (Death cases) (Phone and SF-2800)
3. Is each data item required for the business purpose of the system? Explain.
Yes. All the data elements used are required for the computing annuities, preparing cases, computing high-three salary computations, etc. – and are necessary to complete assigned work.
4. How will each data item be verified for accuracy, timeliness, and completeness?
1. The software has ability to detect erroneous input in computations.
2. All work is subject to quality review.
3. Versus OPF Data / Forms (listed under #2, Sources, Employee (Section C)
4. Employee can review upon receipt (of retirement estimate) and submit issues for redress through the IRS Employee Resource Center, by requesting a ticket.
5. Is there another source for the data? Explain how that source is or is not used.
No. Much of the data is from employee input via the retirement package or ERC ticketing process and cannot be obtained from other sources than those listed.
6. Generally, how will data be retrieved by the user?
The user must have access to Assist software (5081 controlled) and have access to Secured IRS LAN/NERD shares where the data is stored in encrypted database format. The data currently resides on local GSS-administered Secured LAN Shares in Andover, Austin, Cincinnati, Washington-DC and Ogden; and on a Secured NERD Share server in Austin. Access is via IRS desktop computer.
7. Is the data retrievable by a personal identifier such as name, SSN, or other unique identifier?
Yes, by SSN or name.
Access to the Data
8. Who will have access to the data in the system (Users, Managers, System Administrators, Developers, Others)?
IRS Benefits and Services Team (BeST) employees assigned the case to include managers, analysts, leads, specialists, and assistants. IRS System Administrators with permission sets to the folder where the data is stored.
9. How is access to the data by a user determined and by whom?
The user must have the Assist software, managerial approval (5081), and administrator approval (5081) and be an employee of the (BeST) unless exempted by Chief, BeST (IRS Employee) or Associate Director, Centralized Activities Division. Contractors and Vendors must receive approval from the National Background Investigation Center and have a successfully adjudicated background check to include Law, Tax and Credit checks.
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. TIMIS is a US Treasury system and HR Connect does have the proper clearances
11. Have the IRS systems described in Item 10 received an approved Security Certification and Privacy Impact Assessment? n/a
12. Will other agencies provide, receive, or share data in any form with this system?
Yes, from TIMIS via reports created by FOCUS reports (rare) but more typically by hand transcription of data sources mentioned in #2, above. Data will be provided to the Office of Personnel Management, Office of Federal Employees Group Life Insurance, and the USDA National Finance Center or any other Federal agency falling under the authority of SOR 36.003, 36.009, and 34.037.
Administrative Controls of Data
13. What are the procedures for eliminating the data at the end of the retention period?
There are ways to recover part or all of a file that is deleted conventionally. To prevent such recovery, the disk space used by the database information to be deleted must be securely overwritten with other data. BeST uses the Secure Delete function of F-Secure, a part of the F-Protect Above-Line COE Approved software to destroy confidential data by overwriting the disk space the data reserved.
The live database used by the specialist is purged of any case that is older than 12 months in which the employee has retired. This was an internal decision by BeST to maintain the access speed of the live database. Databases are routinely backed up from the secured LAN shares to the NERD share for purposes of disaster recovery or for research.
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.
The system must be able to identify individuals in order to process their benefits. The application, however, does not locate or monitor employees.
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, each employee is entitled to the same treatment for benefits.
18. Does the system ensure "due process" by allowing affected parties to respond to any negative determination, prior to final action?
“Negative determinations” are not made by this system, which is a calculator.
19. If the system is web-based, does it use persistent cookies or other tracking devices to identify web visitors? N/a
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