Privacy Impact Assessment – Incentive Pay System
IPS System Overview
The IPS rewards all data entry operators who have demonstrated an above average rate of production and superior quality. Production statistics based on keystrokes, documents and terminal time are computer generated for each data entry operator. An employee is measured against the pre-established targets for each program worked to determine the amount of incentive pay award for quantity. The employee must meet or exceed target requirements to earn incentive pay.
System of Records Number(s):
Treasury/IRS 36.003 - General Personnel Records
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). N/A.
B). YES. The data elements stored are for a Data Entry Operator’s profile and work performance statistics. These elements are the Data Entry Operator’s:
Social Security Number, Name, Organization Code, System Number, General Schedule Grade, Award Points Earned, Tolerance Amount, Amount Earned for Quantity Work Performed, Type of Work Performed, Time Utilized to Complete Work Assigned.
C). N/A.
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. Submission Processing management provides a list of employee to be included or added to the Incentive Pay Database System. This information is generated by Personnel. The Employee’s Name, SSN, Grade and Organization Code are included Operator Number are assigned once the operator is added to the database.
B. N/A
C. The Employee’s personnel file is where this information is extracted.
D. N/A.
E. N/A.
F. N/A.
3. Is each data item required for the business purpose of the system? Explain.
Yes. The data is directly linked to an employee being paid or not paid an incentive award payment,
4. How will each data item be verified for accuracy, timeliness, and completeness?
The data is verified using the Operator Report (IPS0848), Quality Review Report (IPS2040), Operator No-Match Report (IPS1040), Operator Summary Report (IPS4040), Analysis by Job Report (IPS4044), and the Preliminary Payout Report (IPS5040). Any updates or adjustment to data processed starting from the loading of stats, associating of standards to stats, calculating and generating payouts can be made by use of Incentive Pay Command Code direct input to the database. Reports are reviewed by coordinators, management and Employees any disputes are worked out and applied as need be. Files are cycled and the database is back-up, at each step of processing, to maintain version control for reruns of any report group to allow for correction. Employee disputes are worked out with the coordinator and management or the union if necessary.
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?
By batch processing, report form and online database inquiry.
7. Is the data retrievable by a personal identifier such as name, SSN, or other unique identifier?
Yes. The data is retrieved by Name, SSN Operator Number and Program Identifier.
Access to the Data
8. Who will have access to the data in the system (Users, Managers, System Administrators, Developers, Others)?
IPS Coordinators at each of the Submission Processing sites are the main and direct controller of this processing. They submit a request to the Enterprise Computing Center to initiate the run needed at that point of their monthly or bi-weekly processing. An authorized 5081 is required to process any of this data. The coordinator rollup monthly (or bi-weekly) and accumulative reports for local management and National Office for review and budget purposes. Unisys technical personnel are responsible for setting up these requests and assuring it completeness. The Incentive Pay System is based on the Unisys main frame, and is a Tier One system. Development and issue resolution is controlled by the RIS and ITAMS System, associated with the customer needs and resource availability. Development is the responsibility of the MITS organization.
9. How is access to the data by a user determined and by whom?
Submission Processing Site Management are responsible for access authorization for its local IPS coordinators to use the product associated with online and report generation from this system by mean of the 5081 process. Each site controls its processing separately from the others.
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.
Integrated Submission Remittal Processing (ISRP) provides the Operator data entry stats. Operator number, program work identifier and amount of work done.
Production Control Accounting (PCA) provides production quality and quantity review information for the employee from form 3081 and 3926. The operator’s Name and SSN and volume work information is shared. Access to this system is attained through the IDRS System, a part of the Unisys system, requiring 5081 authorization.
11. Have the IRS systems described in Item 10 received an approved Security Certification and Privacy Impact Assessment?
ISRP is certified. The PCA is a part of the IDRS system and does not run independent of IDRS.
12. Will other agencies provide, receive, or share data in any form with this system?
The National Finance Center receives an output file used to process the incentive pay award payments. Elements associated with this file are: Agency Identifier, Submitting Office Code, Operator’s SSN, Award Amount, Accounting Code Center Identifier.
Administrative Controls of Data
13. What are the procedures for eliminating the data at the end of the retention period?
The data for this system is stored on its database, flat files and reports. The data base holds its contents until the data entry operator is no longer a member of the incentive pay process. The local coordinator will use the IPS command code to remove this entry from the database. The flat files are held for thirty days and then are reused by the Unisys System. The reports are under the control of each local coordinator and are shredded when their usefulness has been served. IPS’s IRM MT 3(30)00-130
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.
Yes, the need to identify who has reached the level of production to received an incentive pay award and to minimize possible abuse of the system.
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.
Yes, to set target for payout award and to set budget planning for the next year. The system generates several reports to monitor or set these targets and identify employee who met and/or exceed set levels of productions. The business purpose of this process is the saving to the Service by the reductions of the work load through the increased production associated with the added incentive possibilities.
17. Can use of the system allow IRS to treat taxpayers, employees, or others, differently? Explain.
Yes. The data gathered allows the IPS to generate incentive award payments to only qualifying data entry operators grades 4 and below within the submission processing center, to encourage higher production volume.
18. Does the system ensure "due process" by allowing affected parties to respond to any negative determination, prior to final action?
Each Submission Processing site consist of a management and a union type with in each Incentive Pay coordinator. Each employee is able to reviews results of each payout cycle and can dispute any discrepancies.
19. If the system is web-based, does it use persistent cookies or other tracking devices to identify web visitors?
N/A. Not a web-based system. The IPS system is run on the Unisys mainframe, a tier 1 platform.
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