Privacy Impact Assessment – Submission Processing Measures Analysis and Reporting Tool
SMART System Overview:
The SMART database stores and calculates data related to Submission Processing Business Results Measures. The resulting data is used by analysts and executives to make business decisions for the submission processing centers.
System of Records Number(s):
Based on the PIA, there is not information retrieved by an individual identifier in the records or the audit trail. Therefore, you do not need a sorn notice.
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. None
B. None
C. None
D. Business Results Measures
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. Obtained from manual input, as well as information from EONS.
B. N/A
C. N/A
D. N/A
E. N/A
F. N/A
3. Is each data item required for the business purpose of the system? Explain.
The data input manually is a result of analysis of sampled cases.
4. How will each data item be verified for accuracy, timeliness, and completeness?
System doesn’t accept incomplete or untimely data. Accuracy is verified through reviews performed by the business.
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?
Any IRS employee with Intranet access can go to the SMART website and view data.
7. Is the data retrievable by a personal identifier such as name, SSN, or other unique identifier?
Data is not retrievable by any personal identifier; system does not contain individual taxpayer or employee data. Only verified through LAN security.
Access to the Data
8. Who will have access to the data in the system (Users, Managers, System Administrators, Developers, Others)?
All IRS employees with IRS Intranet access.
Balanced Measures Application Users - have appropriate access to process information that has been assigned to their office using domain level authentication.
Managers - have access to all Balanced Measures Application records via preprogrammed reports.
Systems Administrators - have access to data and audit trail records.
Developers – have access to all tables, source files, and stored procedures.
9. How is access to the data by a user determined and by whom?
A user’s position and “need-to-know” determine the type of access to the data, as determined by their manager. If an On-Line 5081 is submitted and approved by an employee’s manager, t he System Administrator grants approval for system access. A user’s access to the data is terminated when it is no longer required.
If you can get into your LAN account, you will be able to view data on SMART.
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.
EONS provides SMART with Refund Interest data, along with sampling statistics for Letter Error Rate.
11. Have the IRS systems described in Item 10 received an approved Security Certification and Privacy Impact Assessment?
EONS does not have a current Certification and Accreditation in the master inventory. Cert. expired 2/25/2005, and application will be retired 9/2006.
EONS does not have a PIA. It expired 4/4/2005.
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?
The procedures vary according to data type (i.e., records, backup sets, printouts, etc.). Procedures adhere to U.S. Department of the Treasury, “Records Disposition Management Program and the Removal of Papers,” December 27, 1995. Saved to storage on a server. Any data removed from the SMART database is stored on tape at the Austin MITS facility.
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.
17. Can use of the system allow IRS to treat taxpayers, employees, or others, differently? Explain. No.
18. Does the system ensure "due process" by allowing affected parties to respond to any negative determination, prior to final action? N/A.
19. If the system is web-based, does it use persistent cookies or other tracking devices to identify web visitors? No.
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