Privacy Impact Assessment – Integrated Management Planning Information System (PERS –PCBPCC- PCE) OPIS
IMPIS System Overview:
OPIS consist of separate applications allowing the business units the capability to monitor and track the processing of returns, monitor resources using Office/Function/Program (OFP) codes; and, to develop work plans and schedules through Work Planning & Control (WP&C) reports by recording employee time. It also provides the means for determining program status, processing costs, issues arising from differences in actual and plan estimates, and overall success of IRS processing programs.
OPIS provides business units evaluative tools for managers to monitor current receipts patterns, production rates, inventories, and staff hour usage. Data reported in OPIS assist the business units in determining appropriate staffing levels and to establish the base for future resources and budget requests.
System of Records Number(s):
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. No taxpayer data
B. Employee. From PERS – ssn, hourly rates, work status, work hours.
C. Audit trail – used for all systems accessed by employees.
D. Other: Data collected from PCB, PCC, PCD – Production, Performance, Work Plan & Work Schedule, as well as return coding information such as type of return, complexity of return, assignment information, etc.
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 – per above.
B. Employee --The PERS data is obtained from the Totally Automated Personnel System and Single Entry Time Reporting System.
C. Employee – audit trail.
D. Other -- PCB data is obtained from System for Automated Workload Schedule (SAWS). PCC data is obtained from Batch Block Tracking System (BBTS) and PERS. Program Completion Date data is obtained from BBTS and Integrated Submission Remittance Processing System.
3. Is each data item required for the business purpose of the system? Explain.
Yes, to enable accurate reporting of work processes and controls.
4. How will each data item be verified for accuracy, timeliness, and completeness?
The process is wholly automated. Data is extracted, reviewed, and validated on a weekly based on specific selection factors. The data is then validated against previous weekly data as well as against the data from the systems where obtained. Also, the data is subject to a quality review process to ensure accuracy, timeliness, and completeness.
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?
Via Electronic Online-Output Network Systems (EONS), Control D, Web, and SQL Query.
7. Is the data retrievable by a personal identifier such as name, SSN, or other unique identifier?
No, data is not accessible by any personal identifier, only by report name or report number.
Access to the Data
8. Who will have access to the data in the system (Users, Managers, System Administrators, Developers, Others)?
Users, managers, system administrators, and developers; select PERS files with employee SSNs are restricted as directed by IRS policies.
9. How is access to the data by a user determined and by whom?
With exceptions to PERS SSN data, access is determined based on user access to systems where data is housed as allowed by management and via use of OL-5081 process.
Access to restricted data is determined based on job function and positions as it relates to employee data that is being accessed.
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.
The PERS data is obtained from TAPS and SETR.
PCB data is obtained from SAWS. PCC data is obtained from Batch Block Tracking System (BBTS) and PERS. Program Completed Date (PCD) data is obtained from BBTS and Integrated Submission Remittance Processing System.
11. Have the IRS systems described in Item 10 received an approved Security Certification and Privacy Impact Assessment?
Yes:
BBTS – Batch Block Tracking System (NSA130), PIA dated 4-10-2002. Recert not required—has no PII.
Control-D – PIA dated 7-27-2005.
EONS – Electronic Online-Output Network System (NSA064, NSA133). PIA dated 1-31-2005.
ISRPS – Integrated Submission and Return Processing System. PIA dated 9-1-2003. Recert not required—has no PII.
PCB – workload scheduler system. PIA not required—has no PII.
SAWS – System for Automating Work Schedules. PIA dated 8-24-2002. Recert not required—has no PII.
SETR – Single Entry Time Reporting System. Treasury system. PIA dated 4-5-2006.
All other systems mentioned belong to Treasury and/or do not use PII, therefore a PIA is not required to be performed by this office.
12. Will other agencies provide, receive, or share data in any form with this system?
No. OPIS is used only for work process reporting for IRS purposes only.
Administrative Controls of Data
13. What are the procedures for eliminating the data at the end of the retention period?
As defined by IRM 1.15.29 Records Management - Records Control Schedule for Service Center Operations. No data with personally identifiable information is retained after reports are created.
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.
OPIS provides business units evaluative tools to monitor staff hour usage. This process is used to determine future planning and scheduling periods.
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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