- 22.30.1.3 Volunteer Programs: Security, Equipment, and Software
- 22.30.1.4 Volunteer Programs Overview
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If the equipment is loaned to a partner representative and will be reassigned to another partner representative, the initial representative may complete the Form 13632 (alternate contact recipient information section) and provide the updated information to the local SPEC territory office. Territory offices are to update STARS to reflect the change in responsible contact if a loan agreement is received with alternate contact information and signature completed.
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The partner may reassign equipment to other individuals but elect to maintain control centrally. In this event, the PLA alternate contact information will not be updated and provided to SPEC. The partner (recipient) will be responsible for maintaining control over the equipment. He/she may use the Form 13632 or other method for controlling the actual locations of the equipment. This section is not intended to require all equipment loaned be assigned to a specific volunteer at a site because equipment may be used by multiple volunteers to achieve maximum utilization. The partner representative responsible for equipment for the partner can continue to centrally control the equipment. An updated copy of the agreement should be provided to IRS within 30 days of the reassignment for association with the original document if it is the intent to change the responsible individual.
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The territory office is responsible for ensuring the inventory system accurately reflects the receipt of the loan agreement, as well as, the return of equipment.
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If the equipment is loaned for the filing season only, this same document will be used to acknowledge return of the equipment. The receiving IRS employee will sign and date in the location indicated when a piece of equipment is returned, if requested by the volunteer. A copy of the document will be provided to the recipient of equipment for their records if requested. The original document will be moved to an inactive file for one year once all equipment covered is returned.
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The territory office is responsible for ensuring the inventory system accurately reflects the loan of equipment as well as the return of equipment.
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While equipment is with the partner Form 13632 should remain in an active file along with Form 13705, if applicable. Once all equipment listed is returned or a new loan agreement is signed, the old agreement (and related property certification and data deletion documents) should be filed in an inactive file, and may be purged one year after the agreement ended. The Depot will maintain all active PLAs, and SPEC Territories will maintain a copy as well. SPEC Territories are responsible for ensuring the PLAs are received by the Depot.
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The territory office is responsible for ensuring STARS accurately reflects the receipt of a loan agreement, as well as, the return of equipment.
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With the implementation of the Depot, computers are returned annually for the update of software after they are no longer being used to support filing season. Because most partners cease operations around April 15th, the majority of computers will be returned to the Depot during the months of May and June. Prior to the return of the computers, the data must be deleted. IRS computers include a "wipe disk" program that removes the software and all data from the computer. SPEC employees or the partner may complete this action based on local agreement.
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Computers in use after April 15th will be closely monitored to ensure the data is removed once the site ceases operation.
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Because the Depot will perform a 100% review of returned computers, a separate certification of data deletion is not required when the equipment is returned to the Depot.
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In extremely rare circumstances, SPEC may allow a computer to remain in the field after November 1st. If a decision is made to allow this and concurred to by SPEC headquarters, Form 13705, Data Deletion Certification, must be signed by the partner to show data is deleted from the computer by November 1st.
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The territory office is responsible for ensuring the inventory system accurately reflects the receipt of the property and data deletion certification when computers are maintained beyond November 1st.
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Beginning in 2007, SPEC requires that a PLA be secured annually after July 1 for printers. The property and data deletion certification became almost obsolete with the annual PLA replacing the annual property certification portion of the form. Therefore, Form 13705 was renamed to be the Data Deletion Certification. It will only be used to document deletion of data from computers allowed to remain in the field more than one season and will be due by November 1st each year. No computers may remain in the field more than one season. All must be returned as soon as site activities cease but not later than November 1st.
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Completion of the Form 13705 must be done manually as STARS does not provide this functionality. The signed form must be retained in the territory one year. The territory office is responsible for ensuring the inventory system accurately reflects the data deletion certification.
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To complete the document follow these instructions:
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Complete the contact information section and equipment section listing the equipment our records indicate is in the partner’s or volunteer’s possession.
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Provide the document to the partner/volunteer by March 31st if equipment is not expected back at the end of the filing season.
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Along with the document, provide the instructions for deleting taxpayer information from the equipment.
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If equipment has been reassigned within the same organization, the partner should update the actual location of the equipment by completing the alternate contact information section.
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Certification by the alternate that the required actions have been completed should be made in the signature box.
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Appropriate follow up action with the partner at the end of the filing season to resolve any questions they may have on the process and to ensure they will meet the May 31st deadline is needed.
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The document should be returned to the IRS SPEC territory office with the appropriate signature to meet the May 31st deadline.
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If the alternate contact information section is completed upon receipt, the corresponding change should be recorded in STARS.
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The Information Technology Asset Management System (ITAMS) is the authoritative asset inventory control system for the Internal Revenue Service. MITS (Modernization and Information Technology Services) employees maintain the ITAMS. All equipment loaned to VITA and TCE program participants must be on ITAMS. MITS is responsible for insuring they are present .All VITA/TCE assets are shown on ITAMS in a special SPIF (Single Point Inventory Function) code and building code. The SPIF code is 9080 and the building code is NY0376SP. Assets physically at the Depot will show an assignment of "in stock" and those currently in SPEC (in the territory or with a partner) will show assignment "in use"
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SPEC assists MITS in maintaining effective controls over VITA/TCE equipment through the daily use of STARS and through annual inventory certification efforts. SPEC certification actions begin in July. Certification ends in June. Territory responses are staggered. Area offices will notify each territory of their final response date for inventory certification.
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Each year the Government Accountability Office (GAO) reviews the IRS asset control system to ensure it accurately reflects the assets (including computers and printers) under IRS control and where these assets are located. SPEC supports these efforts by ensuring STARS controls over the equipment used in VITA/TCE properly reflect the location of the asset. The GAO review period generally occurs in late July or early August following the end of the MITS asset inventory cycle (July 1 – June 30).
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It is critical that SPEC provide accurate information to EUES to facilitate the completion of the certification and to ensure the accuracy of controls over the equipment we loan. SPEC does physical inventory certification for those assets that they distribute and/or store. Most of these are printers but since some laptops are sent to the territories and then distributed to a partner, physical certification can also include computers. Each time a computer or printer is handled it is counted as a physical touch. Territories should ensure documentation in STARS is accurate. At least one "physical touch" is required between July and June for the certification.
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Self-certification documentation for SPEC includes two steps:
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certifying the basic equipment information (type, barcode and serial number)
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certifying the STARS information is accurate for each record.
It generally applies to laptops shipped from the Depot. Partners certify the basic equipment information through use of the Form 13632, Property Loan Agreement. By signing the forms partners are self-certifying that the document reflects the correct information relative to the equipment received. Partners are not able to certify to the accuracy of the STARS control, so the territory does this through their review efforts. Territories review STARS and the paper documentation to provide certification documentation for the Depot. Documentation must be dated between July and June of the current year for the certification.
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SPEC and the Depot are committed to find the best process to accomplish the tasks associated with inventory certification. Therefore, the process is still fluid. Guidance on the certification and on the documentation needed by the Depot will be provided annually to the Areas for dissemination to territory offices.
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The review covers only a sample of Category A assets on ITAMS. Category A assets are all computers (laptops and desktops) and some high-end printers. The sample is selected from the ITAMS (Information Technology Asset Management System) and MITS is required to produce the asset. For assets not in government space, GAO will either visit the location or require that a "picture" of the asset be provided showing the asset, barcode and serial number. GAO determines which method will be used.
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SPEC is committed to support MITS in this GAO review. If an asset in SPEC is selected, notification will be sent simultaneously to the area and territory about the need to locate an asset. SPEC will make the partner contact and will accompany GAO on the review if they choose to visit a partner and/or facilitate securing the information required (pictures).
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While the PLA provides safeguarding information for loaned equipment, there is always a chance the equipment can be stolen. To ensure proper reporting of stolen equipment (both printers and computers), the steps listed below should be taken by the Relationship Manager (RM), as soon as possible, and finalized within 10 business days of receiving notice of the theft. Many can be accomplished concurrently.
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Obtain as much information as possible about the stolen equipment and the theft from the initial contact with the VITA/TCE program participant. Document when and how notification of the theft is received by IRS. Refer to IRM 22.30.1.3.2.4.12 Documenting Stolen Equipment for the questions that should be answered. Answering all of these questions will take time. Do not delay reporting the theft to obtain all the information. Report what is readily available to all parties mentioned in steps a through f below within one hour of receiving notification.
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Immediately notify local territory manager.
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Report the theft within one hour of notification using the Computer Security Incident Reporting Form via e-mail at csirc@csirc.irs.gov, or by phone at 866-216-4809, if the partner has not already done so. Reporting can be done 24/7. Provide updated information as it is received. Record the incident report number from Computer Security Incident Response Capability (CSIRC) office on the Form 13747, Checklist for Stolen/Lost Equipment.
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Immediately following the report to the CSIRC, contact TIGTA (Treasury Inspector General for Tax Administration), Office of Investigations. Contact may be made with the local TIGTA office or through their toll-free number (800-366-4484).
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Immediately following the report to the TIGTA, prepare an e-mail to report the theft to SPEC management and to the CARE management. See the list below of offices that should be contacted. Follow the e-mail with a VMS message to this same group of individuals. Include the IRS barcode number, serial number, make and model of equipment, and a general description of what occurred. Send the communications to all of the following: Director, CARE; Chief, CARE Program Management; Director, SPEC; Director, SPEC Field Operations; Director, Area Office (select based on area reporting incident); Chief, Oversight and Analysis
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Immediately following the report to SPEC and CARE management, prepare an e-mail to notify the parties listed below of the theft through the manager. Include the IRS barcode number, serial number, make and model of equipment and a general description of what occurred. Send notification to both the VITA/TCE Depot and Disclosure. The Depot is responsible for inventory management of all equipment, both printers and computers, on the Information Technology Asset Management System (ITAMS). The local Disclosure contact listings are available from the intranet website http://sbse.web.irs.gov/cl2/gld/contacts/Area%20map.htm
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If the theft was of a computer and return information was present, discuss with partners the need to provide notification to impacted taxpayers. The decision to provide/not provide notification is the partners; however, Publication 4299 provides guidelines for assessing risk of identity theft. If it is determined notification is necessary, the notification will be from the partner.
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A thorough information gathering process is required to document the facts presented by the program participant, along with the relationship manager’s assessment of the facts. To assist in obtaining all information, the following information should be gathered. They are not all inclusive and employees are encouraged to probe when necessary based on the circumstances of the incident they are documenting.
Documenting Stolen Equipment 1) What IRS equipment was stolen? Record barcode, serial number, manufacturer and model. 2) Was anything else stolen? Report whether the theft involved other property. 3) Was this the first time IRS equipment was stolen at this location? Note: If equipment has been stolen more than once, the concurrence of the Area Director and SPEC Director, Field Operations is required to continue to loan equipment. 4) When did the theft occur? If applicable, probe to determine why time lapsed between the theft and the reporting to IRS. The conditions set in the PLA require they report to the IRS within 48 hours. 5) When was it reported to the local police or federal police? Request a copy of the local police report or federal police report (one must be done) depending on the location from which the equipment was stolen. Once received, a copy of the report should be sent to the Depot. This is needed for the disposal of the asset on ITAMS. A copy should also be included in the documentation package. Although the report may not be readily available when the initial information is obtained, the report should be reviewed to determine if the facts as reported to the relationship manager concur with the facts as reported to the authorities. Comment on any discrepancies in the documentation package. 6) Who was responsible for the equipment? Include a copy of the PLA as an attachment to the assessment memorandum if the equipment was on loan at the time of theft. 7) Where was the IRS equipment when it was stolen? Obtain the physical address of the equipment along with its actual location within the address. This could be a residence, a business, community center, library, or parking lot. Probing questions should include whether it was in a locked cabinet, locked room, limited access location, out on a desk or table, in a closet, trunk of car, back seat of vehicle, personal residence, within sight of windows or doors, or stored in the computer bag. 8) Were passwords required to access information on the computer? For equipment shipped to program participants after August 21, 2006, a password is set at the whole disk encryption level and at the operating system level by the Depot when distributed. Program participants are to set the passwords on the TaxWise® software upon installing. 9) Were the assigned passwords compromised, such as written down and attached to the computer or placed in the bag with the computer? 10) What other security measures were in place to protect the equipment? Probing should expand on the information provided. For instance, if they reported that it was in a locked cabinet, find out how many people had keys and where they were kept. 11) What data was present on the computer? If data is present, determine how many current year taxpayer information records may be present. Probe to determine if any prior year data was reloaded to the computer for use in current year return preparation. Returns prepared in TaxWise® are encrypted by this software. However, some risk exists when prior year returns are reloaded and made available for current year preparation. 12) If data was present, was it encrypted? For laptops shipped from the Depot after August 21, 2006, the whole disk encryption product is loaded and will protect the entire hard drive. If the computer was in use prior to this date, determine whether prior year data was made available for current year return preparation. Query as to whether the partner added additional encryption or security features. Note: For purposes of responding to the CSIRC question about whether Sensitive but Unclassified (SBU) or Personally Identifiable Information (PII) was present, respond yes if any return data is present. This data is PII and is not SBU data as defined by Internal Revenue Code (IRC) Section 6103. 13) Were there any paper documents or disks (flash drives, floppies or CDs) in the computer or in the computer bag? If applicable, what information was present? Was it encrypted? For backups done within TaxWise® for transferring the information to the transmitting computer, the TaxWise® software encrypts the files. Other copies of information may not be encrypted. 14) If taxpayer information was present, does the partner have any plans for notifying the individuals whose information was compromised? Explain the risks of identity theft and encourage them to provide notification to the individuals. The notification should come from the partner. 15) Prepare a documentation package to include a memorandum reporting the incident from the territory manager through the Area Director to the SPEC Director, Field Operations. This package should be completed within 10 business days of the date the incident was reported. If all the documentation cannot be obtained within 10 business days, an interim documentation package should be provided to include the information available with a date of when the final package will be completed. 16) The memorandum should include the answers to the questions obtained in the Information Gathering Process; and address all items on the Form 13747. 17) The package should include any required attachments (e.g., PLA and police report) and Form 13747. 18) Form 13747 should be completed to ensure all actions have been taken and documentation included in the package. Comments on this form should be minimal. Expanded explanations should be in the memorandum or in an attachment to the memorandum. 19) Maintain a copy of the package with equipment records in the local territory. 20) Update STARS to reflect the theft of the equipment. 21) The area office should review the interim or completed documentation package for compliance to these instructions and forward to SPEC headquarters within two business days. Comments are required by the Area to show agreement with the territory recommendation to continue/discontinue loan of equipment. If the partner has successive thefts in two or more years, the concurrence of both the Area Director and Director, Field Operations is required if we continue to loan equipment. 22) Upon receipt in headquarters, the package is reviewed for completeness and it is shared with Chief, Oversight and Analysis, and with Director, Field Operations. The documentation package is copied and mailed to the VITA/TCE Depot. 23) Information about the theft is recorded in a spreadsheet in the Oversight and Analysis group with key information summarized. Information is reviewed for briefings, responses to Business Systems Security Office (BSSO), and Mission Assurance as requested.
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SPEC employees are responsible for maintaining effective controls on equipment loaned to volunteers/partners in support of electronic filing. However, in rare circumstances a piece of equipment may go missing while in stock in IRS space.
Note:
Equipment missing under partner/volunteer control should always be treated as a theft, and all instructions followed for stolen equipment.
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If a territory identifies an asset as unable to locate, follow the steps in the table below:
Reporting Lost Equipment 1) Territory will e-mail the area office to request an extract showing all STARS and ITAMS information. The request should be made within one business day of determining the asset cannot be located. 2) The area office will request the information from Tax Processing Operations Support (TPOS) on ITAMS and from SPEC headquarters on STARS. This information may assist in locating the equipment before completing the documentation. This information will be requested within one business day of receiving the request. 3) If these extracts provide no help in locating the asset, the territory will prepare documentation on each asset using the Lost Equipment form included with the certification procedures. Be sure to sign each form and to provide a contact name in the event a question arises. 4) After completing all actions indicated on this form, the territory will provide notification of the lost asset using the Computer Security Incident Reporting Form via e-mail at csirc@csirc.irs.gov or by phone at 866-216-4809. Reporting can be done 24/7. Provide updated information as it is received. Record the incident report number from CSIRC on the Form 13747. 5) Immediately following the report to the CSIRC, the territory office will contact TIGTA , Office of Investigations. Contact may be made with the local TIGTA office or through their toll-free number (800-366-4484). 6) Immediately following the report to the TIGTA, the territory office will prepare an e-mail to report of the lost equipment to SPEC management and to CARE management. Follow the e-mail with a VMS message to this same group of individuals. Include the IRS barcode number, serial number, make and model of equipment and a explain that you are completing inventory certification and that a piece of equipment is believed to be lost. Send the communications to all of the following: -
Director, CARE
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Chief, CARE Program Management
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Director, SPEC
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Director, SPEC Field Operations
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Director, Area Office (select based on Area reporting incident)
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Oversight and Analysis, SPEC Field Operations.
7) Immediately following the report to SPEC and CARE management, the territory office will prepare an e-mail to notify the parties listed below of the lost equipment through the manager. Include the IRS barcode number, serial number, make and model of equipment and a general description of why the determination is made. Send notification to both of the following: -
VITA/TCE Depot – The Depot is responsible for inventory management of all equipment, both printers and computers, on ITAMS (Information Technology Asset Management System).
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Disclosure – Local Disclosure Contact listings are available from the intranet website http://sbse.web.irs.gov/cl2/gld/contacts/Area%20map.htm.
8) The territory office will maintain a copy of all documentation and notification to document the lost equipment as described in the following IRM section. -
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Thoroughness is required to document the facts surrounding the lost equipment. Some of this information will be recorded on the Form 13747 and Lost Equipment form provided with the certification instructions. The remaining information should be included on a separate page and attached to the forms. Following are suggested items to be covered. This is not all inclusive.
Documenting Lost Equipment What IRS equipment is lost? Record barcode, serial number, manufacturer and model. Where was the equipment when it was last seen? Include the IRS office address where the equipment was stored. Provide specific information about room and how stored, e.g., cabinet, room, etc. What type of security is afforded this location? Is the building limited access? Is everyone entering/exiting subjected to any checks? Are property cards reviewed for equipment upon entering/exiting? Is anything else missing? Report whether other property is missing. Is this the first time IRS equipment went missing from this location? When did the territory first identify equipment might be lost? Who was responsible for the equipment? Were passwords required to access information on the computer? For equipment shipped to program participants after August 21, 2006, a password is set at the whole disk encryption level and at the operating system level by the Depot when distributed. Program participants are to set the passwords on the TaxWise® software upon installing. Were the assigned passwords compromised, such as written down and attached to the computer or placed in the bag with the computer? What security measures were in place to protect the equipment? Include items such as the number of people having keys or access to the controlled space. Was data present on the computer? If data is present, determine what information was present. If data was present, was it encrypted? For laptops shipped from the Depot after August 21, 2006, the whole disk encryption product is loaded and will protect the entire hard drive. Note:
For purposes of responding to the CSIRC question about whether Sensitive But Unclassified (SBU) or Personally Identifiable Information (PII) was present, respond yes if any return data is present. This data is only PII and is not SBU data as defined by Internal Revenue Code (IRC) Section 6103.
Were there any paper documents or disks (flash drives, floppies or CDs) in the computer or in the computer bag? Prepare a documentation package to include the Lost Equipment form from the territory manager through the area director to the SPEC Director, Field Operations. This package should be completed within 10 business days of the date the incident was reported. If all the documentation cannot be obtained within 10 business days, an interim documentation package should be provided to include the information available with a date of when the final package will be completed. Update STARS to reflect the loss of the equipment. The area office should review the interim or completed documentation package for compliance to these instructions and forward to SPEC headquarters within two business days. Comments are required by the area office to show whether the territory’s storage of equipment procedures are adequate. If not, what plans are being made to resolve. Upon receipt in headquarters, the package is reviewed for completeness and it is shared with Chief, Oversight and Analysis, and with Director, Field Operations. The documentation package is copied and mailed to the VITA/TCE Depot. Information about the loss is recorded in a spreadsheet in the Oversight and Analysis group with key information summarized. Information is reviewed for briefings, responses to BSSO, and Mission Assurance as requested.
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In rare circumstances a piece of equipment reported as stolen or missing may be found. In these instances, the relationship manager (RM) should:
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Prepare a memorandum from the territory manager to the Manager, VITA/TCE Depot, to alert them of the found equipment, and request an update of the equipment on ITAMS, and transfer the equipment to the territory’s control. Include in the memorandum the barcode, serial number, model and make of the equipment.
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Monitor to ensure the action is completed, and update STARS with the actual location of the equipment. This may require a request to headquarters to "undelete" the record.
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Maintain a copy of the request to the VITA/TCE Depot in the equipment files at the territory office.
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Notify SPEC Oversight and Analysis through the area office that the equipment was recovered or found so that the lost or stolen file can be updated. Provide any details known leading to locating the equipment.
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As equipment breaks, it should be disposed of and not held. This will free up room for storag,e and provides more accurate information on the resources available for use.
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Laptops should all be returned to the Depot for disposal. Laptop disposal should not occur at the local level. Use the current contractor for controlled shipping (e.g., United Postal Service (UPS)) of equipment. Record information on the shipment including the tracking information from the shipper. File this documentation in your inventory records.
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Printer and desktop disposal will occur locally. Follow the steps detailed below to ensure the record is disposed of properly,
Procedures to Dispose of Broken or Obsolete Printers and Desktops 1) Contact the local Single Point Inventory Function (SPIF) and let them know there is a printer or desktop requiring their disposal. Include in the notification the barcode, serial number, equipment type, make and model. E-mail is okay for this notification. Confirm the SPIF identification and building code the record should be transferred to on ITAMS. Include the VITA/TCE Depot SPIF in this notification. 2) Ask the local SPIF that will pick up the equipment to notify the VITA/TCE Depot to transfer the record to their SPIF and Building Codes (determined in the first step) so that the inventory control in ITAMS moves to the local SPIF. Include a request to notify the territory when the request is completed. Note:
Some SPIF may require that the transfer be done before they will pick up. Others may take this action after they pick up.
3) Secure a signed document (Form 3210 can be used) when they pick up the equipment and file it with your territory equipment inventory control records in case any questions occur about the disposition of the equipment. 4) Update STARS to reflect the disposal of the asset.
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There may be an instance where the existing barcode is removed and/or damaged. It is important that all assets have a readable barcode present. Follow the steps below to change the barcode:
Barcode Change 1) To obtain a new barcode and/or a reprinted barcode, contact the VITA/TCE Depot and include in the notification the barcode, serial number, equipment type, make and model. E-mail is okay for this notification. Request that they generate a new barcode with the same number and/or provide another barcode label. Provide them with the correct mailing address for the actual barcode. 2) Upon receipt of the reprinted or new barcode, remove the old one if it has not already been removed and replace it with the reprinted or new barcode. 3) Confirm the correction in the inventory system. If the number did not change, there will be no change; however, if the number did change, the old barcode should no longer be showing and the new barcode should be present. If this is not the case, contact the Depot to resolve the problem. 4) Change any territory records to reflect the replacement and/or change in barcode number. File the information with your territory equipment inventory control records. 5) Update STARS to reflect the barcode change.
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Electronic return preparation and transmission software is purchased by the IRS for use by SPEC volunteer return preparation programs (VITA/TCE). Although, there are some instances in which a return cannot be e-filed, use of this software for the sole purpose of preparing a computer generated paper return (referred to as "V-coded" ) is prohibited.
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All VITA/TCE software orders are placed by SPEC territory offices through the use of the STARS Tax Software Orders module.
Note:
Before delivery of the software, the site must secure a signed Form 13325, Statement of Assurance Concerning Civil Rights Compliance for IRS SPEC Partnerships, or the Form 13324, Sub-Partners Assurance.
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The STARS Tax Software Orders module opens in October and remains open through the end of January. The first orders are sent to the contractor at the end of November and then weekly thereafter through January. The contractor begins shipping the software in December.
Note:
The shipping date is driven by IRS’ timeline for conducting Participant Acceptance Testing (PATS). The contractor cannot ship the tax software until it has passed PATS.
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The software purchased by the IRS is a professional software package, and requires the use of an Electronic Filer Identification Number (EFIN). The EFIN is required to electronically transmit federal tax returns and to order software. If a site does not have an EFIN, they will need to complete Form 8633, Application to Participate in the IRS e-file Program, prior to ordering the software.
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The STARS Tax Software Orders module is populated from the information contained in the STARS Site and Contact modules. Before an order can be placed, the site must be in the STARS Site Module and must be identified as a Federal e-file site.
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The site name, address, program type, Site Identification Number, EFIN and transmitting EFIN are populated from the STARS Tax Software Orders module. No changes to this information can be made in the tax software orders module. If any site or contact information is missing or inaccurate, the changes must be made in the Site and/or Contact modules in STARS. The shipping address, shipping name, phone number, and e-mail address are populated from the STARS contact module.
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It is very important that the e-mail address provided with the software order is accurate. This e-mail address is automatically loaded in the vendor’s e-mail group code, and is used to provide shipping and software updates to the site. For this reason, do not use the IRS SPEC Relationship Manager’s e-mail address. For this reason, do not use the IRS SPEC Relationship Manager’s e-mail address unless the IRS SPEC Relationship Manager is the site administrator for the site.
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The territory offices are responsible for the order accuracy and the input of all orders in STARS Tax Software Orders module.
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For instructions on use of the STARS Tax Software Orders module, refer to the STARS User Guides located on SPEC’s web page, The Point, located at http://win.web.irs.gov/spec.htm.
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The headquarters analyst assigned the tax software order program is responsible for:
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Providing guidance to SPEC and Field Assistance for software orders.
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Timely placing all software orders with the contractor in a mutually agreed format.
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Notifying the area analyst of shipping details and registration codes as they are provided by the contractor.
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Communicating vital information to the area analysts necessary for successful delivery of the software, orders, problems, etc.
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Communicating order changes/corrections to the contractor.
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Ensuring software license agreements are adhered to.
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Maintaining an accurate inventory of all tax software orders.
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Completing RTS requests to ensure adequate funding of software packages and training.
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Identifying contract modifications when necessary.
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Coordinating Tax Software Train-the-Trainer sessions between the vendor, area, and territory.
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Managing the IRS’ tax software contract.
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Pulling, analyzing and providing use and production reports to the area.
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Serving as the IRS Point of Contact between the IRS and its licensees.
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Maintaining a good working relationship with the contractor, procurement, and MITS.
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Ensuring the Master Service Level agreement between SPEC and MITS EUES clearly defines SPEC’s IT support needs.
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The area analysts are responsible for:
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Ensuring the territory offices timely place and confirm all tax preparation software orders and notifying SPEC headquarters analyst of any anomalies.
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Confirming territory compliance to qualifications for receipt of software, see below. If the site is being provided the software and does not meet the qualifications, the area director or his/her designee is responsible for approving the purchase. This is done in writing and a copy is maintained for a minimum of one fiscal year from receipt by the area office and the original by the territory office.
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Serving as liaison between headquarters and the territory.
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Ensuring vital information related to the tax software i.e. orders, problems, etc. is shared with the territory.
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Ensuring headquarters is kept abreast of any problems or concerns raised by the territory or partners/volunteers relating to the software, orders, use, etc.
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Ensuring area directors are notified of problems or concerns relating to software, order, use, etc.
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Ensuring software license and user authentication requirements are adhered to.
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Analyzing area tax software management and production reports to identify anomalies and communicating those anomalies to headquarters and the territory.
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Ensuring Title VI requirements are met.
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Coordinating Tax Software Train-the-Trainer sessions between Headquarters and the territory office.
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The territory offices are responsible for:
Territory Tax Software Responsibilities Securing Form 13325, Statement of Assurance concerning Civil Rights Compliance for IRS SPEC partnerships, or Form 13324,Statement of Assurance concerning Civil Rights Compliance for IRS SPEC Sub-partnerships , prior to delivery of the software. Refer to IRM Section 22.30.1.4.20 for guidance on Title VI Ensuring qualified sites receive tax preparation software. Qualifications for receipt of tax software: VITA/TCE sites that prepare 35 or more accepted e-file returns during the prior fiscal year are eligible to receive electronic return preparation software. Territory managers have the authority to provide software to sites where the minimum requirements were not met. When this happens, the territory manager is responsible for providing a business justification to the area director and securing approval from the area office prior to placing the software order. This is to be done in writing and a copy of the approval is to be maintained for a minimum of one fiscal year from receipt by the area office and the original by the territory office. Ensuring all tax preparation software orders are placed timely using STARS Tax Software Orders Module. Confirming order information with SPEC partners/volunteers to ensure accurate delivery of the software. Communicating important information relating to the use of the tax software and training to partners/volunteers, such as registration codes, transmitting codes (XMIT), and adherence to the software license agreement. Responding promptly to Area questions or concerns relating to the software orders. Ensuring adherence to software license agreements. Ensuring the area analyst is kept abreast of any problems relating to the software, orders, use, etc.
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The IRS/.Universal Tax Systems (IRS/UTS) contract includes an authentication process which requires UTS to validate IRS licensees. The authentication is managed as part of ensuring adherence to the license agreement. The license agreement with UTS for the use of TaxWise®, which is used by IRS Field Assistance Taxpayer Assistance Centers (TAC), Employee e-file sites, and IRS SPEC volunteer programs (VITA/TCE) sites, restricts access to the UTS Electronic Filing Center (EFC) to one computer per Electronic Filing Identification Number (EFIN). Per the agreement, each site or TAC is required to have a separate EFIN and only one transmitting computer. If this agreement is violated, UTS contacts the IRS Point of Contact (POC) to notify them of a potential contract violation.
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If it is suspected that there has been either a TaxWise® license agreement violation, or a EFIN has been compromised, the UTS will contact the IRS POC. Once contacted, the IRS POC is responsible for investigating the incident. Below are the steps