Control Data Analysis Processing System
Privacy Impact Assessment – Control Data Analysis (PCD) Processing System
PCD System Overview:
The Control Data Analysis System (PCD) utilizes data from the IMS-Control-Data (SCF0104) to provide management with the period and cumulative information on the number of documents that are errors, rejects, blocks out of balance, S.C. and MCC deletes. This printed information is provided by specific WP & C program codes and used as the data source for certain reports required by the National Office. In addition, the output provides management with specific inventory volumes, as well as receipt and processed volumes. The information is used to identify processing programs with which Service Centers may be experiencing difficulty as indicated by large volumes of errors, rejects or bob blocks. Output reports consist of IMF, BMF, EPMF, IRP and NMF Error and Reject Block Proof Summaries, BOB Analysis and Block Deletion Analysis. In addition, PRODUCTION-ADJUSTMENT (PCD0330) and BATCH-AND-PRODUCTION-CONTROL (PCD0331) records for input to the Daily Service Center Production Control and Performance Reporting (Project PCC) and Reject Reinput Transmittals are produced.
System of Records Number(s):
Treasury/IRS 22.034 - Individual Returns Files, Adjustments and Miscellaneous Document Files
Treasury/IRS 22.054 - Subsidiary Accounting Files
Treasury/IRS 22.062 - Electronic Filing Records
Treasury/IRS 24.030 - CADE Individual Master File
Treasury/IRS 24.046 - CADE Business Master File
Data in the System
1. Describe the information (data elements and fields) available in the system in the following categories:
C. Audit Trail Information (including employee log-in info)
D. Other (Describe)
A. Taxpayer – Although the data used as input to the PCD system does not contain personal taxpayer information it is relevant to list the Privacy Act System of records since the initial input from GMF may have contained SSNs, name control or DLN information.
B. Employee – The employee Standard Employee Identifier (SEID) and authenticated Active Directory session credentials are used for authentication. Only access specifically allowed by an employee profile maintained within the system is allowed.
C. Audit Trail Information –
All PCD auditing is performed by the UNISYS Mainframe. Employee login information is kept by the Service Center.
D. Other – None.
2. Describe/identify which data elements are obtained from files, databases, individuals, or any other sources.
D. Other Federal Agencies (List agency)
E. State and Local Agencies (List agency)
F. Other third party sources (Describe)
A. IRS – The PCD system receives information from GMF and SCCF.
B. Taxpayer – The PCD system does not collect taxpayer information.
C. Employee – The PCD system does not receive data from the employee, but it does contain authorized employee access profiles.
D. Other Federal Agencies – The PCD system does not receive data from other Federal Agencies.
E. State and Local Agencies – The PCD system does not receive data from State and Local Agencies.
F. Other Third Party Sources – The PCD system does not receive data from Third Party Sources.
3. Is each data item required for the business purpose of the system? Explain.
Yes - The PCD system uses the data to produce analysis and summaries of various inventories by program number to Service Center management.
4. How will each data item be verified for accuracy, timeliness, and completeness?
Based on various elements in the DLN such as blocking series, control day key and Saturday/Sunday key, a program code is validated through other input files used in the PCD system for validation purposes.
5. Is there another source for the data? Explain how that source is or is not used.
No. There is no other source for the data.
6. Generally, how will data be retrieved by the user?
Only the Accounting Units working with PCD
Has access to this data, which can be retrieved using network username and valid passwords.
7. Is the data retrievable by a personal identifier such as name, SSN, or other unique identifier?
No. Data can not be retrieved by a personal identifier.
Access to the Data
8. Who will have access to the data in the system (Users, Managers, System Administrators, Developers, Others)?
PCD is a set of computer programs set to run in a specified order on the UNISYS Mainframe. PCD does not have any end-users; only System Administrators and the Accountant Unit at the computing centers have access.
Application developers do not have access to production system; if the need arises, the developer can obtain read-only access to the production environment. This access is terminated after the access is no longer needed. Only privileged users are allowed to load software to the system.
9. How is access to the data by a user determined and by whom?
Unique Mainframe usernames and passwords are required for system authentication. An OL5081 is required of IRS users requesting access to PCD, via the UNISYS Mainframe, and must be signed by an immediate manager. Once forms are approved they are submitted to the system administrator, who adds the new user’s account into the system. User accounts are disabled after 45 days of inactivity.
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.
Yes. The PCD system provides processing Production Control Records and Production Adjustments for input to the Daily Production Report (DPR) and Reject Reinput Transmittals.
11. Have the IRS systems described in Item 10 received an approved Security Certification and Privacy Impact Assessment?
GMF and SCCF have approved PIAs.
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 PCD system will initialize each program number and inventory columns to zero at the beginning of each processing year.
This is stated in IRM 18.104.22.168.6.1 item (3) FOR THE BEGINNING OF EACH CALENDAR YEAR, THE COMPUTER POGRAM WILL INITIALIZE ALL APPROPRIATE FIELDS TO ZERO ON THE BALANCE FORWARD FILE. (PCD010100000 which feeds into the PCD03 program)
14. Will this system use technology in a new way? If "YES" describe. If "NO" go to Question 15.
No. The PCD system is not using technology in a new way.
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. The PCD system is not a real-time online system and, therefore, incorporates no real-time monitoring capabilities.
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?
The PCD system does not negatively impact due process rights of taxpayers/employees.
19. If the system is web-based, does it use persistent cookies or other tracking devices to identify web visitors?
Not applicable. The PCD system is not web-based.