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L&I, Office of Information Technology Procedure

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Name: Federal Tax Information Fax Handling for UC Benefits Procedure
Effective Date: December 2016
Category: Security
Version: 1.2

1. Scope:

This procedure applies to all Department of Labor & Industry (L&I) employees and business partners within the Unemployment Compensation Benefits Policy (UCBEN) Bureau (hereinafter referred to collectively as “UCBEN User”) who handle Federal Tax Information (FTI) as part of their normal job duties.

2. Procedure:

The procedure is implemented by the UC Benefits, Benefit Accuracy Measurement Unit and Federal Programs Units under the authority of Internal Revenue Service (IRS) Publication 1075. These procedures outline the controls used by L&I UCBEN to protect FTI data sent or received via fax transmissions.

  1. Procedure to send faxes containing FTI

    Step Responsibility Action
    1. UCBEN User Coordinate with recipient:

    • The redaction of FTI, e.g. use last four instead of full SSN
    • Use secure email communications
    2. UCBEN User Prepare a cover sheet on fax transmissions that explicitly provides guidance to the recipient, which includes:

    • A notification of the sensitivity of the data and the need for protection
    • A notice to unintended recipients to telephone the sender—collect, if necessary—to report the disclosure and confirm destruction of the information
    3. UCBEN User Notify recipient either via phone or email of an incoming fax transmission
    4. UCBEN User Use only designated Fax equipment

    • Fax machines must not be network connected
    • Fax machines must be located in secured workspace
    • Fax machines must have predefined/verified numbers of frequent recipients of FTI
    5. UCBEN User Confirm with recipient the successful transmission of the fax and the destruction of the information


  2. Procedure to receive faxes containing FTI

    Step Responsibility Action
    1. UCBEN Management Publish only the fax number for designated FTI Fax machines that are:

    • Not network connected
    • Located in a secured workspace
    Monitored by trusted users who have completed the IRS FTI training
    2. UCBEN User Coordinate with sender the date/time of the expected fax transmission
    3. UCBEN User Use only designated FTI fax machines in secured workspaces
    4. UCBEN User Confirm with sender the successful transmission of the fax and the destruction of the information


3. References

L&I Policy Definitions Document
SEC-008 - Incident Response Policy
Security Incident Reporting for Internal Revenue Service
Security Incident Reporting for Social Security Administration
Security Breach Checklist
OA ITP-SEC024 - IT Security Incident Reporting Policy
IRS Publication 1075

4. Version Control

Version Date Purpose
1.1 10/2016 Base Document
1.2 12/2016 Format and Content Revision