PIA Approval Date: December 1, 2006

Requested Operational Date:  The i-trak System is currently operational.

i-trak System Overview:

The i-trak System is the Service-wide document tracking application which replaced the Executive Control Management System (ECMS).  i-trak will assist the IRS leadership and Business Units with their ability to timely and effectively manage their responses to issues raised by taxpayers, IRS employees, Congress, Treasury, The White House, GAO, and Treasury Inspector General for Tax Administration (TIGTA).  i-trak will also enable Business units to effectively track and monitor internal documents.

System of Records Notice (SORN):

Treasury/IRS 00.001 - Correspondence Files (including Stakeholder Relationship files and Correspondence Control Files )
Treasusry/IRS 34.037 - IRS Audit Trail and Security Records System
Treasury/IRS Employee Complaints and Allegation Referral Records
Treasury/IRS 37.007 - Inventory

Data in the System

1. Describe the information (data elements and fields) available in the system in the following categories:
   
   
   1. Taxpayer - this data may be available from information taxpayers and others provide when they write to the Commissioner - data is entered into i-trak by IRS employees who have permission to use i-trak. Only data provided by the writer is added to i-trak (except for Unique ID)
      
      
      • Name
      • Address- Personal or work
      • Phone
      • Gender
      • Race
      • Date of Birth
      • Occupation
      • Email
      • Unique Identifier (UID) (used to identify a complainant that has filed more than one complaint)
      • Electronic File Number (EIN)
   
   
   
   2. Employee - this data is used for the i-Complaints module, and is password protected, and is only seen by personnel with a need to know.
      
      
      • Employee Name
      • Employee User ID
      • Address
      • Phone
      • Gender
      • Race
      • Employee Date of Birth
      • Location
      • Occupation/Title
      • E-mail
      • Employee location
      • SSN (SSN of employee ALERTS case is on)
      • Employee pay plan
      • Employee job series
   
   
   
   3. Audit Trail Information:
      
      • Username
      • Action
      • Description of action(successful, or unsuccessful)
      • URL
      • Date and time

   The audit trail assures that those who use i-Trak, only see and use the modules they are allowed to use.

   4. Other (Describe) - None



2. Describe/identify which data elements are obtained from files, databases, individuals, or any other sources.
   
   
   1. IRS - i-trak pulls data from the IRS Automated Labor and Employee Relations Tracking System (ALERTS).
   2. Taxpayer - Taxpayers provide information to be input into the system only if they include any identifiers in the complaint letter. If no identifying information on the taxpayer is included in the complaint letter then taxpayer information is not in the system.
   3. Employee - None
   4. Other Federal Agencies (List agency) - i-trak pulls data from Treasury Integrated Management Information System (TIMIS). This data is non-specific information. It is used for cross referencing and verifying information. TIMIS data is on a web server database and is not received directly by i-trak.
      
      i-trak also pulls from Performance and Results Information System (PARIS), a TIGTA system that processes information regarding TIGTA investigations of IRS employees.
      
      PARIS provides i-trak with advance notice of a case/investigation that i-trak will soon be receiving. Data may contain a name, address or other identifiers. The data is received daily and automatically. PARIS Information includes:
      
      • Complainant Name
      • Complainant TIN
      • Complaint Date
   5. No
   6. No



3. Is each data item required for the business purpose of the system? Explain.
   

   Yes - Each data element is required to allow for the IRS leadership and the Business Managers to control and track the following data:
   
   

   • Correspondence Module - tracks and monitors correspondence addressed to the IRS Commissioner and the two Deputy Commissioners. In addition, it is used by the Business Units to control and track all internal documents and signature packages throughout their organizations. The IRS leadership and Business Units manage their responses to issues raised by taxpayers, IRS employees, Congress, Treasury, the White House, General Accounting Office, and the Office of the Treasury Inspector General for Tax Administration (TIGTA) in a timely and effective manner.
   
   
   
   • EEO Module - is a Treasury wide system which is used to track and monitor all EEO cases - both informal and formal. All Treasury bureaus have access to this system.  Each case contains sensitive information regarding an employee's EEO complaint and the actions taken by management.
   
   
   
   • OPR Module - is used for the purpose of tracking complaints made to the IRS against tax practitioners (i.e. enrolled agents, attorneys, certified public accountants and appraisers). In addition, the module contains information regarding actions taken against the tax practitioners by the IRS and the current status of the tax practitioner's ability to practice before the IRS on behalf of taxpayers.



4. How will each data item be verified for accuracy, timeliness, and completeness?
   
   Users access the i-trak application by authenticating at a login screen using their unique User ID and Password. Users must enter accurate credentials before access is granted to the system.
   
   ALERTS data is downloaded on a daily basis from DCC.  This upload of data ensures that all information retrieved from i-trak is current,  timely, accurate, and complete.  The Systems Administrator receives an event log  of data that is downloaded to the system for verification.



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?
   
   Business Unit users access the i-trak application by authenticating at a login screen using their unique User ID and Password.  Only authorized users can access i-trak and users can only retrieve or handle data based on their assigned user roles.



7. Is the data retrievable by a personal identifier such as name, SSN, or other unique identifier?
   
   After logging in to the i-trak, users access records based off of the following fields:
   
   Correspondence and EEO Modules:
   
   • Alerts Case- ALERTS specific identifying number
   • Division Code- location
   • Entered By- employee name
   • Specialist- ALERTS user
   
   
   OPR Module:
   
   
   
   • Addressee First Name
   • Addressee Last Name
   • Analyst First Name
   • Analyst Last Name
   • Contact First name
   • Contact Last Name
   • Created By First Name
   • Created By Last Name
   • Practitioner First Name
   • Practitioner Last Name
   • First Name
   • Last Name

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Access to the Data

8. Who will have access to the data in the system (Users, Managers, System Administrators, Developers, Others)?
   
   The primary users of i-trak include IRS Business Unit contacts, case workers, and managers.
   
   This application does not allow access by the public. Only authorized users are granted authorization to i-trak through the On-Line 5081 process.
   
   The only maintenance personnel authorized to perform maintenance on i-trak are the Administrators. There are no contractor users of the system.
   
   

   System Level:

   Authorized Role and Privileges

   Role	Privileges
   System Administrator	view records, execute SQL queries, view audit data, add users Assigning permissions, review list of accounts,

   
   Application Level:
   

   Role	Privileges
   BU Commissioner	Generate User Reports View Cases Case Mgmt Search Cases Assign, Create, Add, Edit & Process Cases Assign Managers Close Cases
   Basic Alerts	Generate User Reports Generate Mgmt Reports Search Cases Navigate ALERTS cases
   Administrator	Administer System DBA Access
   Basic Alerts Executive Control Management System (ECMS) & Basic ECMS	Generate User Reports Generate Mgmt Reports Search Cases Navigate ALERTS cases
   Central Adjudication Branch (CAB)	Generate User Reports Case Management Search Cases Edit Cases Add & Process Cases Assign Cases Edit Case Status
   Commissioner’s Correspondence Unit (CCU) Administrator	Generate User Reports Case Management Search Cases Generate Mgmt Reports Create, Add, Process, View all, Delete Edit & Assign Cases Assign Case Worker Edit Status Close Cases
   Commissioner Complex Level	Generate user Reports Case Mgmt Search Cases Create, Add, Process, View all, Edit & Assign Cases Assign Case Worker Edit Status
   Commissioner Correspondence	Generate User Reports Generate Mgmt Reports Case Mgmt Search Cases Delete Cases Create, Add, Process, View all, Edit & Assign Cases Assign Case Worker Edit Status
   Executive Assignment (EA) Business Unit & EAU Processing Group	Generate User Reports Case Mgmt Search Cases Add & Process Assign Cases Assign Manager Edit Status
   Employee Conduct & ComplianceOffice (ECCO) CAB & EAU Processing Group	Generate User Reports Generate Mgmt Reports Case Mgmt Search Cases Edit Cases View all cases Add & Process Cases Assign Cases Edit Status View ALERTS Cases
   ECMS Business Unit	Generate User Reports Case Management Create Cases Add & Process Cases Assign Managers Edit Cases Assign Cases
   First Analyst	Generate User Reports Generate Mgmt Reports Search Cases Create, Add, Edit & Assign Cases
   Legislative Affairs & Management Inquiry Unit (MIU) Analyst	Generate User Reports Generate Mgmt Reports Case Mgmt Search Cases Create, Add & Process, View all, Delete, Edit & Assign Cases
   MIU Chief	MIU Analyst Permissions Assign Manager Assign Cases
   Mgmt Inquiry Unit	First Analyst Permissions View ALERTS Data




9. How is access to the data by a user determined and by whom?
   
   Access to i-trak is determined by submitting an On-Line 5081 and receiving authorization from the user’s approval manager.
   
   The i-trak application has been configured for a role-based user access policy.  User access is restricted to only the specific application modules needed to complete their job function.  Logical access controls have been incorporated into i-trak for each user; to include assigning access privileges, session controls, and re-certification of users.
   
   System Administrators (SAs) are responsible for assigning permissions ensure that the proper permissions are granted to the proper users.  All policy and procedures are followed in granting user permissions, determining permissions, ensuring user rights are restricted to the minimum necessary to perform the job, background screening and separation of duties.
   
   Users are assigned specific modules they can access as well as the level of access within the modules. There are 38 levels of access (system privileges) and 21 system roles.



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.
    
    i-trak pulls data from IRS Automated Labor and Employee Relations Tracking System (ALERTS).  The data is non-specific information used for cross referencing. The ALERTS system provides data on a daily basis in an electronic download.
    
    ALERTS data includes:
    
    • Employee name
    • Employee UserID
    • Employee date of birth
    • Employee job title
    • Employee location
    • SSN (SSN of employee ALERTS case is on)
    • Employee pay plan
    • Employee job series



11. Have the IRS systems described in Item 10 received an approved Security Certification and Privacy Impact Assessment?
    
    Automated Labor and Employee Relations Tracking System (ALERTS)
    
    • PIA 3/3/2005, expires 3/3/2008
    • C&A 4/3/2006, expires 4/3/2009



12. Will other agencies provide, receive, or share data in any form with this system?
    
    Performance and Results Information System (PARIS)- TIGTA system that processes information regarding TIGTA investigations of IRS employees. Provides i-trak with advance notice of a case/investigation that i-trak will soon be receiving. Data may contain a name, address or other identifiers. The data is received daily and automatically.
    
    • No known existing PIA or C&A
    
    
    Treasury Integrated Management Information System (TIMIS) (no automated interconnection, manual upload; This is a Department of the Treasury system)
    
    • No known existing PIA or C&A

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    Administrative Controls of Data

13. What are the procedures for eliminating the data at the end of the retention period?
    
    The i-trak application audit records are maintained for one year to support after-the-fact investigations of security incidents.
    
    The web server and application/database server auditing is managed at the MITS-2 General Support System (GSS) level.
    
    i-trak follows IRS disk sanitization procedures for destruction of discarded media.  IRM 2.7.4, Management of Magnetic Media (Purging of SBU Data and Destruction of Computer Media) provides those procedures used for sanitizing electronic media for reuse (e.g., overwriting) and for controlled storage, handling, or destruction of spoiled media or media that cannot be effectively sanitized for reuse (e.g., degaussing).



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. i-trak does have the capability to identify individuals or groups by querying for data elements to include name and address, however, it does not fit the business purpose of the system.



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?
    
    No. i-trak does not have the capability to make any negative determinations.



19. If the system is web-based, does it use persistent cookies or other tracking devices to identify web visitors?
    
    Upon logging into i-trak a session cookie is created.  The session cookie is eliminated once the web user ends his/her session and exits out of the web browser. Persistent cookies are not administered by this system.