Privacy Impact Assessment - Embedded Quality Review System Field (EQRS-F)
(EQRS)-F System Overview
The Embedded Quality program provides a tool for managers and quality reviewers to easily assess employee performance (EQRS-F) and to evaluate and determine organizational measures for IRS functions (NQRS-F). For Field Collection and OIC managers and Centralized Review Quality staff, EQRS-F integrates data from the Integrated Collection System (ICS). The ICS extract reduces the burden for Field Collection and OIC managers and the Centralized Review Quality staff by eliminating the need for those managers and reviewers to input data elements currently available on ICS when performing reviews. The database also contains information from Evaluative Reviews conducted by managers. It provides a method for users to input data pertaining to cases reviewed. Each review group is different and has different quality attributes/standards. Reports can be generated for planning, training, evaluative purposes and identifying problems and trends with a function. The reports are used to improve the quality process. Managers also utilize the system to track employee performance and training needs. Requirements for review are included in IRM 21 and this system provides the needed tools to fulfill these requirements.
System of Records Number(s) (SORN) #:
Treasury/IRS 24.046, CADE Business Master File (BMF)
Treasury/IRS 24.030, CADE Individual Master File (IMF)
Treasury/IRS 36.003 – General Personnel and Payroll Records – Treasury/IRS
Treasury/IRS 34.037 IRS Audit Trail and Security Records System
Treasury/IRS 26.016--Returns Compliance Programs (RCP)
Treasury/IRS 26.019--Taxpayer Delinquent Accounts (TDA)
Treasury/IRS 26.020--Taxpayer Delinquency Investigation (TDI) Files
Data in the System
Describe the information (data elements and fields) available in the system in the following categories:
Taxpayer
Employee
Audit Trail Information (including employee log-in info)
Other (Describe)
Taxpayer - The Taxpayer Name, Taxpayer Identification Number (TIN), Tax Period, IRS Received Date.
Employee - Reviewer Number (limited selection), Employee Name (limited selection*), Employee SEID, Group, and “Input By” Name. *Data access is limited to employees under the login person’s organization only.
Audit Trail Information - The application database auditing captures user login and logout information as well as data access and modification by employee’s SEID. The web server uses access logs to capture user login, logout, and internet protocol address information.
Other (Describe) - System generated unique Data Collection Instrument (DCI) Number, Function (limited selection), Case Type (limited selection), Review Date, Closing Date, and Attribute Codes.
Describe/identify which data elements are obtained from files, databases, individuals, or any other sources.
IRS
Taxpayer
Employee
Other Federal Agencies (List agency)
State and Local Agencies (List agency)
Other third party sources (Describe)
IRS - A weekly extract file from ICS will be loaded into the EQRS/NQRS database. The data elements include taxpayer TIN, Name, and account status codes and employee SEID. This affects only Field Collection and OIC managers, and the Centralized Review Quality staff.
Taxpayer - The Taxpayer Name, TIN, Tax Period, IRS Received Date are collected from the review of the case file.
Employee - The Reviewer Number, Employee Name, Input By Name, Function, Case Type, Review Date, Closing Date, and Attribute Ratings are collected from the employee.
Other Federal Agencies (List agencies) - None – No Federal Agency other than IRS provides data for use in the system.
State and Local Agencies (List agencies) - None – No State or Local Agencies are providing data for use in the system.
Other third party sources (Describe) - None – No third party sources are providing data for use in the system.
Is each data item required for the business purpose of the system? Explain.
Yes, each item is required to complete the review of actions taken by the employee.
How will each data item be verified for accuracy, timeliness, and completeness?
Not applicable. Data is not collected from sources other than IRS records and the taxpayer. The data is considered accurate, timely, and complete.
Is there another source for the data? Explain how that source is or is not used. No
Generally, how will data be retrieved by the user?
Data is retrieved in report format using begin and end date criteria.
Is the data retrievable by a personal identifier such as name, SSN, or other unique identifier?
Yes. Data is retrievable by Review Number, Date of Review, Employee Name, Taxpayer TIN and Taxpayer Name. Retrieving TIN and Taxpayer name are limited to specified users for Ad hoc Reports.
Access to the Data
Who will have access to the data in the system (Users, Managers, System Administrators, Developers, Others)?
Managers, Quality Review Staff Employees, HQ and Field Analysts, Computer System Administrators (CSA), and the Programmer will have access to the data in the system. The users are quality reviewers and/or management officials. In general, employees do not input anything into the system. In some instances, on-the-job-instructors (employees) have limited access to the system to input non-evaluative reviews.
How is access to the data by a user determined and by whom?
Access to the data is determined by the manager based on a user’s position and need-to-know. Criteria, procedures, controls, and responsibilities regarding access are documented in the Information Systems Security Rules on Form 5081, Information System User Registration/Change Request. The user’s access is restricted. Access to the data is determined by the manager based on a user’s position and need-to-know. Managers do not have the ability to view data on employees who are not under their supervision.
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. A weekly extract file from ICS will be loaded into the EQRS database. The data elements include taxpayer TIN, Name, and account status codes and employee SEID. This affects only Field Collection and OIC managers, and the Centralized Review Quality staff.
EQRS sends a file of closed cases to ICS. Business Performance Management System (BPMS) will retrieve files containing organizational quality data. The data does not identify taxpayers or employees, but is a summary (percentages) of functions evaluated by NQRS users.
Have the IRS systems described in Item 10 received an approved Security Certification and Privacy Impact Assessment? Yes
Will other agencies provide, receive, or share data in any form with this system?
No other agencies will share data or have access to the data in this system other than TIGTA and GAO as part of their official oversight responsibilities.
Administrative Controls of Data
What are the procedures for eliminating the data at the end of the retention period?
Please see IRM 1.15.6, Records Management. The project will execute the steps below in the following order to eliminate data at the end of the retention period:
Ensure that backups on the database have been completed.
After verification of a database backup, the records to be eliminated from the database will be selected and stored in a flat file on the production system, where only the System Administrator will have access.
Once the creation of the flat file is completed, the records that were stored in the flat file will be deleted from the database.
The flat file will be physically removed from the production system thirty days after creation.
Will this system use technology in a new way? If "YES" describe. If "NO" go to Question 15. No
Will this system be used to identify or locate individuals or groups? If so, describe the business purpose for this capability.
Yes, the system provides the capability to identify, locate, and monitor individuals for training and evaluative purposes only.
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.
Yes, the system provides the capability to identify, locate, or monitor groups of people. Reports are generated by Area, Territory, Group and Employee.
Access to the EQRS is controlled by the System Administrator. The manager will request a user be added. They must fill out Form 5081, Information System User registration/Change Request, to request access to the System. The System Administrator determines to which group and menu the user will have access. UNAX training is also provided to inform users of the statutory rules governing and the IRS’ policy on unauthorized access and inspection of records by IRS employees.
Can use of the system allow IRS to treat taxpayers, employees, or others, differently? Explain.
EQRS is designed to automate a required manual process. There is no disparate treatment of individuals or groups.
Does the system ensure "due process" by allowing affected parties to respond to any negative determination, prior to final action?
All EQRS data comes from managerial reviews of employee work. The employee has the opportunity to explain, refute, or otherwise respond to the data via the Dispute Resolution process. The system also has an option to remove the data and exclude it from employee performance.
If the system is web-based, does it use persistent cookies or other tracking devices to identify web visitors?
The system does not use persistent cookies or other tracking devices to identify web visitors.
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