SOI-277 - An e-Signature Survey Determining Access To & Availability Of Shared Secrets

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e-Signature Shared Secrets Survey

USSELL RESEARCH, INC. RMR #x-xx-xxx

1775 BROADWAY, STE 630 Extension WR#23

NY, NY 10019-1903 PAGE 1 (C1)

RESPONDENT ID# (1-4)

SEE SAMPLE DISTRIBUTION BELOW. LOOK FOR THESE (AND OTHER TBD) PRE-SELECTS/APPENDS AND RECORD ALL THAT APPLY FROM LIST: (9-20)

• Signature Method This Year (2007) – keep in mind that the survey’s being done in 2008, but we’re asking about 2007.

• Signature Method Last Year (2006)

• Preparation Method This Year (2007)

• Preparation Method Last Year (2006)

• Taxpayer AGI This Year (2007)

• Taxpayer Age (NOTE: IF NOT UNIVERSALLY AVAILABLE AS AN APPEND, THIS MAY BE ASKED DIRECTLY)

• VITA/TCE Last Year (2006, 2007)

• Etc. – TBD after reviewing list append options with IRS

CITY ST ZIP ST CODE

PHONE # (AC- )

IRS AREA: 1 2 3 4 5 …121

Taxpayers Who Used These Signature Methods This Year vs. Last Year		And Their Year-To-Year Preparation Methods
This Year	Last Year	This Year		Last Year	Number Of Taxpayers	Sample Size	% Of Total Sample (For Weighting)
Form 8453/8453OL	Form 8453/8453OL	Self		Self	1,702,694	200	7.7%
Form 8453/8453OL	Blank (Paper Return)	Self		Self	984,453	200	4.5%
Form 8453/8453OL	Practitioner PIN	Self		Self	21,100	200	0.1%
Form 8453/8453OL	Practitioner PIN	Self		Preparer	685,571	200	3.1%
Form 8453/8453OL	Blank (Paper Return)	Self		Preparer	194,183	200	0.9%
Form 8453/8453OL	Form 8453/8453OL	Self		Preparer	155,122	200	0.7%
Practitioner PIN	Practitioner PIN	Different Preparer		Preparer	13,583,978	200	61.8%
Practitioner PIN	Blank (Paper Return)	Different Preparer		Preparer	1,830,768	200	8.3%
Practitioner PIN	Form 8453/8453OL	Different Preparer		Preparer	1,143,577	200	5.2%
Form 8453/8453OL	Form 8453/8453OL	Different Preparer		Preparer	820,956	200	3.7%
Form 8453/8453OL	Practitioner PIN	Different Preparer		Preparer	582,465	200	2.6%
Form 8453/8453OL	Blank (Paper Return)	Different Preparer		Preparer	287,951	200	1.3%
GRAND TOTAL OF ALL 12 TARGET AUDIENCES					21,992,818	2,400	100%

INTRODUCE YOURSELF TO THIS PERSON WITH:

Hello, my name is of Russell Research in New York, an independent national survey research firm. The Internal Revenue Service has asked us to conduct a brief, 8-10-minute survey with Taxpayers to get Taxpayer opinions about the types of documents used in filing IRS tax returns. May I speak with (PERSON ON LIST)? (INTERVIEWER: IF THIS PERSON IS NOT AVAILABLE, SCHEDULE ANOTHER TIME TO CALL. HOWEVER, IF YOU REACH THE PERSON, CONTINUE WITH...) Thank you for talking to us. Please note that your participation in this survey is completely voluntary and your survey responses will never be identified with you personally. If you have any comments about this survey or its length, you can write to the IRS at: Internal Revenue Service, Tax Products Coordinating Committee, SE:W:CAR:MP:T:T:SP, 1111 Constitution Ave. NW, Washington, DC  20224. The Office Of Management and Budget Control Number to use in reference to the survey is 1545-1349.

IF CONTINUING WITH SURVEY, READ ASSURANCE STATEMENT SINCE QUESTIONS ARE ABOUT PERSONAL DOCUMENTS.

Before we start the survey, let me point out that I’ll be asking questions about the types of documents that you might use when filing your taxes. Please be assured that I’ll be asking about types of documents, and NOT personal information such as sensitive financial information, account numbers or passwords. I will NOT ask about any of those sensitive things. Instead, I’ll ask ONLY about document types. If you have any concerns about talking to me about your types of documents, then please let me call you later for the survey, after you have time to read about my company at www.russellresearch.com or to go to the IRS website, www.irs.gov, and read about the research my company conducts on behalf of the IRS.

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AFTER RESPONDENT AGREES TO PARTICIPATE IN SURVEY, CONTINUE WITH:

Thank you for helping by participating in this survey. Let me emphasize that your responses to the survey are completely voluntary and that none of your answers will be shared with the IRS or anyone else outside of Russell Research.

SHARED SECRETS DOCUMENT OWNERSHIP

1. First, I’m going to read a list of some different types of documents that a person might have at some point during a year. After I read each one, please indicate if you personally have that type of document at any point during a year – all I need to know is whether you have these documents in your possession, not whether you carry them with you. Let’s start with...(LIST IS ROTATED. START AT PRE-CHECK, READ ALL CHOICES ON LIST AND CIRCLE ALL THAT APPLY.)

• A W-2 Form – a record of earnings which you get from an employer  1 ...209

• A Form 1099 – a year-end record of interest earned which you get from a bank  2

• A Copy Of Last Year’s Federal Income Tax Return  3

• A Copy Of Last Year’s State Tax Return  4

• A Driver’s License  5

• A Social Security Card  6

• A Credit Card Or A Debit Card  7

• A Checkbook With Your Name & Address Printed On Each Check  8

• A Valid U.S. Passport  9

SHARED SECRETS DOCUMENT ACCESSIBILITY

2. I’m going to read the same list of types of documents again. This time, as I read each one, please indicate if this is a document that you have easy access to if you need it for any reason. (AGAIN, LIST IS ROTATED. START AT PRE-CHECK, READ ALL CHOICES ON LIST AND CIRCLE ALL THAT APPLY.)

• A W-2 Form – record of earnings from an employer  1 ...210

• A Form 1099 – a year-end record of interest earned from a bank  2

• A Copy Of Last Year’s Federal Income Tax Return  3

• A Copy Of Last Year’s State Tax Return  4

• A Driver’s License  5

• A Social Security Card  6

• A Credit Card Or A Debit Card  7

• A Checkbook With Your Name & Address On Each Check  8

• A Valid U.S. Passport  9

SHARED SECRETS DOCUMENT AVAILABILITY DURING PREPARATION OF FEDERAL INCOME TAX RETURN

3. Next, I’m going to read the same list of document types one more time. This time, as I read each one, please indicate if you usually have that type of document with you while you’re preparing your annual Federal Income Tax Return – either while you’re preparing your return yourself or when you go to a tax professional for the preparation of your return. (AGAIN, LIST IS ROTATED. START AT PRE-CHECK, READ ALL CHOICES ON LIST AND CIRCLE ALL THAT APPLY.)

• A W-2 Form – record of earnings from an employer  1 ...211

• A Form 1099 – a year-end record of interest earned from a bank  2

• A Copy Of Last Year’s Federal Income Tax Return  3

• A Copy Of Last Year’s State Tax Return  4

• A Driver’s License  5

• A Social Security Card  6

• A Credit Card Or A Debit Card  7

• A Checkbook With Your Name & Address On Each Check  8

• A Valid U.S. Passport  9

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OTHER POSSIBLE SHARED SECRETS SOURCES

4. After you send in your Federal Income Tax Return each year, do you keep a paper copy of that return? (CHECK ANSWER.)

Yes  1 ...212

No  2

5. When we make financial transactions, we’re sometimes asked to prove our identity by providing information that others would not know. While I do NOT want to know your specific information, I would like to know whether you can provide any of these types of information when asked to prove your identity. (DO NOT ROTATE – READ CHOICES IN THE ORDER BELOW, SINCE THE FIRST CHOICE IS A MASKING CHOICE. CHECK ALL THAT APPLY.)

(MASKING ONLY) The Name Of A Favorite Pet/Animal  1 ...213

Your Mother’s Maiden Name, Correctly Spelled  2

Your Date Of Birth, Including The Year  3

TECHNOLOGY QUESTIONS

READ INTRO TO THIS SECTION:

The next questions are about computers and use of the Internet.

6. First, do you know how to use a computer? (CHECK ANSWER.)

Yes (CONTINUE WITH Q7)  1 ...214

No (SKIP TO PROBES ON SPECIAL-CASE SEGMENTS, Q15)  2

7. Do you own your own computer? (CHECK ANSWER.)

Yes (CONTINUE WITH Q8)  1 ...215

No (SKIP TO Q9)  2

IF YES TO Q7, ASK...

8. Do you have access to the Internet using your own computer? (CHECK ANSWER.)

Yes (SKIP TO Q11)  1 ...216

No (CONTINUE WITH Q9)  2

IF NO TO Q7 OR NO TO Q8, ASK...

9. Regardless of whether you own your own computer, do you have easy access to any of the following types of computers? (CHECK ANSWER.)

• A Family Member’s Computer (ASK Q10)  1 ...217

• A Friend’s Computer (ASK Q10)  2

• A Computer At Work (ASK Q10)  3

• A Computer At School (ASK Q10)  4

• A Computer At A Public Library Or Some Other Public Facility (ASK Q10)  5

• Or Some Other Computer (SPECIFY & THEN ASK Q10)  6

Or, Do You NOT Have Easy Access To Any Other Computer (SKIP TO INSTRUCTIONS ABOVE Q11)  0

IF YES TO ANY BULLETED CHOICES IN Q9, ASK...

10. Do you have access to the Internet using any the computer(s) you just mentioned? (CHECK ANSWER.)

Yes (CONTINUE TO INSTRUCTIONS ABOVE Q11)  1 ...218

No (CONTINUE TO INSTRUCTIONS ABOVE Q11)  2

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ASK ALL WHO WERE YES IN Q6...

11. About how often do you use any computer – your own or another computer? Would you say you use a computer...(READ CHOICES & CHECK ONE ANSWER.)

Several Times A Day  1 ...219

About Once A Day  2

Several Times A Week  3

About Once A Week  4

Several Times A Month  5

About Once A Month  6

Less Often  7

IF YES TO EITHER Q8 OR Q10, ASK Q12. IF NO TO BOTH QS 8 & 10, SKIP TO PROBES ON SPECIAL-CASE SEGMENTS, Q15...

12. And, about how often do you access the Internet from any computer – your own or another computer? Would you say you access the Internet...(READ CHOICES & CHECK ONE ANSWER.)

Several Times A Day  1 ...220

About Once A Day  2

Several Times A Week  3

About Once A Week  4

Several Times A Month  5

About Once A Month  6

Less Often  7

IF YES TO EITHER Q8 OR Q10, ASK...

13. Do you have a personal or business e-mail address? (CHECK ANSWER.)

Yes (CONTINUE WITH Q14)  1 ...221

No (SKIP TO PROBES ON SPECIAL-CASE SEGMENTS, Q15)  2

IF YES TO Q13, ASK...

14. About how often do you write e-mail or check your e-mail? Would you say you write or check your e-mail...(READ CHOICES & CHECK ONE ANSWER.)

Several Times A Day  1 ...222

About Once A Day  2

Several Times A Week  3

About Once A Week  4

Several Times A Month  5

About Once A Month  6

Less Often  7

PROBES ON SPECIAL-CASE SEGMENTS

IF RESPONDENT IS IN SEGMENTS 1-6, LISTS LABELLED “SELF-THIS YEAR” AND “USED FORM 8453/8453OL THIS YEAR”, ASK Q15 NEXT.

15. Back to filing taxes for a moment: Our records show that your last year’s Federal Income Tax Return was prepared electronically. When it came time to sign the return, you had two choices – to enter a PIN number and the Adjusted Gross Income figure from your previous year’s tax return OR to sign a signature form and mail it to the IRS. You chose to sign the signature form and mail it in. Which, if any, of the following are reasons why you chose to sign the signature form and mail it in, and not use the PIN number plus Adjusted Gross Income figure? (ROTATE & READ CHOICES & CHECK ALL THAT APPLY.)

• The idea of signing the signature form and mailing it in just seemed easier/simpler  1 ...223

• Your software didn’t offer the PIN option  2

• You didn’t like or feel comfortable with the idea of using a PIN number  3

• You were afraid you would not be able to remember the PIN number if you ever needed it again  4

• You didn’t have a copy of last year’s return to look up the Adjusted Gross Income  5

• Choosing a PIN plus finding your previous year’s Adjusted Gross Income just seemed too complicated  6

• It wasn’t clear what was involved in choosing a PIN number  7

• You were concerned about all of the legal language involved in using a PIN number  8

• You didn’t know you had a choice between signing a form and choosing a PIN number  9

• You didn’t make this choice – someone helping you do your taxes made the choice for you  0

Some other reason (SPECIFY)  x

(DON’T READ, BUT CHECK IF RESPONDENT INSISTS...) Just don’t recall the reason  y

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PROBES ON SPECIAL-CASE SEGMENTS (Cont’d.)

IF RESPONDENT IS IN SEGMENT 3, LIST LABELLED “SELF-LAST YEAR” AND “PRACTITIONER PIN LAST YEAR”, ASK Qs 16A-B NEXT.

16A. In preparing your Federal Income Tax Return last year, did you have any help or assistance from any of the following types of people or groups? (ROTATE AS BOXED BELOW & READ CHOICES. CHECK ALL THAT APPLY.)

• The Volunteer Income Tax Assistance or VITA Program  1 …224

• The Tax Counseling For the Elderly or TCE Program  2

• AARP Assistance  3

• Another Volunteer Group (SPECIFY)  4

• A Professional Tax Preparer  5

• A Friend/Relative  6

You Did It All By Yourself  7

(DON’T READ, BUT CHECK IF RESPONDENT INSISTS...) Just Don’t Remember/Can’t Recall  y

16B. What about the year before that, in 2006? In preparing your Federal Income Tax Return that year, did you have any help or assistance from any of the following types of people or groups? (ROTATE AS BOXED BELOW & READ CHOICES. CHECK ALL THAT APPLY.)

• The Volunteer Income Tax Assistance or VITA Program  1 …225

• The Tax Counseling For the Elderly or TCE Program  2

• AARP Assistance  3

• Another Volunteer Group (SPECIFY)  4

• A Professional Tax Preparer  5

• A Friend/Relative  6

You Did It All By Yourself  7

(DON’T READ, BUT CHECK IF RESPONDENT INSISTS...) Just Don’t Remember/Can’t Recall  y

DEMOGRAPHICS – READ INTRO TO THIS SECTION AND ASK QUESTIONS OF ALL RESPONDENTS:

Finally, just a few questions for classification purposes only. Again, your responses to these questions are never identified with you personally in any way.

17. First, let me record your gender...(IF CAN’T TELL, CONFIRM. THEN, CHECK ONE ANSWER.)

Male  1 ...226

Female  2

17. In total, including yourself, how many people currently live in your household? (ENTER ANSWER.)

# ...227-228

(RECORD EXACT NUMBER)

IF “MORE THAN 1" IN PREVIOUS QUESTION, ASK:

17. Are there any children in the household who are...(READ CHOICES & CHECK ALL THAT APPLY.)

Under Age 6  1 ...229

Ages 6 to 12  2

Ages 12 to 18  3

No children present  4

ASK ALL:

17. What is your marital status? Are you...(READ CHOICES & CHECK ALL THAT APPLY.)

Married  1 ...230

Single But Living With Someone  2

Single & Never Married  3

Or, Separated, Divorced or Widowed  4

(DON’T READ BUT CIRCLE IF:) Refused  5

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17. What was the last grade of education you completed? Was it...(READ CHOICES & CHECK ALL THAT APPLY.)

Some High School Or Less  1 ...231

High School Graduate  2

Technical, trade, or Business School  3

Attended College But Did Not Complete Degree  4

College Undergraduate Degree (BS/BA/etc.)  5

Post-Graduate College Degree (MS/MBA/etc.)  6

(DON’T READ BUT CIRCLE IF:) Refused  7

17. Are you currently...(READ CHOICES & CHECK ALL THAT APPLY.)

Employed Full-Time  1 ...232

Employed Part-Time  2

Unemployed But Looking For Employment  3

A Homemaker  4

Retired  5

In The Service  6

A Student  7

(DON’T READ BUT CIRCLE IF:) Refused  y

IF “AGE” NOT APPENDED TO EVERYONE ON ALL LISTS, ASK...

17. Which of the following age categories includes your age? (READ CHOICES & CHECK ONE ANSWER.)

Under 18  1 ...233

18-25  2

26-35  3

36-45  4

46-55  5

56-64  6

65-74  7

75+  8

REFUSED  0

FOR ALL – CLOSING COMMENTS

That completes the survey. Thank you very much for your participation. Again, we are required by law to read to you the OMB (Office Of Management and Budget) Control Number for this public information request. That number is 1545-1349. In addition, if you have any comments about the time estimate to complete the survey or ways to improve the survey, you may write to the IRS. Would you like the address? (IF YES, ADDRESS IS…) Internal Revenue Service, Tax Products Coordinating Committee, SE:W:CAR:MP:T:T:SP, 1111 Constitution Ave. NW, Washington, DC  20224.