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pdfOMB SUPPORTING STATEMENT
STUDY TO MEASURE CUSTOMER SATISFACTION
AUTOMATED UNDERREPORTER (AUR) – CY2010
FEBRUARY 1, 2010 - DECEMBER 31, 2010
TIRNO-05-Z-000XX
Introduction
Background/Overview
The Internal Revenue Service (IRS) engages a balanced measurement system consisting of
business results, customer satisfaction, and employee satisfaction. This initiative is part of the
Service-wide effort to establish a system of balanced organizational performance measures
mandated by the IRS Restructuring and Reform Act of 1998. This is also a result of
Executive Order 12862, which requires all government agencies to survey their customers
and incorporate customer preferences in their process improvement efforts.
The Automated Underreporter (AUR) section within the Compliance Operating Unit (OU) of
the Wage and Investment (W&I) Division is responsible for notifying taxpayers of
discrepancies between the income information reported on their tax returns and the income
information supplied by their employers and other organizations. As an important customer
interface for Wage & Investment, Automated Underreporter needs feedback from customers
(i.e., taxpayers) to continuously improve its operations.
The key goals of the survey are:
•
Identify customer expectations of Automated Underreporter,
•
Track customer satisfaction at the three Wage and Investment Automated Underreporter
sites and nationwide, and
•
Identify operational improvements.
Objectives of Data Collection
The objective of the survey is to gauge customer expectations and perceptions about the
AUR process. The survey results should facilitate more effective management of W&I
Automated Underreporting by:
•
Providing insight from the customer’s perspective about possible improvements.
•
Providing useful input for program evaluation and execution at the programmatic and
field office level of service delivery.
Methodology
Sample Design
The sample database consists of taxpayers with closed AUR cases. The contractor selects
1600 taxpayers per quarter (stratifying by the three W&I AUR sites), resulting in a total of
480 completed questionnaires each quarter (160 per site) and 1,920 completed questionnaires
per year (640 per site).
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Data to be Collected
Automated Underreporter taxpayer customer satisfaction respondent data is collected.
How Data Collected & Used
The questionnaire is based on the contractor’s Net Impression methodology, which asks
respondents to evaluate various aspects of their experience and to provide an overall
summary evaluation. The questionnaire was developed based on focus group input with
customers who received a notice from the IRS notifying them of a discrepancy between their
W2 or 1099 Forms and the earnings information reported on their tax returns.
The contractor administers the survey by mail on a monthly basis. Standard procedures will
be used in order to obtain the highest response rate possible for the mail survey. These
include: 1) an advance letter about the survey; 2) the initial survey with a cover letter; 3) a
postcard reminder; and, 4) a second letter and survey to non-respondents.
The contractor, on a quarterly basis, summarizes the quantitative ratings and produces a
national report showing customer satisfaction scores on all AUR survey items and overall
improvement priorities for the function. The contractor delivers two versions of each national
report, one with any appropriate site-level data and one without site references. On an annual
basis, the contractor prepares three site reports containing individual site scores on each of
the survey items and improvement priorities for the individual sites. The contractor includes
any relevant database variables in the analysis and weights the survey responses as necessary,
to accurately reflect the entire customer base.
Reports of survey findings are distributed to the IRS each quarter. Each report is delivered
approximately seven weeks after the survey cut-off date for the quarter.
Dates of Collection Begin/End
Data collection runs the 2010 calendar year from February 1, 2010 through December 31,
2010.
Who is Conducting the Research/Where
The contractor is responsible for ensuring the sample is pulled and to conduct data analysis.
A separate GPO contractor will be responsible for printing and administering the survey via
mail, and then providing the dataset to the contractor.
Cost of Study
The estimated cost for this survey is $112,187.
Expected Response Rate
The expected response rate is 30%. The expected response rate on this survey is lower than
the OMB 50% target rate since the sample consists of taxpayers with compliance issues.
They did not report all of their income to the IRS. This group of taxpayers generally doesn’t
seek out the IRS. In addition, there are no incentives offered to encourage taxpayers to
respond to the survey. Mail surveys also traditionally yield lower response rates than other
methodologies such as telephone or in-person interviews. Telephone and in-person
techniques offer the advantage of interviewer contact who can further encourage taxpayers to
W&I AUR OMB, CY2010
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respond through refusal conversion techniques. The mail survey methodology employs best
practices in maximizing response rates by sending out enough mailings as justified without
creating extra burden for taxpayers.
With regard to the low response rate, the IRS will assume that all data collected from this
survey is qualitative in nature, and that no critical decisions will be made by this office solely
from the analysis of data from this survey. The results from this survey are simply one piece
of a larger set of information needed to assess the needs related to services provided by the
IRS.
Methods to Maximize Response Rate
The questionnaire length is minimized to reduce respondent burden; thereby, tending to
increase response rates. Respondents are assured anonymity of their responses. Also,
weighting procedures can be applied to adjust aggregated data from those who do respond.
Test Structure and Design
The Automated Underreporter questionnaire is an established and tested survey instrument. If
changes are made to the questionnaire, they are expected to be minor.
The survey includes several ratings questions evaluating service delivery during the AUR
process as well as several demographic items. In addition, ample space is provided for
suggestions for improvement. Survey scoring for this contract is based on the Customer
Satisfaction Survey Score response average to the keystone question – “Regardless of
whether you agree or disagree with the final outcome, how would you rate your overall
experience with the way your discrepancy was handled?” Questions utilize a 5-point rating
scale, with 1 being very dissatisfied and 5 being very satisfied. All survey responses will be
released only as summaries. The contractor shall hold the identities, of the taxpayers
responding to the survey, private to the extent permitted by law. The contractor ensures that
taxpayers responding to the survey are guaranteed anonymity.
Efforts to avoid Duplicate Research
This is the only Customer Satisfaction survey currently conducted by W&I Compliance for
Automated Underreporters.
Participants Criteria
Survey participants are pulled from Automated Underreporter closed cases in a random
sample by IRS employees at each of the 3 site locations.
Privacy, Disclosure and Security Issues
The IRS will ensure compliance with the Taxpayer Bill of Rights II. All participants will be
treated fairly and appropriately.
The security of the data used in this project and the privacy of participants will be carefully
safeguarded at all times. Security requirements are based on the Computer Security Act of
1987 and Office of Management and Budget Circular A-130, Appendices A7B. Physical
security measures include a locked, secure office. Audiotapes are stored in locked cabinets.
Transcription of audiotapes are stored in locked cabinets or shredded. Data security at the
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appropriate levels has been accomplished. Systems are password protected, users profiled for
authorized use, and individual audit trails generated and reviewed periodically. The IRS will
apply and meet fair information and record keeping practices to ensure privacy protection of
all participants. This includes criterion for disclosure—laid out in the Privacy Act of 1974,
the Freedom of Information Act, and Section 6103 of the Internal Revenue Code—all of
which provide for the protection of taxpayer information as well as its release to authorized
recipients. Privacy will be safeguarded; participants will not be identified to IRS personnel.
In addition, no participant names will be mentioned in the reports or data files. Participants
will be advised that comments will be audio taped. Privacy is assured by virtue of agency
policy.
Pursuant to the Federal Information Security Management Act (FISMA), Title III of the EGovernment Act of 2002, P.L. 107-347, the contractor shall provide minimum security
controls required to protect Federal information and information systems. The term
‘information security’ means protecting information and information systems from
unauthorized access, use, disclosure, disruption, modification, or destruction in order to
provide confidentially, integrity and availability.
The contractor shall provide information security protections commensurate with the risk and
magnitude of the harm resulting from the unauthorized access, use, disclosure, disruption,
modification, or destruction of information collected or maintained by or on behalf of the
agency; or information systems used or operated by an agency or by a contractor of an
agency. This applies to individuals and organizations having contractual arrangements with
the IRS, including employees, contractors, contractors, and outsourcing providers, which use
or operate information technology systems containing IRS data. The contractor shall comply
with Department of Treasury Directive TD P 85-01, Treasury Security Manual TDP 71-10,
and Internal Revenue Manual 10.8.1 Information Technology Security Policy and Guidance.
The contractor shall comply with IRS Internal Revenue Manuals (IRM) and Law
Enforcement Manuals (LEM) when developing or administering IRS information and
information systems. The contractor shall comply with the Taxpayer Browsing Protection
Act of 1997 - Unauthorized Access (UNAX), the Act amends the Internal Revenue Code
6103 of 1986 to prevent the unauthorized inspection of taxpayer returns or tax return
information. Contractors systems that collect, maintain, operate or use agency information or
an information system on behalf of the agency (a General Support System (GSS), Major or
Minor Application with a FIPS 199 security categorization) must ensure annual reviews, risk
assessments, security plans, control testing, a Privacy Impact Assessment (PIA), contingency
planning, and certification and accreditation, at a minimum meet NIST guidance, if required
by the IRS.
The contractor shall be subject to at the option / discretion of the agency, to periodically test,
(but no less than annually) and evaluate the effectiveness of information security controls and
techniques. The assessment of information security controls may be performed by an agency
independent auditor, security team or Inspector General, and shall include testing of
management, operational, and technical controls of every information system that maintain,
collect, operate or use federal information on behalf of the agency. The agency and
contractor shall document and maintain a remedial action plan, also known as a Plan of
Action and Milestones (POA&M) to address any deficiencies identified during the test and
evaluation. The contractor must cost-effectively reduce information security risks to an
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acceptable level within the scope, terms and conditions of the contract. The contractor shall
maintain procedures for detecting, reporting, and responding to security incidents, and
mitigating risks associated with such incidents before substantial damage is done to federal
information or information systems. The contractor shall immediately report all computer
security incidents that involve IRS information systems to the IRS Computer Security
Incident Response Center (CSIRC). Any theft or loss of IT equipment with federal
information / data must be reported within one hour of the incident to CSIRC. Those
incidents involving the loss or theft of sensitive but unclassified (SBU) data (i.e. taxpayer,
PII) shall be reported to CSIRC, first-line manager, and Treasury Inspector General for Tax
Administration (TIGTA). Based on the computer security incident type, CSIRC may further
notify the Treasury Computer Security Incident Response Capability (TCSIRC) in
accordance with TCSIRC procedures.
Burden Hours
The survey interview is designed to minimize burden on the taxpayer. The time that a
respondent takes to complete the mail survey is carefully considered and only the most
important areas are being surveyed. The average time of survey completion is expected to be
7 minutes. The questions are generally one sentence in structure and on an elementary
concept level.
Based on a sample of potential respondents of 6,400 (3 sites, average of 178 per site each
month) and a response rate of 30%, we expect 1,920 survey participants (640 per site),
leaving 4,480 non-participants. The contact time to determine non-participants could take up
to two minutes to read the pre-contact letter, with the resulting burden for non-participants
being 4,480 x 2 minute = 8,960/60 minutes=149 burden hours.
For participants, the time to complete the survey is 7 minutes. This reflects the time to read
the pre-notification letter (2 minutes) and time needed to complete the survey (5 minutes
maximum). The time burden for participants is 1,920 x 7 minutes/60 minutes = 224 burden
hours.
Thus the total burden hours for the survey would be (149 + 224) 373 burden hours.
Attachments
13257-G Automated Underreporter Survey
L1-Advance letter (pre-note) about the survey
L2-Cover letter with the survey
L3-Postcard reminder
L4-Second letter and survey to non-respondents
W&I AUR OMB, CY2010
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OMB # 1545-1432
IRS WAGE AND INVESTMENT
CUSTOMER SATISFACTION SURVEY
AUTOMATED UNDERREPORTER (AUR)
The IRS is trying to improve its service to the public. You can help in this important mission by
answering the questions below. This voluntary survey should take less than 5 minutes to complete.
Your responses will be kept completely anonymous to the IRS. If you have any questions about this
survey, you may call the Survey Helpline at 1-866-960-7897.
1
The questions that follow ask your opinion regarding the discrepancy that was highlighted on your tax
return. For each question, regardless of whether you agree or disagree with the final outcome, please indicate
your answer by checking the box that best represents your opinion.
Neither
Satisfied
Very
Somewhat
Nor
Somewhat
Dissatisfied Dissatisfied Dissatisfied Satisfied
How would you rate the ...
a. Ease of understanding the form notifying you of the discrepancy? ..........
(If “Very Dissatisfied” or “Somewhat Dissatisfied” rating): Why did you give this item a low rating?
2
b. Accuracy of the discrepancy amount? .....................................................
c. Completeness of information about the discrepancy? ..............................
(If “Very Dissatisfied” or “Somewhat Dissatisfied” rating): Why did you give this item a low rating?
d. Completeness of instructions for resolving the discrepancy? ...................
(If “Very Dissatisfied” or “Somewhat Dissatisfied” rating): Why did you give this item a low rating?
e.
f.
g.
h.
Flexibility in resolving the discrepancy? .................................................
Length of time it took to resolve the discrepancy? ...................................
Ease of understanding documents explaining the action taken on your account?
Length of time it took to hear from the IRS that you had a discrepancy?
Did you call the number listed in the AUR notice?
Yes (Continue below)
No (Skip to question 5)
How would you rate the ...
a. Usefulness of the automated telephone system? .....................................
b. Length of time it took you to get through to an IRS employee? .............
c. Completeness of information you received during this call? ..................
3
Very
Satisfied
Neither
Satisfied
Very
Somewhat
Nor
Somewhat
Dissatisfied Dissatisfied Dissatisfied Satisfied
Very
Satisfied
What is the primary reason that you called the phone number listed in the AUR notice? (Mark only one response)
To receive an explanation of the notice
To receive general information (e.g., forms status of case, etc.)
To receive answers to my questions regarding my case
To give the IRS additional information
To request an extension of time to respond
Other (specify)
Please continue on back
Form 13257-G (Rev. 2-2009)
Cat. No. 34392R
Department of the Treasury – Internal Revenue Service
4
5
Were you able to reach a representative when you called the phone
number listed in the AUR notice?
Neither
Satisfied
Yes (Continue below)
No (Skip to question 5)
Very
Somewhat
Nor
Dissatisfied Dissatisfied Dissatisfied
How would you rate the ...
a. Length of time it took to complete your call once you got through? ........
b. Courtesy of the IRS representative? .........................................................
c. Knowledge of the IRS representative? .....................................................
d. Ability of the IRS representative to assist you in resolving your issue? ...
Regardless of whether you agree or disagree with the final outcome,
how would you rate your overall satisfaction with the way your
discrepancy was handled? .........................................................................
6
Were you provided with documents explaining the actions taken on your account?
Yes
No
7
Did you expect to receive documents explaining the actions taken on your account?
Yes
No
8
If you had questions regarding your discrepancy,
what method of contacting the IRS would you
prefer? Please rank in order of importance from 1st
to 5th, with 1st being the highest preference and 5th
being the lowest preference. (Mark only one under
each preference.)
Mail ............
Phone ..........
In person .....
Fax ..............
E-mail .........
11
Highest
Preference
1st
2nd
3rd
4th
Lowest
Preference
5th
9
Somewhat
Satisfied
Very
Satisfied
Did you agree with the outcome of your
discrepancy?
Yes
No
Why did you disagree?
Not sure
10
Did you ...?
Use a tax professional to resolve this discrepancy
Represent yourself
Both
Use this space for comments or suggestions for improvement.
Occasionally, we conduct additional in-depth IRS-related research. Research participants may receive a small
monetary incentive to participate depending on the research. If you are interested in participating in future
research, please provide us with your telephone number and your e-mail address (if available). This information
will not be shared with the IRS and will be used only for the purpose of survey research.
Telephone number: __________________________ E-mail address: _____________________________
If you have been unable to resolve any specific problems with your tax matter through the normal IRS channels,
or now face a significant hardship due to the application of the tax law, we encourage you to contact the Taxpayer
Advocate Service at 1-877-777-4778.
Paperwork Reduction Act Notice. The Paperwork Reduction Act requires that the IRS display an OMB control number on all
public information requests. The OMB Control Number for this study is 1545-1432. Also, if you have any comments regarding the time
estimates associated with this study or suggestions on making this process simpler, please write to the: Internal Revenue Service, Tax
Products Coordinating Committee, SE:W:CAR:MP:T:T:SP, 1111 Constitution Ave. NW, Washington, DC 20224.
Thank you for completing the survey.
Please return the questionnaire to P.O. Box 64530, St. Paul, MN 55164-9610 USA.
Form 13257-G (Rev. 2-2009)
Cat. No. 34392R
Department of the Treasury – Internal Revenue Service
DEPARTMENT OF THE TREASURY
INTERNAL
REVENUE
ATLANTA,
SERVICE
GA 30308
AURWIXXXX091199994200911
Dick Prosser
855 Peachtree St NE Unit 3106
Atlanta, GA 30308-7435
11111.111111111111
••• 11.1.1111111
•• 1•• 111.111.1
•• 1111'111111.1
I need your help 'with an impoiiant initiative I am undertaking io improve
our service to America's taxpayers. I want to get feedback from taxpayers
like you who have received a notice from the IRS pointing out a discrepancy
between the earnings information reported on their tax return and the
information provided to us by organizations such as banks and employers.
In a few days, you will receive a questionnaire asking your opinions about
the process of resolving such discrepancies with the IRS. Please direct it
to the person in your household who had the most contact with the IRS on
this matter. The questionnaire should take less than 5 minutes to complete.
Your answers will be combined with others to give us an evaluation of customer
satisfaction with IRS service.
To keep all replies anonymous to the IRS, we have asked an independent
research company to administer the survey. Pacific Consulting Group/Scantron
employees will process the questionnaires and report only statistical totals
to us.
I am committed to improving IRS service to every taxpayer. Please help
me in tflis effoFt b-y--eompleting and returning the questionnaire as soon as
possible. If you do not receive a questionnaire, please contact the Survey
Helpline at 1-866-960-7897.
~~
(~(~~"~
..
~
Brady Bennett
Director, Compliance
Wage and Investment Division
Pacific Consulting Group/Scantron
IRS Customer Survey
P.O. Box 64530
St. Paul, MN 55164-9610 USA
AURWIXXXX091 09999420091 0
Dick Prosser
855 Peachtree St NE Unit 3106
Atlanta, GA 30308-7435
1•• 11.11 ••••• 11.11,"11.1.1"11.11.111
11•• 1.1.1 •• 11 ••• 1111.1.1
A few days ago, you received a letter from Brady Bennett, Director, Compliance, Wage and
Investment Division, asking for your help with an important research project.
We are administering a nationwide survey among people who have had contact with the Internal
Revenue Service (IRS). We want to know your opinions about the process of resolving a discrepancy
between the earnings information reported on your tax return and information provided to the IRS by
organizations such as banks and employers. Your responses are critical to the accuracy of this research.
We are sending questionnaires to a random sample of taxpayers who have had such discrepancies.
All responses will be anonymous to the IRS, and your participation is voluntary. We will group
your responses with others, so that no individual reply can be traced back to anyone person.
The questionnaire is quite brief and should take less than 5 minutes to complete. Please use the
postage-paid reply envelope to return your completed questionnaire. If you have any questions
about this survey, please feel free to call the Survey Helpline at 1-866-960-7897.
The IRS is committed to improving its performance and service to the American public. A first
ste-.Q.
in thiUJrocess is to .gather reliable information from those who have had contact with IRS
services and employees. Your honest opinions will help bring about this improvement.
Dr. Peter Webb
Project Director
June 8, 2009
000001
AURWIXXXX081299996199912
John Doe
2970 SWEETWATER RD SUITE 222
CHAMBLEE, GA 30341
*30341*
Dear John Doe:
| File Type | application/pdf |
| File Title | Microsoft Word - AUR Survey OMB Submission CY2010.doc |
| Author | f1kfb |
| File Modified | 2010-01-12 |
| File Created | 2010-01-11 |