Request for Approval

Request for Approval under the “Generic Clearance for the Collection of
Routine Customer Feedback” (OMB Control Number: 1535-0143)

TITLE OF INFORMATION COLLECTION: EFT Tax Refund Primary Market Research:
Qualitative Phase

PURPOSE: The purpose of this project is to obtain insights on the motivations of people who
choose to receive tax refunds by paper check instead of electronic means in order to aid the IRS
in encouraging adoption of electronic processes. To increase the likelihood of obtaining
meaningful insights we have identified several population sub-segments through earlier research
where the paper check refunds are more common than for the taxpayer population as a whole.
DESCRIPTION OF RESPONDENTS: This research will be conducted with two types of
respondents: 1) individuals from the general public who are the decision makers related to tax
preparation in their household and 2) tax preparation professionals.
TYPE OF COLLECTION: (Check one)
[ ] Customer Comment Card/Complaint Form
[ ] Usability Testing (e.g., Website or Software
[X] Focus Group

[ ] Customer Satisfaction Survey
[ ] Small Discussion Group
[ ] Other:
____

CERTIFICATION:
I certify the following to be true:
1. The collection is voluntary.
2. The collection is low-burden for respondents and low-cost for the Federal Government.
3. The collection is non-controversial and does not raise issues of concern to other federal
agencies.
4. The results are not intended to be disseminated to the public.
5. Information gathered will not be used for the purpose of substantially informing influential
policy decisions.
6. The collection is targeted to the solicitation of opinions from respondents who have
experience with the program or may have experience with the program in the future.
Digitally signed by Bruce A. Sharp
DN: c=US, o=U.S. Government, ou=Department of the Treasury,
ou=Bureau of the Public Debt, ou=People, serialNumber=404211,
cn=Bruce A. Sharp
Date: 2014.05.07 11:49:38 -04'00'

Name:________________________________________________
Bruce A. Sharp
To assist review, please provide answers to the following question:
Personally Identifiable Information:
1. Is personally identifiable information (PII) collected? [ ] Yes [X] No
2. If Yes, will any information that is collected be included in records that are subject to the
Privacy Act of 1974? [ ] Yes [ ] No
3. If Yes, has an up-to-date System of Records Notice (SORN) been published? [ ] Yes [ ] No
Gifts or Payments:
Is an incentive (e.g., money or reimbursement of expenses, token of appreciation) provided to
participants? [X] Yes [ ] No

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General public taxpayer focus group participants will receive approximately $75 based on
prevailing rates for the location.
Tax preparation professionals receive approximately $100 - $125 based on prevailing rates for
the location.
Both audiences will be recruited in selected cities around the U.S.
BURDEN HOURS
Category of Respondent
Focus Group Participants – General Public
Individuals
Focus Group Participants – Tax professionals
Totals

No. of
Participation
Respondents Time
63
2.5 hours

Burden

35
98

87.5
245

2.5 hours
2.5 hours avg.

157.5

FEDERAL COST: The estimated annual cost to the Federal government is not known at this
time.
If you are conducting a focus group, survey, or plan to employ statistical methods, please
provide answers to the following questions:
The selection of your targeted respondents
1. Do you have a customer list or something similar that defines the universe of potential
respondents and do you have a sampling plan for selecting from this universe?
[ X] Yes
[ ] No
If the answer is yes, please provide a description of both below (or attach the sampling plan)? If
the answer is no, please provide a description of how you plan to identify your potential group of
respondents and how you will select them?
With both audiences – individual taxpayers and tax professionals – there is a plan to obtain
respondents who fall within specific categories.
The screening protocol for individuals is focused primarily on recruiting participants who selfreport that they receive tax refunds and do so with paper checks rather than electronic transfer
of funds. There are several subsets of individuals within this group that have been identified such
as social security recipients, under/unbanked, switchers that are of special interest.
In all cases, participation will be voluntary and categorization of participants will be based on
their self-reporting. There will be no personally identifiable information collected and no
association with their tax returns.
The screening protocol for tax professionals is designed to obtain a selection of professionals
covering different sectors of the market. See attached Screeners.

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Administration of the Instrument
1. How will you collect the information? (Check all that apply)
[ ] Web-based or other forms of Social Media
[X] Telephone
[X] In-person
[ ] Mail
[ ] Other, Explain
2. Will interviewers or facilitators be used? [X] Yes [ ] No
Please make sure that all instruments, instructions, and scripts are submitted with the
request.

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Instructions for completing Request for Approval under the “Generic
Clearance for the Collection of Routine Customer Feedback”
TITLE OF INFORMATION COLLECTION: Provide the name of the collection that is the
subject of the request. (e.g. Comment card for soliciting feedback on xxxx)
PURPOSE: Provide a brief description of the purpose of this collection and how it will be used.
If this is part of a larger study or effort, please include this in your explanation.
DESCRIPTION OF RESPONDENTS: Provide a brief description of the targeted group or
groups for this collection of information. These groups must have experience with the program.
TYPE OF COLLECTION: Check one box. If you are requesting approval of other
instruments under the generic, you must complete a form for each instrument.
CERTIFICATION: Please read the certification carefully. If you incorrectly certify, the
collection will be returned as improperly submitted or it will be disapproved.
Personally Identifiable Information: Provide answers to the questions. Note: Agencies
should only collect PII to the extent necessary, and they should only retain PII for the period of
time that is necessary to achieve a specific objective.
Gifts or Payments: If you answer yes to the question, please describe the incentive and provide
a justification for the amount.
BURDEN HOURS:
Category of Respondents: Identify who you expect the respondents to be in terms of the
following categories: (1) Individuals or Households;(2) Private Sector; (3) State, local, or tribal
governments; or (4) Federal Government. Only one type of respondent can be selected per row.
No. of Respondents: Provide an estimate of the Number of respondents.
Participation Time: Provide an estimate of the amount of time required for a respondent to
participate (e.g. fill out a survey or participate in a focus group)
Burden: Provide the Annual burden hours: Multiply the Number of responses and the
participation time and divide by 60.
FEDERAL COST: Provide an estimate of the annual cost to the Federal government.
If you are conducting a focus group, survey, or plan to employ statistical methods, please
provide answers to the following questions:
The selection of your targeted respondents. Please provide a description of how you plan to
identify your potential group of respondents and how you will select them. If the answer is yes,
to the first question, you may provide the sampling plan in an attachment.
Administration of the Instrument: Identify how the information will be collected. More than
one box may be checked. Indicate whether there will be interviewers (e.g. for surveys) or
facilitators (e.g., for focus groups) used.
Submit all instruments, instructions, and scripts are submitted with the request.

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