686 2015 686 Domestic Analytic Products Survey

FinCEN – Domestic Analytic Products Customer Satisfaction Questionnaire

FinCEN – Domestic Analytic Products Survey

Customer Satisfaction Survey 2015

Introduction

FinCEN is committed to serving their customers and has commissioned the CFI Group, an independent third-party research group, to conduct this survey. FinCEN is asking for general feedback about the products or support you received so they can improve their service to you; there will not be any specific questions concerning past or current investigations.

The survey will take approximately 15 minutes to complete. Your answers are voluntary, but your opinions are very important. Your responses will remain anonymous and will only be reported in aggregate. This interview is authorized by Office of Management and Budget Control No. 1090-0007 which expires on March 31, 2015.

Demographics

Demo1. Which of the following best describes your organization?

1. Department of Defense

   1. Army CID

   2. NCIS

   3. Air Force OSI

   4. Other (Specify)

2. Department of Homeland Security

   1. Coast Guard

   2. HSI/ICE

   3. Secret Service

   4. Other (Specify)

3. Department of Treasury

   1. Internal Revenue Service- CI

   2. Internal Revenue Service -SBSE

   3. TIGTA

   4. TFI (Specify Office)

   5. Other (Specify)

4. Department of Justice

   1. DEA

   2. FBI

   3. Other (Specify)

5. Federal Regulatory Agencies

   1. Federal Reserve

   2. OCC

   3. FDIC

   4. NCUA

   5. Other (Specify)

6. Intelligence Community

   1. CIA

   2. DIA

   3. NSA

   4. NSC

   5. Other (Specify)

7. Other Federal Government Department/Agency (specify)

8. State/Local Law Enforcement

   1. State LE Agency

   2. Local LE Agency

9. Other (specify)

Demo2. Which of the following best describes your location? (select one)

1. Headquarters

2. Regional or field office

Demo3. Which of the following best describes your position? (select one)

1. Senior Management or Advisory

2. Mid-Level Management or Supervisory

3. Non-Management

Case and Program Support

FinCEN provides specialized research and analysis of BSA data to support partner efforts to deter, identify, and investigative crime.

CS1 Have you ever requested case or program support from FinCEN?

1. Yes (Continue to next question)

2. No (Skip to next Section- Tactical and Strategic Intelligence Products)

CS2 How frequently have you have requested case or program support from FinCEN during the past 12 months?

1. Once

2. 2-3 times

3. 4 or more times

CS 3 What are the reasons that you/your agency requested case or program support from FinCEN? (Check all that apply)

1. FinCEN has unique expertise related to analyzing the Bank Secrecy Act (BSA) data

2. FinCEN has access to unique sources of information

3. FinCEN has access to unique resources/analytical software

4. FinCEN has unique expertise or knowledge in/of specific field(s) of money laundering, financial crime or other financial subject matter relevant to my area of responsibility

5. I do not/my agency does not have sufficient experience to do the analysis internally

6. I do not/my agency does not have sufficient resources to do the analysis internally

7. I do not/my agency does not have access to FinCEN Query

8. Please specify any other reasons not captured above (open ended)

CS 4 How did you use the case or program support information you received from FinCEN? (Check all that apply)

1. Verified existing information

2. Supplemented or expanded known information

3. Helped identify new leads (e.g., financial transactions, bank accounts, assets, subject associations, etc.)

4. Provided information previously unknown

5. Assisted in planning/developing plans or actions

6. Helped you better use resources

7. Not useful

8. Please specify uses not captured above (Open ended)

CS5 . On a scale from “1” to “10,” where “1” is “not valuable” and “10” is “very valuable,” please rate the value of the case or program support received from FinCEN.

Tactical and Strategic Intelligence Products

FinCEN’s Intelligence Division also produces tactical and strategic intelligence reports about national and international financial crime networks, trends, patterns, vulnerable payment mechanisms and related funds flows, methodologies, and activities.

SP1 Have you ever received an intelligence product from FinCEN?

1. Yes (Continue to next question)

2. No (Skip to next Section – BSA Certifications)

SP2 What action did your organization take in response to the intelligence product from FinCEN? (Check all that apply)

1. Opened case, inquiry or project

2. Assigned for preliminary evaluation or investigation

3. Referred to other office

4. Retained for future use

5. Incorporated information into intelligence, investigative or other reports

6. Initiated intelligence collection

7. Requested additional analytical support, and/or target and trends monitoring from FinCEN

8. Requested training from FinCEN

9. Requested other type of support from FinCEN (Please specify)

10. Took no action

SP3 How useful was the intelligence product you received from FinCEN? (Check all that apply)

1. Provided information previously unknown

2. Supplemented, expanded or reinforced known information

3. Contradicted known information

4. Assisted in planning or developing agency or unit objectives

5. Identified new investigative leads (e.g., financial transactions, bank accounts, assets, subject associations, etc.)

6. Helped enhance the focus and/or scope of your investigative and analytic efforts

7. Helped you better use resources

8. Assisted in comprehending and following illicit money flows through vulnerable payment processes and transactions

9. Not useful

10. Please specify uses not captured above (Open ended)

SP4 On a scale from “1” to “10,” where “1” is “not valuable” and “10” is “very valuable,” please rate the value of the intelligence product received from FinCEN.

SP5 How can FinCEN improve its tactical and strategic intelligence products? (open ended)

BSA Certifications

BC1. Over the past 12 months, have you requested Certified BSA documents?

1. Yes (Continue to next question)

2. No (Skip to next Section – 314(a) Information Sharing Requests)

BC2. On a scale from “1” to “10” where “1” means “not very satisfied” and “10” means “very satisfied”, how satisfied are you with the timeliness of the BSA Certification process?

BC3. On a scale from “1” to “10” where “1” is “not very satisfied” and “10” is “very satisfied”, how satisfied are with the level of customer service you received from the BSA Certification Program Office?

314(a) Information Sharing Requests

FinCEN’s regulations under Section 314(a) of the USA PATRIOT Act enable law enforcement agencies, through FinCEN, to reach out to U.S. financial institutions to locate accounts and transactions of persons that may be involved in terrorism or significant money laundering. FinCEN receives requests from law enforcement and upon review, makes the information available to designated contacts within financial institutions via a secure Internet web site.

IS1. How many times have you have utilized FinCEN’s 314(a) program during the past 12 months?

1. None (skip to next Section – Foreign FIU Requests)

2. Once (continue to QIS2)

3. 2-3 times (continue to QIS2)

4. 4 or more times (continue to QIS2)

IS2. On a scale from “1” to “10,” where “1” is “not at all useful” and “10” is “very useful,” please rate the usefulness of the 314(a) requests FinCEN processed on behalf of your agency for investigations of financial crimes or money laundering?

IS3.  On a scale from “1” to “10” where “1” is “not very satisfied”  and “10” is “very satisfied”, how satisfied  are you with the timeliness of utilizing the 314(a) process?

IS4.  On a scale from “1” to “10” where “1” is “not very satisfied” and “10” is ”very satisfied”, how satisfied are you with the level of customer service you received from the 314 Program Office?

IS5. On a scale from “1” to “10,” where “1” is “not very satisfied” and “10” is “very satisfied,” please rate your/your agency’s satisfaction with the opportunities it has had to provide FinCEN with input or feedback on development, prioritization, and implementation of its 314(a) process. Select N/A if you have not provided FinCEN input or feedback on 314(a).

Foreign Financial Intelligence Unit (FIU) Requests

FinCEN is the FIU representing the United States that participates in a global network of FIUs called the Egmont Group. As such, at the request of domestic law enforcement agencies, FinCEN can facilitate information exchange with FIUs in other countries on law enforcement investigations that have an international component.

On a scale from “1” to “10,” where “1” is “not at all useful” and “10” is “very useful,” please rate the usefulness of the following types of FIU requests in your agency’s investigations of financial crimes or money laundering.

If you have not utilized this service, please select N/A.

FR1. Responses to you/your agency’s requests for foreign FIU information

FR2. Referrals to you/your agency regarding foreign countries’ requests for information

FR3.  On a scale from “1” to “10” where “1” is “not very satisfied” and “10” is “very satisfied”, how satisfied  are you with the timeliness of utilizing the Egmont Process?

FR4.  On a scale from “1” to “10” where “1” is “not very satisfied” and “10” is ”very satisfied”, how satisfied are you with the level of customer service you received when making an Egmont request?

FR5. On a scale from “1” to “10,” where “1” is “not very satisfied” and “10” is “very satisfied,” please rate your/your agency’s satisfaction with the opportunities it has had to provide FinCEN with input or feedback on development, prioritization, and implementation of its Egmont request process. Select N/A if you have not provided FinCEN input or feedback on an Egmont request.

Training/Outreach Services

FinCEN provides a variety of training and outreach to its partners, including FinCEN Query/FinCEN Portal, as well as substantive subject matter training sessions on such topics as comprehending funds transfers, virtual currencies, securities and derivatives, money transfers, prepaid cards, and related trends. FinCEN also conducts outreach by attending a number of conferences each year and conducting information sessions for individual agencies on the types of products, topical expertise, and services it offers.

TO1. Have you or other staff from your agency attended training or outreach sessions offered by FinCEN ?

1. Yes (Continue to next questions)

2. No (Skip to next Section – Communication)

On a scale from “1” to “10,” where “1” is “poor” and “10” is “excellent,” please rate the quality of each FinCEN Query Training Tool and other outreach sessions you have used or participated in.

TO2. Web-Based Training

TO3. Job Aids

TO4. Online Help Training

TO5. FinCEN Query Quick Reference Guide

TO6. FinCEN Query User Manual

TO7. FinCEN Query/Portal Classroom Training

TO8. FinCEN Query/Portal Webinar Training

TO9. FinCEN Portal Login Instructions

TO10. Outreach and substance-related training, e.g. virtual currency or other payment systems (Specify)

TO11. If you attended substance-related training, please provide further feedback on the value of the training (Open ended)

Communication and Feedback

C1 On a scale from “1” to “10,” where “1” is “not very satisfied” and “10” is “very satisfied,” please rate your/your agency’s satisfaction with the opportunities it has had to provide FinCEN with input or feedback on its products and services. Please enter N/A if you have not communicated, or attempted to communicate, with FinCEN about its products and services.

C2 Please provide any suggestions for how FinCEN can improve its customer communication. (Open ended)

ACSI Benchmark Questions

Now we are going to ask you to please consider your overall experiences with FinCEN:

ASCI1. First, please consider your experiences with FinCEN’s product and service support over the past 12 months. Using a 10-point scale on which “1” means “Very dissatisfied” and “10” means “Very satisfied,” how satisfied are you with this support?

ASCI2. To what extent have FinCEN’s products and services met your expectations? Please use a 10-point scale on which "1" now means "Falls short of your expectations" and "10" means "Exceeds your expectations."

ASCI3. Forget about FinCEN’s product and service support for a moment. Now, imagine the ideal product or service support. How well do you think FinCEN’s support compares with that ideal? Please use a 10-point scale on which "1" means "Not very close to the ideal" and "10" means "Very close to the ideal."

Closing

FinCEN would like to thank you for your time and participation today. Your feedback is greatly appreciated.

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