Cognitive and Psychological Research

Forms and Documents

Document Name	Status
Copy of Final Appendix A Burden Hour Cognitive 2014-2017 Generic Clearance(rev).xls Supplementary Document	2014-01-08
Supporting Statement - Part B.docx Supporting Statement B	2014-01-08
Supporting Statement 2014-2017.docx Supporting Statement A	2014-01-08

IC Document Collections

IC ID	Document Title	Status
226995	SOI-513 Individual Toll-Free Line Focus Groups Other-Moderator's Guide	New
226762	SOI-514 TAS Installment Agreement - Services Focus Groups Other-moderator's guide	New
226434	SOI-509 Tax Professional Focus Groups Other-Guides	New
226433	SOI-508 Prototype Redesign IRS.gov Online Accounts Other-Guides	New
226263	SOI-510 Earned Income Tax Credit, SOI-511 Compliance, and SOI-512 Offer in Compromise Tax Forum Focus Groups Other-Guides	New
226148	SOI-507 Taxpayer Experience Survey Pre-Test Other-Focus Groups	New
225932	SOI-506 Optimizing Future State Focus Groups Other-Instruments	New
225303	SOI-505 Future State Service Delivery Transcripts Other-Guides	New
224547	SOI-504 Taxpayer Experience Survey FY15 followup focus groups Other-moderator's guide	New
224446	SOI-503 SBSE CCE Focus Group Other-focus group	New
222228	SOI-502 Preparer Partnership Future State TF Focus Groups Other-Guides	New
222139	SOI-501 Taxpayer Use of Paper Products Interviews Other-Guide	New
222040	SOI-494C - Injured Spouse Phone Focus Groups Other-Survey	New
221837	SOI-499 Federal Tax Deposit Tax Forum Focus Groups Other-Guides	New
221836	SOI-498 Affordable Care Act -Tax Forum Focus Groups Other-Guides	New
221691	SOI-500 Tax Forum Earned Income Tax Credit Payments Other-Guides	New
221688	SOI-497 Tax Forum Affordable Care Act Other-Guides	New
221183	SOI-495 Paid Preparer Focus Groups Other-Guides	New
221181	SOI-494 Injured Spouse Phone Focus Groups Other-Guides	New
221044	SOI-496 Refund Timing Future State Focus Groups Other-null	New
220801	SOI-493 Demand Migration Phone Interviews Other-Guides	New
219399	SOI-490 TES Pretesting, SOI-491 TES Cognitive Focus Groups, & SOI-492 Adjustments Other-Testing Attachments	New
218083	SOI-488 Affordable Care Act Non-Compliance Other-Cogitive Research	New
218082	SOI-487 VITA Volunteer Recruitment Other-Cognitive Survey	New
217677	SOI-489 Web First Conjoint Research Other-Cognitive Survey	New
217646	SOI-486 E Help Desk Focus Groups Other-Focus Group Materials	New
217169	SOI-485 EITC Focus Groups Other-Guides	New
217105	SOI-484 TAS Appeals, PPS, & TTK Focus Groups Other-Focus Group Guides	New
216589	SOI-482 Form 94x e-File Other-Focus Groups	New
215982	SOI-481 Filing Payment Compliance Focus Groups Other-FG Guide/Screener	New
215743	SOI-480 AUR Reporting Compliance Telephone Interviews Other-Interview Guide	New
214875	SOI-479 Field Assistance Focus Groups Other-Focus Group Guide	New
214048	SOI-478 Taxpayer Experience Focus Groups Other-Attachment Guide	New
213758	SOI-477 Taxpayer Experience Focus Groups Survey Pre-test Other-Instrument	New
213231	SOI-476 Consumer Tipping Usability Study Other-Attachments	New
213064	SOI-475 Appeals Tax Professional Focus Groups Other-Focus Group Documentation	New
212942	SOI-474 Individuals Living Abroad Focus Groups Other-Focus Group Guides	New
212654	SOI-473 ACS\CSCO Payment Compliance Focus Groups Other-Focus Groups Attachments	New
212524	SOI-472 CCE 2014 Focus Groups Other-Attachments	New
212297	SOI-471 Refund Ecosystem Other-Screener/Guides	New
211927	SOI-467 ACA Toll Free, SOI-468 Power Attorney/Notices, SOI-470 Out of Scope Focus Groups Other-Guides	New
208792	SOI-461 Publication 1 Focus Groups Other-Focus Group Guides	Removed
208594	SOI-459 Understanding Making Payment Decisions Other-Interview	Removed
208569	SOI-460 Rights & Responsibility, ACS & Form SS8 Other-Focus Group Guide	Removed
208263	SOI-458 E-Help Focus Groups Other-Focus Group Guides	Removed
207884	SOI-457 ACS/CSCO Focus Groups Other-Focus Groups	Removed
207627	SOI-456 AUR/CCE Focus Groups Other-Focus Group Guide	Removed
207577	SOI-455 Filing, Payment & Compliance Focus Groups Other-Focus Group Guides	Removed
206618	SOI-454 eAuthentication Usability Testing Other-Usability Guide	Removed
206257	SOI-453 2013 Taxpayer Experience Pre Test Other-Instrument	Removed
206032	SOI-452 Reporting Compliance Focus Groups Other-Focus Groups	Removed
205255	SOI-451 Field Assistance Focus Groups Other-Focus Groups	Removed
204947	SOI-450 Experience Qualitative Research Other-Focus Group materials	Removed
204760	SOI-446 Pub 523, SOI-447 Form 59465 SP, SOI-448 Form 8941, and SOI-449 Form 8958 Other-Focus Groups	Removed
203939	SOI-445 NAEA & AICPA Conference Focus Groups Other-Focus Groups Guides	Removed
203565	SOI-444 Registered Tax Preparer Initiative Focus Groups and Interviews Other-Focus Groups Interview Script and Guides	Removed
203262	SOI-443 Appeals Focus Groups Other-Focus Group Guides	Removed
202936	SOI-440 Injured Spouse Usability Study; SOI-441 Free File Focus Groups, and SOI-442 Use of Preparer Marketing Focus Groups Other-Usability Guides	Removed
202756	SOI-438 CAS Adjustments Usability, SOI-439 Taxpayer Experience Focus Groups Other-Usability	Removed
202697	SOI-436 Digital Delivery Focus Groups Other-Focus Group	Removed
202593	SOI-429 Taxpayer Burden, SOI-430 1099B, SOI-432 ACS, SOI-434 Education Credit, SOI-435 Persona Creation Interviews and SOI-437 Publication 17 Focus Groups Other-Focus Groups	Removed
202525	SOI-424 Fast Track Settlement Program, SOI-425 IRC Section 6050, SOI-426 Refund Anticipation, SOI-427 VITA Interview, and SOI-428 TPPS Usability Focus Groups Other-Focus Groups	Removed
202378	SOI-418 Spanish IRS.gov, SOI-421 Chinese/Spanish, SOI-422 TAS, and SOI-423 ACSS Focus Groups Other-Focus Group	Removed
202285	SOI-417 , SOI-419, and SOI-420 Focus Groups Other-Focus Groups	Removed
201881	SOI-414 through SOI-416 Other-Focus Groups	Removed
201880	SOI-413 TAS Customer Focus Groups Other-Focus Groups	Removed
201173	SOI-412 Reducing Non-Required Calls to the IRS Focus Group Testing Other-Survey	Removed
200873	SOI-411 - W&I E-help Desk Focus Groups Other-Survey	Removed
200724	SOI-410 - Test the Impact and Effectiveness of Web-based Outreach Materials on Employment Tax Understanding Other-Confirmation Letter and Reminder recall	Removed
200314	SOI-409 - LB&I International Individual Compliance (IIC) Other-Survey/Focus Group	Removed
199818	SOI-407 - SB/SE ACS Focus Groups; SOI-408 - SB/SE CSCO Focus Groups Other-Survey	Removed
198729	SOI-392C - Focus Group Screener and Guideline for Internal Revenue Service (IRS) Taxpayer Segmentation Study Change Request Other-Survey	Removed
198365	SOI-406 - Focus Group for TFP Tax Forms & Publication Landing Page and Product Page Other-Focus Group	Removed
197887	SOI-404 - TPPS Nationwide Usability Study; SOI-405 - IRS Post-Filing: Processes and Taxpayer Representation Other-Survey	Removed
197460	SOI-395 - Chinese LEP ; SOI-396- IRS SB/SE; SOI-397- Employee Plans; SOI-398- Sch D & 8949; SOI-399- 1040; SOI-400- Sch C & E; SOI-401- SB HCTC; SOI-402- TAS; SOI-403-SB/SE Other-Survey	Removed
196304	SOI-393 - Field Assistance Customer Comment Focus Groups 2011; SOI-394 - SB/SE Excise Phone Focus Group Recruiting Other-Survey	Removed

ICR Details

OMB Control No: 1545-1349	ICR Reference No: 201401-1545-003
Status: Historical Active	Previous ICR Reference No: 201306-1545-062
Agency/Subagency: TREAS/IRS	Agency Tracking No:
Title: Cognitive and Psychological Research
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 06/16/2014
	Date Received in OIRA: 04/23/2014
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	06/30/2017	36 Months From Approved	06/30/2014
Responses	20,000	0	225,000
Time Burden (Hours)	30,000	0	112,500
Cost Burden (Dollars)	0	0	0

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Abstract: The proposed research will improve the quality of the data collection by examining the psychological and cognitive aspects of methods and procedures such as: interviewing processes, forms redesign, survey and tax collection technology and operating procedures (internal and external in nature).

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Authorizing Statute(s): PL: Pub.L. 107 - 347 116 Stat. 2899 Name of Law: Federal Information Security Management Act (FISMA) of 2002
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 63569	10/24/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	79 FR 22004	04/18/2014
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 41

IC Title	Form No.	Form Name
SOI-471 Refund Ecosystem
SOI-461 Publication 1 Focus Groups
SOI-395 - Chinese LEP ; SOI-396- IRS SB/SE; SOI-397- Employee Plans; SOI-398- Sch D & 8949; SOI-399- 1040; SOI-400- Sch C & E; SOI-401- SB HCTC; SOI-402- TAS; SOI-403-SB/SE
SOI-404 - TPPS Nationwide Usability Study; SOI-405 - IRS Post-Filing: Processes and Taxpayer Representation
SOI-505 Future State Service Delivery Transcripts
SOI-451 Field Assistance Focus Groups
SOI-458 E-Help Focus Groups
SOI-460 Rights & Responsibility, ACS & Form SS8
SOI-499 Federal Tax Deposit Tax Forum Focus Groups
SOI-418 Spanish IRS.gov, SOI-421 Chinese/Spanish, SOI-422 TAS, and SOI-423 ACSS Focus Groups
SOI-436 Digital Delivery Focus Groups
SOI-509 Tax Professional Focus Groups
SOI-472 CCE 2014 Focus Groups
SOI-478 Taxpayer Experience Focus Groups
SOI-406 - Focus Group for TFP Tax Forms & Publication Landing Page and Product Page
SOI-417 , SOI-419, and SOI-420 Focus Groups
SOI-446 Pub 523, SOI-447 Form 59465 SP, SOI-448 Form 8941, and SOI-449 Form 8958
SOI-454 eAuthentication Usability Testing
SOI-496 Refund Timing Future State Focus Groups
SOI-497 Tax Forum Affordable Care Act
SOI-407 - SB/SE ACS Focus Groups; SOI-408 - SB/SE CSCO Focus Groups
SOI-409 - LB&I International Individual Compliance (IIC)
SOI-412 Reducing Non-Required Calls to the IRS Focus Group Testing
SOI-455 Filing, Payment & Compliance Focus Groups
SOI-459 Understanding Making Payment Decisions
SOI-485 EITC Focus Groups
SOI-495 Paid Preparer Focus Groups
SOI-502 Preparer Partnership Future State TF Focus Groups
SOI-504 Taxpayer Experience Survey FY15 followup focus groups
SOI-482 Form 94x e-File
SOI-473 ACS\CSCO Payment Compliance Focus Groups
SOI-393 - Field Assistance Customer Comment Focus Groups 2011; SOI-394 - SB/SE Excise Phone Focus Group Recruiting
SOI-457 ACS/CSCO Focus Groups
SOI-424 Fast Track Settlement Program, SOI-425 IRC Section 6050, SOI-426 Refund Anticipation, SOI-427 VITA Interview, and SOI-428 TPPS Usability Focus Groups
SOI-488 Affordable Care Act Non-Compliance
SOI-486 E Help Desk Focus Groups
SOI-476 Consumer Tipping Usability Study
SOI-414 through SOI-416
SOI-453 2013 Taxpayer Experience Pre Test
SOI-481 Filing Payment Compliance Focus Groups
SOI-484 TAS Appeals, PPS, & TTK Focus Groups
SOI-501 Taxpayer Use of Paper Products Interviews
SOI-510 Earned Income Tax Credit, SOI-511 Compliance, and SOI-512 Offer in Compromise Tax Forum Focus Groups
SOI-503 SBSE CCE Focus Group
SOI-440 Injured Spouse Usability Study; SOI-441 Free File Focus Groups, and SOI-442 Use of Preparer Marketing Focus Groups
SOI-514 TAS Installment Agreement - Services Focus Groups
SOI-474 Individuals Living Abroad Focus Groups
SOI-477 Taxpayer Experience Focus Groups Survey Pre-test
SOI-479 Field Assistance Focus Groups
SOI-392C - Focus Group Screener and Guideline for Internal Revenue Service (IRS) Taxpayer Segmentation Study Change Request
SOI-413 TAS Customer Focus Groups
SOI-507 Taxpayer Experience Survey Pre-Test
SOI-450 Experience Qualitative Research
SOI-494 Injured Spouse Phone Focus Groups
SOI-498 Affordable Care Act -Tax Forum Focus Groups
SOI-493 Demand Migration Phone Interviews
SOI-487 VITA Volunteer Recruitment
SOI-411 - W&I E-help Desk Focus Groups
SOI-506 Optimizing Future State Focus Groups
SOI-508 Prototype Redesign IRS.gov Online Accounts
SOI-443 Appeals Focus Groups
SOI-445 NAEA & AICPA Conference Focus Groups
SOI-438 CAS Adjustments Usability, SOI-439 Taxpayer Experience Focus Groups
SOI-480 AUR Reporting Compliance Telephone Interviews
SOI-475 Appeals Tax Professional Focus Groups
SOI-500 Tax Forum Earned Income Tax Credit Payments
SOI-467 ACA Toll Free, SOI-468 Power Attorney/Notices, SOI-470 Out of Scope Focus Groups
SOI-410 - Test the Impact and Effectiveness of Web-based Outreach Materials on Employment Tax Understanding
SOI-444 Registered Tax Preparer Initiative Focus Groups and Interviews
SOI-452 Reporting Compliance Focus Groups
SOI-456 AUR/CCE Focus Groups
SOI-489 Web First Conjoint Research
SOI-490 TES Pretesting, SOI-491 TES Cognitive Focus Groups, & SOI-492 Adjustments
SOI-494C - Injured Spouse Phone Focus Groups
SOI-429 Taxpayer Burden, SOI-430 1099B, SOI-432 ACS, SOI-434 Education Credit, SOI-435 Persona Creation Interviews and SOI-437 Publication 17 Focus Groups
SOI-513 Individual Toll-Free Line Focus Groups

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	20,000	225,000	0	-205,000	0	0
Annual Time Burden (Hours)	30,000	112,500	0	-82,500	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: A change to reduce the current burden of 112,500 hours is being requested. A number of Information Collection Requests (ICR) normally submitted under this Generic Clearance and that were associated with substantial burden are now being submitted and approved under their own standard 3-year clearance or Generic Clearance request. We are making this submission to renew the OMB approval with a burden of 10,000 hours annually for a total of 30,000 hours over the course of this approval.

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Annual Cost to Federal Government: $721,548

Does this IC contain surveys, censuses, or employ statistical methods? Yes Part B of Supporting Statement

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 04/23/2014

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