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1、Understanding Your Customers Through Surveys,Lessons Learned from the Internal Revenue Service,David A.MaderFormer Assistant Deputy CommissionerInternal Revenue ServicePrincipalBooz Allen Hamilton,IRS Measures History,Although the IRS was a pilot agency for GPRA in 1993,the Services focus was on the
2、 development and utilization of the more traditional business metrics heavily weighted toward enforcement metrics quantity and some quality.The external environment encouraged and supported this approach.It was the National Commission on Restructuring the IRS and the Senate Finance Committee Hearing
3、s in 1997 that caused the agency to re-focus on a broader set of metrics including customer satisfaction.These events caused the agency to develop a balanced set of performance measures.,TestimonyBefore the Subcommittee on Treasury,Postal Service and General Government,Committee on Appropriations,Ho
4、use of Representatives,TAX ADMINISTRATIONTax Compliance InitiativesAnd Delinquent TaxesStatement of Jennie S.Stathis,DirectorTax Policy and Administration IssuesGeneral Government Division,GAO,TestimonyBefore the Subcommittee on Treasury,Postal Service and General Government,Committee on Appropriati
5、ons,House of Representatives,United States General Accounting Office,For Release on DeliveryExpected at 10:00 a.m.February 1,1995,An excerpt-,We identified five underlying causes that tend to perpetuate problems in accounts receivable Third,while Congress has given IRS strong tools such as levies an
6、d seizures,to collect delinquent taxes,it has also established a number of statutory safeguards to prevent their unwarranted use.An unintended result has been to hamper collections.For example,the 1988 Taxpayer Bill of Rights prohibits IRS from evaluating staff on the basis of dollars collected.With
7、out the use of this measure,IRS staff have less incentive to collect taxes.Their evaluation does not distinguish between collection actions that essentially write off a tax debt and actions which result in collecting taxes owed both are considered case closings.Such a practice may be one reason why
8、IRS field collection staff have been declaring more tax debts“currently not collectible”each year than they collect.We understand the importance of balancing the need to protect the rights of taxpayers with the need to collect tax debts.While IRS must be fair and follow appropriate laws and regulati
9、ons,taxpayers must also accept their respective tax obligations.By not doing so,all other taxpayers bear a disproportionate share of their tax burden.,Report of the National Commission on Restructuring the Internal Revenue,A Vision for a new IRSAn Excerpt:The Commission encourages the IRS to ensure
10、that day-to-day measures of employee performance and behavior align with organizational goals.One of the most significant efforts that the IRS must undertake is to redesign its internal measurement system to encourage behavior which makes it easy for taxpayers to interact with the IRS Once prioritie
11、s are set,the IRS should use private sector experts to help it further refine its internal measures.”:,In 1998,IRS began to design and implement its first ever transaction level customer satisfaction surveys covering both enforcement as well as customer service programs.,The IRS Restructuring and Re
12、form Act of 1998(RRA98)required the IRS to change its measures to balance customer service with overall tax administration responsibilities.,RRA 98,Section 1201,required the IRS to establish a performance management system that establishes“goals and objectives for individual,group or organizational
13、performance”.It further required the IRS to use“such goals and objectives to make performance distinctions among employees or groups of employees,and to use performance assessments as a basis for granting awards,adjusting an employees rate of basic pay,and other appropriate personnel actions”.Finall
14、y,it expressly required that any performance management system adopted by the IRS conform to the requirements of Section 1204 of RRA 98.RRA 98,Section 1204 Basis for Evaluations of Internal/Revenue Employees,prohibits the use of records of tax enforcement results(ROTERS)to evaluate employees or to i
15、mpose or suggest production quotas or goals.Treasury Regulation Part 801,Balanced System for Measuring Organizational and Employee Performance,implements the IRS Balanced Measurement System.,Lesson 1 Measuring customer satisfaction is not a one time event but part of a broader process,Ensure there i
16、s a clear organization-wide understanding for the basis of the development of customer satisfaction measures and the approach to gathering the data.The use of customer surveys must be understood and accepted in the context of how an agency is managed and evaluated(internally and externally).Today,we
17、 still have GPRA and most importantly,the Presidents Management Agenda which clearly establish the framework and the tools:OMBs Scorecard and Program Assessment Rating Tool(PART).,“Federal managers are seriously disadvantaged in their efforts to improve program efficiency and effectiveness,because o
18、f insufficient articulation of program goals and inadequate information on program performance;and congressional policymaking,spending decisions and program oversight are seriously handicapped by insufficient attention to program performance and results.”Required federal agencies to establish a hier
19、archy of performance measures and goals applicable to various organizational units.Required that performance measures and goals be expressed in objective,quantifiable and measurable forms to define the level of performance to be achieved by a program activity.,Government Performance andResults Act o
20、f 1993,Lesson 2 Customer Surveys are a critical component of the Balanced Scorecard,Performance Metrics and in this case Customer Satisfaction Measures must be part of the broader balanced measures and a key component of the overall agency management process.In the case of the IRS,Balanced Performan
21、ce Measures were a critical element of a broader Agency wide transformation effort.,The Balanced Measurement System is one of the Five Levers of Change for IRS,LEVERS OF CHANGE,ORGANIZATIONAL,INDIVIDUAL,IRSs SP&B Cycle Develops Program Plans and$along with Balanced Measures and Organizational Perfor
22、mance Targets,and Reviews Against Them,Strategic Planning&Budgeting Cycle,Execute&Review Strategy,Program&Budget,Develop measures&targets at the same time asstrategies and programs.,Review/discuss whetherperformance targets andIRS goals have been achieved.,Issue guidance calling for plans to achieve
23、 IRSgoals,learning the lessonsof previous results,Develop Strategy&Program Plan,Develop Business&Resource Allocation Plans,Conduct Strategic Assessment,Commissioners Planning Guidance Conference,Prepare/Update Performance Plan,OMB Budget&Congressional Justification,The Customer Satisfaction survey r
24、esults are part of the balanced measures which provided input into the Strategic Planning and Budgeting process,Previous Approaches Emphasis on AchievingMeasuresDependent on DollarResultsNo Customer orEmployee MeasuresLarge Number ofMeasuresProcess Measures Used,Balanced ApproachEmphasis on Achievin
25、g MissionBalanced Priorities Customer FocusNew Customer Satisfactionand Employee SatisfactionMeasures Smaller Number of MeasuresOutcome Measures Used,And the“balance”must be real and relevant in the case of the IRS,the Service went from:,In the case of the IRS,the objectives of the balanced Scorecar
26、d were:Translate the IRS mission and strategic goals into a tool to:Communicate organizational prioritiesGuide and motivate performanceObtain feedbackEstablish Employee Satisfaction and Customer Satisfaction as organizational objectives equal in importance to Business ResultsSupport managers in taki
27、ng actions to foster employee and customer satisfactionProvide a clearer picture to stakeholders of how IRS values improving customer and employee satisfaction,The Customer Satisfaction measures obtained through customer surveys must be supportive of the overall agency wide balanced performance meas
28、ures,Overview of the IRS Balanced Measurement System,Business Results,Customer Satisfaction,Employee Satisfaction,Create FC leadership,effective support services,Create an enabling environment for employees by providing quality leadership,adequate training,and effective support services,Generate a p
29、roductivequantity of work in a quality mannerand provide meaningful outreach to allcustomers,Provide accurate andprofessional servicesto internal and externalcustomers in a courteous,timely manner,Lesson 3 You have to start somewhere,There must be a clear“line of sight”with regard to all of the bala
30、nced measures individual employees and first line managers must understand how customer measures from survey results fit in the overall hierarchy of measures and how what they do impacts the“bottom line”agency performance.,Strategy,Organization(Unit),Individual/Managerial Goals/Competencies,Measures
31、 overall performance in delivering on the organization mission and strategic goals,Improving voluntary compliance,Performance Management Hierarchy,The IRS links operational and individual performance to strategy and mission through a clear“line of sight”,Key:Link and Integrate at All Levels,Objectiv
32、es,Examples,Given the strategies,measure the effectiveness of execution of particular aspects of the organization,Business Results:Quality QuantityCustomer SatisfactionEmployee Satisfaction,Help identify the underlying factors that affect changes in performance measures,Not measuresProcess toolsRefe
33、rence guide defines how to use,Assess how organizational measures relate to individual/managerial performance appraisals,Critical job elements for employeesCommitments for many executives,Mission,Clear“Line of Site”,Lesson 4 Developing Surveys and Measures is not a haphazard process,Customer Satisfa
34、ction Measures and customer surveys must be approached in a very systematic manner.,An IRS example of some key questions to be asked in developing the measures and subsequent survey instrument.,What is the general level of customer satisfactionIn specific IRS transactions?How often and why are there
35、 customer complaints?What are taxpayers perceptions and expectationsOf the IRS?,Key questions the Balanced MeasurementSystem Helps to Answer:,Lesson 5-You only know what you know,Dont assume that you know what your customers think is important and what they value.Involve them and other key stakehold
36、er groups in helping construct the customer satisfaction measures and then the method of collecting the survey results paper,telephone,web Consider the environment,Lesson 6 USE THE RESULTS!,In the case of the IRS,the customer survey results are integrated into the planning and performance management
37、 process program assessments and individual business unit performance evaluations.,Lesson 7-SHARE THE RESULTS,The results of customer surveys are a key input to the Presidents Management Agenda(Scorecard and PART).,Status Explanation:61%of all Toll-Free customers asked to participate,completed the s
38、urvey,for a margin of error of approximately 2%.Toll-Free customers demonstrate high overall satisfaction:51%of customers rated their overall satisfaction with the handling of their case as Completely Satisfied.The overall satisfaction rating for July through Sept.2001(3.36)is slightly lower to that
39、 for July through September 2000(3.43).The The decrease is due in part to differences in the types of cases handled(W&I calls),but also in part to a real change in customer perceptions over time.Among THE facets of service comprising overall customer satisfaction,Toll-Free customers are most satisfi
40、ed with Attitude of Employees,which has an average rating of 3.71.Courtesy of Employees has the next highest satisfaction rating(3.67).Ease of Getting Through by Phone has the lowest satisfaction rating(2.08).,IRS EXAMPLE OF HOW CUSTOMER SURVEY RESULTS ARE USED,The PMA and OMBs Program Assessment Ra
41、ting Tool(PART)scores highlight opportunities to improve responses to these pressures,Sources:www.omb.gov and www.transparentgovernment.org,respectively,Note that in the most recent ratings,only one agency received a green(or good)score“linking budget to performance,”and only approximately 30 percen
42、t of government programs received a rating of“effective”in demonstrating results the lack of effective measures is a significant reason for both shortcomings!,11%Effective,26%ModeratelyEffective,37%Results NotDemonstrated,21%Adequate,5%Ineffective,50%Results NotDemonstrated,24%ModeratelyEffective,15
43、%Adequate,5%Ineffective,6%Effective,FY2005399 Programs Rated,FY2004234 Programs Rated,Human,Capital,Comp.,Sourcing,Financial,Mgmt.,E,-,Gov,Linking,Budget to,Perf.,Commerce,Defense,Education,Energy,EPA,Homeland,HUD,DOI,DOJ,Labor,State,DOT,Treasury,VA,AID,Army Corps,GSA,NASA,NSF,OMB,OPM,SBA,Smithsonian,SSA,HHS,Capital,Comp.,Financial,E,-,Gov,Linking,Agric.,EPA,AID,GSA,HHS,One green ratingon linking budgetand performance,QUESTIONS,
