S-35 OMB Complaint Form Approval Justification_7-24-09

DEPARTMENT OF TRANSPORTATION

SUPPORTING STATEMENT

FOR PAPERWORK REDUCTION ACT SUBMISSION

1. Explain the circumstances that make the collection of information necessary.

The U.S. Equal Employment Opportunity Commission’s (EEOC) regulation, 29 Code of Federal Regulations (CFR) Part 1614 specifies that to enter the Equal Employment Opportunity (EEO) complaint process, individuals who believe that they have been discriminated against must contact an EEO Counselor within 45 days of the discriminatory event or the effective date of the personnel action. If the claim of discrimination is not resolved in the initial stage, the individual has the right to file a formal complaint of discrimination. The complaint may be accepted for investigation or dismissed if it fails to meet the statutory requirements. The individual may appeal the dismissal of the complaint to the EEOC. If the complaint is accepted for investigation, the agency will issue the complainant a Report of Investigation (ROI) within 180 days of the filing of the formal complaint. Upon receipt of the ROI, the complainant has the right to request a final agency decision or a hearing before an EEOC Administrative Judge. Throughout the administrative process, the U.S. Department of Transportation’s (DOT) Departmental Office of Civil Rights (DOCR) notifies the individual of his or her rights, and the applicable time limits involved. Accordingly, DOT needs to collect the data identified in this information request from external individuals filing complaints against the Department.

The goal is to streamline the collection of required information, reduce printing costs and ensure uniformity throughout DOT in the processing and resolution of EEO complaints.

2. Indicate how, by whom, and for what purpose the information is to be used. Except for a new collection, indicate the actual use the agency has made of the information received from the current collection.

DOT is requesting the Office of Management and Budget’s (OMB) renewal of the Individual Complaint of Employment Discrimination form (DOT F 1050-8) to collect or document required information to process EEO pre-complaint and formal complaints of discrimination from external individuals filing complaints against the Department.

3. Describe whether, and to what extent, the collection of information involves the use of automated, electronic, mechanical, or other technological collection techniques or other forms of information technology, e.g., permitting electronic submission of responses, and the basis for the decision for adopting this means of collection. Also describe any consideration of using information technology to reduce burden.

DOT, for the most part, will enter the information collected by the standardized EEO complaint form into its automated complaint tracking system. However, the EEOC complaint processing procedures are essentially personal in nature. They require the aggrieved individual to contact an EEO Counselor, including direct contact and participation by the various parties involved in the complaint resolution activities during the counseling and mediation process.

4. Describe efforts to identify duplication. Show specifically why any similar information already available cannot be used or modified for use for the purposes described in item 1 above.

The nature of the EEO complaint process makes the issue(s) and basis(es) for each complaint unique to the circumstances identified by the aggrieved individual filing the complaint. In this sense, similar information is not available for used or modification prior to the actual filing of the EEO complaint.

5. If the collection of information impacts small businesses or other small entities, describe any methods used to minimize burden.

This information collection has no impact on small businesses or other small entities.

6. Describe the consequences to Federal program or policy activities if the collection is not conducted or is conducted less frequently, as well as any technical or legal obstacles to reducing burden.

The EEOC Federal Sector regulation at 29 CFR Part 1614 and EEOC Management Directive 110 govern the processing of EEO complaints of discrimination, which require the collection of data or documentation of requirements contained in the standardized EEO complaint forms. DOT will be unable to process and document complaints of discrimination from external individuals filing complaints against the Department if the information request is denied.

7. Explain any special circumstances that would cause an information collection to be conducted in a manner:

*requiring respondents to report information to the agency more often than quarterly;

*requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it;

*requiring respondents to submit more than an original and two copies of any document;

*requiring respondents to retain records, other than health, medical, governmental contract, grant-in-aid, or tax records, for more than three years;

*in connection with a statistical survey, that is not designed to produce valid and reliable results that can be generalized to the universe of study;

*requiring the use of a statistical data classification that has not been reviewed and approved by OMB;

*that includes a pledge of confidentiality that is not supported by authority established in statute or regulation, that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use; or

*requiring respondents to submit proprietary trade secrets, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information’s confidentiality to the extent permitted by law.

The provision of the data contained in DOT’s information request is solely voluntary by external individuals filing complaints against the Department whom claim EEO discrimination and does not required any special circumstances as identified above.

8. If applicable, provide a copy and identify the date and page number of publication in the Federal Register of the agency’s notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments received in response to that notice and describe actions taken by the agency in response to these comments.

DOT published a Notice of Request for Information Collection Approval in the Federal Register [Volume 74, Number 98, page 24061], on Friday, May 22, 2009, copy attached. DOT received no responses concerning the Notice during the comment period, which ended on July 21, 2009.

9. Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.

DOT has not and will not provide any payment or gift to respondents or remuneration to contractors or grantees.

10. Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy.

DOT protects all information collected during the EEO complaint process in compliance with the Privacy Act of 1974, 5 U.S.C § 552a, as amended. All personal EEO pre-complaint and formal complaint discrimination data is treated in a confidential manner and its use is restricted. Persons violating the privacy safeguards are subject to disciplinary action, a fine, or both.

11. Provide additional justification for any questions of a sensitive nature, such as sexual behavior and attitudes, religious beliefs, and other matters that are commonly considered private.

EEOC Management Directive 110 requires the Federal agency to determine if the aggrieved person believes that he/she was discriminated against base on race, color, sex (including equal pay), religion, national origin, age (40 and over), disability, or retaliation for having participated in activity protected by the various civil rights statutes. DOT’s policy guidance also permits claims of discrimination based on sexual orientation. Collection of this information from the individuals is voluntary and forms the basis(es) for a complaint. The information is necessary to enter into the EEO complaint process. As mention in DOT’s response to Question 10 above, all information provided by persons alleging EEO discrimination is safeguarded and treated in accordance with the Privacy Act of 1974, as amended.

12. Provide estimates of the hour burden of the collection of information.

Based on historical data and expert opinion, DOT expects approximately ten EEO complaints of discrimination by applicants for employment with the Department annually. The total burden on respondents for the Individual Complaint of Employment Discrimination form (DOT F 1050-8) is 10 hours per year, or 1 hour per respondent.

13. Provide an estimate for the total annual cost burden to respondents or recordkeepers resulting from the collection of information.

None.

14. Provide estimates of annualized costs to the Federal government.

None. DOT currently has an EEO complaint processing system in place that utilizes a similar standardized form, procedures, and automated system for its current and former employees alleging EEO discrimination. The estimated ten EEO complaints from external individuals filing complaints against the Department received annually can be absorbed within the current business processes with essentially no additional cost to the Federal government.

15. Explain the reasons for any program changes or adjustments reported above.

DOT has changed the hours necessary for completing the form from 2.5 hours to 1 hour. The reduction of 1.5 hours is based on historical experience based on the past several years after OMB approved the initial form.

16. For collection of information whose results will be published, outline plans for tabulation and publication.

DOT will not publish information collected in the standardized EEO complaint forms.

17. If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons that the display would be inappropriate.

DOT is not seeking approval not to display the expiration date of the ten standardized EEO complaint forms.

18. Explain each exception to the certification statement identified in, “Certification for Paperwork Reduction Act Submissions.”

DOT has not identified any exceptions to the certification statement.