Application of the Employee Polygraph Protection Act

Forms and Documents

Document Name	Status
Form WH-1481 Notice to Examinee Applicable to Certain Ongoing Investigations, Security Services, and Security of Controlled Substances Form	Modified
1235-0005ss(20110928).doc Supporting Statement A	2011-09-28

IC Document Collections

IC ID	Document Title	Status
198519	Test Results Written Report and Test Record Maintenance--Employer	New
185481	Test Results Written Report and Test Record Maintenance--Polygrapher	Modified
185480	Notice of Test Results	Modified
185476	Notice to Polygraph Examiner Identifying Persons to be Examined	Modified
185475	Notice to Examinee--Ongoing Investigations of Employer's Economic Loss or Injury	Modified
13874	Notice to Examinee Applicable to Certain Ongoing Investigations, Security Services, and Security of Controlled Substances Form	Modified

ICR Details

OMB Control No: 1235-0005	ICR Reference No: 201102-1235-001
Status: Historical Active	Previous ICR Reference No: 201003-1235-005
Agency/Subagency: DOL/WHD	Agency Tracking No:
Title: Application of the Employee Polygraph Protection Act
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 10/23/2011
	Date Received in OIRA: 07/22/2011
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2014	36 Months From Approved	10/31/2011
Responses	757,400	0	593,400
Time Burden (Hours)	68,739	0	68,739
Cost Burden (Dollars)	0	0	0

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Abstract: These third-party notifications and recordkeeping requirements help ensure polygraph examinees receive the protections and rights provided by the Employee Polygraph Protection Act (EPPA).

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Authorizing Statute(s): US Code: 29 USC 2001, et seq. Name of Law: The Employee Polygraph Protection Act of 1988
  

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:
	76 FR 4946	01/27/2011
30-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 44046	07/22/2011
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 6

IC Title	Form No.	Form Name
Notice to Examinee Applicable to Certain Ongoing Investigations, Security Services, and Security of Controlled Substances	WH-1481	Notice to Examinee-Employee Polygraph Protection Act
Notice of Test Results
Notice to Examinee--Ongoing Investigations of Employer's Economic Loss or Injury
Test Results Written Report and Test Record Maintenance--Polygrapher
Notice to Polygraph Examiner Identifying Persons to be Examined
Test Results Written Report and Test Record Maintenance--Employer

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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	757,400	593,400	0	0	164,000	0
Annual Time Burden (Hours)	68,739	68,739	0	0	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: No

Burden Reduction Due to:

Short Statement: The DOL is revising the format of Form WH-1481 to show the WHD logo and update the OMB Control Number. The DOL does not believe these cosmetic changes affect the public burden; however, as these are considered formatting issues, this submission is characterized as a revision. The DOL has also further disaggregated burden in ROCIS and refined its estimates to calculate the employer recordkeeping burden transactions. The Notice to Polygraph Examiner Identifying Persons to be Examined information collection data entries previously counted providing the notice to the examiner and maintaining a record of the results of the examination as a single action that took 7 minutes to complete. The DOL now believes a better characterization would be counting providing the notice to the examiner as one action that takes 6 minutes and maintaining a record of the examination results as a second action that takes 1 minute. The number of annual responses is increasing by 164,000, because the DOL now counts maintaining a record of the notice to the polygraph examiner as a separate event from maintaining an equal number of examination results. While the number of responses is increasing, total annual burden hours is unchanged because the prior calculation included all burden hours for both events. For the data entries, this has resulted in a shifting of the burden hours from the "Notice to Polygraph Examiner Identifying Persons to be Examined" information collection to a new "Test Results Written Report and Test Record Maintenance—Employer" information collection (no net change) and an increase of 164,000 responses (from 593,400 to 757,400). Federal costs increased, due to higher postage costs.

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Annual Cost to Federal Government: $82,000

Does this IC contain surveys, censuses, or employ statistical methods? No

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: 07/22/2011

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