3206-0252 Org Assessments Section A.kawed bjn final

Organizational Surveys (OMB No. 3206-0252)

SECTION A. JUSTIFICATION:

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

Human Resources Strategy and Evaluation Solutions (HRSES) within the U.S. Office of Personnel Management performs reimbursable assessment work for Federal Agencies. Much of this work includes measuring agency performance, which HRSES does using organizational surveys. As part of this collection, OPM is requesting approval of the Organizational Assessment Survey, Supplemental OPM Federal Employee Viewpoint Survey, New Employee Survey, Exit Survey, New Leaders Onboarding Assessment, Training Needs Assessment Survey and custom Program Evaluation surveys. Each of these surveys measures various key organizational attributes that contribute to or assess performance. HRSES’ Program Evaluation Surveys can be considered an umbrella assessment because success of a program or agency can be measured in whole or in part with each of the other surveys mentioned above. Agencies use these surveys to assess effectiveness of specific programs, offices, or entire departments.

HRSES is authorized to collect information by Sections 4702 and 4703 of Title 5, U.S.C.; Section 1128 of the National Defense Authorization Act for Fiscal Year 2004, Public Law 108-136; 5 U.S.C. 1101 note, 1103(a)(5), 1104, 1302, 3301, 3302, 4702, 7701 note; E.O. 13197, 66 FR 7853, 3 CFR 748 (2002); E.O. 10577, 12 FR 1259, 3 CFR, 1954-1958 Comp., p. 218.

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.

HRSES has been administering program evaluation and related surveys for several decades. The Organizational Assessment Survey has been administered since 1999; the other surveys were developed more recently. In each case, survey development began with a literature review of academic, practitioner, and relevant regulatory information. A team of OPM research psychologists developed items pools and reviewed the items for clarity, redundancy, and nomological validity. The draft surveys were then pilot tested with agencies and refined based on statistical analyses and client feedback. The original Organizational Assessment Survey was revised using these procedures in 2009. The surveys include standard, benchmarkable items (i.e., items that are identical across administrations) that ensure broad coverage of core dimensions, and custom items that assess specific areas of need and interest. Agencies use the surveys to obtain feedback on organizational performance that is otherwise unavailable. Agencies use the results to target improvement efforts.

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.

These surveys are almost always administered electronically. Small numbers of recipients (approximately 5,000 a year) without internet access may receive a paper version of the survey. Whenever possible, demographic information is gathered from official agency records instead of via survey questions; skipping-and-branching is used to further limit the number of items respondents are asked to answer. HRSES does not publicly post the surveys or results online because the surveys belong to HRSES’ client agencies.

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 2 above.

There is no source for this information except these surveys. The closest to duplication is the official OPM Federal Employee Viewpoint Survey administration; however, HRSES’ surveys target groups and content areas not covered by the official administration. We will ensure that no survey or data collection effort approved under this generic clearance duplicates another.

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

These data collections will not involve small businesses.

6. Describe the consequence 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.

HRSES generally administers the Organizational Assessment Survey and Supplemental OPM Federal Employee Viewpoint Survey on an annual or biennial basis; the other assessments are administered when requested by agencies. Conducting the surveys on a less frequent basis will result in agencies being less effective at gauging or tracking their employees’ engagement and organizational effectiveness over time.

7. Special circumstances:

None: this data collection is consistent with 5 CFR 1320.6.

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.

On February 26, 2021, a 60-day Federal Register Notice was published at 86 FRN 11803. No comments were received.

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

No payment or gift is provided to respondents of these voluntary surveys.

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

HRSES does not collect respondent names, Social Security Numbers, IP addresses, or similar identifying information. The surveys are voluntary and there are neither rewards for participating nor sanctions for not participating. HRSES only reports the results to agencies in aggregate, so that no individual can be tied to his or her particular responses. When HRSES uses email addresses to send survey notices, the email addresses are not recorded with the survey responses.

Respondents are told:

Privacy Act Statement

Pursuant to 5 U.S.C. § 552a(e)(3), this Privacy Act Statement informs you of why OPM is requesting the information from you.

Authority:

OPM is authorized to collect the information requested pursuant to 5 U.S.C. § 4702 – Research Programs.

Purpose:

OPM is requesting this information to improve methods in Federal personnel management, workforce effectiveness, and/or agency effectiveness. OPM will use this information to evaluate employee perceptions about the workplace and identify strategies to help improve the work environment.

Routine Uses:

In any public release of survey results, no data will be disclosed that could be used to match your responses with your identity. The information requested may be shared externally as a “routine use” as specified in the system of records notice associated with this collection of information, OPM GOVT-6, Personnel Research and Test Validation Records, OPM GOVT-6.

Consequences of Failure to Provide Information:

Providing this information is completely voluntary and there is no penalty if you choose not to respond. However, maximum participation is encouraged so that the data will be complete and representative.

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.

Although some respondents may consider some of the diagnostic items sensitive (e.g., satisfaction with supervisors, satisfaction with coworkers, turnover intentions), these items are required to assess organizational characteristics. Likewise, demographic items (e.g., age, sexual orientation) are needed to understand the experiences of various groups of respondents. In both cases, respondents are not required to respond to these items and responses are kept confidential.

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

The exact number of surveys, respondents, and survey items will vary based on the survey product and agency’s needs. The estimates below are based on past experience. The only cost to respondents is the time taken to complete a survey. The wage rate used below is the BLS statistic for non-farm labor as of May 2020.

Form Name	Form No.	No. of Respondents per year	No. of Responses per Survey	Avg. Burden per Survey (in hours)	Total Annual Burden (in hours)	Avg. Hourly Wage Rate	Total Annual Respondent Cost
Organizational Assessment Survey	OA1	10,000	100	0.25	2,500	$29.75	$74,375
Supplemental OPM Federal Employee Viewpoint Survey	OA2	10,000	100	0.17	1,700	$29.75	$50,575
New Employee Survey	OA3	100	100	0.17	17	$29.75	$506
Exit Survey	OA4	150	60	0.17	25.5	$29.75	$759
New Leaders Onboarding Assessment	OA5	10	100	0.25	2.5	$29.75	$74
Program Evaluation	OA6	1,000	100	.25	250	$29.75	$7,438
Training Needs Assessment Survey	OA7	5,000	100	.17	850	$29.75	$25,288
Total	n/a	26,260	n/a	n/a	5,345	n/a	$159,015

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

There are no costs to respondents other than time. Paper surveys are returned with pre-paid envelopes. Inquiries are made via email or toll-free phone number.

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

The only expected non-labor costs are for administering approximately 5,000 paper surveys each year, at an annual cost of $30,000.

15. Explain the reasons for any program changes or adjustments reported on the burden worksheet.

The need for these surveys varies; the burden estimates reported here are estimates based on recent and anticipated future assessment trends.

16. For collections of information whose results will be published, outline plans for tabulation and publication. Address any complex analytical techniques that will be used. Provide the time schedule for the entire project, including beginning and ending dates of the collection of information, completion of report, publication dates, and other actions.

OPM will not publish the results of these surveys because the data belong to HRSES’ clients and are considered proprietary.

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

We will show the number and expiration date.

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

There are no exceptions.