3206-0253 Statement A

Leadership Assessment Surveys (OMB No. 3206-0253)
SECTION A. JUSTIFICATION:
1. Explain the circumstances that make the collection of information necessary.
Human Resources Strategy and Evaluation Solutions (HRES) within the US Office of
Personnel Management performs reimbursable assessment work for Federal Agencies.
These surveys are necessary for measuring leadership competencies. As part of this
collection, OPM is requesting approval of the OPM Leadership 360™, Leadership
Potential Assessment, and the Leadership Profiler. HRSES’ OPM Leadership 360
assesses the 28 leadership competencies that comprise the five Executive Core
Qualifications and Fundamental Competencies in the OPM Leadership Model. The
Leadership Potential Assessment assesses a subset (10) of these same competencies using
similar items, in addition to items on motivation and personal factors critical to leadership
success. Both surveys use a multi-rater methodology, so some respondents could be nongovernment employees. The Leadership Profiler consists of 245 items and measures five
major personality traits (also known as the “The Big Five”). It is unlikely that the
Leadership Profiler would be administered to a non-Federal employee, but is included
here should the necessity arise.
HRSES is generally authorized to collect this information by Sections 4702 and 4703 of
Title 5, U.S.C. Various agencies may have policies or regulations requiring periodic
leadership assessments. Other agencies request these Leadership Assessment Surveys on
an ad hoc basis to address specific agency needs.
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 administered the OPM Leadership 360 for agencies since 2003. The survey
includes standard, benchmarkable items that ensure broad coverage of core leadership
competencies. On rare occasions a client agency may add agency-specific competencies
to the assessment. Agencies and individual participants use the OPM Leadership 360 to
obtain feedback on leadership effectiveness that is otherwise unavailable. Based on the
results, participants may target individual development efforts, while agencies may target
agency-wide improvement efforts, such as training, that will result in more effective
management and service to the public.
HRSES has administered the OPM Leadership Potential Assessment (LPA) for agencies
since 2012. The LPA survey contains a variety of items that cover a broad range of core
leadership competencies and motivational/personal factors. As with the OPM Leadership
360, these items are standardized and can be also be used for benchmarking purposes.
Agencies and individual participants use the LPA to obtain information on leadership
potential/effectiveness that is otherwise unavailable. This information can then be used

by participants to support individual development, and agencies may use aggregate-level
data to inform strategic human resource decision making (e.g., succession planning).
HRSES has administered the OPM Leadership Profiler (LP) for agencies since 2012. The
LP survey contains items that cover five major personality traits (also known as the “The
Big Five”). As with the OPM Leadership 360 and OPM Leadership Potential
Assessment, these items are standardized and can also be used for benchmarking
purposes. Individual participants use the LP to obtain information on their personality
traits/preferences and how they relate to leadership behaviors. This information can then
be used by participants to support individual development.
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 assessments are administered electronically. HRSES does not publicly post the
surveys or results online because the surveys belong to individual participants and their
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 direct contact with participants and their
raters. 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 Leadership Assessment Surveys on an ad-hoc basis in
response to agency needs, timing of training courses, and other factors. Participants are
not asked to complete an assessment more than once a year. When re-administration is
possible, doing so at longer than annual intervals may mean changes in leadership
competencies are not assessed in a timely manner.
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 November 27, 2020 a 60-day Federal Register Notice was published at 85 FRN
76116. There were no comments 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 collects rater names and email addresses for addressing correspondences, but
only the participant’s (the individual being rated) name is retained in the data to
personalize reports. Other identifying information, such as Social Security Numbers and
IP addresses, is not captured. 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
(exception: in individual reports, supervisor ratings on the OPM Leadership 360 and LPA
necessarily identify the supervisor).
Respondents are told:
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 assess the participants’ leadership behaviors, identify leadership strengths
and challenges, and identify strategies that will help the participants improve their
leadership.
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.
No sensitive information is being collected for any of the survey efforts.
12. Provide estimates of the hour burden of the collection of information.
The exact number of surveys and respondents will vary based on agency needs. The
estimates below are based on past experience where it takes on average 15 minutes to
complete the OPM Leadership 360 and LPA, but 45 minutes to complete the LP. 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

OPM
Leadership
360
Leadership
Potential
Assessment
Leadership
Profiler
Total

Form
Number

No. of
Respondents
per year

No. of
Responses per
Survey

Avg.
Burden
per
Survey
(in hours)

Total
Annual
Burden
(in
hours)

Average
Hourly
Wage
Rate

Total
Annual
Respond
ent Cost

n/a

4,000

117

.25

1000

$29.75

$29,750

n/a

3990

104

.25

997.5

$29.75

$29,676

n/a

10

245

.75

7.5

$29.75

$223

n/a

8,000

n/a

.25

2005

n/a

$59,649

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.
14. Provide estimates of annualized costs to the Federal Government.
The only expected non-labor costs are for administering approximately 500 paper surveys
each year, at an annual cost of $3,000.

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 results of these surveys because the data belongs to HRSES’ clients
and participants and is considered sensitive.
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.