1117-0053 Supporting Statement A (2024)

Leadership Engagement Survey (LES)

OMB Control Number 1117-0053

OMB Expiration Date: 09/30/2020

SUPPORTING STATEMENT A FOR

Leadership Engagement Survey (LES)

1. JUSTIFICATION

1. Explain the circumstances that make the collection of information necessary. Identify any legal or administrative requirements that necessitate the collection. Attach a copy of the appropriate section of each statute and regulation mandating or authorizing the collection of information.

The DEA Leadership Engagement Survey (LES) is an initiative mandated by the Administrator of the Drug Enforcement Administration to improve the competencies and proficiency of leadership across the DEA. The LES is mandatory for DEA employees and is an internal DEA-only survey designed to: 1) To assess the overall climate of employees working in their respective unit throughout the DEA, 2) Measure critical dimensions of leadership among all levels of executives, managers, and supervisors, and 3) Provide direct, anonymous, feedback to the DEA leadership. It provides an opportunity for the DEA workforce to identify the strengths and weaknesses of their first-line supervisors, as well as managers and senior executives so that leadership training and succession planning efforts can improve the effectiveness of the DEA and its workforce.

Under the PRA, there is no necessity to request collection of information from Federal employees. However, this request is submitted because DEA requests solicitation of information (on a voluntary basis) from Task Force Officers (TFOs) and from DEA contract employees who work at DEA Headquarters and Field Offices on a regular basis, due to their significant numbers within the DEA. To ensure employees’ confidentiality, leadership results profiles are not generated for leaders with less than five (5) respondents. Due to the low numbers of Federal employees in some units, the inclusion of TFOs and Contractors is essential in ensuring every DEA leader can receive a leadership profile to identify training needs, competency gaps and increase unit engagement and efficiency.

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.

Information from the LES is used by DEA supervisors, managers, senior executives, and their work groups to have meaningful, data-driven, conversations about how to create and maintain an effective, healthy, and productive workplace environment. Feedback results from the LES are also used by supervisors, managers, and senior executives for generating Individual Leadership Development Plans (IDPs), office- and unit-level action plans, for the identification of competency gaps amongst the DEA leadership cadre, in support of succession and workforce planning efforts, and to drive curriculum content/knowledge areas to target in organization-wide leadership development programs.

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.

The LES is automated and administered in a customized, online survey platform hosted on DEA servers. TFOs and Contractors who work at DEA locations receive an invitation in their government email to take the survey with a link to that survey. They will complete and submit the survey fully online. No personal identifiers are associated with their survey responses once submitted. The purpose of using an online survey platform is to ensure anonymity and to facilitate the ease of collection and compilation of data for the analysis of survey responses.

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 A.2 above.

Currently the Office of Personnel Management (OPM) administers an annual Federal Employee Viewpoint Survey (FEVS) to assess the working conditions, attitudes and perceptions of Federal employees. The LES is more narrowly and necessarily focused on the employees’ unit and his/her direct supervisor, manager, and senior executives, and asks for direct feedback and ratings on individual leader effectiveness. Therefore, the LES provides much more detailed and specific information than the FEVS regarding the employees’ working conditions, attitudes about organizational health, and perceptions on the effectiveness of their immediate DEA Leadership chain. Furthermore, the LES provides feedback on the leadership competencies identified as critical to DEA that are specific to supervisors, managers, and senior executives, which the FEVS does not.

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

There is no significant impact on small business or other private entities.

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.

The LES is administered annually for the purposes of continually gauging the DEA’s working conditions, organizational health, employee perceptions and engagement, as well as the competencies of its leadership. Less frequent collection of information would minimize the utility of the information to engage and empower employees and leaders to improve the Federal workplace. In addition, with frequent retirements, reassignments, and mandatory Headquarters’ details, leadership within the DEA is very mobile. Annual information ensures that each leader receives timely feedback from his or her immediate work group that is actionable within the current performance year.

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, government 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 statistical data classification that has not been reviewed and approved by OMB;

• that includes a pledge of confidentially 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 secret, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information's confidentially to the extent permitted by law.

There are no special circumstances.

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. Specifically address comments received on cost and hour burden.

Describe efforts to consult with persons outside the agency to obtain their views on the availability of data, frequency of collection, the clarity of instructions and recordkeeping, disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported.

Consultation with representatives of those from whom information is to be obtained or those who must compile records should occur at least once every 3 years -- even if the collection-of-information activity is the same as in prior periods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained.

The 60-Day Notice was published in the Federal Register on December 22, 2023 (88 FR 88658). The comment period ended on February 20, 2024. No comments were received.

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

No government funds will be used as payment or for gifts to respondents.

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

The following statement is provided in the survey:

Confidentiality of Survey Data

The following additional information about the survey is provided for survey administrators and participants:

Authorities for the collection of this information are found in 5 USC Part II Civil Service Functions and Responsibilities) and Part III (Employees).

Your responses will be held in the strictest confidence. No individual responses will be reported or results disclosed or displayed in any way that could potentially be used to identify individual respondents. Information provided will be aggregated and reported for each division within DEA.

The purpose for collecting this information is to study and report attitudes and perceptions of the DEA workforce regarding their work environments, with a focus on various management policies and practices that affect them. The results will help your organization develop strategies to improve the quality of that work environment - one of the goals of DEA's senior leadership.

Only authorized personnel that are responsible for collecting or analyzing the information will have access to raw data. Individual surveys will be anonymous and data cannot be linked to a respondent's name or email address.

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. This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons from whom the information is requested, and any steps to be taken to obtain their consent.

Not applicable.

12. Provide estimates of the hour burden of the collection of information. The statement should:

• Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated. Unless directed to do so, agencies should not conduct special surveys to obtain information on which to base hour burden estimates. Consultation with a sample (fewer than 10) of potential respondents is desirable. If the hour burden on respondents is expected to vary widely because of differences in activity, size, or complexity, show the range of estimated hour burden, and explain the reasons for the variance. General, estimates should not include burden hours for customary and usual business practices.

• If this request for approval covers more than one form, provide separate hour burden estimates for each form.

• Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories. The cost of contracting out or paying outside parties for information collection activities should not be included here. Instead, this cost should be included in Item 14.

Estimated Annualized Respondent Cost and Hour Burden

Activity	Number of Respondents	Frequency	Total Annual Responses	Time Per Response	Total Annual Burden (Hours)
LES Survey	5,000	1	5,000	20 min.	1,667 hours.
Unduplicated Totals	5000		5000		1,667

13. Provide an estimate of the total annual cost burden to respondents or recordkeepers resulting from the collection of information. (Do not include the cost of any hour burden shown in Items 12 and 14).

• The cost estimate should be split into two components: (a) a total capital

and start up cost component (annualized over its expected useful life); and (b) a

total operation and maintenance and purchase of service component.

The estimates should take into account costs associated with generating,

maintaining, and disclosing or providing the information. Include descriptions of

methods used to estimate major cost factors including system and technology acquisition, expected useful life of capital equipment, the discount rate(s), and the time period over which costs will be incurred. Capital and start-up costs include, among other items, preparations for collecting information such as purchasing computers and software; monitoring, sampling, drilling and testing equipment; and record storage facilities.

• If cost estimates are expected to vary widely, agencies should present ranges of cost burdens and explain the reasons for the variance. The cost of purchasing or contracting out information collection services should be a part of this cost burden estimate. In developing cost burden estimates, agencies may consult with a sample of respondents (fewer than 10), utilize the 60-day pre-OMB submission public comment process and use existing economic or regulatory impact analysis associated with the rulemaking containing the information collection, as appropriate.

• Generally, estimates should not include purchases of equipment or services, or portions thereof, made: (1) prior to October 1, 1995, (2) to achieve regulatory compliance with requirements not associated with the information collection, (3) for reasons other than to provide information or keep records for the government, or (4) as part of customary and usual business or private practices.

The estimated annual cost burden is zero. Respondents are estimated to not incur any additional start-up costs or purchase services as a result of this information collection.

14. Provide estimates of the annualized cost to the Federal Government. Also, provide a description of the method used to estimate cost, which should include quantification of hours, operational expenses (such as equipment, overhead, printing, and support staff), any other expense that would not have been incurred without this collection of information. Agencies also may aggregate cost estimates from Items 12, 13, and 14 into a single table.

Average grade/step of DEA employee = $42.80/hour

Average time to maintain survey= 5 minutes (Assuming/estimating it takes 5 minutes for staff to review and maintain the survey)

Total cost to government: 42.80*.33*5,000 =$70,620

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

Not applicable.

16. For collections of information whose results will be published, outline plans for tabulations, 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.

Data will be used only internally to DEA for management and leadership development purposes.

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.

Due to the annual administration of the survey, no expiration date is warranted.

18. Explain each exception to the certification statement.

This collection of information does not include any exceptions to the certificate statement.

B. COLLECTIONS OF INFORMATON EMPLOYING STATISTICAL METHODS.

This collection does/does not contain statistical data.

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