supporting statement b (used for AES survey)

1. Describe (including a numerical estimate) the potential respondent universe and any sampling or other respondent selection methods to be used. Data on the number of entities (e.g., establishments, State and local government units, households, or persons) in the universe covered by the collection and in the corresponding sample are to be provided in tabular form for the universe as a whole and for each of the strata in the proposed sample. Indicate expected response rates for the collection as a whole. If the collection had been conducted previously, include the actual response rate achieved during the last collection.

The Federal Human Capital Survey measures federal employee perceptions regarding critical areas of their work life. A sample of federal employees was selected to represent the entire full-time permanent federal workforce (approximately 1.6 million employees.)

Attached is a table which shows the population/sample/respondents for each of the strata in the 2008 FHCS administration.

The overall response rate for the 2008 Federal Human Capital Survey was 51%.

2. Describe the procedures for the collection of information including:

• Statistical methodology for stratification and sample selection

For the 2008 FHCS, the sample frame included lists of all full-time, permanent Federal employees in the agencies participating in the survey. OPM statisticians used two variables to stratify the employees on the sample frame into 916 subgroups: (1) organization subgroup (e.g., bureaus, offices) and (2) supervisory status (i.e., nonsupervisors, supervisors, and Senior Executive Service).

• Estimation procedure,

A stratified random sample was pulled based on subagency and supervisory level to determine survey participants.

• Degree of accuracy needed for the purpose described in the justification

Within each stratum, we determine a sample size targeting a margin of error of no greater than +/- 5% for 95% confidence intervals about an estimated proportion.  We use .50 as the most conservative assumed proportion, since, if the estimated proportion were actually closer to 0 or 1, the margin of error could only be narrower.  The sample size needed is then inflated by 2.5 in anticipation of a 40% response rate; a conservatively low figure. The sample size required might exceed the population size, particularly within smaller strata, in which case the strata is censused.

• Unusual problems requiring specialized sampling procedures, and

No specialized sampling procedures were necessary.

• Any use of periodic (less frequent than annual) data collection cycles to reduce burden.

Our data collection occurs every two years. Additionally, the survey fulfills the Annual Employee Survey requirement for all participating agencies.

3.  Describe methods to maximize response rates and to deal with issues of non-response. The accuracy and reliability of information collected must be shown to be adequate for intended uses. For collections based on sampling, a special justification must be provided for any collection that will not yield "reliable" data that can be generalized to the universe studied.

During the survey administration OPM sends participants who have not completed the survey, weekly reminders and a final reminder. OPM assists agency contacts in encouraging participation within their own agencies. Also, OPM provides participating agencies sample communications materials which include memos, flyers, posters etc. Paper surveys are provided for individuals who do not have electronic access or an e-mail address.  Survey data appears reliable because there have not been any unexpected fluctuations in survey results across time.

4.  Describe any tests of procedures or methods to be undertaken. Testing is encouraged as an effective means of refining collections of information to minimize burden and improve utility. Tests must be approved if they call for answers to identical questions from 10 or more respondents. A proposed test or set of test may be submitted for approval separately or in combination with the main collection of information.

The items in the 2008 Federal Human Capital Survey are nearly identical to the 2006 FHCS. One item “In my most recent performance appraisal, I understood what I had to do to be rated at different performance levels.” was added to the survey which was pretested among OPM psychologists.

 

5.  Provide the name and telephone number of individuals consulted on statistical aspects of the design and the name of the agency unit, contractor(s), grantee(s), or other person(s) who will actually collect and/or analyze the information for the agency.

Bob Heim

Bob.Heim@opm.gov

Lead Statistician

U.S. Office of Personnel Management

(202) 606-1909