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SUPPORTING STATEMENT

EPA ICR 2159.05

RENEWAL BACKGROUND CHECKS FOR CONTRACTOR EMPLOYEES

1. IDENTIFICATION OF THE INFORMATION COLLECTION

(a) Title of the Information Collection

This information collection request is for the Environmental Protection Agency (EPA)

requirement entitled “Background Checks for Contractor Employees (Renewal),” EPA ICR 

Number 2159.05 and OMB Control Number 2030-0043. The Agency requires background 

checks for specified contractor employees working in sensitive locations or sensitive projects 

who are not otherwise covered by a background check in accordance with Homeland Security 

Presidential Directive -12 (HSPD12). 

(b) Short Characterization 

The EPA uses contractors to perform services throughout the nation with regard to 

environmental emergencies involving the release, or threatened release, of oil, radioactive 

materials or hazardous chemicals that may potentially affect communities and the surrounding 

environment. Releases may be accidental, deliberate, or may be caused by natural disasters. The 

Agency may request contractors responding to any of these types of incidents to conduct 

background checks and apply Government-established suitability criteria in determining whether 

employees are acceptable to perform on given sites or on specific projects. In addition to 

emergency response contractors, EPA may require background checks for contractor personnel 

working in sensitive sites or on sensitive projects. The background checks and application of the 

Government’s suitability criteria must be completed prior to contract employee performance. 

The contractor shall maintain records associated with all background checks.

2. NEED FOR AND USE OF THE COLLECTION

(a) Need/authority for the Collection

The legal authority for this collection is Title 5, Code of Federal Regulations, Parts 731, 

732, and 736. The EPA has a responsibility to protect the public, Agency employees, and 

contractors through a background check and application of Government-established suitability

criteria to ensure reliability, trustworthiness, and good conduct and character. This process is 

necessary to allow the EPA to meet its responsibilities and mitigate any threat to the public 

health, welfare and the environment. 

(b) Uses/users of the Data

Information collected by contractors for performing background checks is necessary for 

applying the Government-established suitability criteria on contract employees before the 
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individual employees perform contractual services for the EPA.

3. NONDUPLICATION, CONSULTATION, AND OTHER COLLECTION CRITERIA

(a) Nonduplication

Information requested from a contractor’s employee to determine suitability to perform 

on a response contract is unique to a specific individual; this information cannot be obtained 

from any other source.

(b) Public Notice Required Prior to ICR submission to the Office of Management and 

Budget.

The information collection request was initially published as a Notice in the Federal 

Register on June 10, 2005, and for renewal on November 13, 2008 and October 31, 2011. There 

were no comments received on the initial notice or the first renewal; however, there were two 

comments received on the October 31, 2011 notice of renewal. Both comments are related to 

equal employment opportunities. The first comment stated that in accordance with the Equal 

Employment Opportunity Commission’s (EEOC) guidance, in order to exclude a person from 

employment based on a criminal conviction, the criminal conduct must be recent enough and 

sufficiently job-related to be predictive of performance in the position sought. The current EPA 

policy states that individuals must not have a weapons offense in the last five years or a felony

conviction in the last three years in order to be qualified to work at an EPA response site. At 

sensitive sites, the individual cannot have a weapons offense in the past ten years, a felony

conviction in the last seven years, or a misdemeanor conviction in the last five years. The 

commenter urged the EPA to narrow its exclusions to focus on specific misdemeanor and felony

convictions that relate to the work and the site of the contract.

The EPA recognizes the merit in this comment; however, because the nature and location 

of work varies, it would be difficult to list only certain misdemeanors and convictions which 

would be applicable without leaving the Agency at undue risk. Current EPA procedures, which 

have been communicated to our contractors, allow for a waiver process if a contractor feels an 

individual is otherwise qualified and the nature of the conviction or misdemeanor does not pose a 

risk to the current work. The EPA is currently in the process of rewriting its policies regarding 

background checks and will ensure that the language is revised to add a statement that specifies 

that the individual cannot have a felony or misdemeanor conviction that poses unreasonable risk 

to the work or Agency, rather than blankly stating no misdemeanors or convictions are allowed. 

The new policy will also spell out the current procedures for obtaining a waiver. 

The second comment was a recommendation that the EPA implement a waiver process so 

that individuals or contractors can request an individualized assessment. As stated above, this 

process is already in place and will be clearly identified in the upcoming policy revision.
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(c) Consultations

To determine contractor burden associated with the information collection identified in 

this request, the following vendors were contacted:

_Representative__ Firm___________ ____Phone___

Lisa Friday Weston Solutions (610) 701-3157

Jack Jemsek Sovereign Consulting (413) 540-0650

Joe Baer Tech Law (304) 230-1230

Chrystal Guthrie Chenega (703) 822-2767

Amy Clark Tetra Tech (626) 470-2516

Chuck Baker URS Corp (303) 296-3523

Franceska Parkman G2 (865) 482-4271

Mark Ruck Environmental Restoration (636) 680-2405

Sherry Maule Guardian Environmental (302) 918-3070

John Mount Kemron (404) 636-0928

Greg Sulan WRS (609) 371-7500

Dhroov Shivjiani Ecology & Environment (206)652-5853

Each individual consulted indicated that he/she understood the need for the information 

collection and did not find the collection burdensome. The majority of respondents stated that 

their organization performs Background Checks of new hires as standard practice. Estimated 

time to complete the information collection is described in section 6, “Estimating the Burden and 

Cost of the Collection.” 

(d) Effects of Less Frequent Collection

The information provided by the contractors’ employees is collected once prior to the 

employee performing work for EPA. The requirement for a background check and application 

of the Government’s suitability criteria cannot be met with a less frequent collection. 

(e) General Guidelines

The information contained in this ICR is in accordance with the Office of Management 

and Budget’s general guidelines for Federal data collection, except that small entities have to 

follow the same collection procedures as other respondents. 

(f) Confidentiality

The EPA contractor is responsible for collecting and maintaining information under this 

collection of information; therefore, each contractor will have his own procedures for ensuring 

confidentiality.
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(g) Sensitive Questions

Information requested is commonly collected as a normal business practice. The 

contractor will collect and maintain employee information. The EPA will not collect contractor 

employee information nor maintain it. The Agency is responsible for receiving the suitability

notification from contractors.

If a contractor employee’s background check does not meet the suitability criteria, but the 

contractor wants the employee to work on the response site, the contractor must submit a waiver 

request to the Director, Superfund/RCRA Regional Procurement Operations Division 

(SRRPOD). The information submitted to SRRPOD is maintained and protected in accordance 

with Privacy Act requirements.

4. THE RESPONDENTS AND THE INFORMATION RECEIVED 

(a) Respondents/North American Industry Classification System Codes

Information is collected for employees of the contractors and subcontractors who perform 

work in sensitive sites or sensitive projects. All contractor employees who will perform on 

response actions are subject to a background check and must meet the Government-established 

suitability criteria prior to contract performance. Typically, these contractor respondents fall into 

the following North American Industry Classification System code: 562910 Remediation 

Services. Other contractors may be subject to background check requirements if they are 

working at sensitive sites.

(b) Information Requested

(i) Data items 

The contractor’s employees will be required to provide information such as name, 

social security number, proof of US citizenship or legal resident status, employment 

history, education, military service, and address of residence. 

(ii) Respondent Activities

After performing a background check and applying the Government’s suitability

criteria for an employee, the contractor must notify the contracting officer that the 

background checks and the application for the Government’s suitability criteria have 

been completed and that named individuals are suitable to work on a specific contract. 
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5. THE INFORMATION COLLECTED: AGENCY ACTIVITIES, COLLECTION 

METHODOLOGY, AND INFORMATION MANAGEMENT

(a) Agency Activities 

EPA contracting officers are responsible for ensuring that they have received notification 

from the contractor that all of its employees working at sensitive sites have undergone a 

background check and have met the Government-established suitability criteria.

(b) Collection Methodology and Management 

The information is collected by each contractor from each employee who will be working 

at sensitive sites or in sensitive positions which could involve law enforcement activities, indoor 

cleanups (including occupied household residences), drug lab cleanups, and emergency response 

actions at geographically sensitive locations such as military installations and Government 

buildings. Submissions are accepted in any format so long as they include the requested data. 

No information is submitted to the Agency, but compliance is mandatory and no employee may

work on a response site without meeting the Government-established suitability criteria, unless 

the requirement has been waived by the contracting officer. On a case-by-case basis, contracting 

officers may either temporarily or permanently waive the requirements if they determine in 

writing that these requirements are not necessary at a specific location, or for a specific 

individual, in order to protect the Government’s interests. The suitability criteria has been 

developed by the Government to determine that there are reasonable grounds to believe that an 

individual will likely be able to perform the contract requirements on a sensitive site or in a 

sensitive position without undue risk to the interests of the Government. Once the contractor has 

applied the criteria, and the employee has met the requirements as prescribed in the Statement of 

Work, contractors must notify the EPA contracting officer. Contractors must maintain the 

records of their background checks and application of the Agency’s suitability criteria. 

(c) Small Entity Flexibility

Separate or further simplified requirements for small entities are not practical because the 

stated objectives cannot be met under such alternatives. The requirements of the information 

collection apply to the awardees of the contract. Reasonable expense associated with the EPA 

background checks is reimbursable; therefore, small businesses are not expected to experience 

financial difficulties in fulfilling these requirements. Additionally, there are numerous 

commercial sources that perform background checks.

(d) Collection Schedule

Information will be collected periodically as individuals are requested to work at a 

sensitive site or in a sensitive position under new or existing contracts.
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6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION

(a) Estimation of Respondent Burden

Respondent burden estimates for this collection are based upon interviews with the 

contractors identified in 3(c) above and discussions with Agency personnel. The Agency

anticipates that the contractor burden for complying with this requirement includes the time it 

takes for employees to provide the required information, the time to manage a subcontract for 

background checks, the administrative time to apply the Government’s suitability criteria, the 

time to notify the Agency, and the effort to maintain the records. 

(b) Estimation of Respondent Costs

(i) Estimating Labor Costs

Respondent Cost Estimate

Respondent Cost Estimate

Burden Loaded 

Step Collection Activity Labor Cat. Hours__ Rate__ Cost_

 1. Time to fill out information Employees .25 hour $ 58.30 $ 14.58

 2. Cost to perform Background $ 75.00

 Check (Third party/Subcontractor)

 3. Review/apply HR Manager .25 hour $168.35 $ 42.09

 suitability criteria

 4. Submit notification HR Manager .25 hour $168.35 $ 42.09

 5. Maintain files Admin. Support .25 hour $ 51.88 $ 12.97

1 hour 

Estimated Respondent Cost per Background Check $ 186.73

Step 1 of the information collection is completed by a contractor employee working at a 

sensitive site. On average, respondents stated this process normally takes the employee about 15

minutes to complete. The cost for Step 2, having a third party perform a background check, is 

based upon market research and input from the vendors surveyed. Vendors’ costs for this 

activity ranged from $25 to $175. Websites like www.hireright.com and www.monster.com

show prices ranging from $30-$100. The cost varies depending on the number of background 

checks purchased per year, the parameters of the check, as well as the individual employee. A 

background check for an employee who has only lived in one state will be less than the cost for 

an employee who has lived in multiple jurisdictions. The median price of the research performed 

is $75 which is the figure used for the purpose of this ICR. Steps 3 and 4, reviewing suitability

and notifying EPA, are performed by a human resource type manager and/or a security manager 

responsible for personnel management. Administrative support personnel are responsible for 

completing step 5, which includes filing the background check in personnel records. 
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The cost associated with this effort was estimated using an hourly rate based upon the 

National Compensation Survey: Occupational Wages in the United States, May 2010 published 

by the U.S. Department of Labor, Bureau of Labor Statistics, and represents the most current 

survey data available. The categories used included the following: Hazardous Materials 

Removal Workers, Human Resource Manager, and Office and Admin Support.

Since the labor rates used in this estimate are from 2010, an escalation factor of 3% was 

applied for each year to determine an average wage for the respective year. The cost for each 

labor category was determined by multiplying the escalated hourly labor rate by an estimated 

loading factor of 2.95 to reflect industries’ overhead, fringe benefits, and general and 

administrative costs for each year (2012-2014) that the ICR will be in effect. The 2.95 estimate 

was provided by an EPA cost analyst as representative of average labor related burdens 

experienced by EPA contractors. The loaded labor costs for 2012 thru 2014 were added together 

then divided by three (number of years for the ICR) to arrive at an annualized labor cost for each 

labor category. 

The following are the loaded labor rates used in the calculations in the table above:

Employees:

2010 = $18.08

2011 = ($18.08 x 1.03) $18.62

2012 = ($18.62 x 1.03) $19.18 x 2.95 = $ 56.58

2013 = ($19.18 x 1.03) $19.76 x 2.95 = $ 58.29

2014 = ($19.76 x 1.03) $20.35 x 2.95 = $ 60.03

 $174.90/3 = $58.30

Human Resource Manager:

2010 = $52.21

2011 = ($52.21 x 1.03) $53.78

2012 = ($53.78 x 1.03) $55.39 x 2.95 = $ 163.40

2013 = ($55.39 x 1.03) $57.05 x 2.95 = $ 168.30

2014 = ($57.05 x 1.03) $58.76 x 2.95 = $ 173.34

 $ 505.04/3 = $168.35

Administrative Support:

2010 = $16.09

2011 = ($16.09 x 1.03) $16.57

2012 = ($16.57 x 1.03) $17.07 x 2.95 = $ 50.36

2013 = ($17.07 x 1.03) $17.58 x 2.95 = $ 51.86

2014 = ($17.58 x 1.03) $18.11 x 2.95 = $ 53.42

 $155.64/3 = $51.88

(ii) Capital/ Start-up Costs
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Respondents will not be required to acquire capital goods to provide the requested 

information; therefore, capital start-up costs have not been included in this estimate.

(iii) Operating and Maintenance Costs

Operating and maintenance costs, which include such items as file storage, 

photocopying, and postage, will be nominal.

(c) Estimating Agency Burden and Cost

Agency burden for responses to background check and application of Government 

suitability criteria.

Agency Burden Cost Estimate

 Labor Loaded

Step Collection Activity Category Burden Hours _Rate_ Cost

 1. Ensure Compliance and GS-13 .25 hour $87.26 $21.82

 document file 

 Estimated Agency cost per background check $21.82

Performing background checks and applying the Government’s suitability criteria are the 

responsibility of the EPA contractor. The Agency is primarily responsible for ensuring that 

contractors notify the Agency that a background check and application of the suitability criteria 

have been completed for all applicable employees. The Agency’s current effort is estimated to 

be approximately 15 minutes and performed by an employee at the GS-13 level. This is less than 

previous years, which was estimated at thirty minutes. After interviewing contracting officers, it 

was apparent that the process has become more efficient and takes less time. The GS-13 per hour 

salary for 2011 with a locality pay for “Rest of US” is $39.21. Since government wages are 

frozen for 2012, an escalation factor has only been applied for 2013 and 2014 using a factor of 

3.0% based upon historical cost of living increases for federal workers. These wage rates were 

then multiplied by a factor of 2.16 to reflect Federal employee benefits. The 2.16 estimate was 

provided by an EPA cost analyst as representative of labor related burdens for government 

employees. The loaded labor costs for 2012 thru 2014 were added together then divided by three 

(number of years for the ICR) for an annualized loaded rate of $87.26 for the three years the ICR 

is in effect. 

2011 = $39.21 

2012 = $39.21 x 2.16 =$84.69

2013 = ($39.21 x 1.03) $40.39 x 2.16 = $87.24

2014 = ($40.39 x 1.03) $41.60 x 2.16 = $89.86

 $261.79/3 = $87.26
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(d) Estimating the Respondent Universe and Total Burden 

All EPA contractor personnel performing on a response site must provide the required 

background information unless this requirement is waived by the contracting officer. The 

number of contractor employees expected to submit the requested information for background 

checks for the life of this ICR (3 years) is 3,000. This number was derived by estimating the 

number of currently performing contract employees under emergency response contracts. The 

Agency estimated this number of employees by reviewing current contract databases, interviews 

with contractors and information received from the regions. 

There are both small and large businesses working in the field with diverse response site 

situations that require large variations in the number of employees. Contractors may be on-site 

for a few days or many years depending on the situation. Per the EPA Office of Acquisition 

Management’s active contract list, there are currently 44 contracts which include a requirement 

for contractors to perform background checks on employees working at sensitive sites. The 

number of employees with background checks for each contract ranges from 5-350 per year, not 

counting subcontracts. Many contracts require employees to be prepared to report to work 

locations with no notice. Therefore, these employees must have background checks and meet the 

Government’s suitability criteria even if not continuously located on-site. 

Additionally, there are contractors working at their own facilities or at other than 

government locations who work on sensitive locations or on sensitive projects. These may

include, but are not limited to, maintenance of anti-terrorism equipment warehouses, water 

systems, environmental information, private laboratories working on genetically modified 

herbicides and pathogens, and law enforcement activities.

The number of employees needed at each sensitive site varies depending on the size and 

nature of the cleanup. Therefore, it is very difficult to ascertain the exact number of employees 

on which background checks are being performed. The estimate of 1,000 represents our best 

estimate given current information. 

(e) Bottom Line Burden Hours and Costs

(i) Respondent Tally

The annual respondent cost for this ICR is 1,000 hours at an estimated cost of $186,730. 

The hours were calculated by multiplying the number of hours per occurrence, which is one, by

the number of annual occurrences, 1,000. The cost was calculated by multiplying the respondent 

burden cost of $186.73 per background check by the number of annual occurrences, 1,000. The 

estimated respondent cost over the life of the ICR, three years, is $560,190 ($186,730 x 3). The 

previous estimate for respondent cost was $81,410 per year. There are several reasons for the 

increase. The previous ICR estimated the cost of a background check at $35; however, 

interviews with contractors and online market research shows that while basic checks can be 
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$35, more in depth searches can run two to three times this cost. Also, the basic rate used for a 

general type manager in the previous estimate was $50 less an hour than that used in today’s 

calculations. Interviews with contractors showed that the type of manager who performs work 

associated with background checks is a Human Resource Manager; therefore, the rate for a 

Human Resource Manager was used for current calculations. Lastly, the previous ICR 

calculations underestimated the required effort which resulted in unrecognized overall costs. 

(ii) The Agency Tally

The annual Agency burden for this collection request is estimated at 250 hours. This is 

calculated by multiplying the estimated burden hours per background check, which is .25, by the 

number of annual occurrences, 1,000 to arrive at 250 hours. The previous ICR calculation was 

500 hours. This is because the government estimated that the Agency processed waiver requests 

on approximately 25% of the background checks performed. However, interviews with both 

contractors and EPA contracting officers revealed that to date no waivers have been requested or 

processed. It is possible an occurrence could arise where a waiver would be necessary, but it 

would be rare, and the contracting officer could likely perform this work in the course of his or 

her normal duties.

The total annual Agency cost for this collection request is estimated at $21,815. This 

amount is calculated by multiplying the number of hours, 250, by the contracting officer’s loaded 

rate of $87.26 per hour. The estimated Agency cost over the life of the ICR, three years, is 

$65,445.

(f) Reasons for Change in Burden

As detailed above, there are a number of differences between the previous estimate and 

the current estimate. The previous calculations for the contractor burden resulted in 

unrecognized costs. Also, the rate for the manager in the previous estimate was substantially

lower than the 2010 estimate for a human resource manager, and the rate for a background check 

was substantially lower than the estimates confirmed by current market research. Lastly, the 

previous estimate accounted for costs associated with waivers; however, research showed no 

waivers have been required to date.

(g) Burden Statement

The annual public reporting and record keeping burden for this collection of information 

is estimated on average to be one hour per response. Burden means the total time, effort, or 

financial resources expended by persons to generate, maintain, retain, or disclose or provide 

information to or for a Federal agency. This includes the time needed to review instructions; 

develop, acquire, install, and utilize technology and systems for the purposes of collecting, 

validating, and verifying information, processing and maintaining information, and disclosing 

and providing information; adjust the existing ways to comply with any previously applicable 
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instructions and requirements; train personnel to be able to respond to a collection of 

information; search data sources; complete and review the collection of information; and 

transmit or otherwise disclose the information. An agency may not conduct or sponsor, and a 

person is not required to respond to, a collection of information unless it displays a currently

valid OMB control number. The OMB control numbers for EPA’s regulations are listed in 40 

CFR part 9 and 48 CFR chapter 15.

To comment on the Agency's need for this information, the accuracy of the provided 

burden estimates, and any suggested methods for minimizing respondent burden, including the 

use of automated collection techniques, EPA has established a public docket for this ICR under 

Docket ID Number EPA-HQ-OARM-2011-0803, which is available for online viewing at 

www.regulations.gov, or in person viewing at the Office of Environmental Information in the 

EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Avenue, NW, 

Washington, D.C. The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 

p.m., Monday through Friday, excluding legal holidays. The telephone number for the Reading 

Room is (202) 566-1744, and the telephone number for the Office of Environmental Information 

is (202) 566-1752. An electronic version of the public docket is available at 

www.regulations.gov. This site can be used to submit or view public comments, access the 

index listing of the contents of the public docket, and to access those documents in the public 

docket that are available electronically. When in the system, select “search,” then key in the 

Docket ID Number identified above. Also, you can send comments to the Office of Information 

and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, 

D.C. 20503, Attention: Desk Officer for EPA. Please include the EPA Docket ID Number 

EPA-HQ-OARM-2011-0803 and OMB Control Number 2030-0043 in any correspondence.