Document ID: EPA-HQ-OPPT-2017-0318-0009
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2022-01-24T05:00Z

Supporting Statement for an Information Collection Request (ICR) 
Under the Paperwork Reduction Act (PRA)
EXECUTIVE SUMMARY
 Identification of the Information Collection  -  Title and Numbers
	Title: Request for Contractor Access to TSCA Confidential Business Information (CBI)
	EPA ICR No.: 1250.12
	OMB Control No.: 2070-0075
	Docket ID No.: EPA-HQ-OPPT-2017-0318
 Abstract
The Environmental Protection Agency (EPA) procures contract support to facilitate the performance of certain duties. EPA may require contractors to handle Toxic Substances Control Act (TSCA) Confidential Business Information (CBI). Each contractor employee who will use TSCA CBI in the performance of his or her duties must be authorized for access to TSCA CBI through a multi-step process. The TSCA CBI Protection Manual (EPA Publication 7700 A2, revised October 2003; see Attachment 2) provides Federal and contractor employees with guidelines and operating procedures for handling TSCA CBI while performing their official duties, as well as the procedures to obtain authorization for access to TSCA CBI. 
Specifically, for purposes of this information collection, contractor personnel must submit to EPA the EPA form titled "TSCA CBI Access Request, Agreement, and Approval" (EPA Form 7740-6; Attachment 3). The Office of Pollution Prevention and Toxics (OPPT), uses EPA Form 7740-6 to collect information about contractor personnel so that the Agency can evaluate their suitability for access to TSCA CBI. EPA stores the information on the OPPT Chemical Information System (CIS).
 Summary Total Burden and Costs

                              Annual Burden Hours
                               Annual Responses 
                                 Annual Costs
Industry
340.8
214
$19,740
Agency
1,172.0
-
$74,181

Supporting Statement
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.
This information collection request is necessary to protect information under provisions of TSCA section 14 (as amended by the Frank R. Lautenberg Chemical Safety Act for the 21st Century; see Attachment 1). It is necessary for EPA to provide guidance to its employees, other Federal agencies and contractors on the proper handling of CBI submitted to EPA under TSCA. See attachment 2.
This information collection activity is necessary to protect confidential information submitted to the Agency as mandated by TSCA section 14 and is consistent with 5 CFR 1320.6. The consequences of not collecting these data could be monumental to private industry. Under TSCA, industry is required to submit data that may be deemed to be confidential, such as formulas and financial information related to chemicals companies plan to produce. EPA is obligated to protect these data as outlined by TSCA section 14. In addition, the Agency could possibly harm businesses if these data were released to competitors.
The information collected by this request will be used to evaluate contractor personnel who will be authorized for access to TSCA CBI. Therefore, the collection of information is necessary to provide the protection mandated by TSCA.
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
The information will be maintained within OPPT automated security access tracking system with access limited to the OPPT TSCA Security Officer and Document Control Officers (DCOs) in OPPT, other parts of EPA, in Regional Offices and at contractor firms.
The information will also be used to generate a monthly TSCA Authorized Access List for distribution to the EPA Contract Officer Representatives (EPA CORs) and DCOs for verification of Federal and contractor employees authorized access to TSCA CBI. The information provided by contractor employees will not be released to sources who do not have a valid "need to know."  Information submitted by one contractor will not be shared with another EPA contractor. If this information is not collected by the Agency, EPA will not be able to evaluate the suitability of its contractor employees for TSCA CBI access.
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.
Not applicable. 
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.
No other Federal agency or department could provide the information necessary for EPA to authorize contractor personnel for access to TSCA CBI. The data being collected are not available from any other sources and can only be collected from individuals themselves.
If the collection of information impacts small businesses or other small entities, describe the methods used to minimize burden.
All contractors regardless of company size are treated in the same manner. The collection process is simple and straightforward and can be completed quickly.
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.
This is a one-time information collection, if the clearance is renewed annually. When a clearance lapses, then a repeat of the initial collection is required.
Explain any special circumstances that require the 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 a statistical data classification that has not been reviewed and approved by OMB; 
that includes a pledge of confidentiality 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 secrets, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information's confidentiality to the extent permitted by law.  
Not applicable. 
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 in response to the comments. Specifically address comments received on cost and hour burden. 
    Describe efforts to consult with persons outside EPA 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.
Pursuant to 5 CFR 1320.8(d) in proposing to renew this ICR, EPA will publish a notice in the Federal Register that will provide a 60-day public comment period. The comments received and any additional public comment for this action will be posted in the docket. 
As required under 5 CFR 1320.8(d)(1), in addition to the public notice in the Federal Register, EPA staff will contact appropriate stakeholders and ask them for their assessment of the regulatory burden estimates expressed by the Agency in this ICR. A summary of these consultations will be provided in the supporting statement during the second comment period. 
Explain any decision to provide any payment or gift to respondents, other than remuneration of contractors or grantees.
Not applicable. 
Describe any assurance of confidentiality provided to respondents and the basis for the assurance in statute, regulation, or agency policy. If the collection requires a systems of records notice (SORN) or privacy impact assessment (PIA), those should be cited and described here.
The information collected is stored at EPA Headquarters in a secured local area network, the CIS module. The EPA form used to collect these data contains a Privacy Act statement that complies with the Privacy Act and OMB Circular 108.
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.
There are no sensitive questions contained in this information collection.
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. Generally, 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 and aggregate the hour burdens. 
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 under `Annual Cost to Federal Government'.  
Respondents affected by this activity are found mainly under NAICS codes 514 (Information Services) and 561 (Administrative and Support Services).
To complete the form, the contractor employee must: describe why access to TSCA CBI is necessary for the successful performance of his or her duties under the contract; identify, by section of TSCA, the types of CBI to which access is needed; and provide personal identification information. Justification statements are provided on the form and the employee only has to designate which statement (A, B, C, D or Other) is applicable.
In addition, the contractor must appoint an employee to serve as a liaison (DCO) between EPA and the contractor to handle issues relating to employee access to TSCA CBI. Contractor responsibilities for maintaining the access list are explained under Chapter 2.D.l.f of the TSCA Confidential Business Information Security Manual. Contractor DCOs must ensure that contractor employees read the security manual and attend a security briefing. The DCO is responsible for conducting a review, on a monthly basis, of the TSCA CBI Authorized Access List to determine whether any names should be added to or deleted from the list or whether any employee's access authority should be broadened or narrowed. Any changes to the list require approval by the EPA COR and the OPPT DCO.
The process that contractor employees must go through in order to be authorized access to TSCA CBI entails the following:
(1)	Read EPA Form 7740-6.
(2)	Gather required information and complete the form.
(3)	Submit the form to the contractor DCO for processing, compilation and review.
(4)	The contractor DCO files an in-house reference copy of the form.
(5)	The contractor DCO forwards the form to the EPA COR (or Delivery Order Project Officer) for signature and to forward on to the OPPT DCO for further review and processing.
(6)	The contractor employee views the TSCA CBI security video.
The information is collected once per each individual contractor employee requesting access authorization to TSCA CBI, provided there is no lapse in clearance and the individual does not relinquish his or her TSCA CBI access authorization.
Eligible contractors were directly contacted in the development of earlier versions of this ICR to determine the amount of time that would be required by them to complete the tasks outlined in this ICR. Because the requirements for this ICR have not changed from the time the earlier estimates were made, the same estimates are used in this analysis. Currently 23 companies are under contract to EPA and have a need to clear employees for access to TSCA CBI. Those firms have a total of 214 such employees cleared for access for an average of about 10 CBI cleared employees per firm. 
The per-employee burdens are given in Table 1 and the total annual respondent burden is shown in Table 2. In previous ICRs, the breakdown of employees among managerial, technical and clerical employees was approximately 33%, 58% and 9% respectively. This same breakdown was used in this analysis resulting in an estimate of 71 managerial, 124 technical, and 19 clerical employees. The total annual burden for all firms is estimated to be 341 hours.
 Table 1:  EMPLOYEE BURDEN ESTIMATES
                             Collection Activities
                           Per Employee Burden Hours

                                  Management
                                   Technical
                                   Clerical
1.Contractor employee can either view the TSCA CBI security video; complete the TSCA CBI On-line Briefing via the EPA Intranet; or use the supplied CD-ROM for those that cannot access the intranet
0.5000

0.5000

0.5000

2. Read EPA Form 7740-6
0.1630
0.1630
0.1630
3. Gather required information and complete form.
0.2240
0.1975
0.5280
4. Contractor Document Control Officer processes, compiles and reviews form.
0.0961
0.0367
1.5480
5. Store, file, or maintain copy of form for in-house reference.
0.1089
0.0086
3.0190
6. Complete written form, obtain signatures, forward to EPA Information Management Division
0.2275
0.0558
0.9710

 Table 2: TOTAL ANNUAL RESPONDENT (CONTRACTOR) BURDEN ESTIMATES
                             Collection Activities
                            Burden Hours (per year)
                                  Total Hours

                                  Management
                                   Technical
                                   Clerical

1.Contractor employee can either view the TSCA CBI security video; complete the TSCA CBI On-line Briefing via the EPA Intranet; or use the supplied CD-ROM for those that cannot access the intranet.
35.5
62.0
9.5
107.0
2. Read EPA Form 7740-6
11.6
20.2
3.1
34.9
3. Gather required information and complete form.
15.9
24.5
10.0
50.4
4. Contractor Document Control Officer processes, compiles and reviews form.
6.8
4.6
29.4
40.8
5. Store, file, or maintain copy of form for in-house reference.
7.7
1.1
57.4
66.2
6. Complete written form, obtain signatures, forward to EPA Information Management Division.
16.2
6.9
18.4
41.5
Totals
93.7
119.3
127.8
340.8

Respondent hourly costs in this ICR have been calculated using the Bureau of Labor Statistics' Employer Costs for Employee Compensation Supplementary Tables: December 2006  -  December 2020 (US Bureau of Labor Statistics, 2021). Hourly costs were calculated for workers in professional and business services industries. Total hourly cost estimates include wages, fringe benefits, and overhead.  The wage and fringe benefit numbers are from the BLS data, and an overhead rate of 20% is used based on assumptions in the Handbook of Valuing Changes in Time Use Induced by Regulatory Requirements and Other U.S. EPA Actions Attachment 4. 

                                   Category
                                  Hourly wage
                                Fringe benefits
                                   Overhead
                               Total hourly cost
Managerial
$53.32
$21.97
$15.06
$90.35
Technical
$43.85
$17.96
$12.36
$74.17
Clerical
$19.76
$7.88
$5.53
$33.17

Estimated total annual costs to the respondents are equal to $19,740 and are presented in Table 3. There are no capital costs for the contractors associated with this collection.
Table 3: ANNUAL RESPONDENT (CONTRACTOR) COST ESTIMATES
                                Labor category
                                  Hourly cost
                             Number of clearances
                                  Labor hours
                               Labor Cost Total
Managerial
$90.35
71
93.7
 $6,653
Technical
$74.17
124
119.3
 $8,848
Clerical
$33.17
19
127.8
 $4,239
Totals
340.8
$19,740

Provide an estimate for the total annual cost burden to respondents or recordkeepers resulting from the collection of information. (Do not include the cost of any hour burden already reflected on the burden worksheet).
 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 services 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 collections 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.
There are no operational or maintenance costs associated with this collection. 
Provide estimates of 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), and any other expense that would not have been incurred without this collection of information. Agencies may also aggregate cost estimates from Items 12, 13, and 14 in a single table.
The contractor DCO forwards the EPA Form 7740-6 submitted by a contractor employee to the EPA COR. The EPA COR then signs the form and forwards the form to the OPPT DCO. OPPT DCO staff review the form for completeness. The form is processed by the DCO staff and appropriate authorizing signatures are obtained; the OPPT DCO is the final approval authority. The information on the form is then entered into the CIS module.
The information is retained within OPPT in paper copy files. The information is entered into CIS with access limited to the OPPT Security Staff and other Agency and Regional Office DCOs. Current plus one year of contractor information is maintained in the paper files. Paper files are destroyed by shredding after a contractor employee has relinquished his/her access.
Once processed within OPPT, each EPA Form 7740-6 is reviewed by an EPA COR and the OPPT DCO, and the data are entered into CIS. The monthly TSCA CBI Access List, which acts as a quality check on data entry accuracy, is produced, published and distributed to the EPA CORs and TSCA DCOs. There is no public access to the TSCA CBI Authorized Access List, nor to any of the information stored in the CIS module.
CIS is housed on a secured Local Area Network with OPPT internal access only. The system is available to CBI-cleared users exclusively.
The costs and burdens to the Federal Government are presented in the Table 4. The Office of Pollution Prevention and Toxics bases its burden hour estimates on prior experience in gathering and processing information associated with other information collections. Hourly wages for clerical support are based upon the salary for a GS-7, step1 ($23.32). Hourly costs for managerial and technical support are based upon the salary for GS-15, step 1 ($68.38) and GS-12, step 1 ($41.37), respectively. The hourly rates were taken from the U.S. Office of Personnel Management's 2020 General Schedule for workers with the Washington DC locality payment (Salary Table 2020-DCB). These hourly estimates were then multiplied by 0.639 to account for benefits (Falk, J., Comparing Benefits and Total Compensation in the Federal Government and the Private Sector, 2012). Total loaded wage is calculated by adding wage and fringe benefits and multiplying by 1.2 to account for overhead based on assumptions on the EPA Handbook on Valuing Changes in Time Use Induced by Regulatory Actions (2020). The hourly cost estimates adjusted for benefits and overhead are $134.49 for managers, $81.37 for technical workers, and $45.87 for clerical workers. We have not included a previous $6,500 cost for equipment due to automation and technological improvements in processing. The total cost to the Agency to maintain the collection system is $74,181 per annum and the total Agency burden is estimated at 1172 hours.
Table 4:  ANNUAL AGENCY BURDEN/COST ESTIMATES
                             Collection Activities
                            Burden Hours (per year)
                                  Total Hours
                                  Total Cost

                             Management @ $134.49
                                   Technical
                                   @ $81.37
                                   Clerical
                                   @ $18.27

1. Read EPA Form 7740-6
35.5
40.0
18.5
94.0
$8,878
2. Gather required information and complete form.
16.5
44.5
122.0
162.5
$11,436
3. EPA Document Control Officer processes, compiles and reviews form.
19.0
44.5
175.0
238.5
$14,203
4. Complete written form and obtain appropriate signatures.
18.0
12.5
47.0
77.5
$5,594
5. Store, file or maintain copy of form for in-house reference.
5.0
30.5
160.5
196.0
$10,516
6. DCO forwards form to Information Management Division
2.5
0.0
50.5
53.0
$2,652
7. Systems operations
5.0
150.0
175.0
330.0
$20,904
Totals
101.5
322.0
748.5
1,172.0
$74,181

Explain the reasons for any program changes or adjustments reported in hour or cost burden.
The estimated annual burden to contractors is unchanged at 341 hours compared with that identified in the information collection most recently approved by OMB. Also, the costs to the industry respondents increased by $435, reflecting increases in labor and overhead costs over time.
Estimated agency burden has increased by $11,961 due to projected increases in per hour labor and overhead costs.
For collections whose results will be published, outline the 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.
Not applicable. 
If seeking approval to not display the expiration date for OMB approval of the information collection, explain the reasons why display would be inappropriate.
Not applicable. 
Explain each exception to the certification statement identified in "Certification for Paperwork Reduction Act Submissions."
EPA does not request an exception to the certification of this information collection. 
Supplemental Information
This collection of information is approved by OMB under the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. (OMB Control No. 2070-0075). Responses to this collection of information are mandatory for certain persons, as specified at 15 U.S.C. 2613. 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 public reporting and recordkeeping burden for this collection of information is estimated to be 1.6 hours per response. Send comments on the Agency's need for this information, the accuracy of the provided burden estimates and any suggested methods for minimizing respondent burden to the Regulatory Support Division Director, U.S. Environmental Protection Agency (2821T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Include the OMB control number in any correspondence. Do not send the completed form to this address.
List of Attachments
The attachments listed below can be found in the docket for this ICR or by using the hyperlink that is provided in the list below. The docket for this ICR is accessible electronically through http://www.regulations.gov using Docket ID Number: EPA-HQ-OPPT-2017-.0318
Ref.
Title 
1.
Section 14 of the Toxic Substances Control Act (15 U.S.C. 2613) 
2.
TSCA CBI Access Request, Agreement, and Approval (EPA Form 7740-6)
3.
TSCA Confidential Business Information Security Manual (7701A, October 20, 2003)
4
Wage Rates