SF 85P and SF 85PS--Supporting Statement_Nov 2020 121820

SUPPORTING STATEMENT FOR THE
QUESTIONNAIRE FOR PUBLIC TRUST POSITIONS (SF 85P) AND
SUPPLEMENTAL QUESTIONNAIRE FOR SELECTED POSITIONS (SF85P-S)
OMB #3206-0258

Justification:
1. Explain the circumstances that make the collection of information necessary.
Identify any legal or administrative requirements that necessitate the collection.
The Office of Personnel Management (OPM) requests that OMB renew a previouslyapproved information collection, control number 3206-0258, Questionnaire for Public
Trust Positions (SF 85P) and Supplemental Questionnaire for Selected Positions (SF
85P-S). The information collection is used to determine acceptability for Federal
employment and employment by a Government contractor. The U.S. Office of
Personnel Management (OPM) ), or another investigative agency using this
information collection, is authorized to request this information under Executive
Orders 10577, 13467, and 13488, as amended, 13741, and 13764; sections 3301,
3302, and 9101 of title 5, United States Code (U.S.C.); and parts 2, 5, 731 and 736 of
title 5, Code of Federal Regulations (CFR), and Federal information processing
standards. Section 1104 of title 5 allows OPM to delegate personnel management
functions to other Federal agencies, with the proviso that it must also establish
standards applicable to the exercise of the function and exercise oversight of
compliance with applicable law.
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.
The Questionnaire for Public Trust Positions, SF 85P and Supplemental
Questionnaire for Selected Positions, SF 85P-S are housed in a system named e-QIP
(Electronic Questionnaires for Investigative Processing) and are information
collections completed by applicants for, or incumbents of, Federal Civilian
Government positions, or positions in private entities performing work for the
Government under contract. The collections are used as the basis of information for
background investigations to establish that such persons are: suitable for appointment
to or retention in Federal employment in a public trust position; fit for appointment to
or retention in Federal employment in the excepted service when the duties to be
performed are equivalent in degree of trust reposed in the incumbent to a public trust
position; fit to perform work on behalf of the Federal Government pursuant to a
Government contract when the duties to be performed are equivalent in degree of
trust reposed in the individual to a public trust position, or eligible for physical and
logical access to federally controlled facilities or information systems, when the
duties to be performed by the individual are equivalent to the duties performed by an
employee in a public trust position.

For applicants to Federal positions, the SF 85P and SF 85P-S are to be used only after
a conditional offer of employment has been made. The SF 85P-S is supplemental to
the SF 85P and is used only as approved by OPM, for certain positions such as those
requiring carrying of a firearm.

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 SF 85P, and SF 85P-S are standard forms used for collecting subject data to be
used in official background investigations conducted by the U.S. Government. e-QIP
(Electronic Questionnaires for Investigations Processing) is a web-based system
application that houses the SF 85P, and SF 85P-S. This electronic data collection tool
provides data validation to support the accuracy of the respondent’s personal
information.
e-QIP automates the data collection process from the respondent, applies all required
data editing rules to the respondent-supplied information, enforces data integrity, and
provides sponsoring agencies an automated capability to review and approve each
respondent’s submission before releasing the data to an investigative services
provider (ISP). e-QIP serves as a feeder system to other governmental systems,
including ISPs and sponsoring agency personnel or security systems such as the one
at the State Department.
A respondent’s complete and certified investigative data will remain secured in the eQIP system until the next time the respondent is sponsored by an agency to complete
a new investigative form. Upon initiation, the respondent’s previously entered data
(except ‘yes/no’ questions) will populate a new investigative request and the
respondent will be allowed to update their information and certify the data. In this
instance, time to complete the form is reduced significantly.
The electronic application includes branching questions and instructions which
provide for a tailored collection from the respondent based on varying factors in the
respondent’s personal history. The burden on the respondent is reduced when the
respondent’s personal history is not relevant to a particular question, since the
question branches, or expands for additional details, only for those persons who have
pertinent information to provide regarding that line of questioning. Accordingly, the
burden on the respondent will vary depending upon how the information collected
relates to the respondent’s personal history.

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.
Information collected on the SF 85P and SF 85P-S is specific to the individual and
thus not readily available from other sources, thus minimizing duplication.
5. If the collection of information impacts small businesses or other small entities
(Item 5 of OMB Form 83-I), describe any methods used to minimize burden.
Not applicable. This collection of information does not affect small businesses or
other small 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 SF 85P and SF 85P-S are used to initiate background investigations required by
E.O. 10577, 13467, and 13488, as amended, 13869, and 13764; sections 3301, 3302,
and 9101 of title 5, U.S.C.; parts 2, 5, 731, and 736 of title 5, CFR, and Federal
information processing standards. The collections are used as the basis of
information for background investigations to establish that such persons are: suitable
for appointment to or retention in Federal employment in a public trust position; fit
for employment or retention in Federal employment in the excepted service when the
duties to be performed are equivalent in degree of trust reposed in the incumbent to a
public trust position; fit to perform work on behalf of the Federal Government
pursuant to a Government contract when the duties to be performed are equivalent in
degree of trust reposed in the individual to a public trust position, or eligible for
physical and logical access to federally controlled facilities or information systems,
when the duties to be performed by the individual are equivalent to the duties
performed by an employee in a public trust position. All public trust positions are
subject to this level of investigation. If this information is not collected, agencies
cannot comply with E.O. 10577, 13467 ,13488, 13869, and 13764. This collection of
information cannot be made less frequently as it is the basis for initial background
investigations and for reinvestigations whose periodicity is established by federal
investigative standards.
7. Explain any special circumstances that would cause an information collection to
be conducted in a manner inconsistent with the guidelines in 5 CFR 1320.6.
Not applicable. This information collection is in compliance 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. 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 Federal Register Notice was published on September 16, 2020 (85 FR
57890). No comments were received.
9. Explain any decision to provide any payment or gift to respondents, other than
remuneration of contractors or grantees.
Not applicable.
10. Describe any assurance of confidentiality provided to respondents and the basis
for the assurance in statute, regulation, or agency policy.
The SF 85P and SF 85P-S include a Privacy Act Information statement. The
statement indicates that the forms are in full compliance with 5 U.S.C. 552a (the
Privacy Act of 1974) and other laws protecting the rights of the respondent. Further,
the forms note that the information provided by the respondent, including the identity
of the respondent, may be disclosed to the respondent upon request. For this renewal,
updates to the Privacy Act Information Statement and the Disclosure Information
paragraph within the Instructions have been made to notify individuals about the
transfer of background investigations data from OPM to the Department of Defense.
A person completing the forms is granted partial confidentiality under 5 U.S.C. 552a
and 5 CFR 736. The forms contain an Authorization for Release of Information and
Fair Credit Reporting Disclosure and Authorization, signed by the person completing
the form and, if applicable, the Authorization for Release of Medical Information
Pursuant to the Health Insurance Portability and Accountability Act (HIPAA). The
authorization forms request that record custodians and sources of information
contacted during the investigation provide requested data concerning the person being
investigated. Individuals completing the forms are informed that information
obtained from record custodians and other sources is for “official use by the Federal
Government” and can be disclosed only as authorized by law. Data reported on these
forms is not released to the public under the Freedom of Information Act.
For additional information regarding Electronic Questionnaires for Investigating
Processing Privacy Impact Assessment and notification of OPMs’ revised system of
records, please access the links provided below.

https://www.opm.gov/information-management/privacy-policy/privacypolicy/eqip.pdf
https://www.gpo.gov/fdsys/pkg/FR-2016-10-11/html/2016-24507.htm
For information regarding the system of records for the Defense Counterintelligence
and Security Agency (DCSA), which now is the primary background investigations
provider for the federal government, please access the following link:
https://www.federalregister.gov/documents/2018/10/17/2018-22508/privacy-actof-1974-system-of-records
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.
The SF 85P and SF 85P-S are investigative tools. The forms are designed to collect
information appropriate for determining suitability for employment or retention in
Federal employment in a public trust position; fitness for employment or retention in
Federal employment in the excepted service when the duties to be performed are
equivalent in degree of trust reposed in the incumbent to a public trust position;
fitness based on character and conduct for employment with a contractor on behalf of
the Federal Government, or eligibility for physical and logical access to federally
controlled facilities or information systems as an employee of a contractor, when the
duties to be performed are equivalent to the duties performed by an employee in a
public trust position.
The forms obtain data from individuals with which to initiate an investigation to meet
the adjudicative requirements established in 5 CFR part 731. The questions represent
an effort to obtain as much relevant and required information as possible directly
from the person to be investigated, in accordance with provisions of the Privacy Act.
Questions on the SF 85P that may be considered sensitive in nature are listed and
explained below:
- Section 20 (Police Record): Inquiry into criminal history, including details regarding
criminal conduct, arrests, and convictions is appropriate for public trust positions so
that an adjudicative decision regarding suitability or fitness for the position may be
made. This information is also necessary to make accurate and complete checks of
investigative files.

- Section 21 (Illegal Use of Drugs or Drug Activity): Inquiry into illegal drug use is
appropriate for public trust positions so that an adjudicative decision regarding
suitability or fitness for the position may be made.
- Section 22 (Use of Alcohol): Inquiries into use of alcohol is appropriate for public
trust positions so that an adjudicative decision regarding suitability or fitness for the
position may be made.
- Section 24 (Financial Record): Inquiry into personal finances provides information
used to determine trustworthiness, reliability, and honesty, and is especially relevant
for positions entailing fiduciary responsibilities.
- Section 27 (Association Record): Inquiry into detailed information pertinent to a
respondent’s involvement in terrorist organizations, association with persons involved
in activities to further terrorism and/or to overthrow the U.S. Government by force or
violence is appropriate for public trust positions so that an adjudicative decision
regarding suitability or fitness for the position may be made.
Questions on the SF 85P-S that may be considered sensitive in nature are listed and
explained below:
- Section 3 (Illegal Use of Drugs or Drug Activity): Inquiry into illegal drug use is
appropriate for public trust positions so that an adjudicative decision regarding
suitability or fitness for the position may be made.
- Section 5 (Psychological and Emotional Health): Inquiry as to whether a court or
administrative agency has ever issued an order declaring the respondent mentally
incompetent; whether a court or administrative agency has ever ordered the
respondent to consult with a mental health professional; whether the respondent has
ever been hospitalized for a mental health condition; and whether the respondent has
ever been diagnosed by a physician or other health professional with psychotic
disorder, schizophrenia, schizoaffective disorder, delusional disorder, bipolar mood
disorder, borderline personality disorder, or antisocial personality disorder. A
respondent who answers affirmatively to the latter question is asked whether, in the
last five years, there have been any occasions when the respondent did not consult
with a medical professional before altering or discontinuing, or failing to start a
prescribed course of treatment for any of the listed diagnoses. A respondent who
answers “no” to each of the previous questions is asked whether the respondent has a
mental health or other health condition that substantially adversely affects his or her
judgment, reliability, or trustworthiness even if he or she is not experiencing such
symptoms today. These questions are necessary to satisfy adjudicative
decisionmaking regarding suitability or fitness determinations.
The instructions on the SF 85P and SF 85P-S inform the respondent of the reason that
the information is requested, the authority for requesting it, how it will be used, and to
whom it may be disclosed. They describe the investigative process and inform the

respondent that OPM or the Federal agency requesting the investigation will make the
Form
Name

Form
No.

No. of
Respondents

Average
No. of
Responses
per
Respondent

Average
Burden
per
Response
(in hours)

Total
Annual
Burden
(in
hours)

Ave.
Hourly
Wage
Rate

Total
Annual
Respondent
Cost

SF
85P
SF
85P-S
Total

32060258
32060258

112,894

1

2.5

282,235

$18.75

$5,291,906

11,717

1

.167

1,957

$18.75

$36,694

1.1

2.667

284,192

$18.75

$5,328,600

124,611
final determination.

12. Provide estimates of the hour burden of the collection of information.

It is estimated that the total number of respondents for the SF 85P is 112,894
annually. The electronic application includes branching questions and instructions
which provide for a tailored collection from the respondent based on varying factors
in the respondent’s personal history. The burden on the respondent will vary
depending on whether the information collection relates to the respondent’s personal
history. OPM previously employed the Department of Defense Personnel Security
Research Center to conduct a study of the estimated burden of the SF 85P based on
empirical data gathered in a simulated background investigation context. A sample
of 33 participants successfully completed the study. Time burden estimates ranged
greatly, from 70 to 435 minutes. The average of participant time spent completing
the form was 183 minutes and the median was 155 minutes. In calculating the burden
estimate for the SF 85P, the median number is used, due to the variance expected
from the tailored collection. Accordingly, the estimated annual burden is 284,192
hours.
It is estimated that the total number of respondents for the SF 85P-S is 11,717
annually. Each SF 85P-S form takes an estimated 10 minutes to complete.
Accordingly, the estimated annual burden is 1,957 hours. The number of forms
completed varies depending on the number of investigations requested/completed
each year. Estimates are provided below:

SF 85P
SF 85P-S

Number of Respondents
112,894
11,717

Burden Hours
282,235
1,957

13. Provide an estimate for the total annual cost burden to respondents or record
keepers resulting from the collection of information.
There is no cost to individual respondents.

14. 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 expenses that would not have been
incurred without the paperwork burden.
The SF 85P is the information collection that serves as the basis for the investigation
of all individuals working for or on behalf in positions of public trust. The estimated
annual cost to the Federal Government to perform investigations commensurate with
this collection is $277,174,756. This estimate was derived from the cost to conduct
SF 85P-based investigations according to the average number of all SF 85P-based
investigations conducted in FY18 and FY19. It includes those investigations
submitted with the supplemental SF 85P-S as the SF 85P-S must be submitted with
the SF 85P when the position requires submission of the supplemental form.
Form
Name

Form
Number

Investigative
Tier

Cost per
investigation
according to
tier

Total
Annual Cost

Tier 2

Average
Number of
Submissions
(Federal
and NonFederal)
78,951

SF
85P
SF
85P
SF
85P
SF
85P
Total

32060258
32060258
32060258
32060258

$1550

$122,374,050

Tier 2 Reinv.

25, 402

$1261

$32,031,922

Tier 4

21,087

$4218

$88,944,966

Tier 4 Reinv.

12,783

$2646

$33,823,818

15. Explain the reasons for any program changes or adjustments reported in Items
13 or 14 of the OMB Form 83-I.

No changes were made.
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.
Not applicable. Information collected on the forms will not be published.

$277,174,756

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.
Not applicable.
18. Explain each exception to the certification statement identified in Item 19,
"Certification for Paperwork Reduction Act Submissions," of OMB Form 83-I.
Not applicable.