[Federal Register Volume 74, Number 188 (Wednesday, September 30, 2009)]
[Notices]
[Pages 50260-50263]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E9-23711]


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OFFICE OF PERSONNEL MANAGEMENT


Submission for Review: Questionnaire for National Security 
Positions, SF 86

AGENCY: U.S. Office of Personnel Management.

ACTION: 30-Day Notice and request for comments.

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SUMMARY: The Federal Investigative Services Division (FISD), U.S. 
Office of Personnel Management (OPM) offers the general public and 
other Federal agencies the opportunity to comment on an information 
collection request (ICR), Office of Management and Budget (OMB) Control 
No. 3206-0005, for the General Request for the Questionnaire for 
National Security Positions, (SF 86). As required by the Paperwork 
Reduction Act of 1995, (Pub. L. 104-13, 44 U.S.C. chapter 35) as 
amended by the Clinger-Cohen Act (Pub. L. 104-106), OPM is soliciting 
comments for this collection. The Office of Management and Budget is 
particularly interested in comments that:
    1. Evaluate whether the proposed collection of information is 
necessary for the proper performance of the functions of the agency, 
including whether the information will have practical utility;
    2. Evaluate the accuracy of the agency's estimate of the burden of 
the proposed collection of information, including the validity of the 
methodology and assumptions used;
    3. Enhance the quality, utility, and clarity of the information to 
be collected; and
    4. Minimize the burden of the collection of information on those 
who are to respond, including through the use of appropriate automated, 
electronic, mechanical, or other technological collection techniques or 
other forms of information technology, e.g., permitting electronic 
submissions of responses.

DATES: Comments are encouraged and will be accepted until October 30, 
2009. This process is conducted in accordance with 5 CFR part 1320.

ADDRESSES: Interested persons are invited to submit written comments on 
the proposed information collection to the FISD, OPM, 1900 E. Street, 
NW., Room 2H31, Washington, DC 20415, Attention: MaryKay Brewer or sent 
via electronic mail to [email protected]; and Jasmeet K. 
Seehra, OMB Desk Officer, Office of Information and Regulatory Affairs, 
Office of Management and Budget, New Executive Office Building, 725 
17th Street, NW., Room 10235, Washington, DC 20503.

FOR FURTHER INFORMATION CONTACT: A copy of this ICR, with applicable 
supporting documentation, and/or a copy of the Change Matrix described 
in the SUPPLEMENTARY INFORMATION, below, may be obtained by contacting 
the FISD, OPM, 1900 E. Street, NW., Washington, DC 20503, Attention: 
MaryKay Brewer or sent via electronic mail to [email protected].

SUPPLEMENTARY INFORMATION: This notice announces that OPM submitted to 
OMB a request for review and clearance of the revised collection of 
information, Questionnaire for National Security Positions SF 86 (OMB 
Control No. 3206-0005), which includes e-QIP (Electronic Questionnaires 
for Investigations Processing).

[[Page 50261]]

    Previously, OPM requested OMB review and clear a suite of 
investigative forms that were packaged under OMB Control No. 3206-0005 
and included the Questionnaire for National Security Positions, SF 86. 
Due to the continuing Executive and congressional interest in improving 
and streamlining the processes by which security clearances are 
granted, OMB has granted a request by OPM to review and clear the 
various expiring investigative forms separately so as to move forward 
at this time with the Questionnaire for National Security Positions, SF 
86.
    The SF 86 will be used by the U.S. Government in conducting 
background investigations, reinvestigations, and continuous 
evaluations, as appropriate, of persons under consideration for or 
retention in national security positions as defined in 5 CFR part 732 
and for positions requiring eligibility for access to classified 
information under Executive Order 12968. This form may also be used by 
agencies in determining whether a subject performing work for or on 
behalf of the Government under a contract should be deemed eligible for 
logical or physical access when the nature of the work to be performed 
is sensitive and could bring about an adverse effect on the national 
security. It is estimated that 21,800 non-Federal individuals will 
complete the SF 86 annually. Each form takes approximately 150 minutes 
to complete. The estimated annual burden is 54,500 hours. e-QIP is a 
Web-based system application that currently houses an electronic 
version of the SF 86. This Internet data collection tool provides 
faster processing time and immediate data validation to ensure accuracy 
of the respondent's personal information. The e-Government initiative 
mandates that agencies utilize e-QIP for all investigations and 
reinvestigations. A variable in assessing burden hours is the nature of 
the electronic application. 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. As such, the burden on the 
respondent will vary depending on whether the information collection 
relates to the respondent's personal history. Additionally, once 
entered, a respondent's complete and certified investigative data 
remain secured in the e-QIP 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 60-day Federal Register Notice was published June 23, 2008 
(Volume 73, Number 121, pages 35421-35422). The notice proposed to 
change the SF 86 to specify continuous evaluation as a purpose of the 
form and a part of the investigative process. The ``Authorization for 
Release of Information'' was amended to acknowledge that the 
information provided may be used to conduct officially sanctioned and 
approved personnel security-related research and studies. The 
authorization language was amended to change the period the 
authorization remains in effect from (up to) five years to an 
unspecified period so long as the respondent remains employed in a 
sensitive position requiring access to classified information. The Fair 
Credit Reporting Disclosure and Authorization Form was made part of the 
proposed SF 86 as required under OMB Terms of Clearance. It is 
important to note that at the time the Federal Register notice was 
posted in June 2008, agencies were still utilizing the 1995 version of 
the form as the version in use today had not yet been implemented.
    The following Federal agencies, agency components and multi-agency 
working groups made comments during the public comment period following 
the 60-day Notice: Social Security Administration, Joint Security and 
Suitability Reform Team (JRT), Department of Housing and Urban 
Development, Department of Health and Human Services, U.S. Agency for 
International Development, Department of Homeland Security (DHS), 
Central Intelligence Agency, Department of Transportation, Director of 
National Intelligence (DNI), Department of State (DOS), Department of 
State Mental Health Services, Federal Bureau of Investigation, Defense 
Personnel Security Research Center, Department of Energy (DOE), and 
internal commentators from the U.S. Office of Personnel Management 
(OPM). OPM internal commentators mostly focused on administrative 
issues related to the formatting of the instructions and layout of the 
questions on the former paper collection. Most comments from agencies 
other than the JRT focused on changes to the collection of mental 
health treatment information relative to treatment resulting from 
service in a military combat environment. The JRT comments focused on 
collecting from the respondent more accurate and relevant information 
of investigative and adjudicative significance earlier in the 
investigative process, to wit at the time the respondent completes the 
form, and the JRT recommended expanded branching questions in most 
sections of the form to collect additional details.
    A 30-day Federal Register Notice was published December 31, 2008 
(Volume 73, Number 251, pages 80445-80447). This notice proposed an SF 
86 that incorporated the significant and substantial changes to the 
lines of questioning recommended in the comments by the JRT. Section 9, 
Citizenship, was changed to collect additional information that will 
assist in verifying citizenship of respondents born outside of the U.S. 
Branching questions inserted after each response tailored the 
elicitation of information to the respondent's personal history. 
Section 10, Dual/Multiple Citizenship, was expanded to include broader 
questions designed to elicit information pertinent to the adjudicative 
guideline for Foreign Preference. At Section 11, Where You Have Lived, 
branching questions replaced detailed instructions for all respondents 
and instead tailored the collection to elicit information based on the 
respondent's relevant personal history. Additional contact information 
for the residence reference was added to assist investigation. At 
Section 12, Where You Went To School, the instructions were changed to 
require 7 years of information vice 10 regarding certain educational 
activities and the verbiage was changed regarding listing degrees or 
diplomas received more than 7 years ago to be consistent with changes 
to the investigative standards. At Section 13a, Employment Activities, 
branching questions were added to reduce detailed instructions for all 
respondents and tailor instructions as applicable to the respondent. 
``Code 9--Non-government employment (excluding self-employment)'' was 
added to the employment types for clarity. Additionally, branching 
questions for foreign addresses and contacts were added to assist 
investigation. At Section 13c, Employment Record, branching questions 
were added to prompt the applicant to enter the required information 
following each positive response, thereby simplifying the

[[Page 50262]]

detailed instructions previously necessary. The requirement to specify 
whether the respondent was laid off from a job was deleted as this 
information was not pertinent to the adjudicative guidelines regarding 
personal conduct and handling protected information that drive the 
Employment Record section. At Section 15, Military Service, branching 
questions were added to collect more specific details pertinent to the 
Personal Conduct and Criminal Conduct adjudicative guidelines. 
Branching question were added to elicit more information regarding 
foreign military service to obtain information pertinent to the 
adjudicative guidelines for Foreign Influence and Foreign Preference. 
At Section 16, People Who Know You Well, branching questions were added 
to clarify and collect additional information pertaining to the 
references. At Section 17, instructions were branched to assist 
investigations, and the definition of ``cohabitant'' was clarified. 
Section 18 was reformatted for branching questions and ``Visa'' was 
added to the listing of types of documentation to support 
investigation. At Section 19, Foreign Activities, ``influence'' 
replaced ``common interests'' for clarity regarding relationships with 
foreign nationals. Branching questions were added to obtain additional 
information pertaining to foreign connections and the approximate 
frequency of contact to support the Foreign Influence adjudicative 
guideline. At Section 20, additional questions regarding foreign 
financial activities, foreign real estate, and receipt of benefits from 
a foreign country, including questions concerning the subject's 
immediate family members, were added to elicit information pertinent to 
the Foreign Influence guideline. Additional questions regarding foreign 
employment, business ventures, travel, and foreign government contacts, 
including questions concerning the subject's immediate family members, 
were added to elicit information pertinent to the Foreign Influence, 
Foreign Preference, and Outside Activities adjudicative guidelines. At 
Question 21, additional branching questions were added to elicit 
information regarding mental health conditions and treatment pertinent 
to the adjudicative guideline for Psychological Conditions, including 
questions about counseling or treatment providers, whether treatment 
was on an in-patient basis, whether admission was voluntary, and 
whether the subject was ever adjudicated as mentally incompetent. At 
Section 22, Police Record, branching questions were added to inquire 
about the disposition of criminal proceedings, and to inquire about 
offenses related to firearms, explosives, alcohol and drugs for a 7 
year period vice an unlimited period pertaining to the respondent's 
entire life. At Section 23, Illegal Use of Drugs or Drug Activity, 
questions were added regarding intent of future use and drug treatment 
pertinent to the adjudicative guideline for Drug Involvement. The 
requirement to report possession of drugs was replaced with a broader 
collection requiring reporting of illegal purchase. At Section 24, Use 
of Alcohol, questions were branched to further identify actions taken 
by applicant to pursue and/or complete recommended counseling/treatment 
and to elicit pertinent information regarding the adjudicative 
guideline for Alcohol Consumption. At Section 25, Investigations and 
Clearance Record, branching questions were added to elicit information 
necessary for investigation to obtain relevant prior records and to 
elicit information potentially connected to the adjudicative guideline 
for Handling Protected Information. Additionally, questions regarding 
investigations by foreign governments were added to elicit information 
pertinent to the adjudicative guideline for Foreign Preference. At 
Section 26, Financial Record, branching questions were added to elicit 
specific detailed information pertaining to each financial area instead 
of an open text field for respondents to provide explanation. The time 
frame for reporting delinquencies on any debt was changed to 120 days, 
instead of 180 days for prior debts and 90 days for current debts. A 
question was added regarding involvement with a credit counseling 
service to support the adjudicative guideline for Financial 
Considerations. At Section 28, Involvement in Non-Criminal Court 
Actions, the time period respondents are required to report was changed 
to the last 7 years vice 10. At Section 29, Association Record, 
branching questions were added to collect detailed information versus 
providing a blank area for explanation. The Certification Statement was 
amended to remove verbiage regarding security clearance to clarify 
penalties for incomplete or inaccurate statements. On the medical 
release, a question was added to obtain the ``dates of the treatment'' 
pertinent to the adjudicative guideline for Psychological Conditions.
    The following Federal agencies, agency components and multi-agency 
working groups made comments during the public comment period following 
the December 2008 30-day Notice: DHS, DNI, JRT, Office of the Under 
Secretary of Defense (Intelligence) (USDI), Department of the Interior, 
DOE, OPM, National Security Agency, and an e-Application Content 
Working Group (ECWG) comprised of representatives from OPM, DOS, FBI, 
National Geospatial-Intelligence Agency (NGA), DHS, Department of the 
Air Force, National Reconnaissance Office (NRO), National Security 
Agency (NSA), Defense Security Service (DSS), and Office of the 
Secretary of Defense General Counsel (OSDGC). DHS, DOE, USDI, OPM, DoD, 
and ECWG made comments regarding the collection of mental health 
treatment information relative to treatment resulting from service in a 
military combat environment. The ECWG made numerous comments 
recommending improvements to the formatting of questions for clarity, 
as well as recommendations to more clearly specify that the time 
periods being asked about for certain questions pertain to the 
respondent's whole life. For certain questions, such as those regarding 
foreign countries visited and contact with foreign nationals, the ECWG 
recommended the required response period be expanded to ``ever'' rather 
than 7 years. The ECWG recommended the section on Use of Information 
Technology expand to collect information regarding ``attempts'' at 
misconduct in addition to actual conduct. The vast majority of comments 
from the JRT were formatting recommendations for the purpose of clarity 
and, where possible, to align common language from other investigative 
forms where the meaning and intent are identical.
    Following the public comment period, the Acting Director, OPM, 
requested that OMB permit OPM to withdraw the proposed revisions to the 
suite of forms, including the SF 86, then pending before OMB for 
clearance, a request that OMB granted February 23, 2009, in order to 
provide the current Administration's officials at OPM and other 
concerned agencies the opportunity to review the collection and propose 
revisions as necessary based on their review. OPM and OMB pursued a 
multi-agency review together with the Department of Justice, Department 
of Defense, and Director of National Intelligence. The proposed SF 86 
resulting from that review is the basis for this 30-day notice and 
request for comments. The review resulted in the following changes to 
the SF 86 proposed in the December 31, 2008 30-day notice:

[[Page 50263]]

Language was added to provide additional clarity regarding the 
penalties for incomplete and/or inaccurate statements. Language was 
added to clarify that the form may also be used by agencies in 
determining whether a subject performing work for or on behalf of the 
Government under a contract should be deemed eligible for logical or 
physical access when the nature of the work to be performed is 
sensitive and could bring about an adverse effect on the national 
security. Language referencing immunity protections was added to the 
questions regarding illegal use of drugs or drug activity, use of 
information technology systems, and association record. Questions were 
added to the section on police record in order to identify respondents 
who may be impacted by the restrictions cited in the Lautenberg 
Amendment. The advisement regarding mental health counseling was 
expanded to explain that mental health counseling in and of itself is 
not a reason to revoke or deny eligibility for access to classified 
information or for a sensitive position, suitability or fitness to 
obtain or retain Federal employment, fitness to obtain or retain 
contract employment, or eligibility for physical or logical access to 
Federally controlled facilities or information systems. Questions that 
elicited the reason for and nature of mental health treatment were 
removed, as were questions regarding participation in self-help groups 
for alcohol abuse. In the financial record section, the question 
regarding involvement with a credit counseling service was amended to 
better capture mitigating information from respondents who seek 
assistance to resolve financial difficulties. A question on holding 
foreign political office and voting in foreign elections was moved from 
the form's association record section to the form's foreign activities 
section.
    To provide additional clarity, a copy of a matrix, ``Changes 
between Current Form and proposed Sep 09 30-day Notice,'' that shows 
the changes between the currently approved SF 86 and the SF 86 proposed 
in this 30-day notice, is available upon request.

John Berry,
Director, U.S. Office of Personnel Management.
[FR Doc. E9-23711 Filed 9-29-09; 8:45 am]
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