[Federal Register Volume 79, Number 19 (Wednesday, January 29, 2014)]
[Notices]
[Pages 4762-4763]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-01874]


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OFFICE OF PERSONNEL MANAGEMENT


Submission for Renewal: Information Collection 3206-0165; General 
Request for Investigative Information (INV 40), Investigative Request 
for Employment Data and Supervisor Information (INV 41), Investigative 
Request for Personal Information (INV 42), Investigative Request for 
Educational Registrar and Dean of Students Record Data (INV 43), and 
Investigative Request for Law Enforcement Data (INV 44)

AGENCY: U.S. Office of Personnel Management.

ACTION: 60-Day Notice and request for comments.

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SUMMARY: Federal Investigative Services (FIS), 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. 3206-0165, for 
General Request for Investigative Information (INV 40), Investigative 
Request for Employment Data and Supervisor Information (INV 41), 
Investigative Request for Personal Information (INV 42), Investigative 
Request for Educational Registrar and Dean of Students Record Data (INV 
43), and Investigative Request for Law Enforcement Data (INV 44). As 
required by the Paperwork Reduction Act of 1995, as amended by the 
Clinger-Cohen Act, OPM is soliciting comments for this collection

DATES: Comments are encouraged and will be accepted until March 31, 
2014. This process is conducted in accordance with 5 CFR 1320.1.

ADDRESSES: Interested persons are invited to submit written comments on 
the proposed information collection to the Federal Investigative 
Services, U.S. Office of Personnel Management, 1900 E Street NW., 
Washington, DC 20415, Attention: Donna McLeod or sent by email to 
[email protected].

FOR FURTHER INFORMATION CONTACT: A copy of this ICR, with applicable 
supporting documentation, may be obtained by contacting the Federal 
Investigative Services, U.S. Office of Personnel Management, 1900 E 
Street NW., Washington, DC 20415, Attention: Donna McLeod or sent by 
email to [email protected].

SUPPLEMENTARY INFORMATION: 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 OPM, including 
whether the information will have practical utility;
    2. Evaluate the accuracy of OPM'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 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.
    Section 3(a) of Executive Order (E.O.) 10450, as amended, states 
that with specified exceptions, ``the appointment of each civilian 
officer or employee in any department or agency of the Government shall 
be made subject to investigation,'' and that ``in no event shall the 
investigation consist of less than a national agency check . . . and 
written inquiries to appropriate local law enforcement agencies, former 
employers and supervisors, references, and schools attended by the 
persons under investigation.'' This minimum investigation for 
appointment in the civil service is called the National Agency Check 
with Inquiries (NACI).
    The INV 40, 41, 42, 43, and 44 are used to conduct the ``written 
inquiries'' portion of the NACI. They are also used in any 
investigation requiring the same written inquiries, including 
suitability investigations under E.O. 10577, as amended and 5 CFR part 
731, for employment in positions defined in 5 CFR 731.101(b); 
investigations for employment in a sensitive national security position 
under E.O. 10450, as amended and 5 CFR part 732; certain investigations 
for eligibility for access to

[[Page 4763]]

classified information pursuant to standards promulgated under E.O. 
12968, as amended; certain investigations for fitness for employment in 
the excepted service or as a contract employee, pursuant to 
investigative requirements prescribed by employing and contracting 
agencies; and investigations for identity credentials for long-term 
physical and logical access to Federally-controlled facilities and 
information systems, pursuant to standards promulgated under the 
Federal Information Security Management Act. The INV forms 40 and 44, 
in particular, facilitate OPM's access to criminal history record 
information under 5 U.S.C. 9101.
    The content of the INV forms is also designed to meet notice 
requirements for personnel investigations specified by 5 CFR 
736.102(c). These notice requirements apply to any ``investigation . . 
. to determine the suitability, eligibility, or qualifications of 
individuals for Federal employment, for work on Federal contracts, or 
for access to classified information or restricted areas.''
    None of the forms are used for any purpose other than a personnel 
background investigation, as described above. The completed forms are 
maintained by OPM subject to the protections of the Privacy Act of 
1974, as amended.
    Procedurally, the subject of a personnel background investigation 
discloses the identity of relevant sources, such as supervisors, 
coworkers, neighbors, friends, current or former spouses, instructors, 
relatives, or schools attended, on the standard form (SF) 85, 
Questionnaire for Non-Sensitive Positions; the SF 85P, Questionnaire 
for Public Trust Positions; or the SF 86, Questionnaire for National 
Security Positions. After OPM receives a completed SF 85, SF 85P, or SF 
86, the INV forms are distributed in accordance with investigative 
requirements, to the provided source contacts through an automated 
mailing operation.
    The INV 40 is used to collect records from a Federal or State 
record repository or a credit bureau. The INV 44 is used to collect law 
enforcement data from a criminal justice agency. The INV 41, 42, and 43 
are sent to employment references, associates, and schools attended. 
The INV 41, 42, and 43 forms disclose that the source's name was 
provided by the subject to assist in completing a background 
investigation to help determine the subject's suitability for 
employment or security clearance, and request that the source complete 
the form with information to help in this determination. Generally the 
subject of the investigation will identify these employment references, 
associates, and schools on his or her SF 85, SF 85P, or SF 86 
questionnaire. However, information omitted on the questionnaire may be 
provided in a follow-up contact between the subject and an 
investigator. As indicated by the instructional guidance contained on 
the INV41, 42, and 43, the forms are not to be sent to employment 
references, associates, and schools that have not been identified by 
the subject of the investigation.
    Approximately 339,888 INV 40 inquiries are sent to federal and non-
federal agencies annually. The INV 40 takes approximately five minutes 
to complete. The estimated annual burden is 28,324 hours. Approximately 
1,910,463 INV 41 inquiries are sent to previous and present employers 
and supervisors. The INV 41 takes approximately five minutes to 
complete. The estimated annual burden is 159,205 hours. Approximately 
1,636,379 INV 42 inquiries are sent to individuals annually. The INV 42 
takes approximately five minutes to complete. The estimated annual 
burden is 136,365 hours.
    Approximately 411,444 INV 43 inquiries are sent to educational 
institutions annually. The INV 43 takes approximately five minutes to 
complete. The estimated annual burden is 34,287 hours. Approximately 
1,341,526 INV 44 inquiries are sent to law enforcement agencies 
annually. The INV 44 takes approximately five minutes to complete. The 
estimated annual burden is 111,794 hours. The total number of 
respondents for the INV 40, INV 41, INV 42, INV 43, and INV 44 is 
5,639,700 and the total estimated burden is 469,975 hours.
    OPM proposes modifications to the INV 40, INV 41, INV 42, INV 43 
and INV 44. To ensure the collection of distinct information regarding 
alcohol and/or drugs abuse, response options found on the INV 41, 
Question 5 and INV 42, Question 7 for `abuse of alcohol and/or drugs' 
were amended to provide two separate response options, for `abuse of 
alcohol' and `abuse of drugs'.
    The `Financial integrity' option was amended to `finances' to 
ensure clarity of information requested. The INV 41, Question 2, option 
c, `discharged because of company cutback in workforce or change in 
skill need' was amended to `separated because of company cutback in 
workforce or change in skill needs'; option e, `discharged for 
unfavorable employment or conduct' was amended to `fired for 
unfavorable employment or conduct'; and option f, `resigned after 
informed of possible discharge' was amended to `resigned after informed 
of possible firing' which aligns verbiage with the standard form 
questionnaires used to conduct background investigations for public 
trust and national security positions. The INV 43 title `Investigative 
Request for Educational Registrar and Dean of Students Record Data' was 
amended to `Investigative Request for Educational Record Data' to 
collect any information available from the educational institution 
beyond the previously noted Registrar or Dean of Students Record. The 
second page of the INV 40, INV 43 and INV 44 were amended to include 
`print name'. This change will enhance information collected and align 
with the collections established on the INV 41 and INV 42. The INV 40, 
INV 41, INV 43 and INV 44 the `your title' section was amended to `your 
title/organization' to also enhance information collected.
    OMB previously approved the OPM proposal to modify INV forms 40, 
41, and 42 to provide instruction to respondents to indicate requests 
of confidentiality of his or her identity, and to call an office at OPM 
to receive approval of the request before completing the form. The 
purpose of this change is to more clearly establish the granting of 
confidentiality as permitted by the Privacy Act of 1974 and OPM's 
implementing regulations. Changes were not made to the forms at the 
time of the approval but will be a part of changes implemented with 
this renewal.

Katherine Archuleta,
Director, U.S. Office of Personnel Management.
[FR Doc. 2014-01874 Filed 1-28-14; 8:45 am]
BILLING CODE 6325-53-P