[Federal Register Volume 79, Number 61 (Monday, March 31, 2014)]
[Notices]
[Pages 18083-18085]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2014-06595]


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OFFICE OF PERSONNEL MANAGEMENT


Notice of Submission for Approval: 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: 30-Day Notice and request for comments.

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SUMMARY: The Federal Investigative Services (FIS), U.S. Office of 
Personnel Management (OPM) is notifying the general public and other 
Federal agencies that OPM is seeking Office of Management and Budget 
(OMB) approval of a revised information collection, control number 
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). As required by 44 U.S.C. chapter 35, OPM previously 
solicited comments for this collection, with a 60-day public comment 
period, at 79 FR 4762 (January 29, 2014). No comments were received for 
this information collection. OPM is providing an additional 30 days for 
public comments.

DATES: Comments are encouraged and will be accepted until April 30, 
2014. This process is conducted in accordance with 5 CFR 1320.10.

ADDRESSES: Interested persons are invited to submit written comments on 
the proposed information collection to the Office of Information and 
Regulatory Affairs, Office of Management Budget, 725 17th Street NW., 
Washington, DC 20503, Attention: Desk Officer for the Office of 
Personnel Management or sent via electronic mail to [email protected] or faxed to (202) 395-6974.

FOR FURTHER INFORMATION CONTACT: A copy of this information collection, 
with applicable supporting documentation, may be obtained by contacting 
Federal Investigative Services, U.S. Office of Personnel Management, 
1900 E Street NW., Washington, DC 20415, Attention:

[[Page 18084]]

Donna McLeod or by electronic mail at [email protected].

SUPPLEMENTARY INFORMATION: This notice announces that OPM has submitted 
to OMB a request for review and clearance of a revised information 
collection, control number 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). The public has an additional 30-day 
opportunity to comment.
    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 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 INV 41, 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.
    OMB previously approved the OPM proposal to modify INV forms 40, 
41, and 42 to provide instruction to the respondent 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. OPM proposes to offer the request for confidentiality only on the 
INV 41 and INV 42 and alter the instructions to state `In compliance 
with title 5 Code of Federal Regulations, part 736.102(c), if you have 
significant information which you feel unable to furnish without a 
promise that your identity will be kept confidential, please indicate 
this in writing on the reverse and only provide your contact 
information.
    Providing additional information on this form will void your 
request for confidentiality.' 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.
    The 60-day notice of the proposed information collection was 
published in the Federal Register on January 29, 2014 (79 FR 4762) as 
required by 5 CFR 1320.8, affording the public an opportunity to 
comment on the form. No comments were received.

Analysis

    Agency: Federal Investigative Services, U.S. Office of Personnel 
Management
    Title: 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)

OMB Number: 3206-0165
Affected Public:
    INV 40: Federal and non-federal agencies
    INV 41: Previous and present employers and supervisors
    INV 42: Individuals
    INV 43: Educational institutions
    INV 44: Law enforcement agencies
Number of Respondents: 5,639,700
    INV 40: 339,888
    INV 41: 1,910,463
    INV 42: 1,636,379
    INV 43: 411,444
    INV 44: 1,341,526
Estimated Time Per Respondent: 5 minutes
Total Burden Hours: 469,975
    INV 40: 28,324
    INV 41: 159,205

[[Page 18085]]

    INV 42: 136,365
    INV 43: 34,287
    INV 44: 111,794

    U.S. Office of Personnel Management.
Katherine Archuleta,
Director.
[FR Doc. 2014-06595 Filed 3-28-14; 8:45 am]
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