[Federal Register Volume 87, Number 225 (Wednesday, November 23, 2022)]
[Notices]
[Pages 71700-71704]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-25566]


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OFFICE OF PERSONNEL MANAGEMENT


Notice of Submission for a New Information Collection Common 
Form: Personnel Vetting Questionnaire

AGENCY: Office of Personnel Management.

ACTION: 60-Day notice and request for comments.

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SUMMARY: The Office of Personnel Management (OPM) offers the 
opportunity to comment on a new information collection request (ICR) 
titled Personnel Vetting Questionnaire (PVQ). The proposed information 
collection will streamline multiple existing information collections, 
as well as the renewal cycle for them, commensurate with on-going 
efforts to improve personnel vetting processes and the experience of 
individuals undergoing personnel vetting. OPM is proposing to 
discontinue the information collections for OMB control numbers 3206-
0261, 3206-0258, and 3206-0005 as these information collections will 
become parts of the new Personnel Vetting Questionnaire information 
collection and assigned a new OMB control number.

DATES: Comments are encouraged and will be accepted until January 23, 
2023.

ADDRESSES: You may submit comments, identified by docket number and/or 
Regulatory Information Number (RIN) and title, by the following method:

--Federal Rulemaking Portal: http://www.regulations.gov. Follow the 
instructions for submitting comments.

    All submissions received must include the agency name and docket 
number or RIN for this document. The general policy for comments and 
other submissions from members of the public is to make these 
submissions available for public viewing at http://www.regulations.gov 
as they are received without change, including any personal identifiers 
or contact information.

FOR FURTHER INFORMATION CONTACT: A copy of this ICR, with applicable 
supporting documentation, may be obtained by email to 
[email protected], or by contacting Alexys Stanley, 202-606-1800, or 
U.S. Office of Personnel Management, Suitability Executive Agent 
Programs, P.O. Box 699, Slippery Rock, PA 16057.

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 (OMB No. 3206-XXXX). OPM is particularly interested in 
comments that:
    1. Evaluate whether the proposed collection of information is 
necessary for the proper performance of 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.

Background

    The PVQ will be a common form and will consolidate the following 
ICRs:

[[Page 71701]]

Office of Management and Budget (OMB) No. 3206-0261 Questionnaire for 
Non-Sensitive Positions (SF 85), OMB No. 3206-0258 Questionnaire for 
Public Trust Positions and Supplemental Questionnaire for Selected 
Positions (SF 85P and SF 85P-S), and OMB No. 3206-0005 Questionnaire 
for National Security Positions (SF 86) into one comprehensive 
information collection, consisting of four parts. As a ``common form'' 
this information collection will be hosted by the OPM and other 
agencies can request authorization to use the collection from OMB. 
Individual respondents will be asked to complete only the parts that 
are appropriate to the risk and sensitivity of their position, also 
known as their position designation, as directed by the federal agency 
requesting their background investigation consistent with guidance 
issued by OPM and the Office of the Director of National Intelligence 
as the Suitability and Credentialing Executive Agent and the Security 
Executive Agent, respectively.
    As appropriate to the risk and sensitivity of an individual's 
position, questions contained within the proposed personnel vetting 
questionnaire will be used by the U.S. Government in conducting 
personnel vetting investigations for persons under consideration for, 
or retention in, low risk, public trust, and/or national security 
positions as defined in 5 CFR 731 and 5 CFR 1400, including individuals 
requiring eligibility for access to classified information under 
Executive Order 12968, as amended.
    This questionnaire will also be used for making trust 
determinations associated with an individual's initial and ongoing 
suitability or fitness for Federal employment, fitness for contract 
employment, eligibility to hold a sensitive position or for access to 
classified information, or eligibility for physical and logical access 
to federally controlled facilities or information systems.
    OPM serves as the sponsor for the common form PVQ, collecting 
comments as well as posting the information collection; however, OPM 
works closely with the Office of the Director of National Intelligence 
(ODNI), National Counterintelligence and Security Center to develop and 
propose content, since the information collected is used for background 
investigations that are under the purview of OPM as the Suitability and 
Credentialing Executive Agent and ODNI as the Security Executive Agent, 
pursuant to Executive Order 13467, as amended. The information 
collection is used for background investigations conducted by the 
Defense Counterintelligence and Security Agency (DCSA), the 
Government's primary background investigations provider and other 
authorized investigating agencies. The information is used by federal 
agencies in making trust determinations as described above.
    OPM is requesting clearance of the comprehensive personnel vetting 
questionnaire that contains all of the potential questions that could 
be asked of individuals undergoing personnel vetting investigations; 
however, the respondent completing the form will only be asked to 
complete the questions required for their position risk and 
designation. The higher the risk and sensitivity of the position, the 
greater the information collection. Part A of the PVQ contains a set of 
core required questions that will be required of all individuals 
undergoing a background investigation. Part B contains additional 
questions that will be required of individuals in non-sensitive public 
trust positions as well as individuals in sensitive positions, and Part 
C contains further questions that will be required only of individuals 
in sensitive positions.
    Currently, there are multiple standard form questionnaires for 
personnel vetting investigations:
     The SF 85, Questionnaire for Non-Sensitive Positions, 
completed by individuals in non-sensitive low risk positions. This will 
be replaced by Part A of the PVQ.
     The SF 85P, Questionnaire for Public Trust Positions, 
completed by individuals in non-sensitive moderate risk and high-risk 
positions. The SF 85P will be replaced by Parts A and B of the PVQ.
     The SF 86, Questionnaire for National Security Positions, 
completed by individuals in national security positions, as the term is 
defined at 5 CFR part 1400, including individuals requiring eligibility 
for access to classified information under E.O. 12968. The SF 86 will 
be replaced by Parts A, B, and C of the PVQ.
     Individuals in certain law enforcement positions may also 
complete the supplemental form SF 85P-S, Supplemental Questionnaire for 
Selected Positions. The SF 85P-S will be replaced by Part D of the PVQ.
    Questions within the PVQ will be presented to individuals in the 
electronic application system of the Defense Counterintelligence and 
Security Agency (DCSA) that is the successor to the Electronic 
Questionnaires for Investigations Processing (e-QIP) system. As in e-
QIP today, the questions will branch to collect additional details as 
appropriate to the individual's response. For example, if a respondent 
responds affirmatively to a question regarding foreign travel, the 
question will expand to ask for the country, dates of travel, and other 
details. In this sense, the information collection is tailored to the 
individual's personal history and the burden on the individual will 
vary depending on the extent to which each individual has relevant 
information to provide.
    For further clarity, below is a comparison, by position 
designation, of the current forms required and the parts of the PVQ 
that will be required to be completed.

------------------------------------------------------------------------
      Position designation           Current form          PVQ part
------------------------------------------------------------------------
Non-Sensitive Low Risk..........  SF 85.............  Part A.
Non-Sensitive Moderate Risk       SF 85P............  Part A and Part B.
 Public Trust.
Non-Sensitive High Risk Public    SF 85P............  Part A and Part B.
 Trust.
Non-Critical Sensitive Moderate   SF 86.............  Part A, Part B,
 Risk Public Trust.                                    and Part C.
Critical-Sensitive High Risk      SF 86.............  Part A, Part B and
 Public Trust.                                         Part C.
Special-Sensitive High Risk       SF 86.............  Part A, Part B and
 Public Trust.                                         Part C.
Non-Sensitive Moderate Risk or    SF 85P and SF 85P-  Part A, Part B,
 High Risk Law Enforcement         S.                  and Part D.
 Position as specified by an
 agency.
------------------------------------------------------------------------

    Part A contains questions covering the following areas:

 Introduction
 General Information
 U.S. Passport Information
 U.S. Citizenship Information
 Additional Citizenships
 Residences
 Education

[[Page 71702]]

 Employment Activities
 Other Federal Employment
 U.S. Military and U.S. Uniform Service
 People Who Know You Well
 Police Record
 Drug Activity
 Marijuana and Cannabis-Derivative Use
 U.S. Personnel Vetting Investigations, Security Clearances, 
and Federal Debarments
 Federal Debt
 Information Technology Systems
 Handling Protected Information
 Associations

    Part B contains the following additional areas:

 Continuation Questions for Sections 4,5, 6, 7, and 11
 Use of Alcohol and Rehabilitative Actions
 Relationship Status
 Relatives
 Foreign Travel
 Financial Record
 Civil Court Actions

    Part C contains the following additional areas:

 Continuation Questions for Section 9
 Foreign Contacts
 Foreign Financial Interest and Foreign Benefits
 Foreign Business Affairs and Foreign Government Activities
 Psychological and Emotional Health
 Criminal Convictions Resulting in Sentences Over One Year

    Part D contains the following areas:

 Psychological and Emotional Health

    Streamlining the multiple existing information collections into 
parts that build upon one another according to the risk and sensitivity 
of the position will allow for greater efficiency in vetting processes 
and reduce the burden on individuals who move to positions of greater 
risk or sensitivity. The PVQ will introduce the ability to collect the 
additional part(s) needed for the position rather than requiring the 
individual to start from scratch with a different investigative 
questionnaire. This practice will align with the streamlined personnel 
vetting investigative requirements for transfer of trust and upgrades 
as issued by OPM and ODNI under the Trusted Workforce 2.0 
transformation of personnel vetting. In addition to enhancing the 
experience of individuals undergoing personnel vetting and providing 
efficiencies for federal agencies' personnel vetting processes, the PVQ 
will consolidate the renewal cycle and process for the personnel 
vetting information collections, thereby reducing the level of effort 
and resources required for managing multiple renewal cycles.
    In comparison to the content of the current investigative 
questionnaires, the content of each part of the PVQ uses more plain 
language to collect information from the respondents and provides 
additional explanations to the respondents regarding the reasons for 
the questions. To the extent practicable, the framing of more complex 
questions has been simplified and avoids ``double- barreled'' 
questions. While some questions in Part A have been expanded to cover a 
greater scope of time, the overall effect of streamlining the 
collection into parts that build upon each other in support of the 
Trusted Workforce investigative standards is a general reduction in the 
scope of time covered by the questions.
    Other differences between the PVQ and the current investigative 
questionnaires are provided as follows:
    Sex and Gender. Unlike the current investigative questionnaires, 
the PVQ does not require the respondent to indicate ``Male'' or 
``Female.'' Data collection on sex has traditionally been used to 
assist in identity matching for a small number of data checks in the 
investigative process. However, over time, the utility of this 
information for data matching has been reduced by changes at the state 
and municipality level. At present, approximately 45 states allow an 
individual to amend their birth certificate to match their gender. A 
subset of 15 states allows an individual to choose a non-binary option. 
The process to change these records varies from self-certification to 
requiring court orders, depending on the jurisdiction. Similarly, 
states and municipalities vary on how they code certain records checked 
in investigations. Given the variables in data fields used by various 
records providers and the possibility that an individual's self-
identified sex may differ than what was previously provided (such as at 
the time of a past arrest), the effectiveness of using an individual's 
self-identified sex as a tool for identity verification/validation has 
decreased. While additional fields could be added to the questionnaire, 
workarounds would be required to accomplish data matching due to the 
way vital records and criminal history repositories maintain the 
information and because an individual's self- identification may change 
over time. Ultimately, OPM and ODNI concluded that asking the 
respondent to indicate ``Male'' or ``Female'' no longer has utility in 
the investigative process to justify the burden of requiring it from 
respondents.
    The PVQ uses gender inclusive terminology, such as parent and 
sibling, rather than terms that are not gender inclusive, such as 
mother, father, sister, brother. OPM and ODNI considered whether 
changes to use gender inclusive terminology would have any adverse 
consequences for effective background investigation and adjudication 
processing. OPM and ODNI concluded that changing terminology on the 
forms to be gender inclusive would not adversely affect personnel 
vetting processes.
    The PVQ retains the requirement to provide ``Other Names Used'' as 
OPM and ODNI considered the necessity of this collection and determined 
that this collection is necessary for properly conducting background 
investigations of individuals. Recognizing that this collection is 
particularly sensitive for transgender and gender non-conforming and 
non-binary employees and applicants, the PVQ includes new instruction 
language designed to help mitigate privacy concerns by clarifying how 
the collected information will be used during the personnel vetting 
process.
    These aspects of the PVQ are consistent with Administration 
priorities. On June 15, 2021, President Biden issued Executive Order 
(E.O.) 14035, on Diversity, Equity, Inclusion, and Accessibility in the 
Federal Workforce, which established DEIA as priorities for the 
Administration and established additional procedures to advance these 
priorities across the Federal workforce. E.O. 14035 reaffirmed support 
for, and built upon, the procedures established by E.O.s 13583, 13988, 
and 14020, the Presidential Memorandum on Promoting Diversity and 
Inclusion in the National Security Workforce, and the National Security 
Memorandum on Revitalizing America's Foreign Policy and National 
Security Workforce, Institutions, and Partnerships (NSM-3).
    E.O. 14035 directed that the Director of National Intelligence, in 
consultation with the Director of OPM and the heads of agencies, ``take 
steps to mitigate any barriers in security clearance and background 
investigation processes for LGBTQ+ employees and applicants, in 
particular transgender and gender non-conforming and non-binary 
employees and applicants.'' Taken together with the NSM-3 direction to 
assess additional reforms to eliminate bias within personnel vetting 
processes, OPM and ODNI have embarked upon initiatives to improve 
federal personnel vetting processes in support of DEIA in the federal 
workforce.

[[Page 71703]]

    Selective Service. Questions regarding Selective Service 
registration are no longer included as employing agencies collect 
necessary information regarding Selective Service registration earlier 
in the process using the Declaration for Federal Employment (OF 306). 
Confirmation of registration is available to agencies as a service 
during the hiring and staffing process and is no longer automatically 
included as part of the personnel vetting background investigation.
    Handling Protected Information. The PVQ includes questions not 
included in the existing investigative questionnaires that inquire as 
to whether the respondent has deliberately violated rules or 
regulations for safeguarding protected information. In addition, 
questions regarding use of information technology systems that were 
previously asked of public trust positions and national security 
positions are now presented to all respondents in Part A. These 
questions are appropriate for all respondents as they are relevant to 
inform decisions regarding eligibility to be issued a federal personal 
identity credential permitting access to federal facilities and 
information systems. OPM's July 31, 2008, Final Credentialing Standards 
for Issuing Personal Identity Verification Cards under HSPD-12, require 
consideration of whether ``There is reasonable basis to believe the 
individual will attempt to gain unauthorized access to classified 
documents, information protected by the Privacy Act, information that 
is proprietary in nature, or other sensitive or protected 
information,'' and whether ``There is a reasonable basis to believe the 
individual will use Federally-controlled information systems 
unlawfully, make unauthorized modifications to such systems, corrupt or 
destroy such systems, or engage in inappropriate uses of such 
systems.'' Responses to these questions may also inform suitability 
determinations pursuant to OPM's regulation at 5 CFR part 731.202 and 
national security determinations pursuant to Security Executive Agent 
Directive 4, Guideline K: Handling Protected Information and Guideline 
M: Use of Information Technology, issued June 8, 2017.
    Illegal Use of Drugs and Drug Activity. Questions regarding illegal 
drug use on the PVQ are divided into separate areas to distinguish 
between use of marijuana or cannabis derivatives containing THC and use 
of other illegal drugs or controlled substances, in recognition of 
changing societal norms. In addition, the PVQ has a more limited scope 
of questioning regarding past use of marijuana in comparison to other 
illegal drugs. Currently, use of marijuana by federal employees is 
prohibited, while past use of marijuana by applicants is evaluated on a 
case-by-case basis when agencies make trust determinations. Given the 
legal landscape at the state level regarding use of marijuana, 
distinguishing between past marijuana use and use of other illegal 
drugs on the PVQ may improve the pool of applicants for federal 
employee and federal contractor positions.
    Association Record. OPM and ODNI conducted a careful review of the 
questions regarding association record on the existing investigative 
questionnaires. The PVQ contains some new questions as well as some 
updated questions that have been modified to reduce complexity and 
further compel candid responses. As with all aspects of PVQ, the 
information collection serves to inform investigations that are the 
basis for personnel vetting determinations, consistent with OPM's 
guidance for credentialing, suitability, and fitness determinations and 
ODNI's guidance for national security positions, as applicable.
    The Association Record aspects of the PVQ are also consistent with 
Administration priorities. On his first full day in office, President 
Biden directed his national security team to lead a 100-day 
comprehensive review of U.S. Government efforts to address domestic 
terrorism. As part of that review, interagency experts identified the 
possibility that domestic terrorists could attempt to exploit or abuse 
authoritative positions or sensitive access and recommended potential 
modifications for consideration as part of the periodic update of the 
SF 85, 85P and 86.
    As noted in the Administration's June 2021 National Strategy for 
Countering Domestic Terrorism, ``Pre-employment background checks and 
re-investigations for government employees are a critical screening 
process that must account for all possible terrorist threats.'' 
Strategic Goal 3.3 of the Strategy, ``Ensure that screening and vetting 
processes consider the full range of terrorism threats'' recommended 
augmenting personnel vetting screening processes by considering changes 
to the investigative questionnaires, as recommended by the interagency 
experts. The objectives of the changes are to ensure new applicants and 
employees undergoing vetting abide by legal obligations, including in 
providing candid and forthright representations and to prevent 
individuals who pose domestic terrorism threats from being placed in 
positions of trust.
    Psychological and Emotional Health. Questions regarding 
psychological and emotional health are presented only in Parts C and D 
of the PVQ, consistent with the existing questioning in this area that 
is limited to the Questionnaire for National Security Positions (SF 86) 
and the Supplemental Questionnaire for Selected Positions (SF 85P-S).
    The language in the current SF 86 has been in place since 2016 and 
was the outcome of a protracted effort to shift the focus away from 
questions about seeking mental health treatment while allowing for the 
collection of information regarding potentially serious or uncontrolled 
conditions that could substantially affect judgment or reliability. 
While the intent this area of questioning has always been to surface 
any concerns regarding the individual's judgment or reliability, the 
approach has shifted from asking about all mental health treatment or 
counseling to a more tailored set of questions regarding 
hospitalization and specific diagnoses. The PVQ seeks to further reduce 
perceived stigma associated with seeking mental health treatment or 
counseling by further limiting the scope of questioning.
    ODNI, as the Security Executive Agent, convened a working group 
through the ODNI National Security Psychology Leadership Council 
(NSPLC) consisting of clinical and research psychologists with subject 
matter expertise in personnel security, to examine the utility of the 
psychological and emotional health questions on the SF 86. The NSPLC 
provided recommendations to improve the efficacy of the questions while 
targeting issues of concern for national security, addressing perceived 
stigma, and protecting privacy.
    The resulting questioning in the PVQ focuses on serious mental 
health illnesses that have very low base rates in the general 
population. Respondents receiving treatment or counseling for the most 
common mental health issues, such as depression and anxiety, as well as 
those seeking treatment or counseling after experiencing trauma or 
other stressful events, are unlikely to answer affirmatively to any of 
the items in the PVQ. By focusing on the most serious mental health 
illness, the PVQ will assist in enabling security professionals to 
screen for significant psychological and emotional health concerns with 
the intent to decrease the risk from insiders with significant mental 
illness, including risk of violence at federal installations.
    Analysis: The following analysis of the burden associated with this 
information collection is specific to

[[Page 71704]]

OPM as the agency sponsoring the common form. Other agencies will be 
required to seek expedited approval to use the common form by 
submitting their agency-specific burden analyses to OMB.
    Agency: Office of Personnel Management.
    Title: Personnel Vetting Questionnaire.
    OMB Number: 3206-XXXX.
    Frequency: On occasion.
    Affected Public: Individuals or Households.
    Number of Respondents: 319.
    Estimated Time per Respondent: 140 minutes.
    Total Burden Hours: 780 hours.

Office of Personnel Management.
Kellie Cosgrove Riley,
Director, Office of Privacy and Information Management.
[FR Doc. 2022-25566 Filed 11-21-22; 8:45 am]
BILLING CODE 6325-66-P