General Request for Investigative Information, Investigation Request for Employment Data and Supervisor Information, Investigative Request for Personal Information, Investigative...

Forms and Documents

Document Name	Status
Form INV 40 General Request for Investigative Information, Investigation Request for Employment Data and Supervisor Information, Investigative Request for Personal Information, Investigative... Form and Instruction	Modified
Supporting Statement INV 40s, DMS FINAL, Feb. 2011.pdf Supporting Statement A	2011-02-28
30 day published.pdf Supplementary Document	2011-02-28
INV 40, 41, 42, 43, 44.pdf Supplementary Document	2010-02-17

IC Document Collections

IC ID	Document Title	Status
33638	General Request for Investigative Information, Investigation Request for Employment Data and Supervisor Information, Investigative Request for Personal Information, Investigative... Form and Instruction	Modified

ICR Details

OMB Control No: 3206-0165	ICR Reference No: 201002-3206-002
Status: Historical Active	Previous ICR Reference No: 200510-3206-004
Agency/Subagency: OPM	Agency Tracking No:
Title: General Request for Investigative Information, Investigation Request for Employment Data and Supervisor Information, Investigative Request for Personal Information, Investigative...
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 03/30/2011
	Date Received in OIRA: 02/28/2011
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	03/31/2014	36 Months From Approved	03/31/2011
Responses	6,135,200	0	4,001,000
Time Burden (Hours)	511,200	0	333,350
Cost Burden (Dollars)	0	0	0

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Abstract: 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 C.F.R. part 731, for employment in positions defined in 5 C.F.R. 731.101(b); investigations for employment in a sensitive national security position under E.O. 10450, as amended and 5 C.F.R. 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 C.F.R. 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 is 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. 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 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. If information is omitted on the questionnaire, however, the information may be provided in a follow-up contact between the subject and an investigator. By their terms, the INV 41, 42, and 43 forms are not to be sent to employment references, associates, and schools that have not been identified by the subject of the investigation.

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Authorizing Statute(s): EO: EO 10577 Name/Subject of EO: Amending the Civil Service Rules and authorizing a new appointment system for the competitive servic
   EO: EO 10450 Name/Subject of EO: Security requirements for Government employment
   EO: EO 12968 Name/Subject of EO: ACCESS TO CLASSIFIED INFORMATION
   US Code: 5 USC CFR 736 Name of Law: TITLE 5--Administrative Personnel
   US Code: 5 USC CFR 731 Name of Law: SUITABILITY
   US Code: 5 USC CFR 732 Name of Law: NATIONAL SECURITY POSITIONS
   US Code: 5 USC CFR 9101 Name of Law: PROCEDURES FOR STATES AND LOCALITIES TO REQUEST INDEMNIFICATION
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	75 FR 5358	02/02/2010
30-day Notice:	Federal Register Citation:	Citation Date:
	76 FR 10923	02/28/2011
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 1

IC Title	Form No.	Form Name
General Request for Investigative Information, Investigation Request for Employment Data and Supervisor Information, Investigative Request for Personal Information, Investigative...	INV 43, INV 42, INV 40, INV 44, INV 41	General Request for Investigative Information ,   Investigative Request for Employment Data and Supervisor Information ,   Investigative Request for Personal Information ,   Investigative Request for Educational Registrar and Dean of Students Record Data ,   Investigative Request for Law Enforcement Data

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	6,135,200	4,001,000	0	2,134,200	0	0
Annual Time Burden (Hours)	511,200	333,350	0	177,850	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: The increase in burden is attributed to the increase in individuals who require a background investigation, to determine the suitability, eligibility, or qualifications for Federal employment, for work on Federal contracts, or for access to classified information or restricted areas."

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Annual Cost to Federal Government: $583,712

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 02/28/2011

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