Part B _ INV 10_6.2019_ROCIS

Part B

B1.  Development of Concepts, Methods, and Design. 

• The INV 10 form is a questionnaire mailed to sources who have been reported as interviewed by an investigator regarding the background investigation of a third party.

• The purpose of the form is to provide feedback on the professionalism of the investigator and to ensure the quality and integrity of the investigation.

• Each month, a database selects a minimum of three sources for every investigator who conducted source interviews that month. The INV 10 form is mailed to those sources.

• Additional forms are sent if the work or integrity of an investigator requires further investigation.

• OPM program offices determined that a sample of three forms per investigator was sufficient to ensure the quality and integrity of the investigative program, while at the same time acceptable given the costs required to mail and process the forms.

• In FY18, OPM mailed 191,261 forms (an average of 15,938 forms per month).

B2.  Collection of Data. 

• OPM provides a pre-addressed postage-free envelope to all sources who receive an INV 10 form. When forms are returned to OPM, OPM staff enter the responses into a database. Data is checked for quality assurance.

• The front of the INV 10 form includes a Privacy Act statement, the estimated respondent burden, and the purpose of the form. The revised form states that completion “would be greatly appreciated.” The revised form does not explicitly state that responses are not mandatory.

• The average response rate for FY18 was 38 percent. The response rate is calculated by dividing the total number of forms sent by the total number returned.

B3.  Processing and Editing of Data. 

• Standard procedures are performed by OPM staff to correct detectable errors. Data may be verified through (1) other responses on the form, (2) cross-checking another database, or (3) contact with the respondent.

B4.   Production of Estimates and Projections.   

• The INV 10 form is not used to make population estimates or projections.

B5.  Data Analysis. 

• Responses from returned INV 10 forms are initially entered into a database. The hard copy form is then provided directly to supervisors or managers for review and follow-up. A print out of responses may be provided to senior management. INV 10 forms may be sorted by team, and/or response type (i.e., undeliverable forms, favorable responses, responses that may require follow-up). Analyses requiring advanced statistical tests are not conducted using this data.

• Patterns of undeliverable forms are identified for contractors.

B6.  Review and Evaluation Procedures. 

• Content/subject matter results from INV 10 forms are reviewed by a number of subject matter experts and stakeholders within OPM. Advanced survey statistics, methodologies, and analyses are not applicable.

B7.   Data Dissemination.  

• Results from the INV 10 are disseminated internally within the agency. The information the source provides, including source’s identity, may be released to the investigator listed on the form, if requested under the provisions of the FOIA and/or the Privacy Act. In addition to those disclosures generally permitted under 5 U.S.C. 552a(b), all or a portion of the information contained on this form may be disclosed outside OPM as a routine use listed in the system of records notice for the OPM Internal 20 system of records, available on OPM’s website https://www.opm.gov/information-management/privacy-policy.

• Data on the total number of INV 10 forms sent per year, as well as examples of positive responses have been reported in the Federal Investigative Services Annual Report to Stakeholders. Aside from this, results are not released to the public for interpretation, analysis, or evaluation.

B8.  Contact Person(s). 

Charles Conyers

OPM PRA Clearance Officer

Office of the Chief Information Office

U.S. Office of Personnel Management

202-606-0125