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

ICR 201909-0705-003

OMB: 0705-0003

Federal Form Document

ICR Details
0705-0003 201909-0705-003
Active 201403-3206-002
DOD/OUSDI
General Request for Investigative Information, Investigation Request for Employment Data and Supervisor Information, Investigative Request for Personal Information, Investigative...
Reinstatement with change of a previously approved collection   No
Regular
Approved without change 09/30/2019
Retrieve Notice of Action (NOA) 09/30/2019
OPM should revisit the Privacy Act Statement for this collection before it is resubmitted to OMB for review.
  Inventory as of this Action Requested Previously Approved
09/30/2021 36 Months From Approved
5,682,744 0 0
473,562 0 0
0 0 0

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.

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
   EO: EO 10577 Name/Subject of EO: Amending the Civil Service Rules and authorizing a new appointment system for the competitive servic
   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
  
None

Not associated with rulemaking

  83 FR 3370 01/24/2018
83 FR 40360 08/14/2018
No

  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 5,682,744 0 0 43,044 0 5,639,700
Annual Time Burden (Hours) 473,562 0 0 3,587 0 469,975
Annual Cost Burden (Dollars) 0 0 0 0 0 0
Yes
Changing Regulations
No
Burden increase due to types of Background Investigation being requested by agencies

$468,397
No
    Yes
    Yes
No
No
No
Uncollected
Michele DeMarion 724 794-5612 ext. 5274 [email protected]

  No

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:
 
 
 
 
 
 
 
    (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;
 
 
 
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.
08/16/2018


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