Federal Background Investigation and Personnel Vetting Investigative Request Forms (INV 40-44)
Revision of a currently approved collection
No
Regular
08/30/2021
Requested
Previously Approved
36 Months From Approved
09/30/2021
2,591,229
5,682,744
215,936
473,562
1,565,534
0
As noted in the DUSDI-02 Personnel Vetting Records System SORN, the INV 40, 41, 42, 43, and 44 are used to collect information from a multitude of record sources to support federal background investigation and personnel vetting processes such as: investigations and determinations of eligibility for access to classified national security information, and for access to special access programs; suitability for federal employment; fitness of contractor personnel to perform work for or on behalf of the U.S. Government; and Homeland Security Presidential Directive (HSPD)-12 determinations for Personal Identity Verification (PIV) credentials to gain logical or physical access to government facilities and systems. Section 925 of Public Law 115·91; 5 U.S.C. 301, and Executive Order 13467, as amended by Executive Order 13869 authorize the collection of information.
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 are used for any purpose other than a personnel background investigation, as described above.
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 educational institutions, respectively.
EO: EO 10450 Name/Subject of EO: Security requirements for Government employment
EO: EO 12968 Name/Subject of EO: ACCESS TO CLASSIFIED INFORMATION
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
EO: EO 13869 Name/Subject of EO: Transferring Responsibility for Background Investigations to the Department of Defense
US Code:
5 USC CFR 736
Name of Law: Title 5 Admin. Personnel
PL:
Pub.L. 115 - 91 925
Name of Law: Solicitation of Information Including Social Security Number
The burden has decreased since the previous approval due to changes in the amount of and types of background investigations being requested and completed. However, the cost burden estimate has increased because it was not previously reported.
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.
General Request for Investigative Information, Investigation Request for Employment Data and Supervisor Information, Investigative Request for Personal Information, Investigative...