Federal Background Investigation and Personnel Vetting Investigative Request Forms (INV 40-44)

Forms and Documents

Document Name	Status
Form INV 40, 41, 42, 43 General Request for Investigative Information, Investigation Request for Employment Data and Supervisor Information, Investigative Request for Personal Information, Investigative... Form and Instruction	Removed
Form INV Form 44 Investigative Request for Law Enforcement Data (INV 44) Form and Instruction	New
Form INV Form 43 Investigative Request for Educational Registrar and Dean of Students Record Data (INV 43) Form and Instruction	New
Form INV Form 42 Investigative Request for Personal Information (INV 42) Form and Instruction	New
Form INV Form 41 Investigative Request for Employment Data and Supervisor Information (INV 41) Form and Instruction	New
Form INV Form 40 General Request for Investigative Information (INV 40) Form and Instruction	New
0705-0003_SSA_8.27.2021.docx Supporting Statement A	2021-08-27
0705-0003_DraftPIA_8.17.2021.pdf Supplementary Document	2021-08-17
INV_40-44_SSNJ_Memo_4.21.2021_signed-FINAL.pdf Supplementary Document	2021-04-22

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	Removed
248774	Investigative Request for Law Enforcement Data (INV 44) Form and Instruction	New
248773	Investigative Request for Educational Registrar and Dean of Students Record Data (INV 43) Form and Instruction	New
248772	Investigative Request for Personal Information (INV 42) Form and Instruction	New
248770	Investigative Request for Employment Data and Supervisor Information (INV 41) Form and Instruction	New
246953	General Request for Investigative Information (INV 40) Form and Instruction	New

ICR Details

OMB Control No: 0705-0003	ICR Reference No: 202104-0705-002
Status: Received in OIRA	Previous ICR Reference No: 201909-0705-003
Agency/Subagency: DOD/OUSDI	Agency Tracking No:
Title: Federal Background Investigation and Personnel Vetting Investigative Request Forms (INV 40-44)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular	Date Submitted to OIRA: 08/30/2021

	Requested	Previously Approved
Expiration Date	36 Months From Approved	09/30/2021
Responses	2,591,229	5,682,744
Time Burden (Hours)	215,936	473,562
Cost Burden (Dollars)	1,565,534	0

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Abstract: 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.

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Authorizing Statute(s): 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
  

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:
	86 FR 24600	05/07/2021
30-day Notice:	Federal Register Citation:	Citation Date:
	86 FR 48130	08/27/2021
Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 5

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

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ICR Summary of Burden

	Total Request	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	2,591,229	5,682,744	0	2,591,229	-5,682,744	0
Annual Time Burden (Hours)	215,936	473,562	0	215,936	-473,562	0
Annual Cost Burden (Dollars)	1,565,534	0	0	1,565,534	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 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.

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Annual Cost to Federal Government: $5,597,054

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

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? No

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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: 08/30/2021

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