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

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form INV 44 Investigative Request for Law Enforcement Data	Form and Instruction	Modified	Repair queued
Form INV 44 Investigative Request for Law Enforcement Data (INV 44)	Form and Instruction	Modified	Repair queued
Form INV 43 Investigative Request for Education Record Data	Form and Instruction	Modified	Repair queued
Form INV 43 Investigative Request for Educational Registrar and Dean of Students Record Data (INV 43)	Form and Instruction	Modified	Available
Form INV 42 Investigative Request for Personal Information	Form and Instruction	Modified	Repair queued
Form INV 42 Investigative Request for Personal Information (INV 42)	Form and Instruction	Modified	Available
Form INV 41 Investigative Request for Employment Data	Form and Instruction	Modified	Available
Form INV 41 Investigative Request for Employment Data and Supervisor Information (INV 41)	Form and Instruction	Modified	Available
Form INV 40 General Request for Investigative Information	Form and Instruction	Modified	Repair queued
Form INV 40 General Request for Investigative Information (INV 40)	Form and Instruction	Modified	Repair queued
0705-0003_PIPS PIA_11.4.2022.pdf	Supplementary Document	Uploaded 2024-05-15	Repair queued
0705-0003_OPIS PIA_3.8.2022.PDF	Supplementary Document	Uploaded 2024-05-15	Repair queued
0705-0003_SSA_5.15.2024_CLEAN.DOCX	Supporting Statement A	Uploaded 2024-06-06	Available
0705-0003_SSNJ Memo_2.6.2024.pdf	Supplementary Document	Uploaded 2024-05-15	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
248774	Investigative Request for Law Enforcement Data (INV 44)	Form and Instruction	Modified	Investigative Request for Law Enforcement Data
248774	Investigative Request for Law Enforcement Data (INV 44)	Form and Instruction	Modified
248773	Investigative Request for Educational Registrar and Dean of Students Record Data (INV 43)	Form and Instruction	Modified	Investigative Request for Education Record Data
248773	Investigative Request for Educational Registrar and Dean of Students Record Data (INV 43)	Form and Instruction	Modified
248772	Investigative Request for Personal Information (INV 42)	Form and Instruction	Modified	Investigative Request for Personal Information
248772	Investigative Request for Personal Information (INV 42)	Form and Instruction	Modified
248770	Investigative Request for Employment Data and Supervisor Information (INV 41)	Form and Instruction	Modified	Investigative Request for Employment Data
248770	Investigative Request for Employment Data and Supervisor Information (INV 41)	Form and Instruction	Modified
246953	General Request for Investigative Information (INV 40)	Form and Instruction	Modified	General Request for Investigative Information
246953	General Request for Investigative Information (INV 40)	Form and Instruction	Modified

ICR Details

OMB Control No: 0705-0003	ICR Reference No: 202402-0705-002
Status: Active	Previous ICR Reference No: 202104-0705-002
Agency/Subagency: DOW/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
OIRA Conclusion Action: Approved without change	Conclusion Date: 10/11/2024
Retrieve Notice of Action (NOA)	Date Received in OIRA: 06/07/2024
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2027	36 Months From Approved	10/31/2024
Responses	2,850,071	0	2,591,229
Time Burden (Hours)	237,506	0	215,936
Cost Burden (Dollars)	4,256,106	0	1,565,534

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Abstract: The information collected on the General Request for Investigative Information (INV 40), Investigative Request for Employment Data and Supervisor Information (INV 41), Investigative Request for Personal Information (INV 42), Investigative Request for Educational Record Data (INV 43), and Investigative Request for Law Enforcement Data (INV 44) forms is necessary to obtain background information and personal records for investigating and determining an individual’s initial or continued: eligibility for access to classified national security information or assignment to positions with sensitive duties, suitability for enlistment or appointment into military service, suitability for federal employment, fitness for assignment to work under contract for or on behalf of the government, or eligibility for physical or logical access to U.S. Government systems or facilities. This collection of information by the Defense Counterintelligence and Security Agency (DCSA) is authorized by Section 925 of Public Law 115-91, 5 U.S.C. 301, 5 CFR 736, and Executive Order 13467, as amended by Executive Order 13869. The INV Form 44 facilitates DCSA's collection of criminal history record information authorized by 5 U.S.C. 9101.

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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 9101 Name of Law: Access to criminal history records for national security and other purposes
   EO: EO 13869 Name/Subject of EO: Transferring Responsibility for Background Investigations to the Department of Defense
   PL: Pub.L. 115 - 91 925 Name of Law: Background and security investigations for Department of Defense personnel
   EO: EO 13467 Name/Subject of EO: Reforming Processes Related to Suitability for Government Employment, Fitness for Contractor Employe
  

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:
	89 FR 19305	03/18/2024
30-day Notice:	Federal Register Citation:	Citation Date:
	89 FR 48412	06/06/2024
Did the Agency receive public comments on this ICR? No

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

table that charts list of burden

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

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ICR Summary of Burden

table that charts list 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	2,850,071	2,591,229	0	258,842	0	0
Annual Time Burden (Hours)	237,506	215,936	0	21,570	0	0
Annual Cost Burden (Dollars)	4,256,106	1,565,534	0	2,690,572	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The burden has increased to more accurately reflect the amount of background investigations being conducted. Estimated respondent hourly wage has also increased to more accurately reflect the average respondent.

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Annual Cost to Federal Government: $9,206,869

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: 06/07/2024

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