View Information Collection Request (ICR) Package

OMB Control No: 0705-0003	ICR Reference No: 201909-0705-003
Status: Historical Active	Previous ICR Reference No: 201403-3206-002
Agency/Subagency: DOD/OUSDI	Agency Tracking No:
Title: General Request for Investigative Information, Investigation Request for Employment Data and Supervisor Information, Investigative Request for Personal Information, Investigative...
Type of Information Collection: Reinstatement with change of a previously approved collection	Common Form ICR: No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 09/30/2019
	Date Received in OIRA: 09/30/2019
Terms of Clearance: 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
Expiration Date	09/30/2021	36 Months From Approved
Responses	5,682,744	0	0
Time Burden (Hours)	473,562	0	0
Cost Burden (Dollars)	0	0	0

Abstract: 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.

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
   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

Citations for New Statutory Requirements: None

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 3370	01/24/2018
30-day Notice:	Federal Register Citation:	Citation Date:
	83 FR 40360	08/14/2018
Did the Agency receive public comments on this ICR? No

ICR Summary of Burden

	Total Approved	Change Due to Agency Discretion	Change Due to Potential Violation of the PRA
Annual Number of Responses	5,682,744	43,044	5,639,700
Annual Time Burden (Hours)	473,562	3,587	469,975
Annual Cost Burden (Dollars)	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Changing Regulations

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: Burden increase due to types of Background Investigation being requested by agencies

Annual Cost to Federal Government: $468,397

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? Uncollected

Agency Contact: Michele DeMarion 724 794-5612 ext. 5274 Michele.DeMarion@opm.gov

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