83 FR 3370 - Reinstatement of a Previously Approved Information Collection: 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 Registrar and Dean of Students Record Data (INV 43), and Investigative Request for Law Enforcement Data (INV 44)

OFFICE OF PERSONNEL MANAGEMENT

Federal Register Volume 83, Issue 16 (January 24, 2018)

Page Range		3370-3371
FR Document		2018-01258

In accordance with the Paperwork Reduction Act of 1995, the National Background Investigations Bureau (NBIB), Office of Personnel Management (OPM) proposes to request the Office of Management and Budget (OMB) to reinstate a previously-approved information collection, 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 Registrar and Dean of Students Record Data (INV 43), and Investigative Request for Law Enforcement Data (INV 44).

Federal Register, Volume 83 Issue 16 (Wednesday, January 24, 2018)

[Federal Register Volume 83, Number 16 (Wednesday, January 24, 2018)]
[Notices]
[Pages 3370-3371]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2018-01258]


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OFFICE OF PERSONNEL MANAGEMENT


Reinstatement of a Previously Approved Information Collection: 
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 Registrar and Dean of Students Record Data (INV 
43), and Investigative Request for Law Enforcement Data (INV 44)

AGENCY: Office of Personnel Management.

ACTION: 60-Day notice and request for comments.

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SUMMARY: In accordance with the Paperwork Reduction Act of 1995, the 
National Background Investigations Bureau (NBIB), Office of Personnel 
Management (OPM) proposes to request the Office of Management and 
Budget (OMB) to reinstate a previously-approved information collection, 
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 Registrar and Dean of Students Record Data (INV 
43), and Investigative Request for Law Enforcement Data (INV 44).

DATES: Comments are encouraged and will be accepted until March 26, 
2018. This process is conducted in accordance with 5 CFR 1320.8(d)(1).

ADDRESSES: Interested persons are invited to submit written comments on 
the proposed information collection to the National Background 
Investigations Bureau, U.S. Office of Personnel Management, 1900 E 
Street NW, Washington, DC 20415, Attention: Donna McLeod or sent by 
email to [email protected].

FOR FURTHER INFORMATION CONTACT:  A copy of this ICR, with applicable 
supporting documentation, may be obtained by contacting the National 
Background Investigations Bureau, U.S. Office of Personnel Management, 
1900 E Street NW, Washington, DC 20415, Attention: Donna McLeod; or 
sent by email to [email protected] or phone at 202-606-2139.

SUPPLEMENTARY INFORMATION: OPM is soliciting comments for this 
collection as required by the Paperwork Reduction Act of 1995, 44 
U.S.C. 3506(c)(2). The Office of Management and Budget is particularly 
interested in comments that:
    1. Evaluate whether the proposed collection of information is 
necessary for the proper performance of the functions of the agency, 
including whether the information will have practical utility;
    2. Evaluate the accuracy of the agency's estimate of the burden of 
the proposed collection of information, including the validity of the 
methodology and assumptions used;
    3. Enhance the quality, utility, and clarity of the information to 
be collected; and
    4. Minimize the burden of the collection of information on those 
who are to respond, including through the use of appropriate automated, 
electronic, mechanical, or other technological collection techniques or 
other forms of information technology, e.g., permitting electronic 
submissions of responses.
    The INV 40, 41, 42, 43, and 44 are used to conduct the ``written 
inquiries'' portion of the investigation, to include investigations for 
suitability or fitness for Civil Service, nonappropriated fund, or 
contract employment pursuant to standards issued under Civil Service 
Rule V, E.O. 13488, as amended, E.O. 13764, and 5 CFR part 731; 
investigations for employment in a sensitive national security position 
or for eligibility for access to classified information pursuant to 
standards issued under E.O. 12968, as amended, E.O. 13764, and 5 CFR 
part 1400; and investigations for identity credentials for long-term 
physical and logical access to Federally-controlled facilities and 
information systems, pursuant to standards issued under E.O. 13764. 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 CFR 
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 completed forms are 
maintained by OPM subject to the protections of the Privacy Act of 
1974, as amended.
    Procedurally, the subject of a personnel background investigation 
discloses the identity of relevant sources, such as supervisors, 
coworkers, neighbors, friends, current or former spouses, instructors, 
relatives, or schools attended, on the standard form (SF) 85, 
Questionnaire for Non-Sensitive Positions; the SF 85P, Questionnaire 
for Public Trust Positions; or the SF 86, Questionnaire for National 
Security Positions. The INV forms are distributed to the provided 
source contacts identified on the standard form questionnaire through 
an automated mailing operation.
    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. The forms disclose that the source's contact information 
was provided by the subject to assist in completing a background 
investigation

[[Page 3371]]

to help determine the subject's eligibility for employment or security 
clearance, and request that the source complete the form 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.
    OPM proposes the following modifications to the INV 40, INV 41, INV 
42, INV 43 and INV 44. On all of the forms, an explanation was added to 
address the need to have the forms completed and returned as soon as 
possible. The Privacy Act Information section changed from, ``The 
information you provide, including your identity, will be disclosed to 
the person being investigated and other federal agencies, at this 
person's request'' to ``The information you provide, including your 
identity, will be furnished to the agency requesting the investigation, 
other agencies as warranted, and to the person investigated upon his or 
her specific request. Routine uses for disclosure of investigative 
records are published in the Federal Register at 81 FR 70194-95.'' The 
INV 41 and INV 43, Instruction, ``Your name has been provided by the 
person'' was amended to ``Your contact information was provided by the 
person.'' The INV 41, 42, 43, and 44 were amended to refer to the 
purpose of the investigations as ``eligibility for employment or 
security clearance'' for uniformity. The INV 41 and INV 42 Privacy Act 
Information, ``Providing additional information on this form will void 
your request for confidentiality'' was removed. Specific instructions 
for requesting confidentiality are provided in block 6 on the INV 41 
and block 8 on the INV 42. Changes were made to OPM's form processing 
options found on the INV 40, INV 41, INV 43, and INV 44. Modifications 
were made to clarify the use of the ``additional information'' section 
on the INV 41, INV 42, INV 43, and INV 44.
    In an effort to align the collection of information obtained 
through written inquiries and the collection of information disclosed 
by the subject of the background investigation on the standard form 
questionnaires, the following changes were made. INV 41 (#2) (e) 
``Fired for unfavorable employment or conduct'' was amended to 
``Fired''; (f) ``Resigned after informed of possible firing'' was 
amended to ``Quit after being told they would be fired''; (g) ``Left 
employment by mutual agreement due to specific problems'' was amended 
to ``Left by mutual agreement following charges or allegations of 
misconduct''; and (h) ``left by mutual agreement following notice of 
unsatisfactory performance.'' was added. INV 41 (#2) and INV 42 (#7) 
``abuse of drugs'' was amended to ``abuse/illegal use of drugs.''

Analysis

    Agency: NBIB, Office of Personnel Management.
    Title: 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 Registrar and Dean of Students 
Record Data (INV 43), and Investigative Request for Law Enforcement 
Data (INV 44).
    OMB Number: 3206-0165.
    Affected Public: Forms are not used for any purpose other than a 
personnel background investigation. The completed forms are maintained 
by OPM and are subject to the protections of the Privacy Act of 1974, 
as amended.
    Procedurally, the subject of a personnel background investigation 
discloses the identity of relevant sources, such as supervisors, 
coworkers, neighbors, friends, current or former spouses, instructors, 
relatives, or schools attended, on the standard form (SF) 85, 
Questionnaire for Non-Sensitive Positions; the SF 85P, Questionnaire 
for Public Trust Positions; or the SF 86, Questionnaire for National 
Security Positions. After OPM receives a completed SF 85, SF 85P, or SF 
86, the INV forms are distributed to the provided source contacts 
through an automated mailing operation.
    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 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 eligibility for 
employment or security clearance, and request that the source complete 
the form 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.
    Number of Respondents: 5,682,744 (58,071 (INV 40); 3,358,486 (INV 
41); 56,090 (INV 42); 855,051 (INV 43); 1,355,046 (INV 44))
    Estimated Time per Respondent: 5 minutes per form (INV 40, INV 41, 
INV 42, INV 43, INV 44)
    Total Burden Hours: 473,562 (4,839 (INV 40); 279,874 (INV 41); 
4,674 (INV 42); 71,254 (INV 43); 112,921 (INV 44))

Office of Personnel Management.
Kathleen M. McGettigan,
Acting Director.
[FR Doc. 2018-01258 Filed 1-23-18; 8:45 am]
 BILLING CODE 6325-53-P

3370 Federal Register / Vol. 83, No. 16 / Wednesday, January 24, 2018 / Notices

revised collection of information for Bureau (NBIB), Office of Personnel The INV 40, 41, 42, 43, and 44 are
three years without change. An agency Management (OPM) proposes to request used to conduct the ‘‘written inquiries’’
may not conduct or sponsor, and a the Office of Management and Budget portion of the investigation, to include
person is not required to respond to, a (OMB) to reinstate a previously- investigations for suitability or fitness
collection of information unless it approved information collection, for Civil Service, nonappropriated fund,
displays a currently valid OMB control General Request for Investigative or contract employment pursuant to
number. Information (INV 40), Investigative standards issued under Civil Service
PBGC estimates that it will receive Request for Employment Data and Rule V, E.O. 13488, as amended, E.O.
23,700 premium filings per year from Supervisor Information (INV 41), 13764, and 5 CFR part 731;
23,700 plan administrators under this Investigative Request for Personal investigations for employment in a
collection of information. PBGC further Information (INV 42), Investigative sensitive national security position or
estimates that the annual burden of this Request for Educational Registrar and for eligibility for access to classified
collection of information is 10,439 Dean of Students Record Data (INV 43), information pursuant to standards
hours and $16,392,500. and Investigative Request for Law issued under E.O. 12968, as amended,
PBGC is soliciting public comments Enforcement Data (INV 44). E.O. 13764, and 5 CFR part 1400; and
to— DATES: Comments are encouraged and investigations for identity credentials
• Evaluate whether the proposed will be accepted until March 26, 2018. for long-term physical and logical access
collection of information is necessary This process is conducted in accordance to Federally-controlled facilities and
for the proper performance of the with 5 CFR 1320.8(d)(1). information systems, pursuant to
functions of the agency, including standards issued under E.O. 13764. The
ADDRESSES: Interested persons are
whether the information will have INV forms 40 and 44, in particular,
invited to submit written comments on
practical utility; facilitate OPM’s access to criminal
• evaluate the accuracy of the the proposed information collection to
history record information under 5
agency’s estimate of the burden of the the National Background Investigations
U.S.C. 9101.
proposed collection of information, Bureau, U.S. Office of Personnel The content of the INV forms is also
including the validity of the Management, 1900 E Street NW, designed to meet notice requirements
methodologies and assumptions used; Washington, DC 20415, Attention: for personnel investigations specified by
• enhance the quality, utility, and Donna McLeod or sent by email to 5 CFR 736.102(c). These notice
clarity of the information to be FISFormsComments@opm.gov. requirements apply to any
collected; and FOR FURTHER INFORMATION CONTACT: ‘‘investigation . . . to determine the
• minimize the burden of the A copy of this ICR, with applicable suitability, eligibility, or qualifications
collection of information on those who supporting documentation, may be of individuals for Federal employment,
are to respond, including through the obtained by contacting the National for work on Federal contracts, or for
use of appropriate automated, Background Investigations Bureau, U.S. access to classified information or
electronic, mechanical, or other Office of Personnel Management, 1900 E restricted areas.’’
technological collection techniques or Street NW, Washington, DC 20415, None of the forms are used for any
other forms of information technology. Attention: Donna McLeod; or sent by purpose other than a personnel
email to FISFormsComments@opm.gov background investigation, as described
Stephanie Cibinic, or phone at 202–606–2139. above. The completed forms are
Deputy Assistant General Counsel for maintained by OPM subject to the
SUPPLEMENTARY INFORMATION: OPM is
Regulatory Affairs, Pension Benefit Guaranty
Corporation.
soliciting comments for this collection protections of the Privacy Act of 1974,
as required by the Paperwork Reduction as amended.
[FR Doc. 2018–01265 Filed 1–23–18; 8:45 am]
Act of 1995, 44 U.S.C. 3506(c)(2). The Procedurally, the subject of a
BILLING CODE 7709–02–P personnel background investigation
Office of Management and Budget is
particularly interested in comments discloses the identity of relevant
that: sources, such as supervisors, coworkers,
OFFICE OF PERSONNEL 1. Evaluate whether the proposed neighbors, friends, current or former
MANAGEMENT collection of information is necessary spouses, instructors, relatives, or
for the proper performance of the schools attended, on the standard form
Reinstatement of a Previously (SF) 85, Questionnaire for Non-Sensitive
functions of the agency, including
Approved Information Collection: Positions; the SF 85P, Questionnaire for
whether the information will have
General Request for Investigative Public Trust Positions; or the SF 86,
practical utility;
Information (INV 40), Investigative 2. Evaluate the accuracy of the Questionnaire for National Security
Request for Employment Data and agency’s estimate of the burden of the Positions. The INV forms are distributed
Supervisor Information (INV 41), proposed collection of information, to the provided source contacts
Investigative Request for Personal including the validity of the identified on the standard form
Information (INV 42), Investigative methodology and assumptions used; questionnaire through an automated
Request for Educational Registrar and 3. Enhance the quality, utility, and mailing operation.
Dean of Students Record Data (INV 43), clarity of the information to be The INV 40 is used to collect records
and Investigative Request for Law collected; and from a Federal or State record repository
Enforcement Data (INV 44) 4. Minimize the burden of the or a credit bureau. The INV 44 is used
AGENCY: Office of Personnel collection of information on those who to collect law enforcement data from a
daltland on DSKBBV9HB2PROD with NOTICES

Management. are to respond, including through the criminal justice agency. The INV 41, 42,
ACTION: 60-Day notice and request for use of appropriate automated, and 43 are sent to employment
comments. electronic, mechanical, or other references, associates, and educational
technological collection techniques or institutions. The forms disclose that the
SUMMARY: In accordance with the other forms of information technology, source’s contact information was
Paperwork Reduction Act of 1995, the e.g., permitting electronic submissions provided by the subject to assist in
National Background Investigations of responses. completing a background investigation

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Federal Register / Vol. 83, No. 16 / Wednesday, January 24, 2018 / Notices 3371

to help determine the subject’s by mutual agreement following notice of 56,090 (INV 42); 855,051 (INV 43);
eligibility for employment or security unsatisfactory performance.’’ was 1,355,046 (INV 44))
clearance, and request that the source added. INV 41 (#2) and INV 42 (#7) Estimated Time per Respondent: 5
complete the form to help in this ‘‘abuse of drugs’’ was amended to minutes per form (INV 40, INV 41, INV
determination. Generally, the subject of ‘‘abuse/illegal use of drugs.’’ 42, INV 43, INV 44)
the investigation will identify these Total Burden Hours: 473,562 (4,839
employment references, associates, and Analysis (INV 40); 279,874 (INV 41); 4,674 (INV
schools on his or her SF 85, SF 85P, or Agency: NBIB, Office of Personnel 42); 71,254 (INV 43); 112,921 (INV 44))
SF 86 questionnaire. Management. Office of Personnel Management.
OPM proposes the following Title: General Request for Kathleen M. McGettigan,
modifications to the INV 40, INV 41, Investigative Information (INV 40), Acting Director.
INV 42, INV 43 and INV 44. On all of Investigative Request for Employment
the forms, an explanation was added to [FR Doc. 2018–01258 Filed 1–23–18; 8:45 am]
Data and Supervisor Information (INV
address the need to have the forms 41), Investigative Request for Personal BILLING CODE 6325–53–P

completed and returned as soon as Information (INV 42), Investigative
possible. The Privacy Act Information Request for Educational Registrar and
section changed from, ‘‘The information Dean of Students Record Data (INV 43), SECURITIES AND EXCHANGE
you provide, including your identity, and Investigative Request for Law COMMISSION
will be disclosed to the person being Enforcement Data (INV 44). [Release No. 34–82531; File No. SR–NYSE–
investigated and other federal agencies, OMB Number: 3206–0165. 2017–53]
at this person’s request’’ to ‘‘The Affected Public: Forms are not used
information you provide, including your for any purpose other than a personnel Self-Regulatory Organizations; New
identity, will be furnished to the agency background investigation. The York Stock Exchange LLC; Notice of
requesting the investigation, other completed forms are maintained by Designation of a Longer Period for
agencies as warranted, and to the person OPM and are subject to the protections Commission Action on a Proposed
investigated upon his or her specific of the Privacy Act of 1974, as amended. Rule Change To Amend the Listed
request. Routine uses for disclosure of Procedurally, the subject of a Company Manual for Special Purpose
investigative records are published in Acquisition Companies To Lower the
personnel background investigation
the Federal Register at 81 FR 70194– Initial Holders Requirement From 300
discloses the identity of relevant
95.’’ The INV 41 and INV 43, to 150 Round Lot Holders and To
sources, such as supervisors, coworkers,
Instruction, ‘‘Your name has been Eliminate Completely the 300 Public
neighbors, friends, current or former
provided by the person’’ was amended Stockholders Continued Listing
spouses, instructors, relatives, or
to ‘‘Your contact information was Requirement, To Require at Least $5
schools attended, on the standard form
provided by the person.’’ The INV 41, Million in Net Tangible Assets for Initial
(SF) 85, Questionnaire for Non-Sensitive
42, 43, and 44 were amended to refer to and Continued Listing, and To Impose
Positions; the SF 85P, Questionnaire for
the purpose of the investigations as a 30-Day Deadline To Demonstrate
Public Trust Positions; or the SF 86,
‘‘eligibility for employment or security Compliance With the Initial Listing
clearance’’ for uniformity. The INV 41 Questionnaire for National Security
Positions. After OPM receives a Requirements Following a Business
and INV 42 Privacy Act Information, Combination
‘‘Providing additional information on completed SF 85, SF 85P, or SF 86, the
this form will void your request for INV forms are distributed to the January 18, 2018.
confidentiality’’ was removed. Specific provided source contacts through an On November 16, 2017, New York
instructions for requesting automated mailing operation. Stock Exchange LLC (‘‘NYSE’’ or
confidentiality are provided in block 6 The INV 40 is used to collect records ‘‘Exchange’’) filed with the Securities
on the INV 41 and block 8 on the INV from a Federal or State record repository and Exchange Commission
42. Changes were made to OPM’s form or a credit bureau. The INV 44 is used (‘‘Commission’’), pursuant to Section
processing options found on the INV 40, to collect law enforcement data from a 19(b)(1) of the Securities Exchange Act
INV 41, INV 43, and INV 44. criminal justice agency. The INV 41, 42, of 1934 (‘‘Act’’) 1 and Rule 19b–4
Modifications were made to clarify the and 43 are sent to employment thereunder,2 a proposed rule change to
use of the ‘‘additional information’’ references, associates, and educational amend the Listed Company Manual for
section on the INV 41, INV 42, INV 43, institutions attended. The forms Special Purpose Acquisition Companies
and INV 44. disclose that the source’s name was (‘‘SPACs’’) 3 to lower the initial holders
In an effort to align the collection of provided by the subject to assist in requirement from 300 to 150 round lot
information obtained through written completing a background investigation holders and to eliminate the continued
inquiries and the collection of to help determine the subject’s listing requirement of 300 public
information disclosed by the subject of eligibility for employment or security stockholders completely, to require at
the background investigation on the clearance, and request that the source least $5 million in net tangible assets for
standard form questionnaires, the complete the form to help in this initial listing and continued listing, and
following changes were made. INV 41 determination. Generally, the subject of to impose a 30-day deadline to
(#2) (e) ‘‘Fired for unfavorable the investigation will identify these demonstrate compliance with initial
employment or conduct’’ was amended employment references, associates, and listing requirements following a
to ‘‘Fired’’; (f) ‘‘Resigned after informed schools on his or her SF 85, SF 85P, or
daltland on DSKBBV9HB2PROD with NOTICES

of possible firing’’ was amended to SF 86 questionnaire. If information is 1 15 U.S.C. 78s(b)(1).
‘‘Quit after being told they would be omitted on the questionnaire, however, 2 17 CFR 240.19b–4.
fired’’; (g) ‘‘Left employment by mutual the information may be provided in a 3 The Commission notes that throughout this

agreement due to specific problems’’ follow-up contact between the subject Notice we have used the term ‘‘SPAC’’ or ‘‘SPACs.’’
These terms have the same meaning as an
was amended to ‘‘Left by mutual and an investigator. ‘‘Acquisition Company’’ or ‘‘AC’’ which is the term
agreement following charges or Number of Respondents: 5,682,744 used by NYSE in its current proposed rule filing
allegations of misconduct’’; and (h) ‘‘left (58,071 (INV 40); 3,358,486 (INV 41); and rule text.

VerDate Sep<11>2014 20:25 Jan 23, 2018 Jkt 244001 PO 00000 Frm 00077 Fmt 4703 Sfmt 4703 E:\FR\FM\24JAN1.SGM 24JAN1

Document Created: 2018-10-26 09:59:16
Document Modified: 2018-10-26 09:59:16

Category		Regulatory Information
Collection		Federal Register
sudoc Class		AE 2.7: GS 4.107: AE 2.106:
Publisher		Office of the Federal Register, National Archives and Records Administration
Section		Notices
Action		60-Day notice and request for comments.
Dates		Comments are encouraged and will be accepted until March 26, 2018. This process is conducted in accordance with 5 CFR 1320.8(d)(1).
Contact		A copy of this ICR, with applicable supporting documentation, may be obtained by contacting the National Background Investigations Bureau, U.S. Office of Personnel Management, 1900 E Street NW, Washington, DC 20415, Attention: Donna McLeod; or sent by email to [email protected] or phone at 202-606-2139.
FR Citation		83 FR 3370