Federal Register: September 30, 2009 (Volume 74, Number 188)
DOCID: fr30se09-106 FR Doc E9-23711
OFFICE OF PERSONNEL MANAGEMENT
Personnel Management Office
NOTICE: NOTICES
DOCID: fr30se09-106
DOCUMENT ACTION: 30-Day Notice and request for comments.
SUBJECT CATEGORY:
Submission for Review: Questionnaire for National Security Positions, SF 86
DATES: Comments are encouraged and will be accepted until October 30, 2009. This process is conducted in accordance with 5 CFR part 1320.
DOCUMENT SUMMARY:
The Federal Investigative Services Division (FISD), U.S. Office of Personnel Management (OPM) offers the general public and other Federal agencies the opportunity to comment on an information collection request (ICR), Office of Management and Budget (OMB) Control No. 32060005, for the General Request for the Questionnaire for National Security Positions, (SF 86). As required by the Paperwork Reduction Act of 1995, (Pub. L. 10413, 44 U.S.C. chapter 35) as amended by the ClingerCohen Act (Pub. L. 104106), OPM is soliciting comments for this collection. 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.
SUMMARY:
Agency Information Collection Activities; Proposals, Submissions, and Approvals
SUPPLEMENTAL INFORMATION
This notice announces that OPM submitted to OMB a request for review and clearance of the revised collection of information, Questionnaire for National Security Positions SF 86 (OMB Control No. 32060005), which includes eQIP (Electronic Questionnaires for Investigations Processing).
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Previously, OPM requested OMB review and clear a suite of investigative forms that were packaged under OMB Control No. 32060005 and included the Questionnaire for National Security Positions, SF 86. Due to the continuing Executive and congressional interest in improving and streamlining the processes by which security clearances are granted, OMB has granted a request by OPM to review and clear the various expiring investigative forms separately so as to move forward at this time with the Questionnaire for National Security Positions, SF 86.
The SF 86 will be used by the U.S. Government in conducting background investigations, reinvestigations, and continuous evaluations, as appropriate, of persons under consideration for or retention in national security positions as defined in 5 CFR part 732 and for positions requiring eligibility for access to classified information under Executive Order 12968. This form may also be used by agencies in determining whether a subject performing work for or on behalf of the Government under a contract should be deemed eligible for logical or physical access when the nature of the work to be performed is sensitive and could bring about an adverse effect on the national security. It is estimated that 21,800 nonFederal individuals will complete the SF 86 annually. Each form takes approximately 150 minutes to complete. The estimated annual burden is 54,500 hours. eQIP is a Webbased system application that currently houses an electronic version of the SF 86. This Internet data collection tool provides faster processing time and immediate data validation to ensure accuracy of the respondent's personal information. The eGovernment initiative mandates that agencies utilize eQIP for all investigations and reinvestigations. A variable in assessing burden hours is the nature of the electronic application. The electronic application includes branching questions and instructions which provide for a tailored collection from the respondent based on varying factors in the respondent's personal history. The burden on the respondent is reduced when the respondent's personal history is not relevant to a particular question, since the question branches, or expands for additional details, only for those persons who have pertinent information to provide regarding that line of questioning. As such, the burden on the respondent will vary depending on whether the information collection relates to the respondent's personal history. Additionally, once entered, a respondent's complete and certified investigative data remain secured in the eQIP system until the next time the respondent is sponsored by an agency to complete a new investigative form. Upon initiation, the respondent's previously entered data (except `yes/no' questions) will populate a new investigative request and the respondent will be allowed to update their information and certify the data. In this instance, time to complete the form is reduced significantly.
The 60day Federal Register Notice was published June 23, 2008 (Volume 73, Number 121, pages 3542135422). The notice proposed to change the SF 86 to specify continuous evaluation as a purpose of the form and a part of the investigative process. The ``Authorization for Release of Information'' was amended to acknowledge that the information provided may be used to conduct officially sanctioned and approved personnel securityrelated research and studies. The authorization language was amended to change the period the authorization remains in effect from (up to) five years to an unspecified period so long as the respondent remains employed in a sensitive position requiring access to classified information. The Fair Credit Reporting Disclosure and Authorization Form was made part of the proposed SF 86 as required under OMB Terms of Clearance. It is important to note that at the time the Federal Register notice was posted in June 2008, agencies were still utilizing the 1995 version of the form as the version in use today had not yet been implemented.
The following Federal agencies, agency components and multiagency working groups made comments during the public comment period following the 60day Notice: Social Security Administration, Joint Security and Suitability Reform Team (JRT), Department of Housing and Urban Development, Department of Health and Human Services, U.S. Agency for International Development, Department of Homeland Security (DHS), Central Intelligence Agency, Department of Transportation, Director of National Intelligence (DNI), Department of State (DOS), Department of State Mental Health Services, Federal Bureau of Investigation, Defense Personnel Security Research Center, Department of Energy (DOE), and internal commentators from the U.S. Office of Personnel Management (OPM). OPM internal commentators mostly focused on administrative issues related to the formatting of the instructions and layout of the questions on the former paper collection. Most comments from agencies other than the JRT focused on changes to the collection of mental health treatment information relative to treatment resulting from service in a military combat environment. The JRT comments focused on collecting from the respondent more accurate and relevant information of investigative and adjudicative significance earlier in the investigative process, to wit at the time the respondent completes the form, and the JRT recommended expanded branching questions in most sections of the form to collect additional details.
A 30day Federal Register Notice was published December 31, 2008
(Volume 73, Number 251, pages 8044580447). This notice proposed an SF
86 that incorporated the significant and substantial changes to the
lines of questioning recommended in the comments by the JRT. Section 9,
Citizenship, was changed to collect additional information that will
assist in verifying citizenship of respondents born outside of the U.S.
Branching questions inserted after each response tailored the
elicitation of information to the respondent's personal history.
Section 10, Dual/Multiple Citizenship, was expanded to include broader
questions designed to elicit information pertinent to the adjudicative
guideline for Foreign Preference. At Section 11, Where You Have Lived,
branching questions replaced detailed instructions for all respondents
and instead tailored the collection to elicit information based on the
respondent's relevant personal history. Additional contact information
for the residence reference was added to assist investigation. At
Section 12, Where You Went To School, the instructions were changed to
require 7 years of information vice 10 regarding certain educational
activities and the verbiage was changed regarding listing degrees or
diplomas received more than 7 years ago to be consistent with changes
to the investigative standards. At Section 13a, Employment Activities,
branching questions were added to reduce detailed instructions for all
respondents and tailor instructions as applicable to the respondent.
``Code 9Nongovernment employment (excluding selfemployment)'' was
added to the employment types for clarity. Additionally, branching
questions for foreign addresses and contacts were added to assist
investigation. At Section 13c, Employment Record, branching questions
were added to prompt the applicant to enter the required information following each positive response, thereby simplifying the
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detailed instructions previously necessary. The requirement to specify
whether the respondent was laid off from a job was deleted as this
information was not pertinent to the adjudicative guidelines regarding
personal conduct and handling protected information that drive the
Employment Record section. At Section 15, Military Service, branching
questions were added to collect more specific details pertinent to the
Personal Conduct and Criminal Conduct adjudicative guidelines.
Branching question were added to elicit more information regarding
foreign military service to obtain information pertinent to the
adjudicative guidelines for Foreign Influence and Foreign Preference.
At Section 16, People Who Know You Well, branching questions were added
to clarify and collect additional information pertaining to the
references. At Section 17, instructions were branched to assist
investigations, and the definition of ``cohabitant'' was clarified.
Section 18 was reformatted for branching questions and ``Visa'' was added to the listing of types of documentation to support
investigation. At Section 19, Foreign Activities, ``influence''
replaced ``common interests'' for clarity regarding relationships with
foreign nationals. Branching questions were added to obtain additional
information pertaining to foreign connections and the approximate
frequency of contact to support the Foreign Influence adjudicative
guideline. At Section 20, additional questions regarding foreign
financial activities, foreign real estate, and receipt of benefits from
a foreign country, including questions concerning the subject's
immediate family members, were added to elicit information pertinent to
the Foreign Influence guideline. Additional questions regarding foreign
employment, business ventures, travel, and foreign government contacts,
including questions concerning the subject's immediate family members,
were added to elicit information pertinent to the Foreign Influence,
Foreign Preference, and Outside Activities adjudicative guidelines. At
Question 21, additional branching questions were added to elicit
information regarding mental health conditions and treatment pertinent
to the adjudicative guideline for Psychological Conditions, including
questions about counseling or treatment providers, whether treatment
was on an inpatient basis, whether admission was voluntary, and
whether the subject was ever adjudicated as mentally incompetent. At
Section 22, Police Record, branching questions were added to inquire
about the disposition of criminal proceedings, and to inquire about
offenses related to firearms, explosives, alcohol and drugs for a 7
year period vice an unlimited period pertaining to the respondent's
entire life. At Section 23, Illegal Use of Drugs or Drug Activity,
questions were added regarding intent of future use and drug treatment
pertinent to the adjudicative guideline for Drug Involvement. The
requirement to report possession of drugs was replaced with a broader
collection requiring reporting of illegal purchase. At Section 24, Use
of Alcohol, questions were branched to further identify actions taken
by applicant to pursue and/or complete recommended counseling/treatment
and to elicit pertinent information regarding the adjudicative
guideline for Alcohol Consumption. At Section 25, Investigations and
Clearance Record, branching questions were added to elicit information
necessary for investigation to obtain relevant prior records and to
elicit information potentially connected to the adjudicative guideline
for Handling Protected Information. Additionally, questions regarding
investigations by foreign governments were added to elicit information
pertinent to the adjudicative guideline for Foreign Preference. At
Section 26, Financial Record, branching questions were added to elicit
specific detailed information pertaining to each financial area instead
of an open text field for respondents to provide explanation. The time
frame for reporting delinquencies on any debt was changed to 120 days,
instead of 180 days for prior debts and 90 days for current debts. A
question was added regarding involvement with a credit counseling
service to support the adjudicative guideline for Financial
Considerations. At Section 28, Involvement in NonCriminal Court
Actions, the time period respondents are required to report was changed
to the last 7 years vice 10. At Section 29, Association Record,
branching questions were added to collect detailed information versus
providing a blank area for explanation. The Certification Statement was
amended to remove verbiage regarding security clearance to clarify
penalties for incomplete or inaccurate statements. On the medical
release, a question was added to obtain the ``dates of the treatment''
pertinent to the adjudicative guideline for Psychological Conditions.
The following Federal agencies, agency components and multiagency working groups made comments during the public comment period following the December 2008 30day Notice: DHS, DNI, JRT, Office of the Under Secretary of Defense (Intelligence) (USDI), Department of the Interior, DOE, OPM, National Security Agency, and an eApplication Content Working Group (ECWG) comprised of representatives from OPM, DOS, FBI, National GeospatialIntelligence Agency (NGA), DHS, Department of the Air Force, National Reconnaissance Office (NRO), National Security Agency (NSA), Defense Security Service (DSS), and Office of the Secretary of Defense General Counsel (OSDGC). DHS, DOE, USDI, OPM, DoD, and ECWG made comments regarding the collection of mental health treatment information relative to treatment resulting from service in a military combat environment. The ECWG made numerous comments recommending improvements to the formatting of questions for clarity, as well as recommendations to more clearly specify that the time periods being asked about for certain questions pertain to the respondent's whole life. For certain questions, such as those regarding foreign countries visited and contact with foreign nationals, the ECWG recommended the required response period be expanded to ``ever'' rather than 7 years. The ECWG recommended the section on Use of Information Technology expand to collect information regarding ``attempts'' at misconduct in addition to actual conduct. The vast majority of comments from the JRT were formatting recommendations for the purpose of clarity and, where possible, to align common language from other investigative forms where the meaning and intent are identical.
Following the public comment period, the Acting Director, OPM,
requested that OMB permit OPM to withdraw the proposed revisions to the
suite of forms, including the SF 86, then pending before OMB for
clearance, a request that OMB granted February 23, 2009, in order to
provide the current Administration's officials at OPM and other
concerned agencies the opportunity to review the collection and propose
revisions as necessary based on their review. OPM and OMB pursued a
multiagency review together with the Department of Justice, Department
of Defense, and Director of National Intelligence. The proposed SF 86
resulting from that review is the basis for this 30day notice and
request for comments. The review resulted in the following changes to the SF 86 proposed in the December 31, 2008 30day notice:
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Language was added to provide additional clarity regarding the
penalties for incomplete and/or inaccurate statements. Language was
added to clarify that the form may also be used by agencies in
determining whether a subject performing work for or on behalf of the
Government under a contract should be deemed eligible for logical or
physical access when the nature of the work to be performed is
sensitive and could bring about an adverse effect on the national
security. Language referencing immunity protections was added to the
questions regarding illegal use of drugs or drug activity, use of
information technology systems, and association record. Questions were
added to the section on police record in order to identify respondents
who may be impacted by the restrictions cited in the Lautenberg
Amendment. The advisement regarding mental health counseling was
expanded to explain that mental health counseling in and of itself is
not a reason to revoke or deny eligibility for access to classified
information or for a sensitive position, suitability or fitness to
obtain or retain Federal employment, fitness to obtain or retain
contract employment, or eligibility for physical or logical access to
Federally controlled facilities or information systems. Questions that
elicited the reason for and nature of mental health treatment were
removed, as were questions regarding participation in selfhelp groups
for alcohol abuse. In the financial record section, the question
regarding involvement with a credit counseling service was amended to
better capture mitigating information from respondents who seek
assistance to resolve financial difficulties. A question on holding
foreign political office and voting in foreign elections was moved from
the form's association record section to the form's foreign activities section.
To provide additional clarity, a copy of a matrix, ``Changes
between Current Form and proposed Sep 09 30day Notice,'' that shows
the changes between the currently approved SF 86 and the SF 86 proposed in this 30day notice, is available upon request.
John Berry,
Director, U.S. Office of Personnel Management.
[FR Doc. E923711 Filed 92909; 8:45 am]
BILLING CODE 632553P
FOR FURTHER INFORMATION CONTACT
A copy of this ICR, with applicable supporting documentation, and/or a copy of the Change Matrix described in the SUPPLEMENTARY INFORMATION, below, may be obtained by contacting the FISD, OPM, 1900 E. Street, NW., Washington, DC 20503, Attention: MaryKay Brewer or sent via electronic mail to MaryKay.Brewer@opm.gov.