[Federal Register: September 30, 2009 (Volume 74, Number 188)]
[Notices]
[Page 50260-50263]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr30se09-106]
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OFFICE OF PERSONNEL MANAGEMENT
Submission for Review: Questionnaire for National Security
Positions, SF 86
AGENCY: U.S. Office of Personnel Management.
ACTION: 30-Day Notice and request for comments.
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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. 3206-0005, for the General Request for the Questionnaire for
National Security Positions, (SF 86). As required by the Paperwork
Reduction Act of 1995, (Pub. L. 104-13, 44 U.S.C. chapter 35) as
amended by the Clinger-Cohen Act (Pub. L. 104-106), 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.
DATES: Comments are encouraged and will be accepted until October 30,
2009. This process is conducted in accordance with 5 CFR part 1320.
ADDRESSES: Interested persons are invited to submit written comments on
the proposed information collection to the FISD, OPM, 1900 E. Street,
NW., Room 2H31, Washington, DC 20415, Attention: MaryKay Brewer or sent
via electronic mail to SFRevisionComments@opm.gov; and Jasmeet K.
Seehra, OMB Desk Officer, Office of Information and Regulatory Affairs,
Office of Management and Budget, New Executive Office Building, 725
17th Street, NW., Room 10235, Washington, DC 20503.
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.
SUPPLEMENTARY 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. 3206-0005), which includes e-QIP (Electronic Questionnaires
for Investigations Processing).
[[Page 50261]]
Previously, OPM requested OMB review and clear a suite of
investigative forms that were packaged under OMB Control No. 3206-0005
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 non-Federal individuals will
complete the SF 86 annually. Each form takes approximately 150 minutes
to complete. The estimated annual burden is 54,500 hours. e-QIP is a
Web-based 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 e-Government initiative
mandates that agencies utilize e-QIP 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 e-QIP 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 60-day Federal Register Notice was published June 23, 2008
(Volume 73, Number 121, pages 35421-35422). 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 security-related 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 multi-agency
working groups made comments during the public comment period following
the 60-day 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 30-day Federal Register Notice was published December 31, 2008
(Volume 73, Number 251, pages 80445-80447). 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 9--Non-government employment (excluding self-employment)'' 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
[[Page 50262]]
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 in-patient 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 Non-Criminal 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 multi-agency
working groups made comments during the public comment period following
the December 2008 30-day Notice: DHS, DNI, JRT, Office of the Under
Secretary of Defense (Intelligence) (USDI), Department of the Interior,
DOE, OPM, National Security Agency, and an e-Application Content
Working Group (ECWG) comprised of representatives from OPM, DOS, FBI,
National Geospatial-Intelligence 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
multi-agency 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 30-day notice and
request for comments. The review resulted in the following changes to
the SF 86 proposed in the December 31, 2008 30-day notice:
[[Page 50263]]
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 self-help 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 30-day Notice,'' that shows
the changes between the currently approved SF 86 and the SF 86 proposed
in this 30-day notice, is available upon request.
John Berry,
Director, U.S. Office of Personnel Management.
[FR Doc. E9-23711 Filed 9-29-09; 8:45 am]
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