Notice2022-25566
Notice of Submission for a New Information Collection Common Form: Personnel Vetting Questionnaire
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Published
November 23, 2022
Issuing agencies
Personnel Management Office
Abstract
The Office of Personnel Management (OPM) offers the opportunity to comment on a new information collection request (ICR) titled Personnel Vetting Questionnaire (PVQ). The proposed information collection will streamline multiple existing information collections, as well as the renewal cycle for them, commensurate with on-going efforts to improve personnel vetting processes and the experience of individuals undergoing personnel vetting. OPM is proposing to discontinue the information collections for OMB control numbers 3206- 0261, 3206-0258, and 3206-0005 as these information collections will become parts of the new Personnel Vetting Questionnaire information collection and assigned a new OMB control number.
Full Text
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<title>Federal Register, Volume 87 Issue 225 (Wednesday, November 23, 2022)</title>
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[Federal Register Volume 87, Number 225 (Wednesday, November 23, 2022)]
[Notices]
[Pages 71700-71704]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-25566]
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OFFICE OF PERSONNEL MANAGEMENT
Notice of Submission for a New Information Collection Common
Form: Personnel Vetting Questionnaire
AGENCY: Office of Personnel Management.
ACTION: 60-Day notice and request for comments.
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SUMMARY: The Office of Personnel Management (OPM) offers the
opportunity to comment on a new information collection request (ICR)
titled Personnel Vetting Questionnaire (PVQ). The proposed information
collection will streamline multiple existing information collections,
as well as the renewal cycle for them, commensurate with on-going
efforts to improve personnel vetting processes and the experience of
individuals undergoing personnel vetting. OPM is proposing to
discontinue the information collections for OMB control numbers 3206-
0261, 3206-0258, and 3206-0005 as these information collections will
become parts of the new Personnel Vetting Questionnaire information
collection and assigned a new OMB control number.
DATES: Comments are encouraged and will be accepted until January 23,
2023.
ADDRESSES: You may submit comments, identified by docket number and/or
Regulatory Information Number (RIN) and title, by the following method:
--Federal Rulemaking Portal: <a href="http://www.regulations.gov">http://www.regulations.gov</a>. Follow the
instructions for submitting comments.
All submissions received must include the agency name and docket
number or RIN for this document. The general policy for comments and
other submissions from members of the public is to make these
submissions available for public viewing at <a href="http://www.regulations.gov">http://www.regulations.gov</a>
as they are received without change, including any personal identifiers
or contact information.
FOR FURTHER INFORMATION CONTACT: A copy of this ICR, with applicable
supporting documentation, may be obtained by email to
<a href="/cdn-cgi/l/email-protection#1546607c615054737a677866557a65783b727a63"><span class="__cf_email__" data-cfemail="6e3d1b071a2b2f08011c031d2e011e0340090118">[email protected]</span></a>, or by contacting Alexys Stanley, 202-606-1800, or
U.S. Office of Personnel Management, Suitability Executive Agent
Programs, P.O. Box 699, Slippery Rock, PA 16057.
SUPPLEMENTARY INFORMATION: 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 (OMB No. 3206-XXXX). OPM is particularly interested in
comments that:
1. Evaluate whether the proposed collection of information is
necessary for the proper performance of 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.
Background
The PVQ will be a common form and will consolidate the following
ICRs:
[[Page 71701]]
Office of Management and Budget (OMB) No. 3206-0261 Questionnaire for
Non-Sensitive Positions (SF 85), OMB No. 3206-0258 Questionnaire for
Public Trust Positions and Supplemental Questionnaire for Selected
Positions (SF 85P and SF 85P-S), and OMB No. 3206-0005 Questionnaire
for National Security Positions (SF 86) into one comprehensive
information collection, consisting of four parts. As a ``common form''
this information collection will be hosted by the OPM and other
agencies can request authorization to use the collection from OMB.
Individual respondents will be asked to complete only the parts that
are appropriate to the risk and sensitivity of their position, also
known as their position designation, as directed by the federal agency
requesting their background investigation consistent with guidance
issued by OPM and the Office of the Director of National Intelligence
as the Suitability and Credentialing Executive Agent and the Security
Executive Agent, respectively.
As appropriate to the risk and sensitivity of an individual's
position, questions contained within the proposed personnel vetting
questionnaire will be used by the U.S. Government in conducting
personnel vetting investigations for persons under consideration for,
or retention in, low risk, public trust, and/or national security
positions as defined in 5 CFR 731 and 5 CFR 1400, including individuals
requiring eligibility for access to classified information under
Executive Order 12968, as amended.
This questionnaire will also be used for making trust
determinations associated with an individual's initial and ongoing
suitability or fitness for Federal employment, fitness for contract
employment, eligibility to hold a sensitive position or for access to
classified information, or eligibility for physical and logical access
to federally controlled facilities or information systems.
OPM serves as the sponsor for the common form PVQ, collecting
comments as well as posting the information collection; however, OPM
works closely with the Office of the Director of National Intelligence
(ODNI), National Counterintelligence and Security Center to develop and
propose content, since the information collected is used for background
investigations that are under the purview of OPM as the Suitability and
Credentialing Executive Agent and ODNI as the Security Executive Agent,
pursuant to Executive Order 13467, as amended. The information
collection is used for background investigations conducted by the
Defense Counterintelligence and Security Agency (DCSA), the
Government's primary background investigations provider and other
authorized investigating agencies. The information is used by federal
agencies in making trust determinations as described above.
OPM is requesting clearance of the comprehensive personnel vetting
questionnaire that contains all of the potential questions that could
be asked of individuals undergoing personnel vetting investigations;
however, the respondent completing the form will only be asked to
complete the questions required for their position risk and
designation. The higher the risk and sensitivity of the position, the
greater the information collection. Part A of the PVQ contains a set of
core required questions that will be required of all individuals
undergoing a background investigation. Part B contains additional
questions that will be required of individuals in non-sensitive public
trust positions as well as individuals in sensitive positions, and Part
C contains further questions that will be required only of individuals
in sensitive positions.
Currently, there are multiple standard form questionnaires for
personnel vetting investigations:
<bullet> The SF 85, Questionnaire for Non-Sensitive Positions,
completed by individuals in non-sensitive low risk positions. This will
be replaced by Part A of the PVQ.
<bullet> The SF 85P, Questionnaire for Public Trust Positions,
completed by individuals in non-sensitive moderate risk and high-risk
positions. The SF 85P will be replaced by Parts A and B of the PVQ.
<bullet> The SF 86, Questionnaire for National Security Positions,
completed by individuals in national security positions, as the term is
defined at 5 CFR part 1400, including individuals requiring eligibility
for access to classified information under E.O. 12968. The SF 86 will
be replaced by Parts A, B, and C of the PVQ.
<bullet> Individuals in certain law enforcement positions may also
complete the supplemental form SF 85P-S, Supplemental Questionnaire for
Selected Positions. The SF 85P-S will be replaced by Part D of the PVQ.
Questions within the PVQ will be presented to individuals in the
electronic application system of the Defense Counterintelligence and
Security Agency (DCSA) that is the successor to the Electronic
Questionnaires for Investigations Processing (e-QIP) system. As in e-
QIP today, the questions will branch to collect additional details as
appropriate to the individual's response. For example, if a respondent
responds affirmatively to a question regarding foreign travel, the
question will expand to ask for the country, dates of travel, and other
details. In this sense, the information collection is tailored to the
individual's personal history and the burden on the individual will
vary depending on the extent to which each individual has relevant
information to provide.
For further clarity, below is a comparison, by position
designation, of the current forms required and the parts of the PVQ
that will be required to be completed.
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Position designation Current form PVQ part
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Non-Sensitive Low Risk.......... SF 85............. Part A.
Non-Sensitive Moderate Risk SF 85P............ Part A and Part B.
Public Trust.
Non-Sensitive High Risk Public SF 85P............ Part A and Part B.
Trust.
Non-Critical Sensitive Moderate SF 86............. Part A, Part B,
Risk Public Trust. and Part C.
Critical-Sensitive High Risk SF 86............. Part A, Part B and
Public Trust. Part C.
Special-Sensitive High Risk SF 86............. Part A, Part B and
Public Trust. Part C.
Non-Sensitive Moderate Risk or SF 85P and SF 85P- Part A, Part B,
High Risk Law Enforcement S. and Part D.
Position as specified by an
agency.
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Part A contains questions covering the following areas:
<bullet> Introduction
<bullet> General Information
<bullet> U.S. Passport Information
<bullet> U.S. Citizenship Information
<bullet> Additional Citizenships
<bullet> Residences
<bullet> Education
[[Page 71702]]
<bullet> Employment Activities
<bullet> Other Federal Employment
<bullet> U.S. Military and U.S. Uniform Service
<bullet> People Who Know You Well
<bullet> Police Record
<bullet> Drug Activity
<bullet> Marijuana and Cannabis-Derivative Use
<bullet> U.S. Personnel Vetting Investigations, Security Clearances,
and Federal Debarments
<bullet> Federal Debt
<bullet> Information Technology Systems
<bullet> Handling Protected Information
<bullet> Associations
Part B contains the following additional areas:
<bullet> Continuation Questions for Sections 4,5, 6, 7, and 11
<bullet> Use of Alcohol and Rehabilitative Actions
<bullet> Relationship Status
<bullet> Relatives
<bullet> Foreign Travel
<bullet> Financial Record
<bullet> Civil Court Actions
Part C contains the following additional areas:
<bullet> Continuation Questions for Section 9
<bullet> Foreign Contacts
<bullet> Foreign Financial Interest and Foreign Benefits
<bullet> Foreign Business Affairs and Foreign Government Activities
<bullet> Psychological and Emotional Health
<bullet> Criminal Convictions Resulting in Sentences Over One Year
Part D contains the following areas:
<bullet> Psychological and Emotional Health
Streamlining the multiple existing information collections into
parts that build upon one another according to the risk and sensitivity
of the position will allow for greater efficiency in vetting processes
and reduce the burden on individuals who move to positions of greater
risk or sensitivity. The PVQ will introduce the ability to collect the
additional part(s) needed for the position rather than requiring the
individual to start from scratch with a different investigative
questionnaire. This practice will align with the streamlined personnel
vetting investigative requirements for transfer of trust and upgrades
as issued by OPM and ODNI under the Trusted Workforce 2.0
transformation of personnel vetting. In addition to enhancing the
experience of individuals undergoing personnel vetting and providing
efficiencies for federal agencies' personnel vetting processes, the PVQ
will consolidate the renewal cycle and process for the personnel
vetting information collections, thereby reducing the level of effort
and resources required for managing multiple renewal cycles.
In comparison to the content of the current investigative
questionnaires, the content of each part of the PVQ uses more plain
language to collect information from the respondents and provides
additional explanations to the respondents regarding the reasons for
the questions. To the extent practicable, the framing of more complex
questions has been simplified and avoids ``double- barreled''
questions. While some questions in Part A have been expanded to cover a
greater scope of time, the overall effect of streamlining the
collection into parts that build upon each other in support of the
Trusted Workforce investigative standards is a general reduction in the
scope of time covered by the questions.
Other differences between the PVQ and the current investigative
questionnaires are provided as follows:
Sex and Gender. Unlike the current investigative questionnaires,
the PVQ does not require the respondent to indicate ``Male'' or
``Female.'' Data collection on sex has traditionally been used to
assist in identity matching for a small number of data checks in the
investigative process. However, over time, the utility of this
information for data matching has been reduced by changes at the state
and municipality level. At present, approximately 45 states allow an
individual to amend their birth certificate to match their gender. A
subset of 15 states allows an individual to choose a non-binary option.
The process to change these records varies from self-certification to
requiring court orders, depending on the jurisdiction. Similarly,
states and municipalities vary on how they code certain records checked
in investigations. Given the variables in data fields used by various
records providers and the possibility that an individual's self-
identified sex may differ than what was previously provided (such as at
the time of a past arrest), the effectiveness of using an individual's
self-identified sex as a tool for identity verification/validation has
decreased. While additional fields could be added to the questionnaire,
workarounds would be required to accomplish data matching due to the
way vital records and criminal history repositories maintain the
information and because an individual's self- identification may change
over time. Ultimately, OPM and ODNI concluded that asking the
respondent to indicate ``Male'' or ``Female'' no longer has utility in
the investigative process to justify the burden of requiring it from
respondents.
The PVQ uses gender inclusive terminology, such as parent and
sibling, rather than terms that are not gender inclusive, such as
mother, father, sister, brother. OPM and ODNI considered whether
changes to use gender inclusive terminology would have any adverse
consequences for effective background investigation and adjudication
processing. OPM and ODNI concluded that changing terminology on the
forms to be gender inclusive would not adversely affect personnel
vetting processes.
The PVQ retains the requirement to provide ``Other Names Used'' as
OPM and ODNI considered the necessity of this collection and determined
that this collection is necessary for properly conducting background
investigations of individuals. Recognizing that this collection is
particularly sensitive for transgender and gender non-conforming and
non-binary employees and applicants, the PVQ includes new instruction
language designed to help mitigate privacy concerns by clarifying how
the collected information will be used during the personnel vetting
process.
These aspects of the PVQ are consistent with Administration
priorities. On June 15, 2021, President Biden issued Executive Order
(E.O.) 14035, on Diversity, Equity, Inclusion, and Accessibility in the
Federal Workforce, which established DEIA as priorities for the
Administration and established additional procedures to advance these
priorities across the Federal workforce. E.O. 14035 reaffirmed support
for, and built upon, the procedures established by E.O.s 13583, 13988,
and 14020, the Presidential Memorandum on Promoting Diversity and
Inclusion in the National Security Workforce, and the National Security
Memorandum on Revitalizing America's Foreign Policy and National
Security Workforce, Institutions, and Partnerships (NSM-3).
E.O. 14035 directed that the Director of National Intelligence, in
consultation with the Director of OPM and the heads of agencies, ``take
steps to mitigate any barriers in security clearance and background
investigation processes for LGBTQ+ employees and applicants, in
particular transgender and gender non-conforming and non-binary
employees and applicants.'' Taken together with the NSM-3 direction to
assess additional reforms to eliminate bias within personnel vetting
processes, OPM and ODNI have embarked upon initiatives to improve
federal personnel vetting processes in support of DEIA in the federal
workforce.
[[Page 71703]]
Selective Service. Questions regarding Selective Service
registration are no longer included as employing agencies collect
necessary information regarding Selective Service registration earlier
in the process using the Declaration for Federal Employment (OF 306).
Confirmation of registration is available to agencies as a service
during the hiring and staffing process and is no longer automatically
included as part of the personnel vetting background investigation.
Handling Protected Information. The PVQ includes questions not
included in the existing investigative questionnaires that inquire as
to whether the respondent has deliberately violated rules or
regulations for safeguarding protected information. In addition,
questions regarding use of information technology systems that were
previously asked of public trust positions and national security
positions are now presented to all respondents in Part A. These
questions are appropriate for all respondents as they are relevant to
inform decisions regarding eligibility to be issued a federal personal
identity credential permitting access to federal facilities and
information systems. OPM's July 31, 2008, Final Credentialing Standards
for Issuing Personal Identity Verification Cards under HSPD-12, require
consideration of whether ``There is reasonable basis to believe the
individual will attempt to gain unauthorized access to classified
documents, information protected by the Privacy Act, information that
is proprietary in nature, or other sensitive or protected
information,'' and whether ``There is a reasonable basis to believe the
individual will use Federally-controlled information systems
unlawfully, make unauthorized modifications to such systems, corrupt or
destroy such systems, or engage in inappropriate uses of such
systems.'' Responses to these questions may also inform suitability
determinations pursuant to OPM's regulation at 5 CFR part 731.202 and
national security determinations pursuant to Security Executive Agent
Directive 4, Guideline K: Handling Protected Information and Guideline
M: Use of Information Technology, issued June 8, 2017.
Illegal Use of Drugs and Drug Activity. Questions regarding illegal
drug use on the PVQ are divided into separate areas to distinguish
between use of marijuana or cannabis derivatives containing THC and use
of other illegal drugs or controlled substances, in recognition of
changing societal norms. In addition, the PVQ has a more limited scope
of questioning regarding past use of marijuana in comparison to other
illegal drugs. Currently, use of marijuana by federal employees is
prohibited, while past use of marijuana by applicants is evaluated on a
case-by-case basis when agencies make trust determinations. Given the
legal landscape at the state level regarding use of marijuana,
distinguishing between past marijuana use and use of other illegal
drugs on the PVQ may improve the pool of applicants for federal
employee and federal contractor positions.
Association Record. OPM and ODNI conducted a careful review of the
questions regarding association record on the existing investigative
questionnaires. The PVQ contains some new questions as well as some
updated questions that have been modified to reduce complexity and
further compel candid responses. As with all aspects of PVQ, the
information collection serves to inform investigations that are the
basis for personnel vetting determinations, consistent with OPM's
guidance for credentialing, suitability, and fitness determinations and
ODNI's guidance for national security positions, as applicable.
The Association Record aspects of the PVQ are also consistent with
Administration priorities. On his first full day in office, President
Biden directed his national security team to lead a 100-day
comprehensive review of U.S. Government efforts to address domestic
terrorism. As part of that review, interagency experts identified the
possibility that domestic terrorists could attempt to exploit or abuse
authoritative positions or sensitive access and recommended potential
modifications for consideration as part of the periodic update of the
SF 85, 85P and 86.
As noted in the Administration's June 2021 National Strategy for
Countering Domestic Terrorism, ``Pre-employment background checks and
re-investigations for government employees are a critical screening
process that must account for all possible terrorist threats.''
Strategic Goal 3.3 of the Strategy, ``Ensure that screening and vetting
processes consider the full range of terrorism threats'' recommended
augmenting personnel vetting screening processes by considering changes
to the investigative questionnaires, as recommended by the interagency
experts. The objectives of the changes are to ensure new applicants and
employees undergoing vetting abide by legal obligations, including in
providing candid and forthright representations and to prevent
individuals who pose domestic terrorism threats from being placed in
positions of trust.
Psychological and Emotional Health. Questions regarding
psychological and emotional health are presented only in Parts C and D
of the PVQ, consistent with the existing questioning in this area that
is limited to the Questionnaire for National Security Positions (SF 86)
and the Supplemental Questionnaire for Selected Positions (SF 85P-S).
The language in the current SF 86 has been in place since 2016 and
was the outcome of a protracted effort to shift the focus away from
questions about seeking mental health treatment while allowing for the
collection of information regarding potentially serious or uncontrolled
conditions that could substantially affect judgment or reliability.
While the intent this area of questioning has always been to surface
any concerns regarding the individual's judgment or reliability, the
approach has shifted from asking about all mental health treatment or
counseling to a more tailored set of questions regarding
hospitalization and specific diagnoses. The PVQ seeks to further reduce
perceived stigma associated with seeking mental health treatment or
counseling by further limiting the scope of questioning.
ODNI, as the Security Executive Agent, convened a working group
through the ODNI National Security Psychology Leadership Council
(NSPLC) consisting of clinical and research psychologists with subject
matter expertise in personnel security, to examine the utility of the
psychological and emotional health questions on the SF 86. The NSPLC
provided recommendations to improve the efficacy of the questions while
targeting issues of concern for national security, addressing perceived
stigma, and protecting privacy.
The resulting questioning in the PVQ focuses on serious mental
health illnesses that have very low base rates in the general
population. Respondents receiving treatment or counseling for the most
common mental health issues, such as depression and anxiety, as well as
those seeking treatment or counseling after experiencing trauma or
other stressful events, are unlikely to answer affirmatively to any of
the items in the PVQ. By focusing on the most serious mental health
illness, the PVQ will assist in enabling security professionals to
screen for significant psychological and emotional health concerns with
the intent to decrease the risk from insiders with significant mental
illness, including risk of violence at federal installations.
Analysis: The following analysis of the burden associated with this
information collection is specific to
[[Page 71704]]
OPM as the agency sponsoring the common form. Other agencies will be
required to seek expedited approval to use the common form by
submitting their agency-specific burden analyses to OMB.
Agency: Office of Personnel Management.
Title: Personnel Vetting Questionnaire.
OMB Number: 3206-XXXX.
Frequency: On occasion.
Affected Public: Individuals or Households.
Number of Respondents: 319.
Estimated Time per Respondent: 140 minutes.
Total Burden Hours: 780 hours.
Office of Personnel Management.
Kellie Cosgrove Riley,
Director, Office of Privacy and Information Management.
[FR Doc. 2022-25566 Filed 11-21-22; 8:45 am]
BILLING CODE 6325-66-P
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