tion discloses derogatory suitability information warranting conversion to limited personal investigation as described in Chapter 1-2, Federal Personnel Manual, the Commission will send to the installation CSC Form 337A. This form requires an immediate reply as the Commission will suspend further action in the case, pending its receipt. If the information does not appear to be disqualifying under the Commission's suitability standards, or if, after further investigation, an applicant for a competitive position is given a favorable rating, the complete results of the National Agency Check and Written Inquiries are forwarded with CSC Form 355 to the employing installation. In such case the SF 57 is stamped "Results of investigation under Section 3(a), E. O. 10450 furnished requesting agency." No reply to the advance report DI Form 372A is required. If an adverse rating action is taken in an applicant case, the Commission notifies the installation.

(c) Although the Commission does not

conduct the limited personal investigation as described in Chapter 1-2, Federal Personnel Manual, for individuals being appointed to Excepted positions, the information developed in the inquiries is furnished to the Air Force. If the commander determines that further investigative action is required to resolve questions raised by the investigative report, he may request the District OSI to conduct the necessary investigation.

c. Nonsensitive Positions:

(1) Request for National Agency Checks and Written Inquiries. A request for a National Agency Check and Written Inquiries will be initiated within three days after the employee has entered on duty. SF 87 and an original and two copies of SF 85 will be prepared. The applicant will sign the original and first carbon copy of the SF 85. The original SF 85 will be retained in the civilian personnel office, and the two carbon copics, together with the SF 87 and the original SF 57 (or SF 60), will be submitted to the appropriate office

AFR 40-23 11

of the Civil Service Commission having jurisdiction over the area in which the appointing office is located. Any investigative information about the person received by the civilian personnel office on voucher forms, or otherwise, will be forwarded with these forms. When DD Form 556, "Employment Inquiry," is used, as provided in Section 8, Chapter AF X-1, AFM 40-1, these forms will also be included. If replies to the inquiries have not been received prior to submitting request for National Agency Checks and Written Inquiries to the Commission the Commission will be advised of the names of references and organizations from whom replies have not been received. However, any replies that are subsequently received will be forwarded to the Commission only when they contain seriously derogatory information indicating that the individual may be disqualified under Civil Service Regulation 2.106. (2) Report of National Agency Checks and Written Inquiries:

(a) Except as indicated in (b) below, the Civil Service Commission will transmit to the employing installation the results of the investigation on CSC Form 352, "Results of National Agency Checks and Written Inquiries under Executive Order 10450," replies to Written Inquiries, SF 57, SF 85, and any other investigative information developed during the investigation. Any investigative material furnished by the Air Force with the request for investigation is also returned. Returned DD Forms 556 will be filed in the official personnel folder. Where the results of the National Agency Check and Written Inquiries are favorable, the Civil Service Commission will return the SF 57 marked "Processed under Section 3(a), E. O. 10450."

(b) If the results of the National Agency Checks and Written Inquiries disclose derogatory security information, the Civil Service Commission will forward CSC Form 337, "Notice That Further Inquiry Is Necessary," to the employing installation. This form requires an immediate reply as the Commission will suspend further action in the case, pending its receipt.

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AFR 40-23 11-12

12. United States Citizens Applying in the 48 Adjoining States or the District of Columbia for Overseas Employment and U.S. Citizens in Hawaii Applying for Employment Elsewhere Overseas. The civilian personnel office of the installation processing the candidate will take the actions indicated below in accomplishing the required investigation:

a. Critical-Sensitive Positions:

(1) Preappointment National Agency
Checks. Requests for preappointment
National Agency Checks will be pre-
pared and submitted in the same
manner as described in paragraph 11.
(2) Written Inquiries:

(a) Preappointment Written Inquiries
will be conducted as provided by
Chapter AF 01, AFM 40-1.
(b) If the person is to be selected for
ployment, replies to the Written
Inquiries will be submitted with the
request for Background Investi-
gation.

(3) Background Investigations.

Upon

receipt of the report of a National Agency Check with satisfactory results, a Background Investigation will be requested in accordance with AFR 205-6. The request for the Background Investigation will be submitted on the same day or before the employee enters on duty. The following will be entered in Item 20 of DD Form 398 and in the "Remarks" section of AF Form 1145 submitted with DD Form 398: "Report of National Agency Check with satisfactory results received from the Civil Service Commission on DI Form 372 dated

The DI 372 (has

been) (will be) forwarded to the oversea commander." The organi

zation and the APO address of the employing installation will be indicated on DD Form 398 so that the completed investigation can be forwarded to the oversea installation upon completion of investigation. b. Noncritical-Sensitive Positions: (1) Preappointment National Agency Checks. Requests for preappointment National Agency Checks will be submitted in the same manner as described in paragraph 11a, except that the notation, "Overseas Noncritical-Sensitive Position" will be placed immediately below the heading of the SF 86.

(2) Written Inquiries. Preappointment Written Inquiries will be conducted as provided by Chapter AF 01, AFM 40-1.

(a) Competitive Service. Upon receipt

of DI Forms 372 from the Civil Service Commission, the following notation will be entered on the reverse side of the copy of the form under remarks: "Appointed to s competitive position on (date). Written Inquiries conducted by the Air Force and the original application from which the appointment was made are attached. After evaluation, forward Written Inquiries and SF 57 to (address of the oversea employing installation, ATTN: Civilian Personnel Officer.)" Replies to the Written Inquiries and the SF 57 on which the appointment was made will be attached to the duplicate copy of the DI 372 and returned to the Commission. The Commission will forward the results of the Written Inquiries to the employing oversea installation

after evaluation. The original DI Form 372 will be forwarded by letter to the civilian personnel officer at the oversea installation as provided by e below.

(b) Excepted Service. Written Inquiries will be evaluated by the civilian personnel officer of the processing installation. The original copies of the replies to the Written Inquiries will be made a part of the investigative file. Upon receipt of DI 372 from the Civil Service Commission, the following statement will be entered under "Remarks": "Appointed to an excepted position on (date). Air Force conducted inquiries." The duplicate copy so noted will be returned to the Commission. The original will be forwarded by letter to the civilian personnel officer at the oversea installation as provided by e below.

c. Nonsensitive Positions. The procedures for conducting investigations for nonsensitive positions are the same as those prescribed for noncritical-sensitive positions by above, except that the notation to be placed below the heading of the SF 86 will be "Overseas Nonsensitive."

d. Action When Derogatory Information is Developed Prior to Appointment. If, at any time during the preappointment portion of the investigation derogatory information falling within the criteria of AFR 40-12 is developed, one of the following actions will be taken, depending upon the seriousness and nature of the information:

(1) The processing of the individual will be discontinued and no further consideration given for oversea employment. If a Background Investigation has been requested, the Office of Special Investigations will be notified of the action taken.

(2) The processing of the individual for the specific position will be discontinued, but the investigation continued to determine whether or not the person will be considered for another oversea assignment.

(3) If the derogatory information is resolved in favor of the individual, processing will be continued.

e. Transmission of Investigative Records to the Oversea Command. Investigative reports, including results of National Agency Checks and replies to Written Inquiries, will not be included in the official personnel folder of the appointec.

These records concerning the appointee will be transmitted, by letter, from the installation which effected the appointment to the Central Civilian Personnel Office cited in Item 16 of the AF Form 1188, "Overseas Civilian Personnel Request." A copy of the transmittal letter will be placed in the official personnel folder, which is hand-carried by the appointee to the oversea duty station. The letter will also list all investigations requested as a part of the recruiting process and investigations which had been previously conducted for the appointee, stating in each instance:

(1) The date of completion of investiga-
tion or, if not yet completed, the date
the investigation was requested.
(2) The date and category of security
clearance, by whom granted, where
investigative records are filed.

(3) Number of days of break in service
since investigation completed, or if
there has been no break in service,
the statement, "No break in service
since investigation completed and
clearance granted."

or

Information in regard to (1) and (2) above may be obtained from the person responsible for granting security clearances at the governmental department or agency where the employee was last employed. The source, date, and name of the person supplying the information will be made a matter of record in the "processing file" retained by the recruiting Oversea Placement Officer, or a copy of any written confirmation will be retained. Background investigative reports will be sent to the oversea installation commander through channels of the Office of Special Investigations.

13. United States Citizens Hired Locally at Oversea Installations. The investigative procedures outlined in paragraph 11 will be applicable to United States citizens hired locally at oversea installations.

14. Non-U.S. Citizens Outside the United States. Requests for the investigation of nonU. S. citizens outside the United States will be made in accordance with procedures prescribed by the commander of the major air command or higher authority having responsibility for controlling the employment of non-U. S. citizens within the Air Force activity concerned, subject to such limitations as may be imposed by the foreign government involved.

15. Cancellation of Investigations. Each requesting activity will notify the appropriate District Office of Special Investigations or Oversea Office of Special Investigations, by letter, of any

AFR 40-23

15-20

pending Background Investigation which is no longer required. However, the investigation will not be cancelled because the person has been reassigned. The cancellation notice will include the person's name, grade, date of original request, and reason for cancellation. Investigations conducted by the Civil Service Commission will not be cancelled.

SECTION E-RECORDS

16. Investigative Files:

a. Received from the Civil Service Commission. Reports of investigation

and other investigative material received from the Civil Service Commission remain the property of the Commission. Civil Service Regulations provide that (1) these reports will not be made a part of the person's official personnel folder, and (2) they may be recalled by the Civil Service Commission at any time. The following are considered to be a part of an investigation by the Civil Service Commission and are to be included in the investigative reports file: Form Number (1) Written Inquiries (2) SF 85

(3) SF 86

(4) DI Form 372

(5) DI Form 372A

(6) CSC Form 355

(7) CSC Form 352

(8) CSC Form 337 (9) CSC Form 337A

Title Description Conducted by the Civil Service Commission. Security Investigation Data for Non-sensitive Position. (Copy returned by the Civil Service Commission.)

Security Investigation Data
for Sensitive Position. (Copy
returned by the Civil Service
Commission.)

Report of Preappointment
National Agency Checks for
Sensitive Position.

Advance Report of National
Agency Check for Noncritical-
Sensitive Position.

Results of National Agency
Checks and Written Inquiries
under E. O. 10450 for Non-
critical-Sensitive Position.
Results of National Agency
Checks and Written Inquiries
under E. O. 10450.

Notice that Further Inquiry is Necessary.

Notice that Further Inquiry is Necessary in a Case Involving a Noneritical-Sensitive Position.

(10) Any other investigative information or material furnished by the Civil Service Commission.

b. Received from Other Sources. Other Air Force and Department of Defense forms, such as AF Form 1150 (see AFR 40-11) and DD Form 398 (see AFR 205-6) cannot be filed in the official personnel folder and are not a permanent part of the Commission's investigative file. They may, however, be incorporated in the investigative file during the employee's service with the Air Force if authorized by the regulation prescribing the use of the form. Since such forms are not a permanent part of the Commission's file, they must be removed when the file is returned to the Civil Service Commission. Unless other disposition is provided in the prescribing directive, they will be destroyed when they are removed from the investigative file.

17. Maintenance of Investigative Files of Employees. Reports furnished by the Commission will be maintained by the Air Force as long as the person investigated is on the Air Force rolls. The specific organizational segment at an Air Force installation responsible for the maintenance and safeguarding of investigative files may vary among installations. Investigative files of this type will not be maintained in the civilian personnel office. However, procedures will be established to assure proper transfer of information and investigative materials.

18. Disposition of Investigative Reports on Applicants Who Were Not Appointed. Investigative reports in connection with an applicant who is not appointed will be returned, appropriately noted, to the office of the Commission that furnished the reports. In cases in which Written Inquiries are made by the Air Force and the individuals are not appointed, replies will be retained with the application papers. If the individuals were certified by the Commission, the replies will be returned with the certificate. If any replies are received after the certificate is returned to the Commission, they will be destroyed unless they contain derogatory information indicating that the individual may be disqualified under Civil Service Regulation 2.106. Those replies containing such information will be forwarded promptly to the Commission's certifying office.

19. Disposition of Investigative Files Upon Transfer or Separation of Employee:

a. If an employee is transferred to another Air Force installation, the investigative reports and material will be sent to the gaining installation by the person responsible for maintenance of the investigative files.

b. If an employee is separated for any reason or transferred to another Federal agency, the investigative file will be returned to the U. S. Civil Service Commission, Bureau of Departmental Operations, Investigations Division, Attention: Security Operating Section, Washington 25, D. C., with a transmittal letter indicating reason for the separation and the date thereof.

19.1 Personnel Action Requirements. Each per sonnel action assigning a U.S. citizen to a sensitive position in the United States will be supported by a completed Form 308, "Record of Requirements for Assignment of Civilians to Sensitive Positions." These forms will be initiated by the civilian personnel office and proeessed and filed as prescribed in AFM 40-2.

20. Release of Information. All Government personnel will comply with applicable directives pertaining to the safeguarding of classified defense information and the handling of investigative reports. No classified defense information or any information which might compromise investigative sources, investigative methods. or the identity of confidential informants will be disclosed to any officer, employee, or applicant whose case is being processed under this regulation, or to his representative, or to any other person not requiring such information in the performance of his official duties.

INVESTIGATIVE REQUIREMENTS FOR APPLICANTS FOR EMPLOYMENT IN THE UNITED STATES

May be completed after employee enters on duty if authorised commander makes written finding that emergency exists which makes action necessary in the interests of national defense.

•Request for investigation of United States citizens recruited outside the United States

and the District of Columbia except those in the Pacific overseas area, Puerto Rico, Virgin Islands, and the Canal Zone. A commander may require that all investigations be completed before an employee enters on duty.

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