PROCEDURAL INSTRUCTIONS

NATIONAL AGENCY CHECK AND WRITTEN INQUIRIES FOR SENSITIVE-NONCRITICAL POSITIONS

L INITIATING NATIONAL AGENCY CHECK AND WRITTEN INQUIRIES ON APPLICANTS FOR SENSITIVENONCRITICAL POSITIONS.

1. Prepare in triplicate Standard Form 85 (Security Investigations Data for Nonsensitive Positions) adding across the top of S. F. 85 the following statement: "REQUEST FOR AN NACI FOR A SENSITIVE-NONCRITICAL POSITION WITH AN ADVANCE REPORT OF THE NAC." The Civil Service Commission requests the following additional information be shown on Standard Form 85: after "Tide of Position" (Item 12) enter the grade or salary of the prospective employee; and, on all prospective appointments to the competitive service, insure that the Civil Service regulation number is entered in the box "Civil Service or other legal authority" (Item 15) (for example, for appointments made pending establishment of a register, show "CSR 2.302(a)"). The Standard Form 85 must clearly identify the name and address of the activity and the full first and middle names of the prospective employee. In cases where the individual has no middle name, the designation (NMN) should be shown on the form. In rare instances where individuals have initials only for their first and middle names, the form should show (no given or middle name).

2. Prepare Standard Form 87 (Fingerprint Chart).

3. Submit to the appropriate Civil Service Commission office as indicated in subparagraph 3d below, ✯ the following:

a. First two carbons of Standard Form 85. (Applicant is to sign original and first carbon. Original copy is to be retained by activity).

b. Standard Form 87.

e. Original of Standard Form 57 (or Standard Form 60).

d. Effective 5 March 1962 (5 February 1962 with respect to the 5th CSC Region), the appropriate regional Offices of the Civil Service Commission for the purpose of submitting requests for national agency checks and written inquiries (NACI) will be as follows:

New York for CSC Regions 1, 2, and 3 and the metropolitan area of Washington, D. C.

Chicago for CSC Regions 5, 7, 8, and 9

San Francisco for CSC Regions 10, 11, and 12

Naval activities in the Washington, D. C. metropolitan area will submit NACI requests to:

Director

Second U. S. Civil Service Region News Building

220 East 42nd Street

New York 17, N. Y.

Each field activity outside the Washington, D. C. metropolitan area will be advised of the correct address for the submission of NACI requests by the CSC Regional Office having immediate jurisdiction over the area in which the activity is located. ✯

IL PROCESSING RESULTS OF NATIONAL AGENCY CHECK AND WRITTEN INQUIRIES ON APPLICANTS FOR SENSITIVE-NONCRITICAL POSITIONS WHEN RETURNED BY CIVIL SERVICE COMMISSION.

1.

The Civil Service Commission Central Office Bureau of Personnel Investigations will conduct a priority national agency check and report the results to the submitting activity on DI Form 372A, Advance Report of National Agency Check for Noncritical-Sensitive Position, to which a reply is required in some cases (see paragraph 4 below). The appropriate office of the Commission will inidate written inquiries on the case at the time the central office of the Commission initiates its priority national agency check. This action is prompted by receipt of the material specified in Item I above. The naval activity is no longer required to make a request for written inquiries in addition to the request for national agency check.

2. The Civil Service Commission will complete its priority national agency check before the written inquiries are completed. The Commission will fumish the results of the priority national agency check to the naval activity in advance of furnishing the results of the written inquiries. If the results of the national agency check are satisfactory to the appointing officer, and the security officer concurs in the decision of the appointing officer, the appointing officer may appoint the applicant to the position. The appointing officer and the security officer are cautioned, however, that the results of the national agency check represent but half of the required investigation. The results of the written inquiries represent the other half of the required investigation. Therefore, when the results of the written inquiries are received, the appointing officer and the security officer must review them also and determine if the appointee is to be retained in employment.

3. It is necessary in every instance that the security officer concur in the decision of the appointing officer, If agreement cannot be reached, the matter should be referred to the head of the activity for decision.

4. The following may occur during the process of conducting national agency checks and written inquiries.

The completion and submission of the required forms cited are the responsibility of the appointing officer. The information to be entered on the forms should stem from the joint decision of the appointing officer and the security officer, wherever appropriate.

a. Advance report of clearly favorable NAC. If the results of the NAC are clearly favorable (Item 1 on DI Form 372A), no reply to DI Form 372A is required. If the Civil Service Commission finds that the written inquiries disclose derogatory suitability information warranting conversion to limited security investigation (NCPI 732. 7-21) in a competitive case, the Commission will send CSC Form 337A, Notice that Further Inquiry is necessary in a case involving a Noncritical-Sensitive Position, to the naval activity and suspend further action in the case until the naval activity replies to the form. The appointing officer must reply to the form within 5 days of receipt.

b. Advance report of derogatory suitability information disclosed in NAC.

If the NAC discloses derogatory or questionable suitability information (Item 2 of DI Form 372A), the Commission will furnish a summary of this information to the naval activity with the advance report on DI Form 372A and suspend further action pending receipt of reply to the Form. The appointing officer and the security officer shall review the summary and determine whether or not the applicant will be appointed. The appointing officer shall appropriately complete the reverse side of the DI Form 372A and submit it immediately to the appropriate office of the Commission in accordance with instructions printed on the Form.

If there is a very lengthy file in the Commission, no summary of this file will be furnished but a notice (DI Form 453, RECORD INFORMATION IN UNITED STATES CIVIL SERVICE COMMISSION INVESTIGATIVE FILES) will be attached to the advanced report (together with any information disclosed in other checks) that the file will be available for review at the Commission's central office. The naval activity shall proceed in accordance with NCPI 732.2-9b(1) and request the appropriate office of Naval Intelligence to inspect the files of the Bureau of Personnel Investigations, U. S. Civil Service Commission, Washington 25, D. C., with regard to the material referred to in the Form DI 453, and furnish the naval activity with a summary of the findings. The appointing officer and the security officer shall review the summary and their decision on the matter shall be reported by the appointing officer by completing the Form DI 372A and submitting it in accordance with printed instructions thereon.

c. Advance report of referral to FBI as result of NAC.

If the NAC discloses information warranting investigation by FBI under Section 8(d) of Executive Order 10450, the Commission will check Item 3 on the Form DI 372A sent

to the naval activity. No further information will be furnished the naval activity at that time. The appointing officer must reply to the appropriate Commission office within 5 days by appropriately completing the Form DI 372A and submitting it in accordance with printed instructions on the Form.

d. Report of referral to FBI as result of written inquiries.

If the Commission determines from results of the written inquiries that the case should be referred to the FBI for investigation under Section 8(d) of Executive Order 10450 the Commission will submit CSC Form 337A to the naval activity. The appointing officer must reply to the Form within 5 days of receipt.

.. Unclassifiable fingerprints.

Provision has been made on DI Form 372A for returning unclassifiable fingerprints (with CSC Form 289, Request for Refingerprinting with Instructions, attached) to the naval activity. Instructions on this form provide for resubmission of the new fingerprint chart to the appropriate office of the Commission, unless the case has been discontinued. If the case has been discontinued, the appointing officer shall so notify the appropriate office of the Commission.

5. Naval activities shall complete records on subject cases as follows.

a. Clearly favorable cases.

When the information in both the results of the NAC and the replies to written inquiries is clearly favorable, the appropriate office of the Commission will close out these cases to the naval activity by mailing the complete results with CSC Form 355, Results of National Agency Checks and Written Inquiries under E. O, 10450 for Noncritical-Sensitive Position. The Commission will stamp the application form in each such case "Processed under Section 3(a), E. O. 10450." No reply by the naval activity to the advance Form DI 372A is required in these cases. If the appointing officer, with the concurrence of the security officer, determines, after review of the results of national agency check and written inquiries, that the employment, or retention in employment, of the person is clearly consistent with the interests of the national security, the appointing officer shall note the application form "Processed under E. O. 10450" and initial and date the notation. The application form shall be filed in the employee's Official Personnel Folder; the results of national agency check and written inquiries. including the copy of the Standard Form 85 returned by the Commission, shall be filed in the security office of the naval activity, there to be retained so long as the subject remains on the rolls of the activity.'

b. Cases with clearly favorable NAC but with minor derogatory suitability information in replies to written inquiries.

These are cases in which the results of the NAC are

clearly favorable but the replies to the written inquiries contain derogatory information that does not warrant conversion to a limited security case for further investigation. The appropriate office of the Commission will close out these cases to the naval activity by mailing the complete results with CSC Form 355. The Commission will stamp the application form in each such case "Results of Investigation Under Section 3(a) E. O. 10450 Furnished Requesting Agency." No reply by the activity to the advance report Form DI 372A is required in these cases. If the appointing officer and the security officer agree that the person is to be appointed or retained, the application form will be noted, initialed, dated, and filed in the same manner as in "a" above. If the appointing officer, with the concurrence of the security officer, determines after review of the national agency check and written inquiries that the continued employment of the appointee is not clearly consistent with the interests of national security the appointing officer shall proceed in accordance with NCPI 732, 6 or NCPI 732, 4, as appropriate. The application form shall be filed in the Official Personnel Folder without notation. The action taken in the case will be reflected in the Official Personnel Folder by copy of the Personnel Action Form, Standard Form 50, issued as a result of the action taken pursuant to NCPI 732.6 or NCPI 732.4.

c. Cases in which any derogatory suitability information was disclosed in the NAC, or seriously derogatory suitability information was disclosed in the replies to written inquiries.

When any derogatory information is reported to the naval activity with the advance report of the NAC, the appointing officer of the naval activity is required to reply to the DI Form 372A. The Commission will take no further action in the case until the reply is received. If the NAC results were clearly favorable, but seriously derogatory information warranting conversion to a limited security case for further investigation is received by the Commission in the replies to written inquiries, the Commission so informs the naval activity by CSC Form 337A, to which the appointing officer must reply. The Commission will take no further action in the case until the reply is received.

(1) Reply that the person is dropped from consideration.

If the appointing officer of the naval activity replies to the appropriate office of the Commission that the person is no longer being considered for appointment (Reply Item 1 of the Form), the Commission will close the NACI case as discontinued. The Commission will use CSC Form 473, RETURN OF APPLICATIONS AFTER NACI INVESTIGATIONS IN CASES OF PERSONS DROPPED FROM CONSIDERATION OR SEPARATED, to return the application unstamped to the naval activity. The Commission will attach to the application the unstamped copy of Standard Form 85 and the results of any pre

appointment investigation furnished by the activity. The appointing officer of the naval activity shall not stamp the application form. The appointing officer shall dispose of the application form in accordance with instructions given on the CSC Form 473.

In some such cases requiring special processing by the Commission, the Commission will retain the application form as a part of the files of that agency. The Commission will send CSC Form 474 (with unstamped copy of S. F. 85 and the results of any preappointment investigation furnished by the naval activity) to the naval activity for each case of this type. Provision is made at the bottom of CSC Form 474 for a reply from the appointing officer of the naval activity if the application in the case was received with a certificate of eligibles. The appointing officer shall furnish to the appropriate office of the Commission the name of the certifying office and the certificate number. The appointing officer shall return with his reply the Standard Form 85.

(2) Reply that the person was separated.

If the appointing officer replies to the appropriate office of the Commission that the person was separated (Reply Item 2) the Commission will close out the case as discontinued. The Commission will retum the application to the activity by CSC Form 473 and attach thereto the unstamped copy of the S. F. 85 together with the results of any preappointment investigation furnished by the naval activity. The appointing officer of the naval activity shall not stamp the application form. The appointing officer shall dispose of the application form in accordance with instructions given on the CSC Form 473.

In some such cases requiring special processing by the Commission, the Commission will retain the application form as a part of the files of that agency. The Commission will send CSC Form 475, NOTICE OF DISCONTINUANCE OF NACI INVESTIGATION AND RETENTION OF APPLICATION REGARDING AN EMPLOYEE (with the unstamped copy of S. F. 85 and the results of any preappointment investigation conducted by the naval activity, attached) to the naval activity for each such case. The appointing officer shall verify that the person has actually been separated. If the person has not been separated, the appointing officer shall notify the Commission as soon as possible of that fact so that investigation will be resumed. If the person has actually been separated, the appointing officer shall file the CSC Form 475 in the person's Official Personnel Folder in lieu of the application.

(3) Reply that the person is still being considered or was appointed.

If the appointing officer of the naval activity replies to the appropriate office of the Commission that the person is still being considered for appointment (Reply Item 3) or was appointed (Reply Item 4), further action by the Commission will depend on whether the position

is in the excepted or competitive service, and whether or not the information disclosed appean to be disqualifying under the Commission's suitability standards.

(a) If the information in the file does not appear to be disqualifying under the Commission's suitability standards, the appropriate office of the Commission will fumish to the naval activity the complete results of the NACI with CSC Form 355 in cases involving both competitive and excepted positions. The Commission will stamp the application "Results of Investigation Under Section 3(a), E. O. 10450, Furnished Requesting Agency."

(b) The appointing officer and the security officer of the naval activity shall review the results of the investigation. If they determine that the employment, or retention in employment, of the person is clearly consistent with the interests of the national security, the appointing officer shall note the application form "Processed under E. O. 10450" and initial and date the notation. The application form shall be filed in the employee's Official Personnel Folder; the investigative material, including the copy of the Standard Form 85 returned by the Commission, shall be filed in the security office of the naval activity, there to be retained so long as the subject remains on the rolls of the activity. If the appointing officer and the security officer find adversely to the person, the appointing officer shall proceed in accordance with NCPI 732,6 or NCPI 732,4, as appropriate. The application form shall be filed in the Official Personnel Folder without notation. The action taken in the case will be reflected in the Official Personnel Folder by copy of the Personnel Action Form, Standard Form 50, issued as a result of the action taken pursuant to NCPI 732,6 or NCPI 732.4.

(c) If the information in the file is seriously derog-. atory but an excepted position is involved, the Commission will furnish the complete results to the naval activity on CSC Form 355 transmitted by CSC Form 354, RESULTS OF NATIONAL AGENCY CHECKS AND WRITTEN INQUIRIES IN A CASE INVOLVING AN EXCEPTED POSITION IN AGENCY WITH INVESTIGATIVE FACILITIES. The Commission will stamp the application "Results of Investigation Under Section 3(a), E. O. 10450, Furnished Requesting Agency." The appointing officer and security officer shall proceed in accordance with paragraph (b) above. If these officials cannot make a determination on the basis of the material provided by the Commission, the head of the activity shall request the appropriate office of Naval Intelligence to conduct whatever additional investigation is required to make a determination. The appointing officer and the security officer shall proceed in accordance with paragraph (b) above, after reviewing the results of the additional investigation.

(d) If the information in the file appears to the Commission to be disqualifying in a case involving a compedtive position, the Commission will convert the case to a limited security case. The Commission will conduct

further investigation in the case, if necessary. If the Commission's ultimate rating decision is favorable in an applicant case, the appropriate office of the Commission will furnish the complete results to the naval activity with CSC Form 355. The Commission will note the application "accept application" to indicate favorable Commission rating and, in addition, the regular closing action notation "Results of Investigation Under Section 3(a), E. O. 10450, Furnished Requesting Agency." The appointing officer and the security officer shall proceed in accordance with paragraph (b) above. On the other hand, if the Commission's rating action is adverse in an applicant case, the Commission will notify the individual of the ineligible rating. The Commission will note the application "Ineligible" and retain it as part of the investigative file of the Commission. The Commission will send a letter to the naval activity explaining that the Commission has rated the applicant ineligible and retained the application. The appointing officer of the naval activity shall notify the certifying office of the Commission of this action if the application was received with a certificate of eligibles.

IIL INITIATING NATIONAL AGENCY CHECK AND WRITTEN INQUIRIES ON APPOINTEES TO SENSITIVENONCRITICAL POSITIONS,

1. In some cases, an emergency appointment is made to sensitive-noncritical position without prior investigation (NCPI 732.7-5) and naval activities request the appropriate regional offices of the Commission (or Central Office Bureau of Personnel Investigations, Civil Service Cordsadon, Washington 25, D. C., for the Washington, D.C. metropolitan area) for a postappointment National Agency Check and Written Inquiries. The appointing officer shall initiate such investigation in exactly the same manner as set forth in Section I above except that the statement given there to be added across the top of S. F. 85 will not be used. In its stead, the following statement shall be added across the top of the S. F. 85: "REQUEST FOR A POSTAPPOINTMENT NACI FOR A SENSITIVENONCRITICAL POSITION."

2. Under emergency conditions, a request for an advance report of the national agency check may be made to the appropriate regional offices of the Civil Service Cordasion (or Central Office Bureau of Personnel Investigations, Civil Service Commission, Washington 25, D.C., for the Washington, D. C. metropolitan area); however, such requests will be kept to an absolute minimum consistent with the interests of the national defense. In making such request, the following statement shall be added across the top of the S. F. 85: "REQUEST FOR A POSTAPPOINTMENT NACI FOR A SENSITIVE-NONCRITICAL POSITION, WITH AN ADVANCE REPORT OF THE NAC."

IV. PROCESSING RESULTS OF NATIONAL AGENCY CHECK AND WRITTEN INQUIRIES ON APPOINTEES TO SENSITIVE-NONCRITICAL POSITIONS WHEN RETURNED BY CIVIL SERVICE COMMISSION,

1. No advance report of the national agency check will be made by the Commission in these cases. The advance report will be made only where the appointment is being held up pending receipt of the report of the NAC. If an appointment is shown in the case papers, none of the special instructions in Section II above for applicant cases involving sensitive-noncritical positions will apply.

2. The appropriate office of the Commission will furnish the naval activity the complete results of the NACI with CSC Form 355. The complete results will be furnished even in clearly favorable cases rather than only the stamped application (with copy of S. F. 85 attached).

3. The appointing officer and the security officer of the naval activity shall review the results of the national agency check and written inquiries. If they determine that the retention in employment of the appointee is clearly consistent with the interests of the national security, the appointing officer shall note the application form "Processed under E. O. 10450" and initial and date the notation. The application form shall be filed in the employee's Official Personnel Folder; the investigative material, including the copy of the Standard Forms 85 returned by the Commission, shall be maintained under the custody of the security officer of the naval activity there to be retained so long as the employee remains on the rolls of the activity. If the appointing officer and the security officer find adversely to the employee, the appointing officer shall proceed in accordance with NCPI 732.6 or NCPI 732.4, as appropriate. The application form shall be filed in the Official Personnel Folder without notation by the appointing officer. The action taken in the case will be reflected in the Official Personnel Folder by copy of the Personnel Action Form, Standard Form 50, issued as a result of the action taken pursuant to NCPI 732.6 or NCPI 732.4.

4. When the complete results are furnished by the Commission in clearly favorable cases, the application

will be stamped "Processed Under Section 3(a), E. O. 10450." This is a Commission notation and is not to be considered synonymous with that referred to in paragraph 3 above. The requirements of paragraph 3 pertain whether the results of the national agency check and written inquiries are clearly favorable or not.

5. If the naval activity notifies the appropriate office of the Commission before completion of the investigation that the employee has been separated, the Commission will discontinue the case and return to the naval activity the application, the unstamped copy of Standard Form 85 and the results of any preappointment investigation furnished by the naval activity. The Commission will transmit this material by CSC Form 473 unless the Commission anticipates further action in the case for its own purposes. The Commission will stamp the application form appropriately to reflect the stage of investigation at the time it was discontinued. The appointing officer shall make no notation on the application form, but shall file the application form in the Official Personnel Folder. If the Commission anticipates further action in a case for its own purposes, the Commission will retain the application form and use CSC Form 475 to transmit to the naval activity the unstamped copy of Standard Form 85 and the results of any preappointment investigation furnished by the naval activity. The appointing officer of the naval activity shall place the CSC Form 475 in the Official Personnel Folder in lieu of the application form.

V. REPORTING ACTION TAKEN AFTER REVIEW OF RESULTS OF NATIONAL AGENCY CHECK AND WRITTEN INQUIRIES.

Same procedure as Section III, NCPI 732.8-Encl. 11.

VI. DISPOSING OF RESULTS OF NATIONAL AGENCY CHECKS AND WRITTEN INQUIRIES WHEN SUBJECTS THERE OF ARE SEPARATED FROM THE ROLLS,

Same procedure as Section IV, NCPI 732.8-Encl. 11.

'See Footnote 2, NCPI 732.8-Encl. 11.

See Footnote 4, NCPI 732.8-Encl. 11.