PROCEDURAL INSTRUCTIONS

BACKGROUND INVESTIGATIONS CONDUCTED BY NAVAL INTELLIGENCE FOR SENSITIVECRITICAL POSITIONS

L. INITIATING A BACKGROUND INVESTIGATION FOR A SENSITIVE-CRITICAL POSITION.

1. Background investigations for sensitive-critical positions shall be made by Naval Intelligence. Activities within a naval district or river command shall submit requests for background investigations to the naval district or river command Intelligence Officer. All other activities shall submit requests to the Chief of Naval Operations (Director of Naval Intelligence).

2. Requests for such investigations shall be initiated by the activity submitting to the appropriate office of Naval Intelligence the following:

a. A properly executed Investigation Request for Personnel Security Clearance, OPNAV Form 5520-1, indicating clearly thereon that "THIS IS A REQUEST FOR A BACKGROUND INVESTIGATION FOR APPOINTMENT (OR EMERGENCY APPOINTMENT) TO A SENSITIVECRITICAL POSITION AS REQUIRED BY E. O. 10450" or "THIS IS A REQUEST FOR A BACKGROUND INVESTIGATION UNDER E. O. 10450 FOR PROMOTION, REASSIGNMENT, TRANSFER, etc. (OR EMERGENCY PROMOTION, REASSIGNMENT, TRANSFER, ETC. UNDER THE EMERGENCY PROVISIONS OF NCPI 732, 7-6a(2) TO A SENSITIVE-CRITICAL POSITION." Copies of the completed form shall be placed in the subject's Official Personnel Folder in accordance with the instruction on the face of the form. (See also OPNAVINST 5520.5A of 27 September 1957). ★

b. A properly executed Statement of Personal History, DD Form 398, in quadruplicate.

397.

c. An Agency Check Request, OPNAV Form 5510

d. Fingerprint Card, OPNAV Form 5510-2. Incomplete or improperly executed forms will not be processed and will be returned to the originator for resubmission. In this connection it is pointed out that fingerprints should be taken by qualified personnel.

3. Upon receipt of the request from the activity, the appropriate office of Naval Intelligence will submit to the Civil Service Commission Standard Form 79, Notice of Security Investigation, in duplicate, informing the Commission that a background investigation has been initiated. This will be done whether the subject of the investigation is an applicant or an employee. The Standard Form 79 will be submitted in single copy only, and clearly marked "single copy only," if either a request has been or will be made to the Commission for a national agency check, or

an experience brief has been or will be submitted to the Commission for a search of its files. Otherwise, the Standard Form 79 will be submitted in duplicate. When the background investigation is completed the appropriate office of Naval Intelligence will furnish the results to the activity for security adjudication. In those cases in which the subject of the investigation is an incumbent employee, or an appointee to a sensitive-critical position under emergency conditions as defined in NCPI 732, 7-6a(2), the appropriate office of Naval Intelligence will forward to the Chief of Industrial Relations (Code 110) Standard Form 74, Notice of Transmittal of Investigative Reports for Security Determination, in triplicate, at the time the final results of the background investigations are forwarded to employing activities for adjudication under Executive Order 10450. Similarly, the Standard Form 74 will be submitted in cases of background investigation in connectic with promotion, reassignment, transfer, etc., to sensitivecritical positions effected under the emergency provisions of NCPI 732.7-6a(2), prior to a security determination on the basis of the background investigation, Standard Form 74 will not be submitted in those cases in which the subject of the investigation forwarded to the activity is an applicant for employment, or a candidate for contemplated promotion, reassignment, transfer, etc., unless the personnel action is effected under the emergency provisions of NCPI 732. 7-6a(2).

4. Submission of Standard Forms 79 and 74 is required only in cases of background investigation under Executive Order 10450 in connection with the personnel actions described in subparagraph 3 above. Standard Forms 79 and 74 should not be submitted for background investigations conducted for clearance requirements for access to classified matter as set forth in Chapter 15, the Navy Security Manual for Classified Information or other purposes.

IL PROCESSING RESULTS OF BACKGROUND INVESTIGATIONS.

(See also NCPI 732.7-6)

1. The results of the background investigation will be fumished directly to the employing activity. The employing activity shall process the case in one of the following ways, depending upon whether the subject of investigation is an applicant or an employee.

2. If the subject of investigation is an applicant, the appointing officer and the security officer shall review the file and determine whether or not the applicant is to be employed. If the appointing officer and the security officer determine that the applicant's employment is clearly consistent with the interest of national security the appointing officer shall effect the appointment, note the application form "Processed under E. O. 10450, " initial and date the notation, and file the application form in

the subject's Official Personnel Folder. If, on the other hand, the decision of the appointing officer and the security officer is adverse to the applicant, the appointment will not be effected. The background investigation material will be disposed of in accordance with instructions provided by the appropriate office of Naval Intelligence which furnished the file.

3. If the subject of investigation is an employee, the appointing officer and the security officer shall review the file and determine whether the employee's assignment to the sensitive-critical position is clearly consistent with the interest of the national security. If the appointing officer and the security officer concur in a decision favorable to the employee, the appointing officer will enter, initial and date the following notation in the employee's Official Personnel Folder: "The background investigation of (name) who holds (or is being assigned to) a sensitive-critical position has been completed with satisfactory results." The appointing officer shall complete Standard Form 72, Report of Action after Agency Full Field Investigation, and promptly forward the form, in duplicate, to the Chief of Industrial Relations (Code 110). If, on the other hand, the decision of the appointing officer and/or the security officer is adverse to the employee, the entire case shall be referred to the commanding officer for decision. If the decision of the commanding officer is adverse to the employee, the entire case shall be processed in accordance with NCPI 732.4 or 732.6, as appropriate. The Official Personnel Folder shall be noted to reflect the outcome of the processing. The background investigation file shall be disposed of in accordance with instructions of the Naval Intelligence office which furnished the file.

4. Submission of Standard Form 72, as described in subparagraph 3 above and NCPI 732, 7-6, is required only in connection with background investigations under Executive Order 10450 and then only if the subject of the investigation is actually filling the sensitive-critical position by incumbency, or by appointment, promotion, reassignment, transfer, etc., under the emergency provisions of NCPI 732.7-6a(2), The Standard Form 72 will not be submitted when the personnel actions involving the sensitive-critical positions have not been effected by emergency action prior to a security determination on the basis of the background investigation. The Standard Form 72 will not be submitted, either, when the background investigation has been conducted for clearance for access to classified matter as required by Chapter 15, the Navy Security Manual for Classified Information or other purposes,

IIL SECURING PRE-APPOINTMENT NATIONAL AGENCY CHECK IN EMERGENCY SITUATION,

1.

In an emergency situation, request may be forwarded to the U. S. Civil Service Comission, Bureau of Personnel Investigations, Attention: Control Unit, Washington 25, D.C., for a pre-appointment National Agency Check, as follows:

a. Prepare in triplicate Standard Form 86 (Security Investigations Data for Sensitive Position), adding across the top of Standard Form 86 the following statement: "THIS IS A REQUEST FOR A PRE-APPOINTMENT NATIONAL AGENCY CHECK FOR A PERSON BEING CONSIDERED FOR APPOINTMENT TO A SENSITIVE-CRITICAL POSITION IN AN EMERGENCY SITUATION." A statement justifying the emergency situation must be appended to each such request. The Civil Service Commission requests the following additional information be shown on Standard Form 86: after "Title of Position" enter the grade or salary of the employee or the prospective employee; and on all appointments to the competitive service insure that the Civil Service regulation number is entered in the box "Civil Service or other legal authority" (for example, for appointments made pending establishment of a register, show "CSR 2.302(a)"). The Standard Form 86 must clearly identify the name and address of the activity and the full first and middle names of the employee or 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).

b. Prepare Standard Form 87 (Fingerprint Chart). c. Submit to the U. S. Civil Service Commission, Bureau of Personnel Investigations, Attention: Control Unit, Washington 25, D. C., the following:

(1) First two carbons of Standard Form 86 (Applicant is to sign original and first carbon-see Footnote 2 of NCPI 732.8-Encl. 11); original is to be retained by the activity. (2) Standard Form 87

2. The results of the national agency check will be furnished the activity on CSC Form DI 372 (two copies will be received).

a. If the appointing officer, with the concurrence of the security officer, determines that the person is to be employed:

(1) The appointing officer shall complete the Form DI 372 by filling in Section A-1 of the reverse side of the Form.

(2) Return one copy of the Forth DI 372 to the Civil Service Commission.

(3) If the head of the activity approves an exception as provided in NCPI 732.7-6a(2), an immediate request shall be made for the background investigation under the procedures provided in Section I, above, forwarding there with the remainder of the file received from

the Civil Service Commission. NOTE: The Agency Check Request, OPNAV Form 5510-397 and the Fingerprint Card, OPNAV Form 5510-2, shall not be forwarded to the Naval Intelligence office in this situation. The activity shall inform the Naval Intelligence office in the letter forwarding OPNAV Form 5520-1 and DD Form 398 to the Naval Intelligence office that OPNAV Form 5510-397 and OPNAV Form 5510-2 are not being submitted because that element of the investigation has been completed by the Civil Service Commission and that the results of that national agency check are enclosed. This will save the District Intelligence Office repeating the national agency check already conducted and supplied by the Civil Service Commission.

b. If the appointing officer, with the concurrence of the security officer, determines that the person is not to be appointed:

(1) Check the appropriate block under Section D on the reverse side of the Form DI 372.

(2) Return both copies of the Form DI 372 and attached investigative material (if any) to the Civil Service Commission.

c. If agreement cannot be reached between the appointing officer and the security officer as to whether the person is to be employed, the case will be referred to the commanding officer for decision. If decision of the commanding officer is adverse to the employee, the case will be processed in accordance with b above.

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 "Title 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).

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 initiate 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 reques 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 furnish 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 undl 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.

2

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