430 FW 3, Public Trust and National Security Investigations

FWM#:       132 (new)
Date:          March 11, 1994
Series:        Security
Part 430:    Personnel Security
Originating Office: Division of Personnel Management

3.1 Required Investigations.

A. Initial Investigations. Initial investigations must meet the requirements of the Federal Personnel Manual (FPM) Chapters 731, 732, 736, and Departmental regulations 440, 441, and 445.

B. Periodic Reinvestigations (PRI). PRIs must meet the requirements of FPM Chapters 731, 732, 736, and Departmental regulations 440, 441, and 445. Positions designated Special Sensitive (SS), Critical Sensitive (CS), and Non-Critical Sensitive (NCS) (national security) and High Risk (HR) and Moderate Risk (MR) (public trust) shall be subject to a PRI 5 years after placement, and at least once every succeeding 5 years.

C. Types of Background Investigations. The Office of Personnel Management (OPM) conducts a range of background investigations that are appropriate for each position risk level and position sensitivity level. The background investigations listed below are detailed in FPM Chapter 736.

(1) Background Investigation.

(2) Credit Search.

(3) Expanded Coverage.

(4) Extra Coverage.

(5) Limited Background Investigation.

(6) Minimum Background Investigation.

(7) Minimum Coverage.

(8) National Agency Check.

(9) National Agency Check and Inquiries.

(10) Personal Subject Interview.

(11) PRI.

(12) Periodic Reinvestigation of a Single Scope Background Investigation.

(13) Single Scope Background Investigation.

3.2 Completion and Submission of Investigation Requests.

A. Servicing personnel offices should refer to FPM 736 and OPM's Office of Federal Investigations (OFI) Pamphlet OFI-15, "Requesting OPM Federal Investigations," and OFI-15A, "Questions and Answers on Automation and the Revised SF-85 and SF-86" and FPM Supplement 296-33 when requesting investigations.

B. Service employees will accurately complete the investigation forms prior to submission to their servicing personnel office or Security Representative. The Standard Form (SF)-86 (national security) will be forwarded by the servicing personnel office or Security Representative to the Security Officer for processing. OPM forms are designed for use in an automated system for processing investigations. Errors/omissions in completing the forms will result in forms being returned and cause delays in processing the investigation.

C. Part 1 of the SF-85 and SF-85P (public trust) is to be completed by the servicing personnel office or Security Representative. Part 1 of the SF-86 will be completed by the Security Officer except for Block G, Geographic Location, and Block O, Accounting Data, that is to be completed by the servicing personnel office or Security Representative before submitting to the Security Officer.

3.3 Additional Investigation. Whenever information is developed or received by the Security Officer, Security Representative, or a servicing personnel office indicating that the retention of an individual may not be clearly consistent with the efficiency of the Federal service and/or interests of national security, this information is required to be adjudicated by the Security Officer or Security Representative or the servicing personnel office. Additional investigation will be initiated to resolve any derogatory information that cannot be adjudicated through personal interview.

3.4 When and How to Cancel Investigations. The Security Officer will be notified promptly (telephonically initially and a follow-up in writing) if the subject of an investigation for a SS, CS, or NCS (national security) position is: assigned duties for which the investigation is not required, dropped from consideration for the position, or separated. The Security Officer will then notify OPM. Servicing personnel offices or Security Representatives are responsible for promptly notifying OPM to cancel investigations for individuals in HR, MR (public trust), and Non-Sensitive/Low Risk positions. The Security Representative will also notify the Security Officer when investigations are canceled for HR and MR (public trust) positions.

3.5 Restrictions on Waiver of Preappointment Investigations.

A. Special Sensitive Positions. The preappointment investigation requirement may not be waived for positions designated Special Sensitive.

B. Critical Sensitive and High Risk Positions. Waiver of the preappointment investigation requirement for persons entering CS (national security) and HR (public trust) positions may be made "in case of emergency" provided that such action is necessary in the national interest. As part of the waiver process, certain investigative checks are mandatory prior to entry on duty as outlined in 440 DM 6.4A and 441 DM 5.3B. Granting a waiver does not provide authorization for access to classified national security information. The request for Waiver of Preappointment Investigative Requirement for CS and HR positions will be submitted to and reviewed by the Security Officer. The waiver request will be forwarded to the Director, Office of Enforcement and Security Management for consideration. Notification from the Security Officer of waiver approval or disapproval must be received by the servicing personnel office prior to entry on duty.

3.6 Interim National Security Clearances. It is not the policy of the Department to grant interim national security clearances.

3.7 Referral of Loyalty Information. All investigations that disclose a person may have been subject to coercion, influence, or pressure to act contrary to the interest of national security, or information of possible disloyalty to the United States will be referred promptly to the Federal Bureau of Investigation through the Security Officer.

For additional information regarding this Web page, contact Krista Bibb, in the Division of Policy and Directives Management, at Krista_Bibb@fws.gov 
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