Federal Investigative Services

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Federal Investigations Notice
Letter No. 00-07	Date: August 14, 2000
Subject: Department of Defense Personnel Investigations The Office of Personnel Management (OPM), Investigations Service (IS), is conducting personnel investigations for the Department of Defense.  In addition to the ANACIs being done by OPM, we are  conducting the civilian personnel investigations (NACLCs, SSBIs, and SSBI-PRs) that do not have overseas activities within the scope of the investigation.  DSS will conduct those investigations that do have overseas activities within the scope of the investigation.  This notice provides information regarding (1) our investigative process, (2) submitting acceptable investigation requests, and (3) OPM-IS support services that are available. This notice includes instructions for facilities that have special agreements to submit investigation requests for contractor personnel. We review all case papers that we receive to ensure that all pertinent information was provided.  (The submitting office is contacted by telephone if the case papers are incomplete or contain discrepant information.)  When the case papers are complete and acceptable, the requests are entered into our Personnel Investigations Processing System (PIPS), the automated system for OPM's investigations program.  PIPS stores OPM-conducted investigations, notifications of other investigative agency activity, disclosures required under the Freedom of Information and Privacy Acts, periods of debarment from Federal Service, and information concerning post-appointment arrests.  PIPS automatically schedules, controls, and identifies investigations for closing.  PIPS schedules all points of contact for all of OPM's investigative products, including National Agency Check (NAC) repositories.  The system generates scannable inquiries to be mailed and electronic case papers for the field staff.  The system is updated during the investigation, making the latest information accessible to authorized users. The following guidance for submitting acceptable investigation requests to OPM will ensure high quality investigative products that will meet the needs of the access and suitability decision makers.  We have used a  Question & Answer format to address issues that we have identified as common problem areas.  FORMS Q:How are the EPSQs submitted to OPM? OPM requires the use of the SF86 for access cases, the SF85P for non-access cases.  We cannot accept the electronic EPSQ for either form; however, we will accept the printed and signed EPSQ in order to assist DoD with this workload.  The Submitting Office should mail a printed and signed copy of the appropriate EPSQ (with the OPM required attachment [we have printed copies of the OPM attachments as the final pages of this Notice] and other forms) to this address: OPM-IS, Federal Investigations Processing Center PO Box 618, 1137 Branchton Road Boyers, PA 16018-0618   Q: Are any other forms required besides the printed and signed EPSQ? The following forms are required to request a National Security Investigation from OPM: Original Investigation: (Federal) Reinvestigation: (Fed or Contractor)     -SF86, or printed and signed EPSQ                 -SF86, or printed and signed EPSQ  w/OPM attachment w/OPM attachment         -SF87 Fingerprint Chart (Fed) -Resume/Equivalent                                          …or FD258  (Contractor)                   -OF 306    -SF87 Fingerprint Chart     (Contractor)   -SF86, or printed and signed EPSQ   w/OPM attachment          -FD258 Fingerprint Chart   OPM ATTACHMENT - "AGENCY USE INFORMATION"   Q: Who is responsible for completing the "Agency Use" blocks?   The Submitting Office is responsible for coding the "Agency Use Only" blocks of the SF86 and SF85P, or the "Agency Use Information" blocks of the OPM attachments to the printed EPSQs. (The Submitting Office is any office that requests an investigation.)  The "Agency Use" block contains the information necessary to request an investigation from OPM and is completed after the person to be investigated has completed the SF86, the SF85P, or the EPSQ.  It is also the responsibility of the Submitting Office to insure that the form is complete and accurate; all of this information is extremely important to the overall investigative process.  Q: What is a Submitting Office Number (SON) and how can I request one? The SON is a 4-character identifier provided by OPM-FIPC. Each agency office requesting investigations must have an SON.  To obtain an SON for your submitting office or to see if your office already has one, call FIPC's Program Services Office (PSO) at (724) 794-5612.  (The SON is entered in Block J of the "Agency Use" block.) Q: What type of an investigation do I need to request when I need to clear a Federal employee for Secret access? The ANACI should be requested for the initial investigation and the NACLC should be requested for the reinvestigation.    INITIAL INVESTIGATIONS REINVESTIGATIONS Access Level Required Investigation Access Level Required Investigation Top Secret,SCI,Q SSBI Top Secret, SCI, Q SSBI-PR --every 5 years Confidential, Secret, L ANACI -- Federal Employee NACLC -- Contractor Secret, L NACLC --every 10 years, Federal or Contractor Confidential NACLC -- every 15 years, Federal or Contractor

Q: What is the appropriate coding for the Type of Investigation block (A) when I am requesting a Reinvestigation for Single Scope Background Investigation?

The correct code for a Reinvestigation for Single Scope Background Investigation (SSBI-PR) is 18F. This table shows codes for the investigations types and timeliness services available.

Timeliness Service Type of Investigation	75 Day Service	120 Day Service	Reopen Service	180 Day Service
NACLC --   National Agency Check w/Law & Credit	08B	N/A	08D	N/A
ANACI --   Access National Agency Check w/Inquiries	09B	N/A	09D	N/A
SSBI-PR -- Periodic Reinvestigation for Single Scope BI	N/A	N/A	18D	18F
SSBI --   Single Scope Background Investigation	30B	30C	30D	N/A

Q: How should the Extra Coverage block (B) be coded when we are requesting a reinvestigation that needs a birth verification and an Advance NAC Report?

Code the Extra Coverage block with R, L, 3.  These can be put in any order in block B.  This chart indicates the extra coverage codes available by type of investigation.
CODES* Extra Coverage Items	3 --- Advance NAC	7 --- Attachments	H --- INS	L --- BVS	R --- Reinvestigation	Z --- Criminal Justice Position
NACLC	X	X	X	X	X	X
ANACI	X	X	X	X	X	X
SSBI-PR	X	X		X	X	X
SSBI	X	X		X	X	X

Code 3 -- Advance NAC:  The Advance on the National Agency Checks (NAC) consists of an itemized list of the NAC results and search status.  This is a notification of item results only, no hardcopy is furnished.  The Advance NAC Report is sent to your Central Adjudication Facility (CAF) [your CAF is assigned a Security Office Identifier -SOI number- by OPM; contact your CAF for details]; the Advance NAC report is available for all case types.  If, after 30 days from the scheduling date, the NAC is not complete, a NAC status report will be generated to provide the CAF/SOI information on the NAC items.

Code 7 -- Attachments:  This code is used when information is attached to the investigative request, such as issue information, personnel folder or security file information, special handling instructions, or other information pertinent to the investigation

Code H -- INS:  Automated scheduling of the Immigration and Naturalization Service (INS) search.

 Code L -- BVS:  Automated scheduling of the Bureau of Vital Statistics (BVS) search. 

Code R -- Reinvestigation:  This code by-passes the administrative edits resident in PIPS that require the appropriate level of case type/sensitivity/access.

Code Z -- Criminal Justice Position:  This identifies Criminal Justice/Law Enforcement Positions that are exempt from the FBI User Fees.  (See FINs 90-03 & 90-05 for details.) 

Q: Is the Position Title block (I) required information?

Yes.  Enter the title of the position for which the investigation is being requested.  If the person being investigated is a contractor employee, enter CONTRACTOR.

Q: What is the appropriate response for Location of Official Personnel Folder block (K)? 

         Check one only:

None, if the person has never been a Federal employee.

NPRC, if the OPF is at the National Personnel Records Center.

At SON, if the OPF is at the SON.

...or...

Other Address:  If the OPF is at any other location (for example, the SOI), furnish the address.  Do not use acronyms.  We need sufficient address information for the Investigator to locate the office.

Q: What is the appropriate response for Location of Security Folder block (M)?  

Check one only:

None, if there is no security file at your agency.

At SOI, if there is a security file at your agency that should be reviewed by an Investigator.

NPI, there is a security file at your agency, but it contains nothing pertinent to the investigation.

...or...

Other Address:  If the security file is at any other location, furnish the address.  Do not use acronyms.  We need sufficient address information for the Investigator to locate the office.

Q: Who should complete the Requesting Official block (P)? 

The official requesting the investigation should provide their name, title and signature.  Enter the telephone number where this official can be reached and enter the date of the request.

Note:  OPM-FIPC will call this individual if there are questions about the submission. 

BACKGROUND INFORMATION

Q: How far back in time does the Subject go when filling out the SF86, SF85P or the EPSQ?

The forms generally ask for seven years of background data and the Subject must provide that information.  When requesting the SSBI, however, seven years is not consistent with Executive Order 12968 (EO 12968).  SF86 questions numbered 9, 10, 11, 22, 23e, 23f, and 29 should be answered with a ten year time frame to meet EO 12968 requirements.  Persons completing the SF86 for the NACLC or ANACI must answer all questions within the time frames requested on the form.  Those persons completing the form for an SSBI-PR must provide information back to the completion date of the last investigation with a minimum requirement of seven years. 

Q: When is more data required for the SF86 question (#14) regarding Relatives and Associates? 

A NAC is scheduled for associates listed as code 19 (Adult Currently Living With You) if the investigation request has an access code of 3 (Top Secret), 4 (Sensitive Compartmented Information), or 5 (Q).  In those situations, the Subject must provide the Social Security Number, date of birth, and place of birth for any associate listed as a code 19. This additional information should be provided in the Continuation Space on page 9 of the SF 86.  Note that code 19 adults, "Adult Currently Living With You," have been defined as Individuals living in a spouse-like relationship with the Subject.  Therefore, the Subject should only list an adult currently living with them if they are in a spouse-like relationship with the Subject.  (Roommates should notbe listed unless they are in a spouse-like relationship.)  Grandparents who are residing with the Subject should not be listed.  Our authority to conduct these NACs is derived from EO 12968.  We cannot conduct these searches for non-access cases.

The SF86 question (#15) concerning the "Citizenship of Your Relatives and Associates" asks for information about persons who are U.S. citizens by other than birth.  Does that apply to the Subject's children who were born overseas while the Subject was stationed overseas?

Yes, children born overseas should be listed.  Everyone born in that situation would have a State Department Form 240, "Report of Birth Abroad of a Citizen of the United States."  Code 4 should be placed in the block labeled "Document Code" and "Child born overseas while stationed overseas" should be entered in the block labeled "Additional Information."

Q: Are the signature and date required on the certification page and the release page?

Yes.  The certification must be signed and dated within 120 days of receipt at OPM FIPC. A signature here certifies to us that the information provided is true and accurate and authorizes us to investigate the Subject.  The Authorization for Release of Information must also be completed, signed, and dated. The release is valid for 5 years. 

Q: When should the Authorization for Release of Medical Information be completed?

The medical release should be completed, signed, and dated if the Subject answered "Yes" to Question # 21 on the SF86 (see the last sentence of the general release on page 10).  The SF85P medical release should be completed, signed, and dated only when the investigation develops the need for this document.

Q: Should amendments be initialed and dated?

Yes.  Any changes made to the questionnaire must be initialed and dated by the Subject.  Under certain limited circumstances, agencies may modify the form consistent with the Subject's intent.  Call FIPC at (724) 794-4498 for a copy of the FIPC 391 form used by agency officials to certify their amendments or alterations made to investigative forms.  

SUPPORT SERVICES

The following are some of the support services available to agencies: 

• Telephone contact with the submitting offices to resolve incomplete or discrepant case papers.
• Those agencies not linked and updated electronically will receive an Investigation Scheduled Notice.  This notice will be issued to the SON for every investigation scheduled.
• Close Pending Process: The SOI will receive advance information and case issue information when one or more required items are still pending at a predefined age, depending on the case type.  Information outstanding at the time of the Close Pending action usually involves a National Agency or other record check that must be  provided by a third party. 
• Advance NAC Reports for the DoD SOIs (Extra Coverage Code 3).
• Case Closing Transmittals (CCT) that identify each item scheduled and item results.  The CCT also identifies suitability issues and the seriousness level of the issues within the case.
• The informative INV 50 form ("Agency Information for OPM Background Investigations") is mailed with completed investigations.
• Telephone numbers of our staff who will be able to help you with questions or problems that may surface:

Agency Liaison  (724) 794-5228

• SON Authorized personnel can obtain case status.
• SOI Authorized personnel may request information on agency cases in process, SII Searches, and File Requests. 

Program Services Office (724) 794-5612

•  To establish SON/SOI Numbers.  
• Processing Investigative Forms Workshops

Suitability Adjudication Branch (724) 794-5612

• Adjudication questions.
•  Freedom of Information questions

Contract Management Branch (724) 794-5612

•  Questions regarding the finished investigative product.
•  Questions regarding special investigative needs such as RSIs, Reopens, and SPINs.
•   For billing assistance, call Rasheedah Ahmad  at (202) 606-1042.
• Program Services Office staff are also available to resolve billing issues and can be reached at (724) 794-5612 -- Nancy Carruthers (Ext 202) and Carl Vinroe (Ext 314).

Thank you for your efforts in making smooth workload adjustments for OPM.  If you have questions or concerns regarding our processes or our services, please give us a call.

Richard A. Ferris
Associate Director for Investigations

Attachment: OPM forms (6/99 & 9/99)

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Inquiries:	OPM-IS, Oversight and Technical Assistance Division,(202) 606-1042
Code:	736, Investigations
Distribution:	DoD SOI/SONs
Notice Expires:	December 30, 2000

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