732.3

CHAPTER 3. INVESTIGATIONS, REINVESTIGATION AND

READJUDICATIONS

11\. CRITICAL-SENSITIVE POSITIONS: PROCEDURES. Executive Order 10450

and the Civil Service Commission provide that a critical-sensitive

position may be filled or occupied only by a person concerning

whom a full field investigation as defined in paragraph 3.g., has

been conducted PRIOR TO ASSUMING THE DUTIES OF THE POSITION.

There are two provisos: First, a person occupying a position at

the time it is designated as critical-sensitive may continue in

the position pending completion of a full field investigation.

Second, in case of an emergency, a position may be filled for a

limited period by a person whose full field investigation has not

been completed. This latter proviso may be effected only if the

Secretary finds that such action is necessary in the national

interest and the finding is made a part of the Department\'s

security record of the person concerned by the Inspector General.

Following are the procedures that have been developed by the

Department and which shall be observed with respect to the clearance

of persons selected to occupy critical-sensitive positions:

a\. Inspector General Approval Prior to EOD. The authority of any

HUD personnel officer to make a firm commitment to any applicant,

employee, or Federal official with respect to the person

selected for, as well as the date of his entrance on duty in,

and assumption of all the duties of, a critical-sensitive

position, commences only upon appropriate notification from

the Inspector General to the head of the primary personnel

component concerned.

b\. Timely Notice from Personnel to Office of Inspector General.

The head of the primary personnel component concerned is

responsible for ensuring that no more than 8 work hours elapse

between the time the identity of the proposed incumbent of a

critical-sensitive position is first ascertained by the primary

personnel component, whether by the head or by some other

appropriate staff member, and the time the following reaches

the Inspector General:

\(1\) Identity of the critical-sensitive position;

\(2\) Name and date of birth of the candidate selected for the

position; and

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732.3

\(3\) If the candidate is not a HUD employee, pertinent

information concerning previous employment. This includes

a copy of his employment application which should reach

the Inspector General by the end of the next succeeding

8 work hours. In addition, in the event any significant

relevant information is developed in the course of

written and telephonic reference checks made by the

Department, such information is to be communicated

promptly to the Inspector General.

c\. Timely Report from Inspector General to Personnel. The

Inspector General is responsible for ensuring that no more

than 8 work hours elapse between the time appropriate reports

concerning the applicant or employee are obtained by and

evaluated by the Inspector General, and the time he notifies

the head of the primary personnel component concerned of the

type of action to be taken. The type of action to be taken

depends on a variety of circumstances. Experience indicates

that most types of action fall within the categories discussed

in the following subparagraphs:

\(1\) FFI Completed. If a full field investigation of the

candidate has been completed, the Inspector General

advises the head of the primary personnel component

concerned whether the applicant or employee is cleared to

occupy the critical-sensitive position and, as may be

required by the position, to have access to classified

information or material.

\(2\) FFI Not Initiated. If a full field investigation of the

candidate has not yet been initiated, the head of the

primary personnel component concerned initiates a full

field investigation by furnishing the applicant or employee

and having him complete Standard Form 86, Security

Investigation Data for Sensitive Position, and Standard

Form 87, Fingerprint Chart, and promptly forwarding the

completed forms in a sealed envelope to the Inspector

General. The applicant or employee may not occupy the

critical-sensitive position, nor have access to classified

information or material, until notified by the

Inspector General.

\(3\) FFI Not Yet Completed. If a full field investigation of

the candidate has been initiated but has not yet been

completed, the applicant or employee may not occupy the

critical-sensitive position, nor have access to classified

information or material, until notified otherwise

through the primary personnel component by the Inspector

General.

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732.3

\(4\) Emergency Situation Procedures.

\(a\) If a full field investigation of the candidate has

not been completed and the head of the primary

personnel component concerned has notified the

Inspector General that the operating office

involved has determined that:

1 For reasons and under circumstances specified,

there exists an emergency situation; and

2 The applicant or employee is needed in the

critical-sensitive position; and

3 It is deemed necessary that the applicant or

employee assume the critical-sensitive duties

of the position and, as may be required by the

position, have access to classified information

or material, Oven though the full field

investigation has not yet been completed, then:

\(b\) The Secretary will decide whether or not to waive

the requirement for completion of the full field

investigation prior to assumption by the applicant

or employee of the critical-sensitive position

based on information furnished by the Inspector

General.

\(c\) After securing the decision of the Secretary with

respect to the request for a waiver, the Inspector

General will promptly notify the head of the primary

personnel component concerned of the decision.

12\. NONCRITICAL-SENSITIVE POSITIONS: PROCEDURES.

a\. An NACI as defined in paragraph 3.f., is the minimum

investigation for employment in a noncritical-sensitive position.

Where appropriate, additional investigation may be required.

An individual should not be assigned to a noncritical-sensitive

position until after the completion of at least the NAC

portion of the NACI. If employment in a noncritical-sensitive

position is contemplated prior to the completion of

National Agency Checks, approval must be secured from the

Inspector General. In the latter case, the primary personnel

component concerned shall request the Civil Service Commission

to furnish the Inspector General the NAC report in advance of

the Civil Service Commission\'s completion of the written

inquiry portion of the investigation.

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732.3

b\. In any event, if the individual selected for a

noncritical-sensitive position has not been the subject of an

NACI, the primary personnel component concerned shall submit to

the appropriate office of the Civil Service Commission (see FPM

Supplement 296-31, Appendix A, Subchapter S3) no later than

THREE DAYS after the appointee enters on duty in a

noncritical-sensitive position, investigative data for a

noncritical-sensitive position. The data consists of Standard

Form 85, Data for Nonsensitive or Noncritical-Sensitive Position;

[Standard Form
87](http://www.gsa.gov/Portal/gsa/ep/formslibrary.do?BV_SessionID=@@@@0709508922.1198073733@@@@&BV_EngineID=ccccaddmkdgfmjjcfjncfigdffidhgg.0&keywords=sf+87&formType=ADHOC&sorttype=%2FPortal%2Fgsa%2Fep%2Fformslibrary.do%3FviewType%3DLIST%26viForm%3D%26keywords),
Fingerprint Chart; and Standard Form 171,

Personal Qualifications Statement. The data shall be prepared

in accordance with instructions in the FPM Supplement.

Simultaneously, the primary personnel component sends a copy

of the SF-85 to the Inspector General. After completion of

the NACI the results are returned by the Commission to the

Inspector General.

13\. NONSENSITIVE POSITIONS: PROCEDURES.

a\. An NACI as defined in paragraph 3.f. is the minimum investigation

required for employment in a nonsensitive position. If the

individual selected for a nonsensitive position has not been

the subject of an NACI, the primary personnel component

concerned shall submit to the appropriate office of the Civil

Service Commission (see FPM Supplement 296-31, Appendix A,

Subchapter S3) no later than THREE DAYS after the appointee

enters on duty in a nonsensitive position, investigative data

for a nonsensitive position. The data consists of Standard

[Form
85](http://www.gsa.gov/Portal/gsa/ep/formslibrary.do?formType=GSA), Data
for Nonsensitive or Noncritical-Sensitive

Position; [Standard Form
87](http://www.gsa.gov/Portal/gsa/ep/formslibrary.do?formType=GSA),
Fingerprint Chart; and
[Standard](http://www.gsa.gov/Portal/gsa/ep/formslibrary.do?formType=GSA)

> [Form
> 171](http://www.gsa.gov/Portal/gsa/ep/formslibrary.do?formType=GSA),
> Personal Qualifications Statement. The data shall

be prepared in accordance with instructions in the FPM Supplement.

Simultaneously, the primary personnel component sends

a copy of the SF-85 to the Inspector General. After completion

of the NACI the results are returned by the Commission

to the Inspector General.

b\. A case usually will not be submitted to the Civil Service

Commission for NACI investigation when:

\(1\) The appointment is of an alien employed outside of the

United States; or

\(2\) The appointment is specifically limited to three months

or less, in the case of a per diem, temporary or seasonal

employee; or

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732.3

\(3\) The specific authority not to submit to the Commission

has been approved. The Department conducts such

inquiries or investigations in these cases as it determines

necessary. If a limited appointment is extended

beyond the three-month period, or a reappointment is

made so as to extend the period of employment beyond

three months, an investigation must be conducted in

accordance with subparagraph a.

14\. REINVESTIGATIONS.

a\. Critical-Sensitive Positions.

\(1\) An employee is notified by the Inspector General, upon

completion of five years in a critical-sensitive

position and at least once each succeeding five years,

that he is required to submit to the Inspector General

an updated [Standard Form
86](http://www.gsa.gov/Portal/gsa/ep/formslibrary.do?formType=GSA),
Security Investigation

Data for Sensitive Position. Updating of a previously

completed full field investigation also is required if

an employee\'s assignment to a critical-sensitive position

in HUD follows employment in another Federal agency, or

follows a break in Federal service in excess of one year,

or if there are other factors which the Inspector General

determines require updating.

\(2\) The Inspector General reviews updated forms submitted to

him and he also reviews the Official Personnel Folder,

previous reports of investigation and any other appropriate

documents. He then determines what further action,

if any, is appropriate. The minimum reinvestigation is a

national agency check. However, when the Inspector

General considers such action appropriate and necessary,

he may direct that an updated full field investigation

be conducted.

b\. Noncritical-Sensitive Positions. The Inspector General may

require an incumbent of a noncritical-sensitive position to

submit an updated personnel security questionnaire at

appropriate intervals and shall then determine what, if any,

further action is necessary. Updating of a previously completed

national agency check may be required if an employee\'s

assignment to a noncritical-sensitive position in HUD follows

employment in another Federal agency and no new NAC has been

conducted in the preceding five years. Updating of a

previously completed NACI is required if the assignment to a

noncritical-sensitive position follows a break in Federal

service in excess of one year.

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