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December 9, 2016
Document Release Date: 
July 5, 2000
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PDF icon CIA-RDP82-00357R000700120011-4.pdf356.68 KB
._Approved For Rel~tse 2000/09/01 :CIA-RDP82-00~,7R000700120011-4 ADVANCE COF~Y FEDERAL PEI}SOP~1NFl~~ Z~UINUAL SYSTE24' FPM LE7."fFR N0. 73b- SUBJECT: Full Field Investigations on Compet~.tivc Service Fanployees and Applicants for Critical-Sensitive Positions }FADS OF DEPARTMENTS -AND INDEPENDENT ESTAF3?~ISfI~JENT~: ~ . This letter announces mi.nimtun standards relating to full field investigations for appoi.ntrnent to critical-sensitive positions in the competitive service. Included aro standards orx acc~pe and coverage of full field investigations; the sel~:ction, training and supervision of investigators; and safeguards to avoid unvrarranted invasion of privacy. These standards are the result of a caz?eful study by an interagFncy co~runittec representing the; mr~ jor agencies which conduct full field investigations. They areissued in aceord- ance with the delegation of authority to ttre Conwi~.ssion containc.~d in Section g(b) of Executive Order. ].OL,.50 dat~:d. Apri]. ~7, 1953. They aro binding on all agencies which snake competitive ap}xiintments, with particul.a.r application to those agencies which conduct full field investigations by agrecm?nt with the Commission. ~5.; . Sco~o and Covcra~;e of Full Field Investigations for Critical-Sensitive Positions Full field investigations on competitive service ett~ployeen a.nd applicants fur critical-sensitive positions shall. be personally conducted investigations which cover the life of the individual Yrith emphasis on the persott~s background and activities during the most recent fifteen years, or since his ei.gr-teenth-birthday, which- ever is the shorter period. Particularly interrsiv~ investigative coverage is obtained far the last five-year periods In addition, a thorough personal investigation shall bfl made of'anv materially derogatory matters developed, requiring investigation before the five-year period. The:. basic elerrients of investigation are: A National Agency Check as follows: FBI name Checlc FBI fingerprint check - CSC Security File check CSC Security Investigations Index check Defense Central Index of Investigations check (covering military service or defense er~playn~nt) }touse Corvnittee on Un-Arrerica.n Activities chs~k as appropriate In?,,migration and Naturalization files (on nat~u?ali~,ed citizens) ..Approved Fo~I~~~FO~@~-09~?~:~p~'r~4A~~38~0{~~~(~0~~~1 ~~v1e'~-~ Approved. For Rele,~se 2000/09/01 :CIA-RDP82-0038000700120011-4 - personal intervieti~rs with present and farmer employers; super- - visors; fellow workers; references, when available; neighbors; school authorities; rand other know].eclgeable ~~.ssoca.ates. -- checks of police, credit (when ~~ractical and justified), arid, other per. ti.nent recard~~ as rc~3;~.ropria,te, such as FB:t field offices, vita]. sta.tisti.cs (to resolve discrepancies,), military service, a.nd the like. Personal intervie`~rs as appx?opriate, for the proximate five-year period, should be scheduled with employers, supervisors, and work associates to verify and obtain pertinent details for all employ- ments in that investigative period. Particular care shall be taken -also to verify the fact of uncrnployment or self--employment claimed by the subject of investigation during the proximate five-year period: Significant education at a college level should be.veri.fied by a check of the school records. Secondary education should be investi- gated when the subject is young and has .had no subsequent school.i.n~;. Personal intervie,?rs should be conducted w3.th available witnesses such as schoo]. author:i.ties, pro.fc:ssors and former students who wero a.:sso- ciated with the subject during recent schoalin~,. Neighborhood investigation should normally?be conducted on civilian employees and applicants to cover residence during; the most recent three ,years. Testimony of neighbors before that period n~~,y be JOUght to verify periods of unemployment or self-employment, or to resolve questionable. matters which have beQn raised from other sources. The number of witnesses interviewed cannot be reduced to a formula but in each case should depend upon the diversity of the subjects experience and places of residence, as well as upon the depth of kno:~rledge shown by witnesses concerning the subject's character, habits, anci background. The objective of the invasti.gation should be to obtain a comprehensive and well-rounded picture of the individual's background and activities.. ~~ t+'.atters Covered in Full Field Investigations Basica].].y, full field investigations are designed to develop suffi- cient information to enable agency officials to determine the employability or fitness of persons entering critical-sensitive positions. Fitness includes both security and suitability fi.tnes:,. Investigations, whenever practicable, should be conducted on a pre-. employment basis and reports used as a personnel selection device. Character, habits, morals, associations, and reputation shall be investigated generally. Loyalty should be particularly stressed and if a question is raised concerning the subject's loyalty the czse shall be referred to the Federal ~3ureau of Invest~.gation in accord-- ance with Section 8(d) of Executive Order 1045? ..Approved For Release 200?/09/01 :CIA-RDP82-003578000700120011-4 Approved For Rel~se 2000/09/01 :CIA-RDP82-00~,7R000700120011-4 The affirmative qualities and qualifications of the :subject should tze fu11.y developed . Over and above the minimum st~.nd?rds, the full field investigation may be tailored to obtain inforrnat:}.f?i~ :in depth concerning special attributes and qualifications required for' pro~~ r perform,~.nce in the particular kind of position involved. GUIDES FOP. SFLF;CTTON~__TRAINING AND SUI'FRVISION OF F3~DIIR~L Pi.'RSOPINEL INUT~STIGATORS The following guides for the selection,train~.ng and:superviaion of Federal personnel investigators conducting; full field investigations for the competitive service havo been adopted by the Commission: ."?~Selection should be based upon o Any of the following as indication of above-average mental capacity and verbal ability: (a) a college degree and written test; (b) a college degree and oral exam~.nation; (c) education and experience equivalent to four years of college and written test;-or (d) college level written test. o Demonstrated abila.ty to meet and deal. with peo,ale of all social and economic levels, evidenced by an appropriate employment interview or through affirra~ti.vo findings i.ri a personal investigation. o Pre-appointment completion of a comprehensivEs full field investigation with favorable results concerning loyalty and suitability., shozaing also that the applicant possesses high moral standards, and the requisite personal'att,ributes, including integrity, tact, initiative, adaptability, resaurcefulnc;ss, soundness of judgment;, and ability to meet and deal with people. o Potential for growth as an investigator and consideration of capacity for future development along other technical or managerial lines as dictated by agency needs. 2. Training and supex?vision of personnel investigators should meet these minimum requirements: o Initial training to provide a thoro~,a~;h grounding in the fundamentals of personnel. investigations and agency missians. Approved For Release 200D/09/01 :CIA-RDP82-003578000700120011-4 ~ Does not modify or amend the standards far investigators ~n th? competitive service wh~.oh appear ~n C~3C Ef~ndhook X-11~, Approved. For Rele,;~e 2000/09/01 :CIA-RDP82-003~R000700120011-4 o Provision for periodic re.fre:>her training to update skills and assure continuing investa.gs.tive coiiipetenc-cz o Supcrva.sion that is su.ffica.entl.y close, and revie~v that is sufficiently frequent anci thorr,ugh, to assure good quality - of investigating and rcportx.r~~; on a timely basis at reason- able cost.. Manuals _and Instruct5.onal_hta_terial Sub.,j.ect to Review ~~ by the Cor~nrissian To insure uniformity of investigative methods and pi~oceduxes the Commission shall, as appropriate, rcviet~r manuals and instructions to investigators which relate to conducting full hold or background investigations on competitive service applicants and employees with respect to those departments and agencies which havo negotiated. agreements with the Conunission under the provisions of Section ~3(b) of kl~cecutive Order 101.50. livoi.dina Unwarranted Invasion of Privac~r In conducting full field (background) investi~;at3_ons for accei_7~a- bilit;y far employment in critical-sensitive competitive service positions under E.O. 10150, inquiries concerning an applicant wall be limited to matters relevant to a determination of fitness for the position, including a determination as to whether his employment is clearly consistent with the national security. Investigators are not authorized to: (1) Inquire about race, religion, national origin,-union membership, fraternal affiliations, political affil.ia- tioris, or the constitutional.5_ty or wisdom of legislative policies except when such information constitutes a bona lido qualification or fitness requa_re;netrt for specific eanpl.oyment, is required to estab7_ish identity, or directly relates to security fitness or subversive activities. (2) Investigate any case or person other than those officially assigned within their lawful duties. (3) Interview w~.tnesses without first shoring credentials giving proper identification and informing the witness why the investigation is being conducted. (~.) Furnish information or ask questions in such manner as to indicate the investigator is in possession of derogatory information concerning the subject of investigation. (S) P~Iake covert or surreptitious investigations, or use such devices or techniques as mail covers, inspection of trash, Approved For Release 2000/09/01 :CIA-RDP82-003578000700120011-4 Approved For Relg,~se 2000/09/01 :CIA-RDP82-003,5,78000700120011-4 or paid infornkants, except as any of the foregoing nay specifically and iradiv~].dual1.}~ f:i.r.~t be autlorizc~d by tho hetid of thv agency or his des:i.gner~.. (b) Use tc;]_ephone or rri.r. ~: 1:.=.l~s ar covert listening or recording devices. (7) Use the poly{~rapY~r or otY~~er sa-called 7.i_e detectors Except as authorized i.n Attac}urrent 1. (~) Interview applicants or appointees to the competitive ser~rice concerning their sex~zal behaviox or attitudes concerning sexual conduct in the absence of allegations or information indicating sexual misbehavior. (9) Pixpress opinions about the person under investigation. (10) Investigate any case in which the investigator ~aza5=rs of circumstancos which might adversely affect his ,fairness, impartiality, or objectivity, without first making this fact knowd to hia superiors. (11) Divulge any investigative information outside official channels. ' (12) Make unauthorized intrusions on private property. Nicholas J. ~ganovic Fxecutiva Director Attachment 1 Rules concerning usn of the polygraph fob competitive service positions Approved For Release 2000/09/01 :CIA-RDP82-003578000700120011-4