1 Report Tile Processing Investigative Forms UNITED STATES OFFICE OF PERSONNEL MANAGEMENT.

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Report Tile

Processing Investigative Forms

UNITED STATES OFFICE OF PERSONNEL MANAGEMENT

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Training Objectives

• Required elements needed before requesting an investigation

• Identify forms required to request background investigations

• Review different types and scopes of background investigations

• Complete “agency use only” section of the forms and submitting office procedures

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Acronyms

Acronyms• FIPC - Federal Investigations

Processing Center• OPM - U.S. Office of Personnel

Management• PIPS - Personnel Investigations

Processing System• SII Search - Security/Suitability

Investigations Index

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Forms

Forms• IS 15 - Requesting OPM Personnel

Investigations• OF 306 - Declaration for Federal

Employment• SF 87 - Fingerprint card submitted for

Federal applicants and employees• FD 258 - Fingerprint card submitted for

Contractors and Military Personnel

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Submitting Office Number (SON)

• Unique 4-character identifier

• Assigned to all submitting offices

• Identifies where the investigation was initiated

• PIPS Form 12 - Submitting Office Number (SON) Authorization and Amendment Form

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Security Office Identifier (SOI)

• Unique 4-character identifier

• Identifies the Federal agency to receive completed case

• Approved list of authorized callers may receive information via telephone

• Agencies use the PIPS Form 11 - “Security Office Identifier (SOI) Authorization and Amendment Form”

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SON/SOI Requested Information

Requested Information

Authorized SON Contacts

Authorized SOI Contacts

Answers regarding case papers, fingerprints, and reprints

X X

Current status of investigation

X X

Expected completion date X X

Discontinue requests (not available via PIPS)

X X

SII Search X

National Agency Check

(NAC) search results X

Types of Issues in case X

Pending items in case X

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On-line Payment and Collection (OPAC)

• Agency OPAC codes are assigned by the U.S. Department of Treasury

• If the agency does not have an OPAC or is requesting a new OPAC, please visit: http://fms.treas.gov/goals/ipac/index.html

• For additional information regarding your agency’s OPAC code, please call 724-794-5612

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Security/Suitability Investigations Index (SII)

• OPM’s system of investigative records

• Includes OPM conducted investigations as well as notifications of investigations conducted by other agencies

• Most records maintained 15 years; serious issue and loyalty cases maintained 25 years

• Information available to SOI only

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Security/Suitability Investigations Index (SII) (continued)

OPM may provide the following information:• Whether there is a ”record/no record” on

subject• Whether any investigation in OPM’s system

contains issues/no issues• Types of issues in a case• A copy of the case if the file release meets

requirements

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Obtaining Information from OPM Telephonically

Federal Investigations Processing Center (FIPC) Telephone Liaison

724-794-5228

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FORMS REQUIRED TO REQUEST INVESTIGATIONS

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National Security Investigations

Investigations for persons who are performing, or seeking to perform, duties for the Federal Government requiring access to classified information as mandated by Executive Order 12968 or the Atomic Energy Act

The Standard Form (SF) 86: “Questionnaire for National Security Positions” is used when requesting investigations for National Security Positions

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Public Trust Investigations

Investigation for persons who have the potential to affect adversely the integrity, efficiency, effectiveness, or delivery of public service and for certain sensitive positions that do not require access to classified information

• The SF 85P: “Questionnaire for Public Trust Positions” is used for Public Trust positions (Moderate Risk and High Risk)

• The SF85P-S: “Supplemental Questionnaire for Selected Positions” can only be used by special agreement with OPM for select Public Trust positions

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Non-Sensitive Investigations

Minimum investigative standard for Federal employment under EO 10450. These are positions in which the individual will have access to non-sensitive information that involves mostly Low Risk, Non-Sensitive, and Non-National security program responsibilities

The SF 85: “Questionnaire for Non-Sensitive Positions” is used for Non-Sensitive and Low Risk Public Trust positions

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Electronic Questionnaires for Investigations Processing (e-QIP)

• e-QIP is a secure website that is designed to house all personnel investigative forms:

– SF 86,“Questionnaire for National Security Positions”– SF 85 P,“Questionnaire for Public Trust Positions”– SF 85 P-S, “Supplemental Questionnaire for Selected

Positions”– SF 85,“Questionnaire for Non-Sensitive Positions”

• The system allows users to electronically enter, update, and release their personal investigative data over a secure Internet connection to a sponsoring agency for review, approval, and submission to investigations provider

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The Benefits of e-QIP

• Provides convenient electronic form for entering, editing, and submitting investigative form data

• Maintains consistency with the intent of the existing paper forms

• Conducts data validation as early as possible in the process (screen-by-screen)

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The Benefits of e-QIP

• Controls access to personal data

• Implemented security controls to enable secure transmission of data

• System is reliable, easy to maintain, modify, and enhance

• e-QIP supports external interfaces to other government agency systems (Defense Security Services [DSS], Federal Bureau of Investigation [FBI], and others)

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Single Scope Background Investigation(SSBI) SF 86 – Case Type Code 30

Basic Coverage Period: 10 YearsPersonal Coverage Period: 7 Years• Personal Subject Interview (PRSI)• Employment/ Self-employment/ Unemployment

coverage (7 years)• Education (Personal/Record [P/R] coverage 7 years,

Inquiry [I] to highest degree outside 7 years)• Residence (3 years)• Reference Contacts (4 including at least 2 developed)• Local Law Enforcement (10 years)

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Single Scope Background Investigation(SSBI) SF 86 – Case Type Code 30 (cont.)

• Former Spouse(s) (any divorced 10 year period)

• Court Records (verification of civil/criminal actions 10 years)

• Security File and Official Personnel Folder (if applicable)

• Selective Service (if applicable)

• National Agency Checks (NAC)– OPM’s Security/Suitability Investigations– Defense Clearance and Investigations

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Single Scope Background Investigation(SSBI) SF 86 – Case Type Code 30 (cont.)

• FBI Investigative File Name Check• FBI National Criminal History Fingerprint Check• Credit Search of National Credit Bureaus• Military Personnel Record Search (if applicable)• Citizenship Verification (if subject born outside

of US; legal status of foreign-born immediate family members)

• Central Intelligence Agency Security and/or Operations Check (if applicable)

• Spouse/Cohabitant NAC Searches

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Background Investigation (BI) SF 86 – Case Type Code 25

Basic Coverage Period: 5 yearsPersonal Coverage Period: 5 years• Personal Subject Interview (PRSI)• Employment/Self-employment/Unemployment

coverage (5 years)• Residence (3 years)• Local Law Enforcement (5 years)• Selective Service (if applicable)• Security File and Official Personnel Folder (if

applicable)

Appropriate National Agency Checks

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Limited Background Investigation (LBI) SF 86/85P – Case Type Code 20


coverage (3 years)• Education (P/R coverage 1 year, years 2-3 by

Inquiry, Inquiry to highest degree outside 3 years)• Residence (1 year)• Local Law Enforcement (5 years)• Selective Service (if applicable)

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Limited Background Investigation (LBI) SF 86/85P – Case Type Code 20 (cont.)

• Court Records (Bankruptcies, Financial Delinquencies – 3 years)

• Security File and Official Personnel Folder (if applicable)

• Appropriate National Agency Checks (NAC)

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Single Scope Background Investigation-Periodic Reinvestigation (SSBI-PR)

SF 86 – Case Type Code 18


coverage (5 years)• Education (5 years)• Residence (5 years)• Reference Contacts (2 including at least 1 developed)• Local Law Enforcement (5 years)• Selective Service (if applicable)

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Single Scope Background Investigation-Periodic Reinvestigation (SSBI-PR)

SF 86 – Case Type Code 18 (cont.)

• Court Records (verification of civil/criminal

actions 5 years• Former Spouse(s) (any divorces since last

investigation)• Appropriate National Agency Checks (NAC)

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Phased Periodic Reinvestigation (PPR)SF 86 – Case Type 19


coverage (5 years)• Former Spouse(s) (any divorces since last

investigation)• Local Law Enforcement (5 years)• Selective Service (if applicable)• Court Records (verification of civil/criminal

actions 5 years)Appropriate National Agency Checks (NAC)

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Minimum Background Investigation (MBI)SF 86/85P – Case Type Code 15

Basic Coverage Period: 5 yearsPersonal Coverage Period: PRSI Only• Personal Subject Interview (PRSI)• Employment/Self-employment/Unemployment

coverage (5 years)• Residence (3 years)• Reference Contacts (3 years)• Local Law Enforcement (5 years)• Selective Service (if applicable)

Appropriate National Agency Checks (NAC)

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Public Trust – Single Scope Background Investigation (PT-SBI)

SF 85P – Case Type Code 35


coverage (7 years)• Education (Personal/Record [P/R] coverage 7 years,

Inquiry [I] to highest degree outside 7 years)• Residence (3 years)• Reference Contacts (4 including at least 2 developed)• Local Law Enforcement (10 years)• Selective Service (if applicable)

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Public Trust – Single Scope Background Investigation (PT-SBI)

SF 85P – Case Type Code 35 (cont.)

• Former Spouse(s) (any divorces 10 year period)• Court Records (verification of civil/criminal actions

10 years)• Security File and Official Personnel Folder

(if applicable)• Selective Service (if applicable)• Appropriate National Agency Checks (NAC)

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Periodic Reinvestigation (PRI)SF 86/85P – Case Type Code 11

Basic Coverage Period: 5 years

Personal Coverage Period: PRSI only• Personal Subject Interview (PRSI)• Reference (listed on case papers)• Local Law Enforcement (5 years)• Selective Service (if applicable)• Appropriate National Agency Checks (NAC)

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Periodic Reinvestigation Residence (PRI-R)SF 86/85P – Case Type Code 12

Basic Coverage Period: 5 years

Personal Coverage Period: 3 years• Personal Subject Interview (PRSI)• Residence (3 years)• Local Law Enforcement (5 years)• Selective Service (if applicable)• Appropriate National Agency Checks

(NAC)

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Access National Agency Check with Inquiries (ANACI) SF 86 – Case Type Code 09

Basic Coverage Period: 5 years• Employment/Self-employment/Unemployment

coverage (5 years [I])• Education (5 years highest degree [I])• Residence (3 years [I])• Reference Contacts (those listed on case papers by

Inquiry)• Local Law Enforcement (5 years [I] and/or [R])• Selective Service (if applicable)


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National Agency Check with Law and Credit (NACLC) SF 86 – Case Type Code 08

Basic Coverage Period: 5 years• Local Law Enforcement (5 years [I] and/or [R])• Selective Service (if applicable)• Appropriate National Agency Checks (NAC)

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National Agency Check with Inquiries (NACI) SF 85P/85 – Case Type Code 02

Basic Coverage Period: 5 years• Employment/Self-employment/Unemployment

coverage (5 years)• Education (5 years; highest degree outside 5 years)• Residence (3 years)• Reference Contacts (those listed on case papers)• Local Law Enforcement (5 years)• Selective Service (if applicable)


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National Agency Check (NAC) SF 86/85P/85 - Case Type Code 06

• National Agency Checks

– OPM’s Security/Suitability Investigations Index (SII)– Defense Clearance and Investigations Index (DCII)– FBI Investigative File Name Check– FBI National Criminal History Fingerprint Check

• Other NAC items scheduled automatically when certain

conditions are present or by request (For example)

– Credit

– Selective Service

– Military Records

– Official Personnel Folder

– Immigration and Naturalization Checks

– Bureau of Vital Statistics

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Special Agreement Checks (SAC)

• A limited investigation (or series of checks) conducted on a subject

• Done only through special agreement between OPM and an agency

• Agencies use this service for a variety of reasons– As a pre-employment check or screening tool– In conjunction with the agency investigation– To grant limited building access– To meet regulatory requirements

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SAC (continued)

• SACs may be submitted in various formats, depending on the checks to be done– Form OFI-86C– Fingerprint Chart (SF 87 or FD 258)– Approved Agency Form

• Refer to Federal Investigations Notice (FIN) 07-07, for Special Agreement Price Schedule

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Forms to Request National Security Investigations

• New Federal Appointment:– SF 86 (Original or e-QIP)– Resume/Equivalent– Optional Form (OF) 306– SF 87

• Reinvestigation:– SF 86 (Original or e-QIP)– SF 87 (Federal) or FD 258

(Contractor)*

• Contractor: – SF 86 (Original or e-QIP)– FD 258

• Update/Upgrade: – SF 86 (Original or e-QIP)– SF 87 (Federal) or FD 258

(Contractor)

*Refer to FIN 94-6: Fingerprints not required if the initial

investigation contained classifiable fingerprints

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Forms to Request Public Trust Investigations

• New Federal Appointment:–SF 85P (Original or e-QIP)–SF 85 P-S (If required)–Resume/Equivalent–OF 306–SF 87

• Reinvestigation:

– SF 85P (Original or e-QIP)

– SF 85P-S (If required)

– SF 87 (Federal) or FD 258 (Contractor)

• Contractor: – SF 85P (Original or e-QIP)– FD 258

• Update/Upgrade: – SF 85P (Original or e-QIP)– SF 85P-S (If required)– SF 87 (Federal) or FD 258

(Contractor)

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Forms to Request Non-Sensitive Investigations

• New Federal Appointment:– SF 85 (Original or e-QIP)– Resume/Equivalent– OF 306– SF 87

• Contractor: – SF 85 (Original or e-QIP)– OF 306– FD 258

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Completing “Agency Use Only” Portion

SF 86, SF 85P, and SF 85

(Original or e-QIP)

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FIPC CodesSF 86, 85P, & 85

FIPC Codes• A code that indicates special processing is

needed for a particular request• Up to 8 FIPC codes may be entered in no

specific order• Examples include:

– Code I – Electronic Fingerprints submitted prior to case papers

– Code R – Request Advance Fingerprint results

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Type of Investigation SF 86, 85P, & 85

Type of Investigation and Case Service • Identifies case type and service required to complete the

investigation • Examples of Investigation types and Codes

– NACI – 02– NACLC – 08– SSBI – 30

• Codes and Types of ServiceCODE TYPE

A PRIORITY SERVICE B STANDARD SERVICE C STANDARD SERVICE D REOPEN SERVICE F STANDARD (DoD SSBI-PR)

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Extra Coverage Codes

Extra Coverage Codes • Additional coverage not included in the

basic investigation• Examples include

– Code R - Reinvestigation– Code 3 - Advance NAC Report– Code H - Citizenship and Immigration Services

(CIS) Check

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02B H 2 3

I

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Sensitivity Level SF 86 & 85P

Sensitivity Level SF 86 SF 85P

CODE LEVEL CODE LEVEL 2 - Noncritical-Sensitive 1 - Low Risk

3 - Critical-Sensitive 5 - Moderate Risk

4 - Special-Sensitive 6 - High Risk

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02B H 2 3

I

2

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Access SF 86 & 85P

The security clearance or access the position requires

SF 86 0 - Not Required1 - Confidential2 - Secret3 - Top Secret4 - Sensitive Compartmented Information5 - Q7 - L 8 - Other (specify clearance level on an attached document and enter 7 in Extra Coverage)

SF 85P Enter code C if the position is Computer-ADP

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02B H 2 3

I

2 1

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Nature of Action & Date of Action SF 86, 85P, & 85

Nature of Action• If the person being investigated is a Federal

employee or applicant, enter the same 3-digit code used on the SF 52

• If the person being investigated is a contractor, enter CON

Date of Action

Enter the effective date of the action requiring the investigation. If the action has not been taken, leave the block blank

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02B H 2 3

I

2 1 CON 01 01 2007

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Geographic location & Position CodeSF 86, 85P, & 85

Geographic location

Actual location of duty station

Position Code (SF 86 & 85P only)A Congressional StaffB InvestigatorC AstronautE White HouseF Senior Executive Service (SES)/GS-15 (or equivalent)H Child Care Provider (For child care investigations only)

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02B H 2 3

I

2 1 CON 01 01 2007

0799019 B

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Position Title & Submitting Office Number (SON), SF 86, 85P, & 85

Position Title

Title of the position for which the investigation

is being requested

SON

• 4-character identifier

• If the Security Office is the Submitting Office, enter the SOI

• If SON is unknown, contact your Security Office or FIPC

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02B H 2 3

I

2 1 CON 01 01 2007

0799019 B Investigator

1234

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Location of Official Personnel File (OPF), SF 86, & 85P Only

Location of OPF

Only one of the following options is acceptable:

• None - If first time Federal employee or contractor

• NPRC - If at National Personnel Record Center

• At SON - If at Submitting Office

• Other - If at another location or agency

– List complete address

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02B H 2 3

I

2 1 CON 01 01 2007


1234

X

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Security Office Identifier (SOI) SF 86, 85P, & 85

SOI• 4-character identifier

• Security Office

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02B H 2 3

I

2 1 CON 01 01 2007


1234

X

X567

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Location of Security File & OPAC/ALC SF 86, 85P, & 85

Location of Security File (SF86 & 85P only)

Only one of the following options is acceptable:

• None - If there is no Security File

• At SOI - If Security File is at agency Security Office

• NPI - If the file contains “No Pertinent Information”

• Other - If at another location or agency

– List complete address

OPAC/ALC• Billing code• Department of Treasury assigns codes

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02B H 2 3

I

2 1 CON 01 01 2007


1234

X

X567

X

123456789

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Accounting Data & Requesting Official SF 86, 85P, & 85

Accounting Data• For your agency’s internal use

• Up to 25 characters may be entered

Requesting Official• Name

• Title

• Signature

• Telephone number

• Date

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02B H 2 3

I

2 1 CON 01 01 2007


1234

X

X567

X

Up to 25 characters allowed

John Smith – Manager John Smith

555 123-4567 01/01/2007

123456789

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Agency Use Blocks Unique to e-QIPSF 86, 85P, & 85

Processor• The Processor block reflects the individual whom

has initiated, reviewed, or approved the request within e-QIP

• If not utilized, click the “Copy From Requesting Official” button

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Agency Use Blocks Unique to e-QIPSF 86, 85P, & 85, (continued)

Special Handling• Any special handling instructions for the

investigation being requested • This is to be used in place of memos of instruction

typically submitted via standard paper form

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Submitted Forms

• All information requested on these forms is essential for the expeditious scheduling and investigating of cases

• Improper completion or omission can result in miss-scheduling and delaying the investigation

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Submitted Forms (continued)

• Submitted forms MUST contain the following:

– Correct, complete, and current information with details provided for “YES” responses

– Information that is typed or legibly printed (care should be taken so that numbers and letters are clearly formatted to avoid errors)

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Submitted Forms (continued)

• Zip codes for each activity

• Beginning and ending month and year of each activity

• Signature (full name of the person being investigated)

• Completed agency use items

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FIPC 391

Certification of Amended Investigative Forms

• Used to certify amended investigative forms were made consistent with Subject’s intent and with the Subject’s concurrence

• Amendments to qualifications, security, or suitability information must be completed by Subject– Must be initialed and dated by Subject

• Other changes may be made by agency official– Must be initialed and dated by official who made changes

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OF 306

Declaration for Federal Employment• Must be submitted for all investigation

requests for a new Federal employee• Must be submitted for all requested

submitted on SF 85

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Certification Page

• The certification page is the page signed by the Subject that states the form, and any attachments to it, are true, complete, and correct to the best of their knowledge

• Forms must be signed within 120 days of the date of submission to OPM. In e-QIP this date is captured electronically by the system and is used as the certification date

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SF 85P-S

Supplemental Questionnaire for Selected Positions

• Must have agreement with OPM

• Additional questions regarding drug and alcohol use and mental health

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Fingerprint Submission

• Submit only one chart with investigation request

• Two methods to submit– Fingerprint Transmission System (FTS)

Electronically submitted

– Hard cardSF 87: Used for Federal applicants and

employeesFD 258: Used for Contractors and Military

Personnel

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Federal Investigative Services Division Web Site

www.OPM.gov/extra/investigate

Available Information

• Federal Investigations Notices (FINs)• Organizational structure• Suitability tips• Relevant Executive Orders• Attachment pages for SF 86 and SF 85P• Links to sites containing Standard Forms

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U.S. MAIL:PO BOX 618

BOYERS, PA 16018-0618

FedEx/UPS:1137 BRANCHTON ROAD

BOYERS, PA 16018

724-794-5612

Telephone Liaison: 724-794-5228

OPM‘s Federal Investigations Processing Center

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Contact Information

Investigations Program Specialists(Boyers)

(724) 794-5612

Jennifer Ciochetto ext. 7572Shelby Crum ext. 5748Kathy Oberlin ext. 4468

Thomas Schnell ext. 5745Lynnette Weber ext. 4427

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Crystal City Contact Information

223 23rd Street

Crystal Plaza 5

Arlington, VA 22202

(703) 603-0576

Investigations Program Specialist Melissa Catterall ext. 0427 Susan Orndorff ext. 0589

John Kim ext. 0388 Angela Smith ext. 0592

Erika Moore ext. 0596 Sherry Tate ext. 0591

Lindsay Muschkat ext. 3278

Richard Weyrauch ext. 0219

1 Report Tile Processing Investigative Forms UNITED STATES OFFICE OF PERSONNEL MANAGEMENT.

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Transcript of 1 Report Tile Processing Investigative Forms UNITED STATES OFFICE OF PERSONNEL MANAGEMENT.