Good Morning All:
I didn't catch the first part of this thread, but since I have worked with
the DOE schedules for many years, I thought I might jump in on this
discussion. The DOE Administrative Schedules have two different
"Pre-Employment Background" citations. One is for individuals that are
approved, but not hired and the second one is for those who are disapproved
for hire. (The second one meaning that the individual did not pass the
Pre-Employment Background Check) In the case of an individual that "is"
hired, the records are included in the Personnel Security File. They read
as follows:
DOE-ADM 18.21.3.a SECURITY, EMERGENCY PLANNING, AND SAFETY RECORDS
Pre-Employment Background Investigations. For those approved but not hired.
These files include records of investigations for DOE & contractor employees
& consultants, subcontractors & their employees & consultants, & others
seeking employment or who otherwise require access authorization. The files
are used to determine the eligibility of granting access authorizations and
may include the following letters & completed forms for each individual
being considered: drug screen consent, credit reports, authorization for
release of information, request to process, negative drug screen results,
letters generated from personnel security requesting information on
applicants' police, driving, academic, previous employment, military, &
personal references, subcontractor employment application, security
acknowledgment, medical records including employee assistance program, and
employment eligibility verification. Cut off at the end of the fiscal year.
Destroy 2 years after cutoff or date of background investigation.
DOE-ADM 18.21.3.b SECURITY, EMERGENCY PLANNING, AND SAFETY RECORDS
Pre-Employment Background Investigations. For those disapproved for hire.
These files include records of investigations for DOE & contractor employees
& consultants, subcontractors & their employees & consultants, & others
seeking employment or who otherwise require access authorization. The files
are used to determine the eligibility of granting access authorizations and
may include the following letters & completed forms for each individual
being considered: drug screen consent, credit reports, authorization for
release of information, request to process, negative drug screen results,
letters generated from personnel security requesting information on
applicants' police, driving, academic, previous employment, military, &
personal references, subcontractor employment application, security
acknowledgment, medical records including employee assistance program, and
employment eligibility verification. Cut off at the end of the fiscal year.
Destroy 5 years after cutoff or date of pre-employment background.
I hope you all have a wonderful week and holiday season,
Donna P. Wilson
Analyst - National Nuclear Security Administration - Y-12 National Security
Complex
E-mail: [log in to unmask]
Phone: (865) 241-4155
-----Original Message-----
From: Records Management Program [mailto:[log in to unmask]] On Behalf
Of Schildmeyer, Greg
Sent: Monday, December 13, 2004 6:11 PM
To: [log in to unmask]
Subject: Re: records on background checks
You all are getting this really confused. I'm seeing several conflicting
citations here. Let me see if I can shed some light on this.
First of all, you appear to be referencing two different series of records,
and apparently confusing them. One description is for pre-employment
background checks, which every Federal employee would undergo at the time
they are hired, and which are typically fairly routine. The other is
investigations for a security clearance (Secret, Top Secret, Q, etc.) which
is more extensive and only for employees, applicants, or contractors who
would need access to sensitive data or facilities.
The link that was provided as being GRS 18, Item 22 actually went to the
Bureau of Land Management records schedule, which is a nice record schedule
in itself, but not the authoritative GRS. The actual NARA GRS 18 link is
http://www.archives.gov/records_management/ardor/grs18.html. Item 22 does
deal with Security Clearance investigation records. I was unable to find,
either under GRS 18 Security, GRS 1 Personnel records, or any other GRS, a
series describing Pre-employment background check records. NARA seems not
to have provided this.
Department of Energy, however, has included an item dealing with these
pre-employment background investigations in its agency records schedule.
Agencies are free to do this when the GRS does not meet their needs for some
reason. This is item 21.3 in their schedule at
http://cio.doe.gov/RBManagement/Records/PDF/RS-DOEADM18.PDF. The next item,
22, deals with the Security Clearance investigations, and mirrors the NARA
GRS. They're two different kinds of records. If one reads the dispositions
of these two different series in the context of how each is created and its
purpose, the dispositions make logical sense.
I hope this helps.
Greg Schildmeyer
Director of Records Management
State of Missouri
(A former Fed)
-----Original Message-----
From: Roach, Bill J. [mailto:[log in to unmask]]
Sent: Monday, December 13, 2004 4:21 PM
To: [log in to unmask]
Subject: Re: records on background checks
>>The GRS citation I gave was for HIRED AND EMPLOYED individuals, which
is GRS 18/22a...There is no DOE Schedule for these documents, I've checked
time and time again... that's why we cite the GRS requirement.<<
The DOE Administrative schedule states:
>>(If applicant is hired, the pre-employment investigation file is
transferred to the person's personnel security file).<<
The next item in the Administrative schedule, item 22 identifies the
retention timeframe for the records of those hired: "Personnel Security
Files document the processing of individuals for DOE access authorizations
(security clearances), regardless of whether access authorizations are
granted. These files may include copies of the
following: pre-employment investigations; requests and justifications for
access authorizations, security forms, reports of background
investigation(s); personnel security interview transcripts and/or summaries
(including the audio cassettes), case evaluation sheets, security
incident/infraction report forms; correspondence with the individuals, the
individuals' employers, and other agencies; security badge information,
medication evaluations, security termination statements, and other material
relevant to the access authorization process. (SF-312s are related to
"access" and should not be maintained in the individual's Security File.)
Cut off file upon termination of authorization processing, when access
authorization is terminated, or when the contract relationship expires.
Retire inactive records 5 years after cutoff. Destroy not later than 10
years after date the individual's authorization is terminated or upon
notification of death of the individual, which ever is sooner.
(NOTE: Prior to destruction, remove the individual's Personnel Security
Questionnaire or equivalent document and retain it for 75 years after the
date the individual's authorization is terminated. These documents will be
used for the Health and Mortality Study.)"
I read these to be DOE requirements. What am I missing?
Bill R
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