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 List archives at http://lists.ufl.edu/archives/recmgmt-l.html Contact [log in to unmask] for assistance List archives at http://lists.ufl.edu/archives/recmgmt-l.html Contact [log in to unmask] for assistance List archives at http://lists.ufl.edu/archives/recmgmt-l.html Contact [log in to unmask] for assistance