Incomplete personnel reecords

[CAPAPRN]

Hello- is there a specific process for addressing a SUI finding of an incomplete record- e.g. a member who joined in 1971 and we do not have the original application for senior membership, and the unit he joined in 1971 no longer exists and we cannot get a copy from NHQ etc. Essentially, this document is rocking horse poop, but it was mentioned on an SUI - how does one close the finding? Thanks.

[lordmonar]

Create a new one.

[Eclipse]

Create a new one.

+1 That and / or include a memo to that effect in the personnel records (i.e. original records lost, squadron no longer exists).  That
acknowledges that the Personnel Officer is aware of the missing records, which is the real issue - not that the records are missing, per se, but that there is no awareness of them missing.

All your jackets should be checked for this kind of omission.

[lordmonar]

One of the many things we need to do is to go over the regulations for personnel and admin and revamp what really needs to be kept and for how long.

Do I really need to keep a membership form from 1971?  Especially with E-services?

[SARDOC]

The record retention period is only five years so if he experienced a break at any point of more than five years it's not really missing, it's been destroyed IAW CAP Regulations.

If he had transferred from his old unit to a new unit more than five years ago and never requested or hand carried his record it's also outside the retention period.  If the old Squadron is defunct and has been more than five years, there is no expectation that the record still exists.

It's unfortunate but that's why I recommend members keep a copy of everything.  I've even suggested all members maintain a copy of their own record.

[Eclipse]

The record retention period is only five years so if he experienced a break at any point of more than five years it's not really missing, it's been destroyed IAW CAP Regulations.

5 years is for terminated members, not active members.

There's no retention period on active members, nor relief on the few documents required to be in a file.  A ten year OLD CAPF 24 should still be retained, etc.

[cm42]

The record retention period is only five years so if he experienced a break at any point of more than five years it's not really missing, it's been destroyed IAW CAP Regulations.

5 years is for terminated members, not active members.

5 years is for membership expiration and transfers. As the member transferred from the prior unit, the prior unit would have destroyed the records after 5 years.

[Woodsy]

During my transient period from squadron to group to wing (all within a year) my file was "misplaced."  The squadron I left was having a rough time, and shortly after I left there was a change of command.  From what I hear the poor new CC didn't know what he was walking into...  Files, paperwork etc. was virtually nil.  Luckily he was the right man for the job and whipped it into shape. 

So there I am on Wing Staff with no personnel file.  In FLWG, directors retain their own files and those of their staff.  Thankfully, I had done a pretty decent job of keeping things myself, but there are some things I can't find.  Between what I have and what's on e-services, the only thing I lost was 1 find ribbon, but I have others... 

[SARDOC]

The record retention period is only five years so if he experienced a break at any point of more than five years it's not really missing, it's been destroyed IAW CAP Regulations.

5 years is for terminated members, not active members.

There's no retention period on active members, nor relief on the few documents required to be in a file.  A ten year OLD CAPF 24 should still be retained, etc.

Agreed,  I'm sorry I didn't specifically clarify that.  The OP Mentioned that the Subject is no longer with the unit that he originally joined in 1971, making me think that he either had a break or did not transfer his record resulting in the destruction of the record IAW CAP policy.

Either way, when he either reaffiliated or transferred to the present unit, they should have either made requests for the record or generate a new form, which ever is the most appropriate.

[cm42]

Personally speaking, I hate the idea of having the CAPF 12/15 required to be on file locally. You're not a member until NHQ says you're a member, so whether there's a CAPF 12/15 in your file is irrelevant, and contains no useful information. What it does have is your SSN, which doesn't need to be floating around at the local unit for lazy admins to lose track of through the years, only to *hopefully* be destroyed when the unit closes down.

[Ed Bos]

Hello- is there a specific process for addressing a SUI finding of an incomplete record- e.g. a member who joined in 1971 and we do not have the original application for senior membership, and the unit he joined in 1971 no longer exists and we cannot get a copy from NHQ etc. Essentially, this document is rocking horse poop, but it was mentioned on an SUI - how does one close the finding? Thanks.

FWIW, I'm not a fan of recreating lost documents... Feels like forgery. I'm a fan of documenting that something is missing and placing that in the record (like Eclipse said).

However you decide to address the missing documentation from the finding, I find a few things helpful to get findings closed.WIW, I'm not a fan of recreating lost documents... Feels like forgery. I'm a fan of documenting that something is missing and placing that in the record (like Eclipse said).

But your question was about closing the finding. I'd recommend writing a response that states 3 things;

1) The corrective action taken (either recreating the lost document, or the memo for record in the file explaining the situation);

2) What action taken by the unit to prevent the situation from occurring again... at least prevent it from going unnoticed without appropriate action taken before an inspection;

3) The phrase, "This finding should be closed."

That last part is key, and there's nothing wrong with making that statement. To do so, make sure you've taken the action necessary to prevent similar findings in the future. This is a trick I learned from the National IG Team when responding to Wing Findings. Without specifying that you expect the finding to be closed there's a chance that someone in the loop may think there's some additional action or follow up that is being waited on.

Cheers!