Office of the Chief Information Officer

United States Department of Agriculture

Staff Office File Plan

This file plan is the sole authority for controlling the preservation and disposition of the records of the organizations identified as part of Record Group 016 – Office of the Secretary of Agriculture.  It covers administrative records common to the organizations within Record Group 016, and program records that are created and maintained within specific organizations.  The file plan is official guidelines that describe what to file, how to file it, how to make records more accessible to program staff, and the proper disposition of records when no longer needed for current business.  The disposition instructions apply to records regardless of physical form or characteristics. Your office should review the file plan annually and notify the Agency Records Officer of any changes (development of new records or changes to existing records).

Administrative Help Desk Records

Technical and administrative help desk operational records

Administrative Law Judges

Administrative Wage Garnishment Cases
Adjudicatory Cases - Packers and Stockyards Act
Adjudicatory Cases - Perishable Agricultural Commodities Act
Adjudicatory Cases - Animal Welfare and Horse Protection Act
Adjudicatory Cases - Administrative Procedure Act: Other Statutes
Adjudicatory Cases - Tobacco Inspection and Price Support
Reparation Cases - Case records under the Packers and Stockyards Act and Perishable Agricultural Commodities Act administered by the USDA.
Reparation Cases - Perishable Agricultural Commodities Act, Default Proceedings
Reparation Cases - Perishable Agricultural Commodities Act, Shortened Procedure and/or Hearing Procedure
Rate Cases – Packers and Stockyards Act
Rulemaking - Records which document activities in formal proceedings related to marketing agreements
Rulemaking - Selected Dockets
Rulemaking - Unselected Dockets
Certifications – Requests for certification

Administrative Management

Delegations of Authority – Material delegating authority
Organization – Material relating to organizational analysis and planning
Correspondence, General, Public Relations

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Agency Accountability Records

Internal administrative accountability and operational management control records
Internal control review, response, and mitigation management records
Administrative directives and notices
Records about authorizing and managing report requirements and parameters
Mandatory reports to external Federal entities regarding administrative matters

Appeals Board Decisions

Board of Contract Appeals – Correspondence, briefs, hearing transcripts and exhibits, appeals
Civilian Board of Contract Appeals (Board) – Reading files
Board Decisions, Master Set
Board Decisions - Other Copies

Budgeting Records

Budget execution records
Budget reports
Budget Reports, Other - Correspondence and all other reports
Budget preparation background records
Budget administration records

Budget Preparation, Presentation, and Apportionment Records

Budget Planning – Material pertaining to budget planning
Budget Development – Material pertaining to budget estimates, justifications, explanatory notes, narratives, and program performance
Budget Execution – Material pertaining to approved budget implementation and maintenance of financial controls over appropriated funds
Budget Presentation– Budget (original or revised) record copies submitted for Congress for approval
Budget Presentation - All Other Copies
Budget Financial Priorities – Material pertaining to the status or activities of all financial priorities
Budget Internal Controls – Material that pertains to plans of organizations
Budget Systems Review and Analysis – Indirect cost reviews and negotiations

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Common Office Records

Administrative records maintained in any agency office
Non-recordkeeping copies of electronic records
Records of non-mission related internal agency committees

Continuity and Emergency Planning Records

Emergency Planning and Operations

Contracting, Procurement, Supply Records

Corporate Property Automated Information System (CPAIS)
Procurement Reports
USDA Procurement Reporting System
Sureties
Consulting Services
Contract Disputes

Directives/Administrative Issuances/Policy/Regulations

External or Non-Series Instructions
Departmental Directives, Regulations, and Manuals

Emergency and Disaster Planning/COOP

Geo Security Information System (GeoSIS)
Continuity of Operations (COOP) – Plans or Directive
Continuity of Operations (COOP) – Exercises
Disaster Response - Presidential Declared Major Disasters
Disaster Response - Other Presidential Declared Emergencies
Disaster Response - Local USDA Emergencies

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Employee Acquisition Records

Classification Standards
Position Classification, Position Descriptions
Position Classification Appeals
Position Classification, Certificate of Classification Issued by OPM
Job vacancy case files. Records of onetime competitive and Senior Executive Service announcements/ selections
Job vacancy case files.  Records of standing register competitive files for multiple positions filled over a period of time
Job application packages
Case files on lost or exposed job test materials
Requests for non-competitive personnel action
Interview records
Political appointment (Schedule C) records
Delegated authority audits

Employee Compensation and Benefits Records

Records used to calculate payroll, arrange paycheck deposit, and change previously issued paychecks
Time and attendance records
THIS ITEM TO BE USED BY NFC ONLY:  Time and attendance records
Agency payroll record for each pay period
Wage and tax statements
Payroll program administrative records
Payroll system reports providing fiscal information on agency payrol
Donated leave program individual case files
Wage survey files
Workers’ Compensation (personnel injury compensation) records
Denied Health Benefits Requests Under Spouse Equity
Transportation subsidy program administrative records
Transportation subsidy program individual case files
Family Medical Leave Act program individual case files

Employee Ethics Records

General ethics program records
Ethics Violations - Referrals and notifications of violations of criminal conflict of interest statutes and other potential violations files
Reports of payments accepted from non-Federal sources. Agency Reports
Reports of payments accepted from non-Federal sources.  Supporting documentation
Agency Annual Ethics Questionnaire
Ethics Program Review
Financial Disclosure Reporting  Reports for individual filings
Financial Disclosure Reporting.  All other reports
Financial Disclosure Reporting.  Periodic transaction reports
Financial Disclosure Reporting.  Reports for individual not subsequently confirmed by the U.S, Senate
Financial Disclosure Reporting, Confidential, OGE 450, Not Hired - Correspondence, reports, and OGE 450 for individuals not subsequently confirmed by the U.S. Senate.
Financial Disclosure Reporting, Confidential, OGE 450, Not Hired - Correspondence, reports, and OGE 450 for all other reports.
Financial Disclosure Reporting, Confidential, OGE 450, Not Hired - Correspondence, reports, and OGE 450 for OGE Optional 450A reports.
Alternative or additional financial disclosure reports and related records.  Reports for individuals not subsequently confirmed by the U.S. Senate
Alternative or additional financial disclosure reports and related records. All other reports
Financial disclosure supporting documentation
Ethics agreements records.  Agreements for employees who do not file financial disclosure reports
Ethics agreements records.  Agreements for employees who file financial disclosure reports

Employee Health and Safety Records

Health Unit Control - Scheduling records of clinic visits, both occupational and non-occupational
Occupational Injury and Illness
EMF (Employee Medical Folder), Long-Term, Separated Employee
EMF (Employee Medical Folder), Temporary or Short-Term
EMF (Employee Medical Folder), Case Files Prior to Establishment of EMF
Non-occupational health and wellness program records
EEO Personnel Counseling
Employee drug test plans, procedures, and scheduling records
Employee drug test acknowledgment of notice forms
Employee drug testing specimen records
Employee "Positive results" drug test results
Employee "Negative Results" drug test results

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Employee Management Records

Records on routine office program support, administration, and human resources operations
Employee incentive award records.
Temporary Individual Employee Records
Notifications of personnel actions
Employment eligibility verification records
Acceptable performance appraisals of non-senior executive service employees
Unacceptable performance appraisals of non-senior executive service employees
Records of senior executive service employees
Performance records superseded through an administrative, judicial, or quasi-judicial procedure
Supervisors' Personnel Files and Duplicate OPF Documentation
Official Passport Applications

Employee Relations Records

Alternative Dispute Resolution (ADR) - ADR program files
Alternative Dispute Resolution (ADR) Case Files - Informal process
Alternative Dispute Resolution (ADR) Case Files - Formal process
Reasonable accommodation program files
Reasonable accommodation employee case files
EEO program files
EEO official discrimination complaint case files – Informal process
EEO official discrimination complaint case files – Formal process
EEO case files that did not result in an EEO complaint
EEO compliance review files
EEO reports and employment statistics files
Labor management relations agreement negotiation records.  Office responsible for negotiations
Labor management relations agreement negotiation records.  All other offices
Labor Arbitration
Administrative Grievance, Disciplinary and Adverse Action - Records relating to grievances raised by covered entities/individuals such as non-bargaining agency employees
Administrative Grievance, Disciplinary and Adverse Action – Adverse action files
Administrative Grievance, Disciplinary and Adverse Action – Performance-based action files
Displaced employee program files
Displaced employee program application records
Telework/alternative worksite program files
Forms, requests, or applications to participate in telework/alternate worksite programs

Employee Separation Records

Separation program management records
Individual employee separation case files
Records documenting capture of instructional and Specialized knowledge

Employee Training Records

Employee Training
Ethics Employee Training Material
Individual employee training records

Energy Management

Energy Management
Energy Conservation Reports
Environmental Pollution Complaints
Environmental Progress Reports
Environmental Pollution Reduction

Environmental Quality

Center for Environmental Excellence (CEE)

Executive Branch

White House and Executive Office Relations

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External Relations

External Relations
External Relations Reports
Interdepartmental Relations

Facility, Equipment, Vehicle, Property, and Supply Records

Facility, space, vehicle, equipment, stock, and supply administrative and operational records
Real Property
Excess personal property, equipment, and vehicle records
Facility design, engineering, and construction records.  Draft, preliminary, intermediate, working, and contract negotiation drawings
Facility design, engineering, and construction records. Final and as-built drawings, plans, and designs; and all other records
Facility, space, and equipment inspection, maintenance, and service records
Housing rental and lease records
Motor Vehicle inspection, maintenance, and service records
Motor Vehicle Operator
Motor Vehicle Accidents
Direct Leasing
Land Utilization
Historical Significance/Preservation
Relocation Assistance
Official Agency Symbols, Use of
Personal Property Management

Federal Advisory Committee Records

Substantive Committee Records (Non-Grant Review Committees)  Federal Advisory Committee Records
FACA Operations
Federal Advisory Committee Records

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Financial Management and Reporting Records

Financial management and reporting administrative records
Financial transaction records related to procuring goods and services, paying bills, collecting debts, and accounting
Bids and proposals neither solicited nor accepted
Federal Procurement Data System
Records supporting compilation of agency financial statements and related audit, and all records of all other reports
Cost accounting for stores, inventory, and materials
Construction Contractors’ Payroll
Contract appeals case files
Vendor and bidder information. Documentation of approved, suspended, and debarred vendors and bidders. Records of suspensions and debarments for violation of the Drug-Free Workplace Act
Vendor and bidder information. Documentation of approved, suspended, and debarred vendors and bidders.  Records of all other suspensions and debarments and all approved vendors and bidders
Administrative claims by or against the United States
Grants
Reports, Accounting and Financial Management
Accounting Systems
Financial Systems
Cash Management
Debt Management
Liabilities
Revenues
Cost Distribution
Working Captial Fund
Planning, Development, and Approval
Management Council Cost Distribution
Working Capital Fund Cost Distribution
Department Centralized Reimbursable Program Cost Distribution
Cost Determination (A-76)
Property Accounting
Fiscal Irregularities
Financial Reviews

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General Technology Management Records

Technology management administrative records
Infrastructure project records
System development records
Special purpose computer programs and applications
Information technology operations and maintenance records
Configuration and Change Management Records
Information technology oversight and compliance records
Data administration records. Documentation necessary for preservation of permanent electronic records
Data administration records. Documentation for temporary electronic records and documentation not necessary for preservation of permanent records

Grant and Cooperative Agreement Records

Grant and cooperative agreement program management records
Successful Application Grant and cooperative agreement case files
Unsuccessful Application Grant and cooperative agreement case files
Final grant and cooperative agreement products or deliverables

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Information Access and Protection Records

FOIA, Privacy Act, and classified documents administrative records
General information request files
Access and disclosure request files
Information Access and Protection Operational Records - Information access and protection tracking and control records
Information Access and Protection Operational Records -Access control records
Information Access and Protection Operational Records - Records relating to classified or controlled unclassified document containers
Accounting for and control of access to classified and controlled unclassified records and records requested under FOIA, PA, and MDR
Privacy Act accounting of disclosure files
Erroneous release records
Agency reports to the Congress
Legal and Regulatory Compliance - Annual reports by agency CIO, Inspector General, or Senior Agency Official for Privacy
Privacy Act amendment request files
Classified Information Nondisclosure Agreements Declassification - Erroneous Release
Privacy Act System of Records Notices (SORNs)

Information Systems Security Records 

Systems and data security records
Computer security incident handling, reporting and follow-up records
IT Passwords Routine Systems
IT Passwords Special Accountability
System Backup Tapes, Incremental
System Backup Tapes, Full
Backups of Files for Permanent Records
Backups of Files for Temporary Records
PKI Administrative Records – FBCA CAs
PKI Administrative Records – Other (non-FBCA) CAs
PKI Administrative Records – Specific records

Information Technology Records

Information Technology program and capital investment planning records
Enterprise architecture records
 

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Inspector General

Significant Cases
All Other Investigative Cases, Prosecutorial
All Other Investigative Cases, Administrative
All Other Investigative Cases, No Action
Information or Allegations, No Investigation
Audits with Historical Value, Record Copy of Final Report
Audits with Historical Value, Other Records Related to Audit
Case Files of Agency Audits
Recurring Program Evaluations
OIG Office of Counsel Litigation Case Files
OIG Office of Counsel, Other Litigation Case Files
Manual of Procedures
Investigations and Audits

Legal Affairs

Case Files
Departmental and Administrative
Legal Affairs and Proceedings
Legal Advice and Opinions
Employee Involvement

Legislative Branch

Legislative Branch Relations
Congressional Hearings and Testimony
Reports to Congress

Legislative Programs and Reports

Legislative Programs and Reports
Legislative Proposals
Legislative Review

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Litigation Case Files

Significant Litigations Case Files
All other Litigations Case Files
Significant Legal Matters Files
All other legal matters file

Mail, Printing, and Telecommunication Service Management Records

Mail, printing, and telecommunication services administrative and operational records
Control Files
Metered Mail
Lost, destroyed, or damaged shipment records

National Appeals

National Appeal Cases

Office of the Chief Economist

World Agricultural Supply and Demand Estimates (WASDE)

Office of the Secretary

Schedules of Daily Activities – High Level Officials
Secretary’s Memoranda and Directives Signed by the Secretary
Secretary’s Correspondence and Records
Alphabetical Name File

Ombudsperson Records

Monthly Activity Reports
Ombudsperson Calendars
Speeches and Presentations
Inquiries and Resolutions Files
Statistical Tracking Records
Congressional Correspondence
Internal Program Management Records
Marketing Records
Informal Communication Records

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Printing, Binding, Duplication, and Distribution Records

Joint Committee on Printing (JCP) Reports to Congress

Program Planning, Evaluation, and Analysis

Program Goals and Objectives
Program Planning
Planning, Evaluation, and Analysis
Program Review and Evaluation
Program Impact Analysis
Program Decision Systems

Public Affairs Records

Public affairs-related routine operational records
Public correspondence and communications not requiring formal action
Public affairs product production files
Routine media relations records
Routine audiovisual records

Public Customer Service Records

Distribution lists used by an agency to deliver specific goods or services

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Public Relations

High Level Officials
Memoranda of Understanding
Speeches of the Secretary of Agriculture - All other copies
Speeches of the Secretary of Agriculture - Master Set
Historical Programs
Weekly Series
Media and Public Liaison
Photo Indexes
Instructional Presentations about USDA Programs
Stock Motion Picture Film or Video Tapes
Press Releases - All other copies
Press Releases Master Set and Index
Delegations of Authority - High level Officials
State and National Journal Stories
Publications - Master set of all publications of the Department
Publications - All Other Copies
Cooperative Agreements and Memoranda of Understanding
Productions made for distribution
Special subject productions for use within the Department
TV Film News Features
TV Public Service Announcements
Video and Film Duplicates
Video Recordings of High Level Officials
Video Recordings - All Others
Solicitor's opinions Relating to the Office of Communications
Special Reports and Surveys
Departmental Awards

Records Management Records

Tracking, Control, Finding Aids and Indexes
Records management program records
Vital or essential records program records
Copies of vital records
Forms management records

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Records of the Chief Information Officer

Enterprise Architecture
Web Content
Design, Management, and Technical Operation

Regulatory

Regulatory

Rulemaking Records

Records of proposed rule development
Proposed and final rule documents published in the Federal Register
Public comments
Federal Register notices other than proposed and final rules
Agency input into the unified agenda

Rulemaking/Regulatory Dockets

Rulemaking Dockets
Rulemaking Dockets and Other Indexes

Safety

Computer Emergency Notification System (CENS)
Radiation Safety Management System (RSMS)

Scientific Integrity and Research Misconduct Case Records

Scientific Integrity and Research Misconduct Case Records with Significant Historical Value that Involve Allegations that are Referred for an Inquiry and/or lnvestigation
Scientific Integrity and Research Misconduct Case Records that Involve Allegations Referred for an Inquiry and/or Investigation
Scientific Integrity and Research Misconduct Case Records Involving Allegations that are Not Referred for an Inquiry and/or Investigation

Security Records

Security administrative records
Key and card access accountability records
Uniform and equipment tracking records
Property pass records
Unclaimed personal property records
Facility security assessment records. Surveys and inspections of security and safety measures at Government or privately owned facilities assigned a security awareness status by Government agencies
Facility security assessment records. Surveys and inspections of security and safety measures at Government or privately owned facilities assigned a security awareness status by Government agencies. All other facility security areas
Records of routine security operations
Accident and incident records
Visitor processing records.  Areas requiring highest level security awareness
Visitor processing records. All other facility security areas
Personal identification credentials and cards
Personnel security investigative reports
Personnel security and access clearance records. Records of people not issued clearances. Includes case files of applicants not hired
Personnel security and access clearance records. Records of people issued clearances
Index to the personnel security case files
Information security violations records

Transitory and Intermediary Records

Transitory records
Intermediary records

Vehicle Maintenance/Operations

Motor Vehicle Leasing

Washington Area Service Center

Washington Area Service Center (WASC)

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