Office of the Chief Information Officer

United States Department of Agriculture

Agency Accountability Records

Internal administrative accountability and operational management control records.   Internal evaluations of accounting and administrative controls, mandated or governed by OMB Circulars A-123, A-130, and A-76; Government Accountability Office’s (GAO) Standards for Internal Control in the Federal Government (the “Green Book”); and similar requirements or directives.  Includes:

  • copies of internal and external directives outlining management control policy
  • management control plans and records of the planning process
  • records of management reviews
  • comprehensive plans documenting agency efforts to comply with OMB Circular A-123 and similar requirements
  • risk analyses and risk profiles
  • internal controls over reports
  • feeder reports and compliance statements from agency components contributing to consolidated reports the agency submits to the President/OMB or Congress (see Exclusion 2)
  • records tracking assignments, tasks, and responsibilities
  • administrative correspondence

Retention

Destroy 1 year after submission or when superseded, as appropriate, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 5.7, Item 010

Disposal Authority

DAA-GRS-2017-0008-0001

Record Type

Temporary

Related Forms

 

Date Updated

12/26/2017


Internal control review, response, and mitigation management records.  Copies of reports and audits identifying internal administrative program weaknesses, mitigation action plans, corrective actions, tracking records, correspondence, and other records held by the office responsible for coordinating internal control functions.

Retention

Destroy 5 years after no further corrective action is needed, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 5.7, Item 020

Disposal Authority

DAA-GRS-2017-0008-0002

Record Type

Temporary

Related Forms

 

Date Updated

12/26/2017

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Administrative directives and notices.  Policy documents on administrative functions such as payroll, procurement, facilities, equipment, and human capital.  Includes records documenting development.

Retention

Destroy when superseded, obsolete, or no longer needed for business, whichever is later.

GRS or Approved Records Schedule

GRS 5.7, Item 030

Disposal Authority

DAA-GRS-2017-0008-0003

Record Type

Temporary

Related Forms

 

Date Updated

12/26/2017


Records about authorizing and managing report requirements and parameters.  Processing and submission files on reports an agency creates or proposes.  Includes copies of authorizing directives; preparation instructions; descriptions of required or standardized formats; clearance forms; and documents on evaluating, continuing, revising, and discontinuing reporting requirements.

Retention

Destroy 2 years after the report is discontinued, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 5.7, Item 040

Disposal Authority

DAA-GRS-2017-0008-0004

Record Type

Temporary

Related Forms

 

Date Updated

12/26/2017

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Mandatory reports to external Federal entities regarding administrative matters.  Agency-level reports that external Federal oversight entities such as the White House, Congress, OMB, the Office of Personnel Management (OPM), and General Services Administration (GSA) require under authorities such as (but not limited to) OMB Circular A-123, the Federal Managers Financial Integrity Act (FMFIA), the Chief Financial Officers Act (CFOA), the Paperwork Reduction Act (PRA), Joint Committee on Printing requirements and the FAIR Act.

Retention

Destroy 6 years after report submission or oversight entity notice of approval, as appropriate, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 5.7, Item 050

Disposal Authority

DAA-GRS-2017-0008-0005

Record Type

Temporary

Related Forms

 

Date Updated

12/26/2017

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