Office of the Chief Information Officer

United States Department of Agriculture

Employee Ethics Records

General ethics program records.  Records created and maintained to coordinate and manage an agency’s ethics program. Records relate to the development, review, implementation, and interpretation of proposed or established executive branch standards of ethical conduct and other ethics regulations; conflict of interest and other ethics-related statutes and Executive Orders; and any agency supplemental standards of ethical conduct and other agency ethics-related regulations and directives.

Retention

Destroy 6 years following the conclusion of an ethics regulatory review, provision of advice to an employee, making a determination regarding outside employment or after such determination is no longer in effect or applicable, or when no longer needed for an active investigation; whichever is later, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.8, Item 010

Disposal Authority

DAA-GRS-2016-0006-0001

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


Ethics Violations - Referrals and notifications of violations of criminal conflict of interest statutes and other potential violations files.
Referrals to Inspectors General or the Department of Justice concerning ethics violations or suspected violations. This item also covers related background materials, including copies of
disciplinary and corrective actions and disposition documents such as declinations of prosecution, and copies of OGE Form 202, Notification of Conflict of Interest Referral.

Retention

Destroy 6 years after final disposition of the referral to either the IG or DOJ, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.8, Item 020

Disposal Authority

DAA-GRS-2014-0005-0002

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017

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Reports of payments accepted from non-Federal sources.  Agency Reports – “Semiannual Reports of Payments Accepted from a Non-Federal Source,” OGE Form 1353 (SF 326).

Retention

Destroy 3 years following submission of the report to OGE, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.8, Item 030

Disposal Authority

DAA-GRS-2014-0005-0003

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


Reports of payments accepted from non-Federal sources.  Supporting documentation – Statements and forms, used to complete the submitted reports.

Retention

Destroy 1 year following submission of the report to OGE, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.8, Item 031

Disposal Authority

DAA-GRS-2014-0005-0004

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017

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Agency Annual Ethics Questionnaire - Correspondence, reports, and questionnaire.  Questionnaire completed by ethics officials on an annual basis in compliance with Section 402(e) (1) of the Ethics in Government Act of 1978, as amended, and associated records.  All other records related to responses to annual agency ethics program questionnaires.

Retention

Destroy 3 years after submission, but longer retention is authorized if required for business use.

GRS or Approved Records Schedule

GRS 2.8, Item 040

Disposal Authority

DAA-GRS-2014-0005-0005

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


Ethics Program Review - Records relating to OGE reviews of agency compliance with executive branch ethics laws and regulations in such areas as financial disclosure, education and training, and advice and counseling.  This includes OGE program review reports, notes and background materials produced during OGE program reviews, agency 60-day response letters, and other follow-up records sent to OGE on the resolution of program deficiencies.

Retention

Destroy 6 years after all outstanding ethics program review deficiencies have been resolved or when the documentation for the next program review is on file, whichever is later. Longer retention is authorized if needed for business use.

GRS or Approved Records Schedule

GRS 2.8, Item 050

Disposal Authority

DAA-GRS-2014-0005-0006

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017

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Financial Disclosure Reporting  Reports for individual filings – Legal Citation: 5 U.S.C. app. Section 105, 5 CFR 2634.603

Retention

Destroy 1 year after nominee ceases to be under consideration for the position or when no longer needed for active investigation, whichever is later.  This disposition instruction is mandatory; deviations are not allowed.

GRS or Approved Records Schedule

GRS 2.8, Item 060

Disposal Authority

DAA-GRS-2014-0005-0007

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


Financial Disclosure Reporting.  All other reports – Legal Citation:  5 U.S.C. app. Section 105, 5 CFR 2634.603

Retention

Destroy 6 years after receipt of the OGE Form 278 or 278e by the agency or when no longer needed for active investigation, which is later.  This disposition instruction is mandatory; deviations are not allowed.

GRS or Approved Records Schedule

GRS 2.8, Item 061

Disposal Authority

DAA-GRS-2014-0005-0008

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017

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Financial Disclosure Reporting.  Periodic transaction reports – Legal Citation:  STOCK Act, Pub. L. 112-105

Retention

Destroy 7 years after receipt of the agency or when the related subsequent OGE Form 278 (SF 278) is ready for destruction 6 years later.  The reports may be retained longer if needed for active investigation, which is later.  This disposition instruction is mandatory; deviations are not allowed.

GRS or Approved Records Schedule

GRS 2.8, Item 062

Disposal Authority

DAA-GRS-2014-0005-0009

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


Financial Disclosure Reporting. Reports for individual not subsequently confirmed by the U.S, Senate – Legal Citation: 5 CFR 2634.604

Retention

Destroy when the requested report is destroyed. This disposition instruction is mandatory; deviations are not allowed.

GRS or Approved Records Schedule

GRS 2.8, Item 063

Disposal Authority

DAA-GRS-2014-0005-0010

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017

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Financial Disclosure Reporting, Confidential, OGE 450, Not Hired - Correspondence, reports, and OGE 450 for individuals not subsequently confirmed by the U.S. Senate.

Retention

Destroy 1 year after nominee ceases to be under consideration for position or when no longer needed for active investigation, whichever is later.  This disposition instruction is mandatory; deviations are not allowed.

GRS or Approved Records Schedule

GRS 2.8, Item 070

Disposal Authority

DAA-GRS-2014-0005-0011

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


Financial Disclosure Reporting, Confidential, OGE 450, Not Hired - Correspondence, reports, and OGE 450 for all other reports.

Retention

Destroy 6 years after receipt of the OGE Form 450 by the agency, except when the OGE Form 450 supports one or more subsequent Optional OGE Form 450-As then destroy 6 years after receipt of the last related OGE Form 450-A by the agency, or when no longer needed for active investigation, whichever is later.  This disposition instruction is mandatory; deviations are not allowed.

GRS or Approved Records Schedule

GRS 2.8, Item 071

Disposal Authority

DAA-GRS-2014-0005-0012

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017

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Financial Disclosure Reporting, Confidential, OGE 450, Not Hired - Correspondence, reports, and OGE 450 for OGE Optional 450A reports.

Retention

Destroy 6 years after receipt of the OGE Form 450-A report by the agency, along with the associated OGE Form 450, or when no longer needed for active investigation, whichever is later.  This disposition instruction is mandatory; deviations are not allowed.

GRS or Approved Records Schedule

GRS 2.8, Item 072

Disposal Authority

DAA-GRS-2014-0005-0013

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


Alternative or additional financial disclosure reports and related records.  Reports for individuals not subsequently confirmed by the U.S. Senate.

Retention

Destroy 1 year after nominee ceases to be under consideration for the position or when no longer needed for active investigation, whichever is later.  This disposition instruction is mandatory; deviations are not allowed.

GRS or Approved Records Schedule

GRS 2.8, Item 080

Disposal Authority

DAA-GRS-2014-0005-0014

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017

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Alternative or additional financial disclosure reports and related records. All other reports – Legal Citation: 5 U.S.C. app section 105

Retention

Destroy 6 years after receipt of the financial disclosure report by the agency or when no longer needed for active investigation, whichever is later.  This disposition instruction is mandatory; deviations are not allowed.

GRS or Approved Records Schedule

GRS 2.8, Item 081

Disposal Authority

DAA-GRS-2014-0005-0015

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


Financial disclosure supporting documentation – supporting documentation used to review and verify the filer’s report submission.  Includes records such as:

  • Reviewer’s notes
  • Background research reports
  • Memorialized verbal comments of filer in response to reviewer questions

Retention

Destroy at the same time an individual’s related financial disclosure report is destroyed or 6 years after the individual has submitted their last financial disclosure report; or when no longer needed for active investigation, whichever is later.

GRS or Approved Records Schedule

GRS 2.8, Item 090

Disposal Authority

DAA-GRS-2014-0005-0016

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


Ethics agreements records.  Agreements for employees who do not file financial disclosure reports.
Records documenting the review and issue of ethics agreements used to remedy the appearance of potential or actual financial conflicts of interest. Includes:

  • review of recusals, resignations, reassignments, and divestitures
  • determinations
  • authorizations
  • waivers
  • waivers of disqualifications

Retention

Destroy 6 years after the waiver or other agreed-upon determination or action has been issued or undertaken, or 6 years after it is no longer in effect, or when no longer needed for active investigation, whichever is later. Longer retention is authorized if needed for business use.

GRS or Approved Records Schedule

GRS 2.8, Item 100

Disposal Authority

DAA-GRS-2014-0005-0017

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017


Ethics agreements records.  Agreements for employees who file financial disclosure reports.
Records documenting the review and issue of ethics agreements used to remedy the appearance of potential or actual financial conflicts of interest. Includes:

  • review of recusals, resignations, reassignments, and divestitures
  • determinations
  • authorizations
  • waivers
  • waivers of disqualifications 

Retention

Destroy at the same time as the employee’s last related financial report is destroyed or when no longer needed for active investigation, whichever is later.  Longer retention is authorized if needed for business use.

GRS or Approved Records Schedule

GRS 2.8, Item 101

Disposal Authority

DAA-GRS-2014-0005-0018

Record Type

Temporary

Related Forms

 

Date Updated

7/20/2017

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