GENERAL RECORDS SCHEDULE 25

Ethics Program Records

Title IV of the Ethics in Government Act of 1978 as amended, 5 U.S.C.

appendix, title IV, authorizes the development of an executive

branch-wide ethics program to ensure that decisions made by employees

are neither tainted by, nor appear to be tainted by, any question of

conflicts of interest. Under the relevant sections of title IV and

Office of Government Ethics (OGE) executive branch-wide regulation at

5 C.F.R. part 2638, each agency is required to establish an ethics

program. This schedule covers records documenting the activities of

executive branch agency ethics program offices and provides

disposition for financial disclosure reports; ethics agreements;

outside employment and activity records; referrals of violations of

criminal conflict of interest statutes; ethics determination, advice,

consultation, and training records; and other commonly held ethics

program records. Records pertaining to legislative branch and

judicial ethics programs, the Hatch Act, the Whistleblower Protection

Act, procurement integrity and other areas often associated with, but

not expressly under the authority of executive branch ethics

programs, are not covered by this schedule.

Master lists of financial disclosure report filers, individuals

requesting outside employment and activities approval, and other

types of ethics-related master lists are not included in this

schedule. Ethics-related master lists that are used solely for the

purpose of tracking and controlling ethics records should be disposed

of in accordance with GRS 23 Item 8, Tracking and Control Records.

Master lists that are used for purposes in addition to tracking and

controlling ethics records should be disposed of in accordance with

the disposition for the underlying records as listed in this schedule

or as otherwise scheduled.

Note: Executive branch ethics program records are sometimes needed in

an ongoing investigation. Such records should be retained beyond

their approved retention period until no longer needed in the

investigation.

1\. Ethics Program Implementation, Interpretation, Counseling, and

Development Files.

Records maintained by ethics program offices relating 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. Including:

\- Records documenting the review of proposed or

established ethics-related statutes and regulations by ethics program

officials, including copies of proposed legislation, comments, and

all related records.

\- Determinations, including advice and counseling to individual

employees, and supporting records.

\- Records relating to requests under agency supplemental

standards of ethical conduct for prior approval of outside employment

and activities.

a\. Records such as determinations regarding attendance at

widely-attended gatherings which appropriate agency ethics officials

determine are related to the routine, non-precedential application of

settled legal standards to common factual situations and are not

interpretations of the conflict of interest statutes, 18 U.S.C. \'\'

202-209, and other ethics statutes the violation of which may result

in criminal penalties or civil fines.

Destroy when 3 years old or when superseded or obsolete, whichever is

later.

b\. All other records.

Destroy when 6 years old or when superseded or obsolete, whichever is

later.

2\. Financial Disclosure Reporting Files.

Financial disclosure reports submitted by individuals as required or

authorized under the Ethics in Government Act of 1978 (Pub. L.

95-521), as amended, and related records, including records of late

filing fee payments or requests for public reporting waivers of late

filing fees and responses; comment sheets by report reviewers and

filer responses; filing extension requests and determinations; and

copies of applications for public release of financial disclosure

report.

a\. Executive Branch Personnel Public Financial Disclosure Reports

(SF 278) and related records.

\(1\) SF 278 reports for individuals filing in accordance with

Section 101(b) or (c) of the Act, and not subsequently confirmed by

the U.S. Senate or elected.

Destroy 1 year after nominee or candidate ceases to be under

consideration for the position; EXCEPT that documents needed in an

ongoing investigation will be retained until no longer needed in the

investigation.

\(2\) All other SF 278s.

Destroy when 6 years old; EXCEPT that documents needed in an ongoing

investigation will be retained until no longer needed in the

investigation.

b\. Executive Branch Confidential Financial Disclosure Reports (OGE

Form 450) and Confidential Certificates of No New Interests (OGE

Optional Form 450-A) and related records.

\(1\) OGE Form 450s for individuals not subsequently confirmed by the

U.S. Senate.

Destroy 1 year after nominee ceases to be under consideration for the

position; EXCEPT that documents needed in an ongoing investigation

will be retained until no longer needed in the investigation.

\(2\) All other OGE Form 450s and OGE Optional Form 450-As.

Destroy when 6 years old; EXCEPT that documents needed in an ongoing

investigation will be retained until no longer needed in the

investigation.

c\. Alternative or additional financial disclosure

reports and related records.

\(1\) Reports for individuals not subsequently confirmed by the U.S.

Senate.

Destroy 1 year after nominee ceases to be under consideration for the

position; EXCEPT that documents needed in an ongoing investigation

will be retained until no longer needed in the investigation.

\(2\) All other alternative or additional financial disclosure

reports.

Destroy when 6 years old; EXCEPT that documents needed in an ongoing

investigation will be retained until no longer needed in the

investigation.

3\. Ethics Agreement Records.

Records documenting the review and issuance of ethics agreements used

to remedy the appearance of potential or actual financial conflicts

of interest, including:

\- Records relating to the review and issuance of recusals

(disqualifications), resignations, reassignments, and divestitures.

\- Records relating to determinations, authorizations, and waivers

under 5 C.F.R. \'\' 2635.502 and 2635.503.

\- Records relating to the review and issuance of waivers of

disqualifications under 18 U.S.C. \' 208 (b)(1) and (b)(3).

Destroy 6 years after the waiver or other agreed-upon determination

or action has been issued or undertaken or is no longer in effect,

whichever is later.

4\. Referrals and Notifications of Violations of Criminal Conflict

of Interest Statutes and Other Potential Violations Files.

Referrals made to Inspectors General or the Department of Justice and

notifications to OGE 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.

Destroy when 6 years old.

5\. Non-Federally Funded Travel Files.

a\. Agency copies of Semiannual Expense Reports for Non-Federally

Funded Travel submitted by all Executive branch agencies to the

Office of Government Ethics in accordance with guidance given at 31

U.S.C. \' 1353, as implemented by 41 C.F.R. chapter 304 and the use of

Standard Form (SF) 326 and SF 326A. Reports summarize payments made

to the agency from non-Federal sources for travel, subsistence, and

related expenses of an employee who attends a meeting or similar

function relating to official duties.

Destroy when 3 years old.

b\. Statements, forms, and other records used to compile Semiannual

Expense Reports for Non-Federally Funded Travel.

Destroy 1 year after submission of report to the Office of Government

Ethics.

6\. Ethics Program Review Files.

Reports, correspondence, and other 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.

a\. OGE program review reports, agency 60-day response letters, and

other follow-up records sent to OGE on the resolution of program

deficiencies.

Destroy when 6 years old.

b\. All other records produced during OGE program reviews,

including notes and background materials.

Destroy 1 year after the date of the OGE program review report or, if

there are recommendations, one year after they are closed.

7\. Annual Agency Ethics Program Questionnaire Files.

a\. 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.

Destroy 3 years after submission.

b\. All other records related to responses to annual agency ethics

program questionnaires.

Destroy 1 year after submission of associated annual agency ethics

program questionnaire.

8\. Ethics Program Employee Training and Education Files.

a\. Records relating to the administration of new employee ethics

orientations, annual, and other types of ethics training and

education. Records include, but are not limited to, annual plans,

schedules of classes, rosters of employees required to attend,

verification of training completion and other related records.

Destroy when 6 years old.

b\. Record copy of materials used in providing new employee ethics

orientations, annual, and other types of ethics training and

education including, but not limited to, instructors= guides,

handbooks, handouts and other materials used in training classes,

bulletins, and newsletters.

Destroy when 6 years old or when superseded or obsolete, whichever is

later.

9\. Ethics Program Procedures Files.

Procedures and related supporting records on the administration of

ethics programs including, but not limited to, public and

confidential financial disclosure reports systems, outside employment

and activities approval systems, and referrals of violations of

criminal conflict of interest statutes.

Destroy when 6 years old or when superseded or obsolete, whichever is

later.

10\. Electronic Mail and Word Processing System Copies.

Electronic copies of records that are created on electronic mail and

word processing systems and used solely to generate a recordkeeping

copy of the records covered by the other items in this schedule.

Also includes electronic copies of records created on electronic mail

and word processing systems that are maintained for updating,

revision, or dissemination.

a\. Copies that have no further administrative value after the

recordkeeping copy is made. Includes copies maintained by

individuals in personal files, personal electronic mail directories,

or other personal directories on hard disk or network drives, and

copies on shared network drives that are used only to produce the

recordkeeping copy.

Destroy/delete within 180 days after the recordkeeping copy has been

produced.

b\. Copies used for dissemination, revision, or updating that are

maintained in addition to the recordkeeping copy.

Destroy/delete when dissemination, revision, or updating is

completed.