|
Record Series Code
|
Record Series Title
|
Minimum Retention
|
Disposition
|
DESCRIPTION
|
|
Agency Specific Schedules: Ethics, Office of State: Entire Agency
|
|
OSE-01-001
|
|
Permanent
|
|
Consists of records that document advisory opinions issued by the Office of State Ethics. Including but not limited to: requests for advisory opinions, informal staff letters, and advisory opinions.
|
|
OSE-01-002
|
|
Receipt date + 1 Year(s)
|
|
Consists of records that document allegations of misconduct outside the Office of State Ethics jurisdiction. Including but not limited to: allegations and related documents.
|
|
OSE-01-003
|
|
Receipt date + 10 Year(s)
|
|
Consists of records that document appointments to, and resignations from, the Citizen’s Ethics Advisory Board and the State Ethics Commission.
|
|
OSE-01-004
|
|
Hearing completion date + 5 Year(s)
|
|
Consists of records that document hearings of the Citizen’s Ethics Advisory Board and the State Ethics Commission.
|
|
OSE-01-005
|
|
Case closed date + 2 Year(s)
|
|
Consists of confidential records that document investigations of potential ethics violations that do not lead to the issuance of formal complaints. Including but not limited to: informal interviews, drafts, legal memos, notes, and consent orders.
|
|
OSE-01-006
|
|
Case closed date + 5 Year(s)
|
|
Consists of non-confidential records that document investigations of potential ethics violations that do not lead to the issuance of formal complaints. Including but not limited to: informal interviews, drafts, legal memos, notes, and consent orders.
|
|
OSE-01-007
|
|
Case closed date + 2 Year(s)
|
|
Consists of confidential records that document investigations of potential ethics violations that lead to the issuance of formal complaints. Including but not limited to: informal interviews, subpoenas for documents, complaints, amended complaints, drafts, legal memos, notes, testimony under oath, and consent orders.
|
|
OSE-01-008
|
|
Case closed date + 5 Year(s)
|
|
Consists of non-confidential records that document investigations of potential ethics violations that lead to the issuance of formal complaints. Including but not limited to: informal interviews, subpoenas for documents, complaints, amended complaints, drafts, legal memos, notes, testimony under oath, and consent orders.
|
|
OSE-01-009
|
|
Case closed date + 5 Year(s)
|
|
Consists of reports submitted by any public official or state employee who establishes a legal defense fund, or for whom a legal defense fund has been established, to the Office of State Ethics.
|
|
OSE-01-010
|
|
Receipt date + 5 Year(s)
|
|
Consists of records that document the registration and filings of lobbyists in Connecticut. Including but not limited to: lobbyist registrations, lists of lobbyists, financial reports of lobbyists, expert witness statements of intent, and notices to individuals in lobbyist reports.
|
|
OSE-01-011
|
|
Receipt date + 5 Year(s)
|
|
Consists of records that document audits of registration and filings of lobbyists in Connecticut. Including but not limited to: preliminary reviews, field examinations, post-audit reports, and corrective actions (if any).
|
|
OSE-01-012
|
|
Receipt date + 5 Year(s)
|
|
Consists of records that document probable cause hearings. Including but not limited to: record of probable cause hearings and memorandums of decision.
|
|
OSE-01-013
|
|
Receipt date + 5 Year(s)
|
|
Consists of records that document the filings of elected public officials and state employees. Including but not limited to: statements of financial information (SFI), confidential addenda for SFI, state marshal conflict of interest statements, ethics statements, reports of items of value, and public official necessary expense forms.
|
|
OSE-01-014
|
|
Receipt date + 5 Year(s)
|
|
Consists of statements and reports filed by, and with, the Office of State Ethics.
|
