DEPARTMENT OF COMMERCE
OFFICE OF INSPECTOR GENERAL
OFFICE OF INVESTIGATIONS RECORD SCHEDULE
(Job No. N1-040-02-1)

INSPECTOR GENERAL INVESTIGATIVE CASE FILES - DOC

Case files developed during investigations of known or alleged fraud and abuse, irregularities and violations of laws and regulations, mismanagement, gross waste of funds, abuse of authority or a substantial and specific danger to the public health and safety. Cases relate to agency personnel and programs and operations administered or financed by the agency, including contractors and others having a relationship with the agency. Files consist of investigative reports and related documents, such as correspondence, notes, attachments, and working papers.

1. Case files of significant value because the case attracts substantial national media attention, results in a Congressional investigation; or results in substantive changes in agency policies and procedures.

   PERMANENT. Cut off closed files by fiscal year. Retire to FRC 2 years after cutoff. Transfer to the National Archives 25 years after cutoff.
    

2. All other investigative case files not covered by item 1.

   TEMPORARY. Cut off closed files at the end of each fiscal year. Retire to FRC 2 years after cutoff. Destroy 10 years after cutoff.
    

3. Files containing information or allegations which are of an investigative nature but do not relate to a specific investigation. They include anonymous or vague allegations not warranting an investigation, matters referred to constituents or other agencies for handling, and support files providing general information that may prove useful in Inspector General investigations.

   TEMPORARY. Cut off files at the end of each fiscal year. Retire to FRC 2 years after cutoff. Destroy 5 years after cutoff.
    

4. Name check files developed during the screening process of key individuals and entities seeking financial assistance (grants, loans, loan guarantees, subsidies, etc.) from the Department or one of its organizational units.

   TEMPORARY. Cut off closed files at the end of each fiscal year. Transfer to FRC 2 years after cutoff. Destroy 5 years after cutoff.
    

5. Electronic copies of records that are created on electronic mail and word processing systems and used solely to generate a record keeping copy of the records covered by this item. Also includes electronic copies of records created on electronic mail and word processing systems that are maintained for updating, revision, or dissemination.

   (a) Copies of records covered by items 1- 4 that have no further administrative value after the record keeping copy is made. Includes copies maintained by individuals in personal files, personalelectronic 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 record keeping copy.

   Destroy/delete within 180 days after the record keeping 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.

OFFICE OF INSPECTOR GENERAL
OFFICE OF INSPECTIONS AND PROGRAM EVALUATIONS
(Job No. N1-040-01-2)

1. INSPECTION AND PROGRAM EVALUATION REPORT FILES-ORIGINALS: Case files of recurringinspections and program evaluations that assist management in identifying, analyzing, and resolving program and organizational performance and policy issues; studies of areas of specific concern, and internally generated study initiatives designed to achieve organizational improvement. These files include copies of official draft and final reports issued by the Inspector General to agency heads, project start sheets, report review process sheets, report distribution lists, correspondence, and agency action plans, if applicable.

   Disposition: Cut-off at end of fiscal year in which inspection report or program evaluation case file is closed. Retire to the FRC three years after cut-off. Destroy 8 years after cut-off.
    

2. INSPECTIONS AND PROGRAM EVALUATIONS-WORKING PAPERS: Copies of all relevant information generated, obtained, and used in supporting inspections and program evaluations, including the objectives, scope, and methodology and documentation of work performed to support findings, conclusions, and recommendations. Examples of such working papers would include: copies of interview notes, survey questionnaires prepared by the inspections staff; and source documents, raw data, publications, and other materials, from the agencies being inspected.

   Disposition: Cut-off at end of fiscal year in which inspection report or program evaluation case file is closed. Retire to the FRC three years after cut-off. Destroy complete working papers file after 8 years.
    

3.  ELECTRONIC RECORDS: Electronic copies of records that are created on electronic mail and word processing systems and that are used solely to generate a record-keeping copy of the records.

   Disposition: Destroy/delete after the record-keeping copy has been produced.

OFFICE OF INSPECTOR GENERAL
OFFICE OF AUDITS
(Job No. N1-040-00-1)

1. Audit Case Files. Case files of internal audits of agency programs, operations and procedures, and of external audits of contractors and grantees. Consists of job start, audit reports, correspondence, memoranda, and supporting working papers.

   a. Case files for term audits. The term audits includes both performance and financial audits. Performance audits include economy and efficiency and program audits. Financial audits include financial statement and financial-related audits.

   Disposition: Temporary. Cut off end of fiscal year in which case is closed. Retire to FRC one year after cutoff. Destroy 8 years after cutoff.

   b. Project files relating to other activities of an audit organization, including special projects not rising to the level of an audit, congressional correspondence, and related records.

   Disposition: Temporary. Cut off end of fiscal year in which case is closed. Retire to FRC one year after cutoff. Destroy 8 years after cutoff.

   c. Audit resolution and audit appeal files.

   Disposition: Temporary. Cut off end of fiscal year in which case is closed. Retire to FRC one year after cutoff. Destroy 8 years after cutoff.
    

2. Quality Review of OIG Office of Audits. Case Files of internal quality reviews and external quality (peer) reviews of OIG Office of Audits.

   Disposition: Temporary. Cut off at end of fiscal year in which case is closed. Retire to FRC one year after cutoff. Destroy 4 years after cutoff.
    

3. Electronic copies of records that are created on electronic mail and word processing systems and are used solely to generate a record keeping copy of the records.

   Disposition: Temporary. Delete after the record keeping copy has been produced.