U.S. DEPARTMENT OF COMMERCE
OFFICE OF THE SECRETARY
RECORDS CONTROL SCHEDULE

January 2005

TABLE OF CONTENTS

Immediate Office of the Secretary

Executive Secretariat
Chief of Staff
Deputy Secretary/Associate Deputy Secretary
Office of Public Affairs
Newsroom
Scheduling
Consumer Affairs
Business Liaison
Legislative and Intergovernmental Affairs
White House Liaison
Office of Budget
Office of Human Resources Management

IMMEDIATE OFFICE OF THE SECRETARY

Executive Secretariat

Secretariat Program Operations Files

This file consists of photocopies of all incoming correspondence directed to the Secretary or Deputy Secretary, or Congressional referrals addressed to the Office of Congressional Affairs, and copies of replies thereto. The files document the involvement of top officials in various Departmental programs and contain photocopies of all controlled correspondence referred by the Executive Secretariat to various Commerce operating units or Departmental offices. The original incoming letters and record copies of outgoing correspondence are maintained in the action office that prepared them.

The file includes correspondence from the private sector filed by subject; correspondence with other government agencies arranged alphabetically by name of agency; alphabetically arranged correspondence with Congress and its committees and with the White House; alphabetically arranged correspondence relating to committees, boards, councils, and commissions of the Department of Commerce or independent agencies of the government; and alphabetically arranged periodic or special reports requested or initiated by the Secretary's office.

AUTHORIZED DISPOSITION: Permanent. Close files annually and transfer to Washington National Records Center (WNRC.) Transfer to the National Archives when 20 years old.

DISPOSITION AUTHORITY: N1-40-92-5, Item 1.

Security Classified Subject Files

Originals and photocopies of incoming correspondence and memorandums with copies of replies from the Secretary's Office. The records are received from other government agencies, the White House, Congress, or from inside the Department of Commerce. Arranged alphabetically by subject.

AUTHORIZED DISPOSITION: Permanent. Close files annually and transfer to WNRC. Transfer to the National Archives when 20 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 2.

Secretariat Program File and Mail Control Indexes

Record det of the manual mail control cards and cross indexes, if created, and computer indexes maintained in place of a manual indexing system.

A. Textual records.

AUTHORIZED DISPOSITION: Permanent. Close index annually when the related program files described in the two items immediately above are closed. Transfer the closed index to WNRC with the related program files. Transfer to the National Archives when 20 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 3a.

B. Electronic records:

1) Printout of closed electronic index

AUTHORIZED DISPOSITION: Permanent. Close index annually when the related program files described above are closed. Transfer printout of the closed index files to WNRC with the related program files. Transfer to the National Archives when 20 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 3b(1).

2) Electronic media

AUTHORIZED DISPOSITION: Delete individual index entries after printout of closed index is transferred to WNRC as specified above in item 3b(1).

DISPOSITION AUTHORITY: N1-40-92-5, item 3b(2).

Briefing Books

Secretary's copy of briefing books on important issues prepared by various Departmental offices. Contains schedules, agendas, topics of discussion, issue and talking points, biographies, information and background on countries visited, and the like.

AUTHORIZED DISPOSITION: Permanent. Close files annually and transfer to WNRC. Transfer to the National Archives when 20 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 4.

Invitations

Routine invitations to attend, participate, and/or speak at meetings, conferences, seminars, social gatherings, and similar events.

A. Accepted invitations

1) Invitations accepted by the Secretary

AUTHORIZED DISPOSITION: Destroy when 3 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 5a(1).

2) All other accepted invitations

AUTHORIZED DISPOSITION: Destroy when 1 year old.

DISPOSITION AUTHORITY: N1-40-92-5, item 5a(2).

B. Rejected invitations

1) Invitations rejected by the Secretary, Deputy Secretary, Assistant Secretaries, or other Secretarial Officers

AUTHORIZED DISPOSITION: Destroy when 1 year old.

DISPOSITION AUTHORITY: N1-40-92-5, item 5b(1).

2) All other rejected invitations

AUTHORIZED DISPOSITION: Destroy when no longer needed for current agency business.

DISPOSITION AUTHORITY: N1-40-92-5, item 5b(2).

Chronological Files

Extra copies of correspondence and other records arranged by date and which are maintained solely for reference purposes.

A. Records prepared in the Office of the Secretary, Deputy Secretary, Assistant Secretaries, and other Secretarial Officers.

AUTHORIZED DISPOSITION: Destroy when 4 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 6a.

B. All others

AUTHORIZED DISPOSITION: Destroy when 2 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 6b.

Appointment Books and Daily Schedule of Meetings

A. Secretary or Deputy Secretary

AUTHORIZED DISPOSITION: Destroy 5 years after close of the official's tenure in office.

DISPOSITION AUTHORITY: N1-40-92-5, item 7a.

B. Assistant Secretary and other Secretarial Officers

AUTHORIZED DISPOSITION: Destroy 3 years after close of the official's tenure in office.

DISPOSITION AUTHORITY: N1-40-92-5, item 7b.

C. All others

AUTHORIZED DISPOSITION: Destroy 3 years after close of the official's tenure in office.

DISPOSITION AUTHORITY: N1-40-92-5, item 7b.

Administrative Subject File

Office copies of records pertaining to internal administrative and housekeeping matters such as time and attendance reports, requisitions for supplies, mail control status reports, management reports, and special studies relating to office procedures.

AUTHORIZED DISPOSITION: Destroy when 2 years old or according to the General Records Schedule covering the specific records, whichever is later.

DISPOSITION AUTHORITY: N1-40-92-5, item 8.

Office of the Chief of Staff

Subject Files

Memorandums, correspondence, news releases, copies of Secretarial correspondence, special reports, biographies, travel schedules, staff assignments, and the like arranged alphabetically.

AUTHORIZED DISPOSITION: Destroy when 3 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 9.

Chronological Files

AUTHORIZED DISPOSITION: Destroy when 3 years old or when no longer needed for reference.

DISPOSITION AUTHORITY: N1-40-92-5, item 10.

Deputy Secretary/Associate Deputy Secretary

Subject Files

Alphabetically arranged copies of correspondence, memorandums, newspaper clippings, briefing books, drafts of correspondence, and the like.

AUTHORIZED DISPOSITION: Destroy when 3 years old or when no longer needed for reference.

DISPOSITION AUTHORITY: N1-40-92-5, item 11.

Speeches

Speeches, comments, and addresses of official staff that are not maintained in the Office of Public Affairs.

AUTHORIZED DISPOSITION: Permanent. Break files annually and transfer to WNRC when 4 years old. Transfer to the National Archives when 20 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 12.

Office of Public Affairs

Speeches

Official copies of speeches of the Secretary of Commerce.

AUTHORIZED DISPOSITION: Permanent. Break files annually and transfer to WNRC when 3 years old. Transfer to the National Archives when 20 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 13.

Publications

Record set of all Office of Public Affairs publications.

AUTHORIZED DISPOSITION: Permanent. Break files annually and transfer to WNRC when 3 years old. Transfer to the National Archives when 20 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 14.

Press Releases

Official copy of all news releases of the Department of Commerce, arranged alphabetically by bureau and thereunder by press release number.

AUTHORIZED DISPOSITION: Permanent. Break files annually and transfer to WNRC. Transfer to the National Archives when 20 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 15.

Newsroom

News Excerpts and Video Cuts ("Archive Tapes")

Videotapes of television programs, news media interviews, public affairs programs, and other televised appearances of the Secretary and other senior Departmental officials regarding significant trade issues, Department of Commerce policies, initiatives, and activities. Arranged chronologically.

AUTHORIZED DISPOSITION: Permanent. Transfer directly to the National Archives at the end of the Secretary's tenure or when 5 years old, whichever is later.

DISPOSITION AUTHORITY: N1-40-92-5, item 16.

Audiotapes of Speeches and Press Conferences

The master recording and one copy of each speech, statement, press conference, interview, or similar meeting or public announcement conducted by the Secretary and recorded on audiotape.

AUTHORIZED DISPOSITION: Permanent. Transfer directly to the National Archives at the end of the Secretary's tenure or when 5 years old, whichever is later.

DISPOSITION AUTHORITY: N1-40-92-5, item 17.

Routine Assignment Photographs of Departmental Activities

Routine negatives and photographs of Departmental activities including routine award ceremonies not presided over by the Secretary or Deputy Secretary, portraits of officials below the agency head level, Department retirement ceremonies, routine ceremonial meetings or "photo opportunities," and other photographs that are not scheduled separately in the four items immediately following.

AUTHORIZED DISPOSITION: Break files annually and destroy when no longer needed for current agency business.

DISPOSITION AUTHORITY: N1-40-92-5, item 18.

Architectural and Building Photographs

The original negative(s) and contact sheet(s), the original negative(s) and two prints, or the original and one duplicate color transparency of the main Department of Commerce building, other Department of Commerce agency and bureau buildings, interior offices and public spaces, and major building, construction, and renovation or remodelling projects.

AUTHORIZED DISPOSITION: Permanent. Break files in 5 year blocks. Transfer directly to the National Archives when the most recent records are 10 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 19.

Portraits of the Secretary, the Secretary's Cabinet, Senior Agency Officials, and Agency Heads

The original negative(s) and contact sheet(s), the original negative(s) and two prints, or the original and one duplicate color transparency of the Secretary, senior officials, and Department of Commerce agency heads.

AUTHORIZED DISPOSITION: Permanent. Break files in 5-year blocks. Transfer directly to the National Archives when the most recent records are 10 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 20.

Photographs of Dignitaries and VIPs

The original negative(s) and contact sheet(s), the original negative(s) and two prints, or the original and one duplicate color transparency of the Secretary, senior officials, and Department of Commerce agency heads.

AUTHORIZED DISPOSITION: Permanent. Break files in 5-year blocks. Transfer directly to the National Archives when the most recent records are 10 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 21.

Photographs of High-Level Ceremonies and Awards Presentations

The original negative(s) and contact sheet(s), the original negative(s) and two prints, or the original and one duplicate color transparency of high-level award or other ceremonies conducted by the Secretary or Deputy Secretary, or Departmental ceremonies hosted by the President.

AUTHORIZED DISPOSITION: Permanent. Break files in 5-year blocks. Transfer directly to the National Archives when the most recent records are 10 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 22.

Office of Scheduling

Appointment Books and Daily Schedule of Meetings

Duplicate copies of the official schedule of the Secretary of Commerce. Original copies are filed with the Executive Secretariat (above).

AUTHORIZED DISPOSITION: Destroy when no longer needed for current agency business.

DISPOSITION AUTHORITY: N1-40-92-5, item 23.

Secretary's Invitations

Reference copies of routine invitations to the Secretary of Commerce to attend, participate, and/or speak at meetings, conferences, seminars, social gatherings, and similar events. Official file copies of the Secretary's invitations and meeting schedule are maintained in the Executive Secretariat (above).

A. Accepted invitations

1) Invitations accepted by the Secretary, Deputy Secretary, Assistant Secretaries, or other Secretarial officers.

AUTHORIZED DISPOSITION: Destroy when no longer needed for current agency business.

DISPOSITION AUTHORITY: N1-40-92-5, item 24a(1).

2) All other accepted invitations

AUTHORIZED DISPOSITION: Destroy when no longer needed for current agency business.

DISPOSITION AUTHORITY: N1-40-92-5, item 24a(2).

B. Rejected invitations

1) Invitations rejected by the Secretary, Deputy Secretary, Assistant Secretaries, or other Secretarial officers.

AUTHORIZED DISPOSITION: Destroy when no longer needed for current agency business.

DISPOSITION AUTHORITY: N1-40-92-5, item 24b(1).

2) All other rejected invitations.

AUTHORIZED DISPOSITION: Destroy when no longer needed for current agency business.

DISPOSITION AUTHORITY: N1-40-92-5, item 24b(2).

Trip Files

Copies of travel vouchers and orders, itineraries, and other documentation relating to trips by key Secretarial officers.

AUTHORIZED DISPOSITION: Destroy when 2 years old or when no longer needed for current agency business.

DISPOSITION AUTHORITY: N1-40-92-5, item 25.

Office of Consumer Affairs

Complaint Files

Correspondence, records of telephone calls, and other routine inquiries and complaints, or referrals to other agencies.

AUTHORIZED DISPOSITION: Close files annually. Destroy when 2 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 28.

Office Subject Files

Routine office correspondence, memorandums, and administrative or facilitative materials filed alphabetically by subject.

AUTHORIZED DISPOSITION: Destroy when 2 years old.

DISPOSITION AUTHORITY: N1-40-92-5, item 29.

Office of Business Liaison

Association and Company Files

Correspondence, memorandums, reports, reference materials, brochures, and other records regarding DOC activities with private business firms, associations, and trade missions, or requests for assistance from such organizations or businesses.

AUTHORIZED DISPOSITION: Destroy at the end of each Presidential administration or when no longer needed for current agency business, whichever is earlier.

DISPOSITION AUTHORITY: N1-40-92-5, item 30.

Chronological Files

Copies of correspondence maintained chronologically.

AUTHORIZED DISPOSITION: Destroy when 2 years old or when no longer needed for current agency business, whichever is earlier.

DISPOSITION AUTHORITY: N1-40-92-5, item 31.

Priorities and Issues Subject Files

Correspondence received from businesses, organizations, and individuals containing private sector responses to government-wide or DOC issues, priorities, and initiatives.

AUTHORIZED DISPOSITION: Destroy at the end of each Presidential administration or when no longer needed for current agency business, whichever is earlier.

DISPOSITION AUTHORITY: N1-40-92-5, item 32.

Trade Missions Subject Files

Files containing correspondence, arrangements, contacts, meetings, scheduling, and trip arrangements for trips overseas and representation at trade missions abroad.

AUTHORIZED DISPOSITION: Destroy at the end of each Presidential administration or when no longer needed for current agency business, whichever is earlier.

DISPOSITION AUTHORITY: N1-40-92-5, item 33.

Private Sector Initiatives Subject Files

Files arranged alphabetically by subject regarding DOC initiatives in the private sector for volunteer projects, special programs, clothing collections projects, and others.

AUTHORIZED DISPOSITION: Break files annually. Destroy when 5 years old or when no longer needed for current agency business, whichever is earlier.

DISPOSITION AUTHORITY: N1-40-92-5, item 34.

Legislative and Intergovernmental Affairs

Office of Intergovernmental Affairs

Program Subject Files

Correspondence, memorandums, reports, drafts, issue papers, mailing lists, and the like broken down into four subseries:

• State Files. Arranged alphabetically by State. Records relating to liaison, coordination, and assistance of programs for State governments.

• Interest Group Files. Arranged alphabetically by organization or group. Records relating to liaison, coordination, and assistance to programs operated by private sector trade, business, and professional organizations or associations.

• Office Issues Files. Arranged alphabetically by DOC agency, division, bureau, or other organizational unit. Records relating to key issues, liaison, coordination, and assistance to programs of DOC or identified by the Secretary.

• General Subject Files. Arranged alphabetically by subject. Records relating to conferences, seminars, meetings, and other matters.

AUTHORIZED DISPOSITION: Destroy when 8 years old or when no longer needed, whichever is earlier.

DISPOSITION AUTHORITY: N1-40-92-5, item 35.

Office of Legislative Affairs

Congressional Correspondence Files

Copies of incoming and outgoing correspondence with Congressional officials. The papers are almost entirely duplicated in files maintained by the Executive Secretariat and in the primary operating units that prepared the responses.

AUTHORIZED DISPOSITION: Cut off files after each Congressional election. Destroy files 3 years after cutoff.

DISPOSITION AUTHORITY: N1-40-03-1, item 1.

White House Liaison

Federal Advisory Committee Appointment Folders

Nominations to Federal advisory committees, acceptance letters, security clearances, nondisclosure agreements, and other correspondence relating to the appointment of members of Federal advisory committees.

This series is broken down into three subseries: pending nominations, current committee members (arranged by committee), and terminated/nonselected nominees.

AUTHORIZED DISPOSITION: Destroy at the end of each Presidential administration or when no longer needed for current agency business, whichever is earlier.

DISPOSITION AUTHORITY: N1-40-92-5, item 37.

Appointee Clearance Files

Applications for Federal Employments (SF 171s), resumes, security clearances, Notifications of Personnel Actions (SF 50B), White House clearance checklists, and other correspondence relating to the selection and appointment of political appointees.

This series duplicates the Official Personnel Folder (OPF) for those individuals who receive appointments and is maintained to coordinate appointments and other actions with the White House personnel office. The series is divided into two subseries: current appointee folders and all other folders (previous appointees, requests for appointment, and pending appointments.)

AUTHORIZED DISPOSITION: Destroy at the end of each Presidential administration or when no longer needed for current agency business, whichever is earlier.

DISPOSITION AUTHORITY: N1-40-92-5, item 38.

OFFICE OF BUDGET

Director's Subject File.

The Office of Budget and Program Evaluation is largely responsible for compiling information from the program offices for the formulation and management of the budget. The records are either copies of records created by other offices, reference files, or routine administrative files.

AUTHORIZED DISPOSITION: Close files at the end of each Fiscal Year and transfer to WNRC 2 years after closure. Destroy 7 years after closure.

DISPOSITION AUTHORITY: N1-40-97-2, item 3.

Budget Preparation Files.

The budget preparation files are the working papers which consist of a wide variety of reference material and administrative material used to prepare the Department budget, including estimates of future expenditures, receipts for services, travel vouchers and reports, employment figures for the agency, computer printouts of each budget line (travel, copying, training, personnel, benefits, office rent, etc.) for each program office, motor vehicle expenses, reference copies of Department of Commerce and OMB newsletters, and administrative correspondence.

AUTHORIZED DISPOSITION: Close files at the end of each Fiscal Year and transfer to WNRC 2 years after closure. Destroy 7 years after closure.

DISPOSITION AUTHORITY: N1-40-97-2, item 3.

OFFICE OF HUMAN RESOURCES MANAGEMENT

Grievance, Appeal Files (5 CFR 771)

AUTHORIZED DISPOSITION: Destroy 7 years after case is closed.

AUTHORITY: N1-40-90-4, item 1. (This is a modification to GRS 1, item 30a).

Adverse Action Files (5 CFR 752)

AUTHORIZED DISPOSITION: Destroy 7 years after case is closed.

AUTHORITY: N1-40-90-4, item 2. (This is a modification to GRS 1, item 30b).

Intergovernmental Personnel Act Assignment Folders

AUTHORIZED DISPOSITION: Destroy 2 years after assignment ends.

AUTHORITY: N1-40-90-4, item 3.

Thrift Savings Plan Loan Payment Allotment (Form TSP-22)

AUTHORIZED DISPOSITION: Destroy when no longer needed.

AUTHORITY: N1-40-90-4, item 4.

Request for Information

This is a form used to request personnel/payroll data from the National Finance Center (NFC) in New Orleans, LA.

AUTHORIZED DISPOSITION: Destroy after requested information is received.

AUTHORITY: N1-40-90-4, item 5.

Request for Job Consideration while on Leave (Form CD-427)

AUTHORIZED DISPOSITION: Destroy at end of leave period.

AUTHORITY: N1-40-90-4, item 6.

Clearance of Employee Accountability

AUTHORIZED DISPOSITION: Destroy when 3 years old.

AUTHORITY: N1-40-90-4, item 7.

College Recruiting Related Records

Includes Forms CD-417, College Recruiting Evaluation; CD-418, Itinerary Guide for College Recruiters; CD-419, College Applicant Interview Evaluation; and CD-430, College Recruiting Questionnaire.

AUTHORIZED DISPOSITION: Cut off files annually. Destroy 1 year after cutoff.

AUTHORITY: N1-40-90-4, item 8.

Leave Analysis

AUTHORIZED DISPOSITION: Destroy when 1 year old.

AUTHORITY: N1-40-90-4, item 9.

Exit Questionnaire (Form CD-480)

AUTHORIZED DISPOSITION: Destroy when 3 years old.

AUTHORITY: N1-40-90-4, item 10.

Notice of Employee Entry on Duty (Form CD-483)

AUTHORIZED DISPOSITION: Destroy 1 year after entrance on duty.

AUTHORITY: N1-40-90-4, item 11