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EPA Records Schedule 082

Status: (to be superseded) Final, 04/30/2008

Title: Response to Audit, Evaluation, and Investigation

Program: All Programs

Applicability: Agency-wide

Function: 301-091 - Corrective Action

NARA Disposal Authority:

This schedule authorizes the disposition of the record copy in any media (media neutral), excluding any records already in electronic form. Records designated for permanent retention must be transferred to the National Archives in accordance with NARA standards at the time of transfer.

Description:

Includes records used to document and track the Agency's response to audit, evaluation, and investigation processes conducted internally (e.g., by Inspector General (IG)), or externally (e.g., by Government Accountability Office (GAO)). Audits and evaluations may be initiated by EPA, by an outside agency with oversight over EPA, or requested by Congress. Records relating to these special projects include controlled and follow-through correspondence, conference materials, issue and position papers, responses, work plans, studies, corrective actions, tracking/milestones and related records.

Records related to the Federal Managers Financial Integrity Act (FMFIA) include: documentation of internal control objectives and techniques, work plans, status reports on conduct of internal control reviews, correction of reported material weaknesses, and related materials such as corrective action strategy, audit follow-up, annual assurance letter, and internal control review reports and supporting documentation.

Disposition Instructions:

Item a: Record copy

Guidance:

These records focus on the specific response or corrective actions taken by the office subject to the evaluation function, not the audit itself. The record copy of the audit or evaluation will reside with the organization performing the audit (e.g., IG, GAO, Congress).

Program offices are responsible for retaining the record copy of FMFIA documentation according to the disposition instructions. Internal control coordinators are not responsible for keeping the documentation, only a certification that it exists. All other copies may be destroyed when no longer needed.

Records of Agency directives and guidance created by Office of Management and Budget (OMB) and other offices relating to responses to evaluation or audit should be maintained in the responding office. Copies provided to internal control coordinators and audit liaisons should be kept as reference material and can be discarded when superseded.

Audit resolution records maintained in OCFO are scheduled as EPA 658. Audits and reviews of contracts are covered by the schedules for contract management, EPA 020 for Superfund site-specific and EPA 202 for other contracts.

Records containing sensitive information must be shredded or otherwise definitively destroyed to protect confidentiality.

Reasons for Disposition:

The following changes were made in the 04/30/2008 version:

The disposition instructions have been rewritten as media neutral to allow for maintaining the record copy in EPA's electronic recordkeeping system. The retention is unchanged.

Item b for electronic copies created with word processing and electronic mail applications was deleted 08/15/2006 pursuant to NARA Bulletin 2006-04.

Custodians:

Multiple units

Related Schedules:

EPA 020, EPA 202, EPA 658

Previous NARA Disposal Authority:

NC1-412-83-3/4, NC1-412-85-1/4, N1-412-86-4/4, N1-412-94-2/14, GRS 22

Entry: 06/08/1992

EPA Approval: 09/18/2006

NARA Approval: 01/26/2007

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