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EPA Records Schedule 202

Status: Final, 10/31/2008

Title: Contract Management Records

Program: All Programs, with exceptions

Applicability: Agency-wide

Function: 405 - Supply Chain Management

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:

Contract records include all correspondence and related records pertaining to the award, administration, receipt, inspection and payment of any and all contracts to which EPA is a party and which are maintained and used for contract documentation and for performance and financial monitoring and oversight activities. Also includes reviews and audits conducted by the Financial Analysis and Rate Negotiation Service Center (FARSC).

Excludes: Superfund site-specific contract management records scheduled as EPA 020; final deliverables scheduled as EPA 258; and unsuccessful bids and proposals not filed with the related contract case files scheduled as EPA 275.

Disposition Instructions:

Item a: Contracting Officer (CO)

Item b: Contract-level Contracting Officer's Representative (COR)

Formerly called Project Officer (PO)

Item c: Other Contracting Officer's Representatives (CORs)

Includes Delivery Order CORs, Simplified Acquisition CORs, Task Order CORs, and Work Assignment CORs. Formerly called Delivery Order Project Officers (DOPOs) or Work Assignment Managers (WAMs)

Guidance:

This schedule covers management of contracts by headquarters or field offices, including Tribal contracts, except for site-specific Superfund contracts scheduled as EPA 020. Superfund site-specific work assignments, task orders, and technical direction documents must be handled in accordance with instructions in EPA 020. Determination of whether a Superfund contract is covered by EPA 020 or EPA 202 is made by the COR.

Final deliverables are scheduled as EPA 258. Unsuccessful bids and proposals and canceled solicitations not maintained with the related contract case files are scheduled as EPA 275. Contracts that are being audited, protested, or are in any other kind of legal action can not be destroyed until the case is closed. See EPA 679 for bid protest appeals, EPA 656 for Board of Contract appeals cases, and EPA 657 for GAO contract bid protest cases. Routine requisitions, purchase orders, leases, and bond and surety agreements not related to contracts are covered in EPA 036 for routine procurement files.

Copies incorporated into other files are retained according to the disposition instructions for the records they support.

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

Contracting officers and CORs should work together to determine who is responsible for maintaining specific documents to minimize duplication while still providing an adequate audit trail. The following are general guidelines:

a. Contracting Officer (CO) - Record copy of RFPs; successful bids and proposals; contract and modifications; copies of financial and payment documents; contract specifications, drawings or manuals incorporated into the contract by reference; performance evaluations; technical and financial progress reports; statements of work (SOWs) and level of effort (LOE) documents; COR designations; notices to proceed, stop work or correct deficiencies; and related documents.

b. Contract-level COR - Supporting documentation of performance evaluations, technical and financial progress reports, invoices and invoice approvals.

c. Other CORs - Record copy of documents used for day-to-day technical direction of the task order or work assignment. Documents include work plans and schedules, amendments and/or modifications, draft deliverables submitted by the contractor, comments provided to the contractor or other records of technical direction, contract monitoring logs and communication records, cost estimates, meeting records and notes, evaluation forms, supporting documentation for statements of work (SOWs) and level of effort (LOE) documents, amendments and modifications, invoices and invoice approvals.

Specific legal citations include, but are not limited to:

Reasons for Disposition:

The following changes were made in the 10/31/2008 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 has not changed.

Item d for electronic copies created with word processing and electronic mail applications was deleted 08/16/2006 pursuant to NARA Bulletin 2006-04.

Previous schedule items combined into this schedule were for the following programs: Procurement/Contracts, Water, Solid Waste, Emergency and Remedial Response, Toxic Substances, Mobile Source, Research and Development, Research and Development Laboratories, Pesticides, Facilities and Support Services, Radiation, Information and Resources Management, Planning and Evaluation and Program Reporting, and Public Affairs. Specific item numbers are cited below.

Custodians:

Multiple units

Related Schedules:

EPA 020, EPA 036, EPA 258, EPA 275, EPA 656, EPA 657, EPA 679

Previous NARA Disposal Authority:

NC174-118/V/3, NC-412-76-4/10, NC1-412-76-9/25, NC1-412-77-5/11, NC1-412-85-5/4 and 6, NC1-412-85-6/8, NC1-412-85-7/8, NC1-412-85-10/15, NC1-412-85-12/6, NC1-412-85-14/7, NC1-412-85-22/11, NC1-412-85-23/4a, NC1-412-85-26/I/4, N1-412-86-1/8, N1-412-86-3/7, N1-412-87-4/14 and 15, N1-412-87-5/13, N1-412-94-2/31

Entry: 04/02/1992

EPA Approval: 01/09/2006

NARA Approval: 05/13/2006

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