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EPA Records Schedule 658
Status: Final, 04/30/2011
Title: Audit Resolution
Program: Financial Management
Applicability: Headquarters
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.
- N1-412-07-69/6
Description:
Includes records used to document the Agency's audit resolution process. Records consist of Agency directives and guidance, special analyses and reports on the audit resolution process, status reports on unresolved audits by office, decisions of the Audit Resolution Board, and related materials.
Disposition Instructions:
Item a(1): Audit resolution board case files - Nonelectronic
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Permanent
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Close inactive records when audit resolution is completed.
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Transfer to the National Archives 30 years after file closure.
Item a(2): Audit resolution board case files - Electronic
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Permanent
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Close inactive records when audit resolution is completed.
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Transfer to the National Archives 5 years after file closure, with any related documentation and external finding aids, as specified in 36 CFR 1235.44-1235.50 or standards applicable at the time.
Item a(3): Audit resolution board case files - Electronic copy of records transferred to the National Archives
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Disposable
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Close file upon transfer to the National Archives.
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Delete after electronic record copy is successfully transferred to the National Archives.
Item b: Administrative documentation
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Disposable
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Close inactive records when audit resolution is completed.
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Destroy 10 years after file closure.
Guidance:
See EPA 082 for responses to audit, evaluation, and investigation. Audit case files maintained by the Office of Inspector General are covered by EPA 700.
Reasons for Disposition:
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.
The following changes were made in the 03/31/2008 version:
- Changed the title of disposition item a to audit resolution board case files and the retention was increased to 30 years.
- Added new disposition item b.
The following changes were made in the 01/31/2008 version:
- Divided item a into three subitems, a(1)-(3).
- Revised the titles of disposition items a(1)-(3).
- Revised the disposition instruction for item a(3).
Item b for electronic copies created with word processing and electronic mail applications deleted 08/23/2006 pursuant to NARA Bulletin 2006-04.
Custodians:
Office of the Chief Financial Officer, Office of Planning, Analysis and Accountability, Accountability Staff
- Contact: Sharon Tant
- Telephone: 202-564-3633
Related Schedules:
EPA 082, EPA 700
Previous NARA Disposal Authority:
NC1-412-85-1/5, N1-412-97-1/2
Entry: 08/09/1995
EPA Approval: 08/13/2007
NARA Approval: 06/27/2008