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EPA Records Schedule 698

Status: (to be superseded) Final, 07/31/2008

Title: Investigative Case Files

Program: Inspector General

Applicability: Agency-wide

Function: 301-092 - Program Evaluation

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:

Consists of case files developed during investigations of known or alleged fraud, abuse, irregularities and violations of laws and regulations. Cases relate to Agency personnel, programs, and operations administered or financed by the Agency, including contractors and others having a relationship with the Agency. This includes investigative files relating to employee and hotline complaints, and other miscellaneous complaint files. Files consist of investigative reports and related documents, such as correspondence, notes, attachments, and working papers.

Includes 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 which may prove useful in Inspector General investigations.

Also includes all other investigative case files except those that are unusually significant for documenting major violations of criminal law or ethical standards by Agency officials or others.

Excludes: Unusually significant case files such as those that result in national media attention, congressional investigation, or substantive changes in Agency policy or procedure covered by EPA 145.

Disposition Instructions:

Item a: Files containing information or allegations that are of an investigative nature but do not relate to a specific investigation

Item b: All other investigative case files except those that are unusually significant

Includes cases that are unusually significant for documenting major violations of criminal law or ethical standards by Agency officials or others.

Guidance:

If evidence files are returned to program offices, they are to be maintained for the same length of time as stated in the disposition instructions.

Unusually significant case files that document major violations of criminal law or ethical standards are covered by EPA 145 as program development files.

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

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.

Item c for electronic copies created with word processing and electronic mail applications deleted 08/24/2006 pursuant to NARA Bulletin 2006-04.

Custodians:

Office of Inspector General, Office of Investigations

Related Schedules:

EPA 145

Previous NARA Disposal Authority:

N1-412-86-4/2, N1-412-01-9

Entry: 11/04/1993

EPA Approval: 08/13/2007

NARA Approval: 05/30/2008

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