FAR 3.406—Records.
Plain-English Summary
FAR 3.406 addresses record preservation for enforcement of procurement integrity and related misconduct matters. It requires agencies to preserve specific evidence of any violation described in FAR 3.405(a), along with all other pertinent data and a record of actions taken, so that potential investigations, administrative actions, or other enforcement proceedings are not compromised. It also directs contracting offices not to retire or destroy these records until it is certain they are no longer needed for enforcement purposes, which creates a retention standard tied to enforcement need rather than a fixed administrative convenience. In addition, if the original record is kept in a central file, the contract file must still contain a copy, ensuring the contracting file remains complete enough to support review and follow-up. In practice, this section is about preserving the evidentiary trail, protecting the government’s ability to pursue violations, and making sure the contract file reflects what happened and what the agency did in response.
Key Rules
Preserve violation evidence
Agencies must keep any specific evidence of one or more violations identified in FAR 3.405(a). This includes evidence that could support an enforcement action, not just a summary of the issue.
Retain pertinent supporting data
The preservation duty extends beyond the core evidence to all other pertinent data. That means related documents, communications, notes, and background materials that help explain the facts and context must also be kept.
Document actions taken
Agencies must maintain a record of actions taken in response to the matter. This creates an audit trail showing how the issue was handled and supports later review or enforcement.
Do not destroy too early
Contracting offices may not retire or destroy these records until it is certain they are no longer needed for enforcement purposes. The retention decision must be based on whether enforcement needs remain, not simply on routine file management schedules.
Keep a contract-file copy
If the original record is stored in a central file, a copy must be retained in the contract file. This ensures the contract file remains complete and accessible even when the master record is maintained elsewhere.
Responsibilities
Agency
Preserve specific evidence of violations under FAR 3.405(a), retain all pertinent supporting data, and maintain a record of actions taken for enforcement purposes.
Contracting Office
Ensure records are not retired or destroyed until they are no longer needed for enforcement purposes, and keep a copy in the contract file when the original is maintained in a central file.
Contracting Officer
Oversee the handling of the file, make sure the record trail is preserved, and coordinate with records management or legal personnel before any destruction or retirement of potentially relevant records.
Records Management or Central File Custodian
Maintain the original record when it is stored centrally and support retention practices that preserve access for enforcement needs.
Practical Implications
This section creates a preservation hold on records tied to suspected procurement integrity violations, so routine destruction schedules may need to be suspended.
The phrase "all other pertinent data" is broad, so agencies should err on the side of keeping related emails, memoranda, notes, and attachments that explain the issue.
A common pitfall is failing to keep a copy in the contract file when the original is moved to a central repository, which can leave the file incomplete for reviewers.
Another risk is destroying records too soon because the matter seems closed administratively, even though enforcement or investigative needs may still exist.
Contracting personnel should coordinate with counsel, investigators, and records officials before any disposition decision to avoid losing evidence needed later.
Official Regulatory Text
For enforcement purposes, agencies shall preserve any specific evidence of one or more of the violations in 3.405 (a), together with all other pertinent data, including a record of actions taken. Contracting offices shall not retire or destroy these records until it is certain that they are no longer needed for enforcement purposes. If the original record is maintained in a central file, a copy must be retained in the contract file.