EPA Records Schedule 150
Status: Final, 04/30/2012
Program: All Programs
Function: 404-141-02-03 - Dockets
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.
A docket is a collection of documents available to the public for review and, often, public comment. Dockets may be related to the development of rules and regulations (regulatory docket) or made available for other reasons not related to rulemaking (general docket).
Regulatory dockets include records relating to the development of EPA regulations. Records may consist of Federal Register documents (e.g., advance notices of proposed rulemaking, proposed rules, final rules, and notices of availability), background documents (e.g., relevant technical documents and information, technical resource documents, guidance, manuals and directives, contractors' reports supporting the rulemaking, internal documents that provide necessary factual background, and trip reports), correspondence or meeting summaries (e.g., records of communications with outside parties containing relevant information, lists of participants and summary minutes of meetings with external groups, and summaries of telephone conversations containing relevant information), public hearing transcripts and lists of speakers/attendees, public comments submitted to EPA and responses to public comments documents, supporting materials for administrative requirements (e.g., materials relating to the Regulatory Flexibility Act, Executive Order 12866, and other relevant statutes, orders, and policies), and any other material deemed appropriate by the program office.
General dockets contain documents made available for public review and, often, comments that may not be related to EPA's regulations. Dockets may be established for an array of non-rulemaking actions. They contain materials relating to actions on which EPA is required to solicit comment such as proposed collections of information under the Paperwork Reduction Act, proposed settlements and agreements in litigation, draft permits, and various types of approvals for state and tribal programs. They may also contain materials EPA is making available for public inspection, but not soliciting comments.
Files include comprehensive indices of all materials placed in the Docket.
Excludes: The electronic docket management system scheduled as the Federal Docket Management System (FDMS), EPA 152.
Item a: Final docket
Close inactive records after publication of rule or close of docket.
Destroy 20 years after file closure.
Item b: Inactive, nonfinal docket, and documents of short-term value
Close inactive records 5 years after last activity.
Destroy 5 years after file closure.
Item c: (Reserved)
Item d: (Reserved)
Item e: (Reserved)
Item f: (Reserved)
If documents are scanned, destroy paper after quality assurance is complete.
Examples of documents of short-term value covered in item b include notices announcing availability of publications, changes in contractors, requests for potential participants to serve on committees, changes in meeting locations, and locations of government buildings.
If materials are submitted to FDMS and the approved retention of those materials is longer than the retention in this schedule, the record copy of the materials are to be retained by the submitting office in accordance with their approved schedule. For example, if a copy of the administrative record for a land disposal permit is submitted to FDMS, the submitting office is responsible for maintaining the record copy for the retention approved in schedule 210, item a (30 years after file break).
Other records related to published and unpublished regulations, standards and guidelines, including background and deliberative material, maintained in the sponsoring office are maintained in accordance with EPA 149.
Reference copies can be destroyed when superseded or no longer needed.
Other related schedules include:
- EPA 019 - Administrative Records - Superfund Site Specific
- EPA 149 - Regulations, Standards, and Guidelines
- EPA 152 - Federal Docket Management System (FDMS)
- EPA 210 - Administrative Records - Permits
- EPA 294 - Administrative Records Pursuant to the Administrative Procedure Act
- EPA 518 - Rulemaking Committees
Reasons for Disposition:
Rulemaking dockets were previously approved as permanent documents (N1-412-94-2/24). The schedule has been expanded to include other types of dockets including those that never become final. The proposed disposition of 20 years for final dockets and 5 years for inactive, nonfinal, or documents of short-term value meets EPA's business needs.
Item c for electronic copies created with word processing and electronic mail applications was deleted pursuant to NARA Bulletin 2006-04.
The following items were deleted in the 10/11/2006 version:
Item d: EDOCKET system - software is replaced by EPA 152, item a.
Item e: EDOCKET system - documentation is replaced by EPA 152, item d.
Item f: EDOCKET system - e-mail identification and verification data is replaced by EPA 152, item c.
Office of Environmental Information, Office of Information Collection
- Contact: Robert Johnston
- Telephone: 202-566-1637
EPA 019, EPA 149, EPA 152, EPA 210, EPA 294, EPA 518
Previous NARA Disposal Authority:
EPA Approval: 02/10/2004
NARA Approval: 08/25/2004