Jump to main content.


EPA Records Schedule 205

Status: (to be superseded) Final, 12/31/2012

Title: Permit Files

Program: All Programs, with exceptions

Applicability: Agency-wide

Function: 204-079 - Permits and Licensing

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:

Contains records used in the issuance or denial of a permit issued by EPA offices or authorized states, federal facilities, interstate or local agencies. Includes draft and final permits; major and minor permits; permit modifications; general, special, emergency, research, interim permits, and others. Consists of the notification form, permit applications, background and supporting documentation, public notices, comments and records of public meetings, fact sheets, exception reports, appeals, delistings, correspondence, financial assurance documents, and other related records.

Excludes: Resource Conservation and Recovery Act (RCRA) program permits scheduled as EPA 478.

Disposition Instructions:

Item a(1): UIC, when EPA is the permitting authority and UIC exemptions - Nonelectronic

Includes underground injection control (UIC), when EPA is the permitting authority and UIC exemptions.

Item a(2): UIC, when EPA is the permitting authority and UIC exemptions - Electronic

Includes underground injection control (UIC), when EPA is the permitting authority and UIC exemptions.

Item a(3): UIC, when EPA is the permitting authority and UIC exemptions - Electronic copy of records transferred to the National Archives

Includes underground injection control (UIC), when EPA is the permitting authority and UIC exemptions.

Item b: NPDES minor permits

Includes national pollutant discharge elimination system (NPDES) minor permits

Item c: All others, excluding those covered in items a, b and d

Includes: UIC (except when EPA is permitting authority and UIC exemptions); NPDES (except minors); pretreatment; sewage treatment; ocean dumping; new source review (NSR) (including prevention of significant deterioration (PSD)), nonattainment NSR, and minor NSR); and Toxic Substances Control Act (TSCA) polychlorinated biphenyls (PCB) disposal.

Item d: Dredging and fill

Guidance:

This schedule applies to all programs except RCRA and Clean Water Act (CWA) Section 404. RCRA program permits are scheduled as EPA 478. See EPA 514 for CWA Section 404.

If authorized states maintain disposable records for retention periods identified above, the program office may decide to review the records in the state offices rather than maintain copies in regional offices and destroy the copies it receives. If recordkeeping requirements (e.g., what records to keep and how long to keep them) for authorized states are not covered in EPA's regulations, they should be established in a memorandum of understanding.

Draft permits may be destroyed after approval of final permit.

Land ban petitions and exemptions in the UIC program and monitoring reports for UIC Class I permits covered in item a are subject to the same retention as the permits.

Notification forms that have been withdrawn or canceled prior to issuance of a permit are subject to the same retention as the permits.

Program office may retain permit files in the office if a permit is likely to become a compliance or enforcement issue. For example, PSD files on sources that have been closed or that have not emitted pollution for a period of 5 years may be retained if the potential for air pollutant emissions has not been eliminated, i.e., process equipment for facilities has not been dismantled or removed from the site.

If permit administrative records are maintained separately, they are covered by EPA 210; if they are maintained in the permit files, they are covered by this schedule.

EPA 207 covers enforcement actions and EPA 211 covers compliance files. See EPA 419 for the Permit Compliance System, and EPA 432 for the UIC Program Summary System. State oversight files are covered in EPA 203.

Specific legal citations include, but are not limited to:

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

Previous schedule items combined into this schedule were for the following programs: Federal Activities, Water, Air and Hazardous Waste, Regional Administrator and Staff, and Enforcement. Specific item numbers are cited below.

Reasons for Disposition:

Retention for section 404 dredging and fill has been moved to item d and the retention changed from 10 years to 5 years. The U.S. Corps of Engineers and states are the permitting authorities for the proposed disposal of dredged material. The proposed retention meets EPA's business needs.

The following change was made in the 12/31/2012 version:

The following changes were made in the 01/31/2008 version:

The titles for the disposition items were shortened in the 02/08/2007 version.

The disposition instructions have been rewritten as media neutral to allow for maintaining the record copy in EPA's electronic recordkeeping system. Except for item d, section 404 dredging and fill, as stated above, the retention is unchanged.

The following items were deleted 08/17/2006:

Item d for copies on optical disk and CD-ROM was deleted as nonrecords.

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

Custodians:

Multiple units

Related Schedules:

EPA 203, EPA 204, EPA 207, EPA 210, EPA 211, EPA 419, EPA 432, EPA 478, EPA 514

Previous NARA Disposal Authority:

NC1-412-76-1/I/15, NC1-412-76-1/IV/1, NC1-412-83-4/32, NC1-412-84-1/7, NC1-412-85-17/22a and b, NC1-412-85-18/28, NC1-412-85-19/11 and 13, NC1-412-85-20/1, N1-412-95-7/1

Entry: 02/20/1992

EPA Approval: 11/19/2007

NARA Approval: 01/14/2010

Explanation of Schedule Fields | Search the Schedules | Browse the Schedules
Guidance on Retiring Records

Local Navigation


Jump to main content.