EPA Records Schedule 211
Status: Final, 12/31/2007
Title: Compliance Files
Program: All Programs
Function: 108-025-08 - Compliance and Enforcement
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.
Contains records used to determine compliance with pollution regulations and to recommend legal enforcement actions if necessary. Includes compliance schedules, inspections, reports, correspondence, inventories, sampling and analytical data, field notebooks, and related documents. Also includes notices of noncompliance, and compliance orders that do not result in enforcement actions.
Item a: Record copy
Close inactive records at end of year.
Destroy 5 years after file closure.
The unit with compliance authority is responsible for maintaining the record copy and implementing the disposition. Specific types of documentation (e.g., field notebooks) that need to be retained may be found in program-specific policy and guidance manuals (e.g., NPDES Compliance Manual).
Copies of these records incorporated into other files (e.g., site or facility files) are to be retained according to the disposition instructions for the records they support.
If authorized states maintain 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 regulations, the requirements should be established in a memorandum of understanding.
Upon issuance of a notice of violation or referral to Regional Counsel or other office with enforcement authority, the file becomes an enforcement action file. See EPA 207 for disposition instructions for enforcement actions.
See EPA 206 for RCRA corrective actions. Permits for programs other than RCRA are scheduled as EPA 205 and RCRA as EPA 478. Administrative records for permits are covered in EPA 210.
Other site and facility files are scheduled as: EPA 013 for Superfund site-specific removal sites; EPA 014 for Superfund site-specific remedial sites; EPA 215 for underground storage tanks; EPA 220 for radiation; EPA 225 for pesticides; and EPA 227 for toxic substances.
Records containing sensitive information must be shredded or otherwise definitively destroyed to protect confidentiality.
Previous schedule items combined into this schedule were for the following programs: Water, Air and Hazardous Waste, Enforcement, and Environmental Services. Specific item numbers are cited below.
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 is unchanged.
The following items were changed or deleted 08/17/2006:
Items a and b - Paper (non-imaged) and Paper (imaged) combined into Record copy.
Item c - Optical disks and CD-ROMs deleted as nonrecords.
Item d - Electronic copies created with word processing and electronic mail applications deleted pursuant to NARA Bulletin 2006-04.
EPA 013, EPA 014, EPA 205, EPA 206, EPA 207, EPA 210, EPA 215, EPA 220, EPA 225, EPA 227, EPA 478
Previous NARA Disposal Authority:
NC1-412-76-1/II/12, NC1-412-76-1/IV/9, NC1-412-76-1/V/3 and 6a, NC1-412-85-17/17, NC1-412-85-18/9, NC1-412-85-20/4, NC1-412-85-21/1, 5a and 6, N1-412-95-7/2
EPA Approval: 09/18/2006
NARA Approval: 01/26/2007