“If it is not written down, it did not happen.”
- Unknown
The quote above is, based on my experience, a common saying amongst EHS professionals. It memorializes the view from the EHS regulators point of view: they rely on records to show that a company is or was complying with the regulations.
Storing EHS records behind the required timeframe can be a liability as well as costly: record storage, whether physical or electronic costs your company money. The following section focuses on the legal liability for storing EHS records as well as some associated strategies.
16.1 Requirement
Most regulations establish record retention requirements that dictate a legal requirement to maintain documentation of inspections, maintenance, permits, reviews, training, etc (Figure 16.1-1). Beyond this timeframe, you are not required to keep these documents. Deleting records prior to a legally required record retention timeframe is a violation. Therefore, it is important to verify that you are maintaining your EHS records for the appropriate timeframe.
A couple of legal exemptions to the regulatory driven record retention requirements are lawsuits and on-going legal investigations. If you are involved in one of these, you will need to retain associated documents, since these over-ride the regulatory and in-house record retention requirements. If you think you might have a lawsuit (e.g., pending, threatened, or reasonably anticipated), but have not been served notice, you still cannot delete files[1].
Not all records have established record retention requirements. Absent this requirement, you have latitude to determine how long you want to maintain the records. However, it is important to be consistent in how you maintain your records[2].
Record retention is not the same as a statute of limitations: the statute of limitations is a timeframe after which a regulatory agency may not bring about legal proceedings such as citing a company for EHS violations[3]. Absent a regulatory-driven record retention timeframe, some companies rely on the statute of limitations timeframe.
Statute of limitations vary depending upon the topic and the regulatory agency. For Federal agencies, if a statute of limitations is not established in a particular law, the default timeframe is typically five years as established below:
“Except as otherwise provided by Act of Congress, an action, suit or proceeding for the enforcement of any civil fine, penalty, or forfeiture, pecuniary or otherwise, shall not be entertained unless commenced within five years from the date when the claim first accrued if, within the same period, the offender or the property is found within the United States in order that proper service may be made thereon”[4].
In some cases, the statute of limitations is shorter than the record retention timeframe: In 2006, the Occupational Safety and Health Administration (OSHA) attempted to cite a company for missing injury and illness data beyond the six-month timeframe statute of limitations[5]. The Occupational Safety and Health Administration (OSHA) regulation requires you to maintain the injury and illness data for five years[6]. In this case, the judge sided with the employer[7]. You are still required to keep the records for the established record retention timeframe, but you cannot be cited for a violation.
A significant record retention concern is the Environmental Protection Agency’s (EPA) contention that some issues are on-going or continuing violations and therefore, the statute of limitations is extended back to the start of the violation[8]. In 2022, the Environmental Protection Agency (EPA) lost a court case where they tried to use the continuing violations theory since the company did not obtain an air construction permit and was therefore in violation continually since they were operating the emission unit without an air construction permit[9]. However, the court’s interpretation was that this requirement to obtain an air construction permit was a one-time event and since it occurred beyond the statute of limitations, the Environmental Protection Agency (EPA) could not cite the company[10]. If involved in an on-going investigation, you may want to retain records beyond the timeframe especially if these documents were submitted to the regulatory agency.
16.2 Strategies
Record retention beyond legally required timeframes is a double-edged sword: the document could be used to prove your compliance or non-compliance. Depending upon your risk appetite, you may want to maintain some documents longer. Although a regulatory agency should not be able to cite a company for violations beyond the statute of limitations, some risk averse companies fear the documentation could be used to demonstrate a history of non-compliance.
An example of how complicated the record retention policies and strategies can be, look at the example of construction start date notifications. Some air permit requirements are triggered by the date construction of an emission unit started and/or when it began operating so a regulatory agency may request a letter identifying the construction start date. To show compliance with some air permit regulations and requirements, you may want to maintain this information for the life of the facility or this emission unit.
The regulatory agency may require submittal of this letter within a certain number of days (e.g., 30 days) of starting the construction. If you submitted a letter to the regulatory agency identifying the construction start date, but submitted it late, this document would effectively document that you were out-of-compliance with the requirement to submit within 30 days. Instead of keeping this letter after the air permit record retention timeframe (e.g., five years), you could instead maintain a list of air emission units and their applicable construction and operation start dates (e.g., an Air Permit Overview and History). Even though you disposed of the document, the regulatory agency may maintain a copy. However, if the regulatory agency did not cite you for submitting the letter late by the time the record retention timeframe expires, the statute of limitations has expired.
As noted previously, a company’s record retention policy may reflect their risk philosophy and overall EHS strategy. Although two risk-averse companies may have significantly different strategies: one may dispose or delete of documents as soon as the regulatory-driver record-retention timeline ends in fear of the document being used against them. Another may hold onto the documents longer because the documents show the company’s commitment to compliance.
An important strategic aspect of your record retention strategy is consistency: Consistently dispose and delete documents in accordance with your record retention policy. This will help you avoid the appearance of having suspiciously absent documents. If you state that you do not have records because of record retention policy, the government may request a copy of the record retention policy.
Another strategy to think about is simplifying the retention policy by grouping EHS records into simpler (i.e., less) categories. This might lead to keeping some records longer than required but may make the deletion and disposal process easier.
Some other strategic exemptions to the regulatory-driven record retention timeframe may include:
- Documents submitted to regulatory agencies
- Formal equipment inspections
- Employee health training records
16.2.1 Documents Submitted to Regulatory Agencies
You may want to keep documents submitted to regulatory agencies (e.g., permit applications, discharge monitoring reports, Tier II, injury, and illness data): If you get in a disagreement with a regulatory agency, you do not want them to have documents that you do not. The regulatory agencies may have a different record retention policy than the regulated community. You could always submit a request for the documents since they are a public record, but this request may end up ‘showing your hand’ if you have a regulatory issue.
If you do not like keeping the entire document submitted to a regulatory agency or from an inspection, another option is to compile the specific data you want to track instead of keeping the actual document in case it could potentially show a compliance issue.
16.2.2 Formal Equipment Inspections
You may use equipment (e.g., tanks) inspection data to calculate corrosion rates and/or estimate the life of the equipment. The regulatory-required retention period (e.g., the Spill Prevention Control and Countermeasures regulation for storage tanks) may have a significantly shorter retention timeframe, but if you dispose of this document, you may not be able to calculate the corrosion rate.
16.2.3 Employee Health Training Records
I once received a summons and complaint (e.g., notification that my company may be sued) related to an employee exposure to asbestos). This employee worked for the previous facility owner in a portion of the facility that was torn down and removed before we even acquired the site (e.g., over 20 years from the summons and compliant). Therefore, we were able to successfully get out of the lawsuit, but this was a concerning issue and made me think.
A company may want to maintain employee health training records, such as training on the hazards of work materials, proper use of personal protective equipment (e.g., respirators, hearing protection), etc. for the same length of time as employee exposure records (e.g., duration of employment plus 30 years [29 Code of Federal Regulations (CFR) 1910.1020(d)(1)(i)]. The philosophy behind the strategy is that you may need to demonstrate that the employee was trained to properly avoid and prevent exposure and you may want to have this data if you have data on potential exposures. Of course, some companies may choose to intentionally destroy the training records, after the required record retention period, since it would make it difficult to prove that you did not train the employee.
Another option would be to keep the policy related to training instead of the actual training records. You could use this to show your policy required training the employees on the hazards.
16.3 Record Types
Some of your records will not fit into the categories established in the EHS regulations. Communications (letters, e-mails, etc.) often do not fit into one of the categories, so you will need to determine how long you want to keep this information. Unfortunately, not all communications are the same: communications with regulators may need to be maintained especially if they establish a precedent (e.g., a permit condition, regulatory guidance, etc.).
Your company may have a policy on e-mail retention. This may have been established to protect the company from record retention issues or more likely because of the sheer electronic storage space this can take. If you are involved in a lawsuit, you may have a negotiation over what e-mails are gathered as part of the discovery process. This negotiation could include the employees included on the e-mails, how far back the back to search and the search terms (i.e., words that will be looked for in the e-mails).
The advent of control systems eased the burden on operators by automatically gathering and storing process information. For example, operators may no longer have to check and document baghouse pressure gauges, which may be required by environmental and health and safety regulation.
Unfortunately, record retention for control system data may be overlooked and could be documenting non-compliance.
EHS Record Retention Timelines
| Agency | Program | Record Type | Regulatory Citation | Length of Record Retention |
| DOT | Hazardous Materials Table, Special Provisions, Hazardous Materials Communications, Emergency Response Information, Training Requirements, And Security Plans | Hazmat Employee Training | 49 CFR 172.704(d) | 3 Years |
| EPA | Certification Of Pesticide Applicators: Requirements For Direct Supervision Of Noncertified Applicators By Certified Applicators | Commercial Applicator Access To Records | 40 CFR 171.201(e)(3) | 2 Years |
| EPA | Chemical Accident Prevention Provisions Subpart C – Program 2 Prevention Program: Compliance Audits | Compliance Audit Report | 40 CFR 68.58(e) | 2 Most Recent Reports Less Than 5 Years Old |
| EPA | Chemical Accident Prevention Provisions Subpart C – Program 2 Prevention Program: Incident Investigation | Incident Investigation Reports | 40 CFR 68.60(g) | 5 Years |
| EPA | Chemical Accident Prevention Provisions Subpart C – Program 3 Prevention Program: Compliance Audits | Compliance Audit Report | 40 CFR 68.79(e) | 2 Most Recent Reports |
| EPA | Chemical Accident Prevention Provisions Subpart C – Program 3 Prevention Program: Emergency Response Exercises | Notification Exercise Written Record | 40 CFR 68.96(a) | 5 Years |
| EPA | Chemical Accident Prevention Provisions Subpart C – Program 3 Prevention Program: Executive Summary | Accident History | 40 CFR 68.155 | 5 Years |
| EPA | Chemical Accident Prevention Provisions Subpart C – Program 3 Prevention Program: Executive Summary And Five Year Accident History | Accident History | 40 CFR 68.155 and 68.168 | 5 Years |
| EPA | Chemical Accident Prevention Provisions Subpart C – Program 3 Prevention Program: Incident Investigation | Incident Investigation Reports | 40 CFR 68.81(g) | 5 Years |
| EPA | Chemical Accident Prevention Provisions Subpart C – Program 3 Prevention Program: Process Hazards Analysis | Process Hazards Analyses And Updates Or Revalidations | 40 CFR 68.67(g) | Life Of The Process |
| EPA | Chemical Accident Prevention Provisions Subpart C – Program 3 Prevention Program: Recordkeeping | Supporting Records Unless Otherwise Specified | 40 CFR 68.200 | 5 Years |
| EPA | Federal Operating Permit Programs Subpart A Operating Permits: Permit Content | Operating Permit Required Monitoring Data And Support Information | 40 CFR 71.6(a)(3)(ii)(B) | 5 Years |
| EPA | Hazardous Chemical Reporting: Community Right-To-Know | 40 CFR 370 | Not Specified | |
| EPA | National Emission Standard For Asbestos | Monitoring And Inspection Records | 40 CFR 61.147(b)(7) | 2 Years |
| EPA | National Emission Standard For Asbestos | Temperature Records | 40 CFR 61.145(c)(7)(iii) | 2 Years |
| EPA | National Emission Standards For Hazardous Air Pollutants For Source Categories: Control Device And Work Practice Requirements | Daily Instrument Check Video Record | 40 CFR 63.11(e)(4)(v) | 5 Years |
| EPA | National Emission Standards For Hazardous Air Pollutants For Source Categories: Control Device And Work Practice Requirements | Leak Survey Result Video Record | 40 CFR 63.11(e)(4)(vi) | 5 Years |
| EPA | National Emission Standards for Hazardous Air Pollutants for Source Categories: Performance Testing Requirements | Performance Test Records | 40 CFR 63.7(g)(3) | 5 Years |
| EPA | National Emission Standards for Hazardous Air Pollutants for Source Categories: Recordkeeping and Reporting Requirements | Applicability Determination for Excluded Facilities | 40 CFR 63.10(b)(3) | 5 Years |
| EPA | National Emission Standards for Hazardous Air Pollutants for Source Categories: Recordkeeping and Reporting Requirements | Reports and Notifications | 40 CFR 63.10(b)(1) | 5 Years |
| EPA | National Emission Standards For Hazardous Air Pollutants: Subpart A – General Provisions: Monitoring Requirements | Records Of Monitoring Data, Monitoring System Calibration Checks and Malfunctions | 40 CFR 61.14 | 2 Years |
| EPA | Oil Pollution Prevention: Facility-Specific Response Plan Facility Self-Inspection | Facility Response Plan Records | 40 CFR 112 Appendix F 1.8.1 | 5 Years |
| EPA | Oil Pollution Prevention: Facility-Specific Response Plan Facility Self-Inspection | Spill Prevention Control And Countermeasures Records | 40 CFR 112 Appendix F 1.8.1 | 3 Years |
| EPA | Oil Pollution Prevention: Inspections, Tests, And Records | Inspections And Tests | 40 CFR 112.7(e) | 3 Years |
| EPA | Pesticide Management And Disposal: Registrants Who Distribute Or Sell Pesticide Products In Refillable Containers | Refillable Container Records Generated | 40 CFR 165.65(i)(2) | 3 Years After The Date Of Repackaging |
| EPA | Pesticide Management And Disposal: Registrants Who Distribute Or Sell Pesticide Products In Refillable Containers | Refillable Container Refilling Residue Removal Procedure And Description Of Acceptable Containers | 40 CFR 165.65(i)(1) | Current Operating Year And For 3 Years After That |
| EPA | Pesticide Management And Disposal: Reporting And Recordkeeping | Non-Refillable Container Records | 40 CFR 165.27(b) | 3 Years |
| EPA | Pesticide Management And Disposal: What Recordkeeping Do I Have To Do As A Facility Owner Or Operator? | Containment Structure Construction Date Records | 40 CFR 165.95(c) | While In Use And For 3 Years Afterwards |
| EPA | Pesticide Management And Disposal: What Recordkeeping Do I Have To Do As A Facility Owner Or Operator? | Containment Structure Inspection And Maintenance Records | 40 CFR 165.95(a) | 3 Years |
| EPA | Pesticide Management And Disposal: What Recordkeeping Do I Have To Do As A Facility Owner Or Operator? | Pesticide Containers Without Secondary Containment | 40 CFR 165.95(b) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Appendix B to Subpart G of Part 82 – Substitutes Subject to Use Restrictions and Unacceptable Substitutes | Carbon Dioxide Refrigerant records of the tests performed | 40 CFR 82 Appendix B Refrigerants – Acceptable Subject to Use Conditions | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Appendix B To Subpart G Of Part 82 – Substitutes Subject To Use Restrictions And Unacceptable Substitutes | Failure Mode And Effect Analysis | 40 CFR 82 Appendix B Refrigerants – Acceptable Subject To Use Conditions | 3 Years From Creation |
| EPA | Protection Of Stratospheric Ozone: Appendix B To Subpart G Of Part 82 – Substitutes Subject To Use Restrictions And Unacceptable Substitutes | Motor Vehicle Manufacturer Determination That The Infrastructure Is Not In Place For Each Country To Which They Plan To Export Vehicles | 40 CFR 82 Appendix B Refrigerants – Acceptable Subject To Narrowed Use Limits | 5 Years After Date Of Its Creation |
| EPA | Protection Of Stratospheric Ozone: Appliance Maintenance And Leak Repair | Appliance Maintenance And Leak Repair Records | 40 CFR 82.157(l) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Appliance Maintenance And Leak Repair | Appliance Maintenance And Leak Repair Records | 40 CFR 82.157(l) | 3 Years After the Appliance Is Retired |
| EPA | Protection Of Stratospheric Ozone: Approved Equipment Testing Organizations | Records Of Equipment Testing And Performance And A List Of Equipment That Meets EPA Requirements | 40 CFR 82.160(E)(3) | 3 Years After The Equipment Is No Longer Offered For Sale |
| EPA | Protection Of Stratospheric Ozone: Certification, Recordkeeping And Public Notification Requirements | Records Required By This Section | 40 CFR 82.42(b)(4) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Certification, Recordkeeping And Public Notification Requirements | Verification That The Motor Vehicle Air Conditioner Refrigerant Purchaser Is Properly Trained And Certified Or Reselling | 40 CFR 82.42(b)(3) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Prohibitions | Invoices For Sale Or Distribution, Of Any Class I Or Class II Refrigerant | 40 CFR 82.154(3)(i) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Proper Evacuation Of Refrigerant From Appliances | Appliance Refrigerant Evacuation Documentation | 40 CFR 82.156(a)(3) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Proper evacuation of refrigerant from appliances | Final Processor Signed Statements Or Contracts | 40 CFR 82.155(c) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Reclaimer Certification | Records Of Persons Sending Them Material For Reclamation And The Quantity Of The Material | 40 CFR 82.164(d)(2) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Recordkeeping And Reporting Requirements For Class I Controlled Substances | Distributer Methyl Bromide Critical Use Certification from Applicator | 40 CFR 82.13(bb)(1)(ii) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Recordkeeping And Reporting Requirements For Class I Controlled Substances | Distributer Methyl Bromide Invoice and Order Records | 40 CFR 82.13(bb)(1)(iii) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Recordkeeping And Reporting Requirements For Class I Controlled Substances | Methyl Bromide Critical Use Certification from Applicator | 40 CFR 82.13(bb)(1)(ii) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Recordkeeping And Reporting Requirements For Class I Controlled Substances | Methyl Bromide Quarantine And Preshipment Certifications | 40 CFR 82.13(y)(3) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Recordkeeping And Reporting Requirements For Class I Controlled Substances | Quarantine and preshipment methyl bromide end user certification | 40 CFR 82.13(aa) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Recordkeeping And Reporting Requirements For Class I Controlled Substances | Records And Copies Of Reports | 40 CFR 82.13(d) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Recordkeeping And Reporting Requirements For Class I Controlled Substances | Third Party Applicator Methyl Bromide Critical Use Certification from Entity | 40 CFR 82.13(cc)(1)(ii) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Recordkeeping And Reporting Requirements For Class I Controlled Substances | Third Party Applicator Methyl Bromide Invoice and Order Records | 40 CFR 82.13(cc)(1)(iii) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Recordkeeping And Reporting Requirements For Class I Controlled Substances | Use Justification Document | 40 CFR 82.13(z)(1) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Recordkeeping And Reporting Requirements For Class I Controlled Substances | Written Certifications That Quantities Of Methyl Bromide Produced For Critical Use | 40 CFR 82.13(f)(2)(xxi) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Recordkeeping And Reporting Requirements For Class II Controlled Substances | Records And Copies Of Reports | 40 CFR 82.24(a)(3) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Reporting And Recordkeeping Requirements For Leak Repair | Leak Repair Records | 40 CFR 82.166(m) | 3 Years |
| EPA | Protection Of Stratospheric Ozone: Technician Certification | Technician Certification | 40 CFR 82.161(a)(4)(ii) | 3 Years After No Longer Operating As A Technician |
| EPA | Standards Applicable To Generators Of Hazardous Waste | Hazardous Waste Determinations By Small And Large Quantity Generators | 40 CFR 262.11(f) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Conditions For A Generator Managing Hazardous Waste From An Episodic Event | Episodic Event Records | 40 CFR 262.232(a)(7) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Conditions For A Generator Managing Hazardous Waste From An Episodic Event | Episodic Event Records | 40 CFR 262.232(b)(6) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Conditions For Exemption For A Large Quantity Generator That Accumulates Hazardous Waste. | Training Records On Current Personnel | 40 CFR 262.17(a)(7)(v) | Until Closure Of The Facility |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Conditions For Exemption For A Large Quantity Generator That Accumulates Hazardous Waste. | Training Records On Former Employees | 40 CFR 262.17(a)(7)(v) | 3 Years From The Date The Employee Last Worked At The Facility |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Exports Of Hazardous Waste | Annual Report | 40 CFR 262.83(i)(1)(ii) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Exports Of Hazardous Waste | Confirmation Of Receipt | 40 CFR 262.83(i)(1)(iii) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Exports Of Hazardous Waste | Confirmation Of Recovery Or Disposal | 40 CFR 262.83(i)(1)(iv) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Exports Of Hazardous Waste | Contract Or Equivalent Arrangement | 40 CFR 262.83(i)(1)(v) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Exports Of Hazardous Waste | Exception Report | 40 CFR 262.83(i)(1)(iii) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Exports Of Hazardous Waste | Notification Of Intent To Export | 40 CFR 262.83(i)(1)(i) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: How An Eligible Academic Entity Indicates It Will Withdraw From The Requirements Of This Subpart. | Withdrawal Notice | 40 CFR 262.204(c) | 3 Years From The Date Of Notification |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Imports Of Hazardous Waste. | Importer Contract Or Equivalent Arrangement | 40 CFR 262.84(h)(1)(ii) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Imports Of Hazardous Waste. | Importer Notification | 40 CFR 262.84(h)(1)(i) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Imports Of Hazardous Waste. | Receiving Facility Confirmation Of Certain Recovery Or Disposal Operations | 40 CFR 262.84(h)(2)(iii) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Imports Of Hazardous Waste. | Receiving Facility Confirmation Of Receipt | 40 CFR 262.84(h)(2)(i) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Imports Of Hazardous Waste. | Receiving Facility Confirmation Of Recovery Or Disposal | 40 CFR 262.84(h)(2)(ii) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Imports Of Hazardous Waste. | Receiving Facility Contract Or Equivalent Arrangement | 40 CFR 262.84(h)(2)(iv) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Laboratory Clean-Outs | Laboratory Clean-Out Records | 40 CFR 262.213(c) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Manifest Requirements Applicable To Small And Large Quantity Generators | Reclamation Agreement | 40 CFR 262.20(e)(2) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Petition To Manage One Additional Episodic Event Per Calendar Year. | Written Approval | 40 CFR 262.233(d) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Recordkeeping | Biennial Report | 40 CFR 262.40(b) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Recordkeeping | Exception Report | 40 CFR 262.40(b) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Recordkeeping | Manifest | 40 CFR 262.40(a) | 3 Years |
| EPA | Standards Applicable To Generators Of Hazardous Waste: Use Of Manifest | Manifest | 40 CFR 262.23(f)(4) | 3 Years |
| EPA | Standards For Universal Waste Management | Tracking Universal Waste Shipments – Destination Facilities | 40 CFR 273.62(b) | 3 Years |
| EPA | Standards For Universal Waste Management | Tracking Universal Waste Shipments – Large Quantity Handlers | 40 CFR 273.39(c)(1) and (2) | 3 Years |
| EPA | Standards Of Performance For New Stationary Sources Subpart A – General Provisions: General Control Device And Work Practice Requirements. | Daily Instrument Check Video Record | 40 CFR 60.18(i)(4)(v) | 5 Years |
| EPA | Standards Of Performance For New Stationary Sources Subpart A – General Provisions: General Control Device And Work Practice Requirements. | Leak Survey Result Video Record | 40 CFR 60.18(i)(4)(vi) | 5 Years |
| EPA | Standards Of Performance For New Stationary Sources Subpart A – General Provisions: Notification And Record Keeping | Continuous Monitoring System, Monitoring Device, And Performance Testing Measurements | 40 CFR 60.7(f) | 2 Years |
| EPA | State Operating Permit Programs: Permit Content | Operating Permit Required Monitoring Data And Support Information | 40 CFR 70.6(a)(3)(ii)(B) | 5 Years |
| EPA | Technical Standards And Corrective Action Requirements For Owners And Operators Of Underground Storage Tanks (UST): Closure Records | Excavation Zone Assessment Results | 40 CFR 280.74 | 3 Years After Completion Of Permanent Closure Or Change-In-Service |
| EPA | Technical Standards And Corrective Action Requirements For Owners And Operators Of Underground Storage Tanks (UST): Periodic Operation And Maintenance Walkthrough Inspections | Operation And Maintenance Walkthrough Inspections | 40 CFR 280.36(b) | 1 Year |
| EPA | Technical Standards And Corrective Action Requirements For Owners And Operators Of Underground Storage Tanks (UST): Periodic Testing Of Spill Prevention Equipment And Containment Sumps Used For Interstitial Monitoring Of Piping And Periodic Inspection Of Overfill Prevention Equipment. | Spill Prevention Equipment, Containment Sumps Used For Interstitial Monitoring Of Piping, And Overfill Prevention Equipment Inspections | 40 CFR 280.35(c)(1) | 3 Years |
| EPA | Technical Standards And Corrective Action Requirements For Owners And Operators Of Underground Storage Tanks (UST): Release Detection Recordkeeping | Annual Operation Tests | 40 CFR 280.45(b)(1) | 3 Years |
| EPA | Technical Standards And Corrective Action Requirements For Owners And Operators Of Underground Storage Tanks (UST): Release Detection Recordkeeping | Calibration, Maintenance, And Repair Of Release Detection Equipment Documentation | 40 CFR 280.45(c) | 1 Year |
| EPA | Technical Standards And Corrective Action Requirements For Owners And Operators Of Underground Storage Tanks (UST): Release Detection Recordkeeping | Release Detection Equipment Manufacturer Schedules Of Required Calibration And Maintenance | 40 CFR 280.45(c) | 5 Years From The Date Of Installation |
| EPA | Technical Standards And Corrective Action Requirements For Owners And Operators Of Underground Storage Tanks (UST): Release Detection Recordkeeping | Release Detection System Written Performance Claims | 40 CFR 280.45(a) | 5 Years |
| EPA | Technical Standards And Corrective Action Requirements For Owners And Operators Of Underground Storage Tanks (UST): Release Detection Recordkeeping | Sampling, Testing, Or Monitoring Results | 40 CFR 280.45(b) | 1 Year |
| EPA | Toxic Chemical Release Reporting: Community Right-To-Know: Recordkeeping | Toxic Release Inventory Alternate Threshold Certification Statement Supporting Material And Documentation | 40 CFR 372.10(d) | 3 Years |
| EPA | Toxic Chemical Release Reporting: Community Right-To-Know: Recordkeeping | Toxic Release Inventory Notification Supporting Material And Documentation | 40 CFR 372.10(b) | 3 Years |
| EPA | Toxic Chemical Release Reporting: Community Right-To-Know: Recordkeeping | Toxic Release Inventory Reports And Supporting Material And Documentation | 40 CFR 372.10(a) | 3 Years |
| OSHA | Access To Employee Exposure And Medical Records | Employee Exposure Records | 29 CFR 1910.1020(d)(1)(ii) | 30 Years |
| OSHA | Access To Employee Exposure And Medical Records | Employee Exposure Records | 29 CFR 1910.1020(d)(1)(ii) | 30 Years |
| OSHA | Access To Employee Exposure And Medical Records | Employee Information (Training) | 29 CFR 1910.1020(g)(1) | No Timeframe Provided |
| OSHA | Access To Employee Exposure And Medical Records | Employee Medical Records | 29 CFR 1910.1020(d)(1)(i) | 30 Years |
| OSHA | Asbestos | Exposure Measurements | 29 CFR 1910.1001(m)(1)(iii) | 30 Years |
| OSHA | Asbestos | Medical Surveillance | 29 CFR 1910.1001(m)(3)(iii) | Duration Of Employment Plus Thirty Years |
| OSHA | Asbestos | Training | 29 CFR 1910.1001(m)(4) | One Year Beyond The Last Date Of Employment |
| OSHA | Bloodborne Pathogens | Employee Training | 29 CFR 1910.1030(g)(2)(iv) | 1 Year |
| OSHA | Bloodborne Pathogens | Medical Record | 29 CFR 1910.1030(h)(1)(iv) | Duration Of Employment Plus 30 Years |
| OSHA | Bloodborne Pathogens | Training Records | 29 CFR 1910.1030(h)(2)(ii) | 3 Years |
| OSHA | Control of Hazardous Energy | Employee Training | 29 CFR 1910.147 | Not Specified |
| OSHA | Control of Hazardous Energy | Inspection of the Energy Control Procedure | 29 CFR 1910.147(c)(6)(i) | 1 Year |
| OSHA | Exit Routes and Emergency Planning | Emergency Action Plans | 29 CFR 1910 Subpart E | Not Specified |
| OSHA | Exit Routes and Emergency Planning | Employee Training | 29 CFR 1910 Subpart E | Not Specified |
| OSHA | Fire Protection – Portable Fire Extinguishers | Annual Maintenance Tests | 29 CFR 1910.157(e)(3) | One Year After the Last Entry of the Life of the Shell, Whichever Is Less |
| OSHA | Fire Protection – Portable Fire Extinguishers | Employee Training | 29 CFR 1910.157 | Not Specified |
| OSHA | Formaldehyde | Exposure Records And Determinations | 29 CFR 1910.1048(o)(5)(i) | 30 Years |
| OSHA | Formaldehyde | Medical Records | 20 CFR 1910.1048(o)(5)(ii) | 30 Years |
| OSHA | General Environmental Controls – Permit-Required Confined Spaces | Canceled Entry Permits | 29 CFR 1910.146(e)(6) | 1 Year |
| OSHA | General Environmental Controls – Permit-Required Confined Spaces | Employee Training | 29 CFR 1910.146 | Not Specified |
| OSHA | Hazard Communication | Employee Training | 29 CFR 1910.1200 | Not Specified |
| OSHA | Hazard Communication | Safety Data Sheets | 29 CFR 1910.1200 | Duration Of Employment Plus 30 Years |
| OSHA | Inorganic Arsenic | Medical Records | 29 CFR 1910.1018(q)(2)(iv) | 40 Years Or For The Duration Of Employment Plus 20 Years, Whichever, Is Longer |
| OSHA | Inorganic Arsenic | Monitoring Records | 29 CFR 1910.1018(q)(1)(iii) | 40 Years Or For The Duration Of Employment Plus 20 Years, Whichever, Is Longer |
| OSHA | Machinery and Machine Guarding | Employee Training | 29 CFR 1910 Subpart O | Not Specified |
| OSHA | Machinery and Machine Guarding | Inspections And Tests | 29 CFR 1910 Subpart O | Not Specified |
| OSHA | Medical and First Aid | Employee Training | 29 CFR 1910 Subpart K | Not Specified |
| OSHA | Medical and First Aid | Inspections And Tests | 29 CFR 1910 Subpart K | Not Specified |
| OSHA | Occupational Noise Exposure | Audiometric Test Records | 29 CFR 1910.95(m)(3)(ii) | Duration Of The Affected Employee’s Employment |
| OSHA | Occupational Noise Exposure | Noise Exposure Measurement Records | 29 CFR 1910.95(m)(3)(i) | 2 Years |
| OSHA | Personal Protective Equipment | Employee Training | 29 CFR 1910.132 | Not Specified |
| OSHA | Personal Protective Equipment | Inspections | 29 CFR 1910.132 | Not Specified |
| OSHA | Personal Protective Equipment – Respiratory Protection | Fit Tests | 29 CFR 1910.134(m)(2)(ii) | Until the Next Fit Test Is Administered |
| OSHA | Powered Platforms, Manlifts, and Vehicle-Mounted Work Platforms | Employee Training | 29 CFR 1910 Subpart F | Not Specified |
| OSHA | Powered Platforms, Manlifts, and Vehicle-Mounted Work Platforms | Inspections And Tests | 29 CFR 1910 Subpart F | Not Specified |
| OSHA | Process Safety Management Of Highly Hazardous Chemicals: Incident Investigation | Incident Investigation Reports | 29 CFR 1910.119(m)(7) | 5 Years |
| OSHA | Process Safety Management Of Highly Hazardous Chemicals: Incident Investigation | Inspections And Tests | 29 CFR 1910.119 | Not Specified |
| OSHA | Process Safety Management Of Highly Hazardous Chemicals: Process Hazards Analysis | Employee Training | 29 CFR 1910.119 | Not Specified |
| OSHA | Process Safety Management Of Highly Hazardous Chemicals: Process Hazards Analysis | Process Hazards Analyses And Updates Or Revalidations | 29 CFR 1910.119(e)(7) | Life Of The Process |
| OSHA | Recording and Reporting Occupational Injuries and Illnesses | Annual Summary | 29 CFR 1904.33(a) | Five Years Following the End of the Calendar Year Covered by Records |
| OSHA | Recording and Reporting Occupational Injuries and Illnesses | OSHA 300 Log | 29 CFR 1904.33(a) | Five Years Following the End of the Calendar Year Covered by Records |
| OSHA | Recording and Reporting Occupational Injuries and Illnesses | OSHA 301 Incident Report Forms | 29 CFR 1904.33(a) | Five Years Following the End of the Calendar Year Covered by Records |
| OSHA | Recording and Reporting Occupational Injuries and Illnesses | Privacy Case List | 29 CFR 1904.33(a) | Five Years Following the End of the Calendar Year Covered by Records |
| OSHA | Walking-Working Surfaces | Employee Training | 29 CFR 1910 Subpart D | Not Specified |
| OSHA | Walking-Working Surfaces | Inspections And Tests | 29 CFR 1910 Subpart D | Not Specified |
16.4 References
[1] “15 May Best Practices in Records Retention & Litigation Holds” Posted by Julie Bittner, M.H Law Group website accessed May 7, 2022 (https://mwhlawgroup.com/best-practices-records-retention-litigation-holds/)
[2] “Record And Document Retention Policy Implementation Consistency“ Iron Mountain General Articles accessed May 7, 2022 (https://www.ironmountain.com/resources/general-articles/r/record-and-document-retention-policy-implementation-consistency#:~:text=When%20an%20organization%20has%20a%20records%20retention%20schedule,and%20information%20management%20practices%20to%20mitigate%20these%20risks.)
[3] “Statute of limitations” legal definition, The Free Dictionary by Farlex (https://legal-dictionary.thefreedictionary.com/statute+of+limitations)
[4] U.S. Code Title 28. Judiciary And Judicial Procedure Part Vi. Particular Proceedings Chapter 163. Fines, Penalties And Forfeitures:
[5] “Federal Court Limits Occupational Safety and Health Administration’s (OSHA) Ability to Issue Citations Past 6-Month Limitations Period” Littler News and Analysis ASAP Website accessed May 10, 2022 (https://www.littler.com/publication-press/publication/federal-court-limits-oshas-ability-issue-citations-past-6-month)
[6] 29 Code of Federal Regulations (CFR) 1904.44
[7] “Federal Court Limits Occupational Safety and Health Administration’s (OSHA) Ability to Issue Citations Past 6-Month Limitations Period” Littler News and Analysis ASAP Website accessed May 10, 2022 (https://www.littler.com/publication-press/publication/federal-court-limits-oshas-ability-issue-citations-past-6-month)
[8] “7th Circuit Court of Appeals Upholds Statute of Limitation in NSR Enforcement Case” 4 the Record Articles, Posted July 26, 2013 (https://www.all4inc.com/4-the-record-articles/7th-circuit-court-of-appeals-upholds-statute-of-limitation-in-nsr-enforcement-case/)
[9] Ibid
[10] “United States: The Seventh Circuit Cuts The Gordian Knot Of NSR Interpretation: Preconstruction Review Cannot Lead To Continuing Violations” by Seth D. Jaffe, July 24, 2013
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