2628 Pearl Road, Medina, OH 44256 | 330-273-5090 | info@rpminc.com
Download the English version as a pdf here
Download the English version of Schedule A as a pdf here
RECORDS AND INFORMATION MANAGEMENT POLICY
APPLICABLE TO RECORDS CREATED OR MAINTAINED IN THE UNITED STATES
Version: August 1, 2018
The records and data of RPM International Inc. (the “Company”) are important assets. Company records include essentially all records you produce or receive in your capacity as an employee, whether paper or electronic. A record may be as obvious as a memorandum, a letter, an e-mail, a contract or a formula, or something not as obvious, such as a computerized desk calendar, an appointment book or an expense record. The law requires the Company to maintain certain types of corporate records, usually for a specified period of time. Failure to retain those records for those minimum periods could subject you and the Company to penalties and fines, cause the loss of rights, obstruct justice, spoil potential evidence in a lawsuit, place the Company in contempt of court, or seriously disadvantage the Company in litigation. Accordingly, compliance with this policy is expected and mandatory for all Company employees.
SCOPE AND DEFINITIONS
This Policy is applicable to the Company and all Company-related records created, received, maintained, or stored by the Company in the United States (“Records”). Records must be retained for the time period set forth on Schedule A attached hereto and incorporated herein and, upon the expiration of that time period, must be destroyed, unless retention is otherwise required by any applicable litigation hold. Records designated as “permanent” on Schedule A shall never be destroyed. The Company Email Management Policy is set forth on Schedule B attached hereto and incorporated herein.
IMPLEMENTATION AND COMPLIANCE
Responsible Officers/Personnel
The General Counsel and Associate General Counsel shall have primary responsibility for oversight of the implementation and compliance by the Company with this Policy, including the Email Management Policy.
The General Counsel and/or Associate General Counsel may appoint one or more “Records Manager(s)”, who shall have responsibility for implementation and compliance by the Company with this Policy. The Assistant to the General Counsel shall serve as the Records Manager until further notice.
Employee Responsibilities
Each employee of the Company shall ensure that Records under the employee’s control are retained and disposed of consistent with this Policy, including the Email Management Policy.
Definition of a Record
All records created in the ordinary course of the Company’s business are “Records” and are the property of the Company and are subject to this Policy. This pertains to all forms of all media, including, but not limited to:
Requests for Exceptions
Requests for exceptions from this Policy shall be submitted to the Records Manager, with final approval granted by the Associate General Counsel. All requests for exceptions must be supported by evidence that the purpose and basic objectives of this Policy will be met.
RECORDS RETENTION SCHEDULE
Records must be kept for the period of time indicated on Schedule A. All Company employees are expected to become familiar with and comply with Schedule A. Copies of Schedule A are also available from the General Counsel’s office and from the Records Manager.
To the extent that there are conflicts about the period to retain a certain record, keep for the longest of the conflicting periods after consulting the Records Manager.
Schedule A will be revised from time to time to reflect changing legal requirements and business needs and will be distributed by the General Counsel to the Records Manager as applicable.
COPIES OF RECORDS
In no case shall copies of Records be retained longer than the official version of the Record or otherwise be retained in contravention of any Policy.
DRAFTS OF RECORDS
Drafts of Records shall be retained for the applicable period set forth on Schedule A. Should no period be set forth on Schedule A, drafts shall be destroyed no later than six months following completion/submission/execution of the final Record.
DESTRUCTION OF RECORDS
Disposal of Records and all copies thereof shall take place in accordance with the Schedule and such process will be in conformance with legal requirements, including the secure destruction of Records containing confidential, consumer or health-related information, or personally-identifiable information about employees or third parties. Secure disposal of paper documents includes burning, pulverizing or shredding so that the information cannot practicably be read or reconstructed.
Records not otherwise required to be maintained for a longer period will be deleted after 10 years if the records are not already destroyed according to Schedule A.
LITIGATION HOLD
Destruction of Records under the Schedule shall be suspended pursuant to a Litigation Hold as provided in the Company’s Litigation Hold Policy. Once Records are subject to a Litigation Hold, destruction of any of those Records, even inadvertent destruction, may result in severe penalties. Please reference the Litigation Hold Policy for further details.
Any employee of the Company who violates this Policy or who directs anyone to violate this Policy may be subject to disciplinary action up to an including termination as indicated in RPM’s Values and Expectations of 168. The Company retains the right to report any violations of law to appropriate authorities.
SCHEDULE A to the Records Management Policy
| SCHEDULE A | ||
| to the Records Management Policy | REVISED: January 5, 2022 | |
| RECORD TYPE | RECORD DESCRIPTION | RETENTION PERIOD |
| INDEX | ||
| Accounting & Finance | 1 | |
| Contracts | 2 | |
| Corporate Secretarial | 2 | |
| Correspondence/Memoranda | 2 | |
| E-mails | 2 | |
| General Internal Records | 3 | |
| Hotline | 3 | |
| Insurance | 3 | |
| Internet Records | 3 | |
| Internal Audit | 3 | |
| Internal Investigations | 3 | |
| Investor Relations | 3 | |
| Litigation | 3 | |
| Marketing/Customer Service | 3 | |
| Mergers & Acquisitions | 4 | |
| Policies/Compliance | 4 | |
| Product Records | 4 | |
| Property | 4 | |
| Safety (OSHA) | 5 | |
| SEC Related Documents | 6 | |
| Taxes | 6 | |
| Trade | 6 | |
| Warranties | 7 | |
| Environmental | 7 | |
| Employment Records | 9 | |
| ACCOUNTING AND FINANCE | ||
| FINANCIAL STATEMENTS | Audited financial statements | Permanent |
| Records used in management's assessment of internal controls over financial reporting risk assessments/ travel/FCPA | 7 years | |
| Back-up records for public filings | 7 years | |
| Audits or adjustments to financial statements | 7 years | |
| Sarbanes-Oxley records, including compliance signatures | 7 years | |
| Contingent Liability Review Documents | 7 years | |
| GENERAL ACCOUNTING RECORDS | General Ledger and supporting records | 7 years |
| Depreciation schedules | 7 years | |
| Accounts receivable records | 7 years | |
| Drafts of loan and related documents | Until contract is executed | |
| Loan records (including bank borrowing records) | Life of the contract plus 8 years | |
| Accounts payable records | 7 years | |
| Capital assets/expense records | 7 years | |
| Expense Analyses/ expense distribution schedules | 7 years | |
| Sales reports | 7 years | |
| Credit records | 7 years | |
| Name and addresses of customers | 7 years | |
| Outstanding check lists | 7 years | |
| Void stop payment lists | 7 years | |
| Small balance write offs | 7 years | |
| Rating agency communications | 7 years | |
| Letters of credit | Life of the contract plus 8 years | |
| W-9 | Permanent | |
| GENERAL FINANCIAL RECORDS | Bank statements and resolutions reconciliations | 15 years |
| Inventory reports | 10 years | |
| All budgets | 7 years | |
| Forecasts | 5 years | |
| Plan documents | 1 year from submission | |
| Cancelled checks | 7 years | |
| Investment records | 6 years after divestment of position | |
| Appropriation requests | 1 year | |
| Rating Agency materials | 7 years | |
| CONTRACTS | ||
| Contract Drafts in all categories | No later than 6 months after execution of the final agreement | |
| Settlements and releases | Permanent | |
| Permits (not including environmental) | Period of permit plus 5 years | |
| Labor union contracts and negotiation materials | Permanent | |
| Agreements for the purchase and sale or real property | Permanent | |
| Licensing, distribution, and other intellectual property-based contracts | Permanent | |
| Employment contracts | Longer of life of contract plus 10 years or term of employment plus 5 years | |
| General contracts and amendments thereto (includes personal property; tax-related contracts; product warranties of third parties; bank borrowing records; rebate and co-op advertising payments; letter agreements) | Life of contract plus 8 years | |
| Contracts for the sale of goods; letters setting forth or changing the terms of the contract | Life of contract plus 8 years | |
| Quotations/ proposals | Life of contract plus 8 years | |
| Confidentiality and nondisclosure agreements | Life of contract plus 8 years | |
| Internet user agreements, changes, and notices of changes | Life of contract plus 8 years | |
| Tax-related contracts | Life of contract plus 8 years | |
| Requisitions, purchase orders, purchase order register, bills of lading, bills of sale, sales orders | Life of order plus 4 years | |
| Collective bargaining agreements | 3 years from last effective date | |
| Orders, purchase orders, bills of lading, invoices, etc. | Life of order plus 4 years | |
| Customer lists | 15 years | |
| Price lists | 10 years | |
| Returned goods records | 10 years | |
| Applications for credit, approval forms, qualification reports | 10 years | |
| Bids (accepted and rejected) | 10 years | |
| Government contracts | 3 years post receipt of the final payment under the contract (which is generally made after completion of final audit)** For Federal Government Contracts see addendum attached or life of contract plus 10 years, whichever is longer | |
| Power of Attorney | Life of contract plus 5 years | |
| CORPORATE SECRETARIAL | ||
| Minutes | Permanent | |
| Drafts, notes | Promptly following approval of the applicable minutes | |
| Clean copy of Board information package, materials specifically referred to in minutes and related correspondence | 1 year | |
| Materials distributed at or prior to meetings other than the copy specified above | Promptly following meeting | |
| Copies of Annual Report Filings | 7 years | |
| Dividend Schedule | 10 years | |
| Cancelled Stock Certificates | 10 years | |
| CORRESPONDENCE/MEMORANDA | ||
| All correspondence, other than email, and memoranda not otherwise addressed | 1 year | |
| EMAILS | ||
| Refer to Email Management Policy attached to Records Management Policy | ||
| GENERAL INTERNAL RECORDS | ||
| Monthly Presidents Letters | 2 months following issuance | |
| Plan Books and related materials | 1 year | |
| Disclosure Committee materials | 1 year | |
| Global Management meeting materials | 1 year | |
| Growth and Strategy materials | 1 year | |
| QOR materials | 1 year | |
| HOTLINE | ||
| Hotline call records | 10 years | |
| Internal investigation documentation | 10 years unless longer period specified elsewhere herein | |
| INSURANCE | ||
| OCCURRENCE TYPE POLICIES | Insurance policies and endorsements, certificates of insurance, and additional insured endorsements | Permanent |
| Insurance underwriting and policy placement records (e.g., applications, insurance placement binders, broker communications) | Permanent | |
| Records sufficient to establish payment of premiums | Permanent | |
| Records sufficient to establish payments made under insurance policies (e.g., loss runs) | Permanent | |
| Insurance claim records (e.g., claim notices, proofs of loss, communications with insurers) | 5 years from final resolution of claim | |
| CLAIMS-MADE TYPE POLICIES | Insurance policies and endorsements, certificates of insurance, and additional insured endorsements | 10 years after policy term ends |
| Insurance underwriting and policy placement records (e.g., applications, insurance placement binders, broker communications) | 10 years | |
| Records sufficient to establish payment of premiums | 10 years | |
| Records sufficient to establish payments made under insurance policies (e.g., loss runs) | 10 years | |
| Insurance claim records (e.g., claim notices, proofs of loss, communications with insurers) | 5 years from final resolution of claim | |
| INTERNET RECORDS | ||
| Privacy policies and terms of use, changes to the same, and notices of changes | 7 years post last effective date | |
| Archives of web pages | 3 years | |
| Domain Name registrations | 3 years | |
| INTERNAL AUDIT | ||
| Internal audit reports and work papers | 7 years | |
| INTERNAL INVESTIGATIONS | ||
| Internal investigation workpapers and reports | 10 years unless longer period covered elsewhere given the subject-matter of the investigation | |
| INVESTOR RELATIONS | ||
| Presentations to investors | 7 years | |
| LITIGATION | ||
| Settlement agreements, final court orders, and dismissals | Permanent | |
| Legal opinions | Permanent | |
| Requests for departure from records management policy | Permanent | |
| Records related to litigation against the company, including complaints, correspondence, notes, pleadings, depositions, interim orders, litigation hold notices | Pendency of the case + 5 years | |
| Records regarding FCPA/ anticorruption enforcement and disciplinary procedures | 10 years | |
| Quarterly litigation reports | 3 years | |
| MARKETING/CUSTOMER SERVICE | ||
| Advertising, brochures, telemarketing scripts, and promotional materials | 7 years | |
| Public relations campaigns; market research data; marketing plans and competitive overview; and product launches, new product profiles and reporting, and new product reviews | 7 years | |
| Information regarding current and former employees directly involved in telephone sales | 2 years | |
| Verifiable authorizations required under the Telemarketing Sales Rule | 2 years | |
| Press Releases | 7 years | |
| Customer Service Records | 1 year | |
| Customer Service Call Recordings | 1 year | |
| MERGERS AND ACQUISITIONS | ||
| Closed Transactions - Acquisition, merger and divestment agreements and related closing deliveries (deal bibles) | Permanent | |
| Closed Transactions - Due diligence materials | 10 years | |
| Unexecuted drafts | No later than 6 months following closing | |
| Prospect Company Files (other than due diligence) | 15 years from date of last contact | |
| Prospect Due Diligence | 5 years | |
| POLICIES/COMPLIANCE | ||
| Final policies (even when superceded) | Permanent | |
| Policy Drafts | No later than 6 months following issuance of final policy | |
| Policy workpapers | 3 years following issuance of final policy | |
| Requests for departure from records management policy | Permanent | |
| Compliance training records | 5 years | |
| 3rd Party due diligence work papers | 7 years from completion of review | |
| Conflict Minerals materials | 6 years from completion of annual review | |
| PRODUCT RECORDS | ||
| MANUFACTURE | Product formulas, materials lists, and substitution reports | Permanent |
| Standard operating procedures | As long as the product is being marketed, produced and/or sold | |
| Engineering change requests and notices | 10 years | |
| Supplier quality data | 10 years | |
| Equipment inventories | 10 years | |
| Production reports | 10 years | |
| Copies of packaging materials and instructions | 10 years | |
| DESIGN | Design records and specifications | As long as the product is being marketed, produced and/or sold |
| Engineering records | As long as the product is being marketed, produced and/or sold | |
| Purchasing records | 10 years | |
| TESTING | Lab reports, quality control reports, and other testing (including equipment calibration records) | 10 years |
| Product liability | 10 years | |
| Testing and Quality Control Reports | 10 years | |
| Reports to the Consumer Product Safety Commission (CSPC) | 10 years | |
| DEFECTS/ INJURIES/ MALFUNCTIONS | Records of consumer product claim and complaints related to allegations of significant adverse reactions to human health or the environment caused by a chemical substance or mixture | 30 years for complaints by employees or 5 years for complaints by plant site neighbors or customers |
| (See also, SAFETY) | Reports of accidents, testing, and investigations related to allegations of significant adverse reactions to human health or the environment caused by a product's chemical substance or mixture | 30 years for complaints by employees or 5 years for complaints by plant site neighbors or customers |
| PROPERTY | ||
| REAL PROPERTY | Deeds, surveys, title work | Permanent |
| Purchase agreements, Settlement Statements, bills of sale, etc. | Permanent | |
| Mortgages and proof of satisfaction of mortgage | Permanent | |
| Permits | Period of permit plus 5 years | |
| Leases for manufacturing facilities | Life of lease plus 25 years | |
| Leases for warehouses and office space | Life of lease plus 8 years | |
| PHYSICAL PROPERTY | Manuals and instructions for equipment | Life of the equipment |
| Equipment purchase records | Life of the equipment | |
| INTELLECTUAL PROPERTY | Patents | Permanent |
| Opinion Letters | Permanent | |
| Copyrights | Permanent | |
| Trademarks, including searches, applications, and records related to usage, marketing, etc. | Permanent | |
| Outside submissions of new product ideas | Permanent | |
| Laboratory results | Permanent | |
| Research records | Permanent | |
| Product tooling, design, specifications, and research data | Permanent | |
| Invention notebooks and records | Permanent | |
| Inspection and test reports on new or proposed products | Permanent | |
| Invention Assignment forms | Permanent | |
| Confidentiality agreements and non-disclosure agreements | Life +8 years | |
| SAFETY (OSHA) | ||
| PREPAREDNESS | Emergency action plans | Permanent |
| Material safety data sheets (MSDS), safety data sheets (SDS), product safety data sheets (PSDS), product labels, and lists of identities and uses of chemicals no longer in use | 30 years | |
| Records related to determining, analyzing, and communicating hazards | As long as applicable | |
| Policies regarding workplace injuries | 5 years | |
| Third party safety audits | 5 years | |
| Safety reports | 5 years | |
| Health and safety bulletins | 5 years | |
| Canceled entry permits | 1 year | |
| Documentation of testing and maintenance of facility communications or alarm systems, fire protection equipment, spill control equipment, and decontamination equipment | Active until next testing or maintenance | |
| TESTING | Certification and inspection records for overhead, gantry, crawler locomotive, and truck cranes | Life of the equipment |
| Records related to workplace monitoring or measuring, including sampling results, collection methodology (sampling plan), description of analytical and mathematical methods used, and summary of other background data relevant to interpretation of results obtained | 30 years | |
| Objective data for exemption from requirement for monitoring for lead; cadmium; and formaldehyde | 30 years | |
| Objective data for exempted operations | Duration of reliance | |
| Objective data for exemption from requirements for monitoring for acrylonitrile; ethylene oxide; methylenedianiline; 1, 3-butadiene; methylene chloride; | Duration of reliance | |
| Highly hazardous chemicals compliance audits | 2 most recent | |
| Background data to workplace monitoring or measuring (laboratory reports and worksheets) | 1 year | |
| Records evidencing the performance, inspection, and maintenance of fire extinguishers and extinguishing systems | Earlier of when extinguisher is retested or taken out of service | |
| Records of inspections and repairs, including certification records, of platform installations, manlifts, slings, mechanical power presses, resistance welders, rigging equipment, hoists and elevators, and safety systems and training records for the same | Current | |
| EMPLOYEE RECORDS | Exposure measurements for inorganic arsenic; lead; 1, 2-dibromo-3-chloropropane; and acrylonitrile | Longer of 40 years or the duration of employment plus 20 years |
| Medical surveillance of exposed employees for inorganic arsenic; lead; 1, 2-dibromo-3-chloropropane; and acrylonitrile | Longer of 40 years or the duration of employment plus 20 years | |
| Medical surveillance of exposed employees for asbestos; cadmium; benzene; ethylene oxide; formaldehyde; methylenedianiline; 1, 3-butadiene; and methylene chloride | Duration of employment plus 30 years | |
| Records of each employee removed from current exposure to methylenedianiline | Duration of employment plus 30 years | |
| Training records and certificates of training | 30 years | |
| Exposure measurements for asbestos; cadmium; benzene; ethylene oxide; formaldehyde; methylenedianiline; 1, 3-butadiene; methylene chloride; hazardous wastes; and hazardous chemicals in laboratories | 30 years | |
| Records related to cotton dust exposure monitoring and medical surveillance of exposed employees | 20 years | |
| Audiometric test records | Duration of employment | |
| Records regarding medical surveillance of employees exposed to carcinogens | Duration of employment | |
| Records of each employee removed from current exposure to lead | Duration of employment | |
| Noise exposure measurement records | 2 years | |
| Respirator fit testing records | Current | |
| CHEMICAL FACILITY SECURITY PROGRAM | Records of submitted Top-Screens, Security Vulnerability Assessments, Site Security Plans, and all related correspondence with the Department of Homeland Security | 6 years |
| Any and all records related to the Chemical Facility Security Program (including records related to training, drills, and exercises; incidents and breaches of security; maintenance, calibration, and testing of security equipment; audits of the Site Security Plan; and letters of authorization and approval) | 3 years | |
| ASBESTOS RECORDS | Written notifications regarding identification, location and quantity of Asbestos-Containing Material and Presumed Asbestos-Containing Material (PACM) (applies only to construction) | Permanent |
| Data to rebut PACM (applies only to construction) | Permanent | |
| Asbestos records related to employees | Permanent | |
| Asbestos records related to owned/occupied real property | Permanent | |
| All other asbestos records | Permanent | |
| ACCIDENTS | OSHA records, including the OSHA 300 Log (including updates), privacy case list, annual summary, OSHA 301 Incident Report forms, incident investigation reports, and OSHA 200 and 101 forms | 5 years from the end of the calendar year these records cover |
| SEC-RELATED DOCUMENTS | ||
| SEC filing-related documents | 7 years | |
| Annual Reports | 7 years | |
| Proxy Statements | 7 years | |
| 10-K | 7 years | |
| 10-Q | 7 years | |
| TAXES | ||
| Application for Tax Exemption (Form 1023 and State Form) and Determination Letter | Permanent | |
| All tax related records | 7 years | |
| Excise tax records | 4 years | |
| TRADE | ||
| Incoming and outgoing shipment records | 10 years | |
| (See also PRODUCTS: DISTRIBUTION) | Records related to exports, including certificates of origin | 10 years |
| Records showing quantities, sources, costs, shipment dates, and related information for products assembled abroad with U.S. components | 10 years | |
| Antiboycott Reporting Forms along with any shipment records/investigations and/or reporting to IRS materials. | 10 years | |
| ANTICORRUPTION | Third party due diligence materials, including but not limited to certifications of compliance with anticorruption laws, trade laws, FCPA, and anti-bribery laws | 7 years |
| Certifications of compliance with the FCPA and supporting records | 7 years | |
| EXPORT ADMINISTRATION REGULATIONS see p. 452 of App. 65-E of the supplement | Records required under § 762.2 of the Export Administration Regulations (EAR) (including export control records; memoranda, notes, and correspondence; applications and certificates; contracts and invitations to bid; books or accounts and financial records; restrictive trade practice or boycott records and reports; notifications from BIS; records related to Iraq and Libya; and other records that are made or obtained subject to this section) | 5 years from the latest of: (1) The export from the United States of the item involved in the transaction to which the records pertain or the provision of financing, transporting or other service for or on behalf of end-users of proliferation concern as described in §§736.2(b)(7) and 744.6 of the EAR; (2) Any known reexport, transshipment, or diversion of such item; (3) Any other termination of the transaction, whether formally in writing or by any other means; or (4) In the case of records of pertaining to transactions involving restrictive trade practices or boycotts described in part 760 of the EAR, the date the regulated person receives the boycott-related request or requirement. |
| TRADING WITH THE ENEMY ACT AND THE INTERNATIONAL EMERGENCY ECONOMIC POWERS ACT | Full record of each transaction | 5 years after date of transaction |
| ARMS EXPORT CONTROL ACT | Records concerning the manufacture, acquisition, and disposition of defense articles and the provision of defense services | 5 years |
| Reports containing all shipment information of the same | 5 years | |
| ATOMIC ENERGY ACT | Records of each import and export of nuclear material or equipment | 3 years after each export or import of byproduct materials |
| CUSTOMS MODERNIZATION AND INFORMED COMPLIANCE ACT (MOD ACT) | All items on the Customs Service's "(a)(1)(A) list" | 5 years from the date of import or 3 years after the date of payment of a drawback claim |
| Records that directly or indirectly pertain to importing and are kept in the ordinary course of business and supporting records | 5 years from the date of import or 3 years after the date of payment of a drawback claim | |
| SPILL INVESTIGATION REPORTS | Reports regarding the actions undertaken following a release of materials that required notification to a government agency | Permanent |
| SITE INVESTIGATION REPORTS | Reports that included the collection and analysis of historical records related to a properties history, or the collection of soil and groundwater samples for the laboratory analysis and assessment of chemical impacts on the subsurface | Permanent |
| WARRANTIES | ||
| Product warranties | Life of the warranty plus 8 years | |
| Records regarding warranty disputes, including correspondence, meetings, consultations, decisions, and disclosures | 4 years after disposition of dispute | |
| Indices required by the Magnuson-Moss Warranty Act | 4 years after disposition of dispute | |
| Reports regarding warranties (including warranty audits) | 4 years after disposition of dispute | |
| ENVIRONMENTAL | ||
| GENERAL ENVIRONMENTAL | Environmental site files, including insurance claims | Permanent |
| PLANTS AND FACILITIES | External inspections related to a regulator visit testing records and audits. | Permanent |
| Permits and registration records | Life of facility plus 5 years | |
| Internal environmental, safety, property risk, and casualty risk inspections and audit reports | 5 years or most recent only if more than one less than 5 years | |
| EMERGENCY PLANNING AND COMMUNITY RIGHT-TO-KNOW ACT (SARA TITLE III) | All reports, notices, and certifications regarding SARA Title III, records used to determine whether the reports, notices, and certifications are required, and records supporting the content of the reports, notices, and certifications | 3 years from date of submission of report, notice, or certification |
| TOXIC SUBSTANCES CONTROL ACT (TSCA) | Production, use and exposure-related information required to be reported under 40 C.F.R. Part 712 | Permanent |
| Records relating to any serious adverse reactions reported by employees | 30 years | |
| TSCA chemical data required to be reported (certification statement, company and plant site information and chemical-specific information) | 5 years beginning on the last day of the submission period; submitters are encouraged to retain records longer than 5 years so that past records are available as reference when new submissions are generated | |
| Records relating to any serious adverse reactions to human health or the environment reported by any others | 30 years | |
| Premanufacture notification (PMN) filings and supporting documents and exemptions from the same | 5 years | |
| Records regarding substances which U.S. Environmental Protection Agency (EPA) has added as significant new uses, significant new use notices, records documenting exemptions from significant new use requirements, and records supporting all of the same | 5 years | |
| Records that document information reported under the TSCA Inventory | 5 years | |
| TSCA Section 8(a) reports required to be maintained by persons who manufacture or process chemical substances and materials and documentation sufficient to verify or reconstruct the values in the same | 3 years | |
| Copies of each notice sent to customers notifying them of their reporting obligations and return receipts for the same | 3 years | |
| SOLID AND HAZARDOUS WASTE (RESOURCE CONSERVATION AND RECOVERY ACT) | All hazardous waste determinations (including analyses performed to determine whether generator's waste is hazardous), reports required by the EPA, test results, inspection reports, and waste analyses regarding the same | 3 years/ Permanent |
| Documentation of arrangements with local authorities, including site arrangements and local permits | Life of facility plus 5 years | |
| Records that document training or job experience required for personnel working at facilities related to hazardous waste management | Until closure of facility; for former employees, 3 years after employee last worked at facility | |
| Records documenting the proper operation of the corrosion equipment of the aboveground/underground storage tanks, corrosion experts' analyses, and records of repairs | Operating life of the tank (including last three tests) | |
| Evidence that financial assurance has been maintained, including a copy of the financial assurance mechanism and any related documents (e.g., standby trust agreement) | Until the financial assurance requirements have been released (after the tank has been properly closed or, if corrective action is required, after corrective action has been completed and the tank has been properly closed) | |
| Written manufacturers' claims pertaining to the release detection system and schedules of required calibration and maintenance | 5 years after date of installation | |
| Uniform Hazardous Waste Manifest forms, notices, certifications, waste analysis data and other records regarding land disposal of hazardous waste | 3 years from date waste was last sent to on-site or off-site treatment, storage, or disposal; the retention period is extended automatically during any unresolved enforcement regarding the regulated activity | |
| Records demonstrating compliance with all closure or change in service requirements | 3 years after completion of closure or change in service | |
| Results of any site investigation undertaken at the time of permanent closure | Permanent | |
| If large quantity generator of universal waste - records regarding all off-site shipments of universal waste (e.g., log, invoice, manifest bill or lading or other shipment document) | 3 years from the date of receipt of the shipment of universal waste | |
| Records regarding sampling, testing, or monitoring and calibration, maintenance, or repair of the release detection equipment | 1 year | |
| SPILL PREVENTION, CONTROL, AND COUNTERMEASURE (SPCC) RULE | Registration for above-ground storage tanks | Operating life of the tank |
| Facility response plan records | 5 years | |
| Written procedures for and records regarding inspection and testing of aboveground storage tanks, aboveground bulk containers of petroleum and oils | 3 years | |
| Logs of facility drills/exercises, personnel response training and spill prevention meetings; records may be included in facility response plan or as an annex to same | 3 years | |
| CLEAN AIR ACT | National Emission Standards for Hazardous Air Pollutants (NESHAP) information, reports and notifications (including information regarding each startup, shutdown, or malfunction; required maintenance; actions taken in periods of startup, shutdown or malfunction; all required measurements needed to demonstrate compliance with relevant standards and notifications; and determinations of nonapplicability) | 5 years |
| Records of compliance assurance monitoring, if required | 5 years | |
| Records regarding implementation of Risk Management Plan | 5 years | |
| Title V permit records, including monitoring data and support information | At least 5 years from the date of the monitoring sample, measurement report or application | |
| Continuous emissions monitoring (CEMs) records, including all measurements, data, reports, supporting information, current monitoring plan and quality control plan | 3 years | |
| Servicing records of appliances normally containing more than 50 lb. of refrigerant | 3 years | |
| If required to submit greenhouse gas (GHG) reports - GHG records, including list of all units, operations and processes for which GEG emissions were calculated, emissions calculations and methods used, analytical results and annual GHG reports | At least 3 years from the date of submittal of the annual GHG report | |
| Records of New Source Performance Standard monitoring | At least 2 years | |
| Records of NESHAP monitoring | At least 2 years | |
| CLEAN WATER ACT | Permits | 3 years |
| Records of all data used to complete National Pollutant Discharge Elimination System (NPDES) permit applications and any supplemental information submitted | At least 3 years from the date the application is signed | |
| If subject to Industrial User reporting requirements - records of monitoring activities and results | At least 3 years | |
| Records of all monitoring information, including all calibration and maintenance records and all original strip chart recordings for continuous monitoring instrumentation, copies of all reports required by an NPDES permit and records of all data used to complete NPDES permit application | At least 3 years from the date of the sample, measurement, report or application | |
| Discharge monitoring reports and other sampling records | As required by the National Pollutant Discharge Elimination System (NPDES) or storm water permit | |
| FEDERAL FUNGICIDE, INSECTICIDE AND RODENTICIDE ACT | If pesticides are produced - records showing the product name, EPA Registration Number and Experimental Permit Number, if applicable | 2 years |
| EMPLOYMENT RECORDS | ||
| CONTRACTOR INFORMATION | Government contractors required to provide affirmative action to individuals with disabilities and/or disabled veterans and veterans of the Vietnam ERA shall preserve personnel and employment records, including: | Later of 3 years from date of making the record or personnel action |
| GOVERNMENT CONTRACTORS - AFFIRMATIVE ACTION EMPLOYERS | -records relating to requests for reasonable accommodation | |
| -results of any physical examinations | For contractors with fewer than 150 employees or without a contract of at least $150,000 - later of 1 year from date of making the record or personnel action | |
| -job advertisements and postings | ||
| -applications and resumes (including internet applications) | ||
| -interview notes | ||
| -tests and test results | ||
| -other records having to do with hiring, assignment, promotion, demotion, transfer, lay-off or termination, rates of pay or other terms of compensation, and selection for training or apprenticeship | ||
| -ability to identify the race, gender, and ethnicity of each employee or applicant | ||
| Written affirmative action program and documentation of good faith effort | Immediately preceding AAP year | |
| PUBLIC WORKS CONTRACTOR RECORDS (UNDER THE DAVIS-BACON ACT) | Minnesota: | 5 years from the last day of the calendar quarter to which they relate |
| -list of minority and female recruitment sources | ||
| -record of responses from recruitment sources when notified of available employment opportunities | ||
| -records of all solicitation of offers for subcontracts from minority and female construction contractors/suppliers | ||
| -records of actions taken with respect to each female, minority, or disabled applicant | ||
| -record identifying time and place of activities related to employer's equal employment opportunity policy and affirmative action obligations | ||
| -name, address, sex, social security number | ||
| -work classification or occupation | ||
| -hourly rate of wages paid (including contributions or costs anticipated for bona fide fringe benefits or cash equivalents) for each week worked | ||
| -daily and weekly number of hours worked evidencing actual hours worked each day and hours worked in each classification (if more than one) | ||
| -itemized deductions made and actual wages paid | ||
| -dates of changes of work status | ||
| Drafts of loan and related documents | Until contract is executed | |
| SERVICE CONTRACTOR RECORDS (UNDER THE SERVICE CONTRACT ACT OF 1965) | Oregon: Payroll and Certified Statement (WH-38); documents showing contract price and amount paid | 5 years from the last day of the calendar quarter to which they relate |
| Wisconsin: agent or subcontractor affidavit of compliance with prevailing wage rate determination from each of its agents or subcontractors | ||
| SUPPLY CONTRACTOR RECORDS (UNDER THE WALSH-HEALEY ACT) | Same as Public Works Contractor Records plus: | 5 years from the last day of the calendar quarter to which they relate |
| -list of wages and benefits for employees not included in wage determination for contract | ||
| -any list of predecessor contractor's employees which was furnished to contractor by regulation | ||
| -copy of the contract | ||
| -overtime wage rate | ||
| -number of the wage rate decision issued on the project | ||
| -period in which each employee was engaged on a government contract and the contract number | ||
| -certificate of age and date of birth for employees under 19 | ||
| APPROVED APPRENTICE PROGRAMS | -copies of apprentice certificates | Longer of duration of program or 5 years |
| -registration of apprenticeship programs | ||
| -certification of trainee programs | ||
| -registration of apprentices and trainees | ||
| -copy of worker's apprenticeship ID cards | ||
| -list of applicants to apprenticeship programs in chronological order in which applications were received - include race, national origin, sex, and age | ||
| -maintain list of requested accommodations from persons in apprenticeship/training program | ||
| -summary of qualifications, basis for evaluation, record of interviews, and original application | ||
| -job assignment, promotion, demotion, layoff, and termination information | ||
| hours of training | ||
| affirmative action plan statements | ||
| -hours of training | ||
| -affirmative action plan statements | ||
| -record of hours worked by learners and apprentices | ||
| WORKERS' COMPENSATION | ||
| -name of any known witness or relevant circumstance -length of service of injured employee -name of supervisor -name and address of employer's insurer -name and address of treating health care provider -date form showing employee's selection of physician -whether injury is expected to result in lost time -all records necessary to complete and verify accuracy of all reports and documents submitted to Board including method of filing -copies of all claims submitted by employees -reports or notices submitted by the employer -every doctor's note/report or documentation of reasonable attempts to obtain such -every medical report pertaining to the claim or documentation regarding attempts to obtain such -all order and awards of workers' compensation board/agency -record of payment of compensation -any voluntary benefits paid by employer -date report of injury was filed with insurance company -date report of injury and summary of rights was provided to employee -date supplemental report of injury was filed with carrier -copy of application for adjudication of claim filed with state agency/board -copies of benefit notices including rehabilitation notices and notices related to qualified medical evaluation process |
10 years after closure, settlement or last claim activity | |
| -notes, correspondence, or documentation related to delay or denial of benefits -notes, correspondence, or documentation related to utilization review process -notes, correspondence, or documentation related to return to work, or modified or alternative work -notes, correspondence, or documentation evidencing legal, factual, or medical basis for non-payment or delay in payment of compensation benefits or expenses -notes, correspondence, or documentation describing phone conversations relating to claims or significant to claims handling, including dates and substance of calls and identification of parties annual claim log including: -name of employee -claims administrator's claim number -date of injury -indication of whether claim is indemnity or medical-only claim -entry if all liability for a claim has been denied at any time -name of corporation employing injured worker -whether claim has been transferred to another adjusting location and the address of the new location |
||
| NY: Employer's First Report of Work-Related Injury/Illness (Form C-2F) | 18 years | |
| CHILD LABOR | Where minors under 19 are employed, employers must keep on the premises: -a completed Employee Information Form along with proof of age (birth certificate, driver's license, or ID card issued by state or federal government with name and date of birth) OR documents which contain employee's name, home address, phone number, date of birth, date of hire, and school of attendance -records of hours worked and break times for minors including start and end times, maintained for 60 days preceding last day of last work period for employees under 19 -youth employment certificates; working certificates for 16-18 year old employees |
3 years |
| FAMILY MEDICAL LEAVE ACT (FMLA) | ||
| -dates FMLA leave is taken by eligible employees (must be designated in records as FMLA leave and may not include leave required under state law or an employer plan not covered by FMLA) -if FMLA leave is less than one full day, hours of the leave -copies of employee notices of leave furnished to employer under FMLA if in writing -copies of all general and specific notices given to employees in accordance with FMLA -any documents that describe employee benefits or employer policies and practices regarding taking of paid and unpaid leave -premium payments or employee benefits -records of any dispute between the employer and an employee regarding designation of leave as FMLA leave, including written statement from employer or employee of reasons for designation or disagreement -urinalysis drug tests Medical Records - records and documents relating to certifications, recertifications, or medical histories of employees or employees' family members, created for purposes of FMLA, shall be maintained as confidential medical records in separate files/records from the usual personnel files, and if the Americans with Disabilities Act, as amended, is also applicable, such records shall be maintained in conformance with ADA confidentiality requirements |
3 years following termination of employment | |
| HEALTH AND SAFETY - EXPOSURE | ||
| -name of employee who received safety and health training with signatures of the employees -safety training dates -types and content of safety training -safety training providers -name of person conducting injury and illness prevention plan inspection -written record of notice from employees of known safety and health hazards or other violations of safety and health standards -record of unsafe conditions and work practices identified and actions taken to correct them -records of labor-management safety and health committee meetings and reports to such committees -attendance records of safety committee meetings -names and departments of committee members |
5 years or duration of employment, whichever is longer | |
| for every employee handling or using a "hazardous substance" -name, address, and social security number -name of chemical/substance handled or used, dates of exposure, and other information pertinent to making medical determination |
40 years | |
| Employee Medical Records including: -medical and employment questionnaires or histories -results of medical examinations -medical opinions, diagnoses, progress notes, and recommendations -descriptions of treatments and prescriptions -employee medical complaints -first aid records Does not include: -physical specimens -records of health insurance claims maintained separately from employer's medical program -records created solely in preparation for litigation which are privileged from discovery -records concerning voluntary employee assistance programs if maintained separately from employer's medical program and records -first aid records of one time treatment which do no involve medical treatment, loss of consciousness, restriction of work, or transfer to another job, if made on-site by non-physician and maintained separately from employer's medical program and records -medical records of employees who work for employer for less than a year if records are provided to employee upon termination |
Duration of employment plus 30 years | |
| Employee Exposure Records: -environmental monitoring or measuring -biological monitoring results which directly assess the absorption of a toxic substance or harmful physical agent by body specimens -MSDSs -a chemical inventory or other record revealing the identity of a toxic substance or harmful physical agent and where and when the substance or agent was used -work areas where chemical is normally stored/used -maximum amount stored at facility at any time -names and phone numbers of company representatives who are emergency contacts required to be provided to fire chief -sampling results -collection methodology (sampling plan) -description of analytical and mathematical methods used -any compilation of data or other study based on information collected from individual employee exposure or medical records, or information collected from health insurance claim records, provided that the analysis has been provided to the employer or no further work is being done on the analysis |
30 years, updated annually | |
| Except: -background data to workplace monitoring need only be retained for 1 year provided that the sampling results, collection methodology, analytic methods used and a summary of other background data is maintained for 30 years -MSDSs need not be retained for any specified time so long as some record of the identity of the substance, where it was used, and when it was used is retained for 30 years -biological monitoring results designated as exposure records by a specific OSHA standard should be retained as required by the specific standard |
||
| -Written Hazardous Communication Program describing methods used to inform employees of hazards of non-routine tasks performed by employees or outside contractors and the hazards associated with chemicals contained in unlabeled pipes in work areas reviewed and updated annually with documentation of the review maintained and kept at each primary workplace facility where hazardous chemicals are present -written outline of training program including how employer will inform workers of chemical hazards; nature of protective measures; nature of any state law requiring training; and information on interpreting labels and MSDSs and relationship between the two -location of MSDS lists -Protective measures for employees including work practices, emergency procedures, and personal protective equipment -dates and frequency of training, record of employees attending, and names of instructors -general safety instructions on handling, cleanup, and disposal of chemicals |
30 years or 5 years after conclusion of employment | |
| HEALTH AND SAFETY - INJURIES AND ILLNESS | ||
| -correspondence relating to trade secrets -requests for MSDSs by non-manufacturing employer' -OSHA 300 log -OSHA 300A -privacy case list (if it exists) -annual summary -OSHA 301 Incident Report -old 200, 101, and 801 Forms -worker's and employer's report of occupational injury or disease |
5 years - -5 years following end of calendar year the record covers | |
| EMPLOYEE INCOME TAX RECORDS | ||
| Records that enable the filing of tax returns correctly stating taxable income each year: -regular books of accounts -other records and data that may be necessary to support entries on the returns |
15 years | |
| -payroll tax reports to federal and state agencies -all records relevant to determining the amount of tax due -employer tax identification number employee copies of W-2's returned to employer as undeliverable -copies of employees' and recipients' state withholding exemption certificates -dates and amounts of tax deposits made -copies of monthly tax reports filed -copy of annual reconciliation filed -employer withholding returns and reports filed -dates and amount of income tax withholding payments made -records that would assist in auditing employers' books and records -confirmation number received by taxpayer in ETF and ETP transactions -employees' request to withhold on the basis of cumulative wages -copies of employees' wage and tax statements FICA contribution records: -copies of any return, schedule, or other document relating to the tax -records of all remuneration (cash or otherwise) aid to employees for employment services |
6 years | |
| W-4's | ||
| -employee's name, address, and account number -total amount and date of each payment -period of services covered by payment -amount of remuneration that constitutes wages subject to withholding -amount of tax collected -explanation for any discrepancy between total remuneration and taxable income -fair market value and date of each payment of non-cash remuneration for services performed as a retail commissioned salesman -other supporting documents relating to each employee's individual tax status -periods in which employees were paid while absent due to sickness or personal injuries and amount and weekly rate of such payments |
Later of 6 years after return is due or tax is paid | |
| W-4 forms | As long as it is in effect plus 4 years | |
| IMMIGRATION | ||
| -I-9 forms -record of e-Verification of employee eligibility and all records associated with e-Verify registration including original signed attestation form -alien registration number and/or date of issuance of any document authorizing employment in U.S. |
5 years or term of employment or subcontract plus 3 years, whichever is longer | |
| ERISA | ||
| -current information on all plan participants and beneficiaries (including dates of eligibility, hours worked, compensation, and participation) -determinations of employees' eligibility to participate, including entry dates, vesting dates, and years of service -documentation of benefits due or which may become due -quality service reports |
As long as they are relevant to a determination of benefit entitlements | |
| -employee benefit plan records, summary plan descriptions, and notices -copies of all reports and backup materials filed with the IRS, DOL, and PBGC, including all required schedules and attachments -determination letter applications and similar filings and IRS determination letters -compensation of family members of highly compensated employees -deferrals or matching contributions made on behalf of employees participating in 401(k) plans -actuarial statements and valuations -participant benefits statements -records related to COBRA |
6 years after documents are filed or would have been filed but for an exemption | |
| -HIPAA compliance policies | Later of 6 years from the date created or date last in effect | |
| -all plan records that are necessary to establish, support, and validate the amount of any required premium and any information required to be reported to PBGC's premium filing instructions, including records that establish the number of plan participants and support and demonstrate the calculation of unfunded vested benefits | 6 years after the premium due date | |
| -certificates of creditable coverage | 2 years after either the individual ceases to be covered under the plan or ceases to be covered under COBRA continuation | |
| Equity Compensation records | 5 years | |
| Public Employee Retirement System Records (PERS) | 5 years | |
| Stock options (exercised and expired) | 5 years | |
| MISCELLANEOUS | ||
| New York: retain notices to new hires: -notice and acknowledgement of wages rates -in English and primary language, copies of notice to new hires and employees before February 1 of each year including (1) rate of pay and basis (hour, shift, day, week, salary, piece, commission); (2) allowances as part of minimum wage (tip, meal, lodging); (3) regular pay day; (4) name of employee; (5) address of employer's main office/principal place of business; (6) phone of employer -copy of signed acknowledgement for each notice including affirmation that notice was provided in employee's primary language |
6 years | |
| Washington: written record of identity of person or entity to whom information is disclosed in response to reference request | 2 years | |
| Tennessee: documentation showing completion of substance abuse education and awareness |
6 |
| RECORD TYPE | RECORD DESCRIPTION | RETENTION PERIOD |
| CONTRACTS | Government contracts | 3 years post receipt of the final payment under the contract (which is generally made after completion of final audit) |
| EMPLOYMENT RECORDS | ||
| CONTRACTOR INFORMATION | ||
| GOVERNMENT CONTRACTORS - AFFIRMATIVE ACTION EMPLOYERS | Government contractors required to provide affirmative action to individuals with disabilities and/or disabled veterans and veterans of the Vietnam ERA shall preserve presonnel and employment records, including: -records relating to requests for reasonable accommodation -results of any physical examinations -job advertisements and postings -applications and resumes (including internet applications) -interview notes -tests and test results -other records having to do with hiring, assignment, promotion, demotion, transfer, lay-off or termination, rates of pay or other terms of compensation, and selection for training or apprenticeship -ability to identify the race, gender, and ethnicity of each employee or applicant |
Later of 3 years from date of making the record or personnel action For contractors with fewer than 150 employees or without a contract of at least $150,000 - later of 1 year from date of making the record or personnel action |
| Written affirmative action program and documentation of good faith effort | Immediately preceding AAP year | |
| PUBLIC WORKS CONTRACTOR RECORDS (UNDER THE DAVIS-BACON ACT) | Minnesota: -list of minority and female recruitment sources -record of responses from recruitment sources when notified of available employment opportunities -records of all solicitation of offers for subcontracts from minority and female construction contractors/suppliers -records of actions taken with respect to each female, minority, or disabled applicant -record identifying time and place of activities related to employer's equal employment opportunity policy and affirmative action obligations |
5 years from the last day of the calendar quarter to which they relate |
| -name, address, sex, social security number -work classification or occupation -hourly rate of wages paid (including contributions or costs anticipated for bona fide fringe benefits or cash equivalents) for each week worked -daily and weekly number of hours worked evidencing actual hours worked each day and hours worked in each classification (if more than one) -itemized deductions made and actual wages paid -dates of changes of work status |
||
| Drafts of loan and related documents | Until contract is executed | |
| SERVICE CONTRACTOR RECORDS (UNDER THE SERVICE CONTRACT ACT OF 1965) | Oregon: Payroll and Certified Statement (WH-38); documents showing contract price and amount paid Wisconsin: agent or subcontractor affidavit of compliance with prevailing wage rate determination from each of its agents or subcontractors |
5 years from the last day of the calendar quarter to which they relate |
| SUPPLY CONTRACTOR RECORDS (UNDER THE WALSH-HEALEY ACT) | Same as Public Works Contractor Records plus: -list of wages and benefits for employees not included in wage determination for contract -any list of predecessor contractor's employees which was furnished to contractor by regulation -copy of the contract -overtime wage rate -number of the wage rate decision issued on the project -period in which each employee was engaged on a government contract and the contract number -certificate of age and date of birth for employees under 19 |
5 years from the last day of the calendar quarter to which they relate |
| APPROVED APPRENTICE PROGRAMS | -copies of apprentice certificates -registration of apprenticeship programs -certification of trainee programs -registration of apprentices and trainees -copy of worker's apprenticeship ID cards -list of applicants to apprenticeship programs in chronological order in which applications were received - include race, national origin, sex, and age -maintain list of requested accommodations from persons in apprenticeship/training program -summary of qualifications, basis for evaluation, record of interviews, and original application -job assignment, promotion, demotion, layoff, and termination information -rates of pay/compensation -hours of training -affirmative action plan statements -record of hours worked by learners and apprentices |
Longer of duration of program or 5 years |
SCHEDULE B
RPM INTERNATIONAL INC.
EMAIL MANAGEMENT POLICY
APPLICABLE TO THE UNITED STATES
Email, instant messages and text messages will be destroyed no later than six months from the date of initial creation or receipt. The Company will cause e-mails and instant messages, to the extent saved, to be deleted automatically from the email server and users will need to delete text messages from their mobile cellular devices. Email and instant message back-ups will be deleted in accordance with the Company’s back-up policy.
As a result, any business-related email and instant message communication that is or includes, as attachments or otherwise, Records (as defined in the Company’s records retention policy) that require retention beyond six months, shall be saved as a PDF on the file server, printed and stored as a paper file, or retained in a folder on the email server designated for document retention. If saved in print, the printed copy of the message should contain the following header information: who sent the message; who the message was sent to; date and time message sent; and subject of the message. When a message and attachment are subject to different retention periods under the Company’s records retention policy, the longer retention period shall apply to both the message and attachment, which should be retained together. All such saved records shall be retained only for the period required by the Records Retention Policy and for no longer.
An employee may not, in order to avoid deletion of a message, forward a message to create a new creation/receipt date, save a message to external media or another computer, forward a message to a personal email account, save a message to the hard drive or take any other action intended to avoid timely deletion, other than as specifically set forth above. The Company reserves the right to audit hard drives, mobile cellular devices and external media to ensure compliance with this Policy.
All deletions in accordance with this Policy are subject to suspension in accordance with any applicable Litigation Hold.
