Document Retention Policy - US ONLY

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:

  • handwritten, typed, or printed documents on paper;
  • electronic documents (e.g., e-mail, instant messages, text messages, spreadsheets, databases, Web sites, cloud storage, diskettes, CDs, flash drives);
  • video;
  • audio;
  • graphic representations and
  • network servers and document management systems.

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.




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