Document 3Jqn9y7LV1vVa7pND6dbJb3R0

DOW RECORDS RETENTION SCHEDULE major function RESPONSIBLE CARE RECORD NAME Preferred Storage Madia DATE DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION Codes of Management Practices Self Evaluation Summary Reports, Results, Graphs, Letters, and Trade Association Submission Forms Responsible Care Self Evaluation Summary Documents Detailed Self Evaluation Backup Documents if Unique to Responsible Care 5 3 3 NP DC DC Trade Association Implementation Manuals and Training Materials Internal Implementation Manuals and Training Materials Art, Copy Work, Pamphlets, Publications and Presentations Intended for Non-Proprietary Communication Until superseded, annual # review for obsolescence Until superseded, annual # review for obsolescence Until superseded, annual NP review for obsolescence CONFTDFNTT AL NOTE: Each reoord named above ia daMified and coded with proprietary or non-proprietary code as todovva: NP - Non Proprietary P* Reaticted for un within Dow DC - Dow Confidential DCT - Dow Controlled - ___,ect, natter to dewrrune classification THE DOW CHEMICAL COMPANY DO 006449 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION Preferred Storage RECORD NAME Media DATE CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION This page was intentionally left blank. NOTE: Each record named above is classified and coded with a proprietary or not classified coda a* folows: NP- Not Claseified DR RestR'-*-*} (of om within Dow DC Dow ConMantal DCT - Dow Controlled - Subject matter to determine classification CONFTDFNTIAI THE DOW CHEMICAL COMPANY 00 006450 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION RISK MANAGEMENT, CORPORATE RECORD NAME Preferred Storage Media RPtmnM MIIMRFR 1S51_____ PftflE... 1 DATE DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION BONDS 1 after expiration DC CERTIFICATE OF INSURANCE 1 CLAIMS OR SUITS Closed Liability and Workers Compensation Closed Property: (excluding Cargo and Household Goods) Cargo and Non-U .S. Household Goods U.S. Household Goods 25 10 3 1 DR INSURABLE VALUES, LOCATION REPORTS 1 DR INSURABLE VALUES, OCEAN CARGO VALUE DECLARATIONS 1 DR INSURANCE MANUAL Until superseded DC INSURANCE POLICIES (Original) Fidelity/Crime (beyond expiration and discovery period and all claims cbsedj Liability and Workers Compensation and related correspondence Property (beyond expiration and all claims closed) 3 99 25 DC DC DC NOTE: If one policy encompasses more than one type of cover the coverage with the longest retention prevails INSURANCE POLICY LISTINGS 50 DC (Current and Expired Master Coverage List) LOSS INFORMATION Loss or payment information not related to retro premium payments 25 DR PREMIUM INFORMATION Related to property premium payments Related to premium allocations Related to Liability and Workers Compensation premium payments 10 12 50 DR PROPERTY INSURANCE Inspection Boiler and Machinery Audit Sprinkler design and drawings Pressure vessel Quality Assurance 1 1 Life of building 5 DR STATISTICAL INFORMATION AND DATA FOR ANALYSIS (Insurance Value, premium payment and allocation and loss data) 25 DR CONFTDFNTTAI. NOTE: Each record named^Ssvo is classified and coded with a proprietary or non-proprietary code as follows: NP- Non Proprietary DR Restricted tor use wu.' i*w DC - Dow Confidential DCT - Dow Controlled -Subject matter to determine dassificabun THE DOW CHEMICAL COMPANY DO 006451 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION RISK MANAGEMENT, CORPORATE RECORD NAME________________________________ Preferred Storage SECTION NUMBFR 1551 DATE A& 2 DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING MediaRETENTION IN YEARS CODE SECTION WRAP UP INSURANCE (Contractor Worker Compensation Liability) Claims and Suits 25 Premium Payment 50 Policies and Related Correspondence 99 NP 0 CNF T OF NTT Al NOTE: Each record named above is classified ''I coded with a proprietary or non-proprietary code as follows: NP- Non Proprietary DR - Restricted for use within Dow DC - Dc dents1 DCT-Dow Controlled #-Subject matter to determine classification THE DOW CHEMICAL COMPANY DO 006452 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION SAFETY RECORD NAME Preferred Storage Media DATE DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION BUSINESS DATA Activity Reports Annual Report Best Safety Performance Records Engineering Prints Requisitions Safety Audits and Responses FROM AREA Annual Reports Area Guidelines/Standards Area Special Reports to EH&S Committee Audio Visuals DAWC Wires Safety Information Exchanges Statistics, Quarterly (Safety and Motor Vehicle Accidents) GENERAL Annual Report Best Safety Performance Records Boiler and Machinery Audits Injury/Illness Report Loss Statistics Motor Vehicle Accident Reports OSHA Contested Citations and Related Documents OSHA Forms No. 200 and 101 (or equivalent) DC 10 NP Until Superseded NP Until Superseded DC 4 DC Until Superseded, Max 3 DR j J DR Until Superseded , 2 DC Until Superseded, Annual Review for obsolescence 1 DR 1 DR 2 DR - 10 Until Superseded 6 3 10 1 See Section 1001 5 NP NP DC DC NP DR NP NOTE: Each record named above Is classified end coded with a "fopriataiy or non-proprietary code as follows: NP - Non Proprieta/v DR Restricted for use within Dow DC - Dow Confidential L- ;w ConToHed # Subject matter Id determine classification ...... CONFIDENTIAL THE DOW CHEMICAL COMPANY DO 006453 DOW RECORDS RETENTION SCHEDULE ________________________________________________________________________________ SPr-nrtM N1JMBEB MAJOR FUNCTION GATE SAFETY RECORD NAME Prafanad Storage Madia DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION OSHA Inspections J NP OSHA Star Certification and/or Recertification Documents 3 NP Safety Statistics Motor Vehicle Accident Annual Summary Year End Numbers 5 5 DR DR Staff Meetings 1 DR Summary of Injuries and Illnesses, Motor Vehicle Accident Experience, and Contractor data reporting forms (from divisions/depts) Training Records 1 See Section 9611 DR DC INTERNALLY GENERATED Annual Report Summary Audio Visual Materials (All Materials to include date) 10 DR Until Superseded, Annual DR Review for obsolescence Audits/Inspections 3 DC Communique 5 DR Guidelines Until Superseded Motor Vehicle Accident, Quarterly (Statistical) 2 DR Safety Learning Experience - Computerized 3 DC Speeches UntilSuperseded, Max 5 DR Statistical Report to EH&S Board committee, Quarterly 15 DC OTHER DOW PUBLICATIONS COLLECTED INTERNALLY Art and Copy Work Until Superseded, Annual Review for obsolescence News Releases (Dow Today, Point Is, Commercial Dialogue, etc.) 1 ORIGINATING DEPARTMENT Consolidated Audit Report Capital Project Reviews Contractor Injury/lllness logs (OSHA log data) Latest 2, max 6 4 5 DC NP NOTE: Each record named above is classified and coded with a propcietory or norbptQQrmtAry cod* at follow* NP-NonPropriatar DR Restricted for use within Dow DC - Dow Confidential DCT - Dow Controlled ,'ajact irtttar to datermin* ctawificabon CONFTDFNTTAl THE DOW CHEMICAL COMPANY DO 006454 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION SAFETY RECORD NAME Preferred Storage Media 1563 DATE Pane 3 DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION Contractor Safety Indoctrination Records Dow Work Injury/Illness Report (Form C-47480) (Former Injury/lllness Reports)($afety Incident Reports) Hazardous Materials Transportation Review (HMTR) Motor Vehicle Accident Annual Summary Operating Procedures Procedures Certification of Procedures Operator Training (training, re-training, verification) OSHA Citation: Location Copy Dow OSHA Clearinghouse (Forward one copy) Routine Safety Inspections (safety inspections that occur more frequently then annually such as forklift, cranes, etc.) Safe Work Permits (includes confined space entry permits) Safety Audits and Responses (Findings, recommendations, actions) Safety Learning Experiences Safety Inspection Reports 5 5 Life of Process + 3 5 Until Superseded Current Current DC DR DC DR DR Until posting complete & citation closed 5 1 7 days 1 DR 1 DR 1 NOTE: Each record named above is classified and coded with a proprietary or non-proprietary code a* -"-iws: NP- Non Proprietary DR-Restated for use within Dow DC-Dow Confidential DOT-Dow Controlled # -Subject matter jrmine classification THE DOW CHEMICAL. COMPANY DO 006455 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION Preferred Storage RECORD NAME Madia eerTIfTM Ml IIIDCB DATE DAftC CURRENT YEAR PLUS TOTAL OWNING RETENTION 1 N YEARS CODE SECTION This page was intentionally left blank. NOTE: Each record named above is classified and coded with a proprietary or not classified coda as folows: NP-Not Clasiified DR Reaficted for usa within Dow DC Dow Confidential DCT Dow ControHad . Subject matter to determine classification THE DOW CHEMICAL COMPANY CONFTDFNTT Al DO 006456 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION SECURITY RECORD NAME Preferred Storage Media 1701 DATE PAOF 1 DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION REPORTS Annual Reports Corp/Area Quarterly Incident Summaries Statistical Security Technology Reports Corp/Area Security & Internal Emergency Services Meeting Minutes (information exchanges) CONTINGENCY PLANS Crisis Management Plans Social Unrest Threat Response Internal Emergency Response Alarm System Files Preventive Maintenance Records Special Projects Non-recurring Recurring Reports, Other Ambulance Daily Security/Activity Fire/Explosion Threats (all) Investigations: Closed Open/Active Security Log Material Release Documents (B/L`s, return orders, sample shipments, GSI, MSI or passouts) Agreements, Plant Entry Emergency Response Data 25 then offer to an approved historical archive 2 3 Until Superseded 2 DC DC DC DR DR Current copy Current copy Current copy Current copy Current copy 1 DC DC DC DR DC 2 Current copy DC DC 1 DR 1 DC 5 DR 5 DC 3 DC Duration of effect on Dow DC 3 DR 1 DR Duration of effect on Dow NP or age 70 whichever is sooner 1 DC NOTE: Each record nam*dabov is dasdfod and oodad with a propnstaryof not dassiftodoodaastolows: NP-Not Classified DR - Restricted for use within Dow DC Dow Confidential DCT Dow Controlled - Subject matter to determine classification THE DOW CHEMICAL COMPANY OONFTDFNTT At. DO 006457 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION SECURITY RECORD NAME _____ ,_________________________ SFCTtON MIIMRFR DATE - DECEMBER 1997 Preferred Storage Media CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION Emergency Response Sheets Current copy NP Emergency Response - Specific Incidents 1 DC Identification Records - Photo/Fingerprint (Dow Employees & Contractor Empbyees) 10 after last date of employment DR Keep-Out Notice (advising a Dow facility not to admit a terminated or suspended employee) 2 Secrecy Agreements Expiration plus 4 DR Visitor Records: `Department or plant visitor log (all) `Plant Tour Visitors Log, non-Dow `Site Access Log `Visitor Pass 3 3 3 Record on visitor's log and destroy after visit `If any of the above contains a hold harmless or indemnity statement and signature, the retention is 40 years plus the current year. NOTE: Each record named above is classified and ooded with proprietary or not classified cod* as tolows: NP - Not Classified DR - ReaYicted tor uae within Dow DC - Dow Confidential DCT -Dow Controlled # - Subject matter to determine daasificabon - ......... ... 1 1 CONFTDFNTTA1 THE DOW CHEMICAL COMPANY DO 006458 DOW RECORDS RETENTION SCHEDULE major function TAX DEPARTMENT RECORD NAME Preferred Storage Mecfia RFCTinM NHMRFB DATE DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION Advance pricing Agreements (Tangible Property Requests Related Documents Annual Reports Advance Pricing Agreements (Tangible Property ALLOCATION OF FEDERAL INCOME TAX COMPANY DATABOOK FILES 1. Form 959 2. Form 5471 Schedule 0 3. Supporting Workpapers DOMESTIC COMPANY INVESTMENT RECORDS 1. Investment Subledgers 2. Tax Basis Adjustment Workpapers Dow Chemical International Inc. (DISC (Domestic International Sales Corp)) Tax Returns and Schedules 1 and 2 Tax Return Workpapers Estimated Tax Payments Excise Tax Returns and Workpapers Federal Tax Audits 1. Revenue Agents Report (RAR) 2. Protest 3. Appeals 4. Litigation 5. Subpart F Income and Dividend Workpapers Per Audit 6. Foreign Tax Credit Workpapers 7. Pre-1987 IDRs (Information Document Request) and Form 5701 (Does not include replies) 8. Post-1986 IDRs (Information Document Request) and Form 5701 (Questions and replies) Federal Tax Audits Workpapers not listed as Life of Company plus 3 Federal Tax Return - Form 1120 10 Life of Company plus 3 Life of Company pluq 3 Life of Company plus 3 DC DC Life of Company plus 3 DC Life of Company plus 3 10 10 10 Life of Company plus 3 DC DC DC DC 10 Life of Company plus 3 DC CONFTDFNTTAl NOTE: Each record named above is classified and coded with a proprietary or not classified ooda as folows: HP* Not Classified DR - Restricted for use within Dow DC - Dow Confidential DCT -Dow Controlled * - Subject matter to determine classification THE DOW CHEMICAL COMPANY CO 006459 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION TAX DEPARTMENT RECORD NAME Preferred Storage Madia 17R1 DATE PartP 2 DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION Federal Tax Return - Form 1120 Workpapers Life of Company plus 3 Smites Report (pre-1990) DTMS (Domestic Tax Management System) Report (post` 1989) Financial Schedules - only Schedule 1 - Balance Sheet Schedule 2 - Income Statement Schedule 3 - Trial Balance Schedule 1-4 - Investment Schedule 1-6 - Investment Schedule 1-11 - Investment Schedule 2-9 - Dividends Received All Financial Schedules for Dorinco Form 1118 and Schedule C Form 1120 Workpapers Subpart F Income Workpapers Minimum Distributions ITMS (International Tax Management System) Reports - A&A, 904 LIFO (Last-In, First-Out) Workpapers Federal Tax Return - Form 1120 Workpapers All Workpapers Not Listed As Life of Company plus 3 Includes Year-End Accrual 10 Foreign Company Folders - Only the Following Life of Company plus 3 Financial Statements - Only Schedule 1 Balance Sheet Schedule 2 - Income Statement Schedule 3 - Trial Balance Schedule 1-4 - Investment Schedule 1-6 - Investment Schedule 1-11 - Investment Schedule 2-9 - Dividends Received Form 3646 and Form 2952 or Form 5471 E&P (Earnings & Profits) Adjustment Workpapers E&P (Earnings & Profits) Worksheets FTMS (Foreign Tax Management System) Reports (E&P, FM5471) ITMS (International Tax Management System) Reports (SEC900) Foreign Company Investment Records Investment Subledgers Tax Basis Workpapers Life of Company plus 3 DC DC DC DC NOTE: Each raoord namad above is dauifwd and coded with a proprietary or not dasaifiad coda as Mows: NP - Not Classified DR - RaaYietad lor uaa within Dow DC Dow Confidential DCT - Dow Controtod * - Subjact matter to determine classification ' CONFIDENT!At THE DOW CHEMICAL COMPANY DO 006460 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION TAX DEPARTMENT RECORD NAME Preferred Storage Media scrTinM mi imrcr 17fi1 DATE pmr 3 DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION Foreign Sales Corporation (FSC) Tax Returns - Form 1120 FSC Dow Chemical International B.V. Essex Chemical International Sales Corp. Filmtec FSC, Ltd. Merrell Export B.V. Foreign Sales Corporation (FSC) Workpapers Schedules 1,2 and 1-12 only Foreign Sales Corporation (FSC) Tax Return Workpapers Not Listed as Life of Company plus 3 Foreign Tax Returns and Receipts Domestic and Foreign Subsidiaries Information Returns - Foreign Area Tax Department File Copy Form 5471 PAC (Political Action Committee) Tax Returns - Form 1120 POL and Workpapers Partnership Tax Returns - Form 1065 Partnership Tax Return Workpapers Payroll Taxes, Federal Payroll Taxes, State and Local Pension/Welfare Plans Determination Letters Pension/Welfare Benefit Plan Ruling Requests - Form 5310 Life of Company plus 3 DC Life of Company plus 3 DC 10 Life of Company plus 3 DC 1 DC 7 DC Life of Company plus 3 10 6 6 Life of Company plus 3 DC DC DC DC DC Quarterly Accrual Includes Tax on Undistributed Earnings (APB 23) Ruling Requests - Other than Pension Private Letter Rulings (Request and Response) Accounting Method Changes (Request and Response) Smites - Federal (Computer Tapes) State and Local Audit Reports and Workpapers Property Tax Sales and Use Tax 5 DC Life of Company plus 3 DC 10 7 NOTE: Each record named above it classified and coded with a proprietary or not classified code as folows; NP- Not Classified DR Restricted for use within Dow DC - Dow Confidential DCT - Dow Controlled - Subject matter to determine classification ----------------------------------------------------------------------- 1.0NFrtF"(* THE DOW CHEMICAL COMPANY DO 006461 DOW RECORDS RETENTION SCHEDULE ________________________________________________________________________________ SECTION NUMBFE MAJOR FUNCTION 1761 DATE PAOF ** TAX DEPARTMENT RECORD NAME Preferred Storage Media DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION State and Local Income Tax Returns 10 DC State and Local Tax Returns Annual Reports Business Licenses Escheat Taxes Miscellaneous Excise Taxes Motor Fuel Taxes Property Taxes Railcar Taxes Sales and Use Taxes Severance Taxes 7 DR State and Local Tax Source Data Appraisal Reports Directories or Special Reports Inventory Reports Property Ledgers 7 DR Tax Projections (Profit Plan) 2 DC Tax Research Files (Legislation Bills, Analysis, Studies) As long as useful. Annual review to keep current. Tax Returns, Miscellaneous Form 5500 Form 990 10 DC Tax Systems Backups (System Software and Data Backups) - Federal Price Waterhouse DTMS (Domestic Tax Management System) FAMS (Fixed Asset Management System) FTMS (Foreign Tax Management System) (E&P (Earnings & Profits), FM5471) ITMS (International Tax Management Systems) (A&A, 904, SEC900, FM1118, MAXIFSQ Forms related to all above 10 Tax systems Backups (Systems Software and Data Backups) - FSL Payroll System Partnerships and Non-Consotidated Corporations & Entities CCH Computax Prosystems FX State and Local; Income Price Waterhouse STMS (State Tax Management System) Forms related to above 6 10 15 Tax Systems Backups - State and Local; Property TPS (Property Tax Processing System, a.k.a. CTPS) 10 NOTE: Each reoord named above is classified and coded wiih a proprietary or not classified code as tolowa: NP-Not Classified DR - Re_s_t_ric_t_e_d_fo_r_u_s_e__w_it_h_in__D_o_w__D_C__- _D_o_w_C__o_nf_id_e_n_ti_a_l _D_C__T_-_D_o_w__C_o_n_tr_o_lle_d__*_-_S_u_b_j_e_ct_m__a_tt_e_r _to_d_e_t_e_rm__in_e_c_l_a_ss_i_fic_a_t_io_n__ CONFTOFN,,TTT AL, THE DOW CHEMICAL COMPANY DO 006462 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION TAX DEPARTMENT RECORD NAME Preferred Storage Media SECTION NIIMBFfi DATE DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION U.S. Federal Tax Return and Financial Statements {IRS Copy Only} U.S. Federal Tax Returns Domestic Company Folders Foreign Company Folders DTMS (Domestic Tax Management System) Reports Annual Meeting Notice List of Internal Audit Reports Form 10-K I DC NOTE: Each record named above is classified and coded with a proprietary or not classified coda as folows: NP -Not Classified DR Restricted for uaa within Dow DC Dow Confidential DCT- Dow Controlled Subject matter to determine classification f-oNFTDFNTTAl ' --------- THE DOW CHEMICAL COMPANY DO 006463 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION Preferred Storage RECORD NAME Medta ccrTinu wiiuncc DATE DAA.e CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION This page was intentionally left blank. NOTE: Each record named above is classified and coded with a proprietary or not classified code as Mows: NP-Not Classifier1 DR - Restricted for usa within Dow DC - Dow Confidential DCT Dow Controlled * - Subject matter to determine ciassificabon nONFTDFNTT Al THE DOW CHEMICAL COMPANY DO 006464 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION TECHNOLOGY CENTERS RECORD NAME Preferred Storage Media SFnnnN numbee DATE DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION ACTIVITY REPORTS Annual Review Follow-Up Report Technology Center Budgets Cost Reports Internal Quality Report M Performance Reports, Worldwide M Area/Global Technical Review or Producers Conference Reports (Dow) M Outlying Plants, Monthly Reports TECHNOLOGY CENTER Agreements, Technical - between Dow and jointly owned companies Brine Technology - Summary of Analyses, Ludington Documentation Licensing (Dow technology to other, or others' technology to Dow) Studies, agreements, etc. Management of Change Secrecy agreements between Dow and other companies Quarterly/Annual Report M Newsletter M "Product Studies" of Technology Center's product, by Economic Evaluation Presentations (Technical) M Progress Report M = Master M 5 DC 2 DC 5 DC 3 DC 5 DC 25 DC 5 DC Until superseded or 6 after termination DC Life of facility DC Until superseded, Max 3 Until superseded or 6 after termination DC Until changed Until superseded or 6 after termination" DC 5 DC 5 DC Current +1 DC 22 or until published in report/guidelines 3 DC DC NOTE: Each record named above is classified and coded with a proprietary or not classified coda as folows: NP- Not Classified OR Restricted for use within Dow DC Dow ConAdental DCT - Dow Controlled # - Subject matter to determine classification '------ - ---- ....... -- CONFIDENTIAL THE DOW CHEMICAL COMPANY DO 006465 DOW RECORDS RETENTION SCHEDULE major function TECHNOLOGY CENTERS RECORD NAME Preferred Storage Media 17fl1 DATE DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION TECHNOLOGY CENTER - Cont. Quality Summary Repoits M 1LU Data Plant - Survey Results & Reports Operations or Engineering Conferences Objectives, Goals, Plans Technical Bulletins PLANT AUDITS OR TECHNICAL REVIEWS All Audit Checklists/Formats M M Ecology Audit Report and Follow-up Industrial Hygiene Reports Operating Plant Audit Report and Follow-Up Plant/Terminal Quality Audit Reports Pre-Start Up Audit Reports M FDA Inspections Anal. Data Supporting Audit of Product Properties COMPETITION Names and Capacities M Cost and Capital Estimates M Patents Process Information M Product Quality M M = Master Until next audit is complete 4 Until superseded 5 5 10 DC DC DC DC DC DC Current and most recent previous 3 3 5 5 5 5 5 DC DC DC DC DC DC DC DC Until superseded Until superseded Until superseded Until superseded Until superseded DC DC DC DC DC NOTE: Each raootd named above is classified and coded with a proprietary or not classified code as fotows: NP- Not Classified DR Restricted tor use within Dow DC Dow Confidential DCT-Dow Controlled - Subject matter to determine classification conftdfnttai THE DOW CHEMICAL COMPANY DO 006466 DOW RECORDS RETENTION SCHEDULE ________________________________________________________________________________ SECTION MIIMRPB major function OATS TECHNOLOGY CENTERS RECORD NAME Preferred Storage Media DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION CORRESPONDENCE (Telexes, Letters, Telephone Notes, etc.) Correspondence related to Non-Technical Matters Correspondence related to Technical Matters on plant equipment such as Inquiry, Cost Information, etc. Correspondence on transient problems which are solved on a one time basis Correspondence on continuing basic plant problems such as gel, color, impurities, etc. Correspondence related to customer complaints or quality problems which are solved 3 20 ql until published as technical memo/ report/guidelines 4 DC DC DC 20 or until published in report/guidelines 4 DC DC Correspondence on plant design bases Correspondence on Producer Meetings, Quality Audits, Technology Audits and other Plant Visits Correspondence related to Raw Materials, vendor letters, MSD sheets M Other routine correspondence Plant Qualification Letters M MANUALS AND BULLETINS (Dow Publications) Analytical Test Methods/Manual Design, Engineering and Operating Guidelines Drum Specifications Industrial Health Guide Manual Hazardous Chemical Data Manual Loss Prevention Guidelines Loss Prevention Principles M = Master M M 20 DC 4 DC Until superseded DC As long as useful, Max 3 DC 5 DC Until superseded at all sites Until superseded DC DC Until superseded Until superseded Until superseded Until superseded Until superseded DC DC DC DC DC NOTE: Eech record nemed above i classified end coded with a proprietary or not classified code as folows: NP-Not Classified DR - Resticted for use within Dow DC - Dow Confidential DCT - Dow Controlled * - Subject matter to determine classification _ CONFIDENT I At THE DOW CHEMICAL COMPANY CO 006467 DOW RECORDS RETENTION SCHEDULE MAiOR FUNCTION TECHNOLOGY CENTERS RECORD NAME_______________________ Prafarrad Storage Madia SECTiOM-MUMBEP mi DATE AQL 4 DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION MANUALS AND BULLETINS (Dow Publications) - Cont. Manufacturing and Sales Specifications Canceled Specifications Material Safety Data Sheets M Operating Manuals Operating Discipline Manual and Materials Operating Discipline Standard Master File Procedure, Process or Policy Product Manual (Physical Properties, Equipment Design, Safe Handling Procedures) M Product Sales Bulletins Quality Assurance Manual Raw Materials Specifications Packaging Specifications Safety Incident and Reactive Chemical Information Specifications Manual and Sales Raw Materials Packaging Equipment Safety Incident Manual M Technology Center Policy Manual M Training Program Manual M Transportation Emergency Manual M = Master Current + 2 prior 10 Until superseded Until superseded DC DC DC DC Life of facility Until superseded DC 6 Until superseded Current + 2 prior Current + 2 prior Until superseded Until superseded DC DC DC DC Until superseded DC Until superseded DC Until superseded, Max 10 DC Until superseded DC NOTE: Each raoord namad abova Is ciassifiad and coded with a proprietary or not dassiliad ooda as folows: NP- Not Classified DR Restricted for use within Dow DC Dow Confidential OCT Dow Controlled * Subject matter to determine classification OONFTDFNTTAL THE DOW CHEMICAL COMPANY DO 006468 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION TECHNOLOGY CENTERS RECORD NAME Preferred Storage Madia DATE DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION PHYSICAL PROPERTIES Products M Raw Materials M Standards M Wastes M PROJECTS OR PLANTS Authorization Package and Justification Technology Center Support Letter ('Authorization Package and Justification") M Correspondence on design details not covered in design Notes and calculations M Cost and Capital Estimates Design Notes and Calculations M Economic Studies Equipment Specifications M Exited Businesses: (Note: This schedule does not pertain to records with a retention specified elsewhere in the Manual.) General Correspondence M General Design Information (Not pertaining to a specific plant or project) Index Flowsheets Material and Energy Balance Flowsheets P & IDs M = Master Until superseded Until superseded Until superseded Until superseded DC DC DC DC 15 DC 15 DC 25 DC 25 25 10 Life of facility As long as useful, max 10. Review annually beginning 5 years after exiting the business. 3 Until superseded or as long as useful Until superseded Until superseded Until superseded DC DC DC DC DC DC DC DC DC NOTE: Each record named above Is classlfiad and coded with a proprietary or not classified code as Mows: NP - Not Classified rnwrTn,t-k DR Restricted for use within Dow DC - Dow Confidential DCT Dow Controlled # - Subject matter to determine classification ' DFnTTAI THE DOW CHEMICAL COMPANY DO 006469 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION 111 TECHNOLOGY CENTERS RECORD NAME Preferred Storage Media eprnnM niimrpr DATE DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION PROJECTS OR PLANTS - CONT. Monthly Project Report M Plant Photographs Capital Project Summary Report (Closing Reports) M F&E Index, CE Index and MPPD calculations for all locations (manual, guidelines and calculations) Chemistry Process and Product Training files on Foreign Trainees Training Guidelines and Checklists 5 Life of facility 25 Until superseded DC DC DC DC Until superseded DC 5 after completion in U.S. DC Until superseded DC RESEARCH AND DEVELOPMENT CRI Index Copies of CRI Reports Reports Plant (Letter) Reports on Evaluation, Product Development, Scale up Experiments, Incident Investigations, etc. Progress Reports Final Reports Research/Developmental Support Data (R&D or Plant Scale) Technical Reviews with Tech Center Administration Tech Center Reports (Technical) Individual Reactor Batch Unit Operations or Process Data SAFETY RECORDS M = Master Until superseded DC As long as useful, Max 25 DC 5 DC 5 DC Until superseded, Max 25 DC 5 DC 10 DC 25 DC 15 DC See Section 1563 CONFTDFNTTAI NOTE: Each record namad abova is classified and coded with a proprietary or not classified code as fdows: NP - Not Classified DR - Restricted tor use within Dow DC Dow Confidential DCT -Dow Controlled # Subject matter to determine dassificabon THE DOW CHEMICAL COMPANY 00 006470 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION TECHNOLOGY CENTERS RECORD NAME Preferred Storage Media SPCTinM NUMBER DATE DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION STATISTICAL DATA RECORDS Capital M 10 DC Costs M 10 DC Ecology, yearly summary of overall progress Energy, yearly summary of overall progress M M 25 25 DC DC Operating Margin M5 DC Production QualKy, yearly summary of overall progress Safety, yearly summary of overall progress M M M 10 15 40 DC DC DC Yield, Unit Ratios, yearly summary of overall M progress 25 DC MISCELLANEOUS Information released to Regulatory Agencies 15 DC Meeting Notes M As long as useful, Max 4 DC TECHNOLOGY EXCHANGE OF INFORMATION Pertains to a sold business or a dissolution of a joint venture. 12 from date of signing agreement DC NOTE: (1) PROCESSES AND PRODUCTS NOT COVERED BY TECHNOLOGY CENTERS Records retention responsibility for information normally Kept by Technology Centers shall reside with the Major Manager at the appropriate producing location, or his designee. (2) All electronically-stored Kerns will also conform to this record-retention guidelines. The official Company record copy should not be the "floppy disk" copy. M = Master NOTE: Each record named abov* is ctosifiad and codad with a proprietary or not dassifwdood* as fblows: NP Not Classtfted DR-Restricted for use within Dow DC - Dow Confidential DCT-Dow Controlled * - Subject matter to determine classification THE DOW CHEMICAL COMPANY CONFIDENTIAL DO 006471 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION Preferred Storage RECORD NAME Media DATE DAflC CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION This page was intentionally left blank. rONFTDFNTIAL NOTE: Each record named above is classified and coded with a proprietary or not classified code as Mows: NP- Not Classified OR - Restricted for use within Dow OC - Dow Confidential DCT Dow Controlled # Subject matter to determine classification THE DOW CHEMICAL COMPANY DO 006472 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION RFPTinM MIIMRFP 17R1A DATE PAQE 1 ENVIRONMENTAL TECHNOLOGY CENTER - (ENVTC DECEMBER 1997 Preferred Storage RECORD NAME Madia CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION ADMINISTRATION (Environmental Technoloav Center-ENVTC1 Administrative newsletters Cost reports Petty cash records Requisitions WORK PRODUCTS Comments prepared for regulatory agencies (direct or via other organizations) Design, operating and procedural guidelines Newsletters Objectives, goals and plans Quarterly Performance Comparison Reports Technical Memos Technical Reports Training programs and materials Waste survey summaries (annual) DOW PLANT. SITE AND PROJECT INFORMATION Activity reports to ENVTC Authorization packages and justification 2 5 5 Destroy when purchase order received DC DC DR NP 15 NP Until superseded, Max 10 DC 5 DC 2 DC 5 DC 25 Until superseded, Max 10 DC See Section 1781 25 DC Until superseded, Max 10 DC 5 DC 5 DC 15 DC Chemistry of plant/process Cost and capital estimates Design Notes, calculations, and drawings Until superseded 25 25 DC DC DC NOTE: Each raoonJ namad abova is classified and oodad with a proprietary or not cfassifiad coda as Mows: NP Not Classified DR-Restricted for use within Dow DC - Dow Confkian&al DCT - Dow Controlled * Subject matter to determine classification --~ - -............... 1 1 11 CONFTDFNTTAl. THE DOW CHEMICAL COMPANY OO6473 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION SECTION NUMBER --lZ&LA ao 2 DATE ENVIRONMENTAL TECHNOLOGY CENTER - (ENVTC) DECEMBER 1997 Preferred Storage RECORD NAME Media CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION Environmental assessment reports Operating facilities Acquisitions Divestitures Until superseded See Section 531 See Section 531 DCT DCT DCT Environmental impact statements (baseline studies) Permanent NP Equipment specifications and drawings Life of facility or equipment DC Economic studies 10 DC F&E index and MPPD calculations (manual, guidelines and calc.) Until superseded DC Flow sheets Until superseded DC General design information (not pertaining to a specific plant or project) Until superseded or as long as useful DC General site information Until superseded or divested, Max 5 DC Hydrogeological data and reports Life of land ownership or interest + 4 (see Section 841) Incineration test burn information 5 after ceasing operation DC of equipment Industrial hygiene reports 3 DC Material and energy balances Until superseded DC Operating manuals Until superseded, Max 5 DC Performance reports to ENVTC 5 DC Photographs plant and equipment people and general Life of facility As long as useful DC NP P&IDs Until superseded, Max 5 DC Project reports 5 DC Project summary reports (closing reports) 25 DC NOTE: Each record named above la classified and coded with a proprietary or not classified code as folows: NP- Not Classified DR Restricted for use within Dow DC - Dow Confidential DCT-Dow Controlled #-Subject matter to determine classification ' ....... . CONFIDENTIAL THE DOW CHEMICAL COMPANY 00 006^74 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION QPrnnN NUMfiPf _____ WgIM PAftP DATE W____ ENVIRONMENTAL TECHNOLOGY CENTER (ENVTC] DECEMBER 1997 Preferred Storage RECORD NAME Mecfia CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION Project support letters 15 DC Training files on foreign trainees 5 after completion in U.S. DC Waste characteristics data (if part of design basis) Life of facility or equipment DC Waste survey to ENVTC 5 DC FORMAL REVIEWS. SITE VISITS. AUDITS AND INVESTIGATIONS Checklists/formats for environmental, technology and other reviews Until superseded DC Environmental review reports and follow-up (Dow sites) 3 DC Prestart-up review reports and follow-up 5 DC Project and Program review reports and follow-up 5 DC Technology review reports and follow-up 5 DC Waste contractor evaluation/audit reports 3 DC MEETINGS AND CONFERENCES Global and Area environmental meeting books and minutes (Non-technica! presentations) 5 DC Operations and engineering conference minutes (GWRT, GWEC, LOPT, etc.) 5 DC T/C Administration meeting books (Non technical presentations) 5 DC Other published meeting minutes 4 DC CORRESPONDENCE Re: Continuing plant problems 20 or until published in progress reports DC Comments and preliminary recommendations on projects, programs and operations 4 or until published as part of formal review report DC Re: Design details not covered in design notes and calculations 25 DC NOTE: Each word named above is classified and coded with a proprietary or not classified coda a* Mows: NP -Not Classified DR - Restricted for use within Dow DC Dow Confidential DCT Dow Controlled - Subtact matter to determine classification ^ __________ r ,,> ______________ CHFIDENTIAI THE DOW CHEMICAL COMPANY DO 006475 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION 17R1A DATE paof 4 ENVIRONMENTAL TECHNOLOGY CENTER - (ENVTCj DECEMBER 1997 Preferred Storage RECORD NAME Media CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION General correspondence Re: Non-technical matters Other routine correspondence Re: Transient/short-term plant problems which are solved on one-time basis RESEARCH & DEVELOPMENT AND TECHNOLOGY TRANSFER Copies of CRI reports R&D reports - completed Licensing agreements, studies, etc. (Dow technology to others, or others' technology to Dow) R&D progress reports R&D support data (R&D or plant scale) Secrecy agreements between Dow and other companies Technical agreements between Dow and jointly owned companies COMPETITIVE AND COMPARATIVE TECHNOLOGY INFORMATION Cost and capital estimates Literature surveys related to technology Names and capacities Patents Process information Site visit reports 3 DC As long as useful, Max 3 DC As long as useful, Max 3 DC 4 DC As long as useful, Max 25 DC 15 DC Until superseded or 6 years after termination DC 5 5 Until superseded or 6 after termination Until superseded or 6 after termination DC DC DC DC As long as useful or until DC superseded As long as useful or until DC superseded As long as useful or until DC superseded As long as useful or until DC superseded As long as useful or until DC siperseded As long as useful DC NOTE: Each racord rwnad abova ia dasgfied and codad with a proprietary or not classified ooda a* Mows: NP- Not Classified OR Restricted for use within Dow DC - Dow Confidential OCT - Dow Controtted * - Subject matter to determine classification ___CONFIDENTIAL THE DOW CHEMICAL COMPANY DO 006476 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION SPrTTnM NUMBER 1781A DATE 5 ENVIRONMENTAL TECHNOLOGY CENTER - (ENVTC DECEMBER 1997 Preferred Storage RECORD NAME Mtdt CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION DOW BULLETINS. MANUALS AND MISC. INFORMATION Analytical test methods and manuals Until superseded at all sites DC Manuals (Hazardous Chemicals, Industrial Hygiene, Product, Product Stewardship, Quality Assurance, Reactive Chemicals, Safety, Transportation, etc.) Until superseded DC Material, product & packaging lists and specifications Until superseded DC Material Safety Data Sheets Until superseded - M DC Technology Center Administration Policy Manual Until superseded DC SAFETY RECORDS See Section 1563 M = Master NOTE: Each record named above is classified and coded with a proprietary or not classified oode as Mows: NP-Not Classified DR - Restricted for use within Dow DC - Dow Confidential DCT- Dow Controlled # Subject matter to determine classification ... CONFIDENTIAL THE DOW CHEMICAL COMPANY DO 006477 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION Preferred Storage RECORD NAME Media DATE CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION This page was intentionally left blank. NOTE: Each reoord named above is classified and coded with a proprietary or not classified coda asWtows: NP - Not Classified DR Restricted for use within Dow DC - Dow Confidential DCT- Dow Controlled #-Subject matter to determine dassffioatton CONFTDFNTTA! THE DOW CHEMICAL COMPANY Do 00647S DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION TRADEMARKS RECORD NAME Preferred Storage Maria SECTION NUMBER 1795 DATE PAOF 1 DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION Analysis of Product Sales Abroad (By Country) Case Folders on Common Names, Backup Detail Case Folders on Registered Trademarks (US & Foreign) (Culled yearly for correspondence over S years) Certificates of Registration of Trademarks (US & Foreign) Certificates of Registration of Copyrights (US)I Copyright Case .Folders/Copyright Transfers Chronological Reading File Computer Summaries of Trademarks (lapsed marks) Copies of Debits from Associates, related correspondence Copyright Index by Title, Subject, Form No. Copyright Assignments Foreign General Trademark Cases-Correspondence Job Folders - Closed after 1 year of inactivity On closing, records that would have value are transferred to: Case Folders on Trademarks (US and Foreign) Trademark Agreements (US and Foreign) Search Reports, Domestic and Foreign Filed/adopted (filed in search report binders) Not filed/not adopted Trademark Agreements (other than licenses) (Entire file retained except for short-term documents) 10 5 5 after expiration DR # # 5 after expiration NP Expiration of copyright or NP when abandoned by Dow, whichever is sooner 1# 5 NP 2 DC 1 beyond expiration or abandonment of copyright 5 5 NP NP # # As long as useful, Max 5 Discarded (when relevant job folder culled/closed) DC 5 after termination of corresponding registration or application DR NOTE: Each record named above is classified and coded with a proprietary or not dassitied cod* as folowi: NP-Not Oaaeified DR - Restricted tor use within Dow DC Dow Confidential DCT - Dow Controlled . Subject matter to determine ctaseilication THE DOW CHEMICAL COMPANY CONFTDFNTTAl D 006479 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION TRADEMARKS RECORD NAME Preferred Storage Medfe sFrnnN numbed 1795 DATE PaftP ^ DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION Trademark Assignments Inbound/Outbound Trademark Licenses (US and Foreign) (Entire file retained except for short-term documents) Trademark Policing Letters (STYROFOAM) 5 after effective assignment date 5 beyond termination of agreement 5 DR DR # NOTE: Each record named above is ciassrfwd and coded with a proprietary or not classified code aa Mows: NP- Not Ctassifted OR Resfrided lor use within Dow DC Dow Confidential DCT Dow Controlled - Subject matter to determine classification ..........--' ii-- -- CONFIDENTIAL THE DOW CHEMICAL COMPANY DO 006480 DOW RECORDS RETENTION SCHEDULE MAJOR FUNCTION HEALTH PROMOTION RECORD NAME Preferred Storage Madia DATE DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION Annual Report Blood Pressure Files Commercial Products Information Consultation Files CSI Reports Evaluation Studies Fitness Facility Membership Files General Fitness Assessment Files Health History Questionnaire Health Risk Appraisals Incident Reports and Treatment Records One-time first aid treatment for minor scratches, splinters and the like which do not involve medical treatment, loss of consciousness, restriction of work or motion, or transfer to another job Other incidents: Retention of Up-With-Life copy, if a copy has been sent to Medical Department If a copy has not been sent to Medical Department Location Files Packaged Programs Participation Data File Program Content Proposals Publications, Internal Quarterly Reports 10 30 after termination Non-Dow, department discretion 3 2 10 4 30 after termination 30 after termination 30 after termination DC DC DC DC DC DC DC DC DC DC 1 DC 1 DC 30 after termination DC 3 DC 5 DC 4 DC As long as useful, annual DC review 3 DC 10 DC 5 DC NOTE: Each record named above is classified and oodad with a proprietary or not ctosifiod coda a* to*owa: NP Not Classified DR Restricted tor uaa within Dow DC - Dow ConUdenbal DCT - Dow Controlled * - Subject matter to determine classification THE DOW CHEMICAL COMPANY CONFrOFNTTA, DO 006481 DOW RECORDS RETENTION SCHEDULE ________________________________________________________________________________ SECTION Ml IMRFP major function DATE HEALTH PROMOTION RECORD NAME Pralatrad Storage Madia DECEMBER 1997 CURRENT YEAR PLUS TOTAL OWNING RETENTION IN YEARS CODE SECTION Smoking Cessation Files 5 DC Special Project Files 5 DC Trip Reports 3 DC Weight Management Files 30 after termination DC NOTE: Each reoord named above Is classified and coded with a proprietary or not classified code as foows: NP Not Classified DR Restricted fof use within Dow DC Dow Confidential OCT Dow Controllad *. Subject mattar to dalarmina dassificalior CONriOFNTTA| THE DOW CHEMICAL COMPANY CO 006482 Vital Records Program Introduction, Policy Statement and Objectives 2101 Purpose This standard establishes a program for Vital Records, it describes methods for identifying and protecting these records, and making them readily available for emergency operation and disaster recovery. Issued By Records Management Responsibility The Vital Records Program is established by the Dow Records Management Committee. In identifying vital records, the committee works with representatives of the Dow functions responsible for the records. Each Dow function has the responsibility to identify which, if any, of its records are vital and to achieve compliance with these policies. Application This standard is policy to all functions and organizations of The Dow Chemical Company (Dow). Policy Statement A copy of each vital record should be maintained at the Vital Records Center (9011 Building, Midland). Objectives define Vital Records assign program responsibility identify potential hazards analyze and classify vital records designate appropriate protection methods select appropriate vital records storage facility or facilities develop operation procedures audit and test program procedures September 1995 Page 1 C0NFTDFNTTA1 DO 006483 Vital Records Program Definitions, Hazards and Classification 2101 Vital Records Definition Vital Records are those records essential to the continued functioning of Dow during and after an emergency, and those records which protect the rights and interest of Dow and its employees, stockholders, customer and the public. Vital Records Program Definition A program for identifying, protecting, and preserving vital records to assure that the information is available even if the original record is destroyed before the end of its scheduled retention period. Potential Hazards Environment - Tornadoes, electrical storms and heavy snowfall. Classification of Ooerational or functional records/svstems - those without which Dow vital records would collapse, unable to function. Such systems would Include general ledger and production systems, licenses to operate and project drawings. Costlv records svstems - those that mav be of secondary imoortance but that, if lost, the time and money necessary to replace them would alone constitute a disaster. Leaal records/svstems - those which are necessarv for the oroanization to operate legally, to protect itself or individuals, or which if lost would leave Dow open to crippling litigation. Emeraencv records/svstems those which are not vital exceDt in the case of an emergency. NOTE: Onlv a small portion rouahlv two to six percent - of an organization's records can be legitimately classified as "Vital". September 1995 Page 2 CONFTDFNTT Al DO 006484 Vital Records Program Process for Identifying Vital Records Process for Identifying Vital Records 2101 September 1995 Page 3 C ONFTDFNTTA! DO 006485 Vital Records Program 2101 Method of Identifying, Guide for Selecting, and Protection Methods Methods of Identifying Vital Records There are three principal methods of identifying Vital Records: Functional Analysis - Determine what information must be available to operate or reconstruct the selected business. Decide the information requirements on the basis of conditions and operations following a disaster, not merely today's normal operating conditions. Assume someone else must use the records and reconstruct the operations without your knowledge or experience. Physical Inventory of Records - A physical inventory of records may help identify vital records and may also provide additional information: 1. The purpose of the record 2. Physical volume and description of the record 3. The storage media 4. The access frequency 5. The rate at which records are created and accumulated 6. Where they originate, and where duplicates reside. Questionnaire - A questionnaire may be distributed to identify the same types of information as the physical inventory. The questionnaires are then reviewed and analyzed by the Dow business or function to identify possible vital records. Guide for Selecting Vital Records A. B. C. D. E. Which functions must be reconstructed following a disaster? What information on assets of the company and stockholders' ownership are to be protected? What information is needed? What records contain this information? Are there other records being protected which also have the information? Protection Methods Storage at the Vital Records Center - A copy of all vital records should be kept at 9011 building, Midland. This is a temperature and humidity controlled building. Dispersal - The least expensive method is built in or routine dispersal of vital records. Duplication - Duplication is an effective protection method where conditions for dispersal do not exist. September 1995 Page 4 CONFTC>F'NTTAl DO 006486 Vital Records Program 2101 Operating Procedures, Update and Disposal and the Recovery of Records Operating Procedures Transfer Instructions All records sent to storaae must be accompanied bv a completed Records Center Transfer Form. Unless impractical, a duplicate of the vital record, rather than the original, should be sent to the Vital Records Center. Retrieval Instructions - Vital record copies should be retrieved only when operational records have been destroyed due to disaster. Records are requested via memorandum or telephone to the Records Center Supervisor. A copy of the original will be generated or a hard copy will be produced. Update and Disposal of Records The vital information protected in storage should be current at all times. Resumption of operations, as well as protection of assets, depends on having the latest information. Update each vital record by sending a copy of the latest issue of the record as soon as it is made. Recovery of Records From the Vital Records Center In the event of a disaster, contact the following: Work Don Fillmore 517*636-9431 Larry Bowling 517-636-0478 Home 517-687-2931 517-835-9786 Se^mber 1995 Page 5 CONFTDFNTT Al DO 006487 Vital Records Program 2101 VITAL RECORDS Function Section * Retention Schedule ACCOUNTING General Ledger 501 Microfilm annually and forward to Vital Records Center. Retention 25 years. Subledger Cost Sheet Microfilm/Microfiche copy Send to Vital Records Center - Retention 10 years ENGINEERING Engineering Drawings, Specifications and Calculations specific to the job, Division Plans for the Design 825, 841,851 Store one copy at Vital Records Center for life of plant or equipment plus four years. Maps (Division) Store one copy at Vital Records Center for life of plant or facility plus four years. Pressure Vessel Records, Unfired (Michigan Division) Send one copy to Vital Records C nter. Purchase Orders and Supporting Documents for Fabricated and Special Designed Equipment Store one copy at Vital Records Center for life of plant or equipment plus four years. Soil Boring Reports, Pile Report and Hydrogeological Reports Life of Land Ownership EXECUTIVE Corporate Board of Director Meeting Minutes 901 Store one copy at Vital Records Center. Retain until 5 years after dissolution of the Company. Corporate Executive Committee Minutes Store one copy at Vital Records Center. Retain until 5 years after dissolution of the Company. FINANCIAL - CORPORATE TREASURY Operational Systems Backup Tapes 913 Send one copy to the Vital Records Center GAS/SPEC TECHNOLOGY GROUP Data Books 931 Vital Record * 50 Years Research and Technical Reports Vital Record 50 Years HUMAN RESOURCES - PERSONNEL RECORDS Personnel Lists Dow Unit Copy 961F Store one copy off site, retain until superseded. Personnel Master Number Book Send microfilm copy to Vital Records Center - Permanent Retention HUMAN RESOURCES - RETIREMENT Member Pension Data and Status 961H Send copy to Vital Records Center. 12/15/97 Page 6 CONFTDFNTTAl DO 006483 Vital Records Program 2101 Function INFORMATION SYSTEMS Magnetic Media in custody of IS *A copy of designated Vital Records stored off-site PAYROLL Employee Master File QUALITY ASSURANCE - CORPORATE QA Computer Systems Magnetic Media RESEARCH AND DEVELOPMENT Data Books TOXICOLOGY - H&ES INFORMATION SYSTEMS Reports - animal studies and human studies Section # 975 1171 1461 1501B 1502D Retention Schedule 'Client data retention is set by the client Send copy to Vital Records Center each pay period. Retain until superseded. Current data plus 1, store copy off-site. Send one copy to Vital Records Center. Retain Data Books closed out prior to 1-11957 25 years, after 1-1-1957 retention is 75 years. 75 years 12/15/97 Page 7 CONFIDENTIAL DO 006489 This page was intentionally left blank. CONFTOFNTTAl DO 006490