Document 6Y9woRJ4qpOBpvDkYkdOZ3dE

STANDARD RECORD RETENTION SCHEDULE SECTION I Of THE RECORDS MANAGEMENT MANUAL Office of the Corporate Secretary November 1970 0689219 cotflDonw- TOWOLDMONOQ12250 MONSANTO COMPANY RECORDS MANAGEMENT MANUAL This manual has been prepared by the Office of the Corporate Secretary to implement the policy statement entitled "Records Management," page D-II-2 of the Monsanto Management Guide. The manual is to be freely available to all personnel of the worldwide Monsanto family group who have a need to know or to use the contained information. It is not to be made available outside of the Monsanto organization without authorization of this office. Requests for assistance in the interpretation or application of the described practices should be directed to the Office of the Corporate Secretary. E. J. Putzell, Jr. Vice President and Secretary November, 1970 0669220 TOWOLDMONOQ12251 MONSANTO COMPANY STANDARD RECORD RETENTION SCHEDULE TABLE OF CONTENTS INTRODUCTION DEFINITIONS GENERAL ADMINISTRATIVE COMMUNICATIONS - External COMPUTERS & DATA PROCESSING CONTRACTS & AGREEMENTS CORPORATE RECORDS CORRESPONDENCE FINANCIAL Page Number 1-2 3 4-5 6-7 8-9 10 11-14 15-17 18 A. BILLING B. ACCOUNTS RECEIVABLE - and other receipts C. ACCOUNTS PAYABLE - and other payments D. BANKING E. AUDIT F. BUDGET G. CAPITAL EXPENDITURES & PROPERTY RECORDS H. COMPANY LEDGERS, FINANCIAL STATEMENTS & REPORTS OF FINANCES I. COST J. PROFITABILITY K. MISCELLANEOUS INSURANCE LEGAL MANUFACTURING MARKETING, MARKETS, PRODUCTS & CUSTOMERS MEDICAL, HEALTH & ENVIRONMENT RECORDS PATENT, TRADEMARK & COPYRIGHT RECORDS PERSONNEL & PAYROLL PLANNING DOCUMENTS PURCHASE RECORDS REAL ESTATE SCIENTIFIC & TECHNICAL RECORDS SHIPPING & TRANSPORTATION TAX 19-20 20-21 21-22 22-23 23 23-24 24-26 26-27 27 27-28 28 29 30-31 32-33 34-37 38-39 40-41 4245 46 47 48 49-53 54-56 57-58 0689222 CONFIDENTIAL TOWOLDMONOQ12252 MONSANTO COMPANY STANDARD RECORD RETENTION SCHEDULE INTRODUCTION This Monsanto Company Standard Record Retention Schedule establishes the time periods for retaining records regardless of their form or their location. This standard supersedes all previous record retention schedules. This standard is to assure adequate retention of necessary records, and prompt destruction of overage records with resultant saving in space, equipment, and manpower. Division and central department management shall be responsible for conformance with this standard. Division and central department management shall continually observe the adequacy of this standard for specific circumstances and bring inadequacies to the attention of the Office of the Corporate Secretary of Monsanto Company. Any modification of, or deviation from, this standard must be approved by the Office of the Corporate Secretary. _ The Office of the Corporate Secretary may defer the disposal of any record, or records, when longer retention is deemed advisable. PRACTICE 1. Local Schedules Divisions and central departments will modify, or establish, record retention schedules at all company locations in accordance with this standard. Local schedules will identify specific records in keeping with operational terminology, or coding practices, fully informative to the involved personnel, but will adhere to the retention time specified in this standard for the pertinent record category. 2. Additions to Standard Schedule In the event a division or central department has records, or develops records, for which there is no applicable category in the standard schedule, the Office of the Corporate Secretary should be advised. If a retention time longer than current year plus one is necessary, reasons for longer retention must be presented with a request for the extended retention. -1 0689222 TOWOLDMONOOI2253 3. Deviations from Standard Schedule Division general managers and central department directors may request permission of the Office of the Corporate Secretary to Deviate from this standard for records under their jurisdiction. The request must be accompanied by a statement of the pertinent reasons for deviation. 4. Certification During the month of January each year, division general managers and central department directors will certify to the Corporate Secretary that retention schedules cover all accumulated records and the retention times conform to this standard. 5. Office vs. Record Center Retention This standard specifies only the total retention time for records. The time may be divided between "office" and generally less expensive "record center" storage, in keeping with local circumstances and requirements, with a view of achieving optimum - filing, storage, retrieval, secruity, and disposal - costs. 6. Security of Records This standard is concerned only with the retention time for records. It does not alter in any way security requirements which control record origination, transmittal, or storage. 7. Multiple Purpose Records In the event an individual record is pertinent and relevant to more than one purpose, its retention shall be scheduled in accordance with the record category having the longest retention time. Record and filing procedures must be established to prevent prolonged retention of the related records not requiring the extended retention. 8. Libraries & Library Materials In the event that company "libraries" have responsibility for the preservation of any company records, this standard must be observed for such records. Library materials - books, reference sources, periodicals, manu scripts, pamphlets, brochures, etc. - which generally are available to the public are not covered by this standard. The retention of such library materials is at the discretion of the management respon sible for the library. Comparably, the retention of "library-type material" by individuals in all offices will be at the discretion of responsible management. -2- TOWOLDMONOOI2254 DEFINITIONS RECORD C CP S T AU AR Includes all written and printed papers, maps and drawings, books, photographs atul microphotographs, film and microfilm, disc and tape recordings, or similar documentary material made or received by any segment of Monsanto in the performance of its responsibility. Indicates CURRENT YEAR - the calendar year during which the record was originated or acquired. C+n indicates records are to be kept n years beyond the current year. Indicates COMPLETION of a defined project or file. Examples are: . a research project . design or construction of a facility . a contract negotiation . atrip . assembly of a report . obtaining a patent . a litigation . etc. CP+n indicates records are to be kept n years after completion of a project or of the file. Means until SUPERSEDED, or while the record is still valid and useful. Material such as catalogs, manuals, methods, directives, maps, customer lists, specifications, etc., are of value until replaced by modified, or new, material. S+n means that a superseded record should be retained n years beyond the year in which it became obsolete. Means until an activity, or the use of a file, has TERMINATED. For example, when used with personnel associated records, T indicates termination of employment. When used with contract or agreement records, T indicates completion of effort required under the contract (see note - "Contracts & Agreements"). T+n indicates n years after the year in which termination took place. Means that a required AUDIT (internal, external, or tax) must be completed before disposal of the record. Means disposal ONLY AFTER REVIEW by an indicated office which has authority to extend retention for specific purposes. INDEXES Monsanto Normal Record Practice Until purpose is served Each entry in an index referring to a specific document should be considered a part of the document, and the entry should be removed from the index when the document is destroyed. Compliance with this phrase required complete observance of the record retention specifications established in this manual. This specification is used only in the case of certain manufacturing records when the importance of these can vary widely from operation to operation, and when the necessity for retention is not also constant for a given operation. Records essential for such purposes as maintenance of quality, cost control, statistical study of process variables, etc., frequently have a varied and indefinite life. Also there are instances when records must be maintained in keeping with FDA requirements, patent purposes, control commitments, etc., and these requirements specified elsewhere must be observed. -3- TOWOLDMONOOI2255 GENERAL 1. Catalogs, Brochures, Periodicals. Newspapers & Other Publications Monsanto originated: . Company copy in originating office file . Other copies Externally originated: . All copies (except libraries) 2. Forms - General Business A Operating (Not involving contracts, purchasing, labels, employe records, etc., otherwise noted) . Company copy or samples, master plates, etc., in originating office file . Other copies 3. Telephone Directories Monsanto originated: . Company copy in originating office file . Other copies Externally originated: . All copies 4. Visitors Logs . General logs of office A plant visitors in location file . With "Keep Confidential" agreement as prescribed by Security Manual in location file . Company Lodges - company copy in Marketing Services Department file Total Retention Time s+io S S S+5 S S+3 S S C+1, or less if not useful C+5 C+6 AU (tax) -4- 0689225 "TOflML TOWOLDMONOQ12256 GENERAL (Con't) ------------------ 5. Participation in Trade Associations Bulletins, reports, committee activity , Total Retention Time . Company copy in administrating office file S, or while useful only 6. Reading Files, Chronological Files, Etc. 7. Transcribed Shorthand Notes, Voice Recordings, Stenotype Tapes, Etc. 8. Diaries.Calendars, Day-by-Day Planners ' 12 months, or less if not useful Dispose immediately C+l.orless if not useful 9. Photographs Company related photographs, produced by Monsanto or others, are company records and are to be retained in keeping with the schedule for the record category to which the photographs may pertain. For example: . . Photographs As Evidence A photograph may relate to patents, trademarks, contract compliance, insurance, litigation (actual or potential) and should be retained in keeping with the record schedule for the specific circumstance. Photographs for Publicity A photograph submitted with or as a news release is a component part of a press communication if the communication is incomplete or misleading without the photograph. Photographs for Advertising Generally while potentially useful for advertising. Photographs for Engineering Design Same as Project Engineering Manual Photographs retained for specific purposes should be accompanied by adequate identification of purpose, location, people, products, time. etc., as needed to assure that the photograph is a complete record. See "Scientific & Technical Records." Item 9 -5- 0689226 CONFIDENTIAL TOWOLDMONOQ12257 ADMINISTRATIVE I. Reports to President from Division General Managers & Staff Department Directors Monthly or Bimonthly: . Company copy & work papers in originating office file . President's Office file . Other copies Annual (Year-End): . Company copy & work papers in originating office file . President's Office file . Other copies 2. Internal Division & Staff Department Administrative Reports . Company copy in originating (or designated responsible) office file . Drafts & work papers . Other copies 3. Other Reports . Research Project Reports - CRD & division research departments . Engineering Project Reports - CED & division engineering departments . Technical Project Reports from other than research or engineering - develop ment, special investigation, evaluations, etc. . Marketing & Advertising Project Reports - Non-Technical, Non-Marketing Monsanto Confidential Project Reports - administra tive, management, personnel, etc. - ori ginated in Monsanto, purchased, or acquired (consultants): -6- Total Retention Time C+2 C+l 2 months C+6 C+l 2 months C+3, or less if not useful CP(report) S See "Scientific & Technical Records", Item 7 See "Scientific & Technical Records", Item 8 Follow schedule of either research or engineering as project is most closely related See "Marketing", Item 16 TOWOLDMONOOI2258 & rds", & >rds", le of or ADMINISTRATIVE (Cont.) Company copy in originating or sponsoring office file Other copies Miscellaneous Reports - trip, meeting minutes, etc. Salesman Call Reports 4. Management Guide, Personnel Administration Manual & Other Corporate Directives, Manuals, Directories, Etc. - which express or interpret Monsanto policy . Company copy in originating office file . Other copies . Drafts & work papers Division or Department Directives, Manuals, Procedures, Etc. -- which express or interpret Monsanto policy . Company copy in originating office file . Other copies Other Directives, Manuals, Procedures, Etc. only procedural, no expression of new policy or interpretation . Company copy in originating office file . Other copies Record Retention Schedules Corporate Schedule: . Company copy in Office of Corporate Secretary of Monsanto file . . Other copies Local Schedules: . Company copy in originating office file . Other copies Record Center Transmittal Forms . Company copy in Record Center file . Other copies 7 Total Retention Time C+5 C+1, or less if not useful As "Correspondence", Item 1,2, 3,or4 See "Marketing',' Item 20 S+10 S CP S+10 S S+l s S+5 S S+5 S T+5 T 068922B Mmm TOWOLDMONOQ12259 COMMUNICATIONS - External 1. Shareholder Communications . Company copy of Annual Report in Corporate Secretary's Office file . Company copy of allother communications in Public Relations Department file Other copies . Drafts & unreleased 2. Press or News Releases Released to Public: . Company copy of all releases in Public Relations Department file . Other copies Drafts & Unreleased to Public 3. "Monsanto Magazine" & Other Similar Company Publications . Company copy in Public Relations Department file . Other copies 4. Advertising, Sales Bulletins, Labels, Etc. 5. Speeches, Published Papers, Etc. Expression or announcement - revealing new policy, financial performance, scientific and technical accomplishment, etc., of the company: . Company copy in Public Relations Department file . Other copies -8- Total Retention Time C+100 C+50 As "Correspondence", Item 1,2,3 or 4 C+1 C+l c+so As "Correspondence", Item 1,2,3 or 4 C+l C+50 As "Correspondence", Item 1,2,3 or 4 See "Marketing", Items 8,9,10, 12,18,19 C+50 As " Correspondence", Item 1,2,3 or 4 0689229 CONFIDENTIAL TOWOLDMONOQ12260 COMMUNICATIONS (Cont.) General - having scientific, technical, educational, trade, or other orientation, but not revealing previously unpublished policy, financial performance, or pro prietary technology: . Originating office copy, including work papers . Other copies ce , Total Retention Time While useful As "Correspondence", Item 1,2, 3 or 4 ice , * nee 9- 0669230 CONFIDENTIAL TOWOLDMONOOI2261 COMPUTERS & DATA PROCESSING 1. Programs Descriptions, process charts, program listings, operating instructions, etc. - all automatic data processing devices Total Retention Time s (See Note) Note: Generally the records of programs will be retained only until superseded (or until no longer useful). More extended retention periods may be required in some instances to satisfy the following requirements, which must be brought to the attention of data processing groups by the users of data when the circumstances exist. Accounting Related Data Processing Sufficient records of programs must be maintained to satisfactorily support or validate any report which is subject to audit, if the program, or report generation procedure, is not self-evident in the report. Non-Accounting Related Data Processing Sufficient records of programs must be maintained to satisfactorily support, validate, or permit reconstruc tion of any generated or calculated data which may serve evidentially - in patent matters, contract com pliance, demonstration of engineering competence, etc. - if the program, or calculation procedure, is not self-evidentjn the generated data or report. 2. Data & Information Recorded in Machine Sensible Form Punched cards, magnetic tapes, discs, or other . Recorded for data processing only Serving as, or replacing a source document Retaining information, reports, summary calculations, serving as a ledger, etc. 3. Printouts of Accumulated or Processed Data 10- While useful, but no longer than the source document from which recorded Same as the document replaced If machine sensible form is the only recording, retain as specified for the record. Otherwise, retain while useful, but no longer than specified for the record in any other form. In accordance with the appropriate schedule for the document. 0689231 CONFIDENTIAL TOWOLDMONOQ12262 CONTRACTS & AGREEMENTS It is emphasized that establishment of the time of termination of a contract is the most essential factor in applying the retention schedule. When administering "local retention schedules" care must be exercised to assure that the termination date of a contract is properly established. For the purpose of this retention schedule, a contract or agreement has terminated - the condition "T(contract)" has been reached - when in the best judgment of knowledgeable and concerned personnel: There has been performance by all parties under all provisions of the contract or agreement. All work has been performed and payment therefore made. The term of any guarantee has expired. Should the contract have a "hold confidential" clause, it will not be terminated until the confidential matter can be released. There has been complete satisfaction of any claim by or against the company which may have arisen because of the contract. The document is deemed to have no future value which may be essential evidence to maintain or protect company confidential know-how, or to defend the company from unwarranted claims. There are no unresolved capitalization or expense tax problems. A termination date should be^established when a contract'is signed. If assignment of a termination date is not feasible at time of signing, an outline of the circumstances which permit termination should be written and a schedule set for future review of the contract so that the definite termination date can be established. 1. Contracts individually prepared by Law Department or Patent Department for purchase, sale, patent, license, contruction, know-how, consultation, etc. Major, retained by Office of Corporate Secretary: . Company (Signature) copy in Corporate Secretary's Office file . Conformed copy in division or staff department file . Other conformed copies Minor, not retained by Office of Corporate Secretary: . Company (Signature) copy in originating or administrating office file For definition of "major contract", see last page of this section. -11 - Total Retention Time T(contract)+10 T(contract)+6. or less if not useful T(contract). or less if not useful T(contract)+6 0689232 CONFIDENTIAL TOWOLDMONOQ12263 CONTRACTS & AGREEMENTS (Com.) Total Retention Time . Other conformed copies SaJes Contracts & Agreements On approved printed Monsanto forms Executed copies: T(contract), or less if not useful . Company (Signature) copy in division file . Other copies if needed Specimen copy of forms in division file 3. Material Exchange Agreements T(contract)+6 T(contract), or less if not useful S+S . Company (Signature) copy in division file . Other copies 4. Product Guarantees T(contract)+6 T(contract),or less if not useful . Company (Signature) copy in division file 5. Employment Agreements 3TContracts On approved printed Monsanto forms . Company (Signature) copy in Payroll Dept, file (see also Personnel & Payroll, Item 1) . Other copies 6. Labor Contracts T(guarantee)+6 Until employe is age 80 T(employment) . Company (Signature) copy & essential work & negotiation papers in division or location file T(contract)+20 . Other copies, work & negotation papers 1- U. S. Government Contracts T(contract)+20, or less if not useful . Company (Signature) copy in originating or administrating office file T(contract)+2 to 5* . Conformed copy at location of govern ment audit 'Observe terms of specific contract, also renegotiation requirements and government audit requirements. T(contract)+2 to 5* -12- 0689233 comm TOWOLDMONOOI2264 CONTRACTS & AGREEMENTS (Com.) Other conformed copies 8. Purchase Orders - inlcuding essential related papers Originating purchasing office file copy Engineering, maintenance, storeroom, supply depot or other requisitioning and receiving office file Research record copy as needed 9. Miscellaneous So-called Area & National Purchase Agreements & related records . Company copy in Central Purchasing Department file . Other copies & excerpts 10. Bills of Lading 11. Leases -- unless specified elsewhere . Company (Signature) copy in originating or administrating office file . Other copies 12. Inventor Releases 13. Papers, correspondence, drafts, etc., collected in connection with the preparation of: Contracts, Agreements, Purchase Orders, Leases, etc.: -13- Total Retention Time T(contract),or less if not useful T(contract)+l T(equipment, material, or service purchased), or less if not useful See "Scientific & Technical Records" Item 2 T(contract)+2, or less if not useful T(contract), or less if not useful See "Shipping & Transportation", Item 8 T(lease)+6 T(lease), or less if not useful See "Patent, Trade mark & Copyright", Item 10 i 068923^ CONHDENTIAL TOWOLDMONOQ12265 CONTRACTS & AGREEMENTS (Corn.) Law Department file Patent Department file Other files Abandoned Negotiations: All offices ******* CP(negotiation)AR (law) CP(negotiation )AR (Patent) CP(negotiation)+l CP(abandonment)+1 MAJOR CONTRACT For the purposes of this retention schedule, a "major contract" is one in which one or more of the following conditions exist: . A commitment for purchase or sale of products, raw materials or supplies in connection with normal commercial operations exceeding: . . S5,000,000 in one year, or .. SI0,000,000 in five years, or .. $15,000,000 in fifteen years. . . A contract for the acquisition, sale or construction of a capital asset for a consideration exceeding $500,000. . A contract involving the acquisition, organization or dissolution of a corporation or contractual joint venture. . A contract for the acquisition, sale or licensing of patents or know-how. . A contract that, in the judgment of the attorney preparing or reviewing it. should be retained for more than six years after full performance thereof because of special circumstances such as: . . magnitude and importance of contract obligations, . . liability may not be ascertainable for substantial period of time after stated performance of the contract, . . difficulty of determining the date on which performances by the parties under the contract will be completed. -14- 0689235 TOWOLDMONOOI2266 iw) item) CORPORATE RECORDS Pertaining to the formation, continuation, and dissolution of corporate bodies. The Monsanto Company is the principal corporation and the records pertaining to the formation and continuation of Monsanto Chemical Works and any company which was merged with Monsanto are considered, for the purposes of this schedule, to be corporate records of Monsanto Company. Total 1. Certificates of Incorporation Retention Time Company copy in file of the secretary of the company involved T(corp.)+25 2. Qualifications to do Business & related records . Company copy in file of the secretary of the company involved 3. Minutes, Corporate - Stockholders & Directors Mtgs. T(corp.)+5 . Company copy & underlying papers submitted for action in file of secretary of the company involved T(corp.)+5 . Copies & excerpts in all offices 4. Minutes, Committees of Directors - Executive, Finance, Budget, Bonus, Audit, Etc. . Company copy & underlying papers in file of secretary of the company involved or file of secretary of committee in keeping with assigned responsibility . Copies & excerpts in all offices 5. Corporate Secretary's Records Data and information concerning directors, officers, and other company personnel; committees of directors; as essential for preparing corporate reports St applications As "Correspondence", Item 1,2,3 or 4 ' T(corp.)+5 As "Correspondence", Item 1,2,3 or 4 S, or while useful 6. Acquisitions, Mergers, Consolidations, Reorganizations St Dissolutions Company records in file of secretary of the company involved Papers, correspondence, drafts, etc., collected in connection with negotiations and preparation: Law Department file Other files -15- T(resulting corp.)*5 CP(negotiation)AR(law) CP(negotiation) 0689236 TOWOLDMONOQ12267 CORPORATE RECORDS (Corn.) *1. Securities. Evidence Thereof - listing applications, registration statements, etc. Total Retention Time . Company copy in file of secretary of the company involved Stock & securities convertible into stock Securities non-convertible into stock . Other files *8. SEC, Reports to . Company copy in file of secretary of company involved . Other copies & work papers *9. Shareholder Ledger T(stock)+25 T(security)+10 While useful only C+50 C+5, or less if not useful . Company Copy in Stock Records file of company involved ' . Other copies of record date printouts 10. Stock Transfer Sheets C+100 While useful only . Company copy in Stock Records file of company involved . Other copies *11. Stock Certificates, Cancelled C+100 While useful only . Company copy in Stock Records file of company involved * 12. Stock Certificates, Lost - affidavits & records Company copy in Stock Records file of company involved C+50 C+SO * The stated schedule for these records presumes continuation of the corporation. If the corporation is dissolved these records will be retained for S years after termination of the corporation. Only the Certificates of Incorporation, Item No. 1 above, will be retained longer than 5 years after a corporation is dissolved. 16- 0689237 GKDIM TOWOLDMONOOI2268 CORPORATE RECORDS (Cont.) Total Retention Time 13. Shareholder Inquiries Concerning Holdings Company copy in Stock Records file of company involved *14. Shareholder, Reports to 15. Proxies & Proxy Lists Company copy in Stock Records file of company involved 16. Corporate Guide - data & information concerning subsidiary, associated & affiliated companies of Monsanto Company copy in Office of Corporate Secretary file Other copies C+5 See "Communications", Item 1 C+3 S+2 S * The stated schedule for these records presumes continuation of the corporation. If the corporation is dissolved these records will be retained for 5 years after termination of the corporation. Only the Certificates of Incorporation, Item No. 1 above, will be retained longer than 5 years after a corporation is dissolved. -17- 0689238 TOWOLDMONOOI2269 CORRESPONDENCE Recorded communications between two or more parties (generally, but not exclusively, individuals) in any form - letter, memo, teletype, notes, messages, sketches, etc. ~ but which are not elsewhere defined in this schedule as a specific type of record. Total Retention Time Correspondence of temporary value - having neither informational value nor evidential value after action has been taken. Information copies - no action required by the recipient Correspondence files - general Correspondence (and patent application diaries) specifically related to other records having specified retention schedule should be retained and filed with such records if correspondence is relevant and essential for total retention period. Reading files, chronological files, etc. All transcribed shorthand notes, voice recordings, stenotype tapes, etc. Diaries, calendars, day-by-day planners Dispose immediately Dispose immediately C+l Same retention period as record to which it pertains 12 months, or less if not useful Dispose immediately C+1, or less if not useful * Examples of communications falling into this category are documents recording scientific and technical ideas, information and data; expressing or modifying a commitment by or to Monsanto; advice or warnings of future circumstances or possibilities; unsolicited suggestions, or advice, concerning the company's technical and commercial activities, etc. In these circumstances, care should be extended to retain the original (signature bearing) documents. -18- 0689239 CONFKNM TOWOLDMONOQ12270 FINANCIAL Pertaining to the receipt and disbusement of funds; the allocation or distribution of funds; anticipation of performance and measurement of performance in terms of money ; generation of profit; and the surveillance of integrity and proper practice in handling and accounting for funds. A. BILLING 1. Invoices, Debits & Credits Pertaining to supply of goods & services by Monsanto Total Retention Time . Company copy in Billing Department file (No. 1 Accounting Dept, copy of invoice and essential related) C+6 AU(tax) . Other copies of invoices & related papers 2. Shipping Papers (Intra-company) & other requests for billing, also related and essential work papers . Company copy in Billing Department file ^ . Other copies 3. Debit & Credit Source Documents C+2, or less if not useful C+2 C+2, or less if not useful . Company copy in Billing Department file . Other copies 4. Consigned Stock (Product) Record Ledger, related documents & work papers C+l C+1, or less if not useful Domestic: . Company copy in Billing (or other preparing) Department file C+l . Other copies -19- C+l, or less if not useful 06892*0 CONFIDENTIAL TOWOLDMONOOI2271 FINANCIAL (Coni.) International. Company copy in International Division Accounting file Other copies 5. Returnable Container Inventory Ledger . Company copy in Billing (or other preparing) Department file . Other copies, excerpts, and source or related documents 6. Returnable Container Receiving Reports . Company copy in Billing Department file . Other copies, and source or related documents B. ACCOUNTS RECEIVABLE and other receipts 7. Cash Receipt Documents Check photostats or microfilm, transfer depository reports, distribution reports, etc. . Company copy in administrating office file 8. Registers Cash, invoice, journal, washout . Company copy in administrating office file 9. Trial Balances Company copy in Accounting Dept. file Credit Department copy International Division copy -20- Toial Retention Time C+b AU (tax) C+6, or less if not useful C+2 C+2. or less if not useful C+l C+1, or less if not useful C+3 AU (tax) C+2 AU (tax) C+6 AU (tax) S, or less if not useful C+1, or less if not useful 068924| TOWOLDMONOOI2272 FINANCIAL (Com.) . Other copies 10. Customer History Records - Any Form . Company copy in administrating office file 11. Cash Receipts Ledger - Total company . Company copy & essentia] source documents in Central Accounting Department file . Other copies 12. Cash Receipt Ledgers - Local funds Plant cafeterias, petty cash, etc. . Company copy in administrating office file C. ACCOUNTS PAYABLE - and other payments 13. Vouchers All accumulated data for payment of vendor invoices for goods, freight and other services, and necessary related documents . Company copy in Accounts Payable Department file . Other office copies of complete vouchers, or any voucher documents Note: Company copies of vouchers arising in the activity of the H&P Division and its predecessors, including Lion Oil, must be retained in keeping with the following excep tional schedule: a. Vouchers (issued prior to Jan. 31, 1963) to which tax returns are attached b. Vouchers recording oil and gas undeveloped mineral rights lease transactions 14. Voucher - Slip Files (copy of original check) . Company copy in Accounts Payable Department file 21 - Total Retention Time S C+6 C+6 AU (tax) C+2, or less if not useful C+6 AU (tax) C+6 AU (tax) While useful only C+50 C+25 C+6 AU (tax) j 0689242 CONFIDENTIAL TOWOLDMONOQ12273 FINANCIAL (Corn.) 15. 16. 17. 18. 19. 20. . Voucher Register Distribution for general ledgers . Company copy in originating office file Voucher Listings . Company copy in Accounts Payable Department file Daily Control Statements All payments, freight, vendors, individuals, etc. . Company copy in Accounts Payable Department file Finance Lease Rental Documents Payment disbursements & tabulations . Company copy in Accounts Payable Department file Salary A Wages Expense Reports A Travel Statements of Personnel ' . Company record in file of accounting office making payment Reports of employes engaged directly on government contract work Reports of all other employes . Other copies - all reports D. BANKING 21. Bank Resolutions . Board of Directors minutes . Treasury Department copy . Other copies 22. Bank Account Statements A Reconciliations . Company copy in administrating office file -22- Total Retention Time C+6 AU (tax) C+l C+2 C+6 AU (tax) See "Personnel & Payroll" C+4 AU (tax) C+3 AU (tax) C+l, or less if not useful See "Corporate Records", Item 3 T(resolution)+6 T(resolution) C+6 AU (tax) 0689243 CONFIDENTIAL TOWOLDMONOOI2274 FINANCIAL (Corn.) 23. Cancelled Checks A Check Registers In files authorized by Treasury Department . Payroll, salary & wage . Dividend . Voucher . Local Working Fund 24. Bank Statements of Condition . Treasury Department file 25. Depository Receipts . Treasury Department file . Accounts Receivable Dept, file E. AUDIT 26. Internal Audit Reports . Company copy in Internal Auditor Office file . Other copies 27. External Audit Reports . Company copy in Controller's Office file . Other copies & excerpts 28. Tax Audits F. BUDGET 29. Budget Documents, All - for expenses, sales, income, etc. (Annual budget books, budget statements, all excerpts, work papers, etc.) . Company copy in Controller's Office file . Other copies & excerpts 30. Actual vs. Budget Reports for Expenses All SARE departments, plant service depts., etc. . Company copy in Controller's Office file -23- Total Retention Time C+3 C+6 AU (tax) C+6 AU (tax) C+6 AU (tax) S C+6 AU (tax) C+3 C+15 While useful only C+100 C+3, or less if not useful See `Tax", Items 1,2 5,6,15, 16 C+10 C+5, or less if not useful 0689244 <muw TOWOLDMONOQ12275 FINANCIAL (Cont.) Monthly Year-End Other copies & excerpts 31. Actual vs. Budget Financial Reviews Quarterly, annually, special . Company copy & work papers in Controller's Office file . Other copies & excerpts 32. Product Group Data Books & essential work papers . Company copy in Controller's Office file . Other copies & excerpts 33. Utilization Plant Facilities - Actual vs. Capacity Reports . Company copy-in Controller's Office file . Other copies & work papers G. CAPITAL EXPENDITURES A PROPERTY RECORDS 34. Appropriation & Retirement Requests Above General Manager approval General Manager & General Manager delegated approval: . Company copy in originating division file . Other copies 35. Statement of Capital Addition & Replacement by Divisions & Summary for Directors . Company copy in Central Engineering Department accounting file . Other copies, plant reports, work papers, etc. -24- Total Retention Time C+l C+10 C+5, or less if not useful C+5 C+l,or less if not useful C+10 C+2,or less if not useful C+10 C+3, or less if not useful See "Planning Documents", Item 1 CP(project)+5 C+1, or less if not useful C+10 C+2, or less if not useful m 0689245 TOWOLDMONOQ12276 FINANCIAL (Com.) 36. Construction Expense Data Division construction programs . Company copy, work papers, and other data records for forecast of corporate expenditure in Controller's Office file . Other copies, work papers, etc. 37. Project Performance Reports Appropriation request vs. actual . Company copy in Controller's Office file . Other copies, work papers, etc. 38. Property Master Listings (Tabulation printout) _ . Company copy in file of accounting department of responsible division Bimonthly listings Yeaiend listings . Other copies 39. Property Additions & Construction Records In file of responsible division . Forms, tabulations, & work papers establishing asset value . Property inventory record (property cards): Active equipment files Retired equipment files 40. Property Transfer Records . Forms, work papers, & tabulations in file of responsible division 41. Property Retirement Records . All forms, work papers & tabulations establishing amount of asset retired in file of responsible division -25- Total Retention Time C+5 C+2,or less if not useful CP(project)+10 CP(project)+3. or less if not useful C+2 C+10AU (tax) C+l, or while useful only C+10 AU (tax) T(equipment) C+10 AU (tax) C+2- C+10 AU (tax) 069**6 C0NFDEN1UL TOWOLDMONOQ12277 FINANCIAL (Cont.) 42. Property Repair Records In file of responsible division . Major authorizations records of approvals and costs . Minor authorizations records of cost 43. Oil & Gas Lease Transaction Records Undeveloped mineral rights lease record folder and file (LD forms) included therein . Company copy in originating division accounting department file . Other copies H. COMPANY LEDGERS, FINANCIAL STATEMENTS, & REPORTS OF FINANCES 44. General Ledgers - of all divisions & staff departments . Company copy in Controller's Office file . Other copies 45. Journal Entries . Company copy in originating office file . Other copies Note: Company copy of journal entries arising in the activity of the HAP Division and its predecessors, including Lion Oil, must be retained in keeping with the following exceptional schedule: . Journal entries recording oil A gas undeveloped mineral rights lease transactions 46. Financial Statements Monsanto Company Documents which report the financial circumstances (balance sheet and PAL) of Monsanto Company; and of the divisions, subsidiaries, and other segments entering the consolidated statement -26- Total Retention Time C+10 AU (tax) C+10 AU (tax) T(lease)+6 AU (tax) While useful only C+100 C+3,orless if not useful C+10 AU (tax) C+l,orless if not useful C+25 [ 06892*7 TOWOLDMONOQ12278 FINANCIAL (Cont.) . Company copy & essential work papers in Controller's Office file . Board of Directors minute copies . Other copies 47. Financial Statements - Foreign Subsidiaries Statements in foreign currency translated to $ U.S. by International Division . Company copy in International Division Accounting Department file 48. Company to Shareholder Reports 49. SEC Annual Report & work papers COST 50. Ledgers - raw materials, good-in-process, and finished goods . In division accounting department file 51. Cost Standards including work papers . Company copy in division file . Other copies 52. Cost & Service Reports . Company copy in division accounting department file . Other copies PROFITABILITY 53. Profit by Products & Product Groups ' . Company copy in division accounting department file . Other copies -27- Total Retention Time C+50 See "Corporate Records", Item 3 C+1, or less if not useful C+5 See "Communications' Item 1 See "Corporate Records", Item 8 C+10 AU (tax) S+10, or less if not useful S, or while useful only C+10 AU (tax) C+5, or less if not useful C+10 C+2, or less if not useful 0689248 CONFIDENTIAL TOWOLDMONOQ12279 FINANCIAL (Com.) 54. Profitability Studies - by industries, trade areas, countries, etc. . Company copy in division accounting department file . Other copies K. MISCELLANEOUS 55. Accounting A Budget Procedures, Directives A Manuals . Company copy in originating office file . Other copies 56. Individual Authorizations for Expenditures . Company copy in Internal Auditor file . Other copies 57. Renegotiation . Sales records & work papers in division accounting department file Reports & Summaries: . Company copy in Controller's Office file . Other copies 58. Royalty Payments A Receipts Required by contracts, agreements, etc. . Company copy in administrating office file . Other copies -28- Total Retention Time C+10 C+2, or less if not useful S+10 S S+5 S CP(renegotiation^ C+50 C+l T(contract)+6 AU (tax T(contract), or less if not useful 68949 CONFIDENTIAL TOWOLDMONOQ12280 INSURANCE 1. Policies Work & related papers . Company copy in Treasury Department file Property Insurance Liability Insurance . Other copies & excerpts 2. Claims Company copy in Treasury Department file ' Other copies 3. Claim Registers Company copy in Treasury Department file Total Retention Time T(policy)+1 T(policy)+7 While useful only T(claim)+1 AU (tax) T(Claim) +1 C+25 4. Annual Summary Report Insurance activity . Company copy in Treasury Department file . Other copies & excerpts C+25 C+1, or less if not useful 5. Medical Benefit Records - records of claims and payments under employe medical benefit plan . Company copy in file of responsible office C+7 -29- 0689250 CONFIDENTIAL TOWOLDMONOQ12281 LEGAL Pertaining to activities in which guidance or assistance of lawyers is generally required. Total Retention Time 1. Contracts, Agreements & Related Records 2. Opinions & Other Records for Legal Guidance Internal or external generation . Company copy in Law Dept., Patent Dept., or Treasury Dept, files . Other copies & excerpts 3. Litigation & Claims See "Contracts & Agreements" S+25 S, or less if not useful . Court files & work papers in Law Dept. file . Patent litigation in Patent Dept, file CP(settlement) CP(settlement) AR (patent) 4. Powers of Attorney Company copy in originating office file Other copies 5. Authorizations for Signature to Documents . Company copy in administrating office file . Other copies 6. Conflict of Interest Certification By company personnel . Company copy(signature copyof statement) & related records in files of responsible office . Other copies 7. Pending Claims - year-end report to auditors . Company copy inLaw Dept, file . Other copies T(power)+25 T(power) T(auth.)+6 T(auth.) C+10 C+l C+5 C+] -30- 0669251 fAMrinrnTU| TOWOLDMON0012282 tent) LEGAL (Corn.) 8. Regulatory Agencies Federal, state, county, municipal Licenses, permits, registrations, etc.: . Company copy in administrating office file . Other copies 9. Anti-Trust Investigations FTC & Dept, of Justice , All Relevant Documents 10. Compliance Investigations Federal, state, county, municipal & private Safety, health, practices, etc.: . Company copy in administrating office file . Other copies 11. Incorporations, Acquisitions, Mergers, Consolidations, Reorganizations, & Other Related Corporate Matters 12. Patent, Trademark,Copyright Matters 13. Tax Matters Total Retention Time T(lkense)+5 T(license), or less if not useful T(investigation) C+10 While useful only See "Corporate Records" See "Patent, Trade mark & Copyright" See `Tax" -31 - 0689252 CONFIDENTIAL TOWOLDMONOQ12283 MANUFACTURING 1. Process or Facility Operating Manual Description; flow charts; operating characteristics; instructions; and limits; as necessary to define process or operation . Company copy in responsible office file (division, plant, CED Technical Informa tion Center or other) . Other copies 2. Analytical/Testing Procedures For products, raw materials, supplies, etc. 3. Specifications Products, raw materials, packaging & other supplies 4. Manufacturing Data Operating schedules, data logs & recordings, batch records, etc. -- for control, operation analysis, patent purposes, etc. . All copies 5. Analysis & Test Results - Product, Raw Material & Supplies For manufacturing control, quality categorization, contract compliance, customer spec compliance, patent purposes, etc. . All copies 6. Process Technology Technical data and information essential for supervision of manufacturing processes, but not included in process manual . All copies 7. Maintenance Manuals & Instructions . All copies 8. Maintenance Records For control of operations and cost, analysis of equipment performance, etc. . All copies 32- Total Retention Time T(product)+10 S Same as 1. above Same as 1. above Until purpose is served Until purpose is served S S Until purpose is served COfflDENTIA! 0689253 TOWOLDMONOOI2284 MANUFACTURING (Corn.) 9. Safety Manuals & Instructions . All copies 10. Alcohol Use Records All required government reports . Company copy in administrating office for specific permit 11. Pollution Control Records Regulations, procedures, analytical & sampling methods: . Company copy in responsible office file (division, plant, CED Technical Informa tion Center or other) . Other copies Data collected to demonstrate compliance with regulations - federal, state, county, municipal . Company copy in responsible office file (division, plant or other) . Other copies Data collected for engineering analysis, engineering design, etc. . All copies 12. Duty Drawback Claim 13. Materials Manufactured & Shipped Under Food & Drug Administration (or other agency) Control drugs, pharmaceuticals, cosmetic ingredients, feed additives, etc. Necessary manufacturing & shipping records: . Company copy in responsible office file Total Retention Time S C+5 S+10 s c+to C+l CP(project)+1 See "Shipping & Transportation," Item 15 As specified for material by FDA or other agency 33 CONFIDENTIAL 0689254 TOWOLDMONOOI2285 MARKETING, MARKETS. PRODUCTS St CUSTOMERS 1. Customer General Information File or List Identity, addresses, personnel lists, financial status, material requirements, etc., of customers and prospects . Copies in all offices 2. Customer Payment Records Balances & histories 3. Orders Customer purchase orders and other order entry documents . Copy necessary with invoice . Other copies 4. Invoices, Shipping Papers, Debit St Credit Documents, Consignment Records, etc. 5. Sales Contracts St Agreements (See also "Contracts St Agreements") Sales contracts on approved printed Monsanto forms: . Company(Signature) copy in division files . Other copies Specimen copy of forms in division file Other contracts & related matters 5a. Trademark License Agreements - Use of Monsanto Trademarks by customers (See also "Contracts St Agreements") . Company copy in division files . Other copies 6. Material Exchange Agreements (Contracts) (See also "Contracts St Agreements", Item 3) . Company (Signature) copy in division file . Other copies -34- Total Retention Time s See "Financial Accounts Receivable", Items 9,10 See "Financial - Billing", Item 1 C+2,or less if not useful See "Financial - Billing" Items I -6, inclusive T(contract)t6 T(contract), or less if not useful S+5 See "Contracts St Agreements" T(contract)+6 T(contract), or less if not useful T(contract)*6 T(contract), or less if not useful 0689255 TOWOLDMONOOI2286 MARKETING, MARKETS, PRODUCTS & CUSTOMERS (Cont.) - ' Total 7. Customer Complaint Records Retention Time . Complaints adjusted, or resolved, without litigation in division file . Complaints litigated (see "Legal", Item 3) in all files 8. Product Quality Specifications . Company copy in division manufacturing department file . Marketing office copy . Other copies . C+1 CP(settlement) S+10 S+l S 9. Product Shipping Specifications . All copies S 10. Technical Sales Bulletins, Brochures, Product Catalogs, Etc., Supplied to Customers . Company copy inissuing office file S+10 . Company copyselected for trademark evidence in issuing office or Patent Department file T(trademark), or as needed . Other copies 11. Technical Data Concerning Products A Applications Pertinent to Marketing Necessary for Immediate Reference S All copies 12. Price Sheets, Bulletins, or Lists . Company copy in issuing office file . Other copies . Statistical records of pricing S, or while useful only S+10 S T(product)+5 -35- CONFIDENTIAL 0689256 TOWOLDMONOOI2287 MARKETING, MARKETS. PRODUCTS & CUSTOMERS (Cont.) 13. List Price Deviation Record - Evidence of Legality Total Retention Time . Company copy in issuing office file T(contract)+5 14. Product Guarantees on Approved Monsanto Printed Forms . Company (Signature) copy in division files 15. Statistical & Analytical Summaries of Sales Order or Sales Invoice Information - customers, products, regions, etc. Monthly . All copies Year-to-date . All copies Annual (Year-end) . Company copy in administrating office file . Other copies 16. Market Research & Development Projects A Advertising Research Projects T(guarantee)+6 C+1, or less if not useful C+l,or less if not useful C+5 C+l,or less if not useful Periodic Progress Reports: . Company copy in originating office file . Other copies Interim, or Final, Summary Reports: . Company A lending copies in originating office (or library) file . Other copies . Work papers A drafts Corporate Report Index CP(Project) 2 months C+5 2 months CP(report)+l S -36- comom 0689257 TOWOLDMONOOI2288 MARKl TIN(.. MARKLTS. PRODUC T$ & CUSTOMLRS (t ,11; ) ToijI Retention Time 17. Sn jiepies, Forecasts, Long Range Plans. Ltc. 18. Advertising Copy Proof or Sample: . Company copy in Marketing Services Dept, or other issuing office file . Other copies Log of Advertisements in Marketing Services Department file 19. Labels -- Identifying Monsanto products as shipped to customers . Company copy, all labels, in Distribution Department . Company copy selected for trademark evidence in Distribution Dept, (or Patent Dept.) . Other copies 20. Salesman Call Reports See "Planning Documents'', Items 5. 4,5 ' C+10 As "Correspondence'", Item 1,2, 3 or 4 C+25 Tflabel use)+10 T(trademark). or as needed Tflabel use) S -37 - 'Mima. 0609258 TOWOLDMONOOI2289 MEDICAL, HEALTH & ENVIRONMENT RECORDS l. Employe Medical History Records accessible to medical staff only General Office & other locations with company operated medical facilites: . Company copy in medical facility file Locations utilizing retained medical facilities: . Company copy in physician's or medical facility file -or- . Company copy in sealed record (open only by physician) at office location if medical facility cannot retain Employe X-Rays Files available to physicians only . Files in all locations Radioactivity - Radio-Active Materials . Records required by an AEC license to receive, possess, use, ship, transfer process, etc., radioactive or nuclear materials - classified or unclassified records. Company copy at locations where license is operative . Employe exposure records as required by AEC or other (state, federal, municipal) agencies. Company copy in involved location file . Records required by agencies other than AEC - federal, state, municipal. Company copy in involved location file 4. U.S. Treasury Department Alcohol Permits All Necessary Reports . Company copy in administrating office file -38- Total Retention Time T(employment)+5 T(employment)+5 T(employment)+S C+5 Indefinite (Until disposal is specifically authorized by AEC) T(employment)+15 (Or as required by regulating agencies. No disposal before 1971 under AEC regulations.) As required by statute or regula tion. C+5 C0NFBENT1AI 0689259 TOWOLDMONOOI2290 MEDICAL, HEALTH & ENVIRONMENT RECORDS (Com.) 5. Narcotic Records -- All necessary orders, invoices, inventory or dispensing . Company copy in administrating office file Toxicology Data & information For products, product application, manufacturing processes, etc. - assembled for sales guidance, manufacturing assistance, regulatory agency activity, etc. . Medical Department file . Division file . Other copies Pollution Control Regulations, procedures, analytical & sampling methods. . Company copy in responsible office file (division, plant CED Technical Informa tion Center or other) . Other copies Data collected to demonstrate compliance with regulations -- federal, state, county, municipal . Company copy in responsible office file (division, plant or other) . Other copies Data collected for engineering analysis, engineering design, etc. . All copies Total Retention Time C+2 T(product)+5 T(product)+5 As "Correspondence' Item 1,2, 3 or 4 S+10 S C+10 C+l CP(project)+l MWfTIM 068^26 TOWOLDMONOOI2291 PATENT, TRADEMARK & COPYRIGHT RECORDS Pertaining to preservation of know-how and other industrial property rights. I. Patent Disclosures . Company copy in Patent Department file If patent application filed If no application filed . Other copies 2. Patent Applications & Interferences . Company copy in Patent Department file Issued patents Abandoned applications - if not parent case* . Other copies - issued or abandoned 3. Patent Assignments 4. Patent Studies & Searches . Company copy in Patent Department file For novelty For infringement & validity For state of the art . Other copies all searches 5. Technology Pertinent to Patent Activity . Processes, products, and other technical information files in Patent Dept, file -40- Total Retention Time Same as Patent Application 2. below C+1S AR While useful CP(pat. issue)*25 AR CP(aband.)HO AR CP+2 Same as Patent Application 2. above Same as Patent Disclosure, 1. above C+20 CP(search)+10 While useful C+25 CONFKH77AL 0689261 TOWOLDMONOQ12292 PATENT, TRADEMARK & COPYRIGHT RECORDS (Corn.) 6. Trademark & Copyright Registrations And related proceeding records . Company copy in Patent Department file 7. Trademark Searches . Company copy in Patent Department file 8. Trademark Evidential . Labels, invoice copies, etc., as requested by Patent Department . Company copy in originating office file or Patent Department file as arranged 9. Submitted Ideas Ideas & inventions from outside inventors . Company copy in Patent Department file . Other copies 10. Release from Outside Inventors . Company copy in Patent Department file Other copies 11. Contracts & Agreements - Patents, know-how, secrecy, consultants, etc. Total Retention Time Tfregist ration) CP(search)+25 T(trademark) C+40 While useful only C+40 While useful only See "Contracts & Agreements", Items 1,7,13 -41 - ** ./Will 0689262 TOWOLDMONOQ12293 PERSONNEL & PAYROLL 1. Employment Records Salaried Personnel Identity & history records: application, employment contract, salary increases, history of promotion and transfer, termination record For employes With Vested Benefits: . Company copy (original) in Central Personnel/Payroll Department file . Local copy in division/department file as needed For Employes Without Vested Benefits: (Employed less than 9 yrs. 6 mos.) . Company copy (original) in Central Personnel/Payroll Department file Termination under 45 yrs. of age Terminationafter age 45 . Local copy in division/department file as needed 2. Benefit Records - Salaried Personnel Vested interest in pensions, insurance, stock option, contracts, etc. . Company copy in Central Personnel/Pay roll Department file . Local copy in division/department file as needed 3. Employment Records - Wage Personnel Identity & history records: application, employment history, termination For Employes with Vested Benefits: . Company copy (original) in division or location file . Other copies -42- Total Retention Time Until employe is age 80 T(employment)+5, or less if not useful Until Employe is age 59 T(employment)+10 T(employment)+5, or less if not useful T(vested interest)+6 T(employment) Until employe is age 80 T(employment) 0689263 TOWOLDMONOOI2294 PERSONNEL & PAYROLL (Cont.) For Employes Without Vested Benefits: (Employed less than 9 yrs. 6 mos.) . Company copy (original) in division or location file Termination under 45 yrs. of age Termination after age 45 4. Benefit Records - Wage Personnel Vested interest in pensions, insurance, stock option, etc. . Company copy during employment in division or location file . Company copy after termination in Central Personnel/Payroll Dept, file 5. Medical Records, X-Rays, Radiation Exposure 6. Lists of Employes & Descriptive Information Concerning Employes Skills inventory, addresses, memberships & affiliations, distributions, and other factual information (not employment or benefit record) . All copies , 7. Employe Time Cards, & Related Schedules,Wage Rates, Etc. . Company copy in file of responsible office 8. Cancelled Payroll Checks & Check Registers . Originals in file of responsible office 9. Employe Tax Records Federal Income: . W-4 form (original) in responsible office file . W-2 form (copy) in responsible office file . 1099 form (copy) in responsible office file -43- Total Retention Time Until employe is age 59 T(employment)+!0 T(employment) with transfer of file to Company copy file T(vested interest )+6 See "Medical", Items 1,2,3 S C+3 C+3 S+4 C+4 C+4 0689264 TOWOLDMONOQ12295 PERSONNEL & PAYROLL (Com.) State & Local Income or Earnings, all records in responsible office file 10. Authorizations for Payroll Deductions - other than tax . Company copy in responsible office file 11. Labor Contracts - Work Papers & Negotiation Records (Also see "Contracts & Agreements") . Company copy in division or location file . Other copies 12. Local Wage Job Records Bid sheets, seniority lists & other records of contract compliance . Company copy in division or location file . Other copies 13. Wage & Salary Rate Schedules . Company copy of published or posted statements or representations in issuing office file . Other copies 14. Personnel Policy Opinions & published representations Personnel Administration Manual & other company bulletins: . Company copy in Central Personnel Department file . Other copies Employe Benefit Plans - other than pension: . Legal background & opinions in Law Department file . Published representations: Company copy in issuing office file Other copies -44- Total Retention Time C+4 (unless longer required by sta(ute) S+2 T(contract)+20 T(contract)+20, or less if not necessary T(contract)+20 While useful only S+25 S S+10 S S+25 T(plan)+25 As "Correspondence", Item 1,2,3 or 4 comniAi 0689265 TOWOLDMONOQ12296 PERSONNEL & PAYROLL (Com.) Pension Plans: . Legal background & opinions in Law Dept, and/or administrating office file . Published representations: Company copy in issuing or adminis trating office file Other copies 15. Payroll Distribution Records Journal entries: . Company copy in division accounting department file . Other copies Payroll Department work papers 16. Tax Summary Reports . Company copy in responsible accounting department file . Other copies 17. Statistical, Analytical, Administrative Reports Of Employment . Company copy of continuing statistics reports in Central Personnel/Payroll Department file . Division/department/plant statistics . for local use . Other copies 18. Conflict of Interest Certification By company personnel . Company copy (signature copies of statements) & related records in file of responsible office . Other copies 19. FICA (Social Security), Federal Unemployment, State Unemployment Taxes 20. Salaried Job Descriptions . Company copy in issuing office file 21. Medical Benefit Records -45- . Total Retention Time 10 yrs. after death of last beneficiary 10 yrs. after death of last beneficiary As "Correspondence". Item 1,2, 3 or 4 C+10 AU(tax) C+2, or less if not useful C+6 AU(tax) C+6 AU(tax) C+2, or less if not useful C+50 C+20 C+l C+10 C+l See `Tax" S+3 See "Insurance". Item 5 0689266 TOWOLDMONOOI2297 PLANNING DOCUMENTS 1. Appropriation & Retirement Requests For Executive Committee & Board Action (Above General Manager approval) . Company copy of approved requests in Controller's Office file . Originating division or staff department copy & work papers of approved & unapproved requests . Corporate Planning & Evaluation copy & work papers of approved & unapproved requests . Board of Directors & Executive Committee individual copie . Other copies of approved & unapproved requests 2. Appropriation & Retirement Requests At General Manager Level 3. Long Range Plans -* . Originating division or staff department copy, work papers & related files . Corporate Planning & Evaluation copy, work papers, & related files of summaries & evaluations . Other copies, including summaries & evaluations 4. Strategies - Product, Industry, Market, Customer, etc. . Company copy & work papers in originating division file . Corporate Planning & Evaluation copy . Other copies S. Forecasts - Sales, Market, Economic, etc. . Company copy in originating or sponsoring office file . Other copies Total Retention Time C+25 CP(project)+10, or less if not useful C+5, or less if not useful While useful C+l,orless if not useful See "Financial Capital Expenditures", Item 34 S+5 S+5 S, or less if not useful S+5 S+l S, or less if not useful S+5 S, or less if not useful -46- 0689267 TOWOLDMONOQ12298 PURCHASE RECORDS Total Retention Time 1. Contracts, Agreements, Leases, Purchase Orders See "Contracts & Agreements" 2. Purchase Requisitions Company copy in purchasing department file Same as purchase order, or less if not useful . Other copies CPfpurchase) 3. Technical & Commercial Information Pertinent to Purchasing - Specifications, Shipping Require ments S, or while useful only 4. Vendor Lists, Vendor Information, Vendor Catalogs, Etc. S il 5. Purchasing Statistics 4 Company copy in Central Purchasing Department file Monthly & Quarterly C+l Annual C+10, or less if not useful Other copies C+l, or less if not useful -47 0689268 TOWOLDMONOOI2299 REAL ESTATE 1. Deeds, Titles, Policies, Abstracts And related documents . Company copy in Treasury Department or Treasury Dept, designated file . Other copies 2. Leases . Company copy in Treasury Department or Treasury Dept, designated Hie . Other copies 3. Tax Documents 4. Employe Housing Activity Records . Company copy in Central Personnel file . Other copies 5. Legal & Tax Opinions Total Retention Time T(ownership)+10 T(ownership), or less if not needed T(lease)H0 T(lease), or less if not needed See "Tax", Item 4 T(activity)*5 T(activity), or less if not needed See "Legal", Item 2, & "Tax", Item 2 -48- 0689269 TOWOLDMONOOI2300 SCIENTIFIC & TECHNICAL RECORDS *1. Records & Indexes of Experimental Work All original records of scientific, technical and engineering ideas, experimentation or investigation, whether as bound notebooks, log books, data sheets, etc. Original in research laboratory, research office or designated repository Microfilm: . Company copy from all Monsanto Co. & subsidiary labs in CRD Information Center file . Local copy in lab, library, or technical information center (jurisdiction of Research Director) file *2. Evidential Record Essential to Substantiate. Validate or Supplement Experimental Record (e.g., Notebook Entries) - material specifi cations, drawings, calculations, analysis & test data, minutes, correspondence, affidavits, purchase orders, invoices, etc. . Original, or validated copy, in or maintained with notebooks to every extent possible . Microfilm copy in same reel with pertinent notebook 3. Experimental Samples Embodying Innovations of Patent Significance New Chemicals, products, material assemblies, prototypes, etc. - when feasible in light of safety requirements, permanence, etc. *4 Record & Index of Experimental Samples Pertaining to preparation, identification, analysis, testing, evaluation, distribution, etc., of: . New material - chemicals, products, assemblies, prototypes, etc. . Improved products - initial preparation in labs, pilot plants A. plants See "Uniform Notebook Practices." -49- Totai Retention Time CP+35 C+50 C+50, or less if not useful CP+35 C+50 C+40 Record & schedule same as Item l.and Item 2. above confidential 0689270 TOWOLDMONOQ12301 SCIENTIFIC & TECHNICAL RECORDS (Corn.) . New processes - initial product from lab, pilot plant & plants . Materials supplied to customers, government, or other outside party for testing or evaluation . Materials received - from outside parties for testing or evaluation 5. Sample Recording Control (SRC) Physical-Chemical data of new research materials . Original copy of sample announcement and updating or extending information in CRD Information Center file . Microfilm in CRD Information Center file . Microfilm in other libraries & informa tion centerr *6. Experimental Project Planning Recording inception, intent, continuity and relationship of experimental & developmental projects - minutes, plans, memos, etc. . Company copy in originating office file if not notebook record . Patent Department copy in patent disclosure & application file . Other copies 7. Experimental Project Reports All labs, pilot plants and other experimental facilities Periodic Progress Reports: . Originating office copy . Company copy, all reports, in CRD Information Center file See "Uniform Notebook Practices." -50- Total Retention Time C+35 C+SO C+50, or less if not useful C+20 See "Patent, Trademark & Copyright", Item 1 As "Correspondence", Item 1,2,3 or 4 Until interim or final report With interim or final report 0689271 TOWOLDMONOOI2302 SCIENTIFIC & TECHNICAL RECORDS (Corn.) Total Retention Time . Patent Department copy As "Correspondence' Item 1.2, 3 or 4 . Division and/or local library or technical information center copy . Other copies Interim or Final Reports: With interim or final report As "Correspondence" Item 1,2, 3 or 4 . Originating office copy, work papers & drafts C+I . . Company & circulating copy, all reports, in CRD Information Center file . Division and/or local library or informa tion center file . Other copies Engineering Technical Reports Technology of value, not specific capital addition or improvement project . Company & circulating copy in CED Technical Information Center file . Originating office copy, work papers & drafts . Other designated local library or technical information center file Original C+35 Microfilm C+SO C+35, or only while useful 2 months C+35 CP+1 C+35, or less if not useful 9. Facility Project Engineering Manual Description, design, instructions, etc., for capital addition, improvement projects Installed Projects & Any Subsequent Revisions: . Company copy in CED Technical Information T(facility)+10 x , Center file . Division and plant copy T(facility) . Other copies (Construction) CP(facility)+l Abandoned Projects: . Company copy in CED Technical Informa tion Center (if project report assembled) file . Relevant work papers if project report not assembled T(project)+10 T(project)+5 -51 - comm. 0689272 TOWOLDMONOOI2303 SCIENTIFIC & TECHNICAL RECORDS (Coni.) 10. Facility Engineering Drawings . Company File of tracings, microfilm or copies in CED Technical Information Center, division, or plant file . Other copies . Patent Department copy as necessary in disclosure, application, etc., file 11. Process or Facility Operating Manuals . Company copy in responsible office (division, plant, CED Technical Information Center, or other) file . Other copies 12. Facility Equipment & Machinery Information & Data (Non-Accounting Property Record) - Source, technical data, parts lists, maintenance instructions, operating history, etc. . Information concerning installed (and spare) equipment in plant, lab or other office file as necessary . Vendor catalogs, brochures, quotations, etc. 13. Product Project Engineering Manuals Description, design, instructions, etc., for manufacture of fabricated, or assembled, products . Company copy in responsible office file (division, plant, information center, or other) . Other copies 14. Product Engineering Drawings . Company copy of tracings, prints, microfilm in responsible office (division, plant, information center, or other) file . Patent Department copy as necessary in disclosure, application, etc., file Retention Time T(facility)+IO T(faciiity), or less if not useful See "Patent, Trade mark & Copyright", Item 1 S+20 S T(facility) S T(product)+10 T(product), or less if not useful . T(product)+10 See "Patent. Trade mark, etc." Item 1 -52 comuiwi 0689273 TOWOLDMONOOI2304 SCIENTIFIC & TECHNICAL RECORDS (Cont.) . Other copies 15. Technical Information St Data For research, engineering, development assistance - not specific to Monsanto project, facility, product, or proprietary know-how, and not library material . All copies 16. Speeches St Papers 17. Scientific & Technical Society Participation . Personal interest . Company assigned interest 18. Computer Activity 19. Patent Activity 20. Know-How Acquisition 21. Consulting Agreements Total Retention Time T(product), or less if not useful S, or while useful only See "Communications", Item 4 As needed by individual As "Correspondence", Item 1,2,3 or 4 See "Computers St Data Processing" See "Patent, Trade mark St Copyright" See "Contracts St Agreements", Items 1,12, See "Contracts St Agreements", Items 1 St 12 -53- 0689274 TOWOLDMONOOI2305 SHIPPING & TRANSPORTATION 1. Leases Shipping, storing & transportation equipment cars, trucks, barges, ships, containers, tanks, warehouses, tracks, etc. . Company copy in Distribution Dept, file . Law Department copy . Other copies 2. Transportation Equipment & Facility Records Specifications, drawings, technical data, etc. owned or leased equipment . Company copy in Distribution Dept, file . Other copies 3. Technical Data, Specifications & Other Informa tion Concerning Products & Raw Materials Pertinent to Distribution . Distribution Dept, or other responsible group file 4. Rate, Route, Classification Negotiations For establishment or adjustment - federal, state. county, municipal - of freight movements . Company copy in Distribution Dept, file . Other copies 5. Operating Authorities From federal, state, county & municipal agencies . Company copy in Distribution Dept, file . Other copies 6. Tariff Schedules Interstate, state & municipal . Company copy in Distribution Dept, file . Other copies 7. Rate-Route Files Cards, master files, etc. -54- Total Retention Time T(lease)+6 T(lease)t-6. or less if not useful T(lease)H,or less if not useful T(equipment)+6 T(equipment), or less if not useful S T(movement)+6 T(movement), or less if not useful T(authority)+3 T(authority), or less if not useful S+3 S,or less if not useful CONFIDENTIAL 0689275 TOWOLDMONOQ12306 SHIPPING & TRANSPORTATION (Corn.) . Company copy in Distribution Dept, file . Other files 8. Bills of Lading Company copy: . Domestic in responsible office file . Export in responsible office file Other copies, if retained: . Domestic in any file . Export in any file 9. Claims, Freight Charges Over/under charges under legal tariffs . Original claim card . Company copy in Distribution Dept, file . Other copies 10. Claims, Damage - to shipments, to property, and monetary other than 9. above . Original Claim card . Company copy in Distribution Dept. File . Other copies 11. Shipping Notices (See "Financial", Item 2) . Company copy in Billing Dept, file . Other copies 12. Receiving Reports . Company copy in Accounts Payable voucher file . Other copies -55- Total Retention Time S+3 S, or less if not useful C+3 C+3 AU(tax) C+3, or less if not useful C+3, or less if not useful C+6 AU(tax) CP(settlement)+3 CP(settlement) C+6 AU(tax) CP(settlement)+3 (settlement) C+2 C+2,or less if not useful C+6 AU(tax) C+2, or less if not useful 0689276 TOWOLDMONOQ12307 SHIPPING & TRANSPORTATION (Cont.) 13. Freight Payment . Company copy in Accounts Payable voucher file . Other copies 14. Statutes A Regulations Governing Transportation, Also Opinions & Other Records of Guidance . Company copy in Distribution Dept, file . Other copies 15. Duty Drawback Claim - records concerning manufacture, sale, shipping of material manufactured from duty-paid raw materials . Company cow in office administrating claim 16. Materials Manufactured A Shipped Under Food & Drug Administration (or other agency) Control Total Retention Time C+6 AU(tax) C+3, or less if not useful . S+6 S, or less if not useful CPfclaim payment)*3 See "Manufacturing," Item 13 0689277 TOWOLDMONOQ12308 TAX 1. Federal Corporate Income Tax Copies of returns, agent reports, waivers of statute of limitations, work papers, etc. . Company copy in Treasury Dept, file . Other copies 2. Tax Rulings A Opinions . Company copy in Treasury Dept, file . Other copies A excerpts 3. Disqualifying Stock Disposition Cards . Company copy in Treasury Dept, file 4. Real Estate A Personal Property . Company copy in Treasury Dept, file Returns Valuation data Tax receipts . Other copies 5. State Income A Franchise Tax Records Returns & work papers . Company copy in Treasury Dept, file . Other copies 6. Sales A Use tax Records Company copy in Treasury Dept. File Returns Tabulations Exemption Certificates Other copies -57- Toial Retention Time C+100 While useful only S+25 As "Correspondence", Item 1,2,3 or 4 C+5 AU(tax) C+50 C+20 C+50 While useful only C+100 While useful onl- C+50 C+6 T(exemp.)+5 While useful only 'Winn/T! 11 0689278 TOWOLDMONOQ12309 TAX (Corn.) 7. Federal Personal Income Tax Records On Forms W-2, W-4,1099 A related records 8. State A Local Personal Income or Earning Tax Records '' 9. FICA (Social Security) Records . Company copy in Treasury Dept, file Detail Return 10. Federal Unemployment Tax Return . Company copy in Treasury Dept, file 11. State Unemployment Tax Return . Company copy in Treasury Dept, file 12. Tax Opinions, Studies, Etc. For acquisition, merger, employe benefit programs, pensions, etc. . Company copy HI Treasury Dept, file . Other copies A excerpts 13. Federal Lubricating Certificates . Company copy in Treasury Dept, file 14. Inspection Fee Returns . Company copy in Treasury Dept, file 15. Federal A State Gasoline. Motor Fuel A Lubricating Oils Tax Returns . Company copy in Treasury Dept, or other originating office file 16. State Oil A Gas Production A Severance Tax Returns . Company copy in Treasury Dept, or other originating office file -58- Total Retention Time C+4 C+6 C+10 C+50 C+50 C+50 S+25 As "Correspondence", Item 1,2,3 or 4 T(exemp.)+5 C+6 C+50 C+50 CONFIDENT!*! 0689279 TOWOLDMONOQ12310