Document QgdLxmYGQv77mvxDJNxory5L

HWBUI0002247 Honeywell July 1,2002 Honeywell's corporate-wide Records Retention Policy is to keep records that we need for as long as we need them for business or legal purposes. This also means that we keep only the records that we need only for as long as we need them. To that end, the updated Records Retention Guidelines give the specific retention periods for various categories of records. Please note that the Guidelines apply to all records. "Records" include all documents, notes, diagrams, correspondence, e-mail and other electronically stored material, and other business records regardless of where they are located or stored, including those stored in a desk drawer, office, file cabinet, record center, hard drive, personal computer or lap-top, or off-site location. E-Mail requires particular attention as unrestrained e-mail can tax the storage capacity of our computers. The maximum retention period for e-mail is 30 days. But much, if not most, e-mail can be deleted immediately. E-Mail that is needed beyond 30 days should be transferred to a computer file or printed as hard copy and may be kept in that form in accordance with the Records Retention Policy, Your help is also needed to reduce the other documents that pile up in our file drawers, record centers and warehouses, as well as data banks. Please help by following these three common sense principles: 1. Eliminate drafts once the final version has been reached. 2. Discard or delete copies of broadcast memos or messages as soon as they have outlived their usefulness - which is usually right after they have been read. 3. Properly identify records by Department Ownership, Description and Destruction Review Date before forwarding to a record center or storage room. This assures compliance with the enclosed Records Retention Policy and Guidelines and enables future retrievability. Remember that certain records must be retained, including records related to any ongoing, threatened or anticipated litigation or government audit or investigation and any other records for which the Law or Tax Department suspends destruction. Thanks for your help. Peter M. Kreindler Senior V.P. & General Counsel Lany Kittelberger Senior V.P. and Chief Information Officer HWBUI0002248 TABLE OF CONTENTS Introduction The Corporate Records Retention Policy Retention Codes RECORD CATEGORIES: Administration / Operations Business Organization Engineering Finance Health, Safety, EnvironmentatiM!.'R^m#iaiation Human Resources/Benefits Law Manufacturing / Production Marketing / Sales : Purchasing / Materials Management T^O^rResearcn / Development : Shipping / Transportation : Records Glossary - Acronyms Records Glossary - Records Management Terms i iii iv 1 3 4 6 11 15 19 21 23 26 27 28 29 31 HWBUI0002249 INTRODUCTION These Record Retention Guidelines establish the world-wide retention periods for all of our "records" - - "Records' include all documents, notes, diagrams, correspondence, e-mail and other electronically stored material, and other business records regardless of where they are located or stored, including those stored in a desk drawer, office, file cabinet, record center, hard drive, personal computer or lap top, or off-site location. The Guidelines are consistent with Honeywell's Records Retention Policy, a copy of which follows. For ease of use, the Guidelines are organized by broad categories, which are subdivided alphabetically. When records with varying retention periods are filed as a unit, the retention period is that of the document with the longest retention requirement. Records stored for extended periods should be reviewed periodically to assure that they remain in accessible and usable condition, particularly records created on or converted to electronic media with long retention periods. When the end of a retention period is reached, the "owner" of the record will be notified of the impending destruction date. After a 30-day period for review and unless otherwise instructed, the destruction will proceed as indicated by the Guidelines. From time to time the Law and Tax Departments may suspend the destruction of certain records because of ongoing, threatened or anticipated litigation or government audit, claim, inquiry or investigation. Any questions concerning whether records are related to any such proceeding should be raised with the lawyer assigned to your business or the Deputy General Counsel Litigation. It is the responsibility of the records "owner" to identify the affected records to be retained until further notice. In addition, Tax and Controllers' records are not to be destroyed without approval from the Tax Department. Records of little or no ongoing importance (which includes most E-Mail) should be eliminated immediately after their initial review. E-Mail that needs to be retained beyond the maximum 30-day retention period should be removed from E-Mail and transferred to a computer or hard-copy file, in which form they may be retained in accordance with the Records Retention Guidelines. Similarly, only final, approved files should be submitted to a records center, eliminating information copies, drafts and other unnecessary materials. Additionally, records centers will not accept records for storage unless properly identified by department ownership, description and destruction review date. Certain businesses may require individualized record retention guidelines. Such guidelines need the prior approval of the Law Department to assure consistency with Honeywell's Record Retention Policy. Questions and suggestions should be addressed to Global Business Services' Records & Information Management Group or Honeywell's Law Department. Copies of the Guidelines are available from Records & Information Management or on the Intranet at http://mvhonevweH.comMnirindex.isp. HWBUI0002250 Policy 105 [Title: [Records Retention Policy [Supersedes: [[Date: [May 1997 [June 2002 I. It is the policy of the corporation to generate and retain only those papers, records and electronic data that are required for the effective running of our businesses and to meet our obligations to employees, customers, suppliers, shareholders and government authorities. Everyone who generates, receives or stores papers, records and electronic data at any Honeywell location is responsible for implementing this policy. "Records" include all documents, notes, diagrams, correspondence, e-mail and other electronically stored material, and other business records regardless of where they are located or stored, including those stored in a desk drawer, office, file cabinet, record center, hard drive, personal computer or lap-top, or off-site location. II. The purpose of this policy is to increase productivity and save costs by reducing the amount of information stored and the time spent retrieving required information from a morass of duplicative and other unnecessary papers, records and electronic data. III. To carry out this policy: a. Only the originator of information should keep a record copy; copyholders and courtesy distributees should not retain their copies. b. Once a document has been finalized, drafts should be discarded. c. Non-essential documents that do not require acknowledgment or follow-up and are not required for the conduct of business should be di scarded. d. Offices, file rooms and records retention centers will retain or discard documents in accordance with the Records Retention Guidelines approved by the Law and Tax Departments. e. All offices are encouraged to have an annual "File Day" when files not needed for day-today operations are culled and only necessary materials are forwarded to records retention centers for storage in accordance with the Records Retention Guidelines. f. Electronic records, including e-mail or other records saved computer or hard-copy files, microfilm and microfiche will be retained in accordance with this policy and the Records Retention Guidelines. IV. Records Retention Centers will discard records without further approval when the applicable retention period has expired. HWBUI0002251 V. No records should be discarded if they are related to any ongoing, threatened or anticipated litigation or government audit, claim, inquiry or investigation. Any questions concerning whether records are related to any such proceeding should be raised with the lawyer assigned to your business or the Deputy General Counsel - Litigation. Similarly, tax records and audited financial statements may be discarded only after approval by the Tax Department. VI. The Records Retention Guidelines consistent with this policy providing retention schedules by categories of documents is available at http://my.honeyweII.com/rim/index.isp or from the Law Department. All officers and records retention centers will be guided by those Guidelines or such other instructions consistent therewith as may be approved by the Law and Tax Departments. HWBUI0002252 The Feu.owa Aatmsv'i&TtoRs or Codes abs umt> m rm %muHm% C While Current, Active or in Effect: i.e., until outdated, Revised or Superseded Example: C + 2 means retain while current + 2 years CY Current Year P Permanent S After Settlement; UntilExpiration of Last Obligation T Termination X Tax Department Approval Required for Destruction HWBU10002253 Records Categories ADMINISTRATION / OPERATIONS Activity Reports Monthly Year End Agenda/Scheaule: : Associations/Memberships Books, Informational and Technical Cafeteria Calendars Catalogs (vendor) Chronological'Files Committee Meetings, Minutes Consultants' Agreements Correspondence E-Mail (effective 7/1/2002) Equipment Instructions/Service Expense and Budget Statements (Departmental) Library Management ArticlesT: Meetings - Planning/Strategy Administrative^ Organization Charts Power of Attorney Procedures (see also Engineering, Manuals) Project Management Record Destruction Certificate Reports Record Retention Schedules ___ Special Studies Supplies Warranties on Purchased Products G 3 CY 3 G 2X CY C C C C +6 7 30 Days C 6X C C 2 1 10 C +6 C 2 10 P 4 CY C+9 'f &cuj/fUes / Building Drawings P BuildihgCiperation/Test Reports-3 Building Specifications, Originals P ^LLTY^^-T-Mamtenarice- : ' " Equipment History P Maintenance: Billing Report CY+ 1 Preventive Maintenance P WorkiOrders 6 Retention Cooes: C- White Current, Active or in Effect; S= Attar Settlement: P= Permanent; CY= Current Year; T= Termination; X= Tax Departrifent approval required HWBUI0002254 Records Categories iL Administration / Operations PAOIUTISS / f'<3frfV| Meter Readings, Applications Occupancy Report Plant Layout Scrap Materials Telephone Closet Wiring Diagrams Electronic Data Processing Documentation Design, maintenance, programs Equipment Leases Equipment Repair Software Software Maintenance Plans Pw&Lfc Btiumzms / Pvmjc Bulletins / News Releases / Publications Clippings Clippings, Historical Photographs, Historical Materials; Speeches Si Disaster Plan Investigations, Threats and Incidents :: . Personnel Security Clearance Plant Clearances Security Correspondence Security Programs :: . : Visitor Logs 6 C+3 P 2 C C : :-T-. ; 3 Cr6X C 7 10 P P 1 C+4 T+6 T+5 C*3 C+6 C+2 t Retention Codes: C- While Current, Active or in Effect; CY= Current Year: S= After Settlement; T- Termination; P= Permanent; X= Tax Department approval required HWBUI0002255 Records Categories BUSINESS ORGANIZATION Minutes (see Board of Directors) Officiaf::Docume:ntS: : Transcripts of Background Material Board and Committee Minutes;: Certificate Record Book Company Seal Stock Certificates Bourn | Atm Sgcsuamt#, Stocks| Canceled Indemnity (lost stock certificates) Interest Coupons, Paid/Unpaid Ledgers Registers Sales prTransfers : Stubs <sr I 'ftco &fati<j h Contributions :::: MJ ri rites:: : Wimmz. Boosts (see Board of Directors) Smztmmm Ledgers Listing Application Options Purchase and Sales Registration Warrants : fiurAtm Put If P P P P P P P C T+ 10 P 7 10 P P P P P P 7X P P P P P P P Retention Cooes: C- White Current, Active or in Effect; S- After Settlement, P= Permanent; CY- Current Year; T- Termination; X= Tax Department approval required HWBUI0002256 Records Categories ENGINEERING Acceptance Test Procedures and Results Blue Prints, Drawings, Maps, Tracings Calculation Files, Project Certification/Qualification Documentation Cipher Books Completed Job Folders Completed Projects Reports Construction Estimates and Bids Successful Unsuccessful Contract Progress Reports Contractually Required Data and Documents Data Books (Site Records Of Environmental Cleanup) Design Manuals Site Drawings (Environmental Superfund Remediation Projects) Design Review, Minutes Designs Engine Assembly Reports Field Service Engineering Reports Formulas, Engineering and Technical Inspection Reports NDT, Customer NOT. Plant Plant Start-Up Production and Traffic Railcar Literature Log Books :: Manuals Information Systems and Procedures P P 30 P P 10 P .30 6 T+6 P 50 50 P P P 10 P 6 2 15 6 50 C .C C+6 Retention Codes: O" While Current, Active or in Effect: S- After Settlement; P~ Permanent; CY= Current Year; T= Termination; Tax Department approval required HWBUI0002257 < 00,00,0 o o h h o q Records Categories Engineering Manufacturing Engineering, Revision Authorization Logs Negotiation File Photographs, Engineering Related Planning and Progress Sheets Project Files Project Rians and Specifications - Abandoned Specifications Engineering.. Materials and Process Standards Test and Design Data Work Orders and Timekeeping Records Working Papers C C+ Retention Cooes; C- WPite Currant, Active or in Efieci; S- Attar Settlement: P= Permanent; CY= Currant Year; T- Termination; X= Tax Department approval required HWBUI0002258 Records Categories FINANCE Audit Reports and Work Papers _______________ 6X Co^iTaot Accounts Payable Vendor Invoices, ledgers, Cash Disbursements and all Pertinent Supporting Documents Wire Transfers 7X 10X Accounts Receivable Company Invoices, Cash Receipts, Credit Advices, Uncollected Accounts and all Pertinent SupportingDocuments 7X External Reporting Department of Commerce Reports Federal Reserve Bank Reports FTC Form M.G Report Hart Scott Filing (pre-merger SIC data) FOCI Certification to DOD and DOE (sales data) Government Reports SEC Form 10-K Form 10-K Work Papers Form 10-Q Form 10-Q Work Papers Form 11-K Shareowner Reports Annual Report Annual Report Work Papers Earnings Press Release Work Papers . Quarterly Report Quarterly Report Work Papers : 5 5 p 10X p 10 p 10X 3 ;i P 10 Fixed Capital Appropriation Requests and Related Supporting Documents 6X Property and Depreciation Records :ddC!:ii3Xd Retention Codes: C-- While Currenr. Active or in Effect: S- After Settlement: P= Permanent; CY= Current Year; T- Termination: X= Tax Department approval required HWBUI0002259 Records Categories Finance Control ICokt^) General Ledger Bank Reconciliation 6X Currency Transaction Entries 6X Employee Benefit Cost Records and all Pertinent Supporting Documents P Employee Expense Reports and all Pertinent Supporting Documents C + 6X Financial Schedules and Statements and Supporting Analysis Monthly Reports to Annual Reports P Inventory Records 10X Journal Entries, Account Ledgers, General Ledgers, Trial Balances and all Pertinent Supporting Documents p Government Contracting Contract Support Documents Disclosure Statements n:rt:h::.::h^-^Forecast;PropQ$alS: v Incurred Cost Proposals C + 7X C + 7X C + 7X C + 7X Planning Capital and Related Supporting Documents Forecasts {full year) Forecasts {monthly and quarterly) Operating Plan and Departmental Budgets Presentations to Board of Directors Presentations to Security Analysts Special Analyses Strategic Plan 3 5 3 3 3 5 3 3 Pension and Savings Plan Master Trust Statements, Performance and Strategy Reports, Investment Data and: all ".Pertinent Supporting^Documents 6X Acquisition Studies Acquisition Valuations: Disposition Proposals Disposition Studied 2 6 6 2 Retention Cooes: c* While Current. Active or in Effect: S^ Attar Settlement: P= Permanent; CY~ Current Year; T= Termination; X= Tax Department approval required HWBUI0002260 Records Categories Finance Risk ftfeKA&s&SKr / l*ssw&**es* Alchem Annual Reports Assurance Balance Sheets Interim Reports Policies Premium Statements, Periodic Automobile Accidents Auto Subrogation Claims/Reports Certificates of Insurance Correspondence General Renewal Summary Sheets Earned Premium Statements Insurance Policies Claims, Releases Aviation Miscellaneous Uability/Casualty, Miscellaneous Schedule of Insurance Premiums, General Property Fire Insurable Value Reports, Schedules Loss Control Reports Replacement Value Reports Surety Bonds, General P .. 7 7 7 S+7 6 S+7 P mm.: .......p' 10 P P T+ 10 P P 7 S+7 : S -*- 7 S+7 Retention Codes: C- While Current, Active or in Effect; S- After Settlement: P= Permanent; cy- Current Year; T- Termination; X= Tax Depattment approval required HWBUI0002261 Records Categories Finance Hi&K Mm.m.mmm'' / jta&uaMics Workers' Compensation Accruals Allocations Claims Metrics State Workers'Compensation:insurance 'f&m.a Employment - AH Returns Work Papers Excise - All Returns Work Papers Franchise - All Returns ; Work Papers Income - All Returns: -: Work Papers Payroll - All Returns Work Papers Personal Property - All i- ^Returns : Work Papers Real Property - Ali Returns Work Papers Sales - All Returns Work Papers Unemployment - All Returns Work Papers 30 7 7 30 7 10 PI 10X 10X 10X p 15X P; 15X 10X 10X 10X 10X P: 10X 1GX 10X 10X 10X Retention Codes: C- While Current, Active or in FIfact: After Settlement; P= Permanent: CY= Current Year; T- Termination; X= Tax Department approval required HWBUI0002262 Records Categories Finance Ifm&mm Debt Issuance and Ratings Reports Financial Reports on Cash Flow, Liquidity, Capitalization, Interest Charges, Income and Debt Composition Foreign Currency Management Reports Letters of Credit Stock ak Samm-swnm Capital Stock Applications for Issuance Certificates, Canceled Sales or Transfers Correspondence Official Routine Dividend Records Escheat Records Notes, Debt Instruments : Proxies, Voted Voting Lists S+6 3 6X C+6 P 10 P P 2 P P P C + 10 2 -Si'S Retention Codes: 0= While Current, Active or in Effect: S-- After Settlement; P= Permanent; CY= Current Year; T~ Termination; X= Tax Department approval required HWBUI0002263 Records Categories HEALTH, SAFETY, ENVIRONMENTAL and REMEDIATION Air Emission Inventories 5 Annual progress Reports - Waste Minimization Team 3 Reports Filed With an Environmental Regulatory Agency C+5 CMAfResppnsibie Care Submissions 3 Complaints (internal or external to company) 10 Consultant / Contractor Agreements C +6X Disclosure Documents - Sites Sold 50 Environmental Incident Reports 10 ERA violations 10 EPCRA Reports 7 Geological / Groundwater Maps 50 Hazardous Waste Manifests SO Monitoring Data Air, Drinking Water,: WasteWater T:'1 10 Groundwater 25 Permits Air/Water C +25 Waste ....................................................................................... C + 25 RCRA Financial Assurance 3 Training Records T +10 SARA Reports 7 Spill Reports Made to Agencies 5 Superfund: Records 50 TRI Form R's 5 Underground Storage Tank Financial Assurance 3 Waste Disposal Sites - Lists 50 -'WastePumhaseOrders/Transacfions 50 Calibration records - Pulmonary Function^Maehihes^andAudfometers 6 Employee Substance Abuse Screening Results T + 30 Epidemiology Studies 30 Medical Dispensary Records/First Aid Logs T + 30 Medical Records : Arsenic Exams (including x-rays) Ail Other than Arsenic (including x-rays) Longer of 40 or T + 20 T + 30 Retention Cooes: C -- While Current, Active or in Ffleet: S- Alter Settlement; P= Permanent: CY= Current Year; Termination; X= Tax Department approval required HWBUI0002264 Records Categories Health, Safety, Environmental And Remediation ..MM S*Ffi? / UmmimAi.. Health / to*.* Annual Program Audits Confined Spaces, Zero Energy, Line Breaking, Electrical Work C + 1 Annual Ventilation Surveys 2 Asbestos Negative Pressure Exposure Assessments 30 Contractor Safety Declarations and Contractor Training C+2 Correspondence with Safety Regulators C+5 Disaster Plans C+5 Emergency Drill Critiques C+1 Exposure Monitoring Records Arsenic, Lead, Acrylonitrile and DBCP Longer of 40 or T + 20 Other Air Sampling Results Noise Th-30 2 Fire Damage Reports C+5 Hazard Analyses - Robotics C+ 1 Incident Investigations Documentation C+5 Injury Frequency Reports Inspection Records - -LWM C+1 Emergency Use Respirators, Forklifts, Fire Extinguishers, Emergency Lighting, Safety Showers, Eyewashes, Housekeeping, Insurance Company Reports (e.g., Zurich, Global Risk) and Their Action Plans C+5 Machinery and Equipment Safeguarding Risk Assessments C+1 Needs Assessments for Safety Meetings and Safety Training Documentation . ' OSHA 200 Injury / Illness Logs C+5 OSHA Citations (Decisions, Settlements, Orders)-l 10 Permits - Confined Spaces, Hot Work, Line Breaking, Zero Energy C + 1 Process Safety Reviews, Pre-startup Checklists: Radioactive Source Disposal Records P Radioactive Source inventory:: 2 Radioactive Source Leak Tests C+ 30 Radioactive Source Licenses P Regulatory - Required Safety or 1H Training Attendance and Course Content - T + 10 (e.g., Hazcom, Respirators, Noise, Forklifts, Confined Space) Respirator Fit-Test.Results 5- Safety Meeting Attendance C + 10 Safety Metric-Reports and Summaries .5 12 Retention Codes. C= While Current, Active or in Effect; CY= Current Year; S- After Settlement: T- Termination; P= Permanent; X= Tax Department approval required Records Categories Health, Safety, Environmental and Remediation ijwrt i iNOUvrsiAi. BKAurtt / Loss |Oe*4T') Workers Compensation Accruals Allocations and Metrics Workers Compensation Claims Workplace Hazard Assessments for PPE \ Pi moo i;4. 7 30 C+5 Annual Audit Schedules Assurance: Letter Submissions Audit Metrics and Summaries Board of Directors Reports: ; : Draft Audit Reports Final Assurance Letter Submitted to;;CRC Final Audit Reports 50 C 5 5 When fi nal report issued 5 7 Administrative Consent Orders / Decrees Check-Requests, Invoices, WireitransfehCopies Contracts Due Diligence Files Executive Settlement Approvals Site Assessments : Superfund and Remediation Site Files 50 25 C+6 50 50 50 50 EPA : Section 8(a-e), Sections 5,: 12,: 13, PMNBecords PMN/NOC FIFRA ::: : Records - All MSDS Honeywell Vendors PEL Committee Decisions and Supporting Records PIC Minutes Product. Information; Product Labels 10 10 w. p p p p 30 P Retention Cooes: C~ White Current, Active or in Effect: S~ After Settlement; P= Permanent; CY= Current Year; T= Termination; X= Tax Department approval required HWBUI0002266 Records Categories Health, Safety, Environmental and Remediation S%B0SMj&T SarrFY / TRAC Minutes TSCA Files Toller Evaluations / Questionnaires Toxicology Studies and Reports Project Files ........ Protocois and Reports Manuscripts Litigation Files Retention Codes: O While Current, Active or in Effect; S= After Settlement: P= Permanent: CY= Current Year; Ta Termination: X= Tax Department approval required HWBUI0002267 Records Categories HUMAN RESOURCES/BENEFITS Appusaht foLOW Statistics 6 Applications / Enrollment / Elections Group, Health and Accident insurance Claims - Open Basic Hospital Inactive Medical Self Insurance Contributions, Employer Disability and Sick Benefit Records::;-.-;-: Distributions Government.Filings Insurance Booklets T+3 C+6 C+6 C+6 20X T + 50 T+50 P C+6 Pension and Welfare Plans, Retirement Plans, Reports/Disclosures :-///Actuates: ReportA/aluation 30 Annual Report P ::::Annoa) iReport Work Papers/and-Schedules- P Deduction Control Records P //-Employee. Records ; / i::;/:/;/'N Plan Documents P t/ Statements - Participant / P Trust Fund Report P Reports, Benefits Accounting Account Status Reports Benefit Payments Close Out Edits, Final Expens.e.Alldcations; Financial Control Reports /.-Internal Billing . Loan Status Reports Participant Files . Plan Accounting Reports (Plan Allocations) PlaniGontribution, Forfeitures and Loan (CFL) Reconciliations 10 10 10 10 10 10 10 10 T + 50 20 20X 10 Retention Cooes: C = While Current, Active or in Effect; S- After Settlement; P= Permanent; CY~ Current Year; T= Termination; X= Tax Department approval required 1 HWBUI0002268 Records Categories Human Resources / Benefits Hgpoars, Sswame Accounting fCoHY*$ Re-edit .Rflvinrtc Pinn Ratan^fse: Roroi'rl ITASrtAf R^rinili! Savings Plan Processing Trnct Pi inri .Qfafi ic Unit Value Worksheets Withdrawal Retiree Benefits Annuitants Reports HMO Billings Group insurance Deductions Supplemental and Unfunded Benefits (AF6 and AF7) 10 TT:+: 50 p 10 20 IQ 7 7 'T.irriiTfiiGti 10 Executive Compensation Executive Compensation-^Gheck Deposits; ^ Incentive Compensation, Plans, Awards, Deferred Incentive Compensation Payroll; Incentive Compensation, Restricted Unit Files, Awards Special Compensation Reports^ Stock Options, Plans, Agreements, Daily Trades SOPSE Consultants11 A&mmmmjs Em<z&ti&h Mm T Tuition Reimbursement/Educational Assistance Training and Development tit* , .. mat,?>. ftgi&rsoaie Foussss* / fesoo&cs S'iMMMmiz College Recruiting Executive Referrals In-Service T +50 -fifiCjMiifdif; T +50 T +50 T +50 T +50 C +10 T +50 C + 6X T + 6X T+6 T+6 3 T+6 Retention Codes: C= While Current. Active or in Effect; S-- After Settlement; P= Permanent; GY- Current Year; T= Termination; X= Tax Department approval required HWBUI0002269 Records Categories Human Resources / Benefits 'mvh-ayimm AmiCAxtoMs t's^T,i| Non-Hired Resumes Sign-Off Letters iiriTibitployhrtiehf! rie^^:OCi rC^nt Employment Releases CEO Affirmative:Action and Discrimination Cases Employee Investigations Job DescriptionsLabor Union Arbitration Labor Union Negotiations, Grievances, Agreements Military Service KiSijvmi Pmmi o* <w 3 3 3 T+50 T+50 C + 1G C+6 C + 10 T + 50 C + 15 T + 50 Assignments, Attachments, Garnishments and Ali Related Papers T + 6 Authorizations for Deductions FrormErnplOyees' Earnings T+6 Checks; Dividend 10 Canceled, Payroll, Register, Vouchers 7 Earnings Records, Summaries I+ 50 Journal 10 Ledger , P Pension Payroll T + 50 Register (Employees' Earnings Deductions and Net Pay) T+50 Reports to Federal, State and Local Government Agencies 6 Salaries and Wages, Payment Record T + 50 Salary Changes T+50 Savings:B6nd 'Register r 7 Temporary and Part-Time Employee Records T + 15 Time Reports (Cards and Sheets) T + 50 Performance Appraisals ::;::;Personnei/Employee Files; ; Policies/Procedures - Employees : ::; R1F materials T+5 T+50 C + 10 0 + 10 Retention Codes: C= While Current, Active or in Effect; S- After Settlement, P- Permanent; CY= Current Year: T~ Termination; X= Tax Department approval required HWBUI0002270 Records Categories Human Resources / Benefits Relocation Files Reward and Recognition Programs Seniority Records Service Records Stock Purchase and Savings Plan ; Surveys Employee Satisfaction Wage Termination Reports Testing, Employee Time-Worked Rewards v Wage Rate Changes 7X C+3 T + 50 T + 50 T + 50 5 5 T 4- 50 T+6 T+6 T + 50 Retention Codes: C= While Current. Active or in Effect; S- After Settlement: P= Permanent; CY= Current Year; T= Termination; X= Tax Department approval required HWBUI0002271 Records Categories Km \ ira Puma* LAW Aamsmzms Labor Sales and Purchase T + 50 e + ex C+6 mrrmm/t n&vmssinvm Ckosssm iJNjoaara&rrs CoHimor* / S&tsss! C 4- 6 p General Governmental Agencies - To and From C+6 C +6 t&SOMXSStmS C Ilsscv&.?sr C+3 W-unsimm Co^ms&m&urv 14-25 fts{.lsctimu. wpi&mMTv Abandoned Patent Applications - (No Cont. or CIP) Abandonment + 10 Assignment of Inventions C + 6X (or Abandonment of Application 4- 6) Copyrights T 4-20 Correspondence - General C 4- 6 Inactive invention Disclosures 20 Infringement Opinions Life of 3rd Party Patent + 6 Interference Files Life of Priority Patent + 6 iP Agreements (License, Research, JT Development, NDA) C+6 Laboratory Notebooks P Outside (Third Party) Submissions C 4-25 Patent Files, U.S. and Foreign C+6 (at issuance: remove all easily obtainable prior art, keep originai disclosure and only papers filed with the patent office) Third Party Patent File History Life of 3rd Party Patent + 6 Trademarks T +10 Validity Opinion Life of HON or Third Party Patent + 6 Lmm C 4-6 LitKs&mm A&t> Oikiws. Consent Decree CouriPapers - Other P T + 6X Retention Cooes: C- White Current. Active or in Effect; Si After Settlement; P= Permanent: CY= Current Year; T= Termination; X- Tax Department approval required HWBUI0002272 Records Categories Law LmeftrioH am Cuusss Decisions Injunctions Orders - Final Settlement iyij*eR&*m& HAt / FsaWiU PTOrwss IIefss^ts Bs&t Estate Deeds Depreciation Reports Easements insurance Policies inventories Leases Maps Mortgages Options Plans and Specifications Property Appraisal Property Surveys Purchase Agreements Repair Costs - Records and Reports Repairs and Maintenance Rent Sales Agreements Title Water Rights - Property _ SEC Filings Ownership Reports -/Directors and; Officers:;'//; Swswm&mgs AN J-omr (See specific heading or topic) P P P .P C + SX C +$ P P P P P P P C + 10 C +10 P P P P C +3 C +3 c +6 P p P p Retention Codes; C= While Currant, Active or in Effect; S= After Settlement: P= Permanent; CY= Current Year: T- Termination; X= Tax Department approval required HWBUI0002273 Records Categories MANUFACTURING / PRODUCTION l&NTO!?S Control Records - Stock Equipment Field Machine ID Numbers Materials ... Physical inventory Plant and Fixtures Property Reports Revaluation Serial Number Books Stock Stock Lists Summaries Pmuerwi4 Certificates of Analysis - Supplier Costs Data Final Inspection and Test Records Labeling Manufactured Stock Records Mill Orders Parts Production Control Planning Scrap Materials Work Orders Regulato ry Agency Audit Records Reports Condition Damage ':i::;ri^:j:ri;''-.jpspection Reports, Production apd:Traffic Production TTpotRepoirts - Production Schedules and Summaries Statistical Data Statistical Process Control (SPC) Km\no\ P A- 6X 3X 3 P C+5 3X P P 6 8 P 3 6 8 4 7X P 6 C+2 6 6 2 2 2 Z 6X 6 6 8 10 8 6 20 P Retention Cooes: C- While Current, Active or in Effect; S= Alter Settlement: P= Permanent: CY= Current Year; T= Termination; X= Tax Department approved required HWBUI0002274 Records Categories Manufacturing / Production Tool Design Tool Records, Work Ordersand Cost Reports Warranties - Honeywell Products Work Schedules P 6 C + 10 2 Applications and Correspondence Controlled Substances Construction Plant Usems Fixtures and Equipment Occupational Health (see Health, Safety*::Ehvtro'nfTl^nitaliia:Rd: Process Performance Reports Qw&urr Assembly, Operation and Inspection Records Audits and Surveys Corrective Action First inspection Reports Hold Tags and Logs Inspection Stamp Inspections Critical Aviation Parts Inspection Results - General Serialized or Lot Controlled Management Review Reports (for ISO) Material Review Board Membership Minutes Non-conforming Material Report :: Personnel Certification Pre-Release Records Quality Assurance Alerts Traceability 3 T+8 T+6 C + 3X 10 C + 10 Qiii p p 5 T+ 1 P C + 10 P CY + 2 C C + 10 CY + 24 T+ 1 5 Retention Codes-. While Current, Active or in Effect; After Settlement; Permanent; CY= Current Year; T= Termination; X= Tax Department approval required Records Categories MARKETING/SALES A&vesmsm Clippings Department Form Proofs Drawings and Art Work Estimates House Organs Inquiries Layouts Market Data and Surveys Photographs, Reference Promotions .... ... 10 ' ..:.1 6 3 P 1 6 7 P 3 General/Commercia! S +6X Governmental (including Prime and Subcontract Data) Accounting Data Applicable to Specific Contracts and All Contracts (e.g,, rates established by a business unit) S+ 6 Accounting Procedures and Practices S + 6X Certifications S +6 Changes / CCPs / ECPs Modifications S + 6X Claims, Appeals, Settlements S +6X Contracts and Attachments S +6X Contracts and Attachments - Military P Contracts Performance Data S + 6X Contracts Performance Data * Military P Cost and Pricing Data S +6X Cost, Funding and Performance Reports $ +6 Government Furnished Property Records S +6 Inspection, Acceptance, Receiving, Testing and GA Data S + 10 Property Records (Contract Specific) S +6 Proposals S +6X Request for Proposals S +6 Shipping Documents S +6X Aerospace S + 10X Subcontract: Data ; S +OX Test Data S +6 Warranty Data- All Other Relevant Books, Records and Documents Pertaining to the Pricing and Performance of Specific Gov't Contracts S + 6 Retention Cooes: C- While Current, Active or in Effect; S- After Settlement; P= Permanent: CY= Current Year; T=> Termination; X= Tax Department approval required HWBUI0002276 Records Categories Marketing / Sales S&tm Activity Reports, Sales Staff Business Development Commissions Accrued Commissions and Sales, Foreign: ;: Commissions Book Commissions Payable Statement Cost Analysis Cost Estimates Credit Memoranda Customer Complaint Replies Contracts and Review Records Lists Specifications/Revisions Debit Memoranda Distributors Expenses Export Field Sales Staff Status Forecasts Invoices Journals Market Research, Analysis, Surveys Presentations Customers industry Price Adjustments, Estimates Analysis Budget Sheets Books. Lists Quotations Sheets and Catalogs ^ Company: C mm. 10 10 7 3 6 6 C + 6X C 6 6 T+2 7 6 T+8 6 8 7 C m&m c +10 6 10 C 5 P Retention Codes: C= White Current, Active or in Effect; S-- After Settlement; P= Permanent; CY-- Current Year; T= Termination; X= Tax Department approval required Records Categories 1 Pimti Marketing / Sales Salks {Ccm*o} Product Codes Analysis p I 6 Orders - Aerospace -l:: l ; Autaplidtidr PliptiMnapnienlBystems Auxiliary Power Units (Business Aviation) Aviation Turbocharger Engine Fuel Controls (Pneumatic/Hydromechanical/Electronic) Propulsion Engines 20 20 20 20 20 Orders - Non-Aerospace Acknowledgements Changes Customer Files Open iiOfddr$ / Parts Registers Remittance Statement Reports Repairs Reports Sales, Sales Slips Service, Service Charges, Reports Sheets Trade Reports C+6 C+6 0+6 C+6 C + 6X C+6 C+6 3 C+6 6 C + 6X C+6 C+6 1 Tschmmal S Non-Hazardous Products Potentially Hazardous Products NDT Reports - Customer Vtdeo : . . 6 30 6 0 Retention Cooes: C- While Current Active or in Effect: S= After Settlement; P* Permanent: CY^ Current Year; T- Termination; X= Tax Department approval required HWBUI0002278 Records Categories PURCHASING / MATERIALS MANAGEMENT Raw Materials Supplier Alliance COi&ms&CTS T+6 T+6 i 't' trX .s Aerospace Capital Expenditures Change Orders and Notices General Expense (all other) Stores feaussT 'm Pmopm&i. ScBAP MAtBmAlS 10X 10X T+6 T+6 T+6 i6 Ti *. '-.j 2 m Retention Codes: C= While Current. Aciiva or in Effect; CY Current Year: S= After Settlement; T= Termination: P= Permanent; X= Tax Department approval required HWBUI0002279 Records Categories RESEARCH / DEVELOPMENT Analytical Data ........... Chromatography and Spectra Reports Physical Analyses Test Results Formulas - Engineering and Technical Laboratory Research Notebooks Pilot Plant Run Data Test Data Yield Estimates Product Development and Research Product Testing Research and Experiments Research Reports \HO\ PMittrl) 6 6 6 P wm p 5 30 P P 20 P cl Retention Cooes: C~ While Current, Active or in Effect; S= After Settlement; P= Permanent; CY= Current Year; T= Termination; X= Tax Department approval required HWBUI0002280 Records Categories SHIPPING / TRANSPORTATION ftecetvmo / Smppm / IVr&imc; Bills of Lading / Waybills Customs Delivery Receipts and Reports Export Declarations Manifests Packing instructions Receiving Reports Traceable Non-Traceable Sample Shipments R&D TSCA Shippers invoices Aerospace T Aircraft Maintenance Logs Aircraft Manifest Aviation Flight Logs Vehicles Car Records, Traffic Car Rental Files Certificate of Title Operation and Maintenance;:: >* 3 C+5 3 6 5 mm CY + 24 3 Months 25 25 C + 6X C + 10X P P P 2 T Retention Codes: C= While Current, Active or in Effect; S-- After Settlement; P= Permanent; CY= Current Year; T= Termination; X= Tax Department approval required HWBUI0002281 Records Glossary ACRONYMS CCP * Contract Change Proposal......................................................(Page 23) C-FL * Contributions, Forfeitures & Loan ...................................... ..(Page 16) CiP * Continuation In Part.............................................................. (Page 19) CMA Chemical Manufacturing Association ....................................(Page 11) CRC Corporate Responsibility Committee.................................... (Page 13) DBCP * 1,2-Dibromo-3*Chloropropane .............................................. (Page 12) DOD * Date of Delivery ........................................................................(Page 6) DOE * Date of Entry............................................................................ (Page 6) ECP * Engineering Change Proposal.................................................(Page 23) EEO * Equal Employment Opportunity ............................................ (Page 17) EPA * Environmental Protection Agency..............................(Pages 11 & 13) EPCRA * Emergency Planning - Community Right-To-Know Act..... (Page 11) FIFRA * Federal Insecticide, Fungicide & Rodenticide Act ............... (Page 13) FOCI * Foreign Ownership, Control & Influence................................. (Page 6) Form MO * Quarterly Report - Manufacturing, Mining & Wholesale Trading ......................................................... (Page 6) FTC Federal Trade Commission ...................................................... (Page 6) HMO Health Maintenance Organization........................................ (Page 15) HON * Honeywell..................... (Page 19) IP * Intellectual Property............................................................... (Page 19) ISO Insurance Sendees Office........................................................(Page22) HWBUIOOC Records Glossary ______________ _____ _______ ________________________________ JT * Joint Venture (Trademarks).....................................................(Page 19) MSDS Material Safety Data Sheet..................................................... (Page 13) NDA * Non-Disclosure Agreement..................... (Page 19) NDT * Non Destructive Testing.......................... .....................(Pages 4 & 25) NOC * Notification of Commencement.............................................. (Page 13) OSHA * Occupational Safety and Health Administration..................... (Page 12) PEL * Permissible Exposure Limit.....................................................(Page 13) PIC * Product Integrity Committee................................................... (Page 13) FMN * Pre Manufacturing Notification............................................... (Page 13) PPE Personal Protective Equipment................................................(Page 13) QA * Quality Assurance.................................................................... (Page 23) RCRA 4 Resource Conservation and Recovery Act.............................. (Page 11) RIF 4 Reduction In Force...................................................................(Page 17) SARA 4 Superfund Amendments & Reauthorization Act.....................(Page 11) SEC 4 Securities and Exchange Commission.................. .......(Pages 4 & 20) SIC 4 Standard Industrial Code....................................................... . (Page 6) SOPSE * Stock Option Program Salaried Employees............................ (Page 15) TRAC * The Risk Assessment Committee.............................................(Page 14) TRI "Form R's" 4 Toxic Release Inventory' Report on form Required under 313 of SARA Title III..............................(Page 11) TSCA 4 Toxic Substances Control Act....................................(Pages 14 & 28) HWBUI0002283 Records Glossary RECORDS MANAGEMENT TERMS INDEX A Systematic Guide Which Allows Access to Specific Items Contained Within a Larger Body of Information INTERFILE The Process of Putting Records in Their Proper Sequence Within an Existing Scheme LIFE CYCLE (OF A RECORD) The Span of Time of a Record From Its Creation or Receipt, Through its Useful Life to its Final Disposition or Retention as a Historical Record NON RECORD MATERIAL Records not Usually Included Within the Scope of Official Records, e.g. Convenience File, Day File, Reference Material, etc. HWBUI0002284 Top Lot! Process Map Pmwneat Bmrd t5S4 *J CettHudbsQfW Ikstmtim * P'mpm * Compfet* * Oafafoas-e Updated *. Nollff Record enter fept'ds. fte^icv4 W-t <&itb isyit R^sords Hslumcd *8 Storage Ag-mwitsftt fteUwtfem pm C&cp&mu&j<d#Zlnm :* CrtiR<^ <>f O^jn^octlo^t 0e&tfsaftjd Ik&md* S&mspef 4^hifrfratks tjp *swkw ctf ftrtoxfc pesr Rcteot^m * Destruction Date /Permanent HWBUI0002285 Honeywell Records & Information Management 101 Columbia Road, AB-3A Morristown, NJ 07962-1057 Phone: 973-455-4633 973-455-2283 Fax: 973-455-6859 website: http://myhoneywell.com/rim/index.jsp records and information management a unit ofGlobal Business Services We make it easier for you to do your job Version 02 7/02 Records & information Management HWBUI0002286