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Union Carbide Corporation -------------------------------------------------------- egg-------------------------------------------------------- MORRISVILLE, VERMONT / / H. W. Fawcett Elketn Management, Inc* Park West Office Center Building One Cliff Mine Road Pittsburgh, PA 15275 Dear Mr. Fawcett; August 17, 1981 Re; Hawks Nest - Glen Ferris Transfer of Records Per Mr. G. L. Triplett's instructions by letter dated August 12tht ve are forwarding to your attention under separate cover thirtynine (39) carton of Hawks Nest - Glen Ferris records. These files have been sent to the UCC Records Center over the years by various UCC components, primarily the Lav Department and Metals Division. We have attached a Records Transfer Memo (pgs. 1-3) which provides a general overview of the contents of each carton. Further detail la shown, where possible, on an enclosed itemized list. These files represent the sum total of all records held at the UCC Records Center relating Co the Hawks Nest - Glen Ferris Hydroelectric Project. We hope the Transfer Memo and detail will provide adequate indexing of these old and voluminous files. Please acknowledge receipt of these files by signing and returning a copy of this letter. EWD/s Enel. cc: Messrs. P. J. Fournier F. A. Smith G. J. Triplett 90 ' -J OT .rT UNION CARBIDE CORPORATION RECORDS ADMINISTRATION DEPARTMENT DAT* MCT RECORDS TRANSFER MEMORANDUM - documents anp reports 8-17-81 USg TWSFOmTO TRANSFER RECORDS to THE.UNION CARBIDE RECORDSCENTERAT MORRfSVtLLE. VERMONT fa TRANSFERRED PROM: 0IVia*O-O*PAT**NT UCC Records Center LaPorte Rd. Morrisvllle, YT 05661 RECORDS RETENTION ft PROTECTION MANUAL REFERENCE (live #ECT[QM HUIMVAA AND SECTION TITLE APPLYIHC TO TMI N(COnDTHAMirtaBi tICTIOM NUMIM HCTIQM Hawks lfest-Glen Perris Records 1 CARTON NO. DESCRIBE EACH CARTON OR RECORDS TRANSFERRED BELOW RECORD NAME (A* it AppMn In Reo<Is Rtntlon *nd Protvetlan MafuaU ALPHABETIC OR NUMERIC CONTENTS OP EACH CARTON Prom -- Thru EARLIEST AND LATEST DATES IN EACH CARTON From -- Thru RECORDS CENTER USE Ram Stock No. Thirty-nine (39) cartons records sen . to Morrisville, VT by various components of Union Carbide Corp. al . relating to Hawks l est-Glen Ferris W,V, General description follows - si ecifics attached. Project 2512 West Virginia - Hawke H :st 2 folders (Federal Power Commission License) .2 Application, licenses, & workpapers 3 4. Electro Metallurgical Co. - detail 5 New Kanawha Power Co. - detail .6 Application to Federal Power Ccnm. 7. 8. 1-1-38 1940 - 1952 M IT 1933 - 191*0 11 it 1919 - 1962 ffl 11 u 11 9 Law Records - Project 1856 - detail 10. 11. 12. 13 14. Applications, blueprints, corresp. engineering reports and technical reports 1930 - 1964 II it n 11 11 i u 11 11 SIGNATURES REQUIRED ON FIRST SHEET IN SERIES ONI Y TRANSFER AUTHORUCD *V (SIDNATURB AND TYRSD NAME| APFROVAL BY KKCORDI ADM 1HIJTRATION D ERA RTMtHT THE PERSON SIGNING ABOVE QR H IS SUCCESSOR WILL BE NOTIFIED 20'd T TT 6T:T T002-S0-D3Q C0W09A7E BgCOBQi CUCtTCB -- The Corporat* Record* Castor Ja Morrisvlll*, Vermont is a Union Carbide Facility r-r die eononic*l afn AtoHg* of inaoUvo moonIi nod a sals depository for vital wd archival raoar4. The Center offers it* atorage pe sad refercnoe eervleea to locations of the Corporation, Document* and report# stored in Moirisville will bn kept until their retention periods axpiro, when they will be deatr-oyad. TTin Center also maintains special facilities for processing and storing microfilm. HOP to i*lP HKCPEM TO THE C0RP6RATE RECOBftS CENTER 9 Refer to the R^corda Retention and Protection Manual and obtain the Section Number and Title which applies to the records you wish to send to Mnrriavllle. Record them on the front of title form In thv blocks provided, o Order Record* Cartons from th- stockroom on a stationery requisition form. You will need 1-1/0 rartone for a latter size file drawer and 2 cartons for a legal else drawer, The cartons and covers will arrive Hnu You can assemble them by folding. Pack Ihr records in the same order in which they were filed including file folders and file guides. vC llt.ljk 3 UHION CARBIDI CORPORATIOH MommvtLL l, VERMONT Order Shipping Labnl.s from the stockroom On a stAiinnerj* requisition. Prepare one label for each carton and identify them with consecutive numbers. Place one label on the unsiapied end of each carton under the handgrip. ** **r UtHII %r (PUott do not kjrcAtj tpor*) * Prepare a Records Tnnifer Msmonrotium in 4 copied sign, ind tend them to the Records Administtition Dept., 270 Put Ave., New York, New York 10017. Copy 1 will be returned to you for your file*. If the record* to be transferred we Wtel, do not use this form. See "Vital Record*'* below. Prepare a Building Service Work Order and send it with tho carton* to the loading platform where the cartons will be sealed sad shipped to Morrisville. IF YOU ARE OUTSIDE NEW YORK, order cartons, labels, and forms by letter Lo Union Carbide Corporation, Mornsville, Vermont Q&86 l. Tape the covers to. Ihe cartons, on close copy A as a packing list and ship them prepaid to Union Carhida Corporation, Morriuville, Vermont 05561. When shipping by truck, the bill of lading should read "Old Office Records - value N/X 3-1/2* per lb." net to oRwow aeconas nog the corporate eecqrps certem e Contact the Center by letter to Union Carhlds Corporation, Morrisvtllc. Vermont 05561 or by Telephone -- 802.868-3174. e Identify Yourself Dy aum, division,or department, and address. e Describe the Records you Wish to Borrow by referring to your copy ol the Records Transfer Memorandum form on which the shipment to Worrlavllle was recorded. Give ihe dote on the form, carton number Ihn record was shippod in', and the record name shown on the fom. Thee describe the specific record you want. . ' e You Will Receive the Regards Requested within 30--48 hours. MOM TO HETUSN BOBHOWCP 0 Return Full Cartons juat as you received them. Print "RETURN" on the l*bl under the address, Send the ear tone to the loading platform where lhay will he re-sealed and shippod to MorrlavfN*. m Return Leas than Full Cartons by encloaing the records in an envelope or package which is m:\rked "RECORDS RETURNED TO MORRISVILLE, VT." Sand the envelope or package by First Clad* mail to Union Carbide Corp- atlou, Morriaville, Vermont 05641. VITAL RCCORflf -- Documents and reporta necessary Tor the continued existence of the Corporation are con- eidered vHel and, when not protected by natural dispersion, are protected by sending copies to Mornsville, Then* ooplea may be the original record, a duplicate, a microfilm, or any other kind of copy, whichever4s the moat practical and economical. Records protected In this manner are assigned a Vital Record Number for reference end oontrol purposes. THIS FORM SHOULD NOT BE USED TO SHIP VITAL RECORDS TO MORRiSVfLLE. VUl Rsoord* be sent directly to Marricvllls as soon as possible after their creation or completion. No cover letter or form is needed If the Vital Record Number, location identification, *ftd data or inclusive dates of the record are clearly marked on each copy nr batch of copies. P0`d 61:T T002-S0-D3Q T SIGNATURES REQUIRED ON FIRST SHEET IN SERIES ONLY TffAN&^m AUTHOnIZRD BV IStQNATURB AND TVPCD MAMK| A^pmaVAL tv rkcokos aomanisthATION pEPAnTMCNT *"*= BCDtOAj cujMtMn *hnVF nB wSi*rr*/> Mrll.1. RE NOTIFIED ca-a P.T :CT znn?-crv-'wi COBOBATE BtCOBP* CSBTEB -- The Corporal* Record* Coslar ia Morrieville, Vermont is a Union Carbide Facility f-'f *10 eoonomical <i safe average of inactive record* and * safe depository Ter vita] end archival rooni, Th Cnut flora Its storage apace and relrroo aervleee to location* of tha Corporation. Oocueta and moort* autrad in Morrisville will be kept until their ratention period* expire, when they will be destroyed, Thu Center also maintain* aneoial (*oltitloe for processing and storing Microfilm. HOP 70 SHIP HECPEPS TO 7 COtPORATE RtCOQOS CEWTZR . a Refer to the R^cr.rda Retention and Protection Manual and obtain the Soeticn Number and Title which applies tn the record* you wish to **nd to W-vrrlsville. Record than aa the front of this form in th>` block* provided, o Order Record* Cartons from th* /lockroom on a stationery requisition form. You will need 1-1/2 I'nrtona for * totter ala* fila drawer and 3 cartons for a legal ell* drawor. The cartons and covers will arrive Hal. You can assemble them by folding. Pack the records In the same order In which they were filed including file folders and file guides. a Order Shipping Labe In from the stockroom on a stationery requisition. Prepare one label for eftch carton and identify them with cbnseuutiv* numbers. Place one label on the unstop;ed end of each carton under the handgrip. KCItl ixuXi rr )(MM TO UNION CARBIDE CORPORATION MORRtSVtLLE. VERMONT MTMUT rift c*aTeft *.|<**ve*ft 6r fPIn do lot utr (hit jpecrJ Prepare a Records Tranifcr Memorandum in 4 copies, sign, and send them to the Records Administration Dept, 270 Park ,Ave,, New York, New York 10017. Copy 2 will be returned to you for your files. If the record* to be transferred ate vital, do not use this form. See "Vital Records'* below. Prepare a Building Service Work Ordor and send it with tho cartons to the loading platform where the cartons will be seeled end shipped to Morrisville. IF YOU Afi OUTSIDE NEW YORK, order cartoas, loheJs, and forma by latter to Union Carbide Corporation, Morrisville, Vermont 05681. Tape the covers lo, Ihe cartons, enclose copy 4 as a packing 11l and ship them prepaid to Union Carbide Corporation, Morrisville, Vermont 0666 1. When shipping by truck, the bill of lading should r*ad "Old Office Records - value N/X 3-1/3* per lb." hoi to aowsow aEcana* from the corporate recorps cehter Contact the Center by letter to Union Carbide Corporation, Morrisville, Vermont 05661 or by Telephone -- 802-888-3174. Identify Yourself by nunc, division,or department, and address. " Describe the Record* you Wish to Borrow by referring to your copy of the Records Transfer Memorandum form on which the shipment to Morrisville woo recorded. Give the date on the form, carton number tho meord *aa shipped in\ and the record name shown on the form. Theft describe the spsclflc record you want, e You Will Receive the Records Requested within 30-48 hours. HQ1 TO RETURN BORBOICP RECORQ8 9 Return Full Cartons just as you received them. Print "RETURN" on the label under the address. Send the cartons to the loading platform where they will be rfi-aealed and shipped to Morrisville. a Return Leas than Full Cartons by enclosing the records lh ea onvelope or package which is murked "RECORDS RETURNED TO MORRISVILLE. VT," Send the envelope or package by First Cl**s mail to Union Csrbide Corpatica, Morrisville, Vermont 05661. VITAL RECOUPS -- Documents and reports necessary for the continued existence of the Corporation are connldered vital and, when not protected by natural dispersion, are protected by sending copies to Morcisville. The** copies may be the original record, a duplicate, a microfilm, or any other kind of copy, whicheveris the non practical ond economical. Record prouctad In this manner ore assigned a Vital Record Number for reference end oontaol purpose*. THIS FORM SHOULD NOT BE USED TO SHIP VITAL RECORDS TO MORRISVILLE. Vital Record* must be sent directly to MorrL-vUle m soon a* possible after their creation Or completion. No covef letter or fom la needed if the Vital Record Number, location identification, and dote or inclusive dates of the record are clearly marked on each copy nr batch of copies. S3 'd 0S-.ET 7002-S0-D3Q UNION CARBIDE CORPORATION DAT! H WT RECORDS TRANSFER MEMORANDUM - documents and reports 6-17-81 USE THIS FORM TO TRANSFER RECORDS TO TV UNION CARBIDE RECORDS CENTER ATMORRISVILLE VERMONT TRANSFERRED FROM: OlVIIION'OfCARTMtNT UCC RECORDS CENTER AOOHCSS LaPorte Rd. Morrlsville, VT 05661 RECORDS RETENTION * PROTECTION MANUAL REFERENCE CIVS SECTION NUMin AND 9KCTIQN TITUA AMvVlHO TO THC NKCONDV TPANIrtMIO SECTION NUMliq SECTION TITUS Havfcs Nest - Glen Ferris 3 ________ -ftr- - j CARTON NO. DESCRIBE EACH CARTON Of RECORDS TRANSFERRED BELOW RECORD NAME {At It AppMrs In Rscordi Ratonttoo M*ri PrOtseikin Manus!) ALPHABETIC OR NUMERIC CONTENTS OF EACH CARTON From Thru EARLIEST AND LATEST OATES IN EACH CARTON From Thru RECORDS CENTER USE Rew Sracfc No. 30. Misc. records - Laws, legislation FPC, WPSC, land A v&ter rights technical and engineering, equipment 31. 32. 33 Folders from WV file containing letters of past negotiations on acquisition of land & property 34. 35. Construction, engineering, & equipment correspondence \ 36. Construction - bids, proposals, specs 37. [wise. - Federal Power Act, cost schedules etc. 38/ Ledgers - Large carton - accounting, 39 cost schedules, construction 1931 - 1951 1917 - 1948 SIGNATURES REQUIRED OV FIRST SHEET IN SERIES ONLY TRANSMR AUTHORIZED *Y (5IQHATURB AND TVhCD N*MI| AtmOVAk *Y HCCOADS ADMINISTRATION DCrAHTMtNT THE PERSON SIGNING ABOVE OR HIS SUCCESSOR WILL BE NOTIFIED An niV^ BCFADC TNFCF BtPnn A MS nCCTBAVSn J.Pl'rf PFiCT TCW.-^PlOBQ CO 810 a ft7 6 PggQRPa CEBTEH -- The Corporate Recorda Coaler Lo Momeville, Vermont ia a Union Carbide Facility f~r the economical sn<i ssf* storage of Inactive records Mid a safe depository for vita] md archival roooida, The Canter ottim its storage apace and reference services le locations of tha CerparttloA. Document* d raonrt* stored in Morrisville will be kept until thelf retention periods expire, when they will be destroyed. *I>i Center also maintains special facilities for processing sad storing srieroflim. HOW TO SHIP Rtcom TO Ttlg CORPORATE RECORDS CEHTRR Refer to the Rc?tda Retention and Protection Manual and obtain the Section Number and Title which applies U) the records you wtih to eend to Womav|llo. Record them on the front of this form In th* blocks provided. 0 Order Record* Cartone from th* .'usckrooiri as n stationery requisition form. You will need (-1/2 rartona for a latter size file drawer and 3 cartons for a legal size drawer. Tha cartons and covers will arrive flat. You can assemble them by folding, Pack the records In the same order In which they "re filed including file folders and fi le guides. Lttr .... reo*eo -- 2fSP7\ a Order Shipping Labnl* from the stockroom on a stationery requisition. Prepare one lahrl for each carton and identify them with consecutive numbers. Place one label on the unstcpled end of each carton under the handgrip. wt ji'.irt TO UNION CARBIDE CORPORATION MORRISVILLE. VERMONT IIUITHIal *T too .itlatmii tPl(Mr da wi r (Aw Jperaj Prepare a Rccordt Transfer Memorandum in 4 copies, sign, and send them to the Record) Administration Dept., 270 Park Ave., New York, New York 10017. Copy 2 will be returned to you for your filet It the records to be transferred are vital, do not use this form. See "Vital Records'* below. a Prepare a Building Service Work Order and send it with she carton* to the loading platform where the carton* will be sealed and shipped to Morrisville. ,'F YOU ARE. OUTSIDE NEW YORK, order cartoon, labels, and forma by letter to Union Carbide Corporation, Morrisville, Vermont 05641. Tape the cover* to. the cartons, enclose copy 4 as a packing liM and ship them prepaid to Union Carbide Corporation, Morrisville, Vermont 03661 When shipping by truck, the bill of lading should read "Old Office Records - value N/X 3-i/2< per lb." HOW TO BORROW ACCORDS FgOlfl THE CORPORATE RECORDS CttHTEft Contact the Center by letter to Union Carbide Corporation, MorrisvllJe, Vermont 05661 or by Telephone -- 802-888-3174. > Identify Youraeif by name, division,or department, and addrea, a Describe the Record a you Wish to Borrow by referring to your copy of the Reeords Transfer Memorandum fore* on which the shipment to Morrisville was recorded. Give the data on the form, carton number the rncord as shipped in', and ih rsccrd name shown on thn form. Then deaoribs lb* specific record you want, a You Win Recalve the Records Requested within 30--48 hours. NOW TO WgTUHtt BORROWED RECOUP! o Return Full Cartons )uat as you received them. Print *`RETURN" on tha label under the addrean. Send the carton* m tha loading platform where they will be re-sealed and shipped to korrisviU*. Return Lass than full Cartons by enclosing the records in an envelope or package which Is marked "RECORDS RETURNED TO MORRISVILLE, VT." Sand the envelope or package by First Class mail to Union Carbide Corpatloo, Morrisville, Vermont 0368 l. VITAL RtCOWnt -- Documents and reports necessary for the continued existence of tha Corporation are con* sidared vital and, whan not protected by natural dispersion, are protected by sending copies in Morrisville. These copies may be the original record, a duplicate, a microfilm, or any other kind of copy, whichever is the moat practical and economical. Records protected In thio manner nre assigned a Vital Record Number Tor reference and oontrel purposes. THIS FORM SHOULD NOT BE USEO TO SHIP VITAL RECORDS TO MORRISVILLE. Vital Raoords must b sent directly to MorTievillo as soon as possible after Iheif creation or completion. No cover latter or form l* needed If the Vital Record Number, loention identification. **d dale or inoluaive dates of the record are clearly marked on each copy nr b*foh of copies. Q ' _J d7>CT Tr*CV-CIX--|3A T HAWKS NEST - GLEN ITEMS shipment to Elkem ITEMIZED LISTING by carton T 3.6 NEW-KANAWHA POWER COMPANY (Now Electro Mptalluret cal r.n ^ S .61 Incorporation - Committee on New Kanawha Power Co. Affaii Dissolution - Reorganization of power Department. S .612 Financial Estimates 1927 through 1937. Yearly & Monthly Research Projects. Retarded Construction Program. Construction Budgets. .6120 s .6121 Invoices - Requisitions. Payroll - Expense Accounts - Employment Personnel. s .61210 Work Orders. y .62 Applications for positions. Positions in other companies. .63 y .64 Weekly Reports - Construction, etc. See Book, Plant Balance Sheet and Summary of Charges to Operation. Miscellaneous Financial. Cost of West Virginia Plant. Accounting Instructions. Property Accounting. t/ .69 S .690 General - Medical Services - Sanitation. For Housing see 3-90- Insurance - Surety Bonds, etc. S .691 y .692 Rates - Public Service Commission - Typical Rates in West Virginia - Sales of power - Sale of Boomer Elec, to Appalachian E,P. Co. (See also 3-702, 1930-34) SILICOSIS ' / .6921 y .69211 s' .69212 Industrial Hygiene in Tunnel Work. Mortality Statistics 1936 Study. Tunnel Ventilation - Carbon Monoxide - Landis. Rinehart and Dennis Fatal Accidents. .69213 y .69214 y .69218 Non-Fatal Accidents - McClintic Marshall. Insurance - Compensation. Silicosis Literature - Discussions - Addresses - Committei Societies. s' .`6922 Suits. .69220 Summons - Silicosis Suits. 0T'd 1/ Transferred to Vermont T tt . 12RZ-S0-33Q IT'd "W101 3.69221 S .69222 .692222 ^ .692227 ^ .692228 ^ .692229 ,,/ .6928 ^ .692BI / .6929 i/ .69291 Attachments, Silicosis Suits. Trials., Silicosis Suits - Testimony - Briefs - Experts. Lilly & Lilly Records of Plaintiffs, Silicosis Suits. Work Records. Mr. Davis' Notes on Silicosis Suits. General Material Under Trial of Silicosis Suits. List of Suits. Insurance in Connection with Silicosis Suits. Accounting. Fees, Expert Testimony, Silicosis Suits. General - Rock Samples. Newspaper Clippings, Silicosis Suits. 1936 Magazine and Newspaper publicity. 3.7 70 ^ .701 .702 n YUS1 ^ .709 .72 ` .721 r722 TECHNICAL AND ENGINEERING SIDE OF WEST VIRGINIA POWER DEVELOPMENT Electro Metallurgical Company Power Output at Glen Ferris, Discharge through Turbines, Gauge Readings, Water Elevations, etc. Equipment at Glen Ferris Plant, Dam. (Turbines -'See 3*761 also.) Industrial Plant at Alloy. Utilization of Power, Cost Estimates, etc. Cabin Creek Assessment. Dock - Dike, Advertising Signs. Boncar. -Hi rn'TTTTTi, 1 1111 Pln^ti, - General - Electro Metallurgical Company. Watchman. A.T.&T. Co, (For Housing see 3-90) (See also 3.7688 March 7 to September 16, 1932 for A.T.&T. Co.) Companies Other Than Electro Metallurgical Company Wil^son-ftlmilnum Company - Great" Kanawha Rly.er_Dam. permission_of Sec'yT of'Tflar"2-27"99 to build Dam. -----Carh1.de fo-Carhon Chemical--Gompany-r Transferred to Vermont T Date: 03/01/98 Rev. Date: POLICY Records Management Page 2 of2 Section IX - Administration Subsection 2. Record Retention Policy Prepared by: Legal Approved by: /0 . ^ Doc. No.: 2.1 A. C. LaRussa/fLA- Rev. No.: 0 Duplicate and Electronic Copies This policy applies to all copies of Company records, including photocopies, microfiche or microfilm, computer floppy or hard discs, and tape drives or other electronic media, whether located in individual offices or employees' homes. No physical or electronic copies shall be retained in excess of the prescribed retention period. Personal Records Employees frequently maintain various forms of personal records, such as electronic or desk calendars, phone lists and the like. No specific retention schedules are established for such records, but a good rule of thumb is to destroy these records after a two-year retention period. As noted above, however, all copies of records subject to the attached retention Schedules are themselves subject to the Schedules, whether maintained in formal Company files, "personal" desk files, or otherwise. Administrative Procedures Each operating unit shall, under the direction of its controller, develop and implement written procedures to comply with this policy. Such procedures shall ensure the identifiability and retrievability of records and shall properly protect their security and confidentiality. Procedures shall provide for periodic audits as appropriate to ensure compliance with this policy. Schedule Attached Elkem North American Division SCHEDULE 1 A. CORPORATE RECORDS RETENTION PERIOD 1. Records of incorporation, by-laws and amendnents thereto for the Company and subsidiaries and affi1iates (P) 2. Qualification to do business in states and related records 3. Corporate seals 4. Canceled stock certificates 5. Stock transfer and stockholder records (P) i (P) (20 plus review by General Counsel) m 6. Dividend records 7. Minute books of Corporate and Subsidiary Boards, Board coimilttees and stockholder meetings (P) (P) 8. Annual reports, quarterly reports and proxy material 9. Shareholder proxies except for those related solely to the election of directors 10. Proxies for election of directors (P) (P) (10) 11. All financing documents, credit agreements, loan agreements, conmltments, etc. 12. Acquisition files 13. Divestiture files (10 after satisfaction or termination) (P) (20 olus review by General Counsel) B. LEGAL FILES AND PAPERS 1. Requests for departure from records retention plan 2. Litigation files including correspondence, depositions, discovery, responses and pleadings: a) Major litigation b) Other litigation RETENTION PERIOD (P) (as determined by General Counsel on a case by case basis (1 after expiration of appeals or time for filing appeals) SCHEDULE 1 (continued) B. LEGAL FILES AND PAPERS (continued) 3. Legal memoranda and opinions subject matter files C. CONTRACTS 1. Contracts and related correspondence and documents - commercial 2. Contracts -- government 3. Licensing and distribution agreements including production and royalty data Page 2 RETENTION PERIOD (5 after close of matter. Thereafter, review for utility and historic value.) i RETENTION PERIOO (7 after expiration or termination plus written approval of General Counsel) (3 after completion) (6 after expiration or termination plus written approval of General Counsel) SCHEDULE 2 PAGE 3 A. ACCOUNTING AND FINANCE 1. Annual audited financial statements 2. General ledgers 3. General .lournals and other posting & control media subsidiary to the General Ledoers 4. Annual audit workpaper package 5. Monthly financial statements 6. Bank statements and canceled checks 7. Original copies of accounts payable Invoices and employee expense reports: a) Normal trade payables b) Frelqht bills 8. Accounts receivable invoices 9. Accounts receivable cash receipts files10. Annual plans and budgets 11. Strategic plans 12. Census bureau and other government surveys 13. Physical Inventory records 14. Appropriation requests RETENTION PERIOD (P) no*) (7*)' (7*) (7*) (7*) (7*) (3*) (4*) (4*) (2) (2 after termination of plan period) (7) (?*) (1 after post completion review) B. Tax Records 1. Tax returns (income, franchise, property) 2. Tax bills, receipts and statements The Corporate Controller will annually issue a directive outlining the specific years to be destroyed. Retention Period (P) (P) SCHEDULE 2 (continued) Page 4 e. 3. 4. 5. ' 6. TAX RECORDS (continued) Tax workpaper packages - originals Payroll tax records Sales and use tax records Excise tax records RETENTION PERI00 (P, Operating division copies to be retained for 7 years) (7*), ________________ n________________ f 7*) SCHEDULE 3 Page 5 A. PERSONNEL RECORDS RETENTION PERIOD 1. Original union agreements 2. Invention assignment forms 3. Records showing employee exposure to potentially hazardous substances (P) (P) (P, except documents may be discarded after 30 years after termination of all affected employees) 4. Medical histories or health data (P) 5. Earninas records (general) 6. Employees' personnel records. Including individual attendance records, application forms, performance evaluations, termination papers, exit interview records, withholding information, garnishments, test results (individual), etc. (P) (4 after termination) 7. Individual contracts of employment (7 after termination) 8. Comnissions/bonuses. incentives, awards, etc. (7) 9. Attendance records (general) 10. Job descriptions (3) (3 after superseded) 11. Safety or injury freauency reports (10) 12. Affirmative action programs (5 after superseded) 13. EEO-1 and EEO-2 Employer information reports (2 after superseded or filing, whichever is longer) 14. Applications, resumes, results of pre-employment physicals, and related correspondence (non-hired applicants) a) Advertised job openings (2 from date of non-hire decision) b) Unsolicited applications and resumes (1) 15. Correspondence with employment agencies and advertisements for job openings (1 from date of hiring decision) SCHEDULE 3 (continued) Page 6 A. PERSONNEL RECORDS 16. Wage and salary surveys 17. Census reports and headcount comparisons 18. Employee handbooks B. PAYROLL DOCUMENTS 1. Employee earninqs records 2. Labor distribution cost records 3. Payroll reqisters (qross and net) 4. Unclaimed waqe records 5. Employee deduction authorizations 6. Assignments, attachments and garnishments 7. Time cards and sheets C. PENSION RECORDS 1. Pension plans and all amendments thereto 2. Pension plan determination letters 3. Records of employee service and eligibility for pension (including hours worked and any breaks in service) 4. Required personal information on employees and former employees. (Name, address, social security number, period of employment, pay: hourly or salary) 5. Records of plan administrator settinq forth authority to pay 6. Records of pension paid to employees or their beneficiaries RETENTION PERIOD (3) (3) (P)` RETENTION PERIOD (P) (7) (7) (6) (4 after termination) (3 after payment or settlement) (2) RETENTION PERIOD (P) (P) (P) (P) (P) (6 after final payment) SCHEDULE 3 (continued) c. PENSION RECORDS 7. Reports of pensions or pension plans filed with the Department of Labor or the Internal Revenue Service Page 7 RETENTION PERIOD (6 after filing) i SCHEDULE 4 Page 8 A. 1. Workers compensation 2. Product liability 3. Umbrella 4. Property 5. Fidelity & crime 6. General liability 7. Other 3rd party INSURANCE POLICIES RETENTION PERIOD (P) (P) (P) ' (P) (P) (P) (P) B. 1. Issued on behalf of Company 2. Issued To Company CERTIFICATES - RETENTION PERIOO (3) (P) C. 1. Active employees 2. Retirees HOUP INSURANCE PLANS RETENTION PERIOD (until plan Is amended or terminated) (P or until 6 years after death of last eligible participant) 0. AUDITS OR ADJUSTMENTS (2 after final adjustment) E. CLAIMS FILES (includinq correspondence, medical records. Injury documentation, etc.) RETENTION PERIOO 1. Workers compensation (10 after close) 2. Product 1iability (open - no litigation, 5 after last correspondence or contact with claimant) E. 3. 1st party 4. Other 3rd party 5. Long term disability 6. Group life F. 6. K. I. . J. SCHEDULE 4 (continued) AUDITS Oft ADJUSTMENTS RELEASE/SETTLEHENTS INSPECTIONS LOSS RUNS ANNUAL LOSS SUMMARIES JOURNAL ENTRY SUPPORT DATA Page 9 RETENTION PERIOD (S after last correspondence or contact with insurer) (5 after last correspqndence or contact with 3rd party) (10 after return to work, retirement or death) (5 after close) (25) (3) (10) (10) (7) SCHEDULE 5 Page 10 A. PLANT ANO PROPERTY RECORDS 1. Oriqinal purchase, sale or lease agreement of plant facility 2. Correspondence, property deeds, easements, licenses, rights of way and miscellaneous documents pertaininq to sold plant facilities 3. Property Insurance policies 4. Fixed asset ledgers (year-end run) 5. Mortgages 6. Records relating to disposal of plant waste 7. Plant inspection and safety audit reports B. RESEARCH AND DEVELOPMENT 1. Original patents, trademarks and copyrights 2. Minutes of all technical meetings 3. Invention notebooks and invention records 4. Laboratory notebooks, supporting data and test data 5. Outside submissions of new product ideas 6. Quality control data 7. Production batch data RETENTION PERIOO (PI (10 plus approval of General Counsel) i (P) (7 plus written approval of Corporate Controller) (10 after satisfaction) (3) (3) RETENTION PERIOD (Life of patent, trademark or copyright plus 3) (20 plus written approval of General Counsel) (20 plus written approval of General Counsel) (20 plus written approval of General Counsel} (20 plus written approval of General Counsel) (20 plus written approval of General Counsel) (20 plus written approval of General Counsel) SCHEDULE 5 (continued) Page 11 0. RESEARCH AND DEVELOPMENT 6. Pilot run data and related research 9. Inspection and test reports on new or proposed products RETENTION PERIOD (20 plus written approval of General Counsel) (3) , C. SAFETY AND ENVIRONMENTAL DOCUMENTS 1. Records relating to each occupational injury or illness, including the annual sumnary of other OSHA Forms 2. Companies subject to asbestos standards: RETENTION PERIOD (5) a) Personnel or environmental monitoring (P) b) Employee medical examinations 3. Companies subject to ionized radiation standard; (30) a) Employee radiation exposure tests 4. Companies subject to vinyl chloride standard: (P) a) Monitoring and measuring records and authorized personal rosters (30) b) Medical records (Longer of employment plus 20 or 30) c) Monitoring and inspection reports 5. Companies subject to mechanical power press standard: (P) a) Records of periodic regulation inspection 6. Companies subject to industrial slings standards: (P) a) Inspection records and repair records (1) SCHEDULE 5 (continued) Page 12 c. SAFETY AND ENVIRONMENTAL DOCUMENTS 7. Companies subject to carcinogen standards: a) Authorized personnel rosters b) Medical records c) Monitorinq or inspection reports 8. Companies subject to ground fault standards: a) Testinq records 9. Companies subject to ethylene oxide standard 29 CFR 1910.1047 a) Testinq records 10. Environmental site files includinq insurance claims 11. Records relatinq to disposal of hazardous waste 0. 1. Lab test reports MANUFACTURING 2. Product toolinq, desiqn, specifications and research data 3. Enqineerinq chanqe requests 4. Engineering change notices 5. Work orders 6. Bills of material 7. Safety related tests and inspection reports for exist!nq products 8. Records showing quantities, sources, costs, shipment dates and related information for products assembled abroad with U.S. components RETENTION PERIOD (20) (30) (P) (P or until superseded) (P) (P) (3) RETENTION PERIOD (20 plus written approval of General Counsel) (20) (10) (10) (3) (2) (5) (5 from date of re-entry) SCHEDULE 5 (continued) Page 13 E. QUALITY CONTROL AND INSPECTION 1. Inspection and test records 2. Customer service records 3. Eauioment and Instrument calibration records 4. Material substitution records 5. Supplier duality data 6. Returned qoods records 7. Consumer complaints 6. Sunmarv of consumer complaints - RETENTION PERIOD ________________ (P)_________________________ (10) (10)' (10) (10) (10) (90 days) (5) SCHEDULE 6 Page 14 A. SALES AND MARKETING 1. Catalogs and price lists 2. Advertising copy and marketing programs 3. Copies of packaging materials and instructions 4. Customer order files 5. Customer correspondence files 6. Salesmen's reports 7. Sales department copies of invoices 6. Rebate and co-op advertising payments 9. Exporter's certificate of origin and information necessary to prepare certificate for exports to or imports from Canada 10. Records relating to dutv drawbacks on exports B. CREDIT RELATIN6 TO CUSTOMERS 1. Application for credit, approval forms, qualification reports 2. Collection litigation files 3. Correspondence - collection 4. Customer financial statements 5. Guarantees and subordination agreements 6. Security agreements & financing statements RETENTION PERIOO (P) (5) (5) ' (4) (4) (2) (1) (6) (5) (41 RETENTION PERIOD (1 after account becomes inactive) (3 after legal settlement and satisfaction of .ludqment) (2) (until superseded) (3 after termination and settlement of account) (3 after satisfaction) SCHEDULE 6 (continued) c. PROCUREMENT MATERIAL CONTROL 1. Purchase order reqister 2. Vendor files (requisitions, purchase orders, quotations, correspondence) 3. Inventory control reports 4. Production schedules 0. TRAFFIC AND TRANSPORTATION 1. Freiqht bills 2. Bills of ladinq, waybills 3. Freiqht claims 4. Household moves 5. Rates and tariffs Page 15 RETENTION PERIOD (6) (6) 1 (3) (1) RETENTION PERIOD (3) (2 after delivery) (2 after settlement) (3 after move) U after superseded) SCHEDULE 7 A. LETTERS TO BE DESTROYED WITHIN ONE YEAR 1. Routine letters end notes which require no acknowledgment or follow-up, such as notes of appreciation, congratulations, letters of transmittal and plans for meetings 2. Form letters which require no follow-up 3. Copies of interdepartmental or other company correspondence where a copy of same will be in the originating department's file 4. Letters of qeneral inquiry and replies which complete a cycle of correspondence 5. Letters or complaints requesting specific action which have no further value after changes are made or action taken (such as name or address change) 6. Other letters of inconsequential subject matter or which definitely close correspondence to which no further reference will be necessary 7. Chronoloqical correspondence files B. LETTERS TO BE KEPT FROM 1 TO 5 YEARS 1. Letters explaining but not establishing company policy 2. Letters relating to establishing credit 3. Collection letters after the account is paid 4. Quotation letters where no contract results C. LETTERS TO KEEP INDEFINITELY OR FOR THE LIFE OF TiC PRINCIPAL DOCUMENT WHICH IT SUPPORTS 1. Letters pertaininq to patents, copyrights, bills of sale, permits, etc. 2. Letters which constitute all or a part of a contract or which are Important in the clarification of certain points in a contract 3. Letters denying liability of the company Page 16 RETENTION PER 100 (1) (1) l (1) (1) (1) (1) (1) RETENTION PERIOD (1 - 5) o - 5) a - 5) (1 - 5) SCHEDULE 7 (continued) Page 17 D. MISCELLANEOUS 1. Books, professional periodicals, published reports, etc. 2. Charitable contribution records 3. Consultants reports 4. Departmental budgets and related work sheets 5. Major corporate and division policy and procedure manuals 6. Major speeches by corporate officers 7. Material of historical value (pictures, publications, etc) 8. Project files not otherwise classified 9. Trade association materials RETENTION PERIOD (review annually for usefulness and discard obsolete material) (7) , (2) (2) (Originating department permanent receiving department retain only current version) (4 thereafter, review for historical value) (P, in custody of archives or public relations department) ' (review at close of project) (review annually for usefulness)