Global Complete Schedule

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Rockwell Automation Records Retention Schedule - International 2/15/2011
Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 ACCOUNTING Accounts Payable Authorizations Record Title 2 Record Series# Record Description ACC.00.00 ACC.05.00 ACC.05.05 See subcategories for definitions. Purchase limits and authorizations to issue payment. see sub-categories Designation of authority see sub-categories C+7 see sub-categories C+10 China C+15 see sub-categories see sub-categories C+10 C+10 AC.30; AC.40; CO.40; AC.30; AC.40; CO.40 AC.30; AC.40; CO.40; AC.50 AC.30; AC.40; CO.40; AC.30; AC.40; CO.40; AC.30; AC.40; CO.40; Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference
Debit / Credit Memos
ACC.05.10
Debit / Credit memos processed, and Originals need to be kept. All other soft and related supporting documentation of multipart copies can be destroyed when payment adjustment to vendor. Return to done with them vendor Expense reports, corporate Travel & Expense credit card statements, and supporting documentation. Invoices, vendor invoices and proofs of payment. Car rental/personal vehicle use, Travel & Expense receipts
TAX
C+10 China C+15
C+10
C+10
Employee Expenses
ACC.05.15
TAX
C+10 China C+15 C+10 China C+15
C+10
C+10
Invoices and Vouchers
ACC.05.20
Invoices
TAX
C+10
C+10
Payables / Procurement Packages
ACC.05.25
A/P voucher register report, A/P Settlement Accounts payable audit record Hard Copy Register, Check requests, A/P Distribution, and EDI. Procurement Card receipts (Procurement), Customer credits Records documenting disbursements of cash from the petty cash fund. See subcategories for definitions. Accounts Receivable trial balance, customer statements, aging, bad debts write-offs, reserve analysis, customer dispute resolution, adjustments, reconciliations, and aging.
TAX
C+10 China C+15
C+10
C+10
Petty Cash Accounts Receivable
ACC.05.30 ACC.10.00
Petty cash receipt books see sub-categories A/R Roll forward Analysis-daily, system credit memos, reliance A/R adjustment files, cost receiver report, Disputed resolution file, Month end statements, remediation letters, customer correspondence
C+7 see sub-categories
C+10 China C+15 see sub-categories
C+10
C+10
see sub-categories see sub-categories
Collections and Aging
ACC.10.05
TAX
C+10 China C+15
C+10
C+10
AC.30; AC.40; CO.40;
Customer Credit File
ACC.10.10
Customer credit files, including credit Bankruptcy support, credit analysis detail, ratings, financial statements, credit limit Bankruptcy File proof of claim, Credit: documentation, UCC filings, PO Copies, approval letters, D&B ratings, credit limits correspondence and reserve analysis. Accounts receivable customer ledgers, sales and cost of sales (COS), Return material authorizations, credit card orders, customer shipping errors, customer PO..
TAX
C+10 China C+15
C+10
C+10
AC.30; AC.40; CO.40
Customer Ledgers
ACC.10.12
Accounts Receivable secondary or final records of financial transactions containing individual accounts
TAX
C+10 China C+15
C+10
C+10
AC.10 AC.30; AC.40; CO.40; AC.60
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference
Receivables Package
ACC.10.15
Official accounts receivable audit package; includes sales invoice, proof of payment and adjustments, cash discount recognition, debit/credit memos, cash application, batch reports, activity reports, remittance reports, correspondence, and related documents. See subcategories for definitions. Lists of employees authorized to initiate payment to vendors.
Additions Batch Control Report, cash receipt detail, cash PERM box detail, Delegation of Authority, Cash discount allowances recognition, Claim for reimbursement (tax free credit),
TAX
C+10 China C+15
C+10
C+10
AC.30; AC.40; CO.40;
Banking Authorized Signatures
ACC.15.00 ACC.15.05
see sub-categories Designation of authority
see sub-categories T+7
see sub-categories T+10 China T+15 ACT+10 China ACT+15 ACT+10 China ACT+15 ACT+10 China ACT+15 ACT+10 China ACT+15
see sub-categories see sub-categories T+10 T+10 AC.30; AC.40; CO.40; AC.30; AC.40; CO.40; AC.30; AC.40; CO.40; AC.30; AC.40; CO.40; AC.30; AC.40; CO.40; AC.30; AC.40; CO.40;
Cancelled Checks and Statements
ACC.15.15
Actual or images of cancelled checks and Accounts payable check and bank monthly statements on accounts; includes statements stopped and voided transactions. Records of wire transfers and electronic funds transfers. Records of foreign exchange transactions. Daily Cash Sheets, Cash Management Records comparing and reconciling bank Reports, Cash Activity Report, Bank statements to actual bank transactions. reconciliation reports Internally and externally generated lists or books of checks issued, statements of bank account activity and reconciliation. See subcategories for definitions. Wire Transfers
TAX
ACT+10
ACT+10
Electronic Banking
ACC.15.20
TAX
ACT+10
ACT+10
Foreign Exchange
ACC.15.25
TAX
ACT+10
ACT+10
Reconciliations-Account
ACC.15.30
TAX
ACT+10
ACT+10
Registers, Check
ACC.15.35
A/P Check Registers, Check register
TAX
ACT+10 China ACT+15
ACT+10
ACT+10
Capital Property
ACC .20.00
see sub-categories
see sub-categories
see sub-categories
see sub-categories see sub-categories AC.10 AC.30; AC.40; CO.40; AC.60 AC.10 AC.30; AC.40; CO.40; AC.60
Acquisitions, Disposition and Sales
ACC.20.05
Records documenting proper approvals, project specifics, and the purchase or sale Fixed asset: disposal and transfer of capital assets. Disposition of assets, stock, or investments.
DA + 10
DA+15
DA+15
DA+10
Depreciation Schedules
ACC.20.10
Records documenting the amount, timetable and type of depreciation for property and equipment.
Depreciation records
DA + 10
DA+15
DA+15
DA+10
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference AC.10 AC.30; AC.40; CO.40; AC.60 AC.10 AC.30; AC.40; CO.40; AC.60 AC.10 AC.30; AC.40; CO.40; AC.60 AC.10 AC.30; AC.40; CO.40; AC.60
Inventory and Detail
ACC.20.15
Records describing the type and location Equipment Transfers/Property, Asset of capital property; transfers; may include management records, Valuation / date of purchase, purchase price, appraisals. Book Life depreciation, and current value.
DA + 10
DA+15
DA+15
DA+10
Accounting - ACC - Accounting
State Abandoned Property
ACC.20.20
Records related to abandoned property and associated documentation.
T+6
T+10 China T+15
T+10
T+10
Closings
ACC.25.00
Month end reports, Bad debt quarterly Periodic reports and analyses of revenue report and sign off's, Bad debt scheduled and expenses. audit reports. DV and OE reports for Milwaukee projects only
TAX
C+10 China C+15
C+10
C+10
Cost Accounting
ACC.30.00
Records associated with estimating, Labor Costs/hourly payroll data, Product tracking and controlling product cost and costs, Labor charge per repair. (AMAPS, service costs information ABMS) See subcategories for definitions. see sub-categories
C+7
C+10 China C+15
C+10
C+10
General Accounting
ACC.35.00
see sub-categories
see sub-categories
see sub-categories see sub-categories AC.10 AC.30; AC.40; CO.40; AC.60 AC.10 AC.30; AC.40; CO.40; AC.60 AC.10 AC.30; AC.40; CO.40; AC.60 AC.10 AC.30; AC.40; CO.40; AC.60 AC.30; AC.40 CO.40
Chart of Accounts
ACC.35.05
Listing of the account names and codes used in the accounting system.
Maintenance of accounts
TAX
ACT+10 China ACT+15
ACT+10
ACT+10
Journals
ACC.35.10
Original input record of financial transactions and supporting documentation in chronological order.
Accrual Schedules and work papers, allocations, tax accruals, Journal entry
TAX
ACT+10 China ACT+15
ACT+10
ACT+10
Reconciliations
ACC.35.20
Reconciliations of account detail, A/P G/L Interface Report, Balance subsidiary accounting systems, and sheet/reconciliation signatures operating systems to the General Ledger.
TAX
ACT+10 China ACT+15
ACT+10
ACT+10
Trial Balance
ACC.35.25
Trial balance ledger and aging and analysis reports. Listing of all accounts.
End results of A/P trial balance and A/R Ledger: Customer and vendor information to support balance
TAX
ACT+10 China ACT+15
ACT+10
ACT+10
General Ledger
ACC.37.00
General Ledger: fiscal year end only ledgers
General Ledger
C+25
C+10 China C+15
C + 10
C + 10
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Intercompany & International Transfer Pricing
ACC.40.00
Records of Intercompany transactions, Interdivision or Intercompany Invoices, international and domestic, related Intercompany advises, Intercompany price pricing, and related accounting documentation. International accounting transfers instructions
TAX
TAX
TAX
TAX
AC.10; AC.30; AC.30; AC.40; CO.40; AC.50
Intercompany Lending
ACC.45.00
Records documenting Intercompany loan requests, approval, payments, and outstanding balances. Inventory tags, physical inventory reconciliations, Inventory of goods -Stock Perpetual and physical inventory records 220, scrap documentation, excess and of raw materials, finished goods, and obsolete inventory reserve calculations, retail products. calculation of inventory standard costs, cycle count records. E7O reserves, engineering rate calculations See subcategories for definitions. Bonus formulae and calculations. Workpapers and Supporting details for Bonus calculations Information about and instructions concerning deductions from employee pay, including garnishments. Guidelines and documentation concerning processes, limitations and individual deferred compensation accounting. Personnel transactions: hire, transfer & termination dates. Deductions, balances, hours worked, rates of pay Records documenting employee wages and withholding, including employee names, employment periods, final check amounts, and related information. Employees gross & net income. Information needed for pension calculations. Timecard Database, Timecard Approval Sheet, Master payroll data, Manpower reports Loan Register , 401K Wire transfers, CBIZ tax reports see sub-categories
TAX
TAX
TAX
TAX
AC.10; AC.30; AC.30; AC.40; CO.40 AC.30; AC.30; AC.40; CO.40; LG.20.30
Inventories
ACC.50.00
TAX
C+10 China C+15
C + 10
C + 10
Payroll Bonuses Summary Bonuses- Workpapers
ACC.55.00 ACC.55.05 ACC.05.06
see sub-categories C+8 C+2
see sub-categories C+3 China E+5 C+3
see sub-categories see sub-categories C+5 Romania C+50 C+5 C+5 C+5 AC.50; LG.20.13 AC.50; LG.20.13 AC.50; LG.20.13
Deductions
ACC.55.10
C+8
C+3 China E+5
C+5 Romania C+50
C+5
Deferred Compensation
ACC.55.15
C+8
C+3 China E+5
C+5 Romania C+50
C+5
AC.50; LG.20.13 AC.40; AC.50; LG.20.13 AC.40; AC.50; LG.20.13
Payroll Master
ACC.55.17
C + 50
C + 50
C + 50
C + 50
Payroll Registers
ACC.55.20
C+8
ACT+10 China ACT+15
ACT+10 Romania ACT+50
ACT+10
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Payment of deferred annuities, retirees collecting, commuted values, death in service benefits and death after service benefits Sales commission/compensation calculations. Monthly sales commission reports, Sales commission calculation & supporting documentation, Salesmen Commission statements Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference AC.40; AC.50; LG.20.13
Pension Payments
ACC.55.23
C + 50
C + 50
C + 50
C + 50
Sales Compensation
ACC.55.27
C+8
C+3 China E+5
C+5 Romania C+50
C+5
AC.50; LG.20.13
Sales Compensation Work Papers
ACC.55.28
Workpapers and supporting details for Sales commission/compensation calculations. Payroll: time and attendance, punched time cards, timesheets for auditors, track hours of externally funded projects Records documenting employee earnings, income tax withheld, agency filings, and statements of fees paid to independent contractors.
C+2
C+3
C+5
C+5
AC.50; LG.20.13
Timecards/Attendance
ACC.55.30
Start & End time, default work schedules, hourly, salary, and sales employees
C+ 2
ACT+10 China ACT+15
ACT+10 Romania ACT+50
ACT+10
AC.40; AC.50; LG.20.13
W-2, W-4, 1099, 1099R
ACC.55.35
C+8 Canada C + 4
C+3 China E+5
C+5 Romania C+50
C+5
AC.50; LG.20.13
ADMINISTRATION Administrative Services
ADM.00.00 ADM.05.00 See subcategories for definitions. Planning, Scheduling and arranging of internally coordinated meetings and events. Requisitions and listings of supplies, office goods and consumables. See subcategories for definitions. Records of maintenance and repair facility audits and corrective actions. All aircraft maintenance and repair records, components time-in-service records and component alteration and inspection and AD status records maintained in the CAMP (Computerized Aviation Maintenance Program) system for airframe, components, engine, emergency locator, instruments, and postrepair checkout. see sub-categories Audit reports and corrective action plans see sub-categories Open house, picnic records, Christmas party, University Sponsored events see sub-categories C+3 see sub-categories C+3 see sub-categories see sub-categories C+3 C+3 NONE
Event Planning and Administration
ADM.05.05
Supplies Aviation Audits and Corrective Actions
ADM.05.10 ADM.10.00 ADM.10.03
C+1 see sub-categories C+2
C+1 see sub-categories DE+6
C+1
C+1
NONE
see sub-categories see sub-categories DE+6 DE+6 AV.25; AV.32; AV.60
Maintenance Records
ADM.10.05
IRS Accuracy Form (maintenance), Daily Maintenance Log, Maintenance records: inhouse repairs and outsourced repairs, Warranty claims on aircraft, Work cards: mechanics fill out what was down on plane
DA + 6
DE+6
DE+6
DE+6
AV.30; AV.60
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Records of permits obtained from domestic and international governments permitting aviation activities. All aircraft maintenance and repair records. Pilot and air crew logbooks, and information stored in PFM (Professional Flight Management) system. Daily inspection compliance form (maintenance) Flight Log, Trip Sheet, schedules, Dispatcher records Sample Documents in Category US, Canada, Mexico Retention (years) T+6 Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference LG.20.40; LG.20.20 LG.20.15 AV.25; AV.32; AV.60 AV.10
Permits
ADM.10.10
T+6
T+6
T+6
Inspections
ADM.10.15
SUP + 6
DE+6
DE+6
DE+6
Crew Logbooks
ADM.10.20
IND
IND
IND
IND
Aircrew Training
ADM.10.25
All records documenting pilot and other aircrew training.
US C+ 2 Pilot Qualification/Training Records Canada SUP+ 3 see sub-categories see sub-categories
Two training cycles+3
AV.40
Business Continuity
ADM.15.00
See subcategories for definitions. Disaster Recovery Plans: Records describing the procedures for continuing the operation of the organization in the event of a disaster. Includes the vital records program to reconstruct the vital information of the organization.
see sub-categories
Disaster Recovery Policies and Procedures
ADM.15.05
Business continuity
SUP + 7
SUP + 7
SUP + 7
SUP + 7
NONE
Emergency Policies and Procedures
ADM.15.10
Emergency Action Plans: Records describing the procedures to be followed Emergency response plans, Fire drill reports in an emergency.
SUP + 3
SUP + 3
SUP + 3
SUP + 3
NONE
Hazardous Waste Contingency Plan
ADM.15.12
Hazardous waster contingency plans required of Large quantity generators. Listings of records without which the organization would suffer significant financial and operational harm. Archival and historical documentation relevant to the history or structure of the organization.
Copy of plan and all revisions/versions must be kept at the facility.
SUP + 7
SUP + 7
SUP + 7
SUP + 7
NONE
Vital Records Listings
ADM.15.15
Significant documentation binder
SUP
SUP
SUP
SUP
NONE
Corporate History
ADM.20.00
Documents reflecting the significant history of the company
PERM
PERM
PERM
PERM
NONE
Correspondence
ADM.25.00
Chronological files, reading files and Correspondence with suppliers, other short term reference collections of Correspondence with Real Estate communications filed elsewhere by topic. management company
C+2
C+2
C+2
C+2
NONE
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) C Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference
Calendar
ADM.27.00
Calendars
NONE
Departmental Management Policies and Procedures
ADM.30.00 ADM.45.00
Records or copies of other records kept for operation use only See subcategories for definitions. Reports, work papers, and supporting notes and correspondence regarding internal audits of process, policy compliance, and workflow.
departmental objectives, staff meetings, see sub-categories Freight invoice audit, Procedures for Manufacturing processes, Process audit, Operational audit
C+2
C+2
NONE
Internal Process & Workflow Audit - NonFinancial
ADM.45.05
SUP + 7
SUP + 7
SUP + 7
SUP + 7
LG.20.15; LG.20.30
Policies
ADM.45.10
Formal company policies communicated Corporate and departmental Policies: Sexual to and enforced among all personnel. Harassment, ethics, email, acceptable use Administrative and operating guidelines and procedures. Product administrative and operating guidelines and procedures Records of activities related to professional organizations and memberships. See subcategories for definitions. Information about drivers of companyowned motor vehicles. Common procedures departmental, facility, safety and health procedures
SUP + 7
SUP + 7
SUP + 7
SUP + 7
LG.20.15; LG.20.30 LG.20.15; LG.20.30 LG.20.15; LG.20.80; MF.15 PV.65
Procedures -non-product related
ADM.45.15
SUP + 7
SUP + 7
SUP + 7
SUP + 7
Procedures - product related
ADM.45.20
LOP + 10
LOP + 10
LOP + 10
LOP + 10
Professional Activities
ADM.50.00
CLE's
C+3
C+3
C+1
C+3
Property & Facility Management
ADM.55.00
see sub-categories Copy of employee's Drivers license, signed consent to check Department of Motor Vehicle records
see sub-categories
see sub-categories
Company Car Driver Information
ADM.55.05
ACT+ 2
ACT+ 2
ACT+ 2
ACT+ 2
PV.60
Drawings / Blueprints
ADM.55.10
Records detailing the design of company Floor plans for facilities facilities. Operating manuals, owners manuals, and specification sheets for purchased or internally created equipment of any type not covered elsewhere. Records documenting the assessment, approval and executions of design, construction, renovation or repair of office, lab, storage, manufacturing, grounds, and any other facilities. PAR- Project authorization form, Project Folders: capital improvements, physical, financial, blueprints, costs, contractual sheets, furniture, Environmental impacts
ACT + 6
ACT + 6
ACT + 6
ACT + 6
LG.20.15
inistration - Administration
Equipment Operation Manuals and Specifications
ADM.55.15
LOE + 6
LOE + 6
LOE + 6
LOE + 6
LG.20.15
Facilities Projects
ADM.55.20
T+6
T+6
T+6
T+6
LG.20.15
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Administration - Admi Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) ACT + 6 Asia Retention (years) ACT + 6 EMEA Retention South America Legal (years) Retention (years) Reference ACT + 6 ACT + 6 LG.20.15 AC.10; AC.30; AC.40; CO.40; AC.60
Motor Vehicle Reports
ADM.55.25
Reports from motor vehicle authorities on Fleet and safety information on the actual company motor vehicles driven by vehicles Employees. Records describing the type, model, and location of property.
Property Inventory
ADM.55.30
ACT + 6
C+10 China C + 15
C + 10
C + 10
Service Requests and Maintenance Records
ADM.55.35
Facilities help ticket for repairs: tracks Records requesting and documenting the costs, resolution, Factory maintenance of maintenance and repair of property or machines, Preventative maintenance of equipment. building records, Preventative maintenance records, Repair of non-Rockwell equipment Records of company-owned vehicles that have been sold, including maintenance histories of sold vehicles. See subcategories for definitions. see sub-categories
T+6
T+6
T+6
T+6
NONE
Sold Cars/Vehicle Reports
ADM.55.40
T+6
C+10 China C + 15 see sub-categories
C + 10
C + 10
AC.10; AC.30; AC.40; LG.20.15
Purchasing
ADM.60.00
see sub-categories
Purchasing Planning
ADM.60.05
Documents and schedules supporting planning for future purchases of raw materials, parts, and supplies, requests for Supplier Evaluations, Preferred Supplier quotes and analysis, supporting inventory List, RFI & RFP control, meeting vendor rebate requirements, and other purchasing incentives. Official audit record of the purchasing transaction, including documents/data such as requisitions, bids, contract template, evaluations, purchase orders, awards, bills of lading, invoices and adjustments. Purchase Requisitions Minority Business Enterprise vendor tracking and similar materials.
C+3
C+3
C+3
C+3
NONE
Purchase Orders - Purchasing Package
ADM.60.10
Record of Purchase Order, Purchase Requisition, Debit Memos, Supplier Quotes, Vendor payments
TAX
C+10 China C + 15
C + 10
C + 10
AC.30; AC.30; AC.40; CO.40
Requisitions MBE Vendor Tracking
ADM.60.15 ADM.60.20
EPAR- Electronic Purchase authorization request, E requisitions Supplier diversity certificates
C+2 C+3
C+10 China C + 15 C+3
C + 10 C+3
C + 10 C+3
AC.30; AC.30; AC.40; CO.40 NONE LG.10.10; LG.10.20; LG.10.60; LG.20.15; LG.20.20; LG.20.80
Supply Chain Management
ADM.60.22
Supply chain management, including contractual agreements with suppliers, unit volume, pricing, order copies, copies Materials management of annual pricing contracts, and forecast data.
C+6
C+10 China C + 15
C+10
C+10
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Information on outside vendors, including brochures, product lines, pricing and similar material. Purchasing proposals, bids, or quotes not accepted. See subcategories for definitions. Records that document information security policies and other similar security-related documents. Investigations and assessments of considered applications and documentation of approved micrographics or electronic imaging programs. Records documenting the disposition of records in accordance with the records retention program. Records documenting the formulation and administration of the records management program and the supporting policies and procedures. Official Records Retention Schedule including legal research, revisions, review comments, approvals and other related information. Information concerning commercial or company-administered records storage operations, productivity and related services. See subcategories for definitions. Lists detailing information about employees and visitors who have been issued security cards and badges. Requests for keys and locks. Key inventory assignments. see sub-categories Sample Documents in Category US, Canada, Mexico Retention (years) ACT Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference
Vendor Information
ADM.60.25
Supplier surveys: risk assessment, justification, Vendor files
ACT
ACT
ACT
NONE
Declined Proposals Records Management
ADM.60.30 ADM.65.00
C+2
C+2
NONE
see sub-categories see sub-categories LG.20.05; LG.20.30; LG.20.40; LG.20.95 LG.20.05; LG.20.30; LG.20.40; LG.20.95 LG.20.05; LG.20.30; LG.20.40; LG.20.95 LG.20.05; LG.20.30; LG.20.40; LG.20.95 LG.20.05; LG.20.30; LG.20.40; LG.20.95 LG.20.05; LG.20.30; LG.20.40; LG.20.95
Information Security Policies
ADM.65.05
ACT + 7
ACT + 7
ACT + 7
ACT + 7
Micrographics and Imaging
ADM.65.10
ACT + 7
ACT + 7
ACT + 7
ACT + 7
Records Disposition
ADM.65.15
Certificates of Destruction
PERM
PERM
PERM
PERM
Records Program Policies and Procedures
ADM.65.20
ACT + 7
ACT + 7
ACT + 7
ACT + 7
Records Retention Schedule
ADM.65.25
Records Retention Log (Form DCCP.16.01)
PERM
PERM
PERM
PERM
Records Storage
ADM.65.30
Receipt from outside storage facilities
ACT + 7
ACT + 7
ACT + 7
ACT + 7
Security
ADM.70.00
see sub-categories
see sub-categories
see sub-categories
see sub-categories see sub-categories LG2.0.15; LG.20.20; LG.20.30; PV.40; PV.60 LG20.15; LG.20.20; LG.20.30; PV.40; PV.60
Identification Badge Photo Files
ADM.70.05
Key access cards, Security clearance access
ACT + 4
ACT+4
ACT+2
ACT+4
Lock & Key Controls
ADM.70.10
Facility key logs
ACT + 2
ACT + 2
ACT + 2
ACT + 2
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Investigations of events, such as bomb threats, workplace violence, domestic violence, and or other events where security may have been compromised. Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference ACT+ MAXIMUM 2 weeks LG20.15; LG.20.20; LG.20.30; PV.40; PV.60 LG20.15; LG.20.20; LG.20.30; PV.40; PV.60 LG20.15; LG.20.20; LG.20.30; PV.40; PV.60 NONE LG20.15; LG.20.20; LG.20.30; PV.40; PV.60 NONE
Security Incident Files
ADM.70.15
Incident report files
ACT + 4
ACT + 4
ACT + 4
Security Duty Logs
ADM.70.20
Listing of exceptional items occurring on Security shift logs shift/day. Security review findings by HQ or other organizations including follow-up on actions. C-TPAT certification Digital video cameras surveillance
ACT + 2
ACT + 2
ACT + 2
ACT + 2
Security Review/Plans
ADM.70.30
Records documenting the procedures pertaining to security of employees, equipment, buildings, and information. Video security camera surveillance recordings.
ACT + 7
ACT + 7
ACT + 7
ACT + 7
Security Camera Surveillance
ADM.70.35
SUP
SUP
SUP; MAXIMUM 1 week C+1
SUP
Visitor Registration Logs
ADM.70.40
Records listing information about visitors Visitor Logs entering organization premises.
C+1
C+1
C+1
Projects / Meetings CORPORATE Board of Directors Actions/Resolutions
ADM.70.45 COR.00.00 COR.05.00 COR.05.05
Records supporting non-product related projects
Black and Greenbelt Lean/Six Sigma projects; BLC, HRC, PRC meeting materials
T+ 6
T+ 6
T+ 6
T+ 6
See subcategories for definitions. Official records of Board actions and resolutions. Official records of Board-level committees including actions taken, agendas, and meeting minutes. Information maintained on members of the Board of Directors. Official notices of meetings of the Board of Directors. Official records of Board meetings, including agendas, attendees, minutes, directors packages, and formal documentation of written consents. See subcategories for definitions.
see sub-categories Powers of Attorney (POA) and Delegations of authority (DOA) Business standards & audit Board of Directors committee, Audit committee, Committee charters Director compensation
see sub-categories PERM
see sub-categories PERM
see sub-categories see sub-categories PERM PERM CO.10.10; CO.10.20 CO.10.10; CO.10.20 LG.20.05; LG.20.40; LG.20.90 LG.20.05; LG.20.40; LG.20.90 CO.10.10; CO.10.20
Committees
COR.05.10
PERM
PERM
PERM
PERM
Director Information
COR.05.15
T+6
T+6
T+10
T+10
Meeting Notices
COR.05.20
C+6
T+6
T+10
T+10
Meetings
COR.05.25
Annual Board of Director meeting minutes/materials, Corporate Governance meeting minutes, see sub-categories
PERM
PERM
PERM
PERM
Corporate Ownership
COR.10.00
see sub-categories
see sub-categories
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) ACT + 10 Asia Retention (years) C+10 China C + 15 EMEA Retention South America Legal (years) Retention (years) Reference C + 10 C + 10 CO.10.20; CO.25; AC.40; CO.40 CO.10.20; CO.25; AC.40; CO.40 CO.10.20; CO.25; AC.40; CO.40 CO.10.20; CO.25; AC.40; CO.40 CO.10.20; CO.25; AC.40; CO.40 CO.10.20; CO.25; AC.40; CO.40 CO.10.20; CO.25; AC.40; CO.40 CO.10.20; CO.25; AC.40; CO.40
Dividend Records
COR.10.05
Records indicating payment of dividends Dividend planning to shareholders. Records supporting section 16 filings and Inside SEC reporting of Directors & other information required by the SEC Corporative governance regarding insider trading. Records pertaining to shareholder meetings, including minutes, proxies, notices, voting records and actions. Registration statements and related filings to maintain listings on NYSE and UK Listing. US and Foreign applications, approvals & Filings Records documenting the ownership of stock in the corporation. Detailed and summary information tracking stock ownership. Records documenting and supporting the Board of Directors approved Stock Repurchase Program. Data base of subsidiary administration Subsidiaries records and other related records for internal use. Records that include Articles of Incorporation, Certificates of Formation, Certificates of Partnership, Joint Venture Articles of incorporation Agreements, Foreign Qualifications to do Business, and other related enabling documentation. Bylaws, partnership agreements, LLC agreements and similar documents. Records related to communications with governmental agencies and monitoring of legislation and regulations. Records of political action and fundraising and compliance with Federal Political Contribution Reporting Files and State election and campaign finance laws. Annual stockholders meeting minutes/materials, Pendulum book-Q&A for the CEO as prep for the annual stockholders meeting Shareholder records, Proxy statement binder, Registration statements of stock plans, SEC disclosure of business reports
Insider Trading Filings
COR.10.10
C+6
C+6
C+6
C+6
Shareholder Meetings and Minutes
COR.10.15
PERM
PERM
PERM
PERM
Registration Statements
COR.10.20
ACT + 10
ACT+10 China ACT+15
ACT+10
ACT+10
Stock Certificates
COR.10.25
ACT + 10
ACT+10 China ACT+15 ACT+10 China ACT+15 ACT+10 China ACT+15
ACT+10
ACT+10
Stock Ledgers
COR.10.30
ACT + 10
ACT+10
ACT+10
Stock Repurchase Program
COR.10.35
ACT + 10
ACT+10
ACT+10
Subsidiary Administration
COR.10.40
C + 10
C+10 China C+15
C+10
C+10
Formation and Authorizations
COR.15.00
PERM
PERM
PERM
PERM
CO.10.10; CO.30; CO.50
Governance
COR.20.00
PERM
PERM
PERM
PERM
CO.10.10; CO.10.20; CO.30; CO.50 see subcategories LG.20.10; LG.20.40; LG.20.90; LG.20.95
Government Relations
COR.25.00
see sub-categories
see sub-categories
orporate
Elections & Campaign Finance
COR.25.05
C+6
C+6
C+6
C+6
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Information on legislative, regulatory and association issues compiled in monitoring legislative, regulatory and political activities, and used in reports and advice to senior management, lobbying, association activities, and industry-related coalitions. Lobbyist registrations required by Federal and State authorities, as well as backup information used to complete the registrations. Lobbyist reports required by Federal and State authorities, as well as backup information used to complete reports. Records related to maintaining relationships with legislators, regulators and other policy makers. Communications with investors in the company, which may include transmission of the annual report, shareholder reports, correspondence, and related information, as well as supporting work papers. Records of corporate organization, reorganization and similar structure documents. See subcategories for definitions. Records related to participation or promotion of community activities, charitable contributions, civic organizations, etc. Applications received but not approved requesting money for charitable or educational purposes. Approved grant applications, disbursement paperwork, tracking and other documents related to the grant and its subsequent history. see sub-categories Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference
Corporate - Cor
Legislative, Regulatory & Association Issues
COR.25.10
C+6
C+6
C+6
C+6
LG.20.10; LG.20.40; LG.20.90; LG.20.95
Lobbyist Registrations
COR.25.15
C+6
C+6
C+6
C+6
LG.20.10; LG.20.40; LG.20.90; LG.20.95 LG.20.10; LG.20.40; LG.20.90; LG.20.95 LG.20.10; LG.20.40; LG.20.90; LG.20.95 LG.20.10; LG.20.30; LG.20.40; LG.20.90; LG.20.95 CO.10.10; CO.10.20; CO.30; CO.50 see subcategories GN; LG.20.30; LG.20.40
Lobbyist Reports
COR.25.20
C+6
C+6
C+6
C+6
Relationships
COR.25.25
ACT + 6
ACT + 6
ACT + 6
ACT + 6
Shareholder Relations
COR.30.00
C+6
C+6
C+6
C+6
Organization & Reorganization
COR.35.00
PERM
PERM
PERM
PERM
Public Relations
COR.40.00
see sub-categories
see sub-categories
Community Relations
COR.40.05
United Way, Matching gifts, Good Neighbor , National Merit
C+6
C+6
C+6
C+6
Grant Applications, rejected
COR.40.06
Unapproved grant applications
C+5
C+5
C+5
C+5
NONE
Grant Packages
COR.40.07
Grant applications, grant audits, correspondence
C + 10
C+10 China C + 15
C+10
C+10
AC.30 AC.40
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) C+5 Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference GN; LG.20.30; LG.20.40 GN; LG.20.30; LG.20.40 GN; LG.20.30; LG.20.40
Industry Relations
COR.40.10
Records related to associations and other Trade association files: competitor reports, cooperative efforts with other Trade Association committees: minutes, organizations in the industry. policies Internal company communications and bulletins to employees. Copies of articles about the organization appearing in the media related to important activities or milestones. Photographs and video (analog and digital), including negatives, appropriate for use in publicizing individuals within the organization or organization activities. Articles, publications, studies and other publicly available descriptions of the company and company events. Records pertaining to corporate strategy and direction, including competitive intelligence and trends. Audio tapes-corporate speeches Clock tower News, News Flash, RAIN
C+5
C+5
C+5
Internal Communications
COR.40.15
C+6
C+6
C+6
C+6
News Releases
COR.40.20
Press releases, White papers, Announcements: company and product
C+5
C+5
C+5
C+5
Photographs & Video
COR.40.25
C+6
C+6
C+6
C+6
NONE
Public Information
COR.40.30
C+5
C+5
C+5
C+5
NONE
Strategic Planning FINANCE Capital Budgets
COR.45.00 FIN.00.00 FIN.05.00
Strategic Plan
ACT + 6
ACT + 6
ACT + 6
ACT + 6
CO.10.10; CO.50
See subcategories for definitions.
see sub-categories
see subcategories
see subcategories C+10 China C + 15
see subcategories see subcategories AC.10; AC.30; AC.40; CO.40 AC.10; AC.30; AC.40; CO.40 AC.10; AC.30; AC.40; CO.40
Annual Capital Budgets
FIN.05.05
Authorized capital budgets and associated Capital Budget projects work papers and documentation. C + 10 Records of funds used for purchase or betterment of facilities, property or other Capital Expenditures capital investments. Project capitol approval forms, Project files: capital- PAR, asset schedule, invoices, EPAR-capital equipment approval
C+15
C+10
Expenditures
FIN.05.10
TAX
C+10 China C + 15
C+15
C+10
Projects
FIN.05.15
Capital Projects - PARB
C + 10
C+10 China C + 15
C+15
C+10
External Financial Audits
FIN.10.00
Records reviewing and documenting financial information created as part of an audit performed by an outside person or organization and work papers.
Audit notification letter, Pension plan audit, Statutory audit work papers, External Audit reports, findings, corrections plans
TAX
ACT+10 China ACT+15
ACT+10
ACT+10
AC.30; AC.40; CO.40
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Certifications as to the integrity and accuracy of the organization's published financial statements made pursuant to regulatory requirements See subcategories for definitions. see sub-categories Departmental expense analysis, metrics, Aircraft Operating Expenses Report, Monthly financial reports, Cash flow reports. Restatements. Special 2 reports Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference AC.10; AC.30; AC.40; CO.40 LG.20.30; LG.20.40
Executive Certifications
FIN.15.00
C + 10
ACT+10 China ACT+15
ACT+10
ACT+10
Financial Reporting
FIN.20.00
see subcategories
see subcategories
see subcategories see subcategories
Periodic Internal Reports
FIN.20.05
Monthly, quarterly and other interim financial reports.
C+5
C+10 China C + 15
C+15
C+10
AC.30; AC.40
Published external annual, monthly and quarterly reports Regulatory Filings
FIN.20.10
Periodic reports published for shareholder Financial statements. Year end schedules to or public distribution. support 10K Copies of periodic reports filed with the SEC or other regulatory bodies, such as 10-K and 10-Q reports. 10K, 10Q, 8K
C + 10
C+10 China C + 15 C+10 China C + 15
C+15
C+10
AC.30; AC.40; CO.40 AC.30; AC.40; CO.40
FIN.20.15
C + 10
C+15
C+10
Consolidated Financial Reporting
FIN.20.20
Consolidated trial balances used for financial statements in the local currency HFM/Hyperion consolidated data and in US dollars for each location. See subcategories for definitions. Short term credit lines negotiated with financial institutions to support interim financing needs. Loan/finance agreements, promissory notes, debentures, guarantees, Loan and note documentation for US to Noninstruments evidencing security interests, US or strictly Non-US. term sheets, and other related loan documentation. See subcategories for definitions. see sub-categories see sub-categories
C + 25
C + 25
C + 25
C + 25
NONE
Financing - Internal
FIN.25.00
see subcategories
see subcategories C+10 China C + 15
see subcategories see subcategories AC.30; AC.40; CO.40
Letters of Credit
FIN.25.05
TAX
C+15
C+10
Loan and Notes, Security Instruments
FIN.25.10
TAX
C+10 China C + 15
C+15
C+10
AC.30; AC.40; CO.40
Internal Financial Audit
FIN.30.00
see subcategories
see subcategories
Internal Financial Audit
FIN.30.05
Reports of internal financial audits, utilizing Financial audit tool ICCAT, Project/engagement letters, work papers, with supporting work papers, internal audit reports and IC-CAT follow-up reports. reviews, and follow-up actions. (Corporate Audit every 2 years and yearly self-audit)
T+6
T+10 China T+15
T+15
T+10
AC.30; AC.40; CO.40
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IT Internal Financial Audit
FIN.30.10
Internal financial audit of Information Technology (IT) Servers: Reports utilizing financial audit tool IC-CAT, IT project/engagement letters, work papers, with supporting work papers, internal audit reports and IC-CAT follow-up reports. reviews, and follow-up actions. (Corporate Audit every 2 years and yearly self-audit) Reports of internal financial audits for closed or sold locations and decommissioned applications. Sold or closed locations and decommissioned applications: project letters, work papers, audit reports and ICCAT follow-up reports Antifraud program, Audit work papers: internal & external, Communications for the IRS, SEC, PBGE, External Audit meeting minutes: sign off on agreements, Financial reporting: Corporate reserves, pension plans, amendments, SOX 404 reporting, Tracking log of issues until remediation, Work papers from auditors. Daily signed reports: order/items shipped not invoiced, order/items priced at zero dollars, order items priced below standard price but no agreement. Antifraud program, Audit work papers: internal & external, Communications for the IRS, SEC, PBGE, External Audit meeting minutes: sign off on agreements, Financial reporting: Corporate reserves, pension plans, amendments, SOX 404 reporting, Tracking log of issues until remediation, Work papers from auditors. Daily signed reports: order/items shipped not invoiced, order/items priced at zero dollars, order items priced below standard price but no agreement. see sub-categories
T+6
T+10 China T+15
T+15
T+10
AC.30; AC.40; CO.40
Internal Financial Audit for Closed, Sold or decommissioned areas
FIN.30.15
T+1
T+10 China T+15
T+15
T+10
AC.30; AC.40; CO.40
International Financial Compliance
FIN.30.17
Records documenting compliance with financial compliance laws, including audits, questionnaires, tracking logs, documented reviews, internal control documentation and workflow, testing and other associated documents.
n/a
ACT+10 China ACT+15
ACT+15
ACT+10
AC.30; AC.40; CO.40
International Financial Compliance Work papers
FIN.30.18
Preliminary work papers documenting results set forth audit reports, findings and other final documents.
n/a
ACT+10 China ACT+15
ACT+15
ACT+10
AC.30; AC.40; CO.40
Finance - Finance
Sarbanes-Oxley
FIN.30.20
Records documenting compliance with the Sarbanes-Oxley Act, including audits, questionnaires, tracking logs, documented reviews, internal control documentation and workflow, testing and other associated documents.
C+6
n/a
n/a
n/a
AC.30; AC.40; CO.40
Sarbanes-Oxley Work papers
FIN.30.25
Preliminary work papers documenting results set forth audit reports, findings and other final documents. See subcategories for definitions. Policy that protects an the firm from loss in the event that employees cause damages through dishonest or negligent action.
C+2
n/a
n/a
n/a
AC.30; AC.40; CO.40
Insurance/Risk Management
FIN.35.00
see sub-categories
see sub-categories
Fidelity Bonds
FIN.35.05
C + 10
C+6
C+10
C+10
LG.20.30
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Working files containing detailed information of insurance claims maintained by third party or internally, including filings, loss reports and other records related to claims. Records related to insurance agreements providing coverage against loss, including policies, signed hardcopy policies, addenda, invoices, correspondence, and other related documents. Records related to insurance agreements providing coverage against loss, including policies, signed hardcopy policies, addenda, invoices, correspondence, and other related documents for divested or closed subsidiaries, or retained liabilities including, but limited to, Boeing, Arvin Meritor and Rockwell Scientific. Records related to insurance coverage for product liability, hazardous exposure, or other problems that manifest long after the policy terminates. International Insurance Policy Files, obtained through international brokers, maintained in international local offices, including policies, signed hardcopy policies, addenda, invoices, correspondence, and other related documents. Records contained in liability insurance files (excluding medical insurance) including policies, signed hardcopy policies, addenda, invoices, correspondence, and other related documents. Records of risk analysis, including risk assessment reports, statistical background Factory Mutual Reports and other data. Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference
Insurance Claims Files
FIN.35.10
Property damage, General Liability, Automobile liability, product liability
C + 10
C+6
C+10
C+10
LG.20.14; LG.20.20; LG.20.95
Insurance Policy files
FIN.35.15
Insurance Polices, Certificates of Insurance, Risk management files
PERM
PERM
PERM
PERM
LG.20.14; LG.20.20; LG.20.95
Insurance Policy files, divested or closed subsidiaries or retained liabilities.
FIN.35.20
Insurance copies of transitional agreements and purchased agreements
PERM
PERM
PERM
PERM
LG.20.14; LG.20.20; LG.20.95
Insurance Policy Correspondence
FIN.35.25
C + 10
C+6
C+10
C+10
LG.20.40; LG.20.96
International Insurance Policy Files
FIN.35.30
PERM
PERM
PERM
PERM
LG.20.14; LG.20.20; LG.20.95
Product Liability Insurance Files
FIN.35.35
PERM
PERM
PERM
PERM
LG.20.14; LG.20.20; LG.20.95
Risk Analysis
FIN.35.40
C + 10
C+6
C+10
C+10
LG.20.40; LG.20.96
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Bonds that protect the organization against the nonperformance of obligations under an agreement. Records related to state run and independent workers comp carrier policies, including policy, signed hardcopy policies, addenda, invoices, and other related documents. Workers compensation program structure, compliance requirements and reporting. Records documenting investments, including assessments and evaluations, purchase information, reports of returns and analyses. See subcategories for definitions. Workers compensation files, Workers compensation claims Sample Documents in Category US, Canada, Mexico Retention (years) T + 10 Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference LG.20.30; LG.20.95
Surety Bonds
FIN.35.45
Workers' compensation surety bonds
T+6
T+10
T+10
Workers Compensation Carrier Policies
FIN.35.50
PERM
PERM
PERM
PERM
LG.20.14; LG.20.20; LG.20.95
Workers Compensation Claims
FIN.35.55
ACT + 12
ACT + 12
Investments
FIN.40.00
Hedging
TAX
ACT+10 China ACT+15
Operating Budgets
FIN.45.00
see sub-categories Appropriation Requests/Support Data, Annual Operation Plans ATOP and work papers, Annual operation plan, Redbooks, Financial Planning & analysis, ATOPAnnual operating plan, Forecasts: Forecast, Actual, and Plan Book
see subcategories
see subcategories
HR.10.20; LG.20.40; ACT + 12 ACT + 12 LG.20.13; LG.20.90 AC.10; AC.30; ACT+10 ACT+10 AC.40; CO.40; HR.10.20 see subsee subcategories see subcategories categories
Annual Operating Budgets
FIN.45.05
Authorized operating budgets and associated work papers and documentation. Financial Dashboards.
C+5
C+5
C+5
C+5
NONE
Requests
FIN.45.10
Requests for approval for funds allocated to pay expenses.
C+3
C+3
C+3
C+3
NONE
Pension Asset Management
FIN.50.00
See subcategories for definitions. Pension Plan trust statements; trust reconciliations; investment statements; actuarial reports; audited financial statements; FASB reporting; 10K / 10Q Reporting; general ledger account reconciliations; 5500s; SARs Savings Plan Trust Statements, trust reconciliation, audited financial statements, general ledger account reconciliations, 5500s, SARs
See subcategories
See subcategories
See subcategories
See subcategories See subcategories
See subcategories
Pension Plan Records- Qualified & Nonqualified
FIN.50.05
C + 10
C+10 China C + 15
C+50
C+10
AC.10; AC.30; AC.40; CO.40
Savings Plan Records - Qualified & NonQualified
FIN.50.10
C + 10
C+10 China C + 15
C+50
C+10
AC.10; AC.30; AC.40; CO.40
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VEBA Trust Statements
FIN.60.05
VEBA Trust reconciliations, Experience Study, Audited Financial statements; US Health Plans
C + 10
C+5
C+5
C+5
HUMAN RESOURCES
HUM.00.00 Records documenting unaudited plans, procedures and required reports for affirmative action. ( For Audited AAP plans use LEG.15.10 - retain C + 6) Records documenting reasonable accommodations for disabilities. Affirmative action: plans, test, investigation, resolution, follow up files. Documentation on their use for validation studies. HR.10.10; HR.10.50; LG.10.25; LG.20.13
Affirmative Action
HUM.05.00
C+2
n/a
n/a
n/a
Americans with Disabilities Act
HUM.06.00
ADA records
E+2
n/a
n/a
n/a
LG.20.90
Equal Employment Opportunity (EEO)
HUM.07.00
Records documenting plans, procedures and required reports for EEO.
Age discrimination training materials and sign in logs. Right to sue letters. EEO-1 Repot, Vets-100 Reports. EEO surveys, selfidentification forms: race, gender see sub-categories
C+6
n/a
C+5
n/a
HR.10.10; HR.10.50; LG.10.20; LG.20.90
Benefits
HUM.10.00
See subcategories for definitions. Records of employee enrollment and change notices maintained by Rockwell Automation vendors (includes health & welfare, pension, savings plans)
see subcategories
see subcategories
see subcategories see subcategories HR.10.20; HR.10.30; AC.40; CO.40; AC.50 HR.10.20; HR.10.30; AC.40; CO.40; AC.50 HR.10.20; HR.10.30; AC.40; CO.40; AC.50 HR.10.20; HR.10.30; AC.40; CO.40; AC.50 HR.10.20; HR.10.30; AC.40; CO.40; AC.50
Benefits Files
HUM.10.10
Benefits enrollment forms, Employee benefit files
C + 10
ACT+10 China ACT+15
ACT+10
ACT+10
Benefit Plans
HUM.10.15
Plan Documents & Amendments; Summary Plan Descriptions - for all health & welfare, pension, savings plans
Plan documents
PERM
ACT+10 China ACT+15
ACT+10
ACT+10
Communication of Benefit Plans
HUM.10.16
Employee communications for Benefit Plans (letters, mailings, required notices) Communications to employees about benefit for all health & welfare, dental, pension, plans savings plans
C + 10
ACT+10 China ACT+15
ACT+10
ACT+10
Benefit Vendor Reports
HUM.10.17
Benefit plan contracts with vendors; administrator reports & assessments; multi-national pooling
Benefit contracts
PERM
ACT+10 China ACT+15
ACT+10
ACT+10
Health & Welfare Strategy Development
HUM.10.30
Records describing health & welfare plan Benefit plan designs changes; Plan design & alternatives; annual Health & Welfare pricing
C + 10
ACT+10 China ACT+15
ACT+10
ACT+10
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference HR.10.20; HR.10.30; AC.40; CO.40; AC.50 HR.10.20; HR.10.30; AC.40; CO.40; AC.50 HR.10.20; HR.10.30; AC.40; CO.40; AC.50
Benefits in Union Labor Negotiations
HUM.10.37
Benefit Negotiations related to union contracts; supporting documentation used during negotiations
PERM
ACT+10 China ACT+15
ACT+10
ACT+10
Benefit Records for Acquisitions & Divestitures
HUM.10.50
Benefits records & analysis related to prior companies; regulatory filings; due diligence; integration decisions
C + 10
ACT+10 China ACT+15
ACT+10
ACT+10
Retirement / Pension Plans in US
HUM.10.55
Information for pension benefit calculations; data stored at vendor
Information used to calculate employee pensions
PERM
ACT+10 China ACT+15
ACT+10
ACT+10
Compensation
HUM.15.00
See subcategories for definitions. Reference materials available to assist in decisions to determine changes in the cost of living. Survey vendor products referenced in development of pay ranges and merit budgets. Non-executive incentive/bonus plan documentation on plan structure including eligibility to participate, calculations and payout measures.
see sub-categories
see subcategories
see subcategories
Cost of Living
HUM.15.05
ACT + 3
ACT + 3
ACT + 3
ACT + 3
HR.10.50
Compensation Surveys
HUM.15.15
Salary and merit surveys
C+1
ACT + 3
ACT + 3
ACT + 3
HR.10.50
Incentive, Commissions, Bonus: Calculations & Plans
HUM.15.20
I.E. CSMIP, GPT incentives
ACT + 3
ACT + 3
ACT + 3
ACT + 3
HR.10.50
Educational Assistance
HUM.15.25
Tuition reimbursement forms, Continuing Records regarding educational assistance education for employees (electricians, provided to program participants. plumbers)
TAX
C+10 China C + 15
C+50
C+10
HR.10.20; HR.10.30; AC.40; CO.40; AC.50 HR.10.20; HR.10.30; AC.40; CO.40; AC.50 HR.10.20; HR.10.30; AC.40; CO.40; AC.50
Employee Stock & Compensation Plans
HUM.15.30
Records documenting ESOP, stock option, and other employee participation stock investment programs and related benefits.
Records supporting Stock option, Executive compensation, restricted stock and cash options
TAX
ACT+10 China ACT+15
ACT+10
ACT+10
Leave
HUM.15.35
Leave program structure, reporting and benefits
Short term disability and long term disability, FMLA leave, advice to pay, service issued credits
C+7
ACT+10 China ACT+15
ACT+10
ACT+10
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference HR.10.20; HR.10.30; AC.40; CO.40; AC.50 HR.10.20 HR.10.30; HR.10.50; LG.20.13 HR.10.20 HR.10.05; HR.10.40 HR.10.05; HR.10.40 HR.10.50; HR.10.60 LG.10.30
Relocation
HUM.15.40
Records indicating relocation benefits provided to affected employees.
Relocation files
C+3
ACT+10 China ACT+15
ACT+10
ACT+10
Disability
HUM.20.00
Disability program structure, compliance requirements and reporting. Employee Assistance Program outreach programs, communications and support structures. FMLA program structure, compliance requirements and reporting. Forms showing an employee's right to work in the United States. Public Access Files Records detailing job duties and performance expectations for each position. Employee communications: email, web, mailers, Employee surveys FMLA forms I-9 forms, foreign worker documentation
E+7
ACT + 7
ACT + 7
ACT + 7
Employee Relations
HUM.35.00
ACT + 6
ACT+3
ACT+5
ACT+5
Family Medical Leave Act I-9 Forms Immigration Files
HUM.40.00 HUM.45.00 HUM.47.00
E +7 E+3 C+5
n/a E+3 C+5
n/a E+4 C+5
n/a E+3 C+5
Job Descriptions Position Descriptions
HUM.50.00
Employee Job Descriptions
C+8
ACT+3
ACT+5
ACT+5
Personnel Files
HUM.55.00
See subcategories for definitions.
see sub-categories
see subcategories
see subcategories
Human Resources - HR - Human Resources
Conflict of Interest (COI) Compliance
HUM.55.05
Conflict of Interest (COI) files and logs, for employees.
Conflict of interest signed form
C + 10
C+3
C+10
C+5
HR.10.60; LG.20.13
Employee Files
HUM.55.10
Official company personnel file, including applications / resumes, change notices, personnel action notices, evaluations, resignation/termination letters, and related records.
Enforcement of Safety Rules/Disciplinary Actions, Driving Records, Documented Requests for Information from Employees or Representatives, Documented Responses to Employee Requests for Information, Offer letters, electronic use signed form, Signed statement of employees getting a handbook & acknowledgement.
E+7
E+3
E+10
E+5
HR.10.60; LG.20.13
Hearing Conservation
HUM.55.15
Results of audiometric testing.
Hearing tests
C + 30
E+30
E+50
E+30
HR.10.60; HR.20.25
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category Medical Surveillance Records, Respirator wearer medical qualification records, Medical & employment questionnaires or histories (including job description & occupational exposures) US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference
Hazardous Exposure
HUM.55.20
Records and medical surveillance documenting employee exposure to hazardous substances. Signed / Authorized Intellectual Property agreements Records of annual physicals, medical treatment, workers compensation claims and other medical information.
ACT + 40
E+30
E+50
E+30
HR.20.20; HR.20.40; HR.20.95
Intellectual Property
HUM.55.25
PERM Return to Work documentation, Performance Capability Forms, Medical Treatment Files, Status Records
PERM
PERM
PERM
LG.10.30
Medical Files
HUM.55.30
E + 40
E + 40
E + 40
E + 40
HR.20.20
Performance Reviews
HUM.55.35
Documentation of performance reviews PADR-performance and development and tracking maintained in the PADR reviews, Talent system -succession planning performance and review system and also records in PeopleSoft. Employee arbitration outside a collective Arbitration agreements bargaining agreement. Documents and records supporting current staff continuing compliance with Rockwell Automation ethics policies. Commercial Drivers Licenses physicals, medical clearance of respirator, emergency responder physicals. Records of personnel radiation exposure, Radiation safety logs & reports dosimeters, and bioassay results. Employee files containing miscellaneous Notes used for current PADR, corrective material not found in Master HR action plan information employee files in SAP/Hewitt. Records supporting nominations for advancement in engineering or career path See subcategories for definitions.
E+7
E+3
E+10
E+5
HR.10.60; LG.20.13 HR.10.60; LG.10.20
Employee Arbitration
HUM.55.40
PERM
PERM
PERM
PERM
Ethics Compliance
HUM.55.45
Ethics signed employee forms
E+7
E+3
E+10
E+5
HR.10.60; LG.20.13
Periodic Physicals
HUM.55.50
PERM
PERM
PERM
PERM
HR.20.20
Radiation Exposure Records
HUM.55.55
PERM
PERM
PERM
PERM
HR.20.60; HR.20.70
Working File
HUM.55.60
C+1
C+1
C+1
C+1
HR.10.60; LG.20.13
Talent Management - Succession Planning
HUM.55.65
Technical Career Counsel, Feedback 360
C+2
C+2
C+2
C+2
NONE
Recruiting
HUM.60.00
see sub-categories
see subcategories
see subcategories
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Applications, Interviews, and ResumesSolicited Rejected
HUM.60.05
Applications and resumes solicited by the company for applicants that were not Applications (brass ring), Resumes, hired. (If Affirmative Action Plan is audited, interview notes then file these records under LEG.15.10 - retain C + 6) Applications and resumes not solicited by the company for applicants that were not hired. Applications, Resumes, interview notes (If Affirmative Action Plan is audited, then file these records under LEG.15.10 - retain C + 6) Records of investigation into the background of potential employees. Recruiting from outside sources, including agencies and advertising. Internal notices of job openings. Records documenting pre-employment drug & alcohol screening of potential employee. Records of applicant and employee testing to determine skills and qualifications. Records regarding agencies and temporary services. See subcategories for definitions. Staff lists, profiles and telephone directories. Current staff levels and openings. Reduction in Force (RIF) Records and graphic presentations of the organizational structure and reporting relationships, and of individuals assigned to specific positions. Information on outsourcing vendor relationships, projects and performance evaluations. Attainment Sheets/Direct Labor see sub-categories Background checks
C+2
C+2
C+1
C+2
HR.10.10; PV.40
Applications, Interviews and ResumesUnsolicited Rejected
HUM.60.10
C+2
C+2
C+1
C+2
HR.10.10; PV.40
Background Checks
HUM.60.15
C+1
C+1
C + 6 months
C+1
HR.10.10; PV.40 HR.10.10 HR.10.10 HR.10.10; PV.40 HR.10.10; PV.40 HR.10.50
External Job Postings & Announcements Internal Job Postings & Announcements
HUM.60.20 HUM.60.25
C+2 C+2
C+2 C+2
C+1 C+1
C+2 C+2
Pre-Employment Drug & Alcohol Screening.
HUM.60.30
Drug test results
C+1
C+1
C+1
C+1
Qualifications and Skill Testing
HUM.60.35
C+2
C+2
C+1
C+2
Temporary Staffing Staffing Employee Lists & Directories
HUM.60.40 HUM.65.00 HUM.65.10
C+2 see subcategories ACT + 3
C+2 see subcategories ACT + 3
C+1
C+2
see subcategories see subcategories ACT + 1 ACT + 3 HR.10.50; PV.60 NONE
Headcount
HUM.65.15
C+3
C+3
C+3
C+3
Organization Charts
HUM.65.20
ACT+3
ACT+3
ACT+3
ACT+3
NONE
Outsourcing
HUM.65.25
Contracted work done by Universities
ACT+3
ACT+3
ACT+3
ACT+3
NONE
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Staffing needs projections and assessments. See subcategories for definitions. Sample Documents in Category US, Canada, Mexico Retention (years) C+3 see subcategories Asia Retention (years) C+3 see subcategories EMEA Retention South America Legal (years) Retention (years) Reference C+3 C+3 NONE
Projections Training
HUM.65.30 HUM.70.00
Requisitions see sub-categories Training Records, Certificates, Licenses, New equipment qualification records, Certification and Licensing documentation, Hot 9 certifications, Black & Green belt
Testing & Certification
HUM.70.10
Testing, certifications and/or licenses required for employees to perform a particular job or task.
E+7
E+3
E+10
E+5
HR.20.50; HR.20.85
Training General
HUM.70.15
Course Outlines, Attendance (Signature or Electronic), Training Requirements Matrix, Course content, study guides, attendance Pre-job Safety Meeting Forms, Retraining Records (resulting from CARs/PARs), logs, and other information related to Salaried/Technical Training Records, ISO internal and external training. Training Records, Process Auditor Training Records Personal Protective Equipment (PPE), Asbestos Awareness. Lead Awareness Training agendas, handouts, & presentations. Unemployment compensation program structure, compliance requirements and reporting. Environmental & Safety training, hazardous communication
E+7
E+3
E+10
E+5
HR.20.50; HR.20.85
Training - Environmental & Safety Training - Materials
HUM.70.20 HUM.70.25
E + 30 ACT+ 7
E + 30 ACT+ 7
E + 30 ACT+ 7
E + 30 ACT+ 7
HR.20.50; HR.20.85 HR.20.50; HR.20.85 HR.10.20; LG.20.13; LG.20.90
Unemployment Compensation INFORMATION TECHNOLOGIES
HUM.75.00 ITE.00.00
ACT + 6
ACT + 6
ACT + 6
ACT + 6
Architecture / Environment
ITE.05.00
Topology: Infrastructure relationships, Records documenting computing system Policies, Standards, Architecture Reviews, and server architecture. Procedures, Accepted RFP/RFQ, Direction Statements Functional Specification, Component Rating Document, Environmental Specification, Module Specification, Commodity Specification
ACT + 6
ACT + 6
ACT + 6
ACT + 6
LG.20.40; LG.20.95
Hardware Evaluation/Selection
ITE.10.00
Records related to evaluation and selection of computer hardware. Records related to maintenance of computer hardware, including peripherals. User, service and technical reference materials for hardware.
ACT + 6
ACT + 6
ACT + 6
ACT + 6
LG.20.40; LG.20.95
Hardware Maintenance
ITE.15.00
ACT + 6
ACT + 6
ACT + 6
ACT + 6
LG.20.40; LG.20.95 LG.20.40; LG.20.95
Hardware Manuals
ITE.20.00
LOE + 3
LOE + 3
LOE + 3
LOE + 3
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) C+6 Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference
IT Operations
ITE.22.00
Operations of IT department Business case, project approvals, requirements, risk analysis, PAF, security, test plan, conversion plan, project audit, process, procedures See subcategories for definitions.
anti-virus management, incidents, software distribution, procedures, remote connectivity
C+6
C+6
C+6
NONE
IT Projects
ITE.24.00
C+8
C+8
C+8
C+8
NONE
IT Security
ITE.25.00
see sub-categories
see sub-categories
see sub-categories
Facilitated Risk Analysis & Security Review
ITE.25.05
Records of the facilitated risk analyses, audits and reviews of automated systems and resulting plans to protect the security, Risk Analysis Documentation confidentiality and availability of information and applications. Records of monitoring, auditing and enforcing automated systems security compliance. Logs, audit reports, and security level access listings and related records. Electronic monitoring of information. Information concerning wide area networks (WANs) and local area networks (LANs) including bridges, routers, topology, and configuration. User and technical documentation for internally developed software programs. Programs and code, lists, logs and documentation supporting the installation, user training See subcategories for definitions.
C+6
C+6
C+6
C+6
LG.20.40
Monitoring, Auditing & Enforcement
ITE.25.10
IT audit
C+6
C+6
C+6
C+6
LG.20.40
Security and Access
ITE.25.15
Access lists for IT, IT security logs, User access control and audits trails
C+2
C+2
C+2
C+2
LG.20.40
Information Technologies
Network Infrastructure
ITE.30.00
Internal & External Connections, Network configuration items, network management documents
LAS + 3
LAS + 3
LAS + 3
LAS + 3
LG.20.40
Software - Internally Developed
ITE.35.00
Internally developed software programs. i.e. CAP (corrective action process, QIS (quality information system)
LAS + 3
LAS + 3
LAS + 3
LAS + 3
LAS + 3
Software - Third Party
ITE.40.00
see sub-categories
see sub-categories
see sub-categories
see subcategories
Applications
ITE.40.05
Programs and codes for applications licensed by the company
T+1
T+1
T+1
T+1
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Support documentation
ITE.40.10
Information concerning installation and integration of third-party software: supporting documentation fro applications licensed by the company
Instruction and operation manuals
LAS + 3
LAS + 3
LAS + 3
LAS + 3
Licensing
ITE.40.15
Information pertaining to compliance with firm-wide third-party software licensing agreements.
Software agreements and licensing
T+6
T+10
T+10
T+10
LG.20.40; LG.20.25
Support and Help Desk
ITE.45.00
Monthly call tracking reports of the activities of the internal support department. Actual tickets can be disposed of .
ACT
ACT
ACT
ACT
NONE
System Backup
ITE.50.00
Backup logs, schedules, inventories, and other documentation relating to the preservation of data and software used to Back up server tapes: Not mainframe, restore system functionality in case of failure. Records of the operation of the telecommunications system. Records associated with supporting and administering internal and external facing websites, managing web content, and related documents. Account transfers, telecom service request, proposals
ACT
ACT
ACT
ACT
NONE
Telecommunications
ITE.55.00
ACT
ACT
ACT
ACT
NONE
Website/Internet/Intranet Administration
ITE.60.00
Distributor extranet
ACT
ACT
ACT
ACT
LG.20.40
LEGAL Collective Bargaining
LEG.00.00 LEG.10.00 See subcategories for definitions. see sub-categories see sub-categories see sub-categories see sub-categories see sub-categories
Collective Bargaining
LEG.10.05
Records documenting negotiations, notes Statements of permissions, Union labor of negotiating history, and proposals with contract negotiation, Negotiation Plan, employee bargaining units. Union labor contract, negotiation, disputes Records of grievances and arbitration hearings executed under collective bargaining agreements. See subcategories for definitions. see sub-categories
PERM
PERM
PERM
PERM
LG.10.30; HR10.50 LG.20.13; LG.10.15; HR10.50
Grievances and Arbitration
LEG.10.10
T+ 6
T+3
T+10
T+5
Compliance (Not Covered Elsewhere)
LEG.15.00
see sub-categories
see sub-categories
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference HR.10.50; LG.20.30; LG.20.40' LG.20.95
Annual Training & Certification
LEG.15.05
Standards of business conduct (SBC) and Employee ethics training records, annual Conflicts of interest (COI) cards, training standards of business conduct/conflict of completion records, FCPA - Foreign interest certifications. Corrupt Practices Act training. Import/Export
C+7
C+7
C+7
C+7
Compliance Audits
LEG.15.07
External investigations: notes, conclusion, and recommendations.
Internal or external compliance audits
C+7
C+7
C+7
C+7
LG.20.05; LG.20.40; LG.20.90; PV.35
Compliance Investigations, Internal/External
LEG.15.10
Investigated cases and non-investigated cases, Internal & external investigations: investigation, notes, conclusion, Internal investigations: notes, conclusion, recommendation. Compliance review files, and recommendations. OFCCP, Audited Affirmative Action Plansplan and applicant flow documents and all supporting documentation. Investigations into violations of the foreign corrupt practices act and antibribery> Records of compliance and remediation activities. Investigated cases and non-investigated cases, Internal investigations: incident, investigation, notes, conclusion, recommendation. Health Insurance Portability Accountability Act compliance guidelines. Records related to member Identification Program (CIP) matches, investigations and reporting under the Patriot Act.
C+7
C+7
C+7
C+7
LG.20.05; LG.20.40; LG.20.90; PV.35
Anti-bribery
LEG.15.11
Foreign Corrupt Practices Act
C+7
C+7
C+7
C+7
LG.2015; LG.20.30
Ombudsman Related Investigations
LEG.15.12
C+2
C+2
C+2
C+2
LG.20.05; LG.20.10; LG.20.30; PV.35
HIPAA
LEG.15.15
HIPAA compliance issues
ACT+ 6
n/a
n/a
n/a
LG.20.90
Patriot Act
LEG.15.20
C+6
n/a
n/a
n/a
LG.20.15
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Regulatory Reporting
LEG.15.25
Records related to and supporting compliance with statutes, regulations, and records of examinations. Includes reports and filings with external agencies. Includes logs, documentation, findings, recommendations, assessments, observations, correspondence, agency orders, and results related to external exams or audits conducted by private or government agencies, such as the SEC, EPA, EEOC, FCC, FAA, NEMA, BLC (Bureau of Labor Standards) etc. Records regarding consumer privacy notice requirements, privacy policy regarding customer information, and other related privacy records. See subcategories for definitions.
Correspondence with Regulatory Agencies, External Agency Audit Report, Reports to government agencies on Hazardous Waste activities, EPCRA one-time notification for the presence of an Extremely Hazardous Substance (EHS) in excess of its Threshold Planning Quantity (TPQ), EPCRA-required (40 CFR 370.21) submission of Material Safety Data Sheets (MSDS) to emergency response agencies, Correspondence with regulatory agencies including release reports, International Traffic and Arms Regulations, Governmental reportsMA332Q
C+7
C+7
C+7
C+7
HR.10.30; LG.20.05; LG.20.40; LG.20.90
Privacy Policy & Disclosure
LEG.15.30
C+7
C+7
C+7
C+7
LG.20.90
Contracts and Agreements
LEG.20.00
see sub-categories Contractor Qualification Statements, Contracts, Company Agreements other than Purchase and Sales Orders, Contract Review Records, Customer Contracts, Customer Certifications, Purchased Labor Case File Records, Contracted Service Agreement, Technology Transfer Agreement, vendor maintenance documentation
see sub-categories
see sub-categories
Contracts
LEG.20.05
Contracts stating the terms and conditions for commercial sales, commercial purchases, purchasing contract templates, maintained by geographic Rockwell Automation location.
T+6
T+6
T+10
T+10
LG.10.10; LG.10.20; LG.10.50; LG.10.60; LG.20.10;
Confidentiality / Nondisclosure
LEG.20.10
Contracts requiring the parties to keep information or knowledge confidential.
Non-Disclosure Agreements
T+6
T+6
T+10
T+10
LG.10.10; LG.10.20; LG.10.50; LG.10.60; LG.20.10; LG.10.10; LG.10.20; LG.10.50; LG.10.60; LG.20.10;
Distributor
LEG.20.15
Contracts with Rockwell Automation Distributors.
Sales Special agreements: RA-distributors, distributor-customer, Rebate and allowances: agreement, contract opportunities, negotiations, Rebate claims, Distributor Policies
T+6
T+6
T+10
T+10
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) T+6 Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference LG.10.20; LG.10.30: LG.20.95 LG.10.10; LG.10.20; LG.10.50; LG.10.60; LG.20.10; LG.10.10; LG.10.20; LG.10.50; LG.10.60; LG.20.10; LG.20.25; LG.20.40 LG.10.10; LG.10.20; LG.10.50; LG.10.60; LG.20.10; LG.10.10; LG.10.20; LG.10.50; LG.10.60; LG.20.10; LG.10.10; LG.10.20; LG.10.50; LG.10.60; LG.20.10;
Employment and Termination
LEG.20.20
Agreements governing contractual employment and termination of same.
Investigated cases
T+3
T+10
T+5
Equipment, Parts, and Material
LEG.20.25
Contracts and agreements for the purchase of equipment and parts.
Ancillary brand label products to produce a product
T+6
T+6
T+10
T+10
Hazardous Materials Disposal Contracts
LEG.20.30
Contracts with third parties for disposition of hazardous waste.
Records of disposal of Hazardous Waste by contractors on behalf of Rockwell Automation, including written agreements for such activities
T+6
T+6
T+10
T+10
Intellectual Property Licensing
LEG.20.35
IP License agreements for intellectual property, both incoming and outgoing. Contracts and agreements of marketing relationships that share Intellectual Property with partners and go to market jointly.
Technology Transfer Agreement
T + 25
T + 25
T + 25
T + 25
Partner Agreements
LEG.20.40
Contracts with partners, Abandon agreements (companies in bankruptcy)
T+6
T+6
T+10
T+10
Direct/Indirect Commodities
LEG.20.45
Contracts and agreements for the purchase of raw materials and services.
Materials
T+6
T+6
T+10
T+10
Bailment Agreements
LEG.20.50
Agreement to ensure tooling recovery from a supplier using our dies.
Tooling, test & inspection equipment
LOP + 6
T+6
T+10
T+10
Real Estate-Owned
LEG.20.55
Contracts specifying the terms and conditions for the purchase or sale of real estate. Plant closure records. Records Real Estate Files, Real estate Transaction evidencing ownership of property, which file, Purchase agreements, Sale agreements may include real property deeds, bills of sale, and other similar ownership documentation and summary title reports.
DA + 10
DA+12
DA+12
DA+10
LG.10.50;
egal - Legal
Real Estate-Leased
LEG.20.60
Contracts specifying the terms and conditions for the lease or rental of real estate.
Real Estate Files, Lease agreements & renewals, Real estate Transaction file
T+6
T+6
T+10
T+10
LG.10.10; LG.10.20; LG.10.50; LG.10.60; LG.20.10;
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Legal - Legal - Legal - Legal - Legal - Le Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference LG.10.10; LG.10.20; LG.10.50; LG.10.60; LG.20.10;
Services
LEG.20.65
Contracts for the provision of services by Legal agreements with investment manager third parties.
T+6
T+6
T+10
T+10
Contracts Management
LEG.25.00
Records of contract management activities, including contract management databases. See subcategories for definitions. see sub-categories
T+6
T+6
Government Contracts
LEG.30.00
see sub-categories
see sub-categories
Billing records
LEG.30.05
Information that is used to create invoices Timesheets, copies of invoices and expense for governmental research contracts. bills, purchasing receipts
T+4
T+6
LG.10.20; LG.1030; T+10 T+10 LG.10.50; LG.10.60 see subsee sub-categories see sub-categories categories LG.10.10; LG.10.20; LG.10.50; T+10 T+10 LG.10.60; LG.20.10; LG.10.10; LG.10.20; LG.10.50; LG.10.60; LG.20.10;
Deliverable documentation
LEG.30.10
Documentation that is part of a deliverable in the contract statement of work.
Periodic technical reports, final reports, final financial, periodic financial reports
T+4
T+6
T+10
T+10
Contracts
LEG.30.15
Contracts to provide Products to governmental agencies
Navy - ground missile defense, Chem-D-Mil
T + 10
T + 10
Intellectual Property
LEG.35.00
See subcategories for definitions. Applications for and records of rights conveyed by government granting exclusive rights to published materials. Applications for and records of rights conveyed by government granting exclusive rights to make, use, and sell products or employ processes.
see sub-categories
see sub-categories IND (25 yr review)
see sub-categories IND (25 yr review)
LG.10.10; LG.10.20; T+10 T+10 LG.10.50; LG.10.60; LG.20.10; see subsee sub-categories see sub-categories categories IND (25 yr review) IND (25 yr review) LG.20.25; LG.20.40
Copyrights
LEG.35.05
Applications and deposit materials
Patents
LEG.35.10
Patent applications, issued patent, patent resgistrations
T + 25
T + 25
T + 25
T + 25
LG.20.25; LG.20.40
Trade Secrets/Invention Disclosure
LEG.35.15
Records that identify, quantify and assign Invention disclosures, non-patented, value to information protected as trade abandoned patents, non-filed applications, secrets. trade secrets and engineering notebooks Applications for and records of rights conveyed by government granting exclusive ownership of a mark, motto or emblem.
IND (25 yr review)
IND (25 yr review)
IND (25 yr review)
IND (25 yr review)
LG.20.25; LG.20.40
Trademarks
LEG.35.20
Common Law trademarks, Expired trademarks, Trademark infringement litigation files
IND (25 yr review)
IND (25 yr review)
IND (25 yr review)
IND (25 yr review)
LG.20.25; LG.20.40
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) C+6 Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference
Intellectual Property Searches
LEG.35.25
Searches done on trademarks or patents; Oppositions
C+6
C+6
C+6
None
Intellectual Property Administration
LEG.35.30
Innovation workshops, legal opinions, toll gates Competitive research, Reference material: Competitive information, Data center activity reports,
C+6
C+6
C+6
C+6
Intellecutal Property Analysis
LEG.35.35
IP analysis and competitve intelligence
C + 10
C + 10
C + 10
C + 10
Risk Mitigation
LEG.35.40
Enterprise risk mitigation (ERM) documents, analysis, reports Legal and Other Requirements Matrix, Advisory Opinions, Articles and research materials, Internal and External work products see sub-categories
C + 25
C + 25
C + 25
C + 25
Legal Research
LEG.40.00
Research related to the legal and regulatory environments in which the company operates. See subcategories for definitions.
ACT + 10
ACT + 10
ACT + 10
ACT + 10
LG.20.40
Litigation and Claims
LEG.45.00
see sub-categories
see sub-categories
see subcategories
Litigation
LEG.45.05
All records relating to litigation, including product liability, to which the company is a party, including correspondence, discovery, pleadings, business involved, key elements, etc.
Litigation files: pleadings, briefs, correspondence, Testimonies/witness files, Trial schedules, Case management, motions, complaints, depositions, interrogatories.
T+2
T+2
T+2
T+2
LG.20.40
Claims
LEG.45.10
Investigation and resolution of claims by Product Safety Investigative Files, Recall or against the company settled through Campaign Investigation Files, Dispositions other than legal process. All records relating to the settlement of litigation to which the company is a Settlement agreement, releases, and party, including settlement agreements, amendments releases, key elements, business involved, etc.
T+6
T+6
T+6
T+6
LG.20.40
Settlements
LEG.45.15
PERM
PERM
PERM
PERM
LG.20.40
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Subpoena / Tender
LEG.45.20
All records relating to third party subpoenas or cases tendered by or to Rockwell
Subpoena, request, tender letter, acceptance of tender
T+2
T+2
T+2
T+2
National Counsel Correspondence
LEG.45.30
All records with national outside legal counsel
ACT + 2
ACT + 2
ACT + 2
ACT + 2
Mergers and Acquisitions
LEG.50.00
See subcategories for definitions. Contracts for the acquisition or sale of business entities. Final documentation , deal binder of acquisition or sale terms and conditions.
see sub-categories Stock or asset purchase agreements, Deal Folders, Merger/acquisition/divestiture files: bond closing books
see sub-categories
see sub-categories
see subcategories LG.10.50; LG.20.10; LG.20.40
Acquisition Agreements / Closing Documents
LEG.50.05
PERM
PERM
PERM
PERM
Applications/Approvals/ Reporting
LEG.50.10
Records of applications, approvals and reports required by regulators with regard Hart-Scott-Rodino (HSR) Filings and to mergers, acquisitions, consolidations, Antitrust Reviews, Uncompleted deals etc. Acquisitions/Mergers/etc. Work files, Merger/acquisition/divestiture finance documentation, Merger/acquisition/divestiture files, due diligence files, Phase 1 & 2 reports
ACT + 6
ACT+10
ACT+10
ACT+10
LG.10.50; LG.20.10; LG.20.40
Due Diligence
LEG.50.15
Records of all pre-investment due diligence activities.
ACT + 6
ACT+10
ACT+10
ACT+10
LG.10.50; LG.20.10; LG.20.40
Valuation/Business Case Analysis
LEG.50.17
Financial analyses supporting the internal Excel and PowerPoint presentations valuation and support for the investment Records of planning for integration of acquired entities. Formal indication of intent to purchase the target entity, including binding nondisclosure agreements. Records related to possible mergers and acquisitions opportunities. Documents may include market analysis and growth expectations, preliminary due diligence, financials, and analysis. Offer Letter, Non-disclosure agreement(NDA) and Memorandum of Understanding (MOA) during a merger/acquisition
ACT + 6
ACT+10
ACT+10
ACT+10
LG.10.50; LG.20.10; LG.20.40 LG.10.50; LG.20.10; LG.20.40 LG.10.50; LG.20.10; LG.20.40
Integration Plans
LEG.50.20
ACT + 6
ACT+10
ACT+10
ACT+10
Letters of Intent (LOI)
LEG.50.25
ACT + 6
ACT+10
ACT+10
ACT+10
Strategic Growth Initiatives
LEG.50.30
Abandoned Transactions and related supporting materials
ACT + 3
ACT + 3
ACT + 3
ACT + 3
LG.10.50; LG.20.10; LG.20.40
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) TAX Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference LG.10.50; LG.20.10; LG.20.40 see subcategories LG.20.40; LG.20.20; LG.20.15; LG.20.80 LG.20.40; LG.20.20; LG.20.15; LG.20.80
Post Investment Assessment
LEG.50.35
Records documenting the valuation of the Valuation Material, import/export audits, investment, as well as legal issues investigations, litigations and corrective concerning the investment. actions. See subcategories for definitions. Records of rights obtained from government permitting certain business activities. Licenses and other compliance documentation related to import and export activities. All records related to matter evaluation see sub-categories
ACT+10
ACT+10
ACT+10
Permits and Licenses
LEG.55.00
see sub-categories
see sub-categories
Business
LEG.55.05
Work permits, global standards licenses
T+6
T+10
T+10
T+10
Export/Import Related Compliance Documentation
LEG.55.10
CNC letters,
T + 10
T+10
T+10
T+10
Post-Matter Evaluation MARKETING Advertising
LEG.60.00 MAR.00.00 MAR.05.00
Outside counsel, cost, outcome evaluations
T + 10
T+10
T+10
T+10
See subcategories for definitions. Records describing programs or campaigns for advertising products and services. Records consisting of marketing materials in all media (on-line, print, video, etc.), including brochures, product catalogs, copy, graphics, mechanicals, photographs, videos, customer presentations, sparkle sheets, product collateral, customer letters (hardcopy, mass e-mail, etc.) and other related records. Records related to trending, customer input, analysis, projections and competitive intelligence. Records related to monthly and annual product group sales forecasting, including forecasting models, daily run rates, and other related records.
see sub-categories
see subcategories
see subcategories
Advertising and Promotional Materials
MAR.05.10
Print and electronic advertisements, Magazine ads, Mailers, Catalog numbers, Corrections file for marketing literature, Product/Part Catalog , Product Catalogs , Corporate Photos, Sales literature. Launch kits, FAQ's,
C + 10
C+10
C+10
C+10
LG.20.40; LG.20.20; LG.20.15; LG.20.80
MARKETING
Market Research Data
MAR.10.00
Competitive research, Reference material: Competitive information, Data center activity reports, Monthly forecast, Monthly, quarterly & yearly Forecasts, Project manager nonfinancial forecast data (Financial forecast keep as FIN.45.05 - C + 5yrs)
ACT
ACT
ACT
ACT
NONE
Forecasting
MAR.15.00
ACT
ACT
ACT
ACT
NONE
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Marketing development request (MDR), marketing requirements document (MRD), marketing development spec (MRS) Records on marketing strategies, including pricing strategy documentation, internal sales strategy documentation, development of technology roadmap, and concept business plans. Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference
Marketing Development
MAR.17.00
Customer information gathered by marketing for product design engineering
ACT + 6
ACT + 6
ACT + 6
ACT + 6
NONE
Strategies
MAR.20.00
Business case, Roadmaps, Strategic growth market projects, Product line research, BSR (Business Strategy Roadmap), Consortium: meeting minutes for vendor team, Strategic planning documentation, Business trend reports
ACT + 6
ACT + 6
ACT + 6
ACT + 6
NONE
Post-Release Marketing Materials
MAR.25.00
Records consisting of marketing materials created after the product release
C + 10
C+10
C+10
C+10
LG.20.40; LG.20.20; LG.20.15; LG.20.80
OPERATIONS Environment
OPR.00.00 OPR.05.00 See subcategories for definitions. see sub-categories Site environmental impact form: hazardous waste weekly inspections, scrap equipment checklists, inspections of spill kits, generator status logs (monthly hazardous waste accounting log), refrigerant leak detection and monitoring records, Biennial hazardous waste reports, staterequired hazardous waste reports see subcategories see subcategories see subcategories see subcategories
Environmental Monitoring Data and Reports
OPR.05.05
Internal monitoring and inspections not associated with permits or plans, and misc. reports to the government.
C+5
C+5
C+8
C+5
EN.10.10; EN.10.20; EN.10.30' LG.20.93
Environmental Management Systems
OPR.05.10
Records supporting EMS/ISO 14001 certification.
Management review, objectives, targets, aspects and impacts, legal and others, communication logs Asbestos Abatement Documentation, Soil sampling, contamination, and/or Remediation Documentation, Underground Storage Tank Closure Report
ACT + 2
ACT + 2
ACT + 2
ACT + 2
NONE
Legacy Environmental Issues
OPR.05.15
Reports of environmental contamination of ground water, asbestos abatement or other long-term environmental issues.
PERM
PERM
PERM
PERM
EN.15.10; EN.15.15; EN.15.20; LG.20.93
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Chemical Inventories and Spill/release preparedness planning
OPR.05.20
Inventories of air emissions and water discharges, all records associated with the emergency planning and inventory Environmentally-required records of reporting aspects of the Emergency kinds and amounts of chemicals at Planning and Community Right-to-Know company facilities and environmental Act (Tier I, Tier II, MSDS submissions, plans to address spills or emergencies report of EHS in excess of TPQ), Written involving these chemicals. Note that the Waste Management Plan, Spill Prevention hazardous waste contingency plan is Control and Countermeasure (SPCC) Plan, under OPR 05.25. internal emergency action plans and written spill notification procedures, etc. Note that the Hazardous Waste Contingency Plan is covered in row OPR.05.25
ACT+ 6
ACT+ 6
ACT+ 6
ACT+ 6
EN.20.10; EN.20.30; EN.30.10; EN.30.15; EN.30.20; EN.30.30
Spills, Releases, and Discharges
OPR.05.25
Records of all non-permitted spills, releases, and discharges to the environment, Toxic Records of non-permitted spills, releases Release Inventory ("Form R") Reports, all and discharges of hazardous and toxic records in support of the development of materials into the environment. Toxic Release Inventory ("Form R") Reports, (as detailed at 40 CFR 372.10)
C + 50
C + 50
C + 50
C + 50
LG.20.93
Hazardous Materials Manifests & Records of Transfer and Disposition
OPR.05.30
Hazardous Waste Manifests and associated LDR Notifications, Exception Reports to the EPA for missing or late return copies of Hazardous Waste Manifests, Controlled Waste, and universal waste Manifest and supporting documentation shipping/disposal records (manifests, bills of US & Canada C + associated with the disposal of hazardous lading, etc.). Records in support of 3 wastes, universal wastes, and controlled hazardous waste classification per 40 CFR wastes. 262.11 (lab tests results, water analysis, Mexico profiles, and other determinations made in C + 10 Exception: Mexico ( C + 10 ) 40 CFR 262.11). Hazardous Waste Contingency Plan (including all revisions), EPA form 8700-12 (notification of regulated waste activity)
C+5
C+7 Bulgaria C+30
C+5
EN.40.15; EN.40.20; LG.20.93
Shipping Papers
OPR.05.35
Shipping papers for DOT Hazardous materials that are not wastes.
C+2
C+2
C+3
C+2
EN.30.10; EN.30.15
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External assessments, Inspections, Citations and Remedial Actions
OPR.05.40
Assessments of or by an external firm, and inspection/citations by regulatory agencies and documentation of all remedial actions taken.
Audits of waste disposal facilities, Records of inspections and/or citations by environmental regulatory agencies records of response to those citations and Phase I and Phase II Environmental Assessments
T+5
T+5
T+5
T+5
EN.10.20; EN.40.10; LG.20.40; LG.20.93 LG.20.20; LG.20.15; LG.20.20 EN.10.10; EN.30.10; EN.30.15; HR.20.93 EN.20.30; EN.30.15; EN.30.30; HR.20.70
Management of Change
OPR.05.45
Documentation of environmental items that have been considered and addressed Environmental programs - MOC form, prior to product transfer or major change management tools for ongoing programs on site. License permitting the possession and use NRC Licenses of nuclear material from the NRC.
ACT + 2
ACT + 2
ACT + 2
ACT + 2
Nuclear Material License
OPR.05.50
PERM
PERM
PERM
PERM
Nuclear Material Inventory
OPR.05.55
Records of the inventory of uranium, devices containing uranium, and records of the identity of the person responsible for logging the uranium inventory.
Nuclear Navy Records
C+3
C+3
C+3
C+3
Polychlorinated biphenyls (PCB) Related Documentation
OPR.05.60
Reports related to Polychlorinated Biphenyls (PCB) management and disposal. Exception: Mexico ( T + 10 )
Manifests for shipment of PCBs, PCB "Certificates of Destruction," EPA Form US & Canada T + 7710-53 ("Notification of PCB Activity"), 5 PCB transformer registration, transformer inspection and maintenance records, PCB Mexico annual document log, monthly inspection of T + 10 PCB storage areas, PCB survey
T+5
T+5
T+5
EN.20.15; EN.20.20; EN.30.20
Radiation Monitoring Equipment
OPR.05.65
Records of the inspections and calibrations of radiation survey instruments and radiographic exposure devices. Records of nuclear materials shipments, including information on material shipped, identity of recipient, and records of radioactive waste disposal.
C+3 PERM
C+5
C+5
C+3
HR.20.20
Radioactive Substances Disposition Records
OPR.05.70
C+3 PERM
C+5
C+7 Bulgaria C+30
C+5
EN.20.30; EN.30.30; EN.40.30
Risk Assessments
OPR.05.75
Records of environmental risk assessments made at Rockwell facilities.
C+6
C+5
C+5
C+5
HR.20.20; HR.20.40; HR.20.93
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) LAS + 5 Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference EN.15.15; EN.30.10; EN.15.10; LG.20.93
Underground Storage Tanks
OPR.05.80
Records of the operation, maintenance and repair of underground storage tanks.
Annual Financial Assurance Documents
LAS + 5
LAS + 5
LAS + 5
Environmental Permits, Licensing and associated documentation
OPR.05.85
Permits and all associated and/or permit required documentation.
Regulatory permits (air, water, sewer, storm water, etc.), permit-required documents and records, permit applications, permitrequired plans (sludge discharge plan, Storm water Pollution Prevention Plan, etc.), permit-required reports to regulators
T+6
T+6
T+6
T+6
LG.20.40; LG.20.20; LG.20.15
Environmental Audits
OPR.05.90
Internal audits of environmental policies and procedures at RA locations.
Audits by headquarters/corporate offices. Environmental Self-audits, Site Environmental Inspections, Functional Environmental review, Environmental Agency Certification specifications, Corrective action matrix records stored in SEATA see sub-categories Process Change Notices (PAN), product transfer to different plant, and deautomation processes. Product transfer checklist.
C+2
C+2
C+5
C+2
HR.10.30; EN.30.10
Manufacturing
OPR.15.00
See subcategories for definitions. Records to change manufacturing process, including authorizations and deviations. Rework, Stop orders and release orders which stop production. Records of equipment used in the manufacturing process. Routine internal records of repair and maintenance activities. Technical standards for equipment. Internal and external company's certificate of calibration for manufacturing equipment.
see subcategories
see subcategories
see subcategories see subcategories LG.20.15; LG.20.20; LG.20.80; MF.15
Process Change Orders & Manufacturing Process Change
OPR.15.10
LOP + 10
LOP + 10
LOP + 10
LOP + 10
Manufacturing & Test Equipment- Repair & Maintenance & Calibration
OPR.15.15
Equipment configurator, equipment manuals, preventative maintenance, gage & test equipment repair logs. Fixtures and ICT codes. Tooling history record (die cards) and tooling document package, R&R records, process cover sheets. Assembly and test fixtures
LOE + 2
LOE + 3
LOE + 3
LOE + 3
LG.20.80
Production Quality Records
OPR.15.16
Statistical process control - metrics. Electrical test tickets, Manufacturing quality system documentation
Automated Test (ATE) reports, inspection reports, QIS data, Form 848
C+2
C+2
C+2
C+2
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Records documenting manufacturing plans, equipment configuration, and other related documents. Documented work instructions (DWI). Control plans, manufacturing parts acceptance and Vendor cards. Assembly Aids Records documenting periodic manufacturing production, product tracking, variance with manufacturing plan volume reports, and other related documents. Production control documents. Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference
Manufacturing Methods Documentation
OPR.15.20
Manufacturing engineering instructions (MEI), product deviation notices (PDN), manufacturing module database, request for support-RFS, Manufacturing check lists. Form 43000-050-01 Production records, variances, volumes, monthly reports, manufacturing orders, job files. Assembly acceptance form # 40000253-01, test yield and defect data. End to end process on the first pass
LOP + 10
LOP + 10
LOP + 10
LOP + 10
LG.20.15; LG.20.20; LG.20.80; MF.15
Manufacturing Production Control
OPR.15.25
ACT
ACT
ACT
ACT
LG.20.15; LG.20.20; LG.20.80
Stock, Parts and Supplies
OPR.15.35
Coordinator Repick Form (Form DCCP.63.02), Return to Stock Summary Sheet (Form DCCP.63.03), Reslot Confirmation Ticket (Form DCCP.29.01), Slotting Confirmation Ticket (Form Records documenting movement outside DCCP.29.02), Completed Routers, Slotting of the plants, between plants, etc.: parts Confirmation Ticket (Form DCCP.29.02), supplies movements, manifests, Reslot Confirmation Ticket (Form inventory, order points, specifications, DCCP.29.01), Return to Stock Summary discount sheets, after market parts, and Sheet (Form DCCP.63.03), Coordinator other related records. Stock reports & Repick Form (Form DCCP.63.02), Reloc documentation. Move tickets, quality Quantity Change Form (Form status identification, receiving inspection DCCP.43.01), Problem Form (Form data and outgoing quality audits (OQA). DCCP.35.01, Reusable Materials Returned to Milwaukee Log, Dublin Return Shipment Notification (Form DCCP.13.01), monthly reports on Attainment. Historical routing slips.
ACT
ACT
ACT
ACT
NONE
Product Environment
OPR.15.40
Product handling, storage, packing, preservation, delivery Routine cleaning, spot checks, daily checklists See subcategories for definitions. Manufactured products bill of materials and other records documenting the contents of manufactured products.
Electrostatic discharge (ESD), packing materials specifications, shelf life specifications & waivers, thread lock. Wrist strap checks, torque verification see sub-categories
LOP + 10
LOP + 10
LOP + 10
LOP + 10
LG.20.15; LG.20.20; LG.20.80; MF.15 NONE
Preventative / Routine Maintenance Product Engineering/Design
OPR.15.50 OPR.20.00
ACT see sub-categories
ACT see sub-categories
ACT
ACT
see sub-categories see sub-categories LG.20.15; LG.20.20; LG.20.80; MF.15
Bill of Materials (BOM)
OPR.20.01
BOM (Bill of Materials)
LOP + 10
LOP + 10
LOP + 10
LOP + 10
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Technical Standards Certification and Conformity
OPR.20.05
Records and test results supporting filings and reporting for products meeting and confirming to various industry and/or international and Rockwell Automation technical standards, such as UL Listing, CE Mark and EU Product Compliance Requirements. Third party safety certification records and audits
Recall/Retrofit Files, Product Safety Review Files, QA Summary Report, Product Verification Memos, Technical Construction Files for CE EMC Directive, Technical Documentation Package for CE Low Voltage Directive, CE and Australian Declarations of Conformity, UL, CSA, FM, ATEX, and Marine certification records
LOP + 10
LOP + 10
LOP + 10
LOP + 10
LG.20.15; LG.20.20; LG.20.80; MF.15
Engineering Equipment Calibration Certificates
OPR.20.10
Calibration certifcates used in the validation of products
Product certification organizations required certification of calibration (UL, CSA, FM, LCIE) Thermal Profile Records, test report, test protocol, safety, EMI/EMC test protocol and test reports, Q.C. Inspection and test reports, Test Site Records. Life testing (mechanical, failure, and analysis test). Repeatability and Reliability testing. Test and verification of software.
LOP + 10
LOP + 10
LOP + 10
LOP + 10
LG.20.15; LG.20.20; LG.20.80; MF.15
Engineering Data & Testing
OPR.20.15
Records containing calculations, test results, lab data and other data captured during research, experimentation and testing processes. High current and mechanical failure analysis. New part inspection records. Records documenting design, design requirements, design reviews, patch release notes, defect/anomaly reports, planning, and related documentation of internally developed product software. Source code. Drawings, BOM, Specifications, & Supporting Documentation
LOP + 15
LOP + 15
LOP + 15
LOP + 15
LG.20.15; LG.20.20; LG.20.80; MF.15
Software Engineering
OPR.20.25
Firmware and software documents. Source code, EDS, object codes, and build files. Release tracking forms. Back-up tapes of the software source code,
LOP + 10
LOP + 10
LOP + 10
LOP + 10
LG.20.15; LG.20.20; LG.20.80; MF.15
ns - Operations
Nuclear Products
OPR.20.30
Nuclear Navy records, Nuclear Power Plant products
C + 40
C + 40
C + 40
C + 40
NONE
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Operations - Operations - Operations - Operations - Operations - Operations - Operations - Operation
Product Development-Job Files/Product Change Management
OPR.20.35
ECN Review Records, , Engineering Change Notice, Request for Corrective Engineering drawings, plans, CAD files, Action (RFCA), ECN Analysis, Design input specification, Design verification and as-built, controlled product documentation, aperture cards. Records validation records, Design output documents Ex: Part drawings, specification, labeling that document changes to product engineering, including meeting minutes, and packaging drawing or specification assembly drawings, top assembly drawing, regarding functionality, deviations authorizations, characterizations, ICM - product deviations. Product simulation files. Product development documents, Integrated Condition Monitoring, engineering change notification ( ECN). quality plan, ESB verification and ESB New product releases (NPR). Prototypes design validation for pre-engineered products. Engineered specials checklists. and pilot Initial, intermediate, and final product design checklists.
LOP + 10
LOP + 10
LOP + 10
LOP + 10
LG.20.15;LG. 20.20; LG.20.80; MF.15
Technical & Product Literature
OPR.20.40
Specimen copies of product literature such as instructions and manuals. Technical data and commercial publications. Specifications, system overview, reference and dimensions. Training course final package.
User manuals, product installation manuals, repair manuals, product instruction manuals, and product training manuals. New product data sheets, whitepapers, Quick start, Getting Results, knowledgebase documentations for declarations.
LOP + 10
LOP + 10
LOP + 10
LOP + 10
LG.20.15; LG.20.20; LG.20.80; MF.15
Change of Product Status Records
OPR.20.45
Records that document product status, Products obsolesce, Renewal including corrective actions, material reviews, problems and resolutions, recall parts/obsolesce, Product issues and resolution log, New material research authorizations and customer specifications reviews. Customer product and records pertaining to the product. Alpha-numeric listing of test codes See subcategories for definitions. Project Management Policies and Procedures, and all related supporting documentation. Project proposals, job files and related supporting records that were not approved for implementation or production. OE- open ended# Abandonment during product realization cycle. Project can be stopped any time prior to manufacturing. Index used to decipher when and where a product was manufactured. see sub-categories
LOP + 10
LOP + 10
LOP + 10
LOP + 10
LG.20.15; LG.20.20; LG.20.80; MF.15
Customer Property Records
OPR.20.50
ACT
ACT
ACT
ACT
NONE
Test Codes Project Management/ Control of projects
OPR.20.55 OPR.25.00
PERM see subcategories
PERM see subcategories
PERM
PERM
LG.20.80
see subcategories see subcategories LG.20.15; LG.20.20; LG.20.80; MF.15 LG.20.15; LG.20.20; LG.20.80
Policies and Procedures
OPR.25.05
LOP + 10
LOP + 10
LOP + 10
LOP + 10
Project Proposals - Not Approved
OPR.25.10
C + 10
C + 10
C + 10
C + 10
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Project Proposals, including requirements, specifications, tasks, deliverables, and other supporting documentation, project approvals. DV Development# Records supporting the management of product related projects approved for implementation, progress reports, milestones, and expense tracking. Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference LG.20.15; LG.20.20; LG.20.80; MF.15 LG.20.15; LG.20.20; LG.20.80; MF.15 LG.20.15; LG.20.20; LG.20.80; MF.15
Project Proposals - Approved
OPR.25.15
ISO required Project Folder:(8 tabs) Initiation, Planning, Requirements Specs, Design Outputs, Acceptance Test, Industrialization, System test, Other.
LOP + 10
LOP + 10
LOP + 10
LOP + 10
Product Project Management
OPR.25.20
PAR / EPAR system: Project approvals, management plans, hour and cost records and retrospective review.
C + 10
C + 10
C + 10
C + 10
Project Work papers
OPR.25.25
Non- ISO related project records: Engineering notes, working copies,
C+6
C + 10
C + 10
C + 10
Project Master Log
OPR.25.30
Master book of all open and closed projects.
PERM
PERM
PERM
PERM
Product Repair
OPR.30.00
Records documenting the activities at RA Repair Shops, including repair job files, warranty claims and expenses, repair credits, Intercompany charges, authorizations, and other related records.
Repair Tags, Repair Operations Deviation Instruction, Repair operations instruction, warranty. PSR, Customer equipment calibration records.
C + 10
C + 10
C + 10
C + 10
LG.20.15; LG.20.20; LG.20.80
Product Safety Risk Assessment
OPR.31.00
Records of product's risk assessment made in a Rockwell facility. Reports disposition risk of significant errors. See subcategories for definitions. System Quality audits and reports. Records supporting the ISO 9000 certification and documentation of quality control activities, QIS (quality Information system). Corrective Action Plan (CAP) and CAP assessment rating sheet.
Product safety Alerts (PSA), PSA committee minutes, agendas & handouts, Recall and Retrofits notes see sub-categories
LOP + 10
LOP + 10
LOP + 10
LOP + 10
LG.20.15; LG.20.20; LG.20.80; MF.15
System Management - Quality
OPR.35.00
see subcategories
see subcategories
Quality System Audits and Reports
OPR.35.05
Internal Audit Report (Form DCCP.69.01), Internal Audit Records, Quality Management Review Records, Internal Quality/System Process Audit Results, Corrective Actions. ISO audits, TUV (European standards) findings and Exception: Locations were CAP's are resolutions. Top 5 report register for captured in the Corporate System will be continuous improvement and preventative maintained indefinately. Currently we action plan. Component Action Requests are unable to purge data, but will look at and engineering reports. addressing this issue once migrated onto SAP. (locations include: Canada, Tecate, Richland Center...)
C+6 *See Exception*
C+6
C+10
C+10
LG.20.15; LG.20.20; LG.20.80
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Process Qualification
OPR.35.10
Equipment qualification & requalification, special processes qualification, process waivers, validation Check the process after set-up. (punch press, and verification, calibration and risk plastics). Investigation of suppliers reports, test software and measurement system analysis. Evaluation of vendors who provide calibration & repair services for measurement equipment. Corrective action tracking (CAT), corrective action request (CAR), Product root cause failure analysis (RCFA). Product internal audit reports Preventive Action Log, Supplier Corrective Action Requests, Corrective Action Tracking Reports, root cause analysis. Stock Purge
LOE + 2
LOE + 3
LOE + 3
LOE + 3
LG.20.15; LG.20.20; LG.20.80
Products Corrective / Preventive Action
OPR.35.15
LOP + 6
LOP + 6
LOP + 10
LOP + 10
LG.20.15; LG.20.20; LG.20.80
Scrap & Rework Forms & Logs
OPR.35.17
Records of scrap & rework created as a result of the manufacturing process.
Regrade, scrap, rework tickets and orders, waiver of parts, waiver of products, authorization to proceed log, Positive recall part release (form 43000-030-01). Scrap forms NEWLIT form 2088, 1781, 1751, or any entry into ABMS CMSRADD Quality Assurance Manual, QES RA ISO 900 Manual, Quality System Procedures QSP 's, Quality Control Manual, Quality Assurance Procedures. Richland Center stamp log, Quality control stamp log AB-std-100
C+2
C+3
C+2
C+5
LG.20.15; LG.20.20; LG.20.80
Quality System Documentation
OPR.35.20
Documentation describing quality assurance processes and procedures. Monitoring and measurement methods, quality plans Product acceptance authority Workmanship standards
SUP + 7
SUP + 7
SUP + 10
SUP + 10
LG.20.15; LG.20.20; LG.20.80
Product Acceptance Authority Standards Process Monitoring Shipping and Logistics
OPR.35.25 OPR.35.30 OPR.35.35 OPR.40.00
C+2 PERM C+2 see subcategories
C+2 PERM C+2 see subcategories
C+3 PERM C+3
C+5 PERM C+5
LG.20.80 LG.20.80 LG.20.80
Test data to determine if the process is in Pre-control and process monitoring charts control See subcategories for definitions. see sub-categories
Domestic Shipment Documentation / Bills of Lading
OPR.40.05
Records documenting the contents of shipments, including bills of lading, Domestic shipping & receiving packing slips, shipping tickets, authorizations, and other related records. Return shipment notification
C+2
C+10 China C + 15
C+10
C+10
LG.10.20; LG.10.60; LG.20.40
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference AC.30; AC.40; LG.10.20; LG.10.60; LG.20.40
International Shipment Documentation / Bills of Lading
OPR.40.06
Records documenting the contents of shipments, including bills of lading, International - Export shipping packing slips, shipping tickets, authorizations, and other related records. Return shipment notification Records documenting the contents of shipments, including bills of lading, Export requirements for military items. packing slips, shipping tickets, DSP-5 and TAA licenses authorizations, and other related records. Return shipment notification Carrier information including carrier Annual freight bill audit, Carrier selection, selection, service levels, service tracking, Shipping information: overnight, standard, routing, shipping rates, carrier audits, express and other related records. Information gathered when customers are Customer screening questions required to set up in our system. meet global trade requriements
C+7
C+10 China C + 15
C+10
C+10
ITAR Shipment Documentation / Bills of Lading
OPR.40.07
C + 15
C+10 China C + 15
C+10
C+10
LG.10.20; LG.10.60; LG.20.40
Carrier Information
OPR.40.10
C+7 C+15 (ITAR)
C+7 C+15 (ITAR)
C+7 C+15 (ITAR)
C+7 C+15 (ITAR)
LG.10.20; LG.10.60; LG.20.40
Customer Screening
OPR.40.12
ACT + 5
ACT + 5
ACT + 5
ACT + 5
Customs Documentation
OPR.40.15
Records supporting international shipments, including foreign exchange documents, freight forwarder documentation, foreign trade zone documents, NAFTA documents, export declarations, customs investigation requests, security endorsements, and other related records.
Customs(a)(1)(A) Certificate of Origin: Form 3461, Form 7533, Form 7501. Any communication related to an entry even if not required at the time of entry
T+5
T+10 China T+15
T+10
T+10
LG.10.20; LG.10.60; LG.20.40
Foreign Trade Zone - CBP214
OPR.40.16
Application for Foreign Trade Zone admission and/or status designation. This a cumulative for that lists multiple shipments. (daily)
Includes CBPF 7512 I.T.& Form CBP 214 (customs border protection forms) Transportation entry & manifest of goods subject to inspection and permit, house air bill (in-bound) from freight forwarder, commercial invoice.
T+5
T+10 China T+15
T+10
T+10
LG.10.20; LG.10.60; LG.20.40
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Foreign Trade Zone: Import/Export Packets
OPR.40.17
Weekly packet of entry and export records
Import: CBP 3461-Entry/Immediate delivery zone estimate, entry summary zone entry, Tariff detailed report Export: CBP 7512 T&E- Transportation entry & manifest of goods subject to CBP inspection and permit, commercial invoices, CBP 7512EST- Blanket application for weekly export/CF7512 Weekly statement of merchandise exported reconciliation report. CBP 349- Harbor Maintenance fee quarterly summary report from EZ-EZ 114 E - Foreign Trade Zone annual report submitted to Zone Grantee in Peoria 114E- Foreign Trade Zone annual reconciliation report submitted to US Customs
T+5
T+10 China T+15
T+10
T+10
LG.10.20; LG.10.60; LG.20.40
Foreign Trade Zone: Reporting
OPR.40.18
Foreign Trade Zone Reporting
C+5
T+10 China T+15
T+10
T+10
LG.10.20; LG.10.60; LG.20.40
Freight Claims
OPR.40.20
Records documenting freight claims, freight damage reports, pictures documenting damage, correspondence, and other related records. See subcategories for definitions. Records describing job-related accidents and injuries, vehicle accidents, aviation incidents, including OSHA and other required federal and state government reports and logs. Safety Committee Minutes and Reports DOT required information on drivers holding a CDL. Records supporting OHSA's 18001 certification.
Freight Claims Pictures, UPS and air freight
C+7
C+6
C+10
C+10
LG.10.50; LG.20.40
Safety
OPR.45.00
see sub-categories Contractor Injury and Illness Records, OSHA Form 200 Log of Injuries & Illnesses, OSHA Form 300 Log of Injuries & Illnesses or equivalent, Incident Investigations & C/A
see subcategories
see subcategories
Accident / Injury / Incident Reports and Logs
OPR.45.05
C+5 Canada C+10
C+5
C+5 Lithuania C+75
C+5
HR.20.05.
Job Safety Observations Driver Qualification Files
OPR.45.10 OPR.45.15
Safety committee reports
ACT
ACT
ACT
ACT
HR.20.75 HR.10.60
C+5 Management review, objectives, targets, aspects and impacts, legal and others, communication logs
Safety Management Systems
OPR.45.20
ACT + 2
ACT + 2
ACT + 2
ACT + 2
NONE
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Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category Compressed Air System, Cranes/Hoists/Lifts, Crane/Hoist Slings/Chains/Hooks, Electrical Installations/Equipment/GFI, Housekeeping Inspections, Radiation Sources (Ionizing/Non-ionizing), Safety Preventive Maintenance records of plant and machinery Government Inspections/Citations/Other, Fire Inspection Reports US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference
Equipment Inspections
OPR.45.25
Records of safety inspections and tests performed on equipment.
C+5
C+5
C+5
C+5
HR.20.20
Facilities Inspections
OPR.45.30
Records of facility safety inspections. Records pertaining to required hazmat and hazcom training, testing, notifications, and correspondence. Documentation of safety items that have been considered and addressed prior to product transfer or major change on site. Material Safety Data Sheets. Records of incidents which do not result in injuries or damage to property, but which have the potential to do so.
C+5
C+5
C+5
C+5
HR.20.20; HR.20.35
Hazmat and Hazcom Training and Testing Records
OPR.45.35
C+5
C+5
C+5
C+5
HR.20.85
Management of Change
OPR.45.40
MOC form, management tools for ongoing safety programs
ACT + 2
ACT + 2
ACT + 2
ACT + 2
LG.20.15; LG.20.20
MSDS
OPR.45.45
Material Safety Data Sheets (MSDS)
ACT + 30
ACT + 30
ACT + 40 C+5 Lithuania C+75
ACT + 30
HR.20.15
Near Miss Reports
OPR.45.50
Near miss accident reports
C+1
C+3
C+3
HR.20.05.
Risk Assessments
OPR.45.55
Assessments of the likelihood of injury, mishap or other safety-related problems.
Emergency Risk Assessment (ERA), Significant Risk Assessments (SRA), Industrial Hygiene Worksite Analysis, Task Hazard Analysis Results, Arc Flash Calculations
C+7 Canada C+10
C+7
C+7
C+7 Brazil C+20
LG.20.15; LG.20.20; HR.20.40
Safe Work Permits
OPR.45.60
Records authorizing hazardous work, such as confined space and hot work permits. Exception: Canada ( C + 10 )
Confined Entry permits, Hot Work Permits, Energized Electrical Work Permits
US & Mexico C+1 Canada C + 10
C+1
C+1
C+1
NONE
Safety Audits
OPR.45.65
Internal audits of safety policies and procedures at RA locations.
Self Safety audits, Site safety Inspections, Functional safety review, Safety Agency Certification specifications, corrective action matrix records stored in SEATA
C +5
C+5
C+5
C+5
HR.20.99
SALES
SAL.00.00
1/3/2012
45 of 98
Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference AC.30; AC.40; CO.40; LG.20.15; LG.20.20; LG.20.80
Customer Orders
SAL.05.00
Records documenting customer orders, customer change orders, order confirmations, and order detail and specifics. Records supporting the development of a proposal in response to a customer RFQ. Includes records in the QTS (Quote Tracker System), pricing tools, and other similar documents. See subcategories for definitions. Contract with the customer for the purchase of a product not ready for sale. Not pre-tested and customer waives all liability Information supporting and tracking customer support initiatives and encounters, including customer complaints, resolution details, and case notes, ICM - Integrated Condition Monitoring, customer training documentation, and other related records. Customer file information, contact info, Product specifications, case notes, resolution details, and other related records.
Credit Memo Data, Service Management System Data, Shipping Stop and Release, Requests for Shipment, sales journals
T + 10
T+10 China T+15
T+10
T+10
Customer Development
SAL.06.00
Quote, Preorder quotes, Proposal files: configure parts in system generate drawing & pricing, RFI/RFP/RFQ, Quotes & supporting documentation. Commitment letters see sub-categories
C+7
C+6
C+10
C+10
LG.20.40
Customer Relations
SAL.10.00
see subcategories
see subcategories
see subcategories see subcategories LG.10.10; LG.10.20; LG.10.50; LG.10.60; LG.20.10;
Beta Site Agreements
SAL.10.02
Beta site release
T+6
T+6
T+10
T+10
Customer Support and Service
SAL.10.05
Field Returns (PSR & RA), a) Log of service calls, b) Record of service performed to close service calls, c) Return authorization form. Customer Service Call folders: customer contact name, product, problem, engineering notes, problem discussion, resolution, Customer support calls Customer specifications, Customer's letter for classification of product, Customer service folders
C+7
C+6
C+10
C+10
LG.10.10; LG.10.20; LG.10.50; LG.10.60; LG.20.10;
Customer Information
SAL.10.10
C+7
C+6
C+10
C+10
LG.10.10; LG.10.20; LG.10.50; LG.10.60; LG.20.10; LG.10.10; LG.10.20; LG.10.50; LG.10.60; LG.20.10; LG.10.10; LG.10.20; LG.10.50; LG.10.60; LG.20.10;
Point of Sale Information
SAL.10.12
Sales history of our customers including direct sales customers and indirect "distributor" sales customers
Sales information: what company purchased products, what products were purchased, when the products were purchased, how many products were purchased, and where the products were shipped.
C + 20
C + 20
C + 20
C + 20
Product Service Advisory and Warranty Sales
SAL.10.15
Product Service Advisory (PSA), product Product identification for customer report: warranty, and related records. tracks satisfaction, starts warranty clock
C+7
C+6
C+10
C+10
1/3/2012
46 of 98
Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 S Record Title 2 Record Series# Record Description Records documenting proposals or quotations provided to customers that specify terms and conditions under which the company will provide products and services. Records of sales reporting and analysis, including customer lists. Lists detailing current prices for products Pricing Models, Rate schedules, Rate tables, and services. Product pricing sheets, master price list Records documenting sales force territories, strategies, sales volume, management, and other related records. Records documenting sales projections and sales forecasts. Distributor Profiles, Bookings, Billings & final shipped sales reports, Sales history, Sales Volumes, Competitive promotional sales records, Distributor Performance management reports: growth to goal , Trend analysis/monthly review packages, Variances- in sales volumes Style guide Editing checklist E-Learning Process Maps ASCD Course Outline Pilot Instructor Course Name list Pilot comments Title management Master course list Continuing Education Unit Form (CEU exterminator) Certification Records FTI (field Technical instructors) Feedback Observations of the course Salesmen Opportunity tracking reports, Sales scoring cube: look at the performance of sales engineer, Maps of territories, Regional sales quotas Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference LG.10.10; LG.10.20; LG.10.50; LG.10.60; LG.20.10;
Proposals - Pending
SAL.10.20
C+7
C+6
C+10
C+10
Reporting and Analysis
SAL.10.25
C+7
C+6
C+10
C+10
LG.20.40
Price Lists
SAL.15.00
C+7
C+6
C+10
C+10
LG.20.40
Sales Force Management
SAL.20.00
C+7
C+6
C+10
C+10
LG.20.40
Sales Projections
SAL.25.00
C+7
C+6
C+10
C+10
LG.20.40
Sales Reports
SAL.30.00
Records tracking sales and distribution channels, including distributors, system integrators, and web-based and contract sales.
C+7
C+6
C+10
C+10
LG.20.40
Customer Training Materials
SAL.35.00
Training materials
ACT + 5
ACT+6
ACT+10
ACT+10
LG.20.40
Customer Training
SAL.40.00
Customer Training records
T+6
C+6
C+10
C+10
LG.20.40
TAX Income & Excise Taxation
TAX.00.00 TAX.05.00 See subcategories for definitions. see sub-categories see sub-categories see sub-categories see sub-categories see sub-categories
1/3/2012
47 of 98
Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) PERM Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference AC.30; AC.30; AC.40; CO.40; AC.60 AC.30; AC.30; AC.40; CO.40; AC.60 AC.30; AC.30; AC.40; CO.40; AC.60 AC.30; AC.30; AC.40; CO.40; AC.60 AC.30; AC.30; AC.40; CO.40; AC.60 AC.30; AC.30; AC.40; CO.40; AC.60 AC.30; AC.30; AC.40; CO.40; AC.60 AC.30; AC.30; AC.40; CO.40; AC.60
Federal Income - Returns & Audit Reports
TAX.05.05
Federal income tax returns and audit reports.
Consolidated and Pro Forma Federal Form 1120s and Federal Audit Reports Tax return and audit supporting work papers, domestic tax packages, Information Document Requests, correspondence Federal Form 720 and Federal Audit Reports
PERM
PERM
PERM
Federal Income - Work papers
TAX.05.10
Federal income tax return and audit report supporting work papers.
TAX
C+10 China C+15
C+10
C+10
Federal Excise - Returns & Audit Reports
TAX.05.15
Federal excise tax returns and audit reports.
TAX
C+10 China C+15
C+10
C+10
Federal Excise - Work papers
TAX.05.20
Tax return and audit supporting work Federal excise tax return and audit report papers, information requests ("IDRs"), supporting work papers. correspondence Support for earnings & profits of nonUnited States locations US Form 5471 's and supporting work papers. Non- United States income tax returns
TAX
C+10 China C+15
C+10
C+10
Federal Income - International Aspects of US Tax Returns
TAX.05.25
PERM
PERM
PERM
PERM
Federal Income International Aspects of US Tax Returns - Work papers
TAX.05.30
Support for foreign tax credit and other international aspects
Tax packages and FTC work papers
TAX
C+10 China C+15
C+10
C+10
State & Local Income - Returns & Audit Reports
TAX.05.35
State & Local income & franchise tax returns and audit reports. State & Local income & franchise tax return and audit report supporting work papers. See subcategories for definitions. State & Local sales & use tax return and audit reports.
State & Local income & franchise tax returns and State & Local Audit Reports Tax return and audit supporting work papers, domestic tax packages, information requests, correspondence see sub-categories State & Local sales & use tax returns and Audit Reports Tax return and audit supporting work papers, tax exemption certificates, information requests, correspondence see sub-categories
PERM
PERM
PERM
PERM
State & Local Income - Work papers
TAX.05.40
TAX
C+10 China C+15 see sub-categories C+10 China C+15
C+10
C+10
Sales & Use Taxation State & Local Sales & Use - Returns & Audit Reports
TAX.10.00
see sub-categories
see sub-categories see sub-categories AC.30; AC.30; AC.40; CO.40; AC.60 AC.30; AC.30; AC.40; CO.40; AC.60
TAX.10.05
TAX
C+10
C+10
State & Local Sales & Use - Work papers
TAX.10.10
State & Local sales & use tax return and audit report supporting work papers. See subcategories for definitions.
TAX
C+10 China C+15 see sub-categories
C+10
C+10
Employment Taxation
TAX.15.00
see sub-categories
1/3/2012
48 of 98
Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) TAX Asia Retention (years) C+10 China C+15 EMEA Retention South America Legal (years) Retention (years) Reference AC.30; AC.30; AC.40; CO.40; AC.60 AC.30; AC.30; AC.40; CO.40; AC.60 AC.30; AC.30; AC.40; CO.40; AC.60 AC.30; AC.30; AC.40; CO.40; AC.60
Federal Employment - Returns & Audit Reports Tax - Tax - Tax
TAX.15.05
Federal employment tax returns and audit Federal Forms 940 & 941 and Federal Audit reports. Reports Tax return and audit supporting work Federal employment tax return and audit papers, information requests, report supporting work papers. correspondence State & Local employment tax returns and audit reports. State & Local employment tax returns and Audit Reports
C+10
C+10
Federal Employment - Work papers
TAX.15.10
TAX
C+10 China C+15
C+10
C+10
State & Local Employment - Returns & Audit Reports
TAX.15.15
TAX
C+10 China C+15
C+10
C+10
State & Local Employment - Work papers
TAX.15.20
Tax return and audit supporting work State & Local employment tax return and papers, information requests, audit report supporting work papers. correspondence See subcategories for definitions. see sub-categories
TAX
C+10 China C+15 see sub-categories C+10 China C+15
C+10
C+10
Local Property Taxation Personal Property Tax - Returns & Audit Reports
TAX.20.00
see sub-categories
see sub-categories see sub-categories AC.30; AC.30; AC.40; CO.40; AC.60 AC.30; AC.30; AC.40; CO.40; AC.60 AC.30; AC.30; AC.40; CO.40; AC.60
TAX.20.05
Personal Property Tax Returns and Audit Personal property tax returns and Audit Reports. Reports Tax return and audit report supporting work papers, information requests, fixed asset detail, inventory and supplies data, valuation notices, tax bills, correspondence Real Property Tax Returns (e.g. Wisconsin), valuation notices, valuation appeals, appeals settlements, supporting work papers, correspondence
TAX
C+10
C+10
Personal Property Tax - Work papers
TAX.20.10
Personal Property Tax Return and Audit Report supporting work papers.
TAX
C+10 China C+15
C+10
C+10
Real Property Tax - Returns & Other Records
TAX.20.15
Real Property Tax Returns & Other records.
TAX
C+10 China C+15
C+10
C+10
Non-US International Taxation
TAX.25.00
Tax papers and returns related to taxation see sub-categories in non-United States jurisdictions. Copies of filed income tax returns, copies of the assessments received from the taxing authorities documenting the tax liability for each year
see sub-categories
see sub-categories
Non-US Income Tax
TAX.25.05
Non-US income tax returns and assessments
PERM
PERM
PERM
PERM
AC.30; AC.30; AC.40; CO.40; AC.60 AC.30; AC.30; AC.40; CO.40; AC.60
Non-US Income Tax - Work papers
TAX.25.10
Non-US income tax returns, audits, and supporting work papers
Non-US TAX - TBD (retention to be determined with international review)
PERM
PERM
PERM
PERM
1/3/2012
49 of 98
Abbreviations used in this schedule: ACT = While Active, has an operational value or Still in Force; COF= Closure of Facility; C = Current calendar year; DA = Disposition of Asset; E = Termination of Employment; IND = Indefinitely, but review every 25 years; LAS = Affected Systems; LOE = Life of Equipment; LOP = Life of Product (no longer manufactured, sold or supported); MAX = Keep for a Maximum of this Period; SUP = Until Superseded. PERM = Permanent, but review every 50 years; TAX = Tax Year Audit Closure (Curren prior to FY2003); T = Termination, completion, expiration, obligation of settlement agreement have been met, or no longer used. All dates are Years ** Retain all records related to international/non-US activities until further notice** Record Title 1 Record Title 2 Record Series# Record Description Sample Documents in Category US, Canada, Mexico Retention (years) Asia Retention (years) EMEA Retention South America Legal (years) Retention (years) Reference AC.30; AC.30; AC.40; CO.40; AC.60 AC.30; AC.30; AC.40; CO.40; AC.60 AC.30; AC.30; AC.40; CO.40; AC.60
International Transfer Pricing Taxation
TAX.25.15
Records of international Intercompany transactions, related pricing, and related accounting and taxation documentation, including work papers and audits.
Transfer pricing supporting documents & issues
PERM
PERM
PERM
PERM
US Income Tax
TAX.25.20
Tax packages completed for US tax filings by Non-US locations Drawback claims , drawback contracts, drawback applications. Proof of import/export, export bills of lading
Tax package and back up supporting documents to support the information provided to the Corporate Tax Department
TAX
C+10 China C+15
C+10
C+10
Customs
TAX.30.00
TAX
C+10 China C + 15
C+10
C+10
1/3/2012
50 of 98
= Life of
Comments and Questions
1/3/2012
51 of 98
= Life of
1/3/2012
52 of 98
= Life of
T = date when property is abandoned
1/3/2012
53 of 98
= Life of
Comments and Questions Keep all regions records until last tax interational audit completed
Cycle count workpapers entered into SAP -destroy after entering
Deann Hobbs Deann Hobbs CA paper kept in Personnel file
1/3/2012
54 of 98
= Life of
Deann Hobbs
Deann Hobbs
Patent Banquet
CANADA
1/3/2012
55 of 98
= Life of
Comments and Questions T = date when permit expires
1/3/2012
56 of 98
= Life of
T = completion of project
1/3/2012
57 of 98
= Life of
T = completion of work
T = date the vehicle was sold
43000-044, 43000-045
43000-047
1/3/2012
58 of 98
= Life of
1/3/2012
59 of 98
= Life of
1/3/2012
60 of 98
= Life of
1/3/2012
61 of 98
= Life of
PaperDataStore
PaperDataStore
PaperDataStore
1/3/2012
62 of 98
= Life of
1/3/2012
63 of 98
= Life of
1 copy kept permanently for archives
T= the IC-Cat follow-up done
1/3/2012
64 of 98
= Life of
T= the IC-Cat follow-up done
T= Sale, closure, or decommission
1/3/2012
65 of 98
= Life of
1/3/2012
66 of 98
= Life of
Comments and Questions T = expiration of bond
ACT (Date of Loss)
1/3/2012
67 of 98
= Life of
Hold all records when notify of potential audit
1/3/2012
68 of 98
= Life of
FY06-07 CSMIP FY01-05 Prior plan
1/3/2012
69 of 98
= Life of
43000-009
1/3/2012
70 of 98
= Life of
MKE only
HR - Original Mgr- Copy
1/3/2012
71 of 98
= Life of
1/3/2012
72 of 98
= Life of
43000-009
43000-009
1/3/2012
73 of 98
= Life of
T= decommission of system. Data moved to archive system
1/3/2012
74 of 98
= Life of
Comments and Questions T= decommission of system. Data moved to archive system T = date the agreement or license expires Does not include ticket to request changes to financial system with attachments
T = date of agreement
1/3/2012
75 of 98
= Life of
1/3/2012
76 of 98
= Life of
T = date the contract expires. Keep each signed contract until no longer renewed.
1/3/2012
77 of 98
= Life of

T = date the contract expires. Keep each signed contract until no longer renewed. T = date the contract expires. Keep each signed contract until no longer renewed. T = date the contract expires. Keep each signed contract until no longer renewed.
1/3/2012
78 of 98
= Life of

T = date the contract expires
Special contract terms
T = date the patent becomes inactive ( life of Patent)
Historical Patents retained perm
1/3/2012
79 of 98
= Life of
T = date when all obligations under the settlement agreement have been met (Documents maybe retained for reuse in other cases)
T= date of resolution
1/3/2012
80 of 98
= Life of
T= Date tendered
RRohr
RRohr
RRohr
Rrhor
1/3/2012
81 of 98
= Life of
Rrhor
T= date permit expiration
T= date license expiration
1/3/2012
82 of 98
= Life of
No Smog reporting in Canada
1/3/2012
83 of 98
= Life of
1/3/2012
84 of 98
= Life of
T = Resolution of the audit findings
T = as long as they continue to handle PCB's
1/3/2012
85 of 98
= Life of
T = permit expiration
43000-055, 43000-058, 900-20-10
43000-033, 43000-037, 43000-083
43000-036, 43000-094 QIS SAP- BW-7 Factory Talk Production Center
1/3/2012
86 of 98
= Life of
43000-025, 43000-050, 43000-094
40000-253
43000-023, 43000-024, 43000-036, 43000-048, 43000-099
1/3/2012
87 of 98
= Life of
43000-029, 43000-070, 43000-099
EU 2006/42/EC 43000-019
43000-084
1/3/2012
88 of 98
= Life of
43000-013, 13000-014, 43000-058, 43000-097, 43000-099
400000-093
1/3/2012
89 of 98
= Life of
43000-033, 43000-058
Q 43000-010, 43000-062, 43000-088, 43000-100
1/3/2012
90 of 98
= Life of
43000-026, 43000-033
43000-030, 43000-061
43000-036 43000-048
43000-085
1/3/2012
91 of 98
= Life of
43000-085
43000-085
T= Expiration of the license
T= Withdrawal of the last inventory associated with document
1/3/2012
92 of 98
= Life of
T = Date of entry or date of export
Date of report
1/3/2012
93 of 98
= Life of
Exposure see HUM.55.20
1/3/2012
94 of 98
= Life of
43000-032
43000-020
1/3/2012
95 of 98
= Life of
1/3/2012
96 of 98
= Life of
1/3/2012
97 of 98
= Life of
1/3/2012
98 of 98
= Life of

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1/3/2012

Rockwell Automation Records Retention Schedule - International 2/15/2011

Debit / Credit Memos

C+10 China C+15

C+10 China C+15 C+10 China C+15

Invoices and Vouchers

Payables / Procurement Packages

C+10 China C+15

Petty Cash Accounts Receivable

C+7 see sub-categories

C+10 China C+15 see sub-categories

see sub-categories see sub-categories

Collections and Aging

C+10 China C+15

AC.30; AC.40; CO.40;

Customer Credit File

C+10 China C+15

AC.30; AC.40; CO.40

C+10 China C+15

AC.10 AC.30; AC.40; CO.40; AC.60

Rockwell Automation Records Retention Schedule - International 2/15/2011

C+10 China C+15

AC.30; AC.40; CO.40;

Banking Authorized Signatures

see sub-categories Designation of authority

see sub-categories T+7

Cancelled Checks and Statements

A/P Check Registers, Check register

ACT+10 China ACT+15

Acquisitions, Disposition and Sales

Rockwell Automation Records Retention Schedule - International 2/15/2011

Inventory and Detail

Accounting - ACC - Accounting

State Abandoned Property

Records related to abandoned property and associated documentation.

T+10 China T+15

C+10 China C+15

C+10 China C+15

ACT+10 China ACT+15

ACT+10 China ACT+15

ACT+10 China ACT+15

ACT+10 China ACT+15

General Ledger: fiscal year end only ledgers

C+10 China C+15

Rockwell Automation Records Retention Schedule - International 2/15/2011

Intercompany & International Transfer Pricing

AC.10; AC.30; AC.30; AC.40; CO.40; AC.50

C+10 China C+15

Payroll Bonuses Summary Bonuses- Workpapers

ACC.55.00 ACC.55.05 ACC.05.06

see sub-categories C+8 C+2

see sub-categories C+3 China E+5 C+3

C+3 China E+5

C+5 Romania C+50

C+3 China E+5

C+5 Romania C+50

AC.50; LG.20.13 AC.40; AC.50; LG.20.13 AC.40; AC.50; LG.20.13

ACT+10 China ACT+15

ACT+10 Romania ACT+50

Rockwell Automation Records Retention Schedule - International 2/15/2011

C+3 China E+5

C+5 Romania C+50

Sales Compensation Work Papers

ACT+10 China ACT+15