OUS 3M Records Retention Schedule

Records Retention Schedule
Effective Date: 1/30/2014
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SUBPROCESS
General Administration & Support Services 3M Common Administrative Records
RECORD CATEGORY
No. Title /Description
250
Examples
SUBPROCESS DESCRIPTION
Perform administrative functions that are common to all 3M organizations.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Originating Department
Activity / Status Records

Statistics and related information
pertaining to department or
individual staff workload, or other
operational metrics. Used to track or
summarize business activities. Does
not include records required by ISO
standards, and product-related
activities.
293
Audits, Internal
Records of annual audits conducted
by 3M. Does not include internal
audits conducted to satisfy ISO
requirements or safety/environmentrelated inspections.
251
Budget / Forecast Files Department Work Papers
- Action Plan
- Audit Report
- Supporting
Documentation
*Final resolution of any action items.
- Business Plan
Finance and Accounting retains

official budget records under
"Business Plan / Strategic Plan".
Departments retain work papers.
- Appointment Books
- Printouts from Lotus
Notes or other
electronic calendars
*Retain for 3 years if calendar is

your business entertainment log.
- Fax Logs
- Telephone Logs
- Announcements
- Human Resources
Information
- Internal Publications
- Newsletters
Work papers supporting the

development and submission of
department budgets and forecasts.
Retained in the department.
252
Calendars
Employee calendars containing a
record of meetings and appointments
associated with company business.
Does not include meeting minutes,
technical information or other details
which should not be recorded in a
calendar.
272
Communications Logs
Departmental or individual employee
list of incoming faxes or phone calls.
271
Communications, Internal
Information sent to employees about
the company and its products,
services, benefits and news. Includes
employee access to departmental
information maintained electronically.
COMPANY CONFIDENTIAL
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RECORD CATEGORY
248
Contact Information
Names and addresses of employees
and frequently contacted customers,
vendors and suppliers.
256
Contracts - Agreements (Copies)

Copies of signed / executed contracts
or agreements for which the
department is not the Office of Record
holding the official
contract/agreement.
269
Examples
-
Address Books
Directories
Mailing Lists
Phone Lists
- Confidentiality
Agreements (Copies)
- Supplier Agreements
(Copies)
Emergency Contacts & Procedures
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
Peoplesoft
LSO
- Supply Chain/ Plant

Engineering
*Life of lease / equipment.
List of people/entities to contact in an

emergency situation. Includes
procedures for employees to follow.
270
Employee Training Courses /

Education Information
Material received by employees in
training courses attended as well as
information on courses of interest.
508
- Course Schedules
- Curriculum
- Handouts
Equipment Maintenance Records Copiers

Preventive and Repair Maintenance
records for 3M equipment.
257
Expense Reports (Copies)

Employee or department copy of
reimbursement claims for business
expenditures submitted to Finance for
processing and payment. Includes
travel details and authorizations.
303
Forms / Templates
Approved standardized forms and
templates which are blank for use in a
project or program. Includes master
lists of forms / templates. Does not
include completed forms.
Airline Tickets
Expense Receipts
Itineraries
Travel Authorizations
Travel Requests
Charts
Checklists
Matrices
Report Cover Sheets
*Finance & Accounting retains

official records under "Payable
Records".
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SUBPROCESS
RECORD CATEGORY
509
Examples
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
Inventory Records - Furniture

Inventory of 3M furniture and
location of placement.
249
Meeting Files - Internal

Records of administrative meetings
held by 3M departments and work
groups. Does not include meeting
documentation related to specific
projects or products.
265
- Agendas
- Attendance Records
- Background
Information
- Meeting Minutes
- Notes/Handouts
- Quality Meetings
Organization Charts - Business Unit

/ Division
Diagrams reflecting the
organizational / reporting structure
of a Division.
275
Overtime Records (Copies)
- Overtime Approvals
Records that track overtime worked

by employees.
*Payroll retains official overtime

records under "Payroll & Time
Reporting Records".
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RECORD CATEGORY
259
Personnel Files
(Manager/Supervisor File)
Manager's or Supervisor's file
containing copies of personnel
information related to employees
under her / his supervision.
*For employee transfers, forward the
Personnel File in a personal and
confidential envelope to the new
supervisor. For employee retirement
or termination complete all items
pertaining to the termed employee as
referenced in the Office Operating
Manual, section "Termed Employee"
and forward the employee's
Personnel File to Human Resources
0224-02-W-15 3M Center in St. Paul
(other locations forward the
Personnel File in a confidential
envelope to the appropriate record
retention/storage area at your
location, or if that location is closed
forward Personnel File to 3M Center
St. Paul. Human Resources retains
official records.
261
Policies & Procedures - Business

Units / Divisions / Departments
Procedures and process flows
developed by a Business Unit,
Division or Department to address
their specific issues and processes.
Does not include safety, human
resources or compliance-related
policies and procedures that are
subject to government or industry
regulations.
Examples
RETENTION SCHEDULE
Office of Record
- Contribution
Information
- Development
Information
- General Information
- Hire / Rehire /
Inactive Information
- Leave / Injury
Information
- Desk Procedures
- Standard Operating
Procedures
OTHER INFORMATION
Comments
*Procedures for regulated

processes are included in the portion
of the schedule for that process, and
the retention policy for that record
category applies.
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RECORD CATEGORY
260
Policies & Procedures - Corporate

HR (copies)
Policies and procedures that are
developed for all employees by
Human Resources. Does not include
safety-related policies and
procedures.
276
Presentations
General presentations made by
employees, not related to a more
specific record category.
511
Examples
RETENTION SCHEDULE
Office of Record
- Corporate Disclosure - Originating Department

Policy
- Human Resources
Policies
- Management Policies
- PowerPoint
Presentations
- Speeches
Employee project-based information.
302
Project Management Tools

Project plans / schedules which
outline tasks, dates and resources for
projects. Does not include programrelated records.
262
Purchasing Documentation (Copies)

Department copies of documentation
associated with purchasing goods or
services for 3M. Does not include
supplier POs for product-related
manufacturing.
- Gantt Charts
- Project Management
Database
- Project Plans
*Human Resources retains the

official record under "Policies &
Procedures - Corporate HR".
Project Files
OTHER INFORMATION
Comments
*Upon completion of project / work,

review information to determine if
records are official and should be
transferred to a centralized
repository or department file area.
- Purchase Orders
(Copies)
- Purchase
Requisitions (Copies)
*Sourcing retains official records

under "Purchasing Records".
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SUBPROCESS
RECORD CATEGORY
254
Reference Material
Publications generated by sources
outside the company. Does not
include any type of specifications
used in product/process development
or government or industry standards
with which the company must comply.
Examples
-
277
RETENTION SCHEDULE
Office of Record
Association Handouts - Originating Department

Books
Conference Materials
Industry Publications
Legislation /
Regulations
Material Data
Patents (Other
Companies)
Periodicals
Seminar Materials
Strategic Information
OTHER INFORMATION
Comments
Standards are listed on the retention
schedule for the process to which
they apply.
- Safety
Safety Awareness Information

Safety publications and related
materials distributed to employees.
507
Shipping / Courier Records

Shipping receipts for standard or
overnight deliveries. Does not
include product or sample shipments.
267
Shipping / Receiving Records

(copies)
Department copies of shipping /
courier documentation. Does not
include 3M product shipment records
or shipping payment records.
264
Staffing Plans, Departmental
- Courier Service
Receipts
- FedEx Air bills
- Packing Slips
- UPS Receipts
*Facilities retains the official record under

"Shipping / Courier Records".
Headcount projections for a

Department.
263
Time Sheets (Copies)
Copy of hourly-employee attendance

information submitted to the
department responsible for payroll.
*Human Resources retains official

records under "Payroll & Time
Reporting Records"; Cybershift
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RECORD CATEGORY
273
Training Completion Records

(Manager/Supervisor File)
Manager's or supervisor's copies of
employee-specific training
documentation.
258
Travel Information
Reference material for travel. Does
not include expense reports and
receipts.
266
Examples
-
Course Attendance
Course Completion
Tests
Training Requests
- Airline Schedules
- Car Rental
Information
- Hotel Information
RETENTION SCHEDULE
Office of Record
Some records are housed in

Cybershift.
- Attendance Records
- Time-off
Authorizations
Cybershift
User / Instruction Manuals
Vacation / Absence Records

Departmental tracking of employee
attendance. Does not include
vacation request forms or overtime
records.
268
Vendor / Supplier Files

General information about
consultants and other suppliers of
goods and services. Does not include
official purchasing-related records or
official contracts.
344
*Files are to be transferred to Human

Resources upon termination of employee.
Human Resources retains official records.
Health & Safety retains official records of
safety-related training. Some records are
housed in GLN (Global Learning Network)
system.
General manuals distributed to

employees to provide instruction on
the use of office equipment or
software.
274
OTHER INFORMATION
Comments
Brochures
Catalogues
Consultant Files
Samples of Work
Work Assignments
Records that document individual
work assignments or capabilities.
278
Work Orders (Copies)
Original work orders retained in

system/responsible area.
Some info in Cybershift.
Department copy of a request to

maintain / repair company premises.
281
Work Schedules
- Vacation Schedules
Department employee work

schedules, including time off.
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General Administration & Support Services Aviation
RECORD CATEGORY
432
Examples
Manage records related to 3M aviation.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Aviation
*Life of aircraft
- Inspection Sheets
- Maintenance Log
Books
- Service Bulletins
- Work Orders
- Aviation
*Retain and transfer with aircraft if /

when sold.
- Blueprints
- Engineering Reports
- Aviation
*Life of equipment operation.
Aircraft Calibration Records

Tool record and certification of
calibration.
236
Aircraft Inspection & Maintenance

Records detailed the inspection,
maintenance and repair of each
company airplane. Includes support
documentation, provides
documentation that airplanes meet
FAA requirements for
"airworthiness". Retained in Aviation
Maintenance System (AIS).
412
Aircraft Maintenance Manuals

Aircraft-specific documentation of
maintenance procedures, including
drawings and specifications.
413
- Aviation
Aircraft Parts Certifications

Manufacturer's documentation that
part meets specifications.
598
- Aviation
Emissions Monitoring
EU emissions documents.
431
Flight Manifests
Records of aircraft flights. Include
date, location, passenger names and
crew names.
414
Flight Time Logs

Logs of flight hours, used to schedule
equipment inspections and
maintenance.
415
Parts Inventory
- Flight Manifests
- Passenger Lists
- Aviation
- PFM Professional
Flight Management
- Aviation
*Retain and transfer with aircraft if /

when sold.
- Aviation
Inventory of parts for airplanes,

maintained at repair stations.
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General Administration & Support Services Security
RECORD CATEGORY
439
500
Examples
Ensure compliance with company policy concerning the security of company
facilities.
RETENTION SCHEDULE
Office of Record
Environmental Cases
- Security
Records related to any case that

requires notification of 3M
Environmental, Health and Safety.
Includes odors, spills, fires, and the
code for Environmental, Health and
Safety violations.
- Division/ Labs
Facility Access Records
- Security
OTHER INFORMATION
Comments
- Manufacturing/
Facilities/Site EHS/
Environmental
- RD&E/ Product EHS/
Environmental
Record of 3M facility access by

employees/visitors/non-3M workers.
442
441
Facility Files / Security Surveys
- Security
Records related to operations of the

facilities and surveys for maintenance
and monitoring of the facilities.
- Manufacturing/ Security
HRSC Cases
- Security
*Life = facility closure.
- Division/ Labs
Records related to cases reviewed

and managed by the Human
Resources Security Committee (HRSC).
443
Instructions / Certification FormsInvestigative File Review
- Security
Documentation of review of
investigative files maintenance.
440
438
Investigative Cases
- Security
Records related to all cases, unless

superseded by a preservation order.
Uniformed Cases
- Security
Records including alarms (access

control and fire); door & gate
security findings; door unlock; fire
actual or extinguished; maintenance
issues; medical incidents; odors (not
reported to EHS); safety findings;
security escorts; vehicle incidents;
trespass.
*FR = case close date
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Customer Management & Support
RECORD CATEGORY
247
Contracts - Customer Agreements

& Negotiations
SUBPROCESS
Customer Relations
Examples
Manage company relationships with customers and ongoing customer support.
RETENTION SCHEDULE
Office of Record
- Sales
Contact Legal Services for direction

on Legal or Intellectual Property
drafts.
Agreements with customers regarding

terms for givebacks, foreign
exchange, material increases, cost
reductions, etc., including records of
contract negotiations and supporting
documentation.
246
OTHER INFORMATION
Comments
If in Kentucky, statute requirement is 15

years; see record category #592.
Customer Correspondence
- Sales
Correspondence with existing

customers as well as potential
customers. May pertain to customer
issues/problems that need to be
resolved.
- Division/ Labs
*issues that are identified and

forwarded for further handling /
resolution should be covered under
their appropriate subject related
record series.
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Finance & Accounting
SUBPROCESS
Accounting
RECORD CATEGORY
94
Consolidation Accounting
Supporting documentation for
journal entries for Business Units /
Division data in the enterprise
accounting system. Data represents
consolidation of operating results
and capital expenditures from all
Business Units / Divisions.
Examples
-
100
Fixed Assets Ledger

Fixed asset entry data, depreciation
schedule and supporting copies of
approvals and invoices for capital
expenditures.
96
General Ledger
Summary of year-to-year transactions
that indicate the company's assets,
liabilities and equity.
87
Journal Entries
Documentation of the daily
transactions of the company. These
detailed journal entries flow into the
Income Statement and Balance Sheet.
Does not include the General Ledger
or Fixed Asset Ledgers.
Compile and maintain the company's official accounting records.
RETENTION SCHEDULE
Office of Record
Balance Sheet
- Accounting
Corporate Load Files
- Global Financial Acct
Flash Report
Center (GFAC)
GEDW-Finance
General Ledger
(Monthly)
Head Office
Departmental Reports
Income Statement
Key Operating
Indicators (KOIs)
Monthly Selfassessment Charts
Operations Package
Pushdowns
Trial Balance
- Depreciation
Schedule
- Fixed Asset Invoices
- Fixed Asset Subledger
- Accounting/ Corporate
- Balance Sheet
- Income Statement
- Trial Balance
- Accrual & A/P Subledger

- Fixed Asset Reports
- Journal Entry Details
- Payroll Register
- Accounting
OTHER INFORMATION
Comments
Journal entry backup.

Center (GFAC)
- Division/
Manufacturing/ Finance
To support Financial Statements.

Center (GFAC)
- Division/

Center (GFAC)
- Division/
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Accounts Payable
RECORD CATEGORY
82
Payable Records
Invoices and documentation of
payment to vendors for materials or
services and to employees for
reimbursement of expenses.
Examples
-
83
Payable Reports
Tax Reports
Tax reporting on amounts paid to
non-incorporated vendors.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
Check Requests
- Accounts Payable
Expense Reports
- Supply Chain/ Sourcing
Invoices
- Division/
Non-Purchase Orders
Pcard Statements
and Receipts
Premium Payments
Purchase Orders
Supplier Invoices
Utility Bills
Wire Transfers
- Batch Control
Reports that support General Ledger

entries.
85
Pay invoices and post transactions.
- Accounts Payable
- Division/
- 1099s
- Tax
- Division/
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RECORD CATEGORY
80
Receivable Records
Documentation of internal and
external customer invoices and
remittances.
81
Receivable Reports
Accounts receivable aging reports,
used to monitor collections and
support past-due collection efforts.
SUBPROCESS
Accounts Receivable
Examples
Process monies received and post account transactions.
RETENTION SCHEDULE
Office of Record
- Invoices
- Remittance Check
Copy
- Accounts Receivable
- A/R Aging Reports
- Accounts Receivable
OTHER INFORMATION
Comments
- Division/
- Division/
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RECORD CATEGORY
79
Audit Workpapers
Documentation of year-end audit
process.
120
116
SUBPROCESS
Audit
Examples
- Year-end Audit
Workpapers
Manage internal and external financial audits, corrective actions and reporting of
findings.
RETENTION SCHEDULE
Office of Record
- Corporate/ Auditing
- Division/
Internal Audit Reports
Reports from Internal Audit

department regarding their findings
in Business Unit / Division Finance
departments. Includes tracking of
Divisions' required follow-ups to
auditors' recommendations and
concerns. Used to monitor
finance/audit control issues,
corporate policy breaches, financial
reporting errors and
recommendations, and
duplicate/incorrect payments. Results
reported to the Audit Committee.
- Division/
- Internal Audit
Outside Auditor Quarterly Issues

Review
Summaries of minutes of the quarterly

meetings with the external auditors to
discuss the company's financial
results and any issues arising from
the audit/review.
OTHER INFORMATION
Comments
- Division/
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RECORD CATEGORY
475
M&A Due Diligence Materials Consummated Deals

Materials developed during the
course of due diligence activities for
mergers, acquisitions, divestitures,
equity investment, or joint ventures.
476
M&A Due Diligence Materials Non-Consummated Deals

Materials developed during the
course of due diligence activities for
deals that were not closed /
consummated, including mergers and
acquisitions, divestitures, equity
investment, and joint ventures.
SUBPROCESS
Business Development
Examples
Develop new 3M business opportunities.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Corporate Development,
Mergers and
Acquisitions
- Tax
* HSR's (Hart-Scott-Rodino
Antitrust Improvements Acts of
1976).
- Corporate Development,
Mergers and
Acquisitions
- Legal
*Subject to any confidentiality

agreement with target.
- Tax
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RECORD CATEGORY
544
115
SUBPROCESS
Compliance
Examples
RETENTION SCHEDULE
Office of Record
Summary of aggregated deficiencies

(SAD)
- Corporate Audit
Issues (Financial)
- PCO Not Effectives
- PWC Deficiencies

Center (GFAC)
Sarbanes-Oxley Compliance
Documentation
- Certification
Statements

Center (GFAC)
- Legal/ Office of General
Counsel
- Control Testing
Results
- Flowcharts
- Issues and Action
Plan
- Narratives
- Risk & Control
Descriptions

Center (GFAC)
Sarbanes-Oxley Compliance
Records documenting 3M's

compliance with regulations.
114
Establish and maintain systems to ensure compliance with corporate governance
regulations.
Sarbanes-Oxley Control
Development & Implementation
Records pertaining to the
development, testing and
implementation of the internal control
certification process required by the
Sarbanes-Oxley Act.
OTHER INFORMATION
Comments
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Financial Planning & Analysis
RECORD CATEGORY
95
Budget Support & Consolidation

Records pertaining to annual budget
preparation. Includes Business Unit /
Division-level details, consolidations,
and all supporting documentation.
Used to coordinate annual budget
preparation and presentation to
Business Unit / Division Finance and
Corporate Finance departments by
their reporting Finance departments.
90
Business Plan / Strategic Plan

Five-year strategic and financial /
budget plan approved by the Board of
Directors and quarterly re-forecast
data and analysis at the Business
Unit / Division and Corporate levels.
243
Capital Information
Records pertaining to the quoting for
and approval of capital expenditures,
and capital reviews and updates for
senior management.
Examples
-
Adjustments Binder
Assumptions
Program Binder
Support Binder
Test Budget
- Budgets
- Forecasts
Develop and monitor financial operating plans and forecasts.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Financial Planning &

Analysis

Analysis
- Strategic Planning/
Corporate
- Division/ Marketing
- Budget vs. Actuals

- Capital Expenditure
Analysis
Forms
- Quote Capital Forms
Center (GFAC)
- Real Estate Approval - Accounting/ Corporate
Forms (REAFs)
- Property Accounting
- Division/ Engineering
105
Quarterly Reviews
Quarterly presentations made by
Business Units / Divisions that
include summaries of results,
strategy, issues, cost reduction
targets, etc. Used to monitor the
business.

Analysis
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RECORD CATEGORY
88
SUBPROCESS
Financial Reporting
Examples
Manage compilation, reconciliation and reporting of financial information in
accordance with accounting standards and/or regulations.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments

Analysis
Center (GFAC)
Account Reconciliations
Monthly reconciliations of Balance
Sheet accounts.
- Division/
113

Analysis
- Marketing/ Public
Relations & Corporate
Communications
- Division/
Annual Report Preparation

Administrative records for printing
and backup surrounding the Annual
Report process. Does not include
actual financial statement and
working papers.
119
- Corporate/ Secretary
Audit Committee / Board of

Directors Presentations
Presentations to the Audit Committee
and Board of Directors, presented by
Controller/CFO. May include more
detailed information than board
meeting materials maintained by
Legal. Prepared from Financial
Reporting Binders.
117

Analysis
- Financial Reporting
External Financial Surveys

Completed financial and statistical
surveys from various external sources
for general financial information.
98
Financial Statement Workpapers

Quarterly and year-end detailed
support and analysis of financial
statement line items and notes.
Required for regulatory financial
reporting and external audit/review
purposes.
- Audit Trails
- External Financial
Reporting
- Financial Statement
Drafts
- Inter-company
Analysis
- Inventory Unit Cost
- Issues Summary

Analysis
- Global Business
Processes, Finance
- Division/
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Financial Reporting
RECORD CATEGORY
97
Financial Statements
Audited financial statements for each
legal entity and preparation
supporting documents. Includes
related disclosure documents.
Examples
- Press Release
- Public Analysis
- Public Financial
Statements
Manage compilation, reconciliation and reporting of financial information in
accordance with accounting standards and/or regulations.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments

Analysis
Center (GFAC)
- Division/
93
Internal Financial Reporting

Monthly management reports and
supporting schedules that measure
Business Unit or Division
performance (actual vs. budget).
Includes financial summary of
particular programs and projects.
May include more details of
information consolidated outside of
any enterprise accounting system.
Used for monthly, quarterly and
yearly comparisons only.
Balance Sheet
Corporate Load Files
Flash Report
GEDW-Finance
General Ledger
(Monthly)
Head Office
Departmental Reports
Income Statement
Key Operating
Indicators (KOIs)
Monthly Selfassessment Charts
Operations Package
Pushdowns
Trial Balance

Analysis
Center (GFAC)
Lotus Notes
- Division/
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SUBPROCESS
Financing & Cash Management
RECORD CATEGORY
86
Bank Reconciliations
Cancelled checks and statements
detailing daily banking transactions.
Includes daily reconciliation of
transactions processed against bank
transactions.
77
Bank Signing Officers

Correspondence and bank
authorization forms for authorized
signing officers on corporate bank
accounts globally.
106
Financial Instrument Transactions

Confirmations of foreign exchange
and other financial instrument
transactions, and ISDA agreements
with financial institutions.
127
Foreign Exchange Planning

Quarterly cash flow projections
provided by the Business Units /
Divisions and reviewed with
Treasury, as well as currency contract
orders sent by the Business Units /
Divisions for approval. Used for
management and planning purposes.
Does not include actual orders or
currency contracts.
411
Insurance Contracts / Claim History

/ Settlement
Insurance contracts, claim history and
settlement documents related to 3M
business and products.
RETENTION SCHEDULE
Office of Record
- Bank Statements
- Cancelled Checks
- Treasurer
- Bank Authorization
Forms
- Treasurer
- Foreign Exchange
Transactions
- Treasurer
Financing Agreement AdministrationTransactions, proposals and

reporting documentation pertaining
to financing agreements. Does not
include executed agreements.
99
Examples
Determine funding requirements and manage financial resources.
- Division/
- Division/
- Division/
Quarterly
- Treasurer
Compliance Reporting
- Division/
- Cash Flow
Projections
OTHER INFORMATION
Comments
*if in Kentucky, statute requirement is 15


- Treasurer
- Division/
- Financing & Cash

Management
- Division/
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RECORD CATEGORY
597
Local to Corporate Inventory

Reconciliations
Monthly reconciliations of local to
corporate inventory reconciliations.
Documentation should include the
reason for the discrepancy and any
action taken to correct the
discrepancy.
596
Physical, Cycle and Pick to Zero

Count Documentation
Supporting documentation for the
inventory verification performed.
SUBPROCESS
Inventory Accounting
Examples
Compile and maintain count verification and reconciliation of the company's
inventory records in accordance with accounting standards and/or regulations.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Supply Chain
Center (GFAC)
- Supply Chain
Center (GFAC)
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RECORD CATEGORY
602
Compliance
SUBPROCESS
Investments
Examples
Manage, oversee and monitor investments for the organization, including pension
plan, benefit funds, deferred profit sharing plan and other benefit plans.
RETENTION SCHEDULE
Office of Record
- Benefit Funds Investment
*3 years, first 2 years in an accessible

place.

place.

place.
Emails regarding IMC Board

reporting, reporting to 3M oversight
committees. Communication
regarding reconciliations of
accounts. Communications regarding
INHAM, SOX and internal and
external audits. Communication
regarding plan financial statement
preparation and audits.
604
Investment Management
Corporation (IMC) Board
OTHER INFORMATION
Comments
Communication regarding board

materials to be reviewed and
presented to the Board.
Communication around the
development, preparation and
presentation of investment
recommendations. Actual portfolio
change recommendations and IMC
board member inquiries, replies and
approvals. Review of IMC Board
meeting minutes and records of action.
600
Investment Manager Performance

and Monitoring
Generally externally generated
communication regarding periodic
investment performance. Emails with
official investment summary
performance, attribution and
outlooks attached (the monthly
reports are filed electronically).
Compliance related email addressing
investmens that may have been
downgraded, investments potentially
impacted by new corporate actions or
events (bankruptcies, mergers, bond
rating changes, etc.).
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605
SUBPROCESS
Investments
Examples
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
Litigation Correspondence
All correspondence under a litigation
preservation of documents notice.
601
Manager Due Diligence

Emails with prospective investment
managers including historical
performance, product descriptions,
fund offerings, due diligence
questionnaires, organizational
descriptions, biographies,
background checks, legal document
review, contract preparation and
review. Internal emails (not
associated with active or anticipated
litigation) regarding due diligence of
prospective investment managers or
funds. Emails with internal legal staff
regarding preparation, amendment
or review of legal documents.
Interaction with trustee regarding
new investment subscriptions,
delivery, account setup, etc.
126
Monthly Statements
Monthly statements from trustees of
pension and benefit plan funds. Used
to confirm accurate posting of
transactions and to prepare financial
statements. Does not include trust
agreements, official plan documents
or related legal documents.
- Unit Value
Calculations

place.

Analysis
Center (GFAC)
- Treasurer
Page 23 of 113
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RECORD CATEGORY
599
Portfolio Management
SUBPROCESS
Investments
Examples
RETENTION SCHEDULE
Office of Record

place.

place.
Generally internally generated email

regarding aspects of the overall
portfolio including performance, risk,
cash balances, liquidity needs and
cash planning, cash calls and
distributions. Analysis of potential
changes to asset allocation and asset
liability risk. Interaction with
trustree regarding daily
administration of trusts and money
flows.
603
Trust Administration
OTHER INFORMATION
Comments
Daily review of trust reports, trust

account balances, account structure
and clarifications necessary to
accurately reflect portfolio balances
and performance. Communication
regarding trust reconciliations.
Communications regarding fees.
Communication with internal staff
and trustree regarding the
coordination and funding of benefit
payments from the trusts.
Communication regarding direction
letters to the trustee. Email with legal
counsel on general ERISA and legal
issues (not associated with active or
anticipated litigation) regarding the
trusts, contracts, etc.
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RECORD CATEGORY
503
3M Foundation Tax Records
SUBPROCESS
Tax
Examples
- 990 File
Provide tax planning and compliance.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Tax
Records of 3M foundation tax records.

110
554
Forecasts and Budgets
- Tax
Supporting calculations of the

projected effective tax rate used in the
annual budget, latest estimate and
long-range plans.
- Division/
Property Tax Returns / Sales / Use

Property tax returns, sales, use and
related documents.
101
91
111
522
- Tax Return,
Workpapers &
Remittances
- Tax
R&D Tax Credit Planning
- Tax
Records of planning and coordination

activities pertaining to the
preparation of research and
development tax credit filings. Does
not include any tax credit filing or
supporting documentation.
- Division/
R&D Tax Credit Support
- Tax
Auditable cost and engineering

supporting documentation for
research and development tax
credits. Includes related timesheets,
vendor invoices, project descriptions
and project summaries. Does not
include actual tax credit filing
documentation.
- Division/
Tax Audit Support
- Tax
Supporting documentation for federal

and state tax audits. Includes IDR's
and responses, does not include final
audit report.
- Division/
Tax Exempt Certificates
- Tax
Document allowing purchase of 3M

products without sales tax being
applied.
- Division/
*PC = Tax credit filing
*Request approval for destruction

from 3M Tax.
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RECORD CATEGORY
107
108
Examples
Provide tax planning and compliance.
RETENTION SCHEDULE
Office of Record
Tax Planning Project Files
- Tax
Documentation pertaining to tax

planning for specific transactions,
restructurings and
mergers/acquisitions.
- Division/
Tax Return Workpapers

Supporting documentation for federal
and state tax returns.
112
SUBPROCESS
Tax
Tax Returns & Remittances

Annual federal and state income and
excise tax returns; U.S. federal and
state income tax returns; ERISA tax
returns; foreign country tax returns
and related correspondence with
taxing authority. Includes records of
remittances and includes final audit
reports. Does not include
employment- or payroll-related tax
filings and remittances.
OTHER INFORMATION
Comments
- ADP Quarterly
- Tax
Filings
- Division/
- Employer Health Tax
- W2
- Corporate Income
Tax
- Excise Tax
- Foreign Tax Files
- Goods & Services
Tax
- Tax
- Division/
Page 26 of 113
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RECORD CATEGORY
582
Bond Premiums / Invoices

Documentation related to the request
for Bonds, and duration of Bond.
581
Bonds
SUBPROCESS
Treasury & Insurance
Examples
- Bond Invoices
- Bond Requester
Information***
Manage records related to insurance policies, premiums, invoices, bonds, and claims
RETENTION SCHEDULE
Office of Record
- Insurance Department
*Expiration of Bond or Agreement; ** if in

Kentucky, statute requirement is 15 years;
see record category #592.
***Internal requester information should be
retained for the duration of the Bond.
*Expiration of Bond or Agreement; ** if in

Kentucky, statute requirement is 15 years;
see record category #592.
*from date of issue; Retention based on

maximum duration an occurrence-based
insurance policy without product liability is
subject to litigation based on tort and
contract liability.
Original bond provided to the

requester with a copy maintained
within the Insurance Department.
Includes Bond Requester information.
576
Certificates of Insurance
Certificates of Insurance provided as
evidence of coverage and statement of
3M's insurance program at the time
the Certificate is issued.
575
Claim Recovery
OTHER INFORMATION
Comments
Documentation related to claims for

coverage / recovery made against 3M
insurers.
584
Claims and Litigation - Insurance
Documents relating to a particular

claim or lawsuit being handled or
managed by 3M's Insurance
Department.
FR = Final Resolution; could also

include Date of Loss (DL) for those
accidents that do not result in a
claim or litigation, or Date of
Maturity (DM) for those claims
and/or litigation involving a minor.
NOTE: Keep settlement agreements
permanently.
578
Insurance Policies - Property and

Transit/Cargo
Hard copy insurance policies for

Property and Transit/Cargo
insurance.
* Expiration of Policy; Retention based on

maximum duration an occurrence-based
insurance policy without product liability is
subject to litigation based on tort and
contract liability.
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577
Insurance Policies (except Property

and Transit/Cargo)
SUBPROCESS
Examples
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
Hard copy insurance policies for all

lines of insurance procured and
managed by 3M's Insurance
Department, except Property and
Transit insurance.
580
Insurance Renewal
Documentation - Property and
Transit/Cargo
Documentation generated during the

renewal / placement process for
purchasing Property and
Transit/Cargo insurance.
579
Insurance Renewal Documentation

(except Property and Transit/Cargo)
*Expiration of Policy; Retention

based on maximum duration an
occurrence-based insurance policy
without product liability is subject to
litigation based on tort and contract
liability.
Documentation generated during the

renewal / placement process for
purchasing insurance.
585
Invoices - Claims or Suits /

Settlements
Invoices relating to a particular claim

or lawsuit being handled or managed
by 3M's Insurance Department.
583
Invoices - Premiums / Services
*FR = Final Resolution; could also

include Date of Loss (DL) for those
accidents that do not result in a
claim or litigation, or Date of
Maturity (DM) for those claims
and/or litigation involving a minor.
Invoices related to insurance

premiums and services.
588
Workers' Compensation Annual

Audit
*from date of audit.
Annual audit performed by 3M's

insurer, Old Republic Insurance
Company.
Page 28 of 113
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RECORD CATEGORY
589
Workers' Compensation
Communication
SUBPROCESS
Examples
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
Communications from States received

regarding cancellation of insurance,
payment of premiums, company EID
confirmation, policy information,
and/or change in legal entity.
587
Workers' Compensation Dues
Required dues for state programs that

oversee claims and claims
management.
590
Workers' Compensation Payroll

Reports - Quarterly
Workers' Compensation Payroll

Reports received quarterly by 3M's
Insurance Department for 3M Parent
and Subsidiaries. Reports are
generated from IT Report Production.
586
Workers' Compensation Premium

Calculation
Workers' Compensation report and

premiums handled by the Insurance
Department, calculated and paid
annually or quarterly.
Annually the Insurance Department is

responsible for North Dakota and Ohio,
and quarterly for New Mexico,
Washington, and Wyoming.
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Human Resources
RECORD CATEGORY
37
Annual Benefit Reporting
SUBPROCESS
Compensation & Benefits
Examples
- Form 5500 filings
Regulatory filings and supporting

documentation for benefits-related
government reporting.
1
Benefit Plan Documents

Records pertaining to employee
medical, dental, vision, life insurance,
disability, COBRA and other health
and welfare plans. Does not include
contracts/agreements with benefit
providers or retirement-related
records.
Compensation
Planning, calculation, and approval
documentation for executives and
staff related to annual salary
adjustment process. Includes annual
salary grid and hourly rate of pay.
Also includes documentation related
to promotion, off-cycle pay
adjustments, Annual Incentive Plan,
incentive compensation risk
assessments, surveys, and other
background information used in the
planning process.
Employee Benefit Files

Records associated with individual
employee benefits. Includes related
information for all benefits programs.
569
Records pertaining to company long

term incentive plans.
OTHER INFORMATION
Comments
- Human Resources/
Benefits Center of
Expertise
*Life of Plan
- Approvals
- Human Resources/
- Cost Impact Analysis
Compensation Center of
Expertise
- Incentive
Compensation Risk
- Manufacturing/ HR
Assessments
- Market Analysis
- Beneficiary
Designation
- Election Forms
- Enrollment Cards
- Human Resources/
Benefits Center of
Expertise
*FR = final benefit payment.
- Human Resources/
Expertise
Executive Compensation
Long Term Incentive Plan
RETENTION SCHEDULE
Office of Record
- Health & Welfare

- Human Resources/
Plans
Benefits Center of
- Plan Administration
Expertise
Records
- Plan Documents
- Summary of Material
Modification
- Summary Plan
Descriptions
Setup and maintenance of employee

records.
305
Plan and administer compensation and health, welfare and pension benefits
programs.
- Equity Grants
- Grant Agreements
- Plan Documents
- Human Resources/
Expertise
*Life of Plan
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Human Resources
SUBPROCESS
Compensation & Benefits
RECORD CATEGORY
416
Mobility / Employee Relocations

Records pertaining to employee
relocations and international
assignments.
342
Pension & Retirement Savings

Plans - Pension
Records pertaining to the company
retirement plan.
Examples
Plan and administer compensation and health, welfare and pension benefits
programs.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
Assignment Letters
IRA
Policy Documents
Relocation Files
- Human Resources/
Benefits Center of
Expertise
Documentation kept by external service

provider.
- 401(k)
- Due Diligence
Materials for
Proposed
Investments and
Investment
Managers for 3M
Benefit Plans
- Meeting Materials
for the Board of
Directors of 3M
Investment
Management
Corporation
- Plan Documents
- Reports from
Investment
Managers and
Investment Funds of
3M Benefit Plans
- Human Resources/
Benefits Center of
Expertise
*Life of Plan
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Human Resources
SUBPROCESS
Compliance
RECORD CATEGORY
142
COBRA Compliance
Records required for compliance with
COBRA regulations.
36
HIPAA Compliance
Records required for compliance with
HIPAA regulations.
Examples
Ensure compliance with government employment regulations.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Administrative
Procedures
- Notices
- Training Records
- Human Resources/
Benefits Center of
Expertise
*Life of Plan
- Human Resources/
Benefits Center of
Expertise
*6 years from later of creation or

date last in effect.
Communications
Notices
Policies
Training Records
Page 32 of 113
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Human Resources
SUBPROCESS
Employee Communication
RECORD CATEGORY
17
78
Attendance Records
- Meeting Minutes
- Presentations
- Employee Relations
Presentations given at and minutes of

monthly communication meetings
attended by Business Unit / Division
staff.
- Marketing/ Corporate
Employee Communication
Production
Employee Communications
Final version of each communication
piece designed to inform employees
and retirees about the company and
its products, services, benefits and
news. May be produced at the
corporate level or by Business Unit /
Division departments as directed by
Human Resources.
10
RETENTION SCHEDULE
Office of Record
Employee Communication Meetings -
Records pertaining to the production

and distribution of employee
communication pieces at the
corporate level. Does not include
final version of each communication
piece.
19
Examples
Employee Surveys
Corporate-based, group administered
annual employee survey based on
principles of employee charter.
Approvals
Images
Scripts/Text
Translations
OTHER INFORMATION
Comments
- Manufacturing/ HR
- Manufacturing/ HR
- Executive Speeches
& Presentations
- HR Bulletin Boards
- Newsletters
- Videos
Action Plan
Advocate Scores
Employee Survey
Survey Results
Manage internal communications with employees, including their feedback.
- Manufacturing/ HR
*Consider potential historical value

of material and storage media
obsolescence. Corporate
Communications is the Office of
Record for corporate-level
communication pieces; Division
Human Resources departments are
the Office of Record for their
communication pieces.
Keep 2 most recent surveys
- Manufacturing/ HR
- Human Resources/
Talent Management
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Human Resources
SUBPROCESS
Employee Management/Workforce Admin Manage, develop and track employees from time of hire to termination.
RECORD CATEGORY
408
Affirmative Action
Plans and supporting documentation
on Affirmative Action.
574
Contracts - Employee Agreements

Employee agreements.
571
Employee Record Setup /

Maintenance
Setup and maintenance of employee
records. Includes completed forms
and supporting documentation.
35
Investigation Records
Files related to internal
investigations (discrimination, ethics,
compliance / conduct related, etc.)
including those handled by outside
counsel, and conclusions of
investigations. Includes records for
employee complaints.
11
Job Descriptions / Job Evaluation

Forms
Summary of responsibilities and
qualifications for each position in the
company. Also includes roles and
responsibilities listed by job position,
for wage comparison and job analysis
/ evaluation purposes at the Business
Unit or Division level.
Examples
-
Reports
Review Data
Summaries
Training Data
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Talent Development and
Organizational
Effectiveness
- Manufacturing/ HR
- Global Compensation &
Employee
Administration
- Foreign Service
- Total Compensation
Employee (FSE)
Resource Center
Records
- Manufacturing/ HR
- Long Term Disability
(LTD) Activity
- Miscellaneous
Record Activity
- PeopleSoft
Corrections
- Service Credit
Adjustments

Employee
Administration
*Investigations resulting in
violations are kept IN; investigations
resulting in no violation are kept
FR+2.
- Manufacturing/ HR
Counsel
- Legal/ Business Conduct
& Compliance
- Job Evaluation Forms - Human Resources/
- Position Descriptions
Expertise
- Manufacturing/ HR
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Human Resources
SUBPROCESS
RECORD CATEGORY
13
Examples

Employee
Administration
- Manufacturing/ HR
Organization Charts
Diagrams that reflect the
organizational / reporting structure
of a Business Unit or Division.
15
Personnel Files
Documentation of employment history
and employee's growth in the
organization. Includes all hiring,
evaluation, promotion, disciplinary
and termination records. Does not
include records pertaining to
training, benefits, or work-related
medical information. Also does not
include Contracts - Employee
Agreements which are kept
permanently.
14
- Contribution
Information
- Development
Information
- General Information
- Hire / Rehire /
Inactive Information
- Leave / Injury
Information
Policies & Procedures - Corporate

HR
Master file of employment policies
and procedures distributed to
Business Units / Divisions. Does not
include health and safety policies and
procedures.
20
Social Events
Records pertaining to arrangements
made for all company social events,
including barbeques and holiday
parties. Includes related
agreements/contracts.
RETENTION SCHEDULE
Office of Record
Agendas
Contracts
Prize Information
Sporting Events
OTHER INFORMATION
Comments
*Keep major organizational changes
PE.

Employee
Administration
- Global Employee
Services (GES / COE)
- Manufacturing/ HR

Employee
Administration
- Human Resources/
Benefits Center of
Expertise
- Human Resources/
Expertise
- Manufacturing/ HR
*Basic statute of limitation = 2 years from

cause of action; ultimate statute of
limitation = 15.

- Manufacturing/ HR
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Human Resources
RECORD CATEGORY
5
Succession Planning
Plans for the promotion of specific
employees.
326
SUBPROCESS
Examples
- ERC
- Executive
Assessments
- Interpersonal
Assessment Results
- Skill Set
- Tier Reviews
- Training
Requirements
Unemployment Compensation
Records
Unemployment notices and other
records pertaining to unemployment
compensation.
- Notices
OTHER INFORMATION
Comments
- Talent Solutions
- Manufacturing/ HR

Organizational
Effectiveness
- Manufacturing/ HR
Talent Development / Performance

Evaluations
Database containing mid-year and
annual evaluations.
40
RETENTION SCHEDULE
Office of Record
*Information retained in Lotus

Notes.

Employee
Administration
- Human Resources/
Benefits Center of
Expertise
- Manufacturing/ HR
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Human Resources
RECORD CATEGORY
343
Labor Contract Files

Records pertaining to the negotiation
and approval of collective bargaining
agreements.
SUBPROCESS
Labor Relations
Examples
- Grievances
- Joint Council / Site
Operations
Committee Meetings
- Negotiations
Manage records related to labor agreements, disputes, resolutions and relationships.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Labor Relations
- Manufacturing/ HR
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Human Resources
RECORD CATEGORY
462
SUBPROCESS
Medical
Examples
Employee Health & Safety Training

Files
Documentation of safety-related
training for each employee.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- RD&E/ Medical/ Health

Physics
- Human Resources/
Medical
ADA Medical Parking

Listing of employees eligible for ADA
parking.
29
Manage relative medical issues for 3M employees, maintained through or by
Corporate 3M.
- Certificates of
Completion
- Training History
- Training Requests
- Human Resources/
Medical
- Manufacturing/
Facilities/Site EHS
- Division/ Labs
Physics
23
Employee Health & Safety Training

Materials
- MSDS training
- Presentations
Materials prepared by department or

external sources for use in health and
safety training provided to employees.
34
Employee Medical Files

Work-related medical information for
each employee, including leave of
absence and return to work
information. Does not include
records pertaining to workers'
compensation claims.
39
Family Medical Leave Records

Employee records related to FMLA
leave.
358
Health & Wellness Program files

Files maintained on on-going
programs: tobacco cessation, health
fitness center, etc.
- Manufacturing/
Facilities/Site EHS
- Division/ Labs
Physics
- ADA Requests
- Audiometric Test
Results
- Drug Screening
Results
- Medical Reports
- Vision & Hearing
Screening Records
- Human Resources/
Medical
Physics
- Manufacturing/
Facilities/Site EHS
- Division/ Labs
- Approvals
- Medical
Documentation
- Requests
- Human Resources/
Medical
- Manufacturing/
Facilities/Site EHS
- Division/ Labs
Some housed in MEDGATE system.
- Human Resources/
Medical
- Manufacturing/
Facilities/Site EHS
- Division/ Labs
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Human Resources
RECORD CATEGORY
332
HIPAA Authorization Forms and

Other Records
Employee's signed release of
protected health information (PHL).
SUBPROCESS
Medical
Examples
Manage relative medical issues for 3M employees, maintained through or by
Corporate 3M.
RETENTION SCHEDULE
Office of Record
- Employee Assistance - Manufacturing/

Personal Consultation Facilities/Site EHS
Files
- Division/ Labs
- Human Resources/
Medical
OTHER INFORMATION
Comments
*6 years from later of creation or
date last in effect. Record should be
kept separate from Employee
Medical File.
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Human Resources
RECORD CATEGORY
41
Employee Payroll Files

Records relating to employee
authorizations for payroll
deductions. Includes completed forms
and supporting documentation.
42
Payroll & Time Reporting Records

Records documenting hours worked,
paid time off, deductions taken,
payments made and withholdings for
taxes. Includes payroll data
submitted to service provider and
related reports received. Also
includes copy of payroll information
and manual checks issued. Does not
include timesheet data used for job
costing.
43
Payroll Supporting Information

Supporting documentation for payroll
deduction changes. Information is
aggregate.
SUBPROCESS
Payroll Operations
Examples
Process and maintain records of employees' salaries, wages, bonuses, net pay,
deductions, authorizations and entitlements.
RETENTION SCHEDULE
Office of Record
- Payroll Change
Notice
- W-4
- Payroll Operations
- Adjustments
- Manual Payroll
Checks
- Overtime Reports
- Payroll Data
- Payroll Reports
- Project Recharges
(Government)*
- Time Cards (Hourly
Staff)
- Vacation Requests
- Billing Reports
- Insurance Rate
Changes
OTHER INFORMATION
Comments
- Global Employee
*Timesheets for job recharges = TA/10.
- Global Employee
- Human Resources/
Benefits Center of
Expertise
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Human Resources
SUBPROCESS
Recruitment
RECORD CATEGORY
128
Executive Search
Examples
- Resumes
Leads from executive recruiters and

resumes of executives, used to identify
potential future employment
possibilities.
Manage recruitment and hiring of new employees and executives.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments

Organizational
Effectiveness/
Recruitment Operations
- Manufacturing/ HR
- Human Resources/
Talent Management
38
Immigration Files
Information regarding work
authorization requests and
verification of employment eligibility.
- **Information
Regarding
Employee's
Immigration Case
- I-9 Forms
** Information regarding employee's

immigration case, such as L-Visa, HVisa, Green Card Petitions, should be
kept 30 years or term of employment.
4
Recruitment Files
Records pertaining to filling job
vacancies. Excludes information
pertaining to successful candidate,
which is transferred to individual's
Personnel File.

Organizational
Effectiveness/
- Global Employee
- Total Compensation
Resource Center
- Manufacturing/ HR
Applications/Resumes - Talent Development and

Approvals
Organizational
Effectiveness/
Interview Notes
Job Posting /
Requisitions
- References
*PC = Position filled
- Manufacturing/ HR
- Human Resources/
Talent Management
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Human Resources
SUBPROCESS
Reporting
RECORD CATEGORY
16
HR Management Reports
Reports on workforce statistics and
related analyses.
12
Examples
-
Absenteeism
Headcount
Measurables
Staffing
Turnover
Analyze and report on employee-related data.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Reporting Operations
- Manufacturing/ HR
Measurables
- Reporting Operations
Statistics pertaining to staff turnover,

absenteeism and safety. Used for
internal purposes only.

Organizational
Effectiveness/ Center of
Expertise
- Manufacturing/ HR
- Human Resources/
Talent Management
Page 42 of 113
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Human Resources
RECORD CATEGORY
6
Employee Training Files

Documentation of non-safety-related
training for each employee.
Training Materials
Materials prepared by a department
or external sources for training
courses and orientations that are
conducted in-house. Excludes
materials for safety-related training.
Training Planning
identification of training needs,
mandatory and suggested training by
job classification and training
program planning. Includes database
that documents dates of training
completion and expiry.
SUBPROCESS
Talent Development / Training
Examples
Manage employee talent development and training. Does not include health and
safety-related training.
RETENTION SCHEDULE
Office of Record
- Certificates of
Completion
- Educational
Assistance
Applications
- Leadership
Development
Programs I and II
- Sign In Sheets if
completion not
recorded in GLN
- Training History
(GLN)
- Training Requests

Organizational
Effectiveness
- Manufacturing/ HR
- Course Materials
- Curriculum Guides
- Presentations

Organizational
Effectiveness
- Manufacturing/ HR
OTHER INFORMATION
Comments
- Manufacturing/ Quality
Assurance
- Legal Affairs

Organizational
Effectiveness
- Manufacturing/ HR
*GLN houses dates of training completion.
- Legal Affairs
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Information Technology
RECORD CATEGORY
390
Circuit Management
Voice / data circuit maps, including
many types of network diagrams.
385
Project Data
Data related to a development
project, records documenting the
development of business applications.
197
Software Licenses
Documentation of required seats and
licenses for software used by 3M.
Retained for compliance verification.
SUBPROCESS
Applications / Software Solutions
Examples
- AMS Records
- Network Diagrams
Identify, buy / build and deploy computer applications to support business functions
RETENTION SCHEDULE
Office of Record
- Information
Technology/ Network
Services
- Associated Approvals - Division/ Quality

- Change Request (for
Systems/ Medical
Application)
- Information
- Quality Assurance
Technology/ Global
Plan
Solution Services
- Requirements (Use
- 3M HIS Product
Cases, etc.)
Development
- Source Code
- Test Case / Script
- Test Results
- Validation Plan
- Validation Report
- AMAPS
- Microsoft Core
- Non-Core Software
(less than $1500)
OTHER INFORMATION
Comments
- Information
Technology/ General
*Life of Application / Program / Product includes any application subject to

Authority Column (FDA, MHRA, SEC,
Data Privacy & Protection).
Location of software licenses vary;

however, product owners are
accountable to maintain these
records or ensure a process exists
for others to maintain.
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Information Security & Privacy
RECORD CATEGORY
203
Examples
- Information
Technology/ Operations
Service Support
3M IT SMG open systems backup and

recovery core tape retentions, UNIX,
NT, LN App & Email, Sybase, MSQL
and Oracle or based on client request.
- Information
Service Support
Intrusion Prevention Records
- ISS Records
- Information
Technology/ Security &
Integrity
- Integrity Records
- Information
Technology/ Service
Management
Inventory of backup tape sets, used to

retrieve data and to track tape
rotation.
433
194
Backup Media
MSQL
NT
Oracle
Sybase
UNIX
Results of tests for system

vulnerabilities. Used to correct
problems and improve security.
196
Service Continuity Plans

Plan to ensure timely system
availability to all business units
following a natural or man-made
disaster.
392
RETENTION SCHEDULE
Office of Record
- Veritas Logs
Backup Logs
Web Server Audit Logs

Internet usage logs.
Ensure security and confidentiality of corporate information.
OTHER INFORMATION
Comments
FDA, MHRA, SEC
Relates to plans as required by 3M

Service Continuity Policy.
- Information
Technology/ Application
& Hosting
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193
Access Control / Authorization

Records documenting authorizations
for access to systems.
434
Application Portfolio
SUBPROCESS
Information Technologies
Examples
Computer Hardware
Database containing information on
computer hardware, such as Notes
database.
195
Equipment Inventory
Inventory of PCs, used for tracking
purposes.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Access Control
- Information
Requests
- Security Access
Integrity
Reviews
- User
Creation/Modification/
Deletion
- GAIR Records
- Information
Technology/ ASC
- Hardware
Repair/Service
- Hardware
Specifications
- Warranties
- Information
Service Support
- Laptops
- PC's
- Information
Technology/ Wins
Express
Records for each application, used for

portfolio management.
191
*Life of asset.
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436
Change Records
SUBPROCESS
User Support & Training
Examples
Litigation Requests
Requests and approvals for the
transfer of records from the network
to offline status or to the network
from offline status related to
litigation.
301
User Guides / Manuals

Materials written or provided by IT to
train 3M end users on new and
enhanced systems.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- ITSM Records
- Information
Service Support
- 3M HIS Product
Development
- AREQ Litigation
Access Requests
- Data Archive
Requests
- Data Transfer Log
- Information
Integrity
*AREQ is used for these record

requests, and records are retained
for the life of the litigation matter
and kept until Legal informs IT of
the hold release for the given
litigation and requests deletion.
- Information
Technology/ Global
Solution Services
- 3M HIS Product
Development
*Life of System/Program
Records kept for changes made to

applications or platforms in
production.
200
Provide support and training to end-users of IT systems and applications.
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RECORD CATEGORY
45
Claims, Litigations & Arbitrations

Documents relating to a particular
claim, law suit or arbitration
proceeding. Does not include
documents relating to trademark
policing and litigation; does not
include presuit investigations that
don't result in a claim, lawsuit or
arbitration (see #545); also does not
include settlement agreements or
employee specific claims, litigation or
arbitration. Includes Bankruptcy
Files.
SUBPROCESS
Claims & Disputes
Examples
Manage all types of litigation and pre-litigation claims involving 3M.
RETENTION SCHEDULE
Office of Record
Counsel
- Legal/ Intellectual
Property Counsel
OTHER INFORMATION
Comments
*Uninsured Claims, Litigation and
Arbitration FR*+7; Insured Claims,
Litigation and Arbitration - retention PE
until insurance coverage is completely
resolved or FR+7, whichever is longer;
unresolved claims against 3M - FR can
mean life of patent, trademark or other IP;
**regulation states for medical device
incident/complaint records of distributors,
retention is the longer of 2 years from the
date of inclusion of the record in the file or
for a period of time equivalent to the
expected life of the device. European
requirement is 5 years.
Documents to be retained after final
resolution include: pleadings and
correspondence.
47
Litigation Summaries
Documents that tracks outstanding
claims and litigation matters for
analysis, budgeting, insurance or
disclosure purposes.
535
Opinions of Counsel
Opinions on patents, trademarks or
other IP opinions.
49
Subpoenas, Third Party

Documents relating to subpoenas
served on 3M in matters in which it is
not a party. Includes copy of
documents produced.

Counsel
- Legal/ Office of
Intellectual Property
Counsel
*Life of patent, trademark or other

IP.

Counsel
*until final resolution of the

underlying matter or until
permission is received from party
issuing subpoena.
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533
Trademark Claims, Litigation and

Arbitration (against 3M)
All documents relating to enforcement
of trademarks by third parties against
3M in the U.S. and internationally.
Includes reverse policing, trademark
litigation, policing, misuse, postregistration cancellations and
oppositions (by third parties against
a 3M registration). Does not include
oppositions filed by a third party
during trademark prosecution. Does
not include settlement agreements.
SUBPROCESS
Claims & Disputes
Examples
Manage all types of litigation and pre-litigation claims involving 3M.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Legal/ Office of
Counsel
Documents to be retained after final

resolution include: pleadings and
correspondence.
532
Trademark Claims, Litigation and

Arbitration (by 3M)
All documents relating to policing
and enforcement of 3M trademarks in
the U.S. and internationally. Includes
trademark litigation, policing, misuse,
anti-counterfeiting actions and raids,
UDRP and other domain name
enforcement, cancellations and
oppositions (by 3M against a third
party registration).
- Legal/ Office of
Counsel
*After FR+7, documents to be

retained permanently are: the entire
policing file prior to formal action
taken; for files relating to any formal
action taken (litigation, Trademark
Trial and Appeal Board proceedings,
Domain Name proceedings, etc.):
documents initiating any formal
action (Complaint, Notice of
Opposition / Cancellation, etc.,);
documents in response to formal
action (Answer, Counterclaim,
Response to Notice of
Opposition/Cancellation, etc.);
amended documents of the above
(Amended Complaint, Amended
Answer, Amended Notice of
Opposition/Cancellation, etc.);
orders and/or judgments on the
merits; and settlement agreements.
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542
Anti-Bribery Materials
All due diligence, approval, books
and records, consultant / agent
related to 3M-offered Government
official travel, contributions, gifts,
entertainment, facilitating payment
and work with consultants / agents or
partners with contract to government
officials.
51
Board of Directors Meeting

Materials
Materials for the Board of Directors
meetings.
547
SUBPROCESS
Corporate Legal
Examples
Manage corporate entity documentation and reporting.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Approvals
- Consultant / Agent
Agreement
- Due Diligence Files
- Government Official
Travel Agenda and
Budgets
- Investigations
- Corporate/ Legal
*from termination of activity /

contract
- Agendas
- Board of Director
Meeting Minutes
- Presentations
- Corporate/ Legal
*Board of Directors Meeting

Minutes will be kept PE
(permanently).
- Corporate/ Legal
Corporate Minute Books

Charter documents and records
associated with the Board of
Directors and Board Committees,
including their appointment, meetings
and actions.
54
Corporate Policies
Policies created by the Legal
department.
57
- Corporate Disclosure - Corporate/ Legal

Policy
- Corporate/ Legal
Corporate Structure Charts

Charts prepared to evidence the
changes in the legal corporate
structure of the entire corporation.
55
Disclosure Filings
Financial disclosure documents
required by securities law and filed
electronically, and evidence of
filings. Does not include supporting
documentation.
56
Disclosure Filings - Supporting

Documentation
Supporting documents used to
prepare financial disclosure
documents.
- Annual Report
- EDGAR Filings
- Press Releases
- Proxy Statement
- Legal/ Secretary &

Deputy General Counsel
- Drafts
- Corporate/ Legal
- Exchange Rates
- Trading Price History
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Corporate Legal
RECORD CATEGORY
63
Insider Reports
Examples
- SEDI Filings
Manage corporate entity documentation and reporting.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Corporate/ Legal
Copy of insider reports for trades

which are filed using the System for
Electronic Disclosure by Insiders
(SEDI).
541
- Corporate/ Legal
Lobbying Reports
Federal and state lobbying reports.
540
Request for federal, state or local

political contributions or to
organizations involved in the
political process.
58
Public Share Offerings & Stock

Exchange Filings
Documentation relating to IPO or
other public offering of securities or
debt, including disclosure documents,
correspondence with securities
regulators (OSC) and stock
exchanges, and underwriting agency
agreements.
59
3M PAC
- Corporate/ Legal
Disbursements and
FEC Reports
- Contribution Reports
Filed with State
Governments
- Political Contribution
Request Forms
Political Contributions and Requests -
Quarterly Financials
- Cancelled Stock
Certificates*
- Preliminary
Prospectus
- Prospectus
- Registration
Statements
- Stock Exchange
Listing Applications
- Corporate/ Legal
- EDGAR Filings
- Corporate/ Legal
*Stock certificates are the only

items under this category that are
retained for 7 years, other examples
listed are permanent.
Quarterly financial statements as

filed, and evidence of filing.
491
Subsidiary Corporate Record

Books / Seals
- Corporate/ Legal
Corporate record books / seals for

subsidiaries.
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419
Contracts - Employment Releases,

Separation Agreements and
Settlement Agreements from
Demands, Claims, Charges,
Lawsuits
SUBPROCESS
Employment Law
Examples
- M&A Transition
Records
Provide legal counsel on dealing with employees, employment lawsuits, and
group/individual separation agreements, ethics and compliance.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Legal Affairs and

General Counsel/
Employment Law
OGC - Employment Group
- Legal Affairs and

General Counsel/
Employment Law
*Insured matters - retention PE;

Uninsured matters - retention
FR+12. OGC - Employment Group
Agreements that include a release of

claims by employees in connection
with a separation or other
employment event.
417
Employment Claims
Files relating to employment claims,
demands, charges etc. such as those
under discrimination, wage and hour,
and related statutes.
420
- Legal Affairs and

General Counsel/
Employment Law
Employment Law Counseling Files

Files relating to employment law
advice and counseling on policy,
employee relations, labor,
investigation and individual
employment issues.
418
- Legal Affairs and

General Counsel/
Employment Law
Employment Lawsuit / Settlements

Employment lawsuits, including
employment litigation settlements.
527
- Legal/ Compliance and

Business Conduct
Ethics and Compliance - Other

Other ethics and compliance related
documentation including reports, risk
assessments, action plans.
383

Business Conduct
Ethics and Compliance - Policies

Ethics and compliance policies.
593
Investigation Records
Files related to investigations
including those handled by outside
counsel and conclusions of
investiations.
*Insured matters - retention PE;

Uninsured matters - retention
FR+12. OGC - Employment Group
- Ethics Point
- FCPA
- Trade Compliance

Business Conduct
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594
New Integrity Assessments

All documents related to the
collection, review and approval /
rejection of 3M's business partners,
customers and suppliers collected
through the Integrity Assessment (IA)
third party due diligence process.
Includes email correspondence
concerning IA's and Red Flag
Mitigation plan and action, IA reports
obtained through outside vendors
and IA cases in global database.
380
Training
Presentations regarding acceptable
conduct with employees, attendance
files, dates, etc.
SUBPROCESS
Employment Law
Examples
Provide legal counsel on dealing with employees, employment lawsuits, and
group/individual separation agreements, ethics and compliance.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments

Business Conduct

Business Conduct
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545
SUBPROCESS
Examples
Manage patent, trademark and copyright filings.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
Property Counsel
Client Counseling (OGC/OIPC

Matters Not Covered Under Any
Other Category)
Documents pertaining to routine
requests for advice and counsel
matters (to the extent not specifically
covered elsewhere). Includes presuit
investigations that do not result in a
claim, lawsuit, or arbitration.
539
Intellectual Property Reports

Reports summarizing, listing, or
analyzing intellectual property
holdings for purposes of strategic
planning, possible abandonment,
budgeting, gap analysis, etc.
543
- Gap Analysis
- Patent Portfolio
Reports
- Sales by Trademark
Reports
- Trademark Portfolio
Reports
Property Counsel
Record of Invention
Initial information covering an
invention.
557
Trademark Registration Files

Records relating to trademark
applications and registrations.
Includes complete application with
supporting documentation and
history. Includes applications that do
not result in registration.
Attorney client privilege document.
Property Counsel
Trademark Daily Paper Mail

Hard copies of trademark-related
paper mail retained for backup
purposes after scanning.
538
Property Counsel
- Application
- Business Records
regarding Use,
Investigations,
Oppositions (during
prosecution)
- Consent Agreements
- Correspondence
- Prosecution
- Search Reports
- Third Party File
Wrappers
Property Counsel
*Searches and third party file

wrappers to be discarded upon
issuance of registration. Files
relating to applications that do not
result in registration should be
retained for three years after the
final action on the application.
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62
US or International Patent
Application - Issued, Cancelled or
Abandoned (No Related
Applications Still Pending)
Examples
-
Applications
Designs
Invention Database
Invention Disclosure
Forms
Patent Forms
Patent Searches
Patentability Reports
PCT Files
RETENTION SCHEDULE
Office of Record
Property Counsel
- Division/ Labs
OTHER INFORMATION
Comments
*Upon patent issuance (or for those
countries that permit an opposition
to be filed, upon expiration of the
time period during which an
opposition may be filed and, if an
opposition is filed, then upon
termination of the opposition),
cancellation, or final abandonment
of all applications within a patent
family, the following documents
may be retained at the discretion of
the responsible attorney or agent:
(a) the original assignment
document, (b) the original Letters
Patents, (c )a Word version of the
application as filed, and (d) an
English translation of all allowed
claims in any country. The retained
documents may be kept until no
patent in the family can be enforced.
Final Abandonment is defined as the
length of time during which a case
can be revived.
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61
Application - Issued, Cancelled or
Abandoned (With Related
Applications Still Pending)
Examples
-
Applications
Designs
Invention Database
Invention Disclosure
Forms
Patent Forms
Patent Searches
Patentability Reports
PCT Files
RETENTION SCHEDULE
Office of Record
Property Counsel
- RD&E/ Corporate
- Division/ Labs
OTHER INFORMATION
Comments
of the application, retain the original
assignment document. At the
discreation of the responsible
attorney or agent, the following
documents may be retained: (a) the
original Letters Patents and (b) any
document that may be needed for
prosecution of related patent
applications that are still pending.
Final abandonment is defined as the
can be revived.
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607
Reference and International General
Files
SUBPROCESS
Examples
RETENTION SCHEDULE
Office of Record
Property Counsel
OTHER INFORMATION
Comments
of all applications within a patent
family, the following documents
may be retained at the discretion of
the responsible attorney or agent:
(a) the original assignment
document, (b) the original Letters
Patents, (c )a Word version of the
application as filed, and (d) an
English translation of all allowed
claims in any country. The retained
documents may be kept until no
patent in the family can be enforced.
Final Abandonment is defined as the
can be revived.
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SUBPROCESS
Records Management
RECORD CATEGORY
294
Examples
Records Destruction Documentation Documentation of the disposal of

records whose retention period has
expired (i.e. office, vault, off-site
storage, etc).
395
Records Program Development /

Administration Documentation
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Legal/ Records
Management
Inactive Records Inventory

Inventory of records stored on site at
3M's records facility and off-site at
3M's designated records facility.
295
Manage corporate records in accordance with approved policies and procedures.
Certificates of
Destruction
- Records Disposal
Approvals
- Legal/ Records
Management
- Legal/ Records
Management
Records supporting the formal

development process of the 3M
records program, including retention
schedule development methodology,
policy and procedures,
implementation and program
maintenance.
394
Records Retention Schedules

3M Records Retention Schedules.
- Legal/ Records
Management
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64
Contracts - Acquisition &

Divestiture Agreements
Contract transaction files for
purchases/sales of businesses or
assets. Does not include due
diligence records.
65
SUBPROCESS
Transactions & Contracts
Examples
Contracts and ancillary documents

relating to various credit facilities
that support the funding of working
capital, capital expenditures and cash
management arrangements. Includes
executed agreement, drafts and
related correspondence.
556
- Legal/ Transactions &

Contracts
- Legal/ Real Estate
- Division/ Labs

years; see record category #592. Retain
drafts, correspondence, and supporting
information until execution of a final
agreement or termination of negotiations or
dealings.

Contracts

drafts, correspondence and supporting
dealings.
- Sourcing/ Government
Contracts
Retain drafts, correspondence, and

supporting information until execution of a
final agreement or termination of
negotiations or dealings. For commercial
government contracts, see record category
#130.
Contracts - General Agreement

Types
Contracts - Government R&D

Contracts Agreements
Records related to conducting
business with government entities.
Includes government contract
representations and certifications.

dealings.
- Financing Company - Legal/ Transactions &

Agreements
Contracts
- Global Credit Facility - Legal/ Real Estate
- Guarantees
- Legal Opinions
- Letters of Credit
- Officers Certificate
- Securitizations
- Security Agreements
Any non-permanent agreement type

with a third party that is not
specifically identified in the retention
schedule.
429
OTHER INFORMATION
Comments
- RD&E/ Division/
Pharma & DDSD
Contracts - Confidential Disclosure

Agreements
Contracts - Financing & Related

Agreements
RETENTION SCHEDULE
Office of Record
- Ancillary Documents - Legal/ Transactions &

- Purchase/Sale
Contracts
Agreements
Agreements with third parties

regarding the exchange of
confidential information.
67
Manage agreements between 3M and third parties. Does not include individual
customer agreements or collective-bargaining agreements.
- Contract
Representations and
Certifications
- Government
Contracts and
Purchase Orders
- Government R&D
Purchase orders and
Subcontracts
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SUBPROCESS
Examples

Contracts

dealings.

Contracts
Retain drafts, correspondence and

supporting information until
execution of a final agreement or
termination of negotiations or
dealings.
- Draft Lease
- Letter of Intent
- Term Sheets

Contracts
*PC = Finalized lease.
- Movable Equipment
Leases
- Office Leases

Contracts

dealings.

Contracts

dealings.
Contracts - License Agreements
Contracts - Permanent Agreement

Types
Executed original of agreements with
a third party that are designated as
permanent types but are not
specifically identified in the retention
schedule.
73
Contracts - Real & Personal

Property Leases - Drafts
Drafts and related correspondence
for leases. Does not include executed
leases.
74
Contracts - Real & Personal

Property Leases - Executed
Executed copy of leases for real
property, equipment and other
property. Includes master
agreements.
48
Contracts - Settlement Agreements

and Releases
Executed copy of all agreements that
settle claims, litigations and
arbitrations, except for settlements
involving employees. Includes
correspondence that constitutes a
final agreement as well as formal
executed agreements.
OTHER INFORMATION
Comments
dealings.
Executed contracts for the license of

products, technology or intellectual
property. May include drafts,
correspondence and term sheets.
Does not include software licenses.
555
RETENTION SCHEDULE
Office of Record
Contracts
Contracts - Joint Venture

Agreements
Contract transaction files for joint
ventures, partnerships or
corporations.
70
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Contracts - Standard Terms &

Conditions
SUBPROCESS
Examples
- Drafts
- Final Version
RETENTION SCHEDULE
Office of Record
Contracts
Standard purchase order terms and

conditions. Includes drafts and
592
Contracts - Standard Terms &

Conditions (Ohio or Kentucky)
Standard purchase order terms and
conditions. Includes drafts and
487
Contracts - Sub-Contractor
Agreements
Agreements with third parties to do
work on behalf of 3M.
530
Contracts - Trademark Agreements

Executed copy of all agreements
regarding scope or enforcement of
trademark rights. Includes letters
that constitute agreements as well as
formal executed agreements.
OTHER INFORMATION
Comments
dealings.
- Bond Invoices
- Confidential
Contracts
Disclosure
Agreements
- Event Planning
- Financial Transactions
- Financing
Agreements
- Financing and
Related Agreements
- Insurance Bonds
- Social Event
Contracts
- Supplier / Vendor
Agreements
- Consultants / Sales
Agents
- Distributor
Agreements
- Drug Partner
Contracts
- Division/ Labs
- RD&E/ Division/
Pharma & DDSD
- Marketing
- Sourcing
- Co-Existence
Agreements
Contracts
- Consent Agreements
- Correspondence
agreeing to cease and
desist infringement or
misuse
- Litigation Settlement
Agreements
- Prior Rights
Agreements
- Settlements of
Oppositions and
Cancellations

years; in CDA system. Retain drafts,
correspondence, and supporting
dealings.

dealings.
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Lease Agendas
Periodic charts / lists of open issues
on existing leases.
72
Powers of Attorney
Correspondence with respective law
firms, drafts and executed powers of
attorney.
SUBPROCESS
Examples
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments

Contracts
Contracts
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Marketing & Sales
RECORD CATEGORY
573
3M Community Affairs Policies &

Procedures
SUBPROCESS
Community Relations
Examples
Manage company relationships with external community organizations.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Marketing/ Community
Affairs
Desktop procedures; process maps.

446
3M Community Giving Annual

Report
Affairs
Annual report of donations made by

3M and the 3M Foundation.
501
3M Community Giving Campaign in

Partnership with United Way
Campaign Reports Database
Affairs
Reports of personal donations and

payroll / pension deductions. Reports
by employee, retiree, division, etc.
459
3M Community Giving Campaign in

Partnership with United Way Click
and Give Database
Affairs
Records of employee / retiree

donations; payroll and pension
deductions; organization
designations. Also includes paper
forms.
572
3M Community Giving Cash

Reconciliations Files: Corporate
Affairs
Monthly cash reconciliation files.

450
3M Foundation Board and

Corporate Contributions
Committee Meeting Minutes
Affairs
Minutes of the Board / Committee;

Records of Action.
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SUBPROCESS
Community Relations
RECORD CATEGORY
447
Examples
3M Foundation, Corporate
Contributions Committee, and
Preliminary Review Committee Files
RETENTION SCHEDULE
Office of Record
Affairs
OTHER INFORMATION
Comments
*Review annually after 10 years.
Agendas and grant proposals for the

3M Foundation Board and
Preliminary Review committee
meetings. Meeting book - electronic
and/or paper, PowerPoint slide
presentations.
457
3M Major Giving Initiatives and

Strategies
Major giving initiatives and
strategies.
456
- Documentation with - Marketing/ Community

rationale for funding / Affairs
declining
- Modification of giving
categories or target
percentages
Affairs
Cash Donations
Records related to 3M and 3M
Foundation giving (outside
CyberGrants)
458
Affairs
Grant Request Turndown Letters

Letters (paper) written to decline
grant or product requests submitted
to 3M or the 3M Foundation.
451
Grants Management System

Software to track all cash, products,
budgets, employee & retiree
matching. CyberGrants (online
grantsmaking tool).
452
In-Kind Donations
Product and service correspondence,
reports (outside of CyberGrants).
- Arts Budget
- Community / Civic
Affairs
Budget
- Education Budget
- Environmental Budget
- Gift-In-Kind
Donations
- Health and Human
Services Budget
- US Site &
Community Relations
Budget
- Disaster Relief
- Donations - Products
or Property
Affairs
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RECORD CATEGORY
455
Ongoing Program Records

Working files of ongoing programs,
including program procedures and
other supporting information.
502
Volunteer Management System

Volunteer recruitment records.
Vendor is Volunteer Match.
454
Year-End Giving Reports

Reports from a variety of giving
categories.
SUBPROCESS
Community Relations
Examples
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- 3M Tutors Program
- C.A.R.E.S.
Affairs
- Community
Volunteer Award
- CRC Meeting Notes
- Food/Clothing Drives
- Junior Achievement
- Meals on Wheels
- Paint-A-Thon
Affairs
- Contribution by
Position Report
Affairs
- Contribution by State
Report
Page 65 of 113
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Marketing & Sales
RECORD CATEGORY
521
Distributor Marketing Plan
SUBPROCESS
Corporate Strategy
Examples
Provide Corporate strategies based on knowledge management.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Marketing
Sales data, market data, product and

campaign program data, initiated by
the account manager and facilitated
by channel marketing.
481
Five Year Marketing Plan
- Marketing/ Divisions
Marketing plan developed from

internal analysis and knowledge.
Page 66 of 113
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Marketing & Sales
RECORD CATEGORY
375
SUBPROCESS
Investor Relations
Examples
Shareholders' Meeting Materials

Supporting material for shareholders
meetings. Does not include proxy
circular (see Public Share Offerings
& Stock Exchange Files) or actual
resolutions and scrutinizer's reports
(see Corporate Minute Books).
204
Shareholders' Meeting Plans

Information pertaining to
arrangements made for annual
shareholders' meetings.
124
Stock Surveillance Info

Info received from external sources
regarding stock activity.
OTHER INFORMATION
Comments
- Investor Relations and

Financial Planning &
Analysis
External Communications
Information/ files containing press
releases, presentations, transcripts,
quarterly earnings, conferences, etc.
60
RETENTION SCHEDULE
Office of Record
- Marketing/ Public
Communications
- Marketing/ Meeting &
Event Planning
- Investor Relations
Event Files
Files containing all supporting
information for events: invitations,
hotel, logistics.
374
Manage external communications with investment community related to the
organization's financials.
- Chairman's Agenda
- Drafts
- Proxy Circular
Support
- Transfer Agent
Correspondence
- Marketing/ Public
Communications
- Agendas
- Venue Information
- Marketing/ Public
Communications
- Weekly / Monthly
Surveillance Reports
- Investor Relations and

Financial Planning &
Analysis
Page 67 of 113
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Marketing & Sales
RECORD CATEGORY
155
Competitive Intelligence
Marketing-related data about the
company's competitors.
156
Consumer Research
Results of feedback from customers
and dealers regarding 3M products
and services. Includes feedback from
internal customers.
324
Market Data
SUBPROCESS
Market & Consumer Research
Examples
Forecast salability / profitability of a new product and monitor market trends and
customer satisfaction.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Competitive Analysis - Marketing/ Divisions

- Market Share
Analysis
- Concept & Product
Development
- Customer
Satisfaction Surveys
- Focus Groups &
Interviews
- JD Power Results
- Legal Claims
- Product Use Testings
- Sourcing Data
Production volumes, sales volumes,

days of inventory and related data.
Page 68 of 113
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Marketing & Sales
SUBPROCESS
Marketing Communications
RECORD CATEGORY
407
Examples
Advertising
Documentation pertaining to
company and product advertising.
136
Brand Management
Graphics developed for all Marketing
departments to ensure consistency in
company branding. Does not include
related policies.
325
- Graphic Standards
- Logos
- Trademarks
Records to support marketing from a

global perspective, including
marketing competency and
development, marketing development
services, marketing return on
investment, and Press Room
management. Could include images,
video files, technical documents.
135
Displays
Records pertaining to product
displays onsite. Includes
documentation of the origin and
return of display materials.
*Life of Corporation
- Marketing/ Public
Communications
- Marketing/ Int'l
Corporate Marketing
and Public Affairs
Company Publications
Digital Technology
OTHER INFORMATION
Comments
Advertising Artwork - Marketing/ Divisions

Advertising Plans
Advertising Schedules
Approvals
Design
Planograms
Final version of publications

developed for dissemination outside
the company. Does not include
Annual Report or records pertaining
to marketing material production.
404
RETENTION SCHEDULE
Office of Record
- Marketing/ Public
Communications
3M History Center
Preservation and display of 3M
products and information with
significant historical value.
137
Promote company products in the marketplace.
- 3M.com
- Digital Media
Repository (DMR)
- Global Enterprise
Data Warehouse
(GEDW)
- Goods & Services
Database (GSDB)
- Website Removal
and Archival
Processes
Strategy and Marketing
Development
- Approvals
- Designs
*Life of System; consider retaining

a "snapshot" of website when
contents change.
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Marketing & Sales
SUBPROCESS
RECORD CATEGORY
477
Events Management
Records associated with the planning
and preparation for trade shows,
technology fairs, customer events,
employee events and sales meetings.
139
Images
Images of people, locations and
products, used in marketing efforts.
158
Marketing Material Production

Records pertaining to the preparation
of promotional materials used to
support products or technologies.
Does not include website production.
129
Media Relations
Official announcements or statements
made to the public or media. Also
includes company coverage in articles
and other publications outside the
company. Does not include
marketing-related information.
131
Presentations
Presentations developed for senior
executives for internal use. Does not
include customer presentations. Does
not include records pertaining to
production of presentation.
141
Promotional Materials Inventory

Order information for promotional
materials given to customers and
employees. Used to track inventory.
Examples
RETENTION SCHEDULE
Office of Record
- Budgets
- Contracts /
Operational
- Event Project Files
- Schedules
- Marketing/ Advertising,
Public Relations &
Design Services
- Marketing
Animations
Film Footage
Photographs
Approvals
Brochures
Designs
Drafts
- Marketing/ Media
Solutions Group
OTHER INFORMATION
Comments
*Consider potential historical value

of material and storage media
obsolescence. Located in DMR.
Videos
- Earnings Releases
- Marketing/ Public
- Media Releases
Communications
- News Clips
- Other Material Events - Marketing/ Investor
Relations
- Press Releases
- Process Videos
- Product Videos
- Marketing/ Public
Communications
- Marketing/ Media
Solutions Group
- 3M-wear
- Giveaways
Page 70 of 113
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Marketing & Sales
SUBPROCESS
RECORD CATEGORY
132
Reference Documents
Company facts and figures approved
for use in corporate communications.
133
Websites
Records pertaining to the content and
design of Corporate, Business Unit
and Divisional websites. Does not
include service provider contracts.
Examples
RETENTION SCHEDULE
Office of Record
At-a-Glance
Biographies
Fast Facts
Key Accounts
Structure
- Plant Profiles
- Marketing/ Public
Communications
- Approvals
- Drafts
- Flowcharts
Development
- Marketing/ Investor
Relations
OTHER INFORMATION
Comments
*Consider retaining "snapshot" of

website when contents change.
Page 71 of 113
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Marketing & Sales
RECORD CATEGORY
130
Customer Purchase Documentation

Records pertaining to customer
purchases of 3M products.
520
Field Travel Reports
SUBPROCESS
Sales
Examples
- Authorization to
Proceed
- Award Letters
- Bill of Materials
- Blanket POs
- Consignment or
Alternative Sales
Contracts
- Contracts for
Services
- Customer Purchase
Orders
- Distributor or Dealer
Agreements
- Letters of Intent
- Product Supply
Agreements
- Proposals
- Quotes
- RFQ (Awarded
Business)
- Statement of
Requirements (SOR)
- Terms & Conditions
of Sale
Sell 3M products and services to customers.
RETENTION SCHEDULE
Office of Record
- Marketing/ Government
Markets
- Marketing
Pricing Information
Price lists, brochures and databases
for company products.
548
Product Claims

years. If a government contract, EX+10 or
specified by the government contract if
longer.
*Expiration of customer
relationship.
Customer specific field travel reports.

320
OTHER INFORMATION
Comments
- Add/Delete Sheets
- Component Costing
Form
- Cost Details
- Meeting Competition
Pricing Records
- Program Cost Model
- White Papers
- Marketing/ Sales
*Life of Product
Product Claims for 3M products.

321
Quarterly Business Unit Reviews
Customer-required business unit

review on a quarterly basis.
Page 72 of 113
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Marketing & Sales
RECORD CATEGORY
241
Requests for Quotations - Nonawarded Business
SUBPROCESS
Sales
Examples
Sell 3M products and services to customers.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
Customer requests for quotes for new

products and engineering changes,
and Division responses. Records
pertain to business not awarded to
the company. Includes statement of
requirements in the context of the
quote.
Page 73 of 113
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Marketing & Sales
RECORD CATEGORY
382
Center of Excellence
Files related to efforts to improve
sales effectiveness: skill assessment,
training, tools, competency reports
381
Customer Contact Center Customer Related Inquiries

Records related to incoming calls for
information and assistance from
customers. Includes field service
support and resolution.
SUBPROCESS
Sales Support
Examples
Provide materials / services to support customer sales activities.
RETENTION SCHEDULE
Office of Record
- Sales Connections
- Sales Planning
Development
- Division/ Marketing &
Sales
- Complaints
- Corrective Action
Summary Reports
- Product Inquiries /
Complaints
- Promo Offers
Development
- Marketing/ Customer
Contact Center
OTHER INFORMATION
Comments
* keep 7 years on closed non-issues,

final resolution + 7 on closed
resolved issues.
- Division/ Labs
400
Customer Contact Center Customer Requests

customers or potential customers.
399
Customer Contact Center Employee Related

employees.
140
Customer Presentations
Customer presentations on new or
potential products.
323
Event Planning
Documentation pertaining to the
planning of internal events, such as
shows for customers and sales
conferences. Does not include
materials distributed at events.
- Customer Referrals
for Assistance
- Leads to 3M Sales
Reps or Channels
Development
Contact Center
- Division/ Labs
- Employee Referrals
for Assistance
- GWN, payroll,
Cybershift and
Triage to vendors for
Benefits Support
Development
Contact Center
- Catalog Launch
Presentations
- New Product Flyers
& Brochures
- Process Videos
- Product Videos
- Tech Shows
- Marketing/ Media
Solutions Group
- Division/ Labs
- 3M Analyst Day
Meeting
- Marketing/ Meeting &
- Focus Group Sessions

Event Planning
Page 74 of 113
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Marketing & Sales
SUBPROCESS
Sales Support
RECORD CATEGORY
401
Government Markets
Assistance to Divisions in selling to
the government. Does not include
contracts.
138
Industry Events
Records pertaining to design,
transportation and setup of exhibits
at industry events such as trade
shows.
529
Examples
- Assignment Files
- Presentations
Provide materials / services to support customer sales activities.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Marketing/ Government
Markets
Approvals
- Meeting Management &
Event Planning
Sourcing
Exhibit Design
- Marketing/ Trade Show
Management
Exhibit Setup
Supplier Contracts
Sales
Tech Show Materials
Transportation
Records
Intercompany Complaints - 3M to
3M
Intercompany complaints lodged by
3M's OUS Companies for product and
service sourced from 3M in the United
States. All complaint and Adjustment
Requests are submitted and retained
in CFR (Customer Feedback &
Resolution) databases.
606
Sales Incentive Plans

Planning, calculation, and approval
documentation related to sales
incentive plans.
- Calculation Records
- Employee
acceptance (if
applicable)
- Plan documents
delivered to the
employee explaining
how they can earn
their sales incentives

Sales
*SU = superseded referring to the

Plan
Page 75 of 113
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Planning & Performance Monitoring
RECORD CATEGORY
506
SUBPROCESS
Lean Six Sigma
Examples
Manage efforts to eliminate waste, reduce response time, simplify the design of both
products and processes, and improve quality and customer service. Includes Six
Sigma activities.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Lean Six Sigma
*TE for Certification database.
- Evaluations
- Lean Six Sigma
Lean Six Sigma database
- Jump Start
- PRISM
- Special Projects
- Lean Six Sigma
LSS SharePoint site
- Project Hopper
- Value Analysis /
Value Engineering
documentation
- Lean Six Sigma
GPS
- Bridge to Entitlement - Lean Six Sigma

- Consultations
- Final Presentations
GPS
Closing Evaluation Forms

Closing evaluation forms
(Certification Summary Sign-Off) for
black belt certifications.
377
Coach Files
Qualified to Teach qualified coach list.
568
Consulting Documents
Project data and summaries.
309
Improvement Ideas
Summary of improvement ideas
generated by Six Sigma, Lean, or
value analysis / value engineering
initiatives. Also includes records
pertaining to a department's efforts to
improve a process or function.
280
Lessons Learned
Information pertaining to lessons
learned through team initiatives,
which are carried forward to new
projects.
307
Project Closing Feedback
- Lean Six Sigma
Certification database
- Originating Business
Unit
GPS
- Lean Six Sigma
GPS
- Lean Six Sigma
*includes major changes (new

content, new class exercises, etc.)
Summary of the progress of a Six

Sigma project provided to the Master
Black Belt.
505
Project Control Plans
308
Project Files (Not Control Plans)

Records specific to Six Sigma projects.
363
Training Material
- Best Practices
- Final Report
- Project Summaries
Curriculum, workshops,
presentations. bill of materials,
instructor guides, course design specs.
Lean Six Sigma Curriculum Database

LSS SharePoint site
Page 76 of 113
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RECORD CATEGORY
376
Training Surveys
Files regarding effectiveness of
instructions and content.
SUBPROCESS
Lean Six Sigma
Examples
- Coaching Surveys
- Teaching Surveys
Manage efforts to eliminate waste, reduce response time, simplify the design of both
products and processes, and improve quality and customer service. Includes Six
Sigma activities.
RETENTION SCHEDULE
Office of Record
- Lean Six Sigma
OTHER INFORMATION
Comments
Lean Six Sigma database
Page 77 of 113
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RECORD CATEGORY
234
Business Development Projects

Documentation of projects involving
joint ventures with suppliers or
customers, acquisitions and
divestitures, and sale or purchase of
a license. Does not include due
diligence or agreements and related
legal documents.
233
External Environment
Records pertaining to the monitoring
of the external environment to
identify possible joint venture and
M&A opportunities as well as
potential new markets. Used for
planning purposes only. Does not
include documentation pertaining to
joint ventures, acquisitions or other
business development projects.
339
Product Line Research

Background research pertaining to
potential new product lines that do or
do not become programs.
338
Program Development & Review

identification, design, production and
review of new product lines.
228
Strategic Analysis
Data collected and analyzed for
strategic planning purposes.
SUBPROCESS
Strategic Analysis & Planning
Examples
- Approvals
- Background
Information
- Financial Analysis
Analyze business results and external environmental factors, and develop long-term
goals and a plan for achieving them.
RETENTION SCHEDULE
Office of Record
Division
- Global Business
Processes
OTHER INFORMATION
Comments
*PC = Project completion or
decision to abandon
- Global Business
Processes
Division
- Global Business
Processes
*Review annually after 10 years to

keep records of historical value.
- Division/ Labs
- Global Business
Processes
Division
- Division/ Labs
*Life of Program
- Competitive Analysis - Global Business

- Customer Analysis
Processes
- Trend Analysis
Division
Page 78 of 113
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RECORD CATEGORY
232
Strategic Planning
Documentation of strategic planning
at Corporate and Division / Big B
levels in areas such as product /
product line plans (current and
future), resource requirements (plant,
facilities, HR, A&M, Supply Chain).
SUBPROCESS
Strategic Analysis & Planning
Examples
- Management
Presentations
- Meeting Minutes
- Supporting
Documentation
Analyze business results and external environmental factors, and develop long-term
goals and a plan for achieving them.
RETENTION SCHEDULE
Office of Record
- Global Business
Processes
- RD&E/ Division
OTHER INFORMATION
Comments
*Review annually thereafter to keep
selected records of historical value.
- Division/ Labs
- New Business
Development
- Strategic Planning
Page 79 of 113
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RD&E (Corporate & Division)
SUBPROCESS
1-Technology Development
RECORD CATEGORY
378
Examples
Research and develop new technologies for application to product development.
RETENTION SCHEDULE
Office of Record
- Corporate/ R&D
Services
- RD&E/ Division/ Quality
Lab Notebooks
Technical / research information,
reports, studies.
OTHER INFORMATION
Comments
*at least 10 years after final ruling.
- Division/ Labs
- Corporate/ Lab
149
NPI - R&D Projects, NTI - R&D

Projects, Accepted
All records related to product and
technology development NPI or NTI
projects. Housed in NPI database or
NTI database.
373
NPI - R&D Projects, NTI - R&D

Projects, Not accepted
All records related to product and
technology development NPI or NTI
projects.
279
Patents - 3M (Copies)
Copies of documentation pertaining
to patents issued to 3M.
CAD files
Drawings
Images
Integrated Project
Binders
- NPI Notebooks
(Phase I-VI)
- NTI Info
- Corporate/ R&D
Services
- RD&E/ Division
NPI = New Product Introduction;

Intek (archive of corporate technical
reports)
- 3M HIS Marketing Dept
NTI - New Technology Introduction

archive in NTI Database.
- Bill of Materials
- Conceptual Design &
Review
- Patent Clearance
- Patent Searches
- Project Files
- Prototypes
- Technology
Summaries
- Testing
Documentation
- Trademark Clearance
- Trademark Search
- Corporate/ R&D
Services
- 3M HIS Marketing Dept
- Draft Applications
- Final Application
- Division/ Labs
- RD&E/ Division
- Division/ Labs
Formulations are superseded in

Plant RM changes.
NTI - Technical Info in Lab
Notebooks; INTEK Archive of
Technical Reports.
Official patents retained in

Corporate R&D Services.
Page 80 of 113
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RECORD CATEGORY
553
External Ideas
External idea submissions,
confidential.
153
Presentations, R&D
Presentations to customers, suppliers,
3M and other internal departments
regarding potential new products.
SUBPROCESS
2-Product & Process Innovation
Examples
Research and develop new concepts for application to new and improved products
and processes. Includes feasibility and planning, concept design, analytical
validation, prototype and design validation.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Corporate/ R&D
Services
- Corporate/ R&D
Services
- RD&E/ Division Labs
*FR = decision reached.
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315
Change History Tracking
SUBPROCESS
3-Product Design & Development
Examples
Design and develop products based on R&D concepts.
RETENTION SCHEDULE
Office of Record
- Division/ Labs
*Life of Product; also stored in

material records in CDMS.
*Life of Product
*Life of Product
- Appearance Review
- Critical Design
Review Forms
*Life of Product
- Design Calculations
& Analysis
- Design Verification
Plans & Reports
- Ergonomic Studies
- Finite Element
Analyses
- Tolerance Stacks
- Variation Simulation
Analyses
*Life of Product; NPI
- Preliminary Bill of
Material

*Life of Product; NPI; multiple

locations - LCM, MDI, GGSM,
Division LN database, shared drives,
ematrix.
- Engineering Change
Level Control
Checklist
Notice (ECN)
Request (ECR)
*Life of Product
- Design Work Orders
Records that request/track design and

engineering changes. Does not
include actual design records or
engineering change documents.
154
OTHER INFORMATION
Comments
Craftsmanship Assessments
Appearance approval reports.
163
Design Failure Modes & Effect

Analysis (DFMEA)
Report summarizing all potential
failure modes of the system and how
they are addressed through design
and testing.
160
Design Reviews
Signed forms indicating design
review and approval by engineering
department heads.
161
Design Verification
Records pertaining to the validation
of product design and
safety/performance compliance. Does
not include production validation
testing.
164
Engineering Bill of Materials

Detailed component material list,
used for cost estimates.
166
Engineering Change Documents

Customer authorization to proceed
with specified changes and
supporting documents including price
development.
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RECORD CATEGORY
162
Engineering Data & Drawings

Drawings released for prototype
and/or production of product.
Includes CAD/CAE design files on
which CAD/CAE drawings and
CAD/CAE studies are based.
558
SUBPROCESS
Examples
- CAD Data
- CAD Drawings
RETENTION SCHEDULE
Office of Record
*Life of which the package or packaging

component is in use. **Documentation
biennially updated for the package or
packaging component to which the
exemption applies
- Division/ Labs
*Life of Product
Heavy metal certificate of compliance.

169
Open Issues Lists

Report summarizing all customer and
internal product issues, outlining
their causes, resolutions and timing.
551
Package Test Reports and

Certifications
- Prevention Specialist
Review
- Problem Resolution
Tracking
*Life of Product
- Package Engineering
Heavy Metal Certificate of

Compliance
OTHER INFORMATION
Comments
- 3M HIS Product
Development
Regulated items: e.g. UN third party

test certifications, UN test reports
required by governmental agencies,
Protocol test results for Child
Resistant Closures, and other test
results related to package compliance.
549
Packaging Corporate General

Specifications
A document that has common

applicability to a large group or class
of packaging items. Its use reduces
the amount of information that must
be repeated on an item specification.
Page 83 of 113
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RECORD CATEGORY
550
Packaging Label and Graphics Files
SUBPROCESS
Examples
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
Copies of packaging labels and

graphics used to market products.
Packaging labels or graphics which
do not contain claims, warnings,
warranties, and/or regulatory
markings are not corporately
required to be retained.
552
Packaging Standards / Bill of

Materials (BOM)
A written and/or drawn description of

the finished package with the product
loaded into it ready for sale, storage
and shipment. Includes a list of the
packaging items needed for one
shipping unit as specified in the
Corporate Identification System
(CIDS).
311
Production Validation
*Life of Product
Production validation test reports.

168
* Life of Product; NPI.
Prototype Control Plan

Documentation of plan for
manufacturing product prototype,
based on Design Failure Modes &
Effect Analysis (DFMEA) and Process
Failure Modes & Effect Analysis
(PFMEA). Specifies what/how
inspections need to be performed.
313
*PC = Production validation (PV)

Testing; NPI.
Prototypes
Pre-production samples used to
validate the function of the design.
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RECORD CATEGORY
167
Specifications & Requirements

Government, industry, customer and
company specifications, standards
and guidelines which outline specific
design, material, process and safety
requirements. Also includes analysis
of warranty information for
application to product design and
development. Does not include testing
specifications.
312
Tested Parts
SUBPROCESS
Examples
- Customer
Specifications
- Engineering
Specifications
- Material
Specifications
- Regulations
- Statement of
Requirements (SOR)
- System Design
Specifications (SDS)
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
*Life of Product
*Life of Product; Retain only one

representative sample of tested part.
Design verification (DV) and product

validation (PV) tested parts as
evidence of test performance.
Page 85 of 113
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RECORD CATEGORY
170
Accreditation Files
Records pertaining to test lab
accreditation by American
Association for Laboratory
Accreditation (AALA), ISO.
171
172
- Annual Renewal
Submissions
- SEMS (Regulatory Eng
- Certificate of
& Quality)
Accreditation
- On-site Audit Reports
Database used for tracking

equipment calibration, equipment
details and location, recall dates,
suppliers of calibration services,
software revisions and locations,
calibration reports and equipment
status. Does not include actual
calibration records.
- Plant Engineering
Calibration Records
Consumable Material Files
Drug Delivery Records

Records related to the delivery of
drugs working with large Pharma
company partners and others.
181
RETENTION SCHEDULE
Office of Record
Documents maintained on
consumable materials that could
affect the quality of test results.
486
Examples
Coordinate and perform testing to ensure compliance with specifications, standards
and regulations.
Calibration Database
Records that provide evidence that

inspection, measuring and test
equipment are performing correctly
and are traceable to a primary
standard. Labels show who
calibrated, and the last and current
calibration dates.
173
SUBPROCESS
4-Testing / Labs
Equipment Maintenance Records

Documentation of preventive
maintenance of inspection, measuring
and test equipment.
OTHER INFORMATION
Comments
*Life of accreditation. QDS (notes
dbase)
* at least 10 years after final rule on any

data derived from database.
- Plant Engineering/
Metrology
& Quality)
- Calibration
Certificates
- Calibration Reports
- Checks of Tools,
Gauges and
Equipment
- Finished product
checks
- Verification Log
Sheets
- Manufacturing/
Production
- Plant Engineering/
Metrology
- Quality
*Life of Equipment; also kept on-line;

**GMP for Finished Pharmaceuticals
(SOP) production, control, or distribution
required by Part 211 - for OTC products
exempt from expiration dating - 3 years
after distribution of batch; ***at least 10
years after final rule on any data derived
from database.
- Certificate of
Analysis
- Inspection Reports
*Life of Material
- Drug Master Files

- FDA Documentation
- New Drug
Applications
* 2 years after approval
- Equipment Work
Orders
- Preventative
Maintenance Logs
- Manufacturing/ Plant
Engineering
*Life of Equipment

& Quality)
Page 86 of 113
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RECORD CATEGORY
488
Good Clinical Practice Records
SUBPROCESS
4-Testing / Labs
Examples
Coordinate and perform testing to ensure compliance with specifications, standards
and regulations.
RETENTION SCHEDULE
Office of Record
- Division/ Labs
* GLP Standards - 10 years from date of

applicable final test rule.
*Life of Product
Clinical documents for clinical

practices.
299
Hold Tags
OTHER INFORMATION
Comments
Identification of nonconforming
product or service.
177
Qualified Supplier Files

Information on the qualifications /
accreditations of approved suppliers.
Includes related correspondence.
178
Testing Job Files

Records maintained on all testing
jobs. Does not include design
verification or production validation
testing.
- Approved Supplier
List
- Fixture Design/Build
& Quality)
Suppliers
- Quality System
Certificates
- Supplier Qualification
Documents
- Change Requests
- Inspection Reports
- Nonconforming
Product & Service
Reports
- Purchase Orders
- Quotes
- Shipping Reports
- Test Data
- Test Incident Reports
- Test Specifications
*Per ISO, period between 2 full

assessments; ** at least 10 years after
final rule on testing. Test data also stored
in CDMS.
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5-R&D Engineering
RECORD CATEGORY
184
Equipment Preventive Maintenance

Records
Examples
- Repair Reports
Documentation of weekly, monthly

and annual preventive maintenance
on equipment.
331
Manufacturing Issues Database /

List
List of manufacturing issues as part
of program launch. Used for issue
identification and resolution, as well
as historical information for review
by other program teams.
185
Tooling / Fixture Drawings

Drawings of tooling, equipment and
gauges used for production of
products.
Equipment Drawings
Equipment Layout
Gauge Drawings
Plant Layout
Design and improve product production processes.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
Engineering
- Manufacturing/
Production
*Life of Product
Engineering
- Manufacturing/
Production
NPI
- Manufacturing/
Production
*Life of Product; ematrix, MDI, NPI.
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RECORD CATEGORY
215
Corrective & Preventive Action

Records
Analysis and correction of problems
identified by customers, suppliers and
internal departments. Issues can be
related to design, process, quality,
supplier, material or manufacturing.
Includes supporting documentation
for root-cause analyses, solutions
and verification of evidence.
216
214
286
- Corrective Action
Reports
- Customer Complaint
Reports
- Discrepancy Reports
- Interim Recovery
Plan
- Quality Complaints
RETENTION SCHEDULE
Office of Record
Reports generated in response to

customer complaints, audits or
general inquiries.
Inspection Results
- Control Plan Results

Assurance
ISO 14001 Audits
- Manufacturing/
Environmental
Registration certificates of Business

Units and Divisions for compliance
with ISO Quality standards.
*Life of Product
Assurance
& Quality)
Results of inspections performed in

accordance with prototype, prelaunch and production control plan.
Includes coordinate measuring
machine inspections, inspections
conducted on the shop floor during
product production and related
information.
ISO Certificates of Registration

(9001 and 14001)
OTHER INFORMATION
Comments
Customer Feedback
Dimensional Data
Inspection Results
Assurance
Performance Data
QS Audit Results
Systems Performance
Customer Reports
Results of inspections conducted

every six months for registration
purposes. Includes action plans for
issues requiring follow-up.
230
Examples
Ensure that products and processes meet corporate, government and industry
quality and environmental health and safety standards. Includes related
Assurance
*Life of Product
*Life of Product
In corporate ISO-DS Lotus Notes

database.
- SEMS REQ
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175
ISO Internal Audit Files

Evidence of internal audit activity for
ISO certification requirements.
176
Management Review Meeting Files

Evidence that management review
meetings are held regularly and that
specific issues are addressed.
221
Product Assurance Plan

Documentation supplied to customer
to ensure that the appropriate
methodologies are being applied to a
new product or program.
SUBPROCESS
6-Quality Assurance
Examples
RETENTION SCHEDULE
Office of Record
- Action Request
- Annual Audit
Schedule
- Audit Plan
- Audit Report
- Management Review
- Preventive and
Corrective Actions
- Self Audit Records
- Agendas
- Meeting Minutes
- Presentations

OTHER INFORMATION
Comments
Per ISO, period between 2 full
assessments; * pending research on
internal ETS10.009.4 guideline for
retention. QDS (database)
- SEMS REQ
- Manufacturing
- SEMS REQ
Assurance
Per ISO, period between 2 full

assessments.
*PC = Product Launch
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217
Production Part Approval Process

(PPAP) Records
Documents pertaining to
verification/validation prior to initial
product launch or after product
redesign. Used to establish
compliance to all engineering
records, materials and specifications.
341
Quality Conferences
SUBPROCESS
6-Quality Assurance
Examples
RETENTION SCHEDULE
Office of Record
- Checking Aids
- Control Plans
- Customer-specific
Assurance
Requirements
- Design Records
- DFMEA
- Dimensional Results
- Drawings,
Customer/Supplier
Approved
Documents
- Master Sample
- Material/Performance
Test Results
- Part Submission
Warrants
- PFMEA
- Process Flow
Diagrams
- Product Change
Notices (PCNs)
- Sample Production
Parts
- Specifications,
Customer/Supplier
Approved
OTHER INFORMATION
Comments
*Life of Product
Records pertaining to Quality

Conferences.
485
Quality Management / Planning

Meetings
Records of audit planning minutes
and management review meeting
minutes.
- RD&E/ Division/ QDS

Assurance
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483
Quality Management Records

Records contained within the QDS
system that documents the life cycle of
the quality management process.
219
Supplier Quality Reviews

Quality reviews or audits of supplier
goods and services.
SUBPROCESS
6-Quality Assurance
Examples
RETENTION SCHEDULE
Office of Record
- Complaint Records
- RD&E/ Division/ QDS
- Product Audits
(action items)
Assurance
- Supplier Quality Data
- Technical Bulletins
- Vendor Specification
Approvals
- Supplier Quality
Audits
OTHER INFORMATION
Comments
*Life of Product
*Expiration of Supplier Relationship
Assurance
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7-Program Management
RECORD CATEGORY
493
Analytical Tests Results

Test results which are relative to
environmental monitoring programs.
340
- Analytical Results of
Samples
- Environmental
Emissions Data
Data / Document / Activity Tracking Records that track the transfer of

data/documents to/from customers,
suppliers or internal departments, as
well as program-related activities.
Includes related metrics and
checklists that verify work
completion. Does not include official
records that track design and
engineering changes, or records
pertaining to staff product- or
program-related assignments or
workload.
335
Examples
Checklists
Data Sent
Tracking Sheet
Transfer Log
Transmittal Notices
Coordinate the delivery of all products, from design through production. Includes
program-related project management activities.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Manufacturing/
Environmental
Environmental
- RD&E/ Division
*Life of program.
- Manufacturing
OIPC.
- Master Program
Timing
- PDP Checklists
- PDP Deliverables
- Program Team
Meetings
- Summary Sheets
- RD&E/ Division
*Life of Product ; NPI
- Executive Review
Meetings
- Launch Readiness
Reviews
- Pre-gate Audits
- Program Review
Presentations
Intellectual Property Report

Program-specific records that ensure
designs have been reviewed for
patentable items.
225
Product Delivery Process Gate

Books (PDP)
coordination of PDP, from product
design through production. Used to
track deliverables, dates and cost
targets. Includes approvals to move
to the next phase of the process.
226
Program Reviews
Records pertaining to all program
reviews, including those at the senior
executive level.
- Manufacturing
- Division/ Labs
NPI
- Manufacturing
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492
330
SUBPROCESS
7-Program Management
Examples
RETENTION SCHEDULE
Office of Record
Technical Data Files
Technical data on the formulation,

composition, manufacture, packaging,
transport, use and disposal of 3M
products.
- Manufacturing
Technical Information / Reports

Technical information, including
chemical research, product
information, performance
information, testing, or supporting
documentation to validate claims that
are made. Some information is
housed in the PD Technical Report
database (Lotus Notes).
- Technical Reports
Coordinate the delivery of all products, from design through production. Includes
program-related project management activities.
OTHER INFORMATION
Comments
* Life of the Product, needed for
historical reference and same time
as MSDS is kept.

- Manufacturing
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559
Environmental Hazard & Risk

Assessments
Request for assessment pertaining to
use, product developments, technical
system, etc., and storage of completed
assessments.
466
SUBPROCESS
8-Product EHS
Examples
- Product and Material
Hazard & Risk
Assessments (both
chemical and
hardgoods)
- Product
Environmental Data
Sheets (PEDS)
- TSCA 8e
Assessments
Life Cycle Management

Life cycle management assuring
regulatory compliance in product
development and release.
472
Maintains raw data finding

performed by labs.
OTHER INFORMATION
Comments
*EHS Operations information kept
in PEAKS.
- Environmental Lab
*Life of Product

Physics
Product Safety Files
Test Reports Raw Data
- EHS/ Operations
- Committee Files
- Regulatory Affairs
- Communications with
Government
Authorities
- Consultant Files
- Environmental
Related Project Files
- Product Safety
- Risk Assessments
Evaluation of product during product

development; records may be used to
acquire licensing through a
regulatory agency.
357
RETENTION SCHEDULE
Office of Record
- Manufacturing/
Facilities/Site EHS
Hazardous Material Lists

Hazardous material lists from
regulatory agencies.
398
Ensure compliance with company policies and government regulations concerning
environmental related EHS issues for products.
- Environmental Fate
and Effects Testing
- In House Testing
- Modeling Results
- Physical / Chemical
Property Testing
- Third Party Testing
- Toxicology Testing
- GALIMS (corp database)

- Corporate/ Toxicology
& Regulatory Services*
- SEMS REQ
* Corporate Toxicology &

Regulatory Services keeps the
original reports of tox tests done
externally.
(3M Global RoHS Test Report
Database)
- EHS/ Operations/
Environmental Lab
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464
Toxicology Information Files

Records related to licenses, adverse
reactions, clinical complaints, boughtin-product OEM labels, certifications,
dated formulation data, product
registration outside U.S., risk
characterizations, test reports and
summaries, and toxicity report
Material Toxicity Summary Sheet.
SUBPROCESS
8-Product EHS
Examples
- Material Toxicity
Summary Sheet
environmental related EHS issues for products.
RETENTION SCHEDULE
Office of Record
- Product EHS/ Medical/
Toxicology Services
- Manufacturing/
Facilities/Site EHS
OTHER INFORMATION
Comments
*30 years reported / reaction; toxicology
testing related records kept in TOXDOC,
and TOXArchive" systems.
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Supply Chain & Manufacturing
RECORD CATEGORY
317
SUBPROCESS
1-Planning
Examples
Demand Forecast
Records pertaining to high-level
production volume forecasting as well
as Division-level planning in
accordance with customer
requirements.
479
Raw Material Specifications

Records of raw material required for
Country of Origin and Restriction of
Hazardous Substances (ROHS)
documentation requirements.
Information gathered from the Raw
Materials Database (CDMS) and the
SAQQARA system.
365
Supply Chain Solutions
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Supply Chain
Operations/ Corporate/
Engineering
- Manufacturing/ Supply
Chain
Bin Inventory
Inventory of customer-supplied
returnable containers. Used for
customer planning.
227
Plan the raw materials and inventory needed to meet customer demand.
- Cycle Plans
- Monthly Planning
Reviews
- Regional Forecasts
- Supply Chain
Engineering
- Supply Chain/ Division
Chain
- Letters of Suppliers
- Raw Material
Number Request
- Requests Received
* Life of Product
Chain
- Division/ Labs
**5 years from date certificate of origin

was signed: ***5 years from the date of
inspection of goods.
- Value Stream Maps
- M&SCS
Analysis information regarding

equipment and its location;
supporting documentation;
presentations.
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2-Sourcing
RECORD CATEGORY
346
Bid Responses - Not Awarded

Responses to 3M requests for quotes
from unsuccessful suppliers. Does
not include unsuccessful quotes for
materials.
76
Contracts - Supplier / Vendor

Agreements (Purchasing
Agreements)
Contracts and contract files for the
purchase of goods and services.
Includes master agreements, subagreements, renewals and letter
agreements.
210
Price History
Documentation of price history by
part number, used to communicate
price changes to 3M facilities for
their purchase orders to suppliers.
211
Product Sourcing Planning

Product sourcing plan and related
documentation.
212
Purchasing Decision Workpapers

Final quotes from all suppliers and
documentation of supplier selection
process.
Examples
-
Letter of Intent
Make or Buy Studies
Quote from Supplier
Request for Quotes
(RFQ)
- Capital Equipment
and Engineering
Service Contracts
- Computer Hardware
Purchase Contracts
- Construction
Contracts
- Outsourced
Manufacturing and
Private Label
Contracts
- Raw Material
Contracts
- Service Contracts
- Software Licensing
Contracts
- Supplier
Indemnification &
Hold Harmless
Contracts
Manage suppliers, supply contracts and purchases of materials and services.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Supply Chain
Sourcing Operations
Chain
- Sourcing

- Supply Chain
Sourcing Operations
Chain
- Supply Chain
Sourcing Operations
Chain
*Life of Product
- Cost Analysis Sheet - Supply Chain

- Last Right of Refusal
Sourcing Operations
Chain
Page 98 of 113
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209
Purchasing Records
Records pertaining to approved
acquisitions of materials for product
manufacture. Includes product
change notices (PCNs) from suppliers
when a material change is not
involved. Does not include
purchasing agreements or records
pertaining to non-awarded business,
or PCNs that involve a material
change.
207
Sourcing Strategy
SUBPROCESS
2-Sourcing
Examples
Supplier Development
Documentation of supplier
Development activity. Includes
supporting documentation. Exclused
any supplier quality reviews/audits.
RETENTION SCHEDULE
Office of Record
- Bid Responses
- Supply Chain
- Correspondence with
Suppliers regarding
Sourcing Operations
Imports
- Letter of Intent
- Peoplesoft Receiving - Manufacturing/ Supply
Chain
Report
- Program Statement
of Work
- Quote from Supplier
- Request for Cost
(RFC)
- Request for Quotes
(RFQ)
- Price Forecast
- Supply Chain
Sourcing Operations
Chain
- Division/ Labs
- Supplier Manual
- Supplier Meetings
- Supply Chain
Manufacturing & Supply
Chain Services
Information on purchasing activities

and developments in the world market
that affect prices/availability.
205
Manage suppliers, supply contracts and purchases of materials and services.
OTHER INFORMATION
Comments
*Life of Product; Peoplesoft houses
purchase orders, purchase requisitions and
Peoplesoft Receiving Report.
**Correspondence with suppliers regarding
imports = 5 years.
Chain
206
Supplier Management
- ISM Records
Records of all supplier's assessments,

corrective action requests and
performance scorecards. Excludes
any supplier quality reviews or
audits.
- Supply Chain
Chain Services
Chain
92
Vendor Information
Information submitted by vendors to
support income reporting.
- W-9 forms
- Sourcing Operations/
Supply Chain Operations
*Life of relationship with vendor.
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182
Advanced Product Quality Plan

(APQP)
Manufacturing-related
documentation for APQP compliance.
517
Certificates of Analysis /
Conformance
Certificates of Analysis /
Conformance and Data Summary
Reports.
495
Crane / Hoist Records

3M Certification Load Test,
Compliance Load Test and Repair
Records.
513
Inspections - Quality, Finished

Product
SUBPROCESS
3-Manufacturing / Eng, Production & QC Produce products from raw materials and / or parts obtained from suppliers.
Examples
RETENTION SCHEDULE
Office of Record
- Floor Plan Layout

- Corporate/ Research Lab
- Operation Instruction
- Division/ Labs
Sheets
- Manufacturing/
- Process Failure
Production
Mode & Effects
Analysis
- Process Flow
OTHER INFORMATION
Comments
*Life of Product
- Certificates of
Analysis /
Conformance
- Data Summary
Reports
- Military / Aerospace
Cof C's/CofA's*
Assurance
*PE (permanent) retention for

Military and Aerospace.
- Crane / Hoist
Records
- Manufacturing/
Production
*LI of equipment plus 1 year for

Annual Crane/Hoist Inspection
Reports; 1 year for Monthly
Inspection Reports, 1M for Daily
Inspections Reports; 3M for PreShift Inspection Records; and 5
years for Frequent and Periodic
Equipment Specific Inspections.
- QPID Data
- Scratch Test Results
Assurance
*Life of Product
- Contractor Daily
Permits
- Daily Production
Summary Reports
- Planning Processes
Records
- Production Forecasts
- Production Logs
- Safe Work Permits
- Manufacturing/
Production
Inspection and test results for InProcess and Finished Product testing.
478
Manufacturing Administration
Records
Records documenting the
management, organization and
planning of the manufacturing
process, including measurements.
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567
Manufacturing Documentation
Change history.
213
Manufacturing Production Problem

Reports
Documentation of production
problems, covering major
breakdowns or other reasons for low
production. Information is reported
in production meetings and is also
retained for traceability in the event
of a customer complaint.
310
Manufacturing Staffing
Requirements
Spreadsheet detailing weekly and
monthly production staffing
requirements communicated to
Human Resources / Finance.
519
MSA Studies
MSA studies, official and unofficial.
518
Process Capability Studies

Process capability studies.
496
Product Samples
Actual product samples; generally
keep 6-10 samples.
515
Production Reports
Daily production reports, not
including problem related issues.
Does not include Quality Monitoring.
Examples
RETENTION SCHEDULE
Office of Record
- Bill of Material
- Document Approvals
Assurance
Manufacturing sites
(MDI)
- Operator Work
Instructions
- ROC History
- Test Methods
-
Flocculent Report
Moisture Report
Process Line Report
Winder Report
OTHER INFORMATION
Comments
*keep recent 10 years of change
history; Exceptions: Military,
Aerospace, Medical and
Transportation LI+5.
- Supply Chain
Chain Services
- Manufacturing/
Production
- Supply Chain
Chain Services
- Manufacturing/
Production
Annual review of forecast put in

Khalix.
Assurance
- Division/ Labs
Part of PPU team, GPS or NPI.
Assurance
- Division/ Labs
Would be documented in NPI or

GPS.
- Manufacturing/
Production
- Division/ Labs
- Manufacturing/
Production
*Medical Device History Records /

Production Reports are to be
retained for the life of the device +
2 years.
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514
Raw Material Test Data

Raw material test data.
494
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
Ad Run Folder
Checklist
Assurance
- Discrepant Material
Review
- Non-Conforming
Material or Process
Report
- Quality & Process
Document Deviations
Quality Monitoring - Manufacturing In process quality assurance checks

including any quality and process
deviations.
516
Examples
Shift Notes
Reports which communicate issues to
the next shift.
- Raw Material
Receival
- Raw Material Test
Data
Assurance
- Division/ Labs
- Manufacturing/
Production
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245
Bills of Lading - Domestic (U.S.)

Shipper's receipt for goods being
shipped, with driver's signature.
528
SUBPROCESS
4-Delivery
Examples
- Dispatch Ticket
Premium Freight
Transport products to customers.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments

- Supply Chain/
Transportation
Chain
- Shipping Location
Chain
Bills of Lading - Export

Shipper's receipt for goods being
shipped cross-border.
- Supply Chain/
Transportation
- Shipping Location
237
Customs Documentation
Customs-related documentation
pertaining to the import of goods.
473
Export Records
Records related to obtaining
materials and/or sending company
produced materials to another
country.
- A(1)(a) Documents**
- Drawback Entry
Documents***
- External
Investigations / Self
Disclosures
- Focused Assessment
Documentation
- NAFTA Certificates
of Origin*
- Supply Chain
Sourcing Operations /
Package Engineering
Chain
- Trade Compliance
- Communications
With Agencies
- DTC Registration**
- Export Authorization
- Export Declarations
- External
Investigations / Self
Disclosures*
- NAFTA
Certificates****
- PPI Letters***
- Technical
Assessments
- Trade Compliance
Files
- U.S. ECCC
Documents*****
- Supply Chain/
Transportation
*5 yrs from date certificate of origin was

signed; ** 5 yrs from date of entry; *** 6
yrs from date last claim paid
- Receiving Locations
Chain
- Trade Compliance
5 years from final resolution of agency

inquiry
* 5 years from final resoution
*** LI only for Routed Transactions
**** 6 years for Canadian destined
documents
***** 1 year
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484
Finished Good Requisitions
SUBPROCESS
4-Delivery
Examples
- MIRS
Records of requests to third party

supplier to ship 3M product.
566
Homeland Security Documents

Records related to Homeland Security.
239
Receiving Discrepancies
Shipping Files
Information related to shipments,
order processing and tracking.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments

Chain
- c-tpat
- Ocean Container
check
Chain
- RDRs
- Supply Chain
Sourcing Operations /
Package Engineering
Chain
- Advanced Shipping
Notice (ASN)
Confirmations
- AES Filings
- Line-Ups
- Tally Sheets
- Supply Chain
Sourcing Operations
- Supply Chain/
Transportation
Chain
Discrepancy reports received from

customers. Used to resolve shipping
problems.
238
Transport products to customers.
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189
Building & Grounds Maintenance

Records pertaining to cleaning,
repairing and related buildings and
grounds maintenance activities. Does
not include service contracts.
188
Building Construction Files

Records of building construction
projects.
565
SUBPROCESS
5-Plant / Facility Management
Examples
Records documenting plant

maintenance.
292
Property Damage Reports

Incident reports pertaining to damage
of Division property.
OTHER INFORMATION
Comments
- Manufacturing/ Plant/
Facility Management
Engineering
*Expiration of lease.
- Approvals
- Architectural
Drawings
- Cost Estimates
- Permits
- Work Orders
Facility Management
Engineering
*Life of building ownership/lease.
Facility Management /
Facilities Engineering
*Expiration of warranty.
Building Roof Warranty
Plant Maintenance Logs
RETENTION SCHEDULE
Office of Record
- Cost Estimates
- Work Orders
Building roof warranty.

329
Manage the operation, maintenance and upgrade of company facilities.
- Electrical
Maintenance Shift
Log
- Mechanical
Maintenance Shift
Log
Facility Management
Engineering
Facility Management
Engineering
Facility Management /
Facilities Engineering
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526
Compliance Records (Not

otherwise Listed)
Records related to compliance with
regulations.
591
Compliance Records (Special

Circumstances)
Additional records related to
compliance with regulations.
498
SUBPROCESS
6-Facilities / Site EHS - Environmental
Examples
Maintain environmental requirements and relative documentation created and/or
maintained by 3M manufacturing plants or facilities.
RETENTION SCHEDULE
Office of Record
- Agency Inspection
Records
- FIFRA
- Internal Inspection
Records
- Monitoring Logs
- Pre-Start Up Safety
Records
- Superseded SPCC
Plans and Records
- Manufacturing/
Environmental
- Environmental
Operations
- Air Emission
Inventories and
Reports
- Drinking Water
Monitoring Records
- OPA Plans and
Records
- Risk Management
Plans (RMP) and
Reports
- Manufacturing/
Environmental
- Environmental
Operations
- Environmental Lab
Corporate Greenhouse Gas

Emissions Inventory
OTHER INFORMATION
Comments
(Env Agency Reporting, see #428)
(Env Correspondence, see #421)
(Env. Incident report, see #426)
(Haz. And Solid Waste Reprt, see
#425)
(Accident Incident Report, see #24)
(LO/TO Documentation, see #190)
Kept in corporate Greenhouse Gas

database.
Inventory of greenhouse gas

emissions.
468

Physics
Disposal of Source Files

Government required record of
disposal of radioactive sources.
Records of shipment to radioactive
disposal site or vendor and
confirmation of receipt.
428
Environmental Agency Reporting

Records and reports submitted for
compliance to external government
agencies, including background data.
- CERCLA - 103
Release Reporting**
- NPDES
- SARA Title III /
EPCRA Reporting
- Manufacturing/
Environmental
- Environmental
Operations
*EPCRA 302 letters have retention

designation of SU. **CERCLA - 103
Release Reporting (expiration plus 5 years).
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SUBPROCESS
RECORD CATEGORY
421
Environmental Correspondence
(Not Otherwise Listed)
Correspondence relating to
environmental matters.
426
Environmental Incident Reports

Records and reports of environmental
incidents.
284
Examples
Records of testing data of air, water

or waste.
285
Environmental Objective & Targets

Environmental objectives and targets
set yearly and tracked during the
year, as required by ISO 14001. Also
used to show successes, cost savings
and improvements.
OTHER INFORMATION
Comments
- Submitter of
Correspondence
- Facilities/ Site EHS or
EO Operations
- Environmental
Operations
Incident reports, letters of warning

and notices of violations associated
with facilities that have been closed
for over 10 years or no longer have
been owned by 3M for over 10 years
can be destroyed after consultation
with the Office of General Counsel.
- Environmental
Operations
Kept in ENPI database.
- Manufacturing/
Environmental*
* Environmental Lab when testing

originates from Env Labs.
Incident Reports
Letter of Warning
Notice of Violation
Spill Reports
Environmental Life Cycle Analysis
Environmental Monitoring / Testing
RETENTION SCHEDULE
Office of Record
- Communication to
Agencies
- Internal
Correspondence
- Trip Reports Facility
Visits by Corporate
Staff
Environmental assessment of new

program launches and identification
of waste streams that will be
generated. Used to indicate to ISO
14001 auditor that requirement has
been met.
423
- Emission Discharge
Data
- Lab Reports
- Soil Samples
- TCLP Test Results
(leachate tests)
- Waste Water Testing
NOTE: Drinking Water Monitoring

Records should be kept for 10 years rather
than the 5 years identified for other records.
- Manufacturing/
Environmental
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427
Environmental Permits / License

Active / current permits, applications
supporting the permits related to
permits and processes. Also includes
obsolete permits.
561
Environmental Training Files

Documentation of environmentalrelated training for each employee.
SUBPROCESS
Examples
RETENTION SCHEDULE
Office of Record
- Coordination / Waste - Manufacturing/

Licenses
- MACT Notifications
Environmental
and/or Applicabilities
- Environmental
- NPDES Permits
Operations
- Other Air Waste
- Division/ Labs
Permits
- Storm Water Permits
- Title V Permits
- Manufacturing/
Facilities/Site EHS
OTHER INFORMATION
Comments
Permits associated with facilities
that have been closed for over 10
years or no longer have been owned
by 3M for over 10 years can be
destroyed after consultation with the
Office of General Counsel.
(Employee Health & Safety Training

Files: Human Resources / Medical
#29).
*Asbestos Training Records are
permanent.
*All other Environmental training
records for closed plants to be
retained for 5 years after closure.
562
Environmental Training Materials

Materials prepared for use in
environmental training provided to
employees.
560
Facility Policies - Environmental

Manufacturing - Facilities
- Manufacturing/
Facilities/Site EHS
(Employee Health & Safety

Training: Human Resources /
Medical #23).
- Manufacturing/
Facilities/Site EHS
*keep most recent policy and

guideline plus prior version
guideline and standard.
Policies, standards and guidelines

pertaining to environmental matters.
425
Hazardous and Solid Waste

Records relating to the management,
recycle or treatment of hazardous and
solid wastes. Files relating to
shipment of hazardous and solid
wastes to disposal sites; executed
contracts and permits with waste
disposal firms.
- Annual Hazardous
- Manufacturing/
Waste Generator
Reports
Environmental
- Bi-Annual Hazardous
- Environmental
Waste Reports
Operations
- Remediation Files
Reverse Supply Chain
(including test data)
Services
- Routine Reports
- Waste Disposal and
Recycling Contracts
- Waste Manifests
- Waste Permits
*applies to both hazardous and solid

waste categories.
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Internal Environmental Audits

Records documenting the results of
internal audits as well as inspections.
469
License Applications / Amendments

/ Terminations
State license or nuclear regulatory
commission license applications,
amendments or termination records.
471
Nuclear Leak Testing

Periodic leak tests on devices
containing radioactive sources.
499
Waste Stream Profiles

Guidelines on how to handle, with
regulations and codes to put on the
waste drum.
SUBPROCESS
Examples
- Audit Reports
- Corrective Action
Reports
- Quality System
Reports TSCA**
- Supporting
Documentation
RETENTION SCHEDULE
Office of Record
- Environmental
Operations
- Medical/ Legal/
Division Labs
OTHER INFORMATION
Comments
*keep most recent audit plus prior
audit (2 audit cycles).
**TSCA reports - keep for one audit cycle.

Physics
- Manufacturing/
Facilities/Site EHS
Physics
- Manufacturing/
Facilities/Site EHS
Environmental
- Manufacturing/
Environmental
- RD&E/ Corporate
*directives to Labs on individual

profiles are kept SU + 10; ** kept
on WSP dbase by RSCS.
- Reverse Supply Chain

Services
Page 109 of 113
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564
SUBPROCESS
7-Facilities / Site EHS - Health & Safety
Examples
- Hazard Condition
- Human Resources/
Reporting - Agency
Medical
Investigation Reports
- Manufacturing/
- OSHA 300 Log
- OSHA Citations
Health & Safety
- Unsafe Act Reporting
- Corporate/ Safety
- WIMS Incident
Reports*
Compliance Records (Not

Otherwise Listed)
- Management of
Change
Documentation
Records related to compliance with

regulations.
570
Confined Space Entry Permits

Documentation needed for entry into
permit-required confined spaces.
30
Contractor Records
Documentation of contractors' safety
clearance, including sign-off on
company health and safety
requirements. Provides proof of
communication of these policies and
procedures.
422
Emergency Response Plans

Records of emergency response
master plan, actual plans are kept at
the facility.
32
RETENTION SCHEDULE
Office of Record
Reports and supporting

documentation pertaining to
employee on-the-job injuries as well
as to unsafe acts or conditions. Does
not include records pertaining to
worker's compensation claims.
Accident & Incident Reports
Equipment Safety Inspections

Engineer reviews of new or modified
machines to ensure worker safety,
process safety management focus.
- Certificates of
Clearance
- Demonstrations of
Contractor H&S
Requirements
- Insurance Certificate
safety or health related EHS issues for company facilities, sites and processes.
OTHER INFORMATION
Comments
*Exception: All WIMS Incident Reports
should be kept permanently rather than the
5 year period identified for other records.
- Manufacturing/
Health & Safety
See #24 (Accident & Incident

Reports)
See #21 (Third Party H&S Audits)
See #190 (LO/TO Documentation)
Refer to record category #495 for
retention requirements on Crane and
Hoist records.
- Manufacturing/
Health & Safety
- Manufacturing/
Environmental
*1 year from task completion
- Manufacturing/
Health & Safety
*Expiration of contract.
- Manufacturing/
Environmental
- Equipment Hazard
- Manufacturing/
Reviews
- Equipment Inspection Health & Safety
Reports
- Mechanical Integrity
- Pressure Vessel
Inspections
*Life of Equipment. Refer to

record category #495 for retention
requirements on Crane and Hoist
records.
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SUBPROCESS
Examples
Facilities Policies & Procedures Health & Safety

Policies, standards and guidelines
pertaining to environmental health
and safety.
31
Fire Safety Tests & Inspections

Fire drill records and results of Fire
Marshall and insurance company
inspections of pressure vessels, fire
system and other fire-safety elements.
536
- Action Plans
- Fire Drill Records
- Fire System
Inspections
Internal Health & Safety Audits

Results of internal health and safety
inspections conducted by 3M to
assess compliance with regulations
and 3M policies and standards.
25
Internal Safety Inspections

Results of all internal safety
inspections of the workplace,
excluding pre-shift inspections and
equipment safety inspections. NonPSM focus.
33
Job Analyses
Risk analyses and physical demands
assessments for each position. Risk
analyses are used to identify the
protective elements needed to remove
or reduce risk. Physical demands
assessments are used by physicians
and worker's compensation staff to
review job suitability to employee
limitations.
190
Lock Out / Tag Out Documentation

Registry of equipment that is locked
out for maintenance and repairs.
RETENTION SCHEDULE
Office of Record
OTHER INFORMATION
Comments
- Manufacturing/
Health & Safety
*keep most recent policy, standard

and guideline plus prior version.
- Manufacturing/
Health & Safety
- Division/ Labs
*If interval between tests exceeds 2 years,

keep for interval plus 1 year.
- Corporate/ Safety &

Industrial Hygiene
- Division/ Labs
*keep most recent audit plus prior audit (2

audit cycles); ** until commission
terminates each pertinent license requiring
the record.
- Manufacturing/
Health & Safety
- First-aid Supply
- Joint H&S
Committee
Inspections
- Lighting
- Machine Guarding
- Manufacturing/
Health & Safety
- Division/ Labs
- Ergonomic
Assessments
- Job Safety Analysis
- Personal Protection
Equipment
Assessments
- Physical Demands
Assessments
- Risk Analysis
- Manufacturing/
Health & Safety
- Annual Audit of
LO/TO Procedures
- Energy Isolation
Procedures
- Division/ Labs
*Final resolution of action items.

Refer to record category #495 for
retention requirements on Crane and
Hoist records.
- Manufacturing/
Facilities/Site EHS
Page 111 of 113
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SUBPROCESS
Examples
Material Safety Data Sheets
RETENTION SCHEDULE
Office of Record
- MEHS
*Life of Product; Kept in CDMS by

MEHS.
- Manufacturing/
Health & Safety
- Division/ Labs
*until Commission terminates each

pertinent license requiring the record.
Information pertaining to the safe

handling of controlled substances
(both raw materials and products).
359
Radiation Exposure Files

Supplier reports of employee
radiation exposure.
OTHER INFORMATION
Comments

Physics
470

Physics
- Manufacturing/
Health & Safety
- Division/ Labs
Radiation Exposure Reporting,

Annual
Nuclear Regulatory Commission
annual exposure report.
563
Safety and Health Correspondence

(Not Otherwise Listed)
Correspondence relating to safety
and health matters.
21
Third Party Health & Safety Audits

Results of workplace health and
safety inspections conducted by third
parties or by a government agency to
assess compliance with company
policy and/or legislation. Does not
include insurance company
inspections or internal environmental
audits/inspections.
- Communications to
Agencies
- Internal
Correspondence
- Trip Reports
* until commission terminates each

pertinent license requiring the record.
- Submitter of
Correspondence
- Facilities/ Site EHS or
EO Operations
- Action Plans
- Manufacturing/
- OSHA 18001 Reports Facilities/Site EHS/
Health & Safety
- OSHA Inspection
Reports
- Division/ Labs
- OSHA VPP Reports
*keep most recent audit plus prior

audit (2 audit cycles)

Industrial Hygiene
Page 112 of 113
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Workplace Exposure Assessments

Assessments of air quality and noise
levels. Used to monitor exposures to
toxic / hazardous substances and
noise levels.
SUBPROCESS
Examples
RETENTION SCHEDULE
Office of Record
- All Non-Radiation
- Manufacturing/
Employee Exposure
Records and Reports
Health & Safety
- Building Sampling
- Division/ Labs
Reports / Air Quality
/ Mold
Industrial Hygiene
- Indoor Air Quality
Sampling
- Medical Surveillance
- Noise Levels
OTHER INFORMATION
Comments
Data is retained in WorkCHEC by
Corporate Industrial Hygiene.
Medical Surveillance records kept
by Medical Department / Facility
Nurse.
Page 113 of 113

OUS 3M Records Retention Schedule

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OUS 3M Records Retention Schedule

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Records Retention Schedule

Effective Date: 1/30/2014

Activity / Status Records

Budget / Forecast Files Department Work Papers

*Final resolution of any action items.

Finance and Accounting retains

*Retain for 3 years if calendar is

Work papers supporting the

Records Retention Schedule

Effective Date: 1/30/2014

Contracts - Agreements (Copies)

Emergency Contacts & Procedures

- Supply Chain/ Plant

*Life of lease / equipment.

List of people/entities to contact in an

Employee Training Courses /

Equipment Maintenance Records Copiers

Expense Reports (Copies)

*Finance & Accounting retains

Records Retention Schedule

Effective Date: 1/30/2014

Inventory Records - Furniture

Meeting Files - Internal

Organization Charts - Business Unit

Overtime Records (Copies)

Records that track overtime worked

*Payroll retains official overtime

Records Retention Schedule

Effective Date: 1/30/2014

Policies & Procedures - Business

*Procedures for regulated

Records Retention Schedule

Effective Date: 1/30/2014

Policies & Procedures - Corporate

- Corporate Disclosure - Originating Department

Employee project-based information.

Project Management Tools

Purchasing Documentation (Copies)

*Human Resources retains the

*Upon completion of project / work,

*Sourcing retains official records

Records Retention Schedule

Effective Date: 1/30/2014

Association Handouts - Originating Department

Safety Awareness Information

Shipping / Courier Records

Shipping / Receiving Records

Staffing Plans, Departmental

*Facilities retains the official record under

Headcount projections for a

Time Sheets (Copies)

Copy of hourly-employee attendance

*Human Resources retains official

Records Retention Schedule

Effective Date: 1/30/2014

Training Completion Records

Some records are housed in

User / Instruction Manuals

Vacation / Absence Records

Vendor / Supplier Files

*Files are to be transferred to Human

General manuals distributed to

Work Orders (Copies)

Original work orders retained in