Escolar Documentos
Profissional Documentos
Cultura Documentos
SOPNO:ACCTGOP00603/16
DEPARTMENT: ACCOUNTINGSUBSECTION:OPERATIONS
SUBJECT:
DOCUMENTRETENTION,ISSUEDATE:MARCH4,2016
STORAGE&DESTRUCTION
COVEREDDOCUMENTS:ThisPolicyappliestoallAtriumHospitality("Atrium")documentsandrecords,
includingemailsandotherelectronicdocuments(suchasattachmentstoemails).Forconvenience,thisPolicy
referstoalloftheseas"documents."
POLICYGOALS:ThegoalsofthisPolicyare:
ToensureAtrium'scompliancewithapplicablelawsontheretentionofdocuments,andtoavoid
inadvertentlydestroyingordiscardingdocumentswhentheymayberelevanttopossiblelitigationor
otherproceedings,orwheresuchdestructionordiscardcouldundermineAtrium'scredibility.
TopromoteconsistencyinAtrium'sapproachtodocumentretention.
TomanageAtrium'sproceduresforretaininganddisposingofdocuments,assuringthatthey
promote,anddonotinterferewith,Atrium'swork.
ToenableAtriumtodiscarddocumentsinamannerthatmaintainsprivacyandconfidentialitywhere
neitherapplicablelawnorotherconsiderationsrequirethatthedocumentsbemaintained.
RESPONSIBILITY:EachemployeeandconsultantdoingworkforAtriumshouldbegenerallyfamiliarwith
thetermsofthisPolicy.QuestionsaboutthePolicyshouldbeaddressedtotheDirectorofAudit&
Compliance,whohasoverallresponsibilityforthisPolicy.
DOCUMENTHOLDS:EvenifdocumentscouldotherwisebediscardedunderthisPolicy,nodocumentsshould
bediscardedordestroyedwhenthereispendingorovertlythreatenedlitigationorarbitrationsrelatingto
theirsubjectmatter,orotherproceedingssuchasauditsrequiringthepreservationofsuchdocuments.
Whensuchproceedingsareunderway,theAtriumHospitalityGeneralCounselwillissueaDocumentHold
specifyingthesubjectsinrelationtowhichdocumentsmustberetaineduntilfurthernotice.
Ifforanyreasonitisfeltthatadocumentshouldberetainedduetoanunforeseencircumstance,contact
AtriumHospitalityGeneralCounsel.
COMPLIANCEWITHAPPLICABLELAWS:Alldocumentsareretainedfortheperiodrequiredbyapplicable
stateandfederallawsandregulations.Atrium'spositionisthattheHotelmustretainalloriginalrecordsfora
periodatleastaslongastheapplicableStatuteofLimitations(theperiodafterwhichnoactionscanbe
brought).Wheregoverningdocumentretentionrequirementsmayconflict,Atriumhasadoptedrecord
retentionperiodsthattakeintoaccountthelongestrecordretentionperiodmandatedbylawforthese
categoriesofdocuments.
SomerecordretentionperiodsinthePolicyarenotbasedonstatutoryrequirementsbutareinsteaddesigned
toensurethatrecordsareavailableduringthetimeframewithinwhichalawsuitorotherclaimmaybe
broughtrelatingtothesubjectmatter.
DOCUMENTRETENTIONPERIODS:DocumentsshouldberetainedfortheperiodssetforthinScheduleA.On
anannualbasis,documentsthatareolderthantheretentionperiodssetforthinScheduleAshouldbe
discardedinamannerthatpreservestheprivacyandconfidentialityofthedocuments.Allconfidential
documentsordocumentscontainingsensitiveguest,company,oremployeeinformationmustbedestroyed
byoneofthefollowingmethods:
AnyboxesstoredwiththeStorageCompanywillbeautomaticallydestroyedontheindicated
DestructionDate.
Onsiteshreddingbyacertifiedshreddingservice.
Personalofficeshredder.
ONSITESTORAGE:AllonsitestoragemustbeappropriatelysecuredinaccordancewithPCICompliance
policy.Everyeffortshouldbemadetonotovercrowdstorageroomsandkeepboxesinanorderlyfashion.
Olderboxesmaybesenttoanapprovedoffsitestoragefacility.
OFFSITESTORAGE:AtriumusestheservicesofAvendraPreferredVendorsforoffsitestoragerequirements.
BeforesendinganyrecordstotheAvendraPreferredVendor,theDirectorofAccountingorassignedindividual
mustcompleteatransmittalform.Eachtransmittalformwilladequatelydescribethecontentsofwhatis
beingsenttostorage,andspecifyaDestructionDateconsistentwiththispolicy.
Boxesmustbeingoodcondition,andshouldbeBankersBoxeswithsecuredclosure.
o Recommendeditems:
OfficeDepotItem481563orsimilar
OfficeDepotItem981488orsimilar
Wheneverpossible,putonlyoneyearinabox,foreasierdeterminationofDestructionDate.
Labeltheexterioroftheboxwiththefollowingitemsinindelibleblackmarker:
o Location5letterhotelcode(TUSUP)
o Department(A/R)
o Contentofbox,andperiodoftimeofboxcontents(PaidA/RJanDec2014)
o DestructionDate(Jan1,2022)
o VendorspecificTrackingsticker
Iftheboxhasavarietyofitemsandcannotbeclearlylabeled,createacontentslistandplaceone
copyontopoftheitemsinsidetheboxandkeepacopyforyourrecords.
SCHEDULEA
ATRIUMHOSPITALITYDOCUMENTSCHEDULE
(GuidetoRetentionPeriodsatendofdocument)
TypeofDocument
RetentionPeriod
GeneralCorporateRecords
Recordsofincorporation,bylawsandamendmentsforthecorporationandsubsidiaries
P
Qualificationtodobusinessinstatesandrelatedrecords
P
Corporateseals
P
Stocktransferandstockholderrecords
P
Dividendrecords
P
Boardminutes,boardcommitteesandstockholdermeetings
P
Annualreports,quarterlyreportsandproxymaterial
P
Shareholderproxiesexceptforthoserelatedsolelytotheelectionofdirectors
P
Proxiesforelectionofdirectors
P
Acquisitionfiles
P
Allfinancingdocuments,creditagreements,loanagreements,commitments,etc.
E+7
Divestiturefiles
T+7
Cancelledstockcertificates
T+7
Legal
Requestsfordeparturefromrecordretentionplan
P
Litigationfiles
P*
Legalmemorandaandopinionssubjectmatterfiles
T+5*
Originalpurchase,saleorleaseagreements
P
Correspondence,propertydeeds,easementsanddocumentspertainingtosoldfacilities
E+7
Mortgages
E+7
Contracts
Contractsandrelatedcorrespondenceanddocuments
E+6
Licensinganddistributionagreements(includingproductionandroyaltydata)
E+7
HumanResources
Originalunionagreements
P
Recordsshowingemployeeexposuretopotentiallyhazardoussubstances
P
Employeemedicalhistory
E+7
Earningsrecords
T+7
Employeepersonnelandattendancefiles
T+7
Individualcontractsofemployment
E+4
Commissions/bonuses,incentives,awards,etc.
T+7
Safetyorinjuryfrequencyreports
T+5
Affirmativeactionprograms
T+2
EEOIandEEO2Employerinformationreports
T+1
Resumes/Applications(NotHired)
T+3
Advertisedjobopeningsandrelatedcorrespondence
T+2
Wageandsalarysurveys
Censusreportsandheadcountcomparisons
Employeehandbooks
401(K)documents
PayrollDocuments
Employeeearningsrecords
W2
Labordistributioncostrecords
Payrollregisters(grossandnet)
Unclaimedwagerecords
Employeedeductionauthorizations
Assignments,attachments,andgarnishments
Timecardsandsheets
Employeeschedules
SafetyandEnvironmentalDocuments
OSHAFiles
IncidentReports
Documentsrelatedtoasbestosstandards:
Personalorenvironmentalmonitoring
Employeemedicalexamination
Environmentalsitefilesincludinginsuranceclaims
Recordsrelatingtodisposalofhazardouswaste
Maintenancelogsandinspections
InsuranceDocuments
InsurancePolicies
CertificateIssuedonbehalfofCompany
CertificateIssuedtoCompany
GroupInsurancePlans
Auditsoradjustments
Claimsfiles(includingcorrespondence,medicalrecords,injurydocumentation,etc.)
Release/settlements
Inspections
Lossruns
Annuallosssummaries
AccountingandFinance
Annualauditedfinancialstatements
GeneralLedgers(includingjournalentriesandrelateddocuments)
ExternalAudits
InternalAudits
Monthlyfinancialstatements
Bankstatementsandreconciliations
Cancelledchecks
Employeeexpensereports
Normaltradepayables
T+4
T+4
T+2
T+6
E+7
E+7
T+7
T+7
P
E+5
E+7
T+4
T+6
T+5
P
E+30
P
P
T+10
E+6
T+3
P
E+6
E+3
P
E+4
T+10
T+10
T+10
P
P
P
T+3
T+7
T+7
T+4
T+7
T+7
Accountspayableinvoices
T+7
Accountsreceivableinvoices
T+7
Accountsreceivablecashreceiptsfiles
T+7
Annualplansandbudgets
T+2
Strategicplans
T+2
Physicalinventoryrecords
T+4
Fixedassetledgers(yearendrun)
T+7
BalanceSheetreconciliations
T+7
TaxDocuments
Taxreturns(Income,franchise,property)
P
Taxbills,receiptsandstatements
P
Taxworkpaperoriginals
P
Payrolltaxrecords
T+7
Salesandusetaxrecords
P
Excisetaxrecords
Sales&Marketing
Advertisingcopyandmarketingprograms
T+7
Salesrecords
T+7
ClientContractsandfiles
T+7
CreditRelatingtoCustomer
Applicationforcredit,approvalforms,qualificationreports
T+7
Correspondence,collection,paidfiles
T+7
ProcurementMaterialControl
Purchaseorders
T+7
Vendorfiles(requisitions,purchaseorders,quotations,correspondence)(Sevenyears)
T+4
Inventorycontrolreports
T+4
DailyHotelPaperwork
Folios
o Guestandgroupfoliosneednotbeprintedandretainedunlesstheyarebeingusedin
associationwiththeAccountsReceivableprocess,TaxExemptdocumentation,orreflectan
adjustment,allowance,orpaidoutrequiringdocumentationand/orsignatures.Thispolicy
willbeineffectaslongasthepropertyPMSautomaticallyretainsreprintablefoliobackup.
NightAuditAutoPrint
o IfthepropertyPMSretainsandarchivesallNightAuditreportsabletobereprintedatalater
date,theonlyNightAuditreportsrequiredtoprintarethosemandatedbythecorporate
StaffAccountantsandanyreportsneededinthedailycourseofbusinessforaccountingor
reconciliationpurposes.
GeneralCorrespondence(writtenorelectronic)
GeneralCorrespondenceofinconsequentialsubjectmatter
T+1
GeneralCorrespondenceofasubstantivenature
MiscellaneousHotelDocuments
Banquetchecks
T+2
Barchecks
T+2
F&BCostreport
T+2
CreditCardbackup(mustbePCICompliant)
T+1
DailyAuditPacks
T+7
Folios(RetainedinPMS)
PettyCashvouchers
T+7
Registrationcards
T+7
Restaurantchecks
T+2
FrontDeskLogs(Wakeup,Requests,Shiftlogbook,etc.)
T+1
KeyLogs
T+6
GUIDETORETENTIONPERIODS
P=Permanent
Number=Years
T=Retentionperiodbeginsthedatethedocumentwascreated
E=Retentionperiodbeginstheafterthedocumentterminates/expires
Example:T+5forincidentreports=retainfor5yearsfromthedateofcreation
Example:E+4forindividualcontractsofemployment=retainfor4yearsfromlastdayofemployment
*Indicatesthatdocument'sutilitymaybereviewedbytheGeneralCounselandsubsequentlyretainedor
discarded.