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POLICYANDPROCEDUREMANUAL

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.

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