Viad Corp Records Management Policy

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1 Viad Corp Records Management Policy

2 TABLE OF CONTENTS 1. PURPOSE... 2 Definitions PROCEDURES... 3 Management of Records Retention in the Event of Dispute, Litigation, Subpoena, or Inquiry... 3 Retention and Archiving of Records... 3 Retention Schedule Disposal Procedures ANNUAL COMPLIANCE CERTIFICATION VIOLATIONS AND REPORTING VIOLATIONS... 5 Violations... 5 Reporting Violations OTHER POLICIES APPLY EXCEPTIONS TO THE POLICY... 6 RETENTION SCHEDULE... 7 SCHEDULE A... 8 Where to go for help: If you need assistance with any technical information included in this document, or your have additional questions, contact your manager or your Company s Records Management Representative. Internal Use Only Copyright Viad Corp No part of this document may be reproduced without written permission of Viad Corp. Revised 11/21/13 1

3 1. PURPOSE The primary purpose of this policy is to provide rules and guidelines which govern the systematic management of records from their creation, storage and retrieval, through their active, inactive and archival status, to their ultimate disposition in compliance with the various governmental, federal, state, provincial and local laws, statutes, rules and regulations that require companies to keep or maintain specific records for designated periods of time. This policy is applicable to employees, agents, contracted personnel and consultants, and other authorized users (collectively and individually personnel ) within Viad Corp and its subsidiaries and affiliates (collectively and individually the Company ). Compliance with this policy will help ensure that: Records which must be retained in accordance with applicable governmental federal, state, provincial and local laws and regulations are preserved for the required period of time; Records which are necessary for Company business are kept in a systematic manner so that they are accessible as required for business purposes; Records which involve pending judicial or other governmental proceedings, such as tax audits and litigation, are identified, kept as long as required for such proceedings, and are not disposed of once notice is received. In order to ensure that records needed for such proceedings are not being destroyed, a Preservation Notice or Legal Hold letter will be issued by the Law Department to those persons who may have knowledge, information or records related to the pending proceedings; Records which must be permanently retained, either pursuant to a legal or statutory requirement or in accordance with prudent business practices, are properly identified, catalogued and processed for permanent storage by the appropriate department; Records which are not required to be retained pursuant to one of the categories described above are processed for disposal; and All business information in the possession or control of personnel, as the property of the Company, and all files and records containing such information, are delivered to management upon retirement or other termination of employment or engagement. A secondary purpose of this policy is to minimize the storage and retention expense incurred by the Company by retaining only that information which the Company is required to retain. The Company invests significant resources in order to maintain current and historic business, financial and other information associated with it and its operations. Costs incurred to maintain information include the following: Costs associated with maintaining electronic information on computer systems and the electronic media used to back up such information; Costs associated with utilizing valuable floor and warehouse space for storage of active and archived records; Physical storage fees assessed by outside companies for maintaining and providing access to archived boxes of records including correspondence, financial spreadsheets, reports, microfilm, microfiche, etc.; Physical storage fees assessed by outside companies for maintaining off-site copies of electronic information for disaster recovery purposes; and Costs of internal staff required to track the physical location of active and archived records and maintain information about records currently stored off-site by outside companies. This policy supersedes all other Company policies with regard to records retention and management and should be read and applied in conjunction with the Company s Technology Use Policy. Revised 11/21/13 2

4 Definitions The following definitions are used throughout, whether capitalized or not: Law Department refers to the Viad Corp Law Department. Record is a document or electronic communication containing data or information of any kind and in any form generated or received by an organization, containing information necessary for the operation of that organization s business. Usually considered valuable enough to be retained systematically for a period of time. Records Management is the systematic control of records from creation, through active maintenance and use, inactive or semi-active storage, to final disposition or archival retention. Records Management Representative is the person responsible for assisting the Company with implementation and administration of this policy. Retention Period is the period of time a record must be retained to satisfy the administrative, legal, audit, and historical requirements of an organization. Retention Schedule is a timetable that identifies the length of time a record must be retained in active and inactive status before final disposition. 2. PROCEDURES Management of Records. All Company personnel should be aware of the importance of strict and consistent compliance with the policies, procedures and retention periods established pursuant to this policy. Record management practices must be established by each operating company and each department within each operating company to fit the needs of its business, and those practices must be reviewed systematically to assure compliance. This policy lays out specific requirements for retaining information associated with functions, application systems (general ledger, accounts receivable, payroll, etc.), or departments as opposed to the form or media the information is stored in. This policy applies to electronic documents and records as well as those documents and records contained in more traditional forms like paper, microfilm and microfiche. It is the content of the document or record that determines its retention period, not the form or format that the document or record is contained in. Retention in the Event of Dispute, Litigation, Subpoena, or Inquiry. In the event of any litigation, subpoena, regulatory inquiry, criminal proceeding or the like, Company personnel are prohibited from altering, mutilating, concealing, deleting, discarding, or destroying any information or data, including e- mails, electronic communications, records and documents, whether created or stored in hard copy or electronically, relating in any way to the litigation, subpoena, regulatory inquiry, criminal proceeding or the like. The Law Department will issue a Preservation Notice or Legal Hold letter to notify you of pending or threatened litigation or other legal proceedings or regulatory inquiries, and to advise you of your specific retention obligations. The Law Department will also notify you when deletion of such information and data is permitted. Retention and Archiving of Records. Documents and other material containing data and information that the Company is not required by law or regulation to retain and that no longer has legitimate business or administrative value must be destroyed, deleted or otherwise disposed of. Documents and other material containing data and information that have legitimate business or administrative value would Revised 11/21/13 3

5 generally include those that: provide relevant and material information on active and ongoing projects, proposals or contract management activities relating to how or why significant business decisions were made, what the intent or purpose of a business decision, transaction or relationship is, or who was involved in decision making process; directly relate to completed and closed projects, proposals or contract management activities that are known to be recurring and in which the retention of related records is considered vital to the successful renewal of the activity; relate to legal, employment or regulatory issues, disputes, concerns or matters; or have been deemed to be an exception to this policy in accordance with Section 6. Records that the Company is required to retain shall be retained and archived in accordance with this policy. All records being retained and archived must be appropriately identified (e.g. by a keyword, document type, etc.), stored in a manner to ensure the security and integrity of the record and retained for the length of time identified in the appropriate Retention Schedule, included as part of this policy. Secured physical storage capabilities will vary by operating company. Each operating company should select an appropriate secured storage area or off-site record center that satisfies its business needs. The attached Schedule A contains the procedures for archiving and retrieving records physically stored at Iron Mountain, an off-site record center used by Viad Corp. These procedures may be useful to operating companies physically storing archived records onsite. Duplicate copies of any records must be disposed of once their initial purpose has been served. Under no circumstances will any duplicate copies of records or files discussed herein be retained longer than the established record retention period stated in this policy for such category of records. Records which no longer require retention must be disposed of as provided in the Disposal Procedures herein. Retention Schedule. This policy is structured to ensure that Company records are identified, filed and retained in an appropriate location for the applicable retention period. The retention periods stated in the Retention Schedule have been established after considering both the known retention requirements issued pursuant to governmental, federal, state, provincial and/or local statutory laws, rules and regulations, and the Company's need for maintaining certain records in accordance with prudent business practices. The retention periods represent the periods of time that the specified records are required to be retained. Upon the expiration of the retention period, the subject records should be disposed of on a regularly scheduled basis in accordance with planned organizational operating procedure, unless the records continue to have legitimate business or administrative value or the Law Department has issued prior written instructions to temporarily suspend the regularly scheduled disposal of outdated records. Each operating company, and each department or division, is responsible for identifying and complying with the record retention requirements of its industry and jurisdiction. Additionally, legal requirements change over time and new requirements will periodically be put in place. As the Company becomes aware of changes or additions, each operating company affected by any such change or addition will be notified and the appropriate Retention Schedule will be updated. The personnel of the operating companies who are directly involved with various legal requirements should inform their Records Management Representative of changes of which they become aware. All retention periods in the Retention Schedule are shown in years. Consult the Legend to Retention contained in the Retention Schedule for explanations of retention codes. The retention period of all records that have a specific time when they are considered completed, obsolete, or settled, begins after that time is reached. For example, the retention period for personnel records is calculated after the employee's termination or separation from the Company. The retention period for all other records begins after the current year has expired. The retention period for records on owned property (such as real estate, personal property, stock in other entities and any other fixed or intangible asset) does not begin to run until after the property has been sold or disposed of. Revised 11/21/13 4

6 Information stored on any form of media other than paper shall be retained in native format to the extent possible for the same period of time as is required for paper. This applies to data stored on microfilm or microfiche, system servers, floppy disks, compact disks, DVDs, magnetic disks, magnetic tapes or any other form of electronic media. THE RETENTION SCHEDULE HAS BEEN DEVELOPED BASED ON THE SPECIFIC AND SPECIALIZED LEGAL AND/OR OPERATIONAL REQUIREMENTS APPLICABLE TO EACH DEPARTMENT AND ON AN ANALYSIS OF THE ACTUAL USE OF THE RECORDS. THE SAME RECORD MAY HAVE VARIOUS NAMES AND/OR BE USED DIFFERENTLY WITHIN DIFFERENT OPERATING COMPANIES. THE RETENTION OF THAT RECORD MAY THEREFORE BE DIFFERENT. QUESTIONS OR PROBLEMS SHOULD BE DIRECTED TO THE COMPANY S RECORDS MANAGEMENT REPRESENTATIVE(S). Disposal Procedures. The department/division head, General Manager and/or designated individual with responsibility for supervising the administration of this policy shall conduct the routine disposal of records for which the designated retention period has expired. The only exception to this general rule is in situations where the Law Department has issued prior written notice to temporarily suspend the regularly scheduled disposal of certain records. The Law Department will issue written instructions as to when regular disposal of identified records may resume. Methods of acceptable disposal include: The use of paper shredding machines or similar equipment; The use of paper recycling plants or centers; The deletion of an electronic record from the system server or other approved storage location; The destruction of the medium containing an electronic record; and Burning in closed incinerators by a licensed third-party provider. Paper records, files or other tangible media should not be burned in open bonfires or disposed of in landfills or unregulated dumping grounds. 3. ANNUAL COMPLIANCE CERTIFICATION Compliance certifications are completed annually through the Always Honest Compliance & Ethics Training Center. Prior to and in preparation of completing the annual compliance certification, all Company personnel are required to read this policy and the Technology Use Policy, and comply with their respective requirements. The Chief Compliance Officer will periodically report to the Viad Corp Audit Committee regarding this policy and the compliance status of Viad and the operating companies. 4. VIOLATIONS AND REPORTING VIOLATIONS Violations. Violations of this policy will be taken seriously and may result in disciplinary action, including termination of employment, cancellation of contract, and/or civil and criminal liability. Reporting Violations. Users who become aware of anyone retaining or destroying records in violation of Company policy are required to report the incident immediately. Failure to report improper activities may result in disciplinary action, including termination of employment or cancellation of contract, and/or civil or criminal liability. You may inform your manager, your Records Management Representative(s), the Company s Compliance Officer, an executive officer, Human Resources, or the Law Department. You may also use the confidential Always Honest Hotline for your area (toll free in the U.S. at ) to report any violations. Revised 11/21/13 5

7 5. OTHER POLICIES APPLY All existing Company policies apply to employees and other personnel s conduct in connection with records management, including but not limited to, Company policies regarding intellectual property, insider trading, misuse of Company property, discrimination, harassment, sexual harassment, information and data security, and confidentiality, including with specificity the following: Company s Code of Ethics Company s Always Honest Compliance & Ethics Policy and Manual Company s Corporate Policy Manual Company s Technology Use Policy Company s Security Policies Information Technology policies posted on the Company s intranet and/or in the Information Technology Standards Manual Amendments and Revisions. This policy and any other Company policy may be amended or revised from time to time as need arises, as authorized by the President and Chief Executive Officer of Viad following recommendation by the Records Committee. The Retention Schedule may be amended or revised from time to time as need arises by the Records Committee. Updates will be posted to the Viad intranet and the Company s intranet. 6. EXCEPTIONS TO THE POLICY Written exceptions to this policy may be granted when there is a legitimate ongoing business or administrative need to retain the record or when there is a regulatory or legal requirement or obligation to do so. Any and all requests for exceptions to this policy must be in writing, signed by the President and Chief Executive Officer of the operating company, or a Vice President of Viad, and submitted to Viad Corp s Records Committee. Your manager can process an exception request on your behalf in coordination with the Company s Records Management Representative and the Law Department. Exception requests considered by the Records Committee will be submitted to the Chief Compliance Officer for approval or denial as recommended by the Records Committee. Notice of approved or denied exception requests will be returned to you with a copy to the Company s Records Management Representative and the Law Department. Revised 11/21/13 6

8 RETENTION SCHEDULE Please see the MSExcel spreadsheet titled Retention Schedule.xls available on the Viad intranet and the Company s intranet. There are separate Retention Schedules for each major country the Company has operations in. The Retention Schedule is divided into several separate worksheets, and is fully sortable and searchable. The Retention Schedule is subject to revision and amendment from time to time. Updates will be posted to the Viad intranet and the Company s intranet. Revised 11/21/13 7

9 SCHEDULE A Procedures for Iron Mountain Record Center Schedule A contains the current procedures to archive, retrieve and destroy records using Iron Mountain as an off-site record center. Iron Mountain may revise its general procedures at any time and should provide notice of those changes to their clients, like Viad Corp. The most current procedures for Iron Mountain should be followed to archive, retrieve and destroy records whether those procedures are reflected in this Schedule A or not. Transfer To Archives The Iron Mountain, or the Archives, is intended only for long-term storage of Company records which are no longer active but which must be retained in accordance with the Company s Records Management Policy. Each Department Manager must determine which records are to be archived and for what time period. In order to maintain an inventory of records transferred to long-term storage, an Archive Records Transfer Sheet must be prepared. In addition to the Transfer Sheet, the box must be properly labeled. Records which are to be transferred to Archives will be prepared in the following manner: 1. The records must be packed in the standard 12" x 10" x 15" archive box. Cancelled checks are to be packed in standard check containers. It is imperative that all files be purged of Non- Essential Records before archiving. 2. Archive boxes must not be overpacked or underpacked. When the records in a box are manually compressed, there should be a minimum of two-inch clearance between the records and the end of the container. 3. All material in a box must have the same review or destruction date. Do Not include records with different review or destruction dates in the same box. The archive box must contain a label with bar code number (bar code labels are provided by Iron Mountain) and must contain the following information: 1. Company/Subsidiary and department name; 2. Document Type and/or Keyword; 2. Brief description of records; 3. Date of records; and 4. Destruction or review date. The Long Description section can be used for a more detailed description of the records. Have your Department Manager sign and date the printed Transfer form once completed. The Department Manager is to sign all Archive Records Transfer forms as assurance that only those records the Company is required to retain are being archived. Adhere the large bar code box number label to the box label and the smaller label with the same number to the Archive Records Transfer sheet. Make one copy of the Transfer Sheet. Keep the original for your files and place one copy inside the box to be transferred. After completion, the large box label with bar code number is affixed to the box beneath the handle. The following entries are made through Iron Mountain s website: Revised 11/21/13 8

10 1. Customer Box Number (barcode number). 2. Department ID Code (i.e, 1200, 2500, etc.). 3. Major Description (document type / keyword). 4. Minor Description (continuation of document type / keyword or other specific description). 5. Alpha to (initials of responsible party). 6. From Date / To Date (beginning and ending dates of records). 7. Long Description (specific, detailed description of records). When the label and Archive Records Transfer form have been completed and information entered online, pick up of the boxes may be arranged by contacting Iron Mountain. In addition to adding new archives, the Iron Mountain online service can be used to monitor all archiving activity, e.g. inventory research, archive retrieval, destruction due dates, etc. Retrieval From Archives Records at Iron Mountain can be retrieved by electronic request using Iron Mountain s website. Records requested prior to 3:00 p.m. will be delivered by the next business day. Requests made after 3:00 p.m. will be delivered on the 2nd business day after the request. To return records, contact Iron Mountain. Records Review Twice a year (as determined by the Records Committee), a complete report of each department s Archive Records is sent to the respective Department Managers. The Department Manager or his/her designee should consult with the person responsible for the records subject to review to either destroy or assign a future review date. The future review date information can be updated electronically using the Iron Mountain website. The report will also reflect any delinquent records past their stated review period. A request to dispose of or destroy records must be sent to Iron Mountain. A Preliminary Destruction List will be generated to show all archive records marked for destruction. A report will be sent back for final review. The form must be reviewed and approved by an authorized Department Manager and returned. Once destruction has been completed, a final destruction letter will be sent to the Department Manager. Keep this letter for your files. Partial disposal of records is not encouraged. Merging of partial boxes to a new container should reflect the previous box number on the revised Archive Records Transfer Sheet. A request should be made to permanently remove the old archive box to prevent future storage fees. Copies of the revised Transfer Sheet should be kept on file in your department. Questions concerning merger or partial disposal of records or the Archive procedures should be directed to your Department Manager or the Records Management Representative. Revised 11/21/13 9

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