Blank Caat

8/17/2019 Blank Caat

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CAATCreation Date: 28 Apr 2016 03:04 PM

Modified Date: 11 May 2016 05:35 AM

Location Name: Form Date: Manager(s):

Auditor:

CASH HANDLINGCASH1 Perform Unscheduled Surprise Cash Counts of all house funds on the property on the first day of the audit. Compliant Not

CompliantDid

NotTest

Question Policy

Immediate- Current- Count all cash on property immediately.

CASH2 Verify that each bank is supported with a House Bank Contract signed by the associate. The House BankContract should denote the specific bank number and amount issued.

Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Current -Current- Compare Cash Counts to Bank Contracts

CASH3 Verify that actual House Funds total ties to the General Ledger House Funds. Total Ties TotalDoes NotTie

Did Not

Test

Question Policy

Current-Current- Compare total cash count to GL account 1000000

CASH4 Verify that the complete combination to the Main Vault is only known by the General Cashier, or person actingas such.


Did

Not

Test

Question Policy

Current- Current- Survey Staff / Check last month's MPA for answer

CASH5 Is Property on Armored Car Service? Yes No DidNot

Test

N/A

CASH5a Ensure Armored Car log is complete and documented properly and that no pickups have been missed. Compliant NotCompliant

N/A

1 35/12/2016 2:45:20 PM Proprietary and Confidential


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Question Policy

Current- 5 Days- View Armored Car Log. Ensure there is a deposit listed for each day with no

gaps. Ensure Armored Car Log is complete with dates, amounts, and all appropriate

signatures for logging deposits and picking up.

CASH5b Ensure that a complete and correct bank deposit is made every day, Monday through Friday, excludingholidays.


Did

Not

Test

N/A

Question Policy

Current- 5 Days- Ensure there is a deposit listed for each day with no gaps. This may be a

manual deposit or through a SmartVantage Safe.

CASH5.5 Is the property using a SafeVantage Safe? Yes No Did NotTest

CASH5.5a Are all SafeVantage po licies and procedures be ing followed as per SafeVantage SOPs? Compliant Not Compliant

CASH6 Ensure that a separate bank deposit is prepared for each business day. Compliant Not

Compliant

Did

NotTest

N/A

Question Policy

Prior Month- 5 Days- Deposit slips. Ensure no dates are combined. Only exception is a day

with a negative deposit/due back.

CASH7 Ensure that all deposits are reflected on the Drop/Deposit Log, along with the cashier's initials and those of awitness, time & date, for each drop and includes the date, time and signature of the person removing thedeposits, as well as a witness.


Did

Not

Test

N/A

Question Policy

Prior Month -5 Days-View deposit log backup in Audit Packs. Must be complete with all itemsfilled out. For SafeVantage properties, a log should be printed of all deposits and grand total,

as well as backup from any Check Deposits from the scanner.

CASH8 Determine when the last deposit was picked up by the armored car service or deposited, and verify thatdeposits not yet picked up/not deposited are on hand.

Compliant NonCompliant

Did

Not

Test

N/A

Question Policy

Current- Current-View Armored Car Log. Ensure any deposits not yet picked up are fully

prepared and in the safe. Only deposits for business dates since the last pickup should beon hand. All others should be already picked up. If not on Armored Car, all deposits should

be at the bank except prior day, or Friday/ Saturday/ Sunday if on a Monday.



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CASH9 Determine that all deposits listed as in transit on prior month bank reconciliation cleared the bank during thefirst week of the next month.


DidNot

Test

N/A

Question Policy

Prior Month- All Deposits in Transit-View Bank Rec from prior month and acquire bank

statement from Staff Accountant MTD to ensure all deposits hit.

CASH10 Ensure that over/short variances are addressed and that proper documentation is placed in the personnel fileand signed by the associate. Compliant Not

CompliantDid

Not

Test

N/A

Question Policy

Prior Month-5 Days-View Over/Short recorded for the prior month in M3. If there any amounts

requiring documentation, ask for copy of documentation.

CASH11 Ensure that deposit over/short variances match the Daily Report/Income Journal. Compliant NotCompliant

Did

Not

Test

N/A

Question PolicyPrior Month -5 Days-View Over/Short recorded in Income Journal/M3 for the prior month.

Compare to actual over/short in audit pack and PMS.

CASH12 Ensure that Change Orders are handled properly and according to policy. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Current -Current-Ask for copies of last 3 change order documents and show that deposits

were made to offset. Deposits should be made prior to, or immediately after change order

was received.

CASH13 Randomly select Petty Cash Batch Reports to review a sample of checks paid to reimburse Petty Cash.Ensure that each item is approved by Department Head and supported with the appropriate documentation.


Did

NotTest

N/A

Question Policy

Prior Month- 2 Petty Cash Batches-Review Petty Cash Batch documentation. Ensure that

department head approved each item and that there is proper documentation with valid

receipt and petty cash slip for each item. Recommend receipts are marked void to prevent

re-use.

CASH14 Verify no petty cash purchase exceeds $250.00. Compliant NotCompliant

Did

Not

Test

N/A



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ACCOUNTS RECEIVABLEAR19 Did the property have any Bad Debt Write Offs? Yes No Did Not Test

AR19a Determine that Bad Debt Write Offs are recorded on the approved Write-Off Request form. Verify thatwrite-offs are supported by proper documentation, and that written approvals have been obtained whererequired.


Did Not

Test

Question Policy

Prior Month -5 / As Selected-Review GL from prior month and choose 5 amounts in the Bad

Debt GL Code 7073700000. Request all backup on items. Any items over $2500 should have

an approved form signed by VPO, etc.

AR20 All direct-billed guest ledger and house account ba lances are checked out to city ledger and b illedwithin 3 business days of check-out or event conclusion, except for those occurring on holidays andweekends. (Alternative billing terms described in a properly approved contract supersede thisrequirement. In no case can any direct bill account go more than one month without being billed).


Did NotTest

N/A

Question Policy

Current -5 / As Selected-Choose 5 AR accounts to select invoices. Have Accounting prove

that the folios were checked out within 3 days or as policy/contract dictates.

AR21 Ensure that all direct billing invoices have appropriate support documentation attached and areproperly aged.

Compliant Not

Compliant

Did Not

Test

N/A

Question Policy

Current -5 / As Selected-Choose 5 accounts to select invoices. Have accounting prove that all

backup is present, including any folios, vouchers, statements, etc. and verify that the aging as

shown on the Aging Report is appropriate and matches the aging on the original invoice/folio.

AR22 Does the Property have any accounts over 60 days past due? Yes No

AR22a Verify that appropriate collection efforts are being made on any accounts over 60 days past due. Compliant NotCompliant

Did Not

Test

N/A

Question Policy

Current- 5 / As Selected-View AR Call Sheets, interview staff.

AR23 Does the Property have any accounts that are over 90 days past due? Yes No



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AR23a Verify that appropriate collection efforts are being made on accounts over 90 days and documented ona Call Sheet.


Did NotTest

N/A

Question Policy

Current -5 / As Selected-View AR Call Sheets, interview staff.

AR24 All direct bill clients must have properly approved Direct Bill Cred it Applications on file. Compliant NotCompliant

Did Not

Test

N/A

Question Policy

Current- 5 / As Selected-Select 5 AR Accounts and request completed, approved DB apps.

Must have GM or DOA signature as approved.

AR25 Ensure all active direct bill client applications are current. For credit applications to be consideredcurrent, they must be updated every 12 months.


Did Not

Test

N/A

Question Policy

Current -5 / As Selected- Select 5 AR Accounts and request completed, approved DB apps.

Must be current.

AR26 Ensure that active direct bill client credit applications have had bank and hotel references checked bythe Credit Exchange and are properly documented. Reference checks should be updated upon eachrenewal unless an exception has been granted.


Did Not

Test

N/A

Question Policy

Current- 5 / As Selected- Select 5 AR Accounts and request completed, approved DB apps.

Must have references checked by Credit Exchange. Only exception is apps approved prior to

Atrium transition.

AR27 Ensure all active direct bill client applications have an established credit limit approved by theGM/DOA.


Did Not

Test

N/A

Question Policy

Current- 5 / As Selected-Review AR Aging - all should have a credit limit in the system. Also,

Select 5 AR Accounts and request completed, approved DB apps - should be written on the

application along with signature for approval.

AR28 Verify that no unauthorized Direct Bill accounts exist with a balance. Compliant NotCompliant

Did Not

Test

N/A

Question Policy

Current -Current-Review Aging Summary. Look for accounts for employees, people's names,

or anything that does not look like a legitimate company name. Gift Certificates should be in

Balance Sheet, not AR.



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AR29 Ensure ROCI is completed and that each transaction has a copy of the credit posting showing thecredit card that was credited.


Did Not

Test

N/A

Question Policy

Prior Month -10 / As Selected-View ROCI, request backup on 10 transactions. ASK FOR ROCI

FILE. Should be readily available in a file. They should not have to pull the folios. Must have

folio with credit showing last 4 of cc.

AR30 Ensure each ROCI transaction has a photocopy showing the original charge to the credit card that wascredited.


Did Not

Test

N/A

Question Policy

Prior Month- 10 / As Selected-View ROCI, request backup on 10 transactions. Should be

readily available in a file. Must have folio with original charge showing last 4 of cc matching

credit cc.

AR31 Ensure that each ROCI transaction was approved by the Director of Accounting or General Manager.

Transactions posted by the Director of Accounting must be approved by the General Manager, bysignature on the final, full ROCI for the month.


Did Not

Test

N/A

Question Policy

Prior Month- Full Log-View final prior month's ROCI for signature of GM.

AR32 Determine that Retrieval Requests/Chargebacks are resolved within the required time frame. Ensurethat all chargebacks have proper supporting documentation including timely submission of theresponse.


Did Not

Test

N/A

Question Policy

Current File- 5 Chargeback/Retrieval Requests-View Chargeback files. Review 5 to make

sure that documentation is attached with proof of response via fax or email, properly datedprior to expiration date.

AR33 Ensure Chargebacks are properly posted in the PMS. Compliant NotCompliant

Did NotTest

N/A

Question Policy

Current File- 5 Chargebacks -View Chargeback files. Select 5 and have DOA prove posting in

PMS.

AR34 Verify that the Aging Summary Report is completed by the 5th day of the month for all accounts withbalances aged 60 days or more, to ensure that all recorded receivables have been evaluated andremain collectible. Verify that the Summary Report agrees with the aged receivables total.


Did Not

Test

N/A

Question Policy

Current -Current Report-View monthly recap of AR Summary reports received. Verify that it ties



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to the corresponding dated Aging report. Interview staff to verify that all items are collectible.

AR35 Verify that accounts receivable adjustments and overpayments/refunds are properly applied and areprocessed prior to the close of the period the transaction occurred in.


Did Not

Test

N/A

Question Policy

Prior Month -Full Month- -View Aging Report. No credits should be present. Have DOA explain

any credits/overpayments and prove them out. What are they doing with the balance?

AR36 Verify that A/R Payments are being properly applied. Compliant NotCompliant

Did Not

Test

N/A

Question Policy

3 Month Prior Open Balances- 3 / As Selected - View current Aging Report Detail, as well as

from EOM 3 months prior. Choose a paid balance on 3 accounts. Have DOA prove payment

was posted and applied accurately by showing copy of check and stub.

AR37 Ensure that the amounts on the PMS Ledger Balance report for the last day of the month agree to theGL Ledger Balance totals for the most recent End of Month. (G/L 2000005, C/L 2000010, A/D20000010)

AllLedgers

Balance

NoLedgersBalance

1 Ledger Balances

2LedgersBalance

Did

Not

Test

Question Policy

Prior Month -Last Day of Month- View last EOM trial balance report from PMS. View GL

balances in M3. Compare for accuracy. (G/L 2000005, C/L 2000010, A/D 20000010)

AR38 Ensure that a Credit Meeting is in place, occurring at least once per month, and minutes are retained. Compliant NotCompliant

Did Not

Test

N/A

Question Policy

Current-Current -Request last credit meeting minutes.

AR39 Determine that the PMS Credit Limit Report is reviewed, initialed, and dated daily by the GM & Director of Accounting. Ensure that issues are immediately addressed on Method of Payment, on all GuestLedgers and Group/Banquet Master Accounts.


Did Not

Test

N/A

Question Policy

Prior Week -5 Days - Review 5 audit packs to ensure the Credit Limit Report is being

reviewed, initialed and retained, ensure follow up occurs.

Comments:



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ACCOUNTS PAYABLEAP40 Verify that Manager's Check over $1,000.00 are issued only with VP Finance approval. Compliant Not

CompliantDid

Not

Test

N/A

Question Policy

Prior Month -One Week -Review 1 week of Managers Checks for dollar value of checks. (If 1

week is less than 5 checks, select a second week also)

AP41 Verify that Managers Checks are written only for valid purchases, and are filled out in their entirety (No blank, "cash",or auto-fill).

Compliant Not

Compliant

Did

NotTest

N/A

Question Policy

Prior Month -One Week - Review 1 week of Managers Checks for validity of approved uses

and ensure checks are written in full. Watch for signatures in a different ink/hand writing.

AP42 Ensure that Managers Checks are sent to Atrium Corporate on a daily basis (or as written) with proper documentation and vendor setup information if applicable.


Did

Not

Test

N/A

Question Policy

Prior Month -One Week - Review 1 weeks of Managers Checks - have DOA prove when sentto Staff Accountant by providing copies of emails.

AP43 Review vendor list for validity of vendor names and companies. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Current -Current - Review Vendor list. Ensure there are no employees, people's names, or

companies that do not appear legitimate. Also look for any vendors with duplicate/same

addresses.

AP44 Verify that Expense Reports are properly approved, supported, and include only bona fide business expenses. Compliant NotCompliant

Did

Not

Test

N/A



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Question Policy

Prior Month -5 Expense Reports- - Review 5 Expense Reports for validity. All receipts

attached, notations made when necessary, no expenses over limits. Meals for more than one

person should include the names of guests in attendance.

AP45 Determine that Accounts Payable Invoices and Managers Checks are correctly and appropriately coded. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Prior Month- 10 Invoices & 5 Mgrs Checks / As Selected- -Review 10 Invoices and 5

Managers Checks for coding reasonableness.

AP46 Verify that Accounts Payable batches are processed and sent to the Corporate Office no less than two times per week.


DidNot

Test

N/A

Question Policy

Prior Month-One Week-

AP47 Verify that all purchase orders are approved by the General Manager. Compliant NotCompliant

Did

NotTest

N/A

Question Policy

Prior Month -One Week Verify routing in BirchStreet. Have DOA prove routing by providing

screenshots or walk through of process.

AP48 Verify that purchase orders are completed prior to the purchase or ordering of any goods or services. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Prior Month-10 Invoices/ As Selected - Choose 10 invoices. Have property provide evidence of

completed, approved PO dated prior to order being placed. Must have been approved by final

approver prior to ordering.

AP49 Ensure that purchase orders are tracked and logged upon issuance and closed upon invoice receipt. PO's shouldbe appropriately handled when (a) rolled over to the following period or (b) partially cancelled through subsequent

unavailability of product.


Did

Not

Test

N/A

Question Policy

Prior Month -Open PO Log-



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AP50 Ensure that purchase orders are matched to the invoice for quantity and price and when applicable to bills of ladenand packing slips. (10% variance allowed). Any variance should be explained.


DidNot

Test

N/A

Question Policy

Prior Month -10 Invoices / As Selected-

AP51 Ensure that open purchase orders are reviewed at month end to confirm that items are properly accrued for anygoods delivered or services performed for a particular month. Accruals should be supported with a copy of the

purchase order or open PO register from E-Procurement system.


Did

Not

Test

N/A

Question Policy

Prior Month-Open PO/Accrual List - Have property provide prior month BirchStreet Open PO

list. Verify that accruals were done in M3 if products were received.

AP52 Verify award/loyalty point purchases and guest satisfaction resolutions charged on franchise statements arereviewed and approved by the General Manager or DOA. Review recent month franchise statements/invoices.


Did

Not

Test

N/A

Question Policy

Current- Current - Review most recent franchise invoice for loyalty points. Compare to list of current employees. Interview staff - does GM review/approve this invoice?

Comments:

TAXESTAX53 Determine that Use Tax is properly accrued on invoices. Compliant Not

CompliantDid

Not

Test

N/A

Question Policy

Prior Month -10 Invoices/As Selected- Review 10 invoices that should have Use Tax accrued.

Verify that Use Tax was accrued properly.

TAX54 Verify that any consumed items with no original Sales or Use tax charged have been tracked and Use Tax accrued. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Prior Month -10 Invoices/As Selected - Review EOM Food Cost Credits to ensure Use Tax is



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accrued. If property is using new F&B Inventory sheets, should be automatic.

TAX55 Verify that Sales Tax Exemption reports are prepared each month. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Prior Month -Full Report - Ensure prior month's Tax Exempt report was completed. Can be

spreadsheet or ProfitSage.

TAX56 Verify that the Exemption reports are properly supported with folios. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Prior Month -Full Report -Review prior month's Tax Exempt report. Choose 5 and ask for

backup. Look for folio.

TAX57 Verify that the reports are properly supported with valid tax exemption certificates or contracts. Compliant NotCompliant

DidNot

Test

N/A

Question Policy

Prior Month -Full Report -Review prior month's Tax Exempt report. Choose 5 and ask for

backup. Look for tax exempt certificate copy or contract proving exemption.

TAX58 Verify that Miscellaneous Revenues (Misc, Gift Shop, Bottled Water, Dry Cleaning, etc.) have appropriate SalesTax charged on goods and that any Store Rental tax is accounted for.


Did

Not

Test

N/A

Question Policy

Prior Month -One Week - Ask property for matrix of their tax rates and audit for accuracy. For 5

days, review postings in PMS for Misc, Gift Shop, etc. Ensure tax is posted or backed out

appropriately on Income Journal. If property has Store Rent, ensure monthly Store Rent has

same process.

Comments:



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END OF MONTH REPORTINGEOM59 Ensure that the Monthly Program Assertion Form is completed for each End of Month. Yes No Did

NotTest

Question Policy

Prior Month- Full Report - Review tracking form for receipt of last MPA.

EOM59a Based on Audit Findings, is the MPA Accurate? Yes No DidNot

Test

Question Policy

Is the MPA Accurate?

EOM60 Verify that all End of Month documentation and Monthly reporting is completed accurately and received by Corporate Office bydue dates. (5 Being Most Accurate)

Question Policy

Prior Month- All Reporting - Interview Staff Accountant for accuracy and timeliness of EOMreports as well as timeliness of receipt of AR Summary & MPA with Financial Analyst.

Comments:

REVENUEREV61 Ensure that all rooms adjustments and allowances are routed for signatures with the Daily Review Cover

Sheet and F&B routed with the F&B Adjustment Daily Sheet. Compliant Not

CompliantDid

Not

Test

N/A

Question Policy

Prior Week- 5 Days - Review 5 Audit Packs. Ensure all adjustments are routed daily for

signatures for rooms and F&B adjustments.

REV62 Determine that all adjustments & allowances are properly supported and are included in the Audit Pack. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy



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Prior Week- 5 Days - Review 5 Audit Packs. Ensure all adjustments are routed daily for

signatures for rooms and F&B adjustments. Ensure all backup is present.

REV63 Ensure that the PMS Room Rate Variance/Rate Check Report is being reviewed and signed by the GeneralManager on a daily basis and retained in the Audit Pack.


Did

Not

Test

N/A

Question Policy

Prior Week-5 Days - Review 5 Audit Packs. Ensure Room Rate Variance/Rate Check Reporthas been routed to and signed by GM.

REV64 Verify that Comp Rooms are properly logged and approved, by either the GM or Director of Sales. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Prior Week -5 Days - Review 5 Audit Packs for comp rooms logs. Ensure they were routed

and approved by GM or DOS.

REV65 Verify that all Comp Rooms are properly recorded to the correct Market Segment. Comps provided for TradeOuts, Promotions, or Group Contracts should be coded to the appropriate Market Segment and not codedto Comp.


Did

Not

Test

N/A

Question Policy

Prior Week- 5 Days - With staff - have them look up 5 of the comps listed on the reports.

Review Market Segments for appropriateness based on the nature of the comp.

REV66 Ensure the hotel is processing No Show Billing properly on a daily basis. Compliant Not

Compliant

Did

NotTest

N/A

Question Policy

Prior Month -5 Days - Have Front Desk run NoShow report for 5 days from prior month. Have

them show you 5 reservations to ensure they were charged or legitimate reason for no

charge.

REV67 Does the Property have any Trade Outs? (Active or Completed) Yes No Did NotTest

REV67a Confirm each trade out is recorded on a Trade Out Agreement form, signed by a vendor representative and

the hotel General Manager, and approved in writing or electronically by VP Hotel Operations prior to thetrade out occurrence. Expiration dates should be noted and monitored. TOAs cannot extend for a periodlonger than one year.


Did Not

Test

Question Policy

Current-Current - Review Trade Out file for approved Trade Outs. Interview Staff regarding any

open Trade Outs.



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REV68 Confirm a separate house or city ledger account was set up for each Trade Out program. Compliant NotCompliant

Did Not

Test

Question Policy

Current- Current - Select 5 Trade Outs. Have staff pull accounts.

REV69 If any coupons, certificates, or vouchers are received by the hotel or issued under a TOA, these are cashequivalents and must be controlled and tracked (secured, logged) properly. Secured means physicallysecured in the main safe and logged means logged on an excel file with pertinent information such asvendor name, reference to TOA, value, date issued, date redeemed, and who redeemed (if an associateredeems a vendor coupon, payroll representative should be notified for tax purposes).


Did

Not

Test

N/A -

None

Received

Question Policy

Current -Current- Interview staff. Were any certificates, etc. received? If so, Where are

certificates?

REV70 Verify that the Daily Revenue Report/Income Journal is entered no later than 10am local time the followingday, or 5pm Monday for the previous Friday, Saturday, and Sunday.


Did

Not

Test

N/A

Question Policy

Prior Week- 5 Days - Select 5 days. Verify timestamp of upload/ posting in M3.

REV71 Verify that Franchise "free night" reporting and reimbursement procedure is correct for standardreimbursement and for high occupancy. Verify that the reimbursement check was posted properly andcoded to Discount Transient revenue.


Did

Not

Test

N/A

Question Policy

Current- Current -Review Franchise Free Night A/R Account. Interview staff on procedure.

Nothing should be over 60 days.

REV72 Review Gift Certificate Logs to ensure policies are followed regarding issuance, redemption, and localescheat laws.


Did

Not

Test

N/A

Question Policy

Current -Current - Research local escheat laws. Review Gift Certificate Log for compliance.

Ensure Gift Certificates are not posted in AR. Should be on Balance Sheet.

Comments:



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SALES & CATERINGS-C73 Ensure that every banquet event has a Catering Contract or BEO Contract (for function only or pop-up) on standard

form documenting the agreement and payment terms and incorporating contractual language fully describing therights and responsibilities of the Customer and the Hotel signed by both Hotel Management and the guest.


Did

Not

Test

N/A

Question Policy

Current- 10 Days -Review 10 days of Banquet Events. Select 5 to view Catering Contract or

BEO Contract. Must be signed.

S-C74 Ensure that every banquet event has a Banquet Event Order signed by the customer and hotel. Compliant Not

Compliant

Did

NotTest

N/A

Question Policy

Current-Prior 10 Days- Review 10 days of Banquet Events. Select 5 to view BEO signed by

customer and hotel.

S-C75 Ensure that every banquet event has a Banquet Check documenting the actual F&B consumption that iscompleted by a hotel associate and signed by the customer. Verify that the Banquet checks reconcile to theBanquet Daily Recap.


Did

Not

Test

N/A

Question Policy

Current- Prior 10 Days - Review 10 days of Banquet Events. Select 5 to view Banquet Checksdocumenting actual consumption. View Daily Banquet Recaps for those days and ensure

banquet checks reconcile.

S-C76 Any non-direct billed banquet or meeting functions must have a val id method of payment before the functionbegins, prior to issuance of any room keys.


Did

Not

Test

N/A

Question Policy

Current -Prior 10 Days -Select 5 prior banquet functions. Have staff prove that payment was

received prior to event start. If cc- must have been approved.

S-C77 Does Property have over 1000 square feet of meeting space? Yes No

S-C77a For properties with over 1000sq.ft. of meeting space, ensure that a documented BEO Meeting is occurring noless than 3 times per week.


Did

Not

Test



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Question Policy

Current -Most Recent - Request most current 3 BEO meeting minutes or view schedule for

upcoming week's meetings.

S-C78 Ensure that every group for the next 10 days has a Group Resume on file that has been distributed. Compliant NotCompliant

Did

Not

Test

N/A

Question PolicyCurrent- 10 Days - View groups for next 10 days - request Group Resumes for 5

S-C79 Ensure that the property is charging attrition where applicable. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Prior Month- Full Month- Interview Staff. Review GL account for Attrition 24350000.

S-C80 Verify that netted revenue is correct as per policy. Compliant NotCompliant

DidNot

Test

N/A

Question Policy

Current- Current - Review 10 bookings, look at contract. Sit with DOS and have them prove

out and verify netted revenue in sales system. Netted revenue should be at attrition point or

80% of revenue except for Government (50%) and Courtesy Blocks (10%). For Catering

should be at F&B minimum.

S-C81 Is the Property a Marriott? Yes No

S-C81a Ensure the CI/TY costs are up to date. Compliant NotCompliant

Did

Not

Test

Question Policy

Current -Current - On the Admin Screen, look up costs and see when they were updated last.

Should be within 12 months.

S-C82 Ensure that only current employees have access to Franchise and Third Party Vendor Systems. Compliant Not

Compliant

Did

NotTest

N/A

Question Policy

Current- Current - Request list of users with current access for Franchise system and any

Third Party Vendor Systems.



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Comments:

PAYROLLPAY83 Verify that Department Heads are signing off on their department on a Departmental Payroll Summary Report or

electronically to ensure all departmental payroll is accurate. Compliant Not

CompliantDid

Not

Test

N/A

Question Policy

Current- 2 Payperiods - View 2 Payroll Summary Reports or equivalent for signatures by

Department Heads. Managers should be signing off on all of their department's time and

punches. This may be done on paper or electronically.

PAY84 Ensure that proper documentation of the non-productive time taken is retained i.e. Vacation Request Form, ADPrequest, etc. and approved by the GM.


Did

Not

Test

N/A

Question Policy

Current- 2 Payperiods -For 2 Payrolls, ensure there are approved requests for all Non

Productive Time.

PAY85 Determine that associates are required to sign a Punch Detail or Timecard Report to acknowledge the accuracyof time reports and records. Compliant NotCompliant

DidNot

Test

N/A

Question Policy

Current-2 Payperiods - Review 2 payrolls. Ensure employees are signing the Punch Detail

Report of their time punches or time card equivalent. This may also be done electronically.

PAY86 Determine that an Earnings Code Report or equivalent is run for each payroll to review the validity of all earningscodes entered and that all transactions are properly supported and approved.


Did

Not

Test

N/A

Question PolicyCurrent-2 Payperiods- Review 2 payrolls. Ensure Earnings Code Report or equivalent is run

and reviewed. Should be completed with Payroll Validation sheet.



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PAY87 Determine that total Gross Sales, Charge Sales, and Tip Reporting amounts reported in payroll are validatedagainst the POS reports for accuracy and that all sales and charge tips are reported for all associates andmanagers.


DidNot

Test

N/A

Question Policy

Current- 2 Payperiods - Review 2 payrolls. Ensure Sales & Tips are reconciled to Micros

reports. Should be completed with Payroll Validation sheet.

PAY88 Is the Payroll Validation spreadsheet completed and properly approved for each payroll. Yes No Did NotTest

Question Policy

Current -2 Payperiods -Request Payroll Validation spreadsheets from 2 payrolls. Must be

signed and completed.

PAY88a Is the Payroll Validation spreadsheet accurately completed? Yes No Did NotTest

Question Policy

Are the Validation sheets accurate?

PAY89 Determine that employees are signing a Check Distribution Report, confirming their receipt of payroll checks atthe time of issuance. Any checks/stubs not signed for should be sent out after 30 days via certified/returnreceipt/ restricted delivery.


Did

Not

Test

N/A

Question Policy

Current-2 Payperiods- Review 2 payrolls. Ensure Employees are signing for their checks. Any

not signed for should be sent out certified/return receipt/restricted and backup retained.

PAY90 Ensure that only approved Incentive programs are in place. Approved incentive programs must have a completedand authorized Incentive Exception Form on file.


Did

Not

Test

N/A

Question Policy

Current- Current - Review 2 payrolls for any incentives paid. Request backup on calculation of

incentive. Ensure incentives are approved by GM. For any abnormal incentives, request

completed and approved Incentive Exception forms

PAY91 Verify that payroll checks/direct deposit stubs are distributed by the GM at least once every six months, to ensurethat the hotel does not have any "ghost" employees. The GM must sign and date the Check Distribution report for

that pay cycle. All associates must present identification and sign for their own check; the only allowableexception is terminations that occurred within the period and are documented and noted on the check sign off report. If the terminated associate received their net payroll via direct deposit, no further action required; if theterminated associate received their net payroll via check, the check must be mailed by certified/returnreceipt/restricted delivery. Any direct deposit stubs must also be sent certified/return receipt/restricted delivery.


Did

Not

Test

N/A

Question Policy

Current-Most Recent - Request the last "ghost" audit done. All checks must have evidence



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they were distributed by the GM only- must be signed and dated by GM. Any checks or stubs

not distributed must be sent certified/return receipt/restricted, and backup retained. Must be

within 6 months.

PAY91a Enter Date of Last Ghost Audit:

Comments:

HUMAN RESOURCESHR92 Determine that each associate has a personnel file and all files are in a secure and locked area at the property. Compliant Not

Compliant

Did

NotTest

N/A

Question Policy

Current-10 / As Selected- Review lists of employees, choose 10 employees and request

files. Due to items below, select at least 2 drivers, 2 bartenders, 2 servers.

HR93 Verify that the location is using the scheduling function in the timekeeping system on a regular basis. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Current- Current - Have staff show the scheduling function and useage.

HR94 Verify that associates have completed all required federal and state tax forms upon hire or re-hire. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Current -10 / As Selected- Select 10 employees. Ensure all tax forms are completely filled out

and dated prior to hire.

HR95 Determine that new hires and re-hires (if re-hired more than 30 days after their previous termination date) have aproperly completed I-9 form at the time of hire.


DidNot

Test

N/A

Question Policy

Current- 10 / As Selected - Select 10 employees. Ensure i9 form is completely filled out,



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properly as per the law, and dated prior to hire.

HR96 Verify that hotel verifies employment eligibility through the eVerify system within three days of the associates hiredate.


Did

Not

Test

N/A

Question Policy

Current -10 / As Selected - Select 10 employees. Have staff prove through Aurico that

employee was run through everify within 3 days of hire.

HR97 Ensure that Associate Handbook Acknowledgement form is signed and filed in each associate's personnel fileupon their hire or re-hire date (if re-hired more than 30 days after their previous termination date).


Did

Not

Test

N/A

Question Policy

Current- 10 / As Selected- Review lists of employees, choose 10 employees and request

proof of signed acknowledgement.

HR98 Verify that the property is obtaining credit and criminal background checks on all persons defined within theBackground Check Policy.


DidNot

Test

N/A

Question Policy

Current -10 / As Selected- Review lists of employees, choose 10 employees and request

background check proof.

HR99 Verify that the property is obtaining drug screening on all persons defined within the Background Check Policy. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Current- 10 / As Selected -Review lists of employees, choose 10 employees and request

Drug Screening proof.

HR100 Ensure the Key Control and Privacy Policy is signed by each associate. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Current-10 / As Selected - Review lists of employees, choose 10 employees and check for

Key Control & Privacy Policy form.

HR101 Verify that all required associates have properly completed CARE/TIPS training or equivalent within 30 days of hire.


Did

Not

Test

N/A



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Question Policy

Current -10 / As Selected - Review lists of employees, choose 10 employees and check for

Care/Tips training documentation on any serving alcohol.

HR102 Verify that all required associates have signed the DRAM shop policy statement for alcohol serving. Compliant NotCompliant

Did

Not

Test

N/A

Question PolicyCurrent -10 / As Selected - Review lists of employees, choose 10 employees and check for

DRAM shop policy signed by any employees serving alcohol.

HR103 Ensure management is entering terminations into payroll no later than the business day following the separation.Review termination forms to confirm that they were properly completed and placed in the associate's personnelfile. Completion includes an explanation of the termination and any appropriate documentation supporting thetermination.


Did

Not

Test

N/A

Question Policy

Current- 10 / As Selected -Choose 5 terminated employees. Have staff prove employee

termination was entered into ADP on the business day following separation.

HR104 Verify that the HR Director has reviewed the Unpaid Associate/Inactivity Report and has taken the necessaryactions to resolve any discrepancies on the report on a bi-weekly basis. Note: All reports retained must be signedand dated, and noted with any actions taken.


Did

Not

Test

N/A

Question Policy

Current- 2 Payperiods - Review 2 payrolls. Check for verification of Unpaid

Associates/Inactivity Report review. Must be signed. Should be run as part of the Payroll

Validation sheet.

HR105 Confirm that DMV Checks are conducted at the time of hire, and subsequently as per the SOP. All drivers must beproperly approved.


Did

Not

Test

N/A

Question Policy

Current -10 / As Selected- Review lists of employees, choose 10 employees and check for

DMV Checks on any that drive company vehicles.

HR106 Ensure that all employee gratuity and gifts not considered as De Minimis are appropriately reported and taxed. Compliant Not

Compliant

Did

NotTest

N/A

Question Policy

Prior Month- As selected - In course of audit, check in Petty Cash/Managers Checks, etc. for

any employee gifts/gratuity. If any appears, ensure that it has been reported to payroll.

Interview Staff.



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Comments:

FRONT DESKFD107 Ensure that a method of payment is established prior to issuing a room key to the guest. Compliant Not

CompliantDid

Not

Test

N/A

Question Policy

Current- 5 / As Selected - Choose 5 In-House Guests. Have staff prove valid MOP was

received via screenshot, etc. prior to giving guest a key.

FD108 Verify that no personal or business checks are being accepted by the hotel at the front desk. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Current- 5 Days - In course of audit, check deposits for any checks received. Look in front

desk drawers during bank counts also.

FD109 Ensure that cash or travelers check payments are accepted only at check-out. Any Franchise requirements willsupersede this requirement. Compliant NotCompliant

DidNot

Test

N/A

Question Policy

Current- 5 Days-In course of audit, check deposits for any checks received. View In-House

guests for MOP.

FD110 Verify that all Paid Outs are supported with guest signature. Compliant NotCompliant

Did

Not

Test

N/A

Question PolicyPrior Week -5 Days - In 5 Audit Packs, ensure that all Paid Outs have Guest Signature.

FD111 Verify that Due Backs are properly handled and reimbursed by the individual acting as the General Cashier. Compliant NotCompliant

Did

Not

Test

N/A



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Question Policy

Prior Week-5 Days - In 5 Audit Packs, view deposits for any Due Backs. Interview staff for

procedure.

FD112 Verify that the Daily Housekeeping Balancing Report is completed properly and that all variances are identifiedand properly explained on the report.


Did

Not

Test

N/A

Question PolicyPrior Week- 5 Days -In 5 Audit Packs, ensure Housekeeping Report is present, verified and

balanced.

FD113 Verify that the Daily Housekeeping Balancing Report is properly supported to include at least copies of the dailyassignment sheets, a full room status detail report printed upon the completion of night audit end of day, and aPM full room status detail report printed at the end of the housekeeping day.


Did

Not

Test

N/A

Question Policy

Prior Week -5 Days - In 5 Audit Packs, ensure Housekeeping Report has backup attached.

FD114 Determine that each guest used Safe Deposit Box has a record cards completed with the applicable informationon the guest, room number and a closed out signature.


Did

Not

Test

N/A

Question Policy

Current- Current -View Safety Deposit Box files. Ensure cards are correct with original

signature, matching signature to retrieve items, and matching surrender signature and date.

FD115 Verify that all keys are properly logged when issued and returned and that a documented witness is included on

the log.

Compliant Not

Compliant

Did

NotTest

N/A

Question Policy

Current- 5 Days - View Front Desk Key Log. Must have time in/out & witness in/out for all

transactions.

Comments:



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FOOD & BEVERAGEFB116 Ensure that Food inventory is conducted by Executive Chef or Outlet Manager and an independent individual and

Beverage inventory is conducted by Outlet Manager and an independent individual. Compliant Not

CompliantDid

Not

Test

N/A

Question Policy

Prior Month -Most Recent -View inventories for evidence of individuals that performed them.

Interview staff.

FB117 Ensure food inventory prices updated each period with current distributor prices. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Prior Month- Most Recent -Review inventories. Request several food invoices from week prior

to the inventory by checking M3. Compare pricing on items invoice vs inventory.

FB118 Ensure beverage inventory prices updated each period with current distributor prices. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Prior Month -Most Recent - Review inventories. Request several liquor invoices from week

prior to the inventory by checking M3. Compare pricing on items invoice vs inventory.

FB119 If the property has a gift/sundry shop, ensure inventory prices updated each period with current distributor prices. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Prior Month -Most Recent- Review inventories. Request several sundry invoices from week

prior to the inventory by checking M3. Compare pricing on items invoice vs inventory.

FB120 Does the Property have a Beverage Perpetual Inventory in place? Yes No DidNotTest

N/A

Question Policy

If no PI exists, still compare invoices to current inventory and notate results.

FB120a Verify that Liquor Perpetual Inventory is up-to-date and accurate. Compliant NotCompliant

Did

NotTest

Question Policy

Current-Current -View current Perpetual Inventory. Spot check to compare PI to actual

inventory. Request several liquor invoices from the last few days. Verify orders received to



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inventory on hand for reasonableness. If no PI exists, still compare invoices to current

inventory.

FB120b If no Perpetual Inventory is in place, ensure that inventory on hand is accurate. Compliant Not Compliant

Question Policy

Current- Current- If no PI exists, compare recent invoices to current inventory.

FB121 Ensure the Lounge using an empty bottle for full bottle exchange program. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Current- Current- Interview staff, observe.

FB122 Verify bottles properly stamped/stickered uniquely, or as required by local law, upon receipt into inventory. Compliant Not

Compliant

Did

NotTest

N/A

Question Policy

Current-Current - Examine bottles in the bar and liquor store room for stickers.

FB123 Does the Property have food & beverage for comp services (i.e. Embassy Suites), where F&B is coded directly tocomp food, superseding the inventory process?

Yes No

FB123a For properties with food & beverage for comp services (i.e. Embassy Suites), where F&B is coded directly tocomp food, superseding the inventory process: Spot check of current received items is accurate.


Did

Not

Test

Question Policy

Current-Current - Request invoices for comp food & liquor from 2 days prior to Audit. Spot

check for items on hand for high dollar food items, and for wine & liquor on hand.

FB124 Verify kitchen is using Key Entrée Control Form for high cost food items maintained by the Chef. Verify that theform is completed and signed daily by the Exec Chef and/or F&B Director and is validated to sold productrecorded in the POS.


Did

Not

Test

N/A

Question Policy

Current -Current - Request Key Entrée Control forms from the last few days. Request Micros

reports for per item sales for same days. Check high dollar items (steaks, etc.). Compare to

see if item quantities on hand are reasonable to sales.

FB125 Ensure Beer, Wine & Alcohol control is in place according to SOP. Jiggers or Posi Pours should be used for allLiquor and Beer and Wine pours should be consistent with the SOP.


Did

Not

Test

N/A



27/33

Question Policy

Current- Current - View bartenders at work for jigger and/or posi pour use.

FB126 Ensure the DRAM Shop policy statement is posted within the associate area of all bars including comp andconcierge floor bars.


Did

Not

Test

N/A

Question Policy

Current- Current - View bar areas for DRAM policy postings.

FB127 Ensure that F&B Coupons received by the hotel are voided when redeemed and that no coupons are issued atthe POS.


Did

Not

Test

N/A

Question Policy

Current-Current - From Audit Packs, view used coupons to ensure they are marked as void.

View procedures while in restaurant and bar.

FB128 Ensure all Food items are labled, dated, and properly stored, consistent with the SOP. Compliant NotCompliant

DidNot

Test

N/A

Question Policy

Current-Current -Walk refrigerator/freezer and observe lables.

FB129 Verify that the Restaurant & Lounge use a POS to generate all transactions. Confirm that each customer is givena receipt for every POS transaction.


Did

NotTest

N/A

Question PolicyCurrent- Current -View procedures, review several restaurant checks from 5 days in Audit

Packs to ensure that no "master" checks are being used.

FB130 Verify that only management staff/MOD can void transactions and that all F&B voids are approved by the F&BManager.


Did

Not

Test

N/A

Question Policy

Current -Current - Interview staff, observe.

FB131 Verify that end of month food and beverage credits are calculated in accordance to policies and properlysupported.


Did

Not

Test

N/A

Question Policy

Prior Month -EOM Reports - View EOM F&B Inventory sheets for credits. Ask staff for backup



28/33

on all credits.

FB132 Verify that banquet bars are properly requisitioned and consumption calculated and verified to collected/postedrevenue.


Did

Not

Test

N/A

Question Policy

Prior Month- 2 Banquet Bars - Select 2 Banquet Bars. View requisition requests and

consumption reports for reasonableness.

Comments:

FACILITIES & SAFETYF-S133 Ensure that unexpired Certificates of Insurance (COIs) are present for any vendors providing services to the

location. COIs should be filed alphabetically in a binder. Compliant Not

CompliantDid

Not

Test

N/A

Question Policy

Current -Current - View COI Binder. Certificates should be current and list hotel as Additional

Insured.

F-S134 Determine that claims by guests or any other individual on the premises are recorded on the proper accidentreport, and are communicated to Gallagher Bassett at the time of occurrence (when required).


DidNot

Test

N/A

Question Policy

Current- Current- View Claims File for accident reports. Verify any that needed to be sent to

insurance were.

F-S135 Review the fire equipment inspection file to determine that fire inspections are conducted and documented atleast as frequently as required by the local Fire Code and applicable statutes.


Did

Not

Test

N/A

Question Policy

Current -Current - Review file. Research local fire inspection laws. Ensure that local fire

inspections have been completed.



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F-S136 Verify that the maintenance of fire apparatus is performed at proper intervals i.e. all Smoke Detectors aredocumented as physically checked at least once a quarter. Ensure that the fire exit signs are well maintainedand clearly visible.


DidNot

Test

N/A

Question Policy

Current- Current -View Smoke Detector check logs. On property walk, check exit signs.

F-S137 Ensure that the property's Emergency Manual is up to date with current General Manager name and phonenumber.


Did

Not

Test

N/A

Question Policy

Current -Current - View Emergency Manual for updated information.

F-S138 Verify that the Atrium Safety Training Program (Safety Source) has been completed for all required associates.Testing certificates should be on file in the appropriate Department as well as in HR.


Did

Not

Test

N/A

Question Policy

Current -Current - Request certificate files from HR and department heads. All employees

should have a certificate on file.

F-S139 Determine that the property has a documented fire evacuation plan specific to the property's unique environmentand staffing levels.


Did

Not

Test

N/A

Question Policy

Current -Current -View Emergency Manual/Evacuation Plan and verify it is not generic and

has specific property information.

F-S140 Ensure that fire drills are conducted and documented on a quarterly basis. Fire Drill documentation shouldinclude the completed Fire Drill Critique Form.


Did

Not

Test

N/A

Question Policy

Current- 2 Fire Drills- View evidence of the last 2 fire drills. Should be quarterly and recorded

on the Fire Drill Critique Form.

F-S141 Determine that the hotel staff is aware of OSHA regulations, and that all required OSHA postings are current andvisible to employees. Is OSHA Log Present?

Yes No Did NotTest

Question PolicyCurrent-Current - Ensure OSHA log is being kept and is posted if between Feb 1 and April 30.



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F-S141a If the date is between Feb 1 - April 30, OSHA log should be posted. OSHALog is

Posted

OSHAlog is notposted

N/A- Dateis not

between

Feb 1 -

April 30

Question Policy

Current -Current -Ensure OSHA log is being kept and is posted if between Feb 1 and April 30.

F-S142 Verify that SDS (Safety Data Sheets) are current and maintained in the appropriate areas with chemicalspresent.


DidNot

Test

N/A

Question Policy

Current- Current -During property walk, ensure SDS books are present in any areas with

chemicals.

F-S143 Ensure that all vehicle registrations and insurance documents are current. Compliant NotCompliant

Did

Not

Test

N/A

Question PolicyCurrent- Current - Ask staff for current vehicle registration and insurance.

F-S144 Verify that Shuttle Usage Logs and Daily Inspection Logs are being completed on a regular basis. Compliant NotCompliant

Did

Not

Test

N/A

Question Policy

Current -Current -View shuttle usage logs for reasonableness. Should be used daily. View

Daily Inspection Logs.

F-S145 Determine that the leased vehicle Fuel Card is secured and controlled to ensure that it is not usedinappropriately (e.g., for personal expenses). Verify that fuel purchases are made by authorized fuel card users.


Did

Not

Test

N/A

Question Policy

Current -Current -Interview staff on procedures for vehicle fuel cards. View most recent

invoices for reasonableness. Are receipts retained ? Are there missing receipts?

F-S146 Verify that an inventory of all keys, electronic and hard, has been established. Verify that a physical inventory of

all keys is performed and documented at least once per year.

Compliant Not

Compliant

Did

NotTest

N/A

Question Policy

Current-Current - View key inventory. Interview staff on procedures.



31/33

Comments:

PCI COMPLIANCEPCI147 Confirm the property uses an approved Vendor for record retention and storage. Review the property

document storage logs for the past year to ensure documents are sent to storage, logged effectively tofacilitate ease of future retrieval, stored according to Atrium Record Retention Policy & purged at appropriatedates.


Did

Not

Test

N/A

Question Policy

Last 12 months- Last 12 Months -Interview Staff. View log. Should have copies of transmittals

for boxes sent to storage.

PCI148 Confirm the property employs due care with regard to the storage, transmission & processing of credit cardtransactions. Inquire with the GM and department heads to determine if there have been any breaches incardholder information and data. Confirm that all breaches or notifications of inquiries regarding possiblebreaches are immediately communicated to the Atrium Corporate office.


Did

Not

Test

N/A

Question Policy

Current -Current - Interview Staff. While auditing, observe processes.

PCI149 Verify that any credit cards physically left at the property are secured and handled as per Atrium policy. Compliant NotCompliant

DidNot

Test

N/A - NoPhysical

Cards on

Property

Question PolicyCurrent -Current - Interview Staff. Are any credit cards present in safe?

PCI150 Verify that credit card authorization forms are secured from access by anyone without a need for credit cardinformation or non-associates. Best practice is for only accounting to control the access and security of these forms.


DidNot

Test

N/A

Question Policy

Current- Current - Property Walk - view area for storage. Is it locked?

PCI151 Verify that the first 12 digits of the credit card number on credit card authorization forms are renderedunreadable. Unreadable means that the credit card number can not be legible in any way. Note: First 6 andlast 4 visible is acceptable.


Did

NotTest

N/A

Question Policy

Current- Current -In storage area, select 10 random cc auth forms. Are card numbers

truncated?



32/33

PCI152 Verify that the first 12 digits of the credit card number on credit card retrieval request and chargeback noticesare rendered unreadable. Note: First 6 and last 4 visible is acceptable.


Did

Not

Test

N/A

Question Policy

Current -Current - View Chargeback file. Ensure no full credit card numbers are visible

anywhere in file.

PCI153 Verify that credit card data is not stored within systems that deemed Non PCI Compliant i.e. Sales Pro,desktop computers, etc.


Did

Not

Test

N/A

Question Policy

Current- Current - Interview Staff.

PCI154 Verify that copies of credit cards are not solicited and are destroyed when received unsolicited unless anexception is approved in writing from the VP of Finance. When an exception is approved the cardholder

information must be secured and rendered unreadable as previously defined. This includes those propertiesin which taxing authorities have explicitly stated the requirement of credit card copies.


Did

Not

Test

N/A

Question Policy

Current- Current -Observe during audit. Interview Staff. View tax exempt files.

PCI155 Ensure that the credit card CVV number is not copied, retained, or solicited in any media format i.e.electronic or paper.


Did

Not

Test

N/A

Question Policy

Current -Current -Observe during audit. Interview Staff. View tax exempt files.

PCI156 Ensure that no personal guest identity identification is retained or copied such as driver's license, employeebadge cards, passports, etc. except in the case of approved tax exempt documentation in states that deem itnecessary to prove tax exempt status.


DidNot

Test

N/A

Question Policy

Current-Current -Observe during audit. Interview Staff. View tax exempt files.

PCI157 Ensure that no generic user logins are in use or established within any system in which credit cardtransactions occur or credit card data resides.


Did

Not

Test

N/A

Question Policy

Current -Current -Get user list from PMS, Micros and credit card gateway to verify no generic

logins.



33/33

PCI158 Ensure that only current employees have system access codes and that the access code are based onemployee job requirements. This includes the PMS, POS, Key Card, M3, ADP, and any other critical system.


DidNot

Test

N/A

Question Policy

Current -Current - Get user list from PMS, Micros, credit card gateway, Key Card machine and

compare to current employee list.

Comments:

ADDITIONAL OBSERVATIONS

AO159 Were there any Additional Observations? Yes No

AO160 Additional Observation:

AO160a Any Additional Observations? Yes No


AP161a Any Additional Observations? Yes No


AO162a Any other Additional Observations? Yes No

AO163 Final Additional Observation:

Comments:

Documents

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