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~:'i!,~,~ : ~ !i :, : i; BRITISH AMERICAN TOBACCO Copy Request Form Request Number: 24 Organization: Physicians for a smoke free Canada Request Details Request Date: ........ ../.=..-~...:'.2...~......... .................. ........ . .. File Number: ............. . ........ Box Number: C ~ "~ 2--~z" mo.~ Jo. tooouoliutooeeo Page Range: First Page ~ 0 / // 0 ~ ~ j~ "~ LastPage l)_ 0 / / ~ ~ ~2, /'/-" ~ Requested By: (Print Name) Details below will be filled in by Depository Staff Only II Copy Details Copied By: ...~~...~~~...: .......................... Date: ..................... Time: ................ Copy Checked By: .......... o~e oo~oeoe • oPeJ**eoeoeeooomoooooe4p* • • *, • eee • oeweJ Date: ...... ..... Time: ....... • * • oe * *oeoeoa*oot oo ootDeeiDe= OOle • e*eooJe • e • III Delivery Details Checked By: Date: . . .... • el, eooeooe oe • oe • IB e* • * * a. • m• o* Sent By: ............. Date: • ~,•D••••e•o•••• ••o • po • * BATCo document for PFSFC 1 March 1999

POLICY ~q I. No need to keep unnecessary documents of any age 2. Destroy after 5 years unless the document meets the critera for retention: 2 situations only I. IF 2. IF Relevance to research which ongoing not yet ongoing but part of written 5-year plan andif andif • r ,. Degree of relevan~ clearly helpful essential o o r~ r~ BATCo document for PFSFC 1 March 1999

*. ° ° DRAFT September 5, 1990 IMPERIAL TOBACCO LIMITED DEPARTMENT OF RESEARCH AND DEVELOPMENT DOC0~ENT RETENTION POLICY INTRODUCTION Over the years, confusion has arisen about the uniform application of a document retention/destruction policy as it has particular reference to research materials and related papers, generated both internally, by others on behalf of; or received by Imperial Tobacco Limited (the "Company-). Needless to say, there are many different types of documents which over time have been generated or received by members of ~.he staff in the Dep~ent of Research and Development ("Department'). Many of these documents have, and will continue to serve an ongoing useful purpose. On the other hand, there are many others, for which there is no ongoing (or prospective) use, or which were generated or received in the context of specific progra~=ee or projects, and which have simply outlived their usefulness to the members of the Department and Company. This policy ("Policy'} is intended to provide management of the Department with general guidelines to estahllsh a consi~ent approach to records retention/destruction, and to assist members of the Department to better manage their records. TYPES OF DOCUMENTS As suggested above, there are undoubtedly innumerable types of documents held Ln the vazious departments within the Company and therefore, ~here may be a requirement to adopt policies to meet partlcular circumstances. The following aze but a few of the general categories of documents in the Research and Development De~ent: II. IIi. IV. Researchers' individual laboratory note books, notes, diaries, working papers, daily reports, and personal files. B.A.T. Research Reports ('R.A.T. Pa~ports') Correspondence with the Department of Health and Welfare. Pro~ect-s=eclfic correspondence, specifications, procedures, memoranda, working papers, notes, data and other written material regardless of author, whether generated internally or on the Company' s behalf, or received from third parties ('Pro~ec~-Specific Documentation'). O O BATCo document for PFSFC 1 March 1999

• • 0 ° -2 - Vo VZ. General correspondence, memoranda, working papers, notes, data and miscellaneous other written material regardless of author, whether generated internally, on the Company' 8 behalf, or received fra= third paz~iee (-Geoeral Documentation'). General reports, research pr~rammes, minutes of meetings, visit Repo~e, Policy Statements and procedure manuals. ('Other Reports'} CATEGORIES OF DOCUMENTS For We purposes of this Policy, it is useful to.distinguish three dietlnc~ h~oad categories of documents: Ae Documents Generated by ComDan~r Personnel All documents within the De~ant, the origin of which is associated with an employee or former employee of the Company, and similar documents generated by third parties for and on behalf of the Company. Be Documents Rece£ved from O~hers All documents within the Department not authored by an employee or former employee of the Company, or generated for or on behalf of the Company, including documents such as papers and/or reports from other companies within ~he BAT group. Documents in pOssession of the Company and generated by others, should be given the same clasBifioation as those documents generated by the Company personnel and all such documents should be treated in ~he same fashion as Company documents under this Policy. Co published Pa~ers Documents within the DepOt which consist of published repots, papers, etCo, and documents such as those published in scientific literature. These documents ere not intended to be affected by this Policy. RETENTION PERIODS AND DESTRUCTION DATES The following are guidelines to assist staff members of the Research and Development Department in determining which documents should be retained and, in the alternative, which documents should be destroyed tn a timely manner. Generally speaking, except for those documents which should be retained on a iM~rmanent basis, or which ere not specifically excel~ed from this Policy, all documents should be destroyed in accordance within the time periods prescribed by this Policy. The Vice President of Research and Development or hie designee, shall determine which documents ere to be retained for periods longer than prescribed by this Policy. CD CD t~ BATCo document for PFSFC 1 March 1999

:% I"°. -3- Ao Record Re~ent ~0n I. Permanent Records The following documents should be retained on a permanent basks: a) Researchers' individual laboratory note books and diaries. documents should be maintained in their original form. b) Correspondence with the Department of Health and Welfare. Such Bo 2. 5-~ea~Retent~on The following documents should be maintained for a period of five (5) years, following which they should be destroyed in keeping with this Policy= -B.A.T. Reports received by the Company. Such documents should be maintained in their original form. Access to such documents shall be made available to employees within the Department on a "as needed" basis. No unauthorized copies of these reports should be made without the prior approval of the Vice President of the Department. All o~her copies of such Reports should be destroyed in keeping with this Policy. - ~j~ spe~z~ ~a~.. 3. 2-Year Retent£on The following documents should be maintained for a periodof two (2) years, following which they should be destroyed in keeping with this Policy: - other Reports -General Doe u men tailor Record Destruction - General a) "Draft" documents including draft research programmes, notes, agendas, minutes, policy documents, reports, pre-publication papers and any other "draft" documentation should be destroyed once they have been superseded. b) Members of the Department who receive documents from third parties should, within sixty (60) days of receipt, determine whether such documents should be filed An the Central Filing System (the "Central File"), otherwise they should be destroyed. CD 0 O~ BATCo document for PFSFC 1 March 1999

• . . .. ° • ° •o -4- C. period of Discretionary Record Retent£on Retention pexiods for documents other than those described above, or which may be an exception to the aforementioned, should be determined for each of the following classes of documents by the Vice President of Research and Development or his designee. ao bo More than two archival copies of research progra~es, repoz~cs and policy guidellnes generated by, or on behalf of the Company and other documents relating thereto, or arising out of such research projects. Other Reports which are considered by the Vlce President of Research and Developnent to have continuing business or research relevance. c. Product specifications and other product and process information of a technical nature, which are considered by the Vice President of Research and Development to have continuing business or research relevance. d. All original research materials required to support current patent applications or patents. The Vice President of Research and Develolxnent should consult with legal counsel concerning what materials should be retained. D. Computer. Accountina and Personnel Informatio~ The Cc~pany should retain computer, accounting and personnel records consistent with its business and legal requirements. IMPLEMENTATZON The Vlce President of Research and Development is charged with the responsibility of introducing, implementing and maintaining on an ongoing basis, this Policy. In addition, the Company will perform a compliance audit procedure in conne~clon with this Policy as may be prescribed from time to time by the Management ~ttee° CD CD t~ BATCo document for PFSFC 1 March 1999