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Unclaimed Property Claims, Holder Reports, and Audit and Compliance Reports

RDA Number
Effective Date
Record Series Abstract
Record series includes property claims and any provided supporting documentation, including, but not limited to: copies of driver licenses, Social Security numbers, death certificates, and wills. Holder reports contain detailed information regarding the property and to whom it belongs, and may include a verification page and copies of checks. Audit reports provide status updates. Compliance reports may include Compliance Disclosure Agreement (CDA) requests, requests for extension of time to file, penalty calculation sheets, security statements, and stock sale documentation.
Record Series Active
Cut Off at End of
Fiscal Year
Total Retention Years
Total Retention Months
Retention End Action
Disposition Notes
Records have been filmed since 1979. Incoming documents are now scanned when received, and paper records are shredded/destroyed after verification of electronic record; scanned images are kept 10 years and deleted. However, information entered into the fields of the database is stored permanently for internal control and reporting purposes, as UCP must pay all claims with no statute of limitations.
Allotment Code
Record Location
Andrew Jackson Building, 15th floor
File Arrangement
Date Range
1979 to current
Annual Accumulation
10 Gigabyte electronic
Current Volume
600 Gigabyte electronic
Record Value
Audit Requirements
Information Shared Outside the State
Essential Record
Yes - Original
Essential Record Stored
essential record stored electronically in agency database
Essential Record Media Type
Confidential Legal Citation
TCA 4-4-125 (Dissemination of social security numbers); TCA 66-29-154 (Unclaimed Property -- Confidentiality of records)
Does this Record Series Contain Sensitive Information?
Agency Retention
Records Center Retention Period
System Name
UPS 2000
Hardware Description
UPS 2000 is a client side application. The Database is in Microsoft SQL Server 2008
Software Description
Microsoft SQL Server 2008 r2. The OS is Server 2008.
System Location
MS SQL DB in the OIR Shared SQL environment at Data Center North
Backup Procedures
OIR will conduct backup procedures. These procedures consist of daily incremental backups and weekly total backups on the weekend. The back-up servers are Hitachi and EMC SANs. The process for Backing Up the data from OIR's South Data Center is to mirror the information at OIR's North Data Center, and then create a weekly backup tape that is currently stored by the Vendor: Iron Mountain Incorporated Iron Mountain Nashville 6005 Dana Way Nashville, TN 37013 800-899-4766
Disaster Recovery
OIR conducts disaster recovery. This procedure is a prioritized process of enabling critical and essential applications first and then continuing through the priority list to less significant applications. Disaster Recovery begins with the utilization of the OIR's North Data Center for both operations and data. If both OIR's South Data Center and OIR's North Data Center are out of operation, new operations will begin by acquiring appropriate hardware and software from a third party supplier, and restoring data from the offline tape backups stored with the current vendor: Iron Mountain Incorporated.
Data Migration Description
Data Migration will occur when support for the existing file format moves from Current to Twilight or Obsolete, or when software or hardware systems changes require the movement of RDA electronic data from a specified format to a different file format. Annual reviews will be conducted by the Treasury Records Officer and the Treasury IT Staff. In the event of system upgrade or replacements, plans will be created and executed to migrate all data and documents to the new platform.
Legacy Revision UUID