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Investigations Working Papers

RDA Number
Effective Date
Record Series Abstract
Documentation created to support the findings, conclusions/results, recommendations, referrals, and reports for investigations conducted by the Comptroller of the Treasury investigations units. This documentation may include but is not limited to: documentary evidence such as contracts, checks and invoices; analytical evidence such as data comparisons and analyses; testimonial evidence such as interrogations and interviews; and physical evidence such as confiscated records.
Record Series Active
Cut Off at End of
If Other, Explain
Upon either report publication, case closure, or the conclusion of all court proceedings.
Total Retention Years
Total Retention Months
Retention End Action
Disposition Notes
Each case will be cutoff after either a report is published, the case is closed, or at the conclusion of all court proceedings depending on the action taken to conclude each investigation. Paper records will be maintained in agency for one year after cutoff and/or all court proceedings and appeals have been completed. Whichever is later, and then transferred to state records center for four years. Electronic records will be maintained on the agency's server for five years. All records will then be destroyed by state approved methods.
Allotment Code
Record Location
Cordell Hull Building - 3rd Floor
File Arrangement
Alpha, numeric
Date Range
Annual Accumulation
20 cu. ft. , 1 GB
Current Volume
100 cu. ft. , 20 GB
Record Value
Audit Requirements
Information Shared Outside the State
Essential Record
Yes - Original
Essential Record Stored
Original records are stored in both paper and electronic. Electronic records are stored on agency servers, and paper records are stored in agency and at state records center.
Essential Record Media Type
Confidential Legal Citation
10-7-504 TCA
Does this Record Series Contain Sensitive Information?
Agency Retention
5 year
Record Sample PDF
2062.sample.pdf133.27 KB
System Name
agency network server IGO2WW52
Hardware Description
stored on file servers with appropriate folders
Software Description
shared folder (CIFS) on our EMC VNX (like a SAN/NAS)
System Location
Cordell Hull Building
Backup Procedures
Backup procedures include nightly tapes, which are stored off-site (Iron Mountain), as well as nightly replication of the database to the COT DR Site.
Disaster Recovery
The recovery goal for File Storage Servers - 8 hours.
Data Migration Description
Data stored on File Servers with appropriate document extension.
Legacy Revision UUID