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Investment and Trade Documentation

RDA Number
11092
Effective Date
Record Series Abstract
Record series consists of documents related to the investment and trading activity conducted by the Investments Division. Documents include, but are not limited to: best execution practices; commissions, soft dollar, and trading allocations; trade tickets; trade confirmations; trade blotters; trading authorizations; trade errors (not including good fails); written investment rationale; proxy documentation; and e-mails, instant messages, and other records related to the order placement, negotiation, execution, and/or confirmation of the transaction.
Record Series Active
Yes
Cut Off at End of
Fiscal Year
Total Retention Years
10
Total Retention Months
0
Retention End Action
Permanent
Disposition Notes
Files are cut off at the end of the fiscal year of the settlement date, and stored for 10 years. However, information entered into the fields of the agency database is stored permanently to comply with IRS guidelines and audit requirements.
Allotment Code
309
Record Location
Andrew Jackson Building, 13th floor
File Arrangement
numeric
Date Range
1990s to current
Annual Accumulation
40 Megabyte electronic
Current Volume
10 Gigabyte electronic
Record Value
Administrative
Fiscal
Legal
Audit Requirements
Both
Information Shared Outside the State
Yes
Shared Agencies
Documentation is shared with the regulatory agency and consultants (for example, SEC, CFTC, exchanges).
Essential Record
Yes - Original
Essential Record Stored
Essential record is stored in agency database; counterparties and custodians may retain copies.
Essential Record Media Type
Electronic
Confidential
No
Confidential Legal Citation
TCA 8-37-104(a)(10)(C) (Private equity investments)
Does this Record Series Contain Sensitive Information?
No
Agency Retention
10 years
Records Center Retention Period
N/A
Record Sample PDF
1992.sample.pdf28.43 KB
System Name
QED
Hardware Description
The QED system is currently running on a Unix / Solaris 10 system and has a proprietary vendor controlled database structure.
Software Description
The QED system is currently running on a Unix / Solaris 10 system.
System Location
The QED system production servers are located at OIR Datacenter South.
Backup Procedures
Full system backup exists at Treasury's DR site at Peak 10.
Disaster Recovery
Detailed DR procedures for ImageNow QED are located in the Treasury Recovery Planner. The DR recovery 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 Treasury's Peak 10 site for both operations and data. If both OIR's South Data Center and Treasury's Peak 10 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
1992