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
Cut Off at End of
Total Retention Years
Total Retention Months
Retention End Action
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.
Andrew Jackson Building, 13th floor
1990s to current
40 Megabyte electronic
10 Gigabyte electronic
Information Shared Outside the State
Documentation is shared with the regulatory agency and consultants (for example, SEC, CFTC, exchanges).
Yes - Original
Essential Record Stored
Essential record is stored in agency database; counterparties and custodians may retain copies.
Essential Record Media Type
Confidential Legal Citation
TCA 8-37-104(a)(10)(C) (Private equity investments)
Does this Record Series Contain Sensitive Information?
Records Center Retention Period
Retention Legal Citation
Record Sample PDF
The QED system is currently running on a Unix / Solaris 10 system and has a proprietary vendor controlled database structure.
The QED system is currently running on a Unix / Solaris 10 system.
The QED system production servers are located at OIR Datacenter South.
Full system backup exists at Treasury's DR site at Peak 10.
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