Agency Schedule Detail

Authorization Number : 10900586

Agency Series No. : SEC-123

Status : Active

Agency Web Link :

Agency : TOS

Confidential Description :

Division :

Vital Description :

Section :

Record Title : Custody Compliance Reporting Worksheets

Revision : 1

Record Description : Forms completed each week for each investment account holder by a Compliance Examiner that lists the number and types of issues of incident, claims, and the analysis of the custodial confirmed reconciliation of assets (SEC-106). Supporting documentation is also attached to the worksheet where necessary. Information from this worksheet is then entered into the Custody Compliance Reporting Database (SEC-121).

Retention Period	Retention Justification	Media Code	Method of Disposal
Retain until conclusion of current fiscal year, and for an additional 4 fiscal years.		Paper	Shred
Retain until conclusion of current fiscal year, and for an additional 4 fiscal years.		Electronic	Delete

Approvals

Status	Name	Title	Date
Approved	James Payne	Records Coordinator	5/3/2022 7:03:45 PM
Approved	Michael Lenzo	Records Officer	10/20/2022 3:47:28 PM
Approved	Terri Dittmar	Record Administrator	10/25/2022 12:50:28 PM
Approved	Fred Previts	State Archivist	10/26/2022 10:36:26 AM
Approved	Martin Meeks	State Auditor	10/28/2022 10:41:09 AM

Notes

Date	Reason	User