Agency Schedule Detail

Authorization Number : 800-0758

Agency Series No. : 50-09

Status : Active

Agency Web Link :

Agency : COM

Confidential Description : ORC 1315.122

Division : COMDFIN

Vital Description :

Section : COMDFINMNTR

Record Title : MT- Supervisory/ or Administrative Actions From Allegations Originating from Licensee exam.

Revision : 0

Record Description : Documents related to a supervisory or administrative action where the allegations originated from an examination of the licensee. These may include memoranda of understanding, cease and desist actions, civil penalty actions, and suspensions and revocations.

Retention Period	Retention Justification	Media Code	Method of Disposal
Retain paper copy in operating area until imaged and indexed. Upon confirmation that paper copy has been checked for quality and completeness, destroy.		Paper	Shred
Retain electronic files for five (5) years after licensee ceases conducting business in Ohio, then destroy.	Supervisory actions containing allegations originating from a licensee’s examination (1) are related to an examination, the required retention period of which is twenty years after the examination date, (2) is referenced regularly for background on a licensee’s troubled or improving financial condition, and (3) twenty years spans an entire economic cycle which is relevant for historic information regarding economic impact on licensees and how the Division as a regulator handled certain issues.	Electronic	Erase

Approvals

Status	Name	Title	Date
Approved	Stephanie Glover	Records Coordinator	7/8/2011 10:20:00 AM
Approved	Jennifer Bishop	Records Officer	7/5/2012 10:29:00 AM
Approved	Bunnie Jones	Record Administrator	8/2/2012 2:54:00 PM
Approved	Martin Meeks	State Auditor	8/3/2012 8:52:00 AM
Approved	Fred Previts	State Archivist	8/3/2012 11:49:00 AM

Notes

Date	Reason	User