AGENCY: Department of Financial Institutions

SERIES: 81343
TITLE: Examination reports and other supervisory products
DATES: 1971-
ARRANGEMENT: Chronological

DESCRIPTION: Reports produced by the department resulting from examinations of

both depository and nondepository institutions, as conducted by department staff.

Examinations assess such entities' financial condition and/or compliance with applicable

loaws and regulations. Reports commonly convey confidential findings and

recommendations, and can include ratings. Such reports and ratings are nonpublic and

confidential pursuant to UCA Section 7-1-802. Such reports are often produced jointly

with federal banking agencies, whose statutes also require confidential treatment.

"Examination reports" include Reports of Examination, Supervisory Letters, Reports of

Visitation, Reports of Investigation, Targeted Reviews, any similar items, and the

transmittal letters delivering these items.

RETENTION

Permanent. Retain for 7 year(s)

DISPOSITION

Transfer to Archives.

RETENTION AND DISPOSITION AUTHORIZATION

These records are in Archives' permanent custody.

APPROVED: 06/1987

FORMAT MANAGEMENT

Paper: Retain in Office for 7 years and then transfer to State Archives with authority to weed.

Computer data files: Retain in Office for 7 years and then transfer to State Archives with authority to weed.

APPRAISAL

Administrative Fiscal Legal

Previous decision: RDR 73-03: 5 years/confidential. This retention is based in part on the GAO's Comprehensive Retention Schedule 090-16, UCA 76-1-302, the recommendation of the department's chief examiner, Wisconsin's retention found on RLIN document WIHV 1486-A, and the University of Utah's Department Head in the Finance Department, Dr. Steve Manaster.

PRIMARY DESIGNATION

Protected. UCA 7-1-802

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