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Texas Lottery Commission Background Investigations
Internal Audit Division
activated, the "private" feature will restrict access to the electronic report to the assigned
investigator and those "super business users" assigned to Enforcement and the client division but
still allow the existence of the case to appear in a CAMP search. Procedure EN-027
(Enforcement Investigations Intake and Referral Process) is being revised to address these
changes.
With the exception of nineteen (19) boxes of case files that originated prior to 2000, the
Enforcement Division is now current with its records retention schedule. The nineteen (19) boxes
of case files are currently under review. As an inventory sheet is completed for each box, the case
files will be scheduled for destruction. Electronic files will also be reviewed and scrutinized for
compliance with the appropriate records retention schedule.
The Enforcement Division will continue to restrict access to its file room. Currently, the only
Enforcement personnel with access to the file room are the Investigative Administrative Assistant
and the Intake Specialist.
The Enforcement files stored at the TLC warehouse have been placed in a storage area secured
by a lock and seal.
On November 6, 2008, the Enforcement Director met with Legal Services personnel to discuss
Enforcement's current practice of custody and use of criminal histories. The Legal Services
Division will use the information discussed at the meeting to develop a rule, in accordance with
the State Lottery Act, that will govern the TLC's custody and use of criminal history records.
The review of the division records retention schedule has already begun.
Currently TLC employee background investigative files are required under the records retention
schedule to be retained until five (5) years after the individual leaves agency employment. Per
Section 441.1852 of the Texas Government Code, it is not permissible to redact information from
current investigative files. Case files and all their contents may only be redacted/destroyed when
they have reached the end of the retention period. However, the Enforcement Division has
conducted additional research and, in discussions with the agency records management officer,
has determined that applicant background investigative reports can be reclassified and, once
their purpose has been served, can be destroyed.
Agency management is working with the Legal Services Division on a comprehensive review of
current statutes to ensure all required rules are developed and provided to the Commission for
consideration.
Due Date: February 1, 2009, with the exception of required rule development which will be
completed by June 1, 2009.December 2008 21 IA # 09-005
December 2008
21
IA # 09-005
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Texas Lottery Commission Internal Audit: Follow-Up Review (Report)
Report detailing the Internal Audit Division's follow-up review of six previously conducted internal audits in order to determine whether management has taken actions to correct conditions noted in the prior audits or has accepted the risk of not taking corrective actions.
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Reference the current page of this Report.
Texas Lottery Commission. Internal Audit Division.Texas Lottery Commission Internal Audit: Background Investigations,report, December 2008; Austin, Texas. (https://texashistory.unt.edu/ark:/67531/metapth576278/m1/25/:accessed August 11, 2024),University of North Texas Libraries, The Portal to Texas History, https://texashistory.unt.edu; crediting UNT Libraries Government Documents Department.
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