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Insurance Agent Registration Files

RDA Number
898
Effective Date
Record Series Abstract
The records contain, but are not limited to, the following documents: insurance agent applications, examination results, supplemental information, financial statement filings submitted by the insurance industry, and information submitted by state regulators such as closed complaint information, regulatory actions, and examination reports.
Record Series Active
Yes
Cut Off at End of
Calendar Year
Total Retention Years
10
Total Retention Months
0
Retention End Action
Destroy
Disposition Notes
These records are stored on the National Association of Insurance Commissioners (NAIC) computer systems. A variety of NAIC systems may use data that has been submitted to the NAIC by the state or by the industry. This data is an NAIC-owned proprietary asset that is accessible by state insurance regulators, but is not part of a repository for state-owned data. Examples include financial statement filings submitted by the insurance industry and information submitted by state regulators such as closed complaint information, regulatory actions, and examination reports. While this information is submitted to the NAIC to share with other state insurance regulators, systems such as Financial Examination Electronic Tracking System (FEETS) and Examination Tracking System (ETS) are not repositories of state-owned examination files. NAIC Systems with State-Owned Data System for Electronic Rate and Form Filing (SERFF) is the system used by insurers to file Rate and Form filings to the state Department of Insurance (DOI) and for the state DOI personnel to review those filings. All of the data associated to the filing is kept in the SERFF database. This database is housed at the NAIC but the data contained in it is owned by the states. Currently this data is kept on a permanent basis, but will have a ten year retention placed on it after the approval of this RDA. Tennessee has three instances in the SERFF database for filing to their state. There is a Life & Health instance, a Property & Casualty instance and a Workers’ Compensation instance. Tennessee began using SERFF in 2007. Tennessee does not mandate that filers use SERFF. The OPTins system is used by insurers to file tax filings with the state DOI, or other state agency with oversight over premium tax filings, and for the state personnel to review that information. The data associated to the filing is kept in the OPTins database. This database is housed at the NAIC but the data contained in it is owned by the states. Currently this data is kept on a permanent basis, but will have a ten year retention placed on it after the approval of this RDA. Tennessee began using OPTins for the collection of Premium Tax information in February 2012. The State Based Systems (SBS) system is an electronic system owned by the NAIC and enhanced in partnership with state insurance departments. The purpose of the SBS initiative is to provide a comprehensive, web-based application for use by state regulators in support of insurance regulatory functions. SBS enables state insurance departments to more efficiently and effectively process license applications, renewals, inquiries, complaints, enforcement actions, etc., with minimum effort and remain compliant with national uniformity initiatives. Tennessee uses these SBS services for Producer Licensing, Company Licensing, Continuing Education, Consumer Services,US Department of Health and Human Services, CAPG, Affordable Health Care Act, Enforcement, Investigations and Revenue. All the data associated with SBS is contained in the SBS-TN database housed at the NAIC. All data contained in the SBS-TN database is the property of the state. Data was migrated from the state’s legacy systems when Tennessee transitioned to SBS in February 2010. Currently this data is kept on a permanent basis, but will have a ten year retention placed on it after the approval of this RDA.
Allotment Code
33501
Record Location
Main Processing Center - NAIC Central Office - 1100 Walnut, Kansas City, MO 64106
File Arrangement
NIPR
Date Range
to
Annual Accumulation
One cubic foot
Current Volume
One cubic foot
Record Value
Administrative
Audit Requirements
State
Information Shared Outside the State
Yes
Shared Agencies
The NAIC and various state agencies where an applicant has applied to be an insurance agent.
Essential Record
Yes - Original
Essential Record Stored
Main Processing Center - NAIC Central Office - 1100 Walnut Street, Kansas City, MO 64106 Co-Location/DR Center - Arsalon Technologies - 15721 College Boulevard, Lenexa, KS 66219
Essential Record Media Type
Electronic
Confidential
No
Confidential Legal Citation
N/A
Does this Record Series Contain Sensitive Information?
No
Agency Retention
10 years
Records Center Retention Period
N/A
System Name
ISITE
IT-ABC Number
N/A
Hardware Description
Hardware Environment SERFF and OPTins- HP Itanium based RX and RP servers for frontend (web), backend (batch) and database SBS - Virtualized Servers running on CISCO UCS blade environment
Software Description
SERFF and OPTins - HP-UX 11.31 Server OS with Frontend utilizing Oracle OHS/OAS environment for java 1.5 code and C++ CGIs. Backend mainly C++ and java 1.5 applications and database using Oracle 10G RDBMS SBS - Windows 2003 for Frontend running SunOne server for Java 1.4 applications and HP-UX 11.31 Server running Oracle 10G RDBMS for database. Batch applications run on RDBMS server
System Location
Main Processing Center - NAIC Central Office - 1100 Walnut Street, Kansas City, MO 64106 Co-Location/DR Center - Arsalon Technologies - 15721 College Boulevard, Lenexa, KS 66219
Backup Procedures
Daily, weekly and monthly hot database backups are conducted along with archive logs enabling point-in-time recovery; monthly backups are retained for seven months. Daily and monthly Exchange backups are conducted; monthly backups are retained for thirteen months. Other non-database backups are conducted on a daily, weekly and monthly basis; monthly backups are retained for thirteen months. Backups are replicated to our disaster recovery site for redundancy purposes. All backups are written to disk arrays using de-duplication.
Disaster Recovery
Replication to redundant systems utilizing hardware at Co-Location Facility.
Data Migration Description
All the data associated with SBS is contained in the SBS-TN database housed at the NAIC. All data contained in the SBS-TN database is the property of the state. Data was migrated from the state's legacy systems when TN transitioned to SBS in February 2010. Currently this data is kept on a permanent basis.
Legacy Revision UUID
123