Record Series Abstract
Copies of formal and informal administrative actions. Informal actions can include settlement demand letters, board resolutions, consent agreements, etc. Formal actions can include orders, agreed orders, etc. Both actions can include copies of examinations with violations, supporting documentation, pleadings, discovery, orders, correspondence, legal research, etc.
Record Series Active
Cut Off at End of
Total Retention Years
Total Retention Months
Retention End Action
The file are to be cut off at the end of calender year, then maintain in agency 2 years; Then transfer to state records center; Hold 3 years then destroy. Any paper migrated to electronic will be verified, upon verification paper will be destroyed.
TN Dept. of Financial Institutions Citizens Plaza Building 400 Deaderich Street, 6th Floor
10 cu. ft/ 1 GB
50 cu. ft./ 3.34 GB
Information Shared Outside the State
Essential Record Media Type
Confidential Legal Citation
TCA 45-1-120 (a); 45-7-216; TCA 45-2-1603
Does this Record Series Contain Sensitive Information?
Records Center Retention Period
Electronic Records Plan Inventory
VMware, OIR Data Center File Server
OIR Data Center North
Daily by OIR following OIR established policy and procedures
OIR network recovery following OIR established policy and procedures
Data Migration Description
Migrate to VMware or ECM
Records Management Division (RMD)
Abstract is unclear. No reference to electronic records in disposition notes. RDA mentions paper records; no information provided on paper storage. No information provided on record location. No legal citations provided or attached. No sample provided. Records that are maintained electronically must have completed Electronics Plan Inventory. Agency has been notified of these discrepancies. 1-14-2014: RMD met with agency and discussed appropriate changes needed for RDA. RDA on hold until further information is obtained. 2-6-14: Received information from agency to update and revise RDA. 2-7-14: No recommended changes.
Tennessee State Library and Archives
TSLA concurs with RMD comments. 2-13-2014: No recommended changes.
Comptroller Audit Review
We have reviewed RDA 2479 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
Agency concurs with RMD, TSLA and Audit.
RDA 2479 is a request to revise an RDA. The retention period will change from 10 years to five years. The record series will now include both paper and electronic records. Recommend approval of RDA 2479.