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ENFORCEMENT ACTION FILE

RDA Number
2479
Effective Date
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
Yes
Cut Off at End of
Calendar Year
Total Retention Years
5
Total Retention Months
0
Retention End Action
Destroy
Disposition Notes
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.
Allotment Code
33600
Record Location
TN Dept. of Financial Institutions Citizens Plaza Building 400 Deaderich Street, 6th Floor
File Arrangement
ALPHA
Date Range
to
Annual Accumulation
10 cu. ft/ 1 GB
Current Volume
50 cu. ft./ 3.34 GB
Record Value
Administrative
Legal
Audit Requirements
State
Information Shared Outside the State
No
Essential Record
No
Essential Record Media Type
Paper
Confidential
No
Confidential Legal Citation
TCA 45-1-120 (a); 45-7-216; TCA 45-2-1603
Does this Record Series Contain Sensitive Information?
No
Agency Retention
2 years
Records Center Retention Period
3 YEARS
System Name
AG 0319006WF03
Hardware Description
VMware, OIR Data Center File Server
Software Description
Adobe PDF
System Location
OIR Data Center North
Backup Procedures
Daily by OIR following OIR established policy and procedures
Disaster Recovery
OIR network recovery following OIR established policy and procedures
Data Migration Description
Migrate to VMware or ECM
Legacy Revision UUID
914