Record Series Abstract
Charter files for institutions that are no longer under the regulatory jurisdiction of the Credit Union and the Bank Division (i.e. merged out of the state system, closed, charter is no longer an active charter for department regulatory purposes, corporate entity ceases to exist by operation of law).
Record Series Active
Cut Off at End of
If Other, Explain
NO CUT OFF
Total Retention Years
Total Retention Months
Retention End Action
THESE RECORDS ARE TO BE KEPT PERMANENT IN AGENCY.
TN Dept. of Financial Institutions Citizens Plaza Building 400 Deaderick Street, 6th Floor Nashville, TN 37243
2 cu. ft./ .01 GB
40 cu. ft./ 1.27 GB
Information Shared Outside the State
Confidential Legal Citation
Does this Record Series Contain Sensitive Information?
Records Center Retention Period
Electronic Records Plan Inventory
Bank- TDFI Imaging
Bank- VMware, OIR Data Center File Server. Database server location CF0119006WB002
Bank- .NET/SQL Server 2005, Windows Server 2003
Bank- OIR Data Center North
Bank- Daily by OIR following OIR Established policy and procedures
Bank- OIR Network recovery following OIR established policy and procedures
Data Migration Description
Bank- Remain the same or migrate to new imaging solution
Records Management Division (RMD)
RDA submitted is incomplete. RDA mentions paper records; no information provided on paper storage. Worksheet is incomplete: no information provided on record location, range, volume, reference, essential nature, and format. No legal citations provided. No sample provided. Records that are maintained electronically must have completed Electronics Plan Inventory. Agency has been notified of these discrepancies. 2-6-14: Received information from agency to update and revise RDA. 2-7-14: Cut off to reflect abstract or disposition. Agency says they do not have a cut off/archive period.
Tennessee State Library and Archives
TSLA concurs with RMD comments.
Comptroller Audit Review
We have reviewed RDA 11040 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
Agency concurs with RMD, TSLA and Audit.
RDA 11040 is a request for a new RDA. The agency is requesting a retention period of permanent in paper/electronic format. Agency provided information requested by the reviewers, which was then added for ease of review. The agency says there is no cut off for these files because it is a database. I have a concern about keeping an active database as the permanent record as there is a potential for data to be overwritten or lost. Recommend changing the cut off and disposition notes to reflect a Fiscal Year cut off. The database should be converted to either an Enterprise Content Management (ECM) system that meets or exceeds OIR standards or computer output microfilm (COM) and maintained permanently in agency with one copy in agency and one in the records center vault.