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Insurance Agent Registration Files

RDA Number
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
Cut Off at End of
If Other, Explain
Records are cut off upon becoming inactive.
Total Retention Years
Total Retention Months
Retention End Action
Disposition Notes
Records are maintained permanently in paper or electronic format. Records in electronic format are stored in the File Net database and kept permanently. Electronic records created after 2018 that are awaiting license numbers, confirmation of expiration or duplication, are maintained in electronic format in the H-drive, Windows Server OS, and migrated to File Net once the information becomes available. Newly created paper records are migrated to FileNet or the H-drive, Windows Server OS. Paper records on hand are held in agency or at the records center until they are migrated to FileNet or the H-drive, Windows Server OS.
Record Location
500 James Robertson Parkway Nashville, TN 37243
File Arrangement
License numerical by license identification number.
Media Format Generated
Media Format Generated Summary
Electronic: Text
Electronic: Email
Paper: Sheet
Media Format Stored
Media Format Stored Summary
Electronic: Text
Paper: Sheet
Date Range
1980 to Present
Allotment Code
Annual Accumulation
.25 cubic feet paper, .002 GB
Current Volume
85 cubic foot, .02 GB
Record Value
Audit Requirements
Information Shared Outside the State
Shared Agencies
The National Association of Insurance Commissioners and various state agencies where an applicant has applied to be an insurance agent.
Essential Record
Yes - Original
Essential Record Stored
In agency.
Essential Record Media Type
Confidential Legal Citation
Tenn. Code Ann. § 10-7-504-(a)(29)(A)
Tenn. Code Ann. § 56-1-411(f)
Tenn. Code Ann. § 56-46-109
Tenn. Code Ann. § 50-6-405(b)(3)
Tenn. Code Ann. § 50-6-405(c)(4)(C)
Does this Record Series Contain Sensitive Information?
Agency Retention
Records Center Retention Period
System Name
Hardware Description
The current State FileNet environment is an on-premise solution with all servers and data residing at the state data centers.
Software Description
FileNet is accessed via a web interface along with a defined user id and password. Both are accessed via the state's local area network (LAN).
System Location
The servers are located in the North and South Data Centers. All back-end storage is replicated between the two data centers.
Backup Procedures
Daily Incremental tape backups (an incremental backup is a type of backup that only copies files that have changed since the last full backup) are done. Weekly full backups are done. Monthly backup is done once the completed tape is sent to offsite storage.
Disaster Recovery
Files are restored from incremental backups, a weekly full backup and a monthly full back up.
Data Migration Description
Documents are scanned to the Electronic Records Management System (FileNet) and stored on the designated servers.
Records Management Division (RMD)
No recommended changes.
Tennessee State Library and Archives
No recommended changes.
Comptroller Audit Review
We have reviewed RDA 898 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
The Agency concurs with no recommended changes.
RMD Director
RDA 898 is a request to revise an RDA. The retention period will change from ten years and then destroy to permanent. The format will be paper/electronic. The Cut Off, Disposition Notes, and Worksheet have been updated. Recommend approval of the request to revise RDA 898.
Public Records Commission
PRC approves RDA 898