An official website of the Tennessee Secretary of State.
Core Data
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.
Worksheet
Record Location
TN Dept. of Financial Institutions Citizens Plaza Building 400 Deaderich Street, 6th Floor
File Arrangement
ALPHA
Date Range
to
Allotment Code
33600
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
Retention Legal Citation
NO
Electronic Records Plan Inventory
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
RDA Comments
Records Management Division (RMD)
01-09-2014
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
02-03-2014
TSLA concurs with RMD comments. 2-13-2014: No recommended changes.
Comptroller Audit Review
02-10-2014
We have reviewed RDA 2479 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
02-11-2014
Agency concurs with RMD, TSLA and Audit.
RMD Director
02-13-2014
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.
Public Records Commission
02-20-2014
PRC approves RDA 2479.