An official website of the Tennessee Secretary of State.
Core Data
RDA Number
11040
Effective Date
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
Yes
Cut Off at End of
Other
If Other, Explain
NO CUT OFF
Total Retention Years
0
Total Retention Months
0
Retention End Action
Permanent
Disposition Notes
THESE RECORDS ARE TO BE KEPT PERMANENT IN AGENCY.
Worksheet
Record Location
TN Dept. of Financial Institutions Citizens Plaza Building 400 Deaderick Street, 6th Floor Nashville, TN 37243
File Arrangement
ALPHA
Date Range
to
Allotment Code
33600
Annual Accumulation
2 cu. ft./ .01 GB
Current Volume
40 cu. ft./ 1.27 GB
Record Value
Administrative
Legal
Audit Requirements
State
Information Shared Outside the State
No
Essential Record
No
Confidential
No
Confidential Legal Citation
TCA 45-1-120(a)
Does this Record Series Contain Sensitive Information?
No
Agency Retention
Permanent
Records Center Retention Period
NONE
Electronic Records Plan Inventory
System Name
Bank- TDFI Imaging
Hardware Description
Bank- VMware, OIR Data Center File Server. Database server location CF0119006WB002
Software Description
Bank- .NET/SQL Server 2005, Windows Server 2003
System Location
Bank- OIR Data Center North
Backup Procedures
Bank- Daily by OIR following OIR Established policy and procedures
Disaster Recovery
Bank- OIR Network recovery following OIR established policy and procedures
Data Migration Description
Bank- Remain the same or migrate to new imaging solution
RDA Comments
Records Management Division (RMD)
01-09-2014
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
02-11-2014
TSLA concurs with RMD comments.
Comptroller Audit Review
06-17-2014
We have reviewed RDA 11040 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
07-03-2014
Agency concurs with RMD, TSLA and Audit.
RMD Director
08-27-2014
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.
Public Records Commission
09-10-2014
Agency is in the process of procuring an enterprise imaging system that will meet or exceed the electronic record policy requirements for permanent retention. Once the system is procured the agency will contact records management with the information to update the electronic section of the RDA worksheet. Approved with the following changes: Cut Off: Fiscal Year Disposition Notes: Records are to be cut off each fiscal year and maintained in agency permanently.