An official website of the Tennessee Secretary of State.
Core Data
RDA Number
11041
Effective Date
Record Series Abstract
Applications, including but not limited to, forming a new institution; renewing a license; establishing a branch; denials; withdrawals; any application never followed up on by the applicant; any application in which the transaction did not close or take place; and all application related documents for all institutions regulated by the bank division.
Record Series Active
Yes
Cut Off at End of
Other
If Other, Explain
After transaction is effective or consummated or office has opened or license issued, date the application is denied or date the applicant advises the division that the application is withdrawn or the date the applicant is notified that a file has been closed due to lack of activity.
Total Retention Years
5
Total Retention Months
0
Retention End Action
Destroy
Disposition Notes
Maintain in agency for 5 years after transaction is effective or consummated or office has opened or license issued (i.e. institution has merged, opened, notified the division of the transaction date via written letter or e-mail), date the application is denied or date the applicant advises the division that the application is withdrawn or the date the applicant is notified that a file has been closed due to lack of activity (i.e. the date the letter or e-mail advises that the file is closed due to inactivity), then destroy. Any paper migrated to electronic will be verified, upon verification paper will be destroyed.
Worksheet
Record Location
312 Rosa L. Parks Avenue TN Tower, 26th Floor Nashville, TN 37243
File Arrangement
ALPHA
Date Range
to
Allotment Code
33600
Annual Accumulation
8 cu. ft./ 1.13 GB
Current Volume
36 cu. ft./ 10.16 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), 45-7-216
Does this Record Series Contain Sensitive Information?
No
Agency Retention
5 YEARS
Records Center Retention Period
0 YEARS
Electronic Records Plan Inventory
System Name
TDFI Imaging
Hardware Description
VMware, OIR Data Center File Server. Database server location CF0119006WB002
Software Description
.NET/SQL Server 2005, Windows Server 2003
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
Remain the same or migrate to new imaging solution
RDA Comments
Records Management Division (RMD)
01-09-2014
RDA submitted is incomplete. File cut off is inconsistent with disposition notes. 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: Consider changing cut off to reflect disposition.
Tennessee State Library and Archives
02-10-2014
Cut off should be changed to reflect what is described in disposition notes.
Comptroller Audit Review
07-02-2014
Audit concurs with RMD comments.
Agency Records Officer
07-03-2014
Agency concurs with RMD, TSLA and Audit.
RMD Director
08-20-2014
RDA 11041 is a request for a new RDA. The agency is requesting a retention period of five years in paper/electronic format. Agency provided information requested by the reviewers and agreed to change in the cut off to match the Disposition Notes. Recommend approval of RDA 11041 with the following changes: Cut Off: Other If Other/Explain: After transaction is effective or consummated or office has opened or license issued, date the application is denied or date the applicant advises the division that the application is withdrawn or the date the applicant is notified that a file has been closed due to lack of activity.
Public Records Commission
09-10-2014
PRC approved RDA 11041 with the following changes: Cut Off: Other If Other/Explain: After transaction is effective or consummated or office has opened or license issued, date the application is denied or date the applicant advises the division that the application is withdrawn or the date the applicant is notified that a file has been closed due to lack of activity.