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Investigation Files

RDA Number
11251
Effective Date
Record Series Abstract
This record series covers Federal, state or other criminal background check reports, credit reports, and other documents generated in the course of investigation of mortgage loan originator applicants and each individual who is an officer, partner, managing member, managing principal or branch manager, or possesses control of an applicant as statutorily defined. An investigation begins only if an issue arises after an individual submits application through the Nationwide Multistate Licensing System & Registry. Records for individuals where no investigations were necessary are kept and maintained federally in Nationwide Multistate Licensing System & Registry and are excluded from this record series.
Record Series Active
Yes
Cut Off at End of
Other
If Other, Explain
Following final approval of application
Total Retention Years
5
Total Retention Months
0
Retention End Action
Destroy
Disposition Notes
Files are cut off following final approval of application and maintained in agency for 5 years and then destroyed according to Department internal policy in accordance with state and federally approved methods.
Allotment Code
33600
Record Location
312 Rosa L. Parks Avenue, TN Tower 26th Floor, Nashville, TN 37243
File Arrangement
Alphabetical
Date Range
to
Annual Accumulation
.25 cu ft / 37 MB
Current Volume
24 cu ft, 185 mb
Record Value
Administrative
Legal
Audit Requirements
Both
Information Shared Outside the State
Yes
Shared Agencies
Federal Bureau of Investigation
Essential Record
No
Confidential
No
Confidential Legal Citation
TCA 45-13-202(c)(d), 45-13-302(a)(4)(A), 45-13-302(b), 45-1-120(a)
Does this Record Series Contain Sensitive Information?
No
Agency Retention
5 years
Records Center Retention Period
0
Record Sample PDF
2309.sample.pdf249.6 KB
System Name
AG0319006WF503
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
Legacy Revision UUID
2309