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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 2051
Database ID: 2278
Record Series Title: Securities Division Enforcement Watch Files
Record Series Abstract: The records consist of, but are not limited to, information concerning various industry practices that are possibly in violation of the Tennessee securities act of 1980. These files do not constitute a complaint file, but instead are opened at the discretion of the head of the securities enforcement division and routinely checked for possible violations until the division head takes the record off of the watch list. At that point, the record is closed or the record becomes a complaint file, which would be covered and superseded by RDA 2052 (securities complaint files).
Record Series Active: Yes
Cut Off at End of: Other
If Other, Explain: Once the record is taken off the watch list.
Total Retention: 5 Years 0 Months
Retention End Action: Destroy
Disposition Notes: Records will be kept in agency for 5 years from the time the record is taken off the Watch List. The records will be kept either in paper or electronic format as long, as the electronic file has been verified for accuracy and completeness.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 2279
Record Location: Department of Commerce and Insurance 500 James Robertson Parkway, Nashville, TN 37243 Davy Crockett Tower 500 James Robertson Parkway, 8th Floor Nashville, TN 37243
File Arrangement: ALPHA/NUMERIC
Media Format Generated: Both
Media Format Stored: Paper/Electronic
Date Range: 2010-Present
Annual Accumulation: 1 cubic foot 1 GB
Current Volume: 26 cubic feet
Record Value: Administrative, Legal
Audit Requirements: State
Reference Frequency:
Current Year per Month: 10
Past Year: 5
2 - 5 Years: 1
Over 5 Years: 0
Data Update Frequency: Monthly
Information Shared Outside of State: No
If Shared, List Agencies:
Essential Record: No
Essential Record Stored:
Essential Record Media Type: Electronic
Confidential: Yes
Confidential Legal Citation: TCA 48-1-118(a)
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 5 years
Agency Retention - Years Active: N/A
Agency Retention - Years Inactive: 5
Records Center Retention Period: N/A
Final Disposition after Retention Expires: Destroy
Legal Citation: TCA 48-1-118(a)
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name: Network shared volume - ag03sdcwf00507
IT-ABC Number: N/A
Hardware Description: The records are stored on a network shared volume running on a Windows 2012 Server R2 WM. Files are accessed using a Windows 9 desktop or laptop.
Software Description: The records are accessed on a network shared volume running on a Windows 2012 Server R2 WM. Files are accessed using a Windows 9 desktop or laptop.
System Location: The network file share location is located in the South Data Center (SDA)
Backup Procedures: Oracle NAS. Daily incremental tape backups -- Weekly Full backups, done once a week -- Monthly backups done once computer tape is sent to offsite storage.
Disaster Recovery: Oracle NAS Storage. Restore from incremental backup -- Restore from Weekly Full backup -- Restore from Monthly Full backup
Data Migration Description: These records are scanned from a copier-scanner
Metadata Description: Name, file number, data created
Contact Information
Contact Name: Susan Page
Job Title: RECORDS OFFICER
Address 1: 500 James Robertson Parkway
Address 2:
City: Nashville
Zip: 37243
Phone: 615-253-8397
Email: Susan.J.Page@tn.gov
Agency: Dept. of Commerce and Insurance
Agency Head: Hodgen M. Mainda - Commissioner
Director: Frank Borger-Gilligan, Chris Clausi
Allotment Code: 335.05
Status
Action Requested: Revision
Comments
  Date Comments
Records Management Division (RMD): 07-20-2017 No recommended changes.
Tennessee State Libary and Archives: 08-02-2017 No recommended changes.
Comptroller Audit Review: 2017-07-25 We have reviewed RDA 2051 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 08-07-2017 Agency concurs with no recommended changes.
RMD Director Recomendations: 08-17-2017 RDA 2051 is a request to revise an RDA. The retention period will remain five years and destroy. The format will change to paper/electronic. The Abstract, Disposition Notes, and Worksheet have been updated. Recommend approval of request to revise RDA 2051.
Signed Form Received: 2017-08-15
PRC Meeting Date: 09-07-2017
PRC Comments: PRC approves RDA 2051.
PRC Action: Approved
RDA History
ID RDA PRC Reviewed PRC Action
552 2051 2016-02-25 Approved
2278 2051 2017-09-07 Approved