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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 897
Database ID: 2284
Record Series Title: Broker-Dealer, Investment Adviser, Agent, Investment Adviser Representative, and Oil and Gas Issuer-Dealer Files
Record Series Abstract: The records series consist of, but is not limited to, applications and exhibits, renewal applications, financial data, and other supplemental information
Record Series Active: Yes
Cut Off at End of: Other
If Other, Explain: Calendar year in which business or agent becomes inactive in Tennessee
Total Retention: 7 Years 0 Months
Retention End Action: Destroy
Disposition Notes: Records are generated and stored in either paper or electronic format. Maintain paper records in agency for 2 years, then transfer paper records to State Records Center and hold for 5 years, at then end of their retention paper records will be destroyed by state approved methods. Electronic records will be kept in the agency for seven years and then destroyed by state approved methods.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 2285
Record Location: Department of Commerce and Insurance Davy Crockett Tower: 500 James Robertson Parkway Nashville, TN 37243
File Arrangement: Alpha/Numeric
Media Format Generated: Both
Media Format Stored: Paper/Electronic
Date Range: 1950 - Current
Annual Accumulation: 10 cu. ft.; 2 MB
Current Volume: 300 cu.ft; 1.8 GB
Record Value: Administrative, Fiscal, Legal
Audit Requirements: State
Reference Frequency:
Current Year per Month: 100
Past Year: 20
2 - 5 Years: 10
Over 5 Years: 1
Data Update Frequency: Daily
Information Shared Outside of State: No
If Shared, List Agencies:
Essential Record: Yes - Original
Essential Record Stored: Department of Commerce and Insurance Davy Crockett Tower: 500 James Robertson Parkway Nashville, TN 37243
Essential Record Media Type: Paper
Confidential: No
Confidential Legal Citation:
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 2 years
Agency Retention - Years Active: N/A
Agency Retention - Years Inactive: 2 years
Records Center Retention Period: 5 years
Final Disposition after Retention Expires: Destroy
Legal Citation: TCA 48-1-109 through 48-1-112
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 is located in the South Data Center (SDA).
Backup Procedures: Oracle NAS - Daily incremental tape backups - weekly full backup - done once a week - monthly backup - once completed tape is sent offsite to storage
Disaster Recovery: Oracle NAS Storage - Restore from Incremental-Backup - Restore from weekly Full-Backup - Restore from monthly Full-Backup
Data Migration Description:
Metadata Description: file name, date modified, file type
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, ELIZABETH BOWLING
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 897 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 897 is a request to revise an RDA. The retention period will remain seven years and destroy. The format will remain paper/electronic. The Title, Abstract, Cut Off, Disposition Notes, and Worksheet have been updated. Recommend approval of request to revise RDA 897.
Signed Form Received: 2017-08-16
PRC Meeting Date: 09-07-2017
PRC Comments: PRC approves RDA 897.
PRC Action: Approved
RDA History
ID RDA PRC Reviewed PRC Action
122 897 2016-02-25 Approved
2284 897 2017-09-07 Approved