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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 11251
Database ID: 2309
Record Series Title: Investigation Files
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: 5 Years 0 Months
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.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 2310
Record Location: 312 Rosa L. Parks Avenue, TN Tower 26th Floor, Nashville, TN 37243
File Arrangement: Alphabetical
Media Format Generated: Both
Media Format Stored: Paper/Electronic
Date Range: 2011-current
Annual Accumulation: .25 cu ft / 37 MB
Current Volume: 24 cu ft, 185 mb
Record Value: Administrative, Legal
Audit Requirements: Both
Reference Frequency:
Current Year per Month: 0
Past Year: 0
2 - 5 Years: 1
Over 5 Years: 1
Data Update Frequency: Yearly
Information Shared Outside of State: Yes
If Shared, List Agencies: Federal Bureau of Investigation
Essential Record: No
Essential Record Stored:
Essential Record Media Type:
Confidential: Yes
Confidential Legal Citation: TCA 45-13-202(c)(d), 45-13-302(a)(4)(A), 45-13-302(b), 45-1-120(a)
Media Recommendation:
Media Recommendation Other:
Agency Retention: 5 years
Agency Retention - Years Active: 0
Agency Retention - Years Inactive: 5 years
Records Center Retention Period: 0
Final Disposition after Retention Expires: Destroy
Legal Citation: TCA 45-13-202(c)(d), 45-13-302(a)(4)(A), 45-13-302(b), 45-1-120(a)
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name: AG0319006WF503
IT-ABC Number:
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
Metadata Description: Name, Profession
Contact Information
Contact Name: Shanna Brake
Job Title: Fiscal/Procurement Supervisor
Address 1: 312 Rosa L. Parks Avenue
Address 2: TN Tower, 26th Floor
City: Nashville
Zip: 37243
Phone: 615-741-0054
Email: shanna.brake@tn.gov
Agency: Dept. of Financial Institutions
Agency Head: Greg Gonzales
Director: Tina G. Miller
Allotment Code: 33600
Status
Action Requested: New RDA
Comments
  Date Comments
Records Management Division (RMD): 08-10-2017 No recommended changes.
Tennessee State Libary and Archives: 08-10-2017 No recommended changes.
Comptroller Audit Review: 2017-08-10 We have reviewed RDA 11251 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 08-17-2017 Agency concurs with RMD, TSLA and State Audit.
RMD Director Recomendations: 08-18-2017 RDA 11251 is a request to create and RDA. The retention period will be five years and destroy. the format will be paper/electronic. Recommend approval of request to create RDA 11251.
Signed Form Received: 2017-08-17
PRC Meeting Date: 09-07-2017
PRC Comments: PRC approves RDA 11251.
PRC Action: Approved
RDA History
ID RDA PRC Reviewed PRC Action
2309 11251 2017-09-07 Approved