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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 2944
Database ID: 1140
Record Series Title: CLOSED COMPANY CHARTER FILES
Record Series Abstract: Original charter files for organizing industrial loan and thrift companies, mortgage companies, premium finance companies, check cashers, title pledge lenders, deferred presentment companies and credit unions. This includes, but is not limited to: new applications, renewal applications, correspondence, surety bonds, annual reports, and secretary of state verification when applicable. With the exception of the original credit union charter of incorporation.
Record Series Active: Yes
Cut Off at End of: Other
If Other, Explain: Calendar year in which the companies close, license expires or otherwise terminates, surrender, or withdraws.
Total Retention: 5 Years 0 Months
Retention End Action: Destroy
Disposition Notes: These files are to be cut off at the end of the calendar year in which the companies close, license expires or otherwise terminates, surrender, or withdraws then maintained in agency 1 year; Then transfer to state records center, hold 4 years, then destroy. Any paper migrated to electronic will be verified, upon verification paper will be destroyed.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 1140
Record Location: TN Dept. of Financial Institutions Citizens Plaza Building 400 Deaderick St., 6th Floor
File Arrangement: Alphabetical
Media Format Generated: Both
Media Format Stored: Paper/Electronic
Date Range: 2009-current
Annual Accumulation: 5 cu ft./ 768 MB
Current Volume: 9.5 cu ft./ 860 MB
Record Value: Administrative, Legal
Audit Requirements: State
Reference Frequency:
Current Year per Month: 1
Past Year: 0
2 - 5 Years: 0
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:
Confidential: Yes
Confidential Legal Citation: TCA 45-1-120 (a)
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 1
Agency Retention - Years Active: 1
Agency Retention - Years Inactive: 0
Records Center Retention Period: 4
Final Disposition after Retention Expires: Destroy
Legal Citation: NONE
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name: Compliance - AG0319006WF503/ Credit Union - C: Drive Tag #22936
IT-ABC Number:
Hardware Description: Compliance - VMware, OIR Data Center File Server/ Credit Union- HP Desktop Workstation
Software Description: Compliance- Adobe PDF/ Credit Union- Windows 7, Adobe PDF
System Location: Compliance- OIR Data Center North/ Credit Union - Local hard drive
Backup Procedures: Compliance- Daily by OIR following OIR established policy and procedures/ Credit Union- CD-ROM backup
Disaster Recovery: Compliance- OIR network recovery following OIR established policy and procedures/ Credit Union- Recovery from CD-ROM
Data Migration Description: Compliance- Migrate to VMware or ECM/ Credit Union- None until saved in electronic form in a database or on a server
Metadata Description: Compliance- Company name, profession, file number, date closed/ Credit Union- Credit Union name, date closed.
Contact Information
Contact Name: Shanna Brake
Job Title: RECORDS OFFICER
Address 1: 312 Rosa L. Parks Avenue
Address 2: 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 MILLER
Allotment Code: 33600
Status
Action Requested: New RDA
Comments
  Date Comments
Records Management Division (RMD): 01-14-2014 1-14-2014: RMD met with agency and discussed appropriate changes needed for RDA. RDA on hold until further information is obtained. 2-6-14: Received information from agency to update and revise RDA. 2-7-14: No recommended changes.
Tennessee State Libary and Archives: 02-04-2014 TSLA has reviewed the proposed RDA and awaits additional information. 2-13-2014: No recommended changes.
Comptroller Audit Review: 2014-02-10 We have reviewed RDA 2944 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 02-11-2014 Agency concurs with RMD, TSLA and Audit.
RMD Director Recomendations: 02-13-2014 RDA 2944 is a request to revise an RDA. The retention period will change from 10 years to five years. The record series will now include both paper and electronic records. Recommend approval of RDA 2944.
Signed Form Received: 2014-02-13
PRC Meeting Date: 02-20-2014
PRC Comments:
PRC Action: Approved
RDA History
ID RDA PRC Reviewed PRC Action
1140 2944 2014-02-20 Approved