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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 2957
Database ID: 1152
Record Series Title: CONSUMER COMPLAINTS
Record Series Abstract: CONSUMER COMPLAINT FORMS AND SUPPORTING DOCUMENTATION
Record Series Active: Yes
Cut Off at End of: Calendar Year
If Other, Explain:
Total Retention: 5 Years 0 Months
Retention End Action: Destroy
Disposition Notes: THE FILES ARE TO BE CUT OFF AT THE END OF EACH CALENDAR YEAR THEN, MAINTAIN IN THE AGENCY 5 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: 1152
Record Location: TN Dept. of Financial Institutions Citizens Plaza Building 400 Deaderick Street, 6th Floor
File Arrangement: Alphabetical
Media Format Generated: Both
Media Format Stored: Paper/Electronic
Date Range: 2010-current
Annual Accumulation: 4.0 cu ft./ 21 MB
Current Volume: 4.0 cu ft/ 64 MB
Record Value: Administrative, Legal
Audit Requirements: State
Reference Frequency:
Current Year per Month: 25
Past Year: 50
2 - 5 Years: 10
Over 5 Years: 0
Data Update Frequency: Weekly
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 45-1-120 (a)
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 5
Agency Retention - Years Active: 5
Agency Retention - Years Inactive: 0
Records Center Retention Period: 0
Final Disposition after Retention Expires: Destroy
Legal Citation: NONE
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name: Complaints Admin
IT-ABC Number:
Hardware Description: VMware, OIR Data Center File Server. Application server location CF0119006WW02, database sever location CF119006WB002. Windows 2003, SQL Server 2005
Software Description: .NET/SQL Server 2005, Windows Server 2003, IIS 6.5
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: Data is currently being migrated to the new CRS database on VMware hardware.
Metadata Description: Compliant created date, complaint ID, modified date, reported date, complaint description.
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): 01-09-2014 RDA submitted is incomplete. No information provided on record location, reference and electronic volume. No sample provided. Records that are maintained electronically must have completed Electronics Plan Inventory. Agency has been notified of these discrepancies. 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. 2-7-2014: No recommended changes.
Tennessee State Libary and Archives: 02-04-2014 TSLA has reviewed the RDA and concurs with RMD comments. 2-13-2014: No recommended changes.
Comptroller Audit Review: 2014-02-10 We have reviewed RDA 2957 from an audit standpoint. We recommend changing retention period to 5 years.
Agency: 02-11-2014 Agency concurs with RMD and TSLA. Agency also agrees to change retention period to 5 years per Audit recommendation.
RMD Director Recomendations: 02-13-2014 RDA 2957 is a request to revise an RDA. The retention period will change from 3 years to five years. The record series will now include both paper and electronic records. Agency concurred with recommended changes. Recommend approval of RDA 2957 with the following change: Retention Period: 5 years Disposition Notes change to reflect 5 year retention Agency Retention/Active on worksheet: 5 years
Signed Form Received: 2014-02-13
PRC Meeting Date: 02-20-2014
PRC Comments: PRC approves RDA with the following staff recommendations: Retention Period: 5 years Disposition Notes change to reflect 5 year retention Agency Retention/Active on worksheet: 5 years
PRC Action: Approved with Changes
RDA History
ID RDA PRC Reviewed PRC Action
1152 2957 2014-02-20 Approved with Changes