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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 897
Database ID: 122
Record Series Title: BROKER-DEALER, INVESTMENT ADVISER, REGISTRATION AGENTS, INVESTMENT ADVISER REPRESENTATIVES, AND OIL AND GAS ISSUER-DEALERS FILES
Record Series Abstract: THE RECORDS CONSIST OF, BUT ARE NOT LIMITED TO, APPLICATIONS AND EXHIBITS, RENEWAL APPLICATIONS, FINANCIAL DATA, AND SUPPLEMENTAL INFORMATION.
Record Series Active: Yes
Cut Off at End of: Calendar Year
If Other, Explain:
Total Retention: 7 Years 0 Months
Retention End Action: Destroy
Disposition Notes: Maintain paper records in agency for 2 years, then transfer paper records to State Records Center and hold for 5 years, then the 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: 122
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: These records are scanned on a copier-scanner
Metadata Description: Name, file number, date created.
Contact Information
Contact Name: Erica Smith
Job Title: Records Officer
Address 1: 500 James Robertson Parkway
Address 2:
City: Nashville
Zip: 37243
Phone: 615-253-8397
Email: erica.smith@tn.gov
Agency: Dept. of Commerce and Insurance
Agency Head: Julie Mix McPeak
Director: Frank Borger-Gilligan
Allotment Code: 33505
Status
Action Requested: New RDA
Comments
  Date Comments
Records Management Division (RMD): 02-04-2016 No recommended changes.
Tennessee State Libary and Archives: 02-04-2016 No recommended changes.
Comptroller Audit Review: 2016-02-04 We have reviewed RDA 897 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 02-08-2016 Thank you.
RMD Director Recomendations: 02-11-2016 RDA 897 is a request to revise an RDA. The Title, Abstract, Disposition, and Worksheet have been updated. The retention period will remain seven years. The format will change to paper/electronic. Recommend approval of request to revise RDA 897.
Signed Form Received: 2016-02-11
PRC Meeting Date: 02-25-2016
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