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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 11040
Database ID: 1907
Record Series Title: CREDIT UNION AND BANK DIVISION CHARTER FILES
Record Series Abstract: Charter files for institutions that are no longer under the regulatory jurisdiction of the Credit Union and the Bank Division (i.e. merged out of the state system, closed, charter is no longer an active charter for department regulatory purposes, corporate entity ceases to exist by operation of law).
Record Series Active: Yes
Cut Off at End of: Other
If Other, Explain: NO CUT OFF
Total Retention: 0 Years 0 Months
Retention End Action: Permanent
Disposition Notes: THESE RECORDS ARE TO BE KEPT PERMANENT IN AGENCY.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 1884
Record Location: TN Dept. of Financial Institutions Citizens Plaza Building 400 Deaderick Street, 6th Floor Nashville, TN 37243
File Arrangement: ALPHA
Media Format Generated: Both
Media Format Stored: Paper/Electronic
Date Range: 1900- CURRENT
Annual Accumulation: 2 cu. ft./ .01 GB
Current Volume: 40 cu. ft./ 1.27 GB
Record Value: Administrative, Legal
Audit Requirements: State
Reference Frequency:
Current Year per Month: 1
Past Year: 1
2 - 5 Years: 0
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:
Confidential: Yes
Confidential Legal Citation: TCA 45-1-120(a)
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: Permanent
Agency Retention - Years Active: Permanent
Agency Retention - Years Inactive: Permanent
Records Center Retention Period: NONE
Final Disposition after Retention Expires: Keep as Electronic
Legal Citation:
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name: Bank- TDFI Imaging
IT-ABC Number:
Hardware Description: Bank- VMware, OIR Data Center File Server. Database server location CF0119006WB002
Software Description: Bank- .NET/SQL Server 2005, Windows Server 2003
System Location: Bank- OIR Data Center North
Backup Procedures: Bank- Daily by OIR following OIR Established policy and procedures
Disaster Recovery: Bank- OIR Network recovery following OIR established policy and procedures
Data Migration Description: Bank- Remain the same or migrate to new imaging solution
Metadata Description: Bank- Control number, bank name, city, county, address, document type
Contact Information
Contact Name: CHRISTY BEADLE ADAMS
Job Title: RECORDS OFFICER
Address 1: 400 DEADERICK STREET 6TH FLOOR
Address 2:
City: NASHVILLE
Zip: 37243
Phone: 6155321023
Email: christy.beadle.adams@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. RDA mentions paper records; no information provided on paper storage. Worksheet is incomplete: no information provided on record location, range, volume, reference, essential nature, and format. No legal citations provided. No sample provided. Records that are maintained electronically must have completed Electronics Plan Inventory. Agency has been notified of these discrepancies. 2-6-14: Received information from agency to update and revise RDA. 2-7-14: Cut off to reflect abstract or disposition. Agency says they do not have a cut off/archive period.
Tennessee State Libary and Archives: 02-11-2014 TSLA concurs with RMD comments.
Comptroller Audit Review: 2014-06-17 We have reviewed RDA 11040 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 07-03-2014 Agency concurs with RMD, TSLA and Audit.
RMD Director Recomendations: 08-27-2014 RDA 11040 is a request for a new RDA. The agency is requesting a retention period of permanent in paper/electronic format. Agency provided information requested by the reviewers, which was then added for ease of review. The agency says there is no cut off for these files because it is a database. I have a concern about keeping an active database as the permanent record as there is a potential for data to be overwritten or lost. Recommend changing the cut off and disposition notes to reflect a Fiscal Year cut off. The database should be converted to either an Enterprise Content Management (ECM) system that meets or exceeds OIR standards or computer output microfilm (COM) and maintained permanently in agency with one copy in agency and one in the records center vault.
Signed Form Received: 2014-08-27
PRC Meeting Date: 09-10-2014
PRC Comments: Agency is in the process of procuring an enterprise imaging system that will meet or exceed the electronic record policy requirements for permanent retention. Once the system is procured the agency will contact records management with the information to update the electronic section of the RDA worksheet. Approved with the following changes: Cut Off: Fiscal Year Disposition Notes: Records are to be cut off each fiscal year and maintained in agency permanently.
PRC Action: Approved with Changes
RDA History
ID RDA PRC Reviewed PRC Action
1907 11040 2014-09-10 Approved with Changes