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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 11041
Database ID: 1908
Record Series Title: BANK DIVISION APPLICATIONS
Record Series Abstract: Applications, including but not limited to, forming a new institution; renewing a license; establishing a branch; denials; withdrawals; any application never followed up on by the applicant; any application in which the transaction did not close or take place; and all application related documents for all institutions regulated by the bank division.
Record Series Active: Yes
Cut Off at End of: Other
If Other, Explain: After transaction is effective or consummated or office has opened or license issued, date the application is denied or date the applicant advises the division that the application is withdrawn or the date the applicant is notified that a file has been closed due to lack of activity.
Total Retention: 5 Years 0 Months
Retention End Action: Destroy
Disposition Notes: Maintain in agency for 5 years after transaction is effective or consummated or office has opened or license issued (i.e. institution has merged, opened, notified the division of the transaction date via written letter or e-mail), date the application is denied or date the applicant advises the division that the application is withdrawn or the date the applicant is notified that a file has been closed due to lack of activity (i.e. the date the letter or e-mail advises that the file is closed due to inactivity), 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: 1885
Record Location: 312 Rosa L. Parks Avenue TN Tower, 26th Floor Nashville, TN 37243
File Arrangement: ALPHA
Media Format Generated: Both
Media Format Stored: Paper/Electronic
Date Range: 2005- Current
Annual Accumulation: 8 cu. ft./ 1.13 GB
Current Volume: 36 cu. ft./ 10.16 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), 45-7-216
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 5 YEARS
Agency Retention - Years Active: 5 YEARS
Agency Retention - Years Inactive: 0 YEARS
Records Center Retention Period: 0 YEARS
Final Disposition after Retention Expires: Destroy
Legal Citation:
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name: TDFI Imaging
IT-ABC Number:
Hardware Description: VMware, OIR Data Center File Server. Database server location CF0119006WB002
Software Description: .NET/SQL Server 2005, Windows Server 2003
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: Remain the same or migrate to new imaging solution
Metadata Description: 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. File cut off is inconsistent with disposition notes. 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: Consider changing cut off to reflect disposition.
Tennessee State Libary and Archives: 02-10-2014 Cut off should be changed to reflect what is described in disposition notes.
Comptroller Audit Review: 2014-07-02 Audit concurs with RMD comments.
Agency: 07-03-2014 Agency concurs with RMD, TSLA and Audit.
RMD Director Recomendations: 08-20-2014 RDA 11041 is a request for a new RDA. The agency is requesting a retention period of five years in paper/electronic format. Agency provided information requested by the reviewers and agreed to change in the cut off to match the Disposition Notes. Recommend approval of RDA 11041 with the following changes: Cut Off: Other If Other/Explain: After transaction is effective or consummated or office has opened or license issued, date the application is denied or date the applicant advises the division that the application is withdrawn or the date the applicant is notified that a file has been closed due to lack of activity.
Signed Form Received: 2014-08-27
PRC Meeting Date: 09-10-2014
PRC Comments: PRC approved RDA 11041 with the following changes: Cut Off: Other If Other/Explain: After transaction is effective or consummated or office has opened or license issued, date the application is denied or date the applicant advises the division that the application is withdrawn or the date the applicant is notified that a file has been closed due to lack of activity.
PRC Action: Approved with Changes
RDA History
ID RDA PRC Reviewed PRC Action
1908 11041 2014-09-10 Approved with Changes