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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 11091
Database ID: 1991
Record Series Title: Investment Regulatory Documentation
Record Series Abstract: Record series consists of documents related to regulatory requests or filings made due to a regulatory requirement. Files include, but are not limited to: Requests for Information from the Securities and Exchange Commission (SEC), FINRA, MSRB, CFTC, etc.; Section 13 Filings; and filings made via EDGAR.
Record Series Active: Yes
Cut Off at End of: Fiscal Year
If Other, Explain:
Total Retention: 10 Years 0 Months
Retention End Action: Permanent
Disposition Notes: Files are cut off at the end of the fiscal year of the filing date, and stored for 10 years. If documents have been amended, the retention period is 10 years from the date of amendment. However, information entered into the fields of the agency database is stored permanently to comply with IRS guidelines and audit requirements.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 1992
Record Location: Andrew Jackson Building, 13th floor
File Arrangement: alpha and numeric
Media Format Generated: Electronic
Media Format Stored: Electronic: Other
Date Range: 1990s to current
Annual Accumulation: 20 Megabyte electronic
Current Volume: 166 Megabyte electronic
Record Value: Administrative, Fiscal, Legal
Audit Requirements: Both
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: Yes
If Shared, List Agencies: Files are shared with the regulatory agency, i.e., the SEC.
Essential Record: Yes - Original
Essential Record Stored: Files are stored in agency electronic file share; the regulatory agency may maintain copies.
Essential Record Media Type: Electronic
Confidential: No
Confidential Legal Citation: N/A
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 10 years
Agency Retention - Years Active: 10 years
Agency Retention - Years Inactive: 0 years
Records Center Retention Period: N/A
Final Disposition after Retention Expires: Keep as Electronic
Legal Citation: N/A
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name: Agency Shared Drive Server
IT-ABC Number:
Hardware Description: standard server array
Software Description: Documents are stored in PDF format on agency shared drives.
System Location: System is located in the agency office in the Andrew Jackson Building.
Backup Procedures: Files are backed up daily. Full procedures are on file with the Treasury IT division.
Disaster Recovery: Detailed DR procedures for Treasury's file share are located in the Treasury Recovery Planner.
Data Migration Description: Detailed plans for migrating Treasury's records are on file with the Treasury IT division.
Metadata Description: file name, file type, author, date created
Contact Information
Contact Name: Janice Patton
Job Title: Records Manager
Address 1: Andrew Jackson Building, 14th floor
Address 2: 502 Deaderick St.
City: Nashville
Zip: 37243
Phone: (615) 253-8757
Email: janice.patton@tn.gov
Agency: Dept. of Treasury
Agency Head: David H. Lillard, Jr.
Director: Mary Griffin
Allotment Code: 309
Status
Action Requested: New RDA
Comments
  Date Comments
Records Management Division (RMD): 02-26-2015 No recommended changes.
Tennessee State Libary and Archives: 02-26-2015 No recommended changes.
Comptroller Audit Review: 2015-02-27 We have reviewed RDA 11091 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 03-02-2015 Agency concurs.
RMD Director Recomendations: 03-04-2015 RDA 11091 is a request for a new RDA. The retention period will be ten years and permanent. The format will be electronic. Recommend approval of RDA 11091.
Signed Form Received: 2015-03-04
PRC Meeting Date: 03-30-2015
PRC Comments: Approved by the PRC.
PRC Action: Approved
RDA History
ID RDA PRC Reviewed PRC Action
1991 11091 2015-03-30 Approved