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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 2797
Database ID: 2106
Record Series Title: FINANCIAL ASSURANCE DOCUMENTS
Record Series Abstract: Records document the financial assurance required by divisions that permitted entities prepare for unforeseen circumstances by posting collateral bonds and pollution liability coverage in an amount sufficient to pay for any future remediation efforts at sites which handle potentially hazardous materials. Documents include: COLLATERAL BONDS, LETTERS OF CREDIT, municipal government/county contracts, insurance policies and certificates, corporate guarantees, certificate of deposit, return receipt cards, claims for release of bonds, cost estimates from divisions, bank account monthly and yearly statements, and general correspondence. Includes financial assurance documents for hazardous waste and solid waste, Radiological Health, Oil and Gas, Underground Storage Tanks, Underground Injection Control, Remediation, surface mining, mineral test hole, and sewerage system.
Record Series Active: Yes
Cut Off at End of: Other
If Other, Explain: When financial assurance is no longer required for the facility
Total Retention: 5 Years 0 Months
Retention End Action: Destroy
Disposition Notes: Files are cut off when financial assurance is no longer required for the facility. Reasons for the records having no financial assurance include termination of permit and forfeiture or cessation of operation. There are 95 rolls of mixed historical microfilm that contain financial assurance documents, but the microfilm will be kept permanently according to RDA 2203. The paper records will be converted to electronic format. Upon verification of electronic documentation, paper will be destroyed. The electronic format of the records will be maintained in agency for 5 years after the cut off, and then destroyed by state approved methods.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 2108
Record Location: 10th Floor, Wm. R Snodgrass TN Tower 312 Rosa L. Parks Avenue, Nashville
File Arrangement: numerical
Media Format Generated: Paper
Media Format Stored: Paper/Electronic/Film
Date Range: 2008 to current
Annual Accumulation: 6 cubic feet, will begin electronic storage March 2016
Current Volume: 84 cubic feet, 95 rolls (mixed historical microfilm),will begin electronic storage March 2016
Record Value: Fiscal
Audit Requirements: Both
Reference Frequency:
Current Year per Month: 10
Past Year: 10
2 - 5 Years: 3
Over 5 Years: 1
Data Update Frequency: Daily
Information Shared Outside of State: Yes
If Shared, List Agencies: Environmental Protection Agency
Essential Record: No
Essential Record Stored:
Essential Record Media Type:
Confidential: No
Confidential Legal Citation:
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 5 years
Agency Retention - Years Active:
Agency Retention - Years Inactive:
Records Center Retention Period: None
Final Disposition after Retention Expires: Destroy
Legal Citation: NO
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name: OIR Oracle Network Attached Storage system: ag0319006uf012
IT-ABC Number:
Hardware Description: Sun Storage 7410 NAS
Software Description: 2011.04.24.9.0,1-1.46. Operating System: Solaris 11.
System Location: 901 5th Ave. N., Nashville TN 37243
Backup Procedures: 31 day retention snapshots kept on site. Daily incremental snapshots, and a monthly full snapshots, to tape media. Monthly snapshots older than 31 days are stored offsite, one year retention. One tape per year stored for 7 years
Disaster Recovery: OIR follows industry standard disaster recovery procedures. Full procedures are available with the Office of Information Resources.
Data Migration Description: OIR maintains and migrates data according to system updates, upgrades and replacement standards per industry standards. Full procedures are available with the Office of Information Resources.
Metadata Description: Standard NTFS metadata for files. Name, Item type, Date created, Date modified, Date Accessed, Size, Attributes, and Owner.
Contact Information
Contact Name: Shonquita Parrish
Job Title: Records Officer-TDEC
Address 1: 10th Floor William R. Snodgrass TN Tower
Address 2: 312 Rosa L. Parks Ave.
City: Nashville
Zip: 37243
Phone: 615-741-8894
Email: Shonquita.m.parrish@tn.gov
Agency: Dept. of Environment & Conservation
Agency Head: Robert J. Martineau, Jr.
Director: Robert Dickinson
Allotment Code: 327.01
Status
Action Requested: Revision
Comments
  Date Comments
Records Management Division (RMD): 03-24-2016 No recommended changes.
Tennessee State Libary and Archives: 03-24-2016 No recommended changes.
Comptroller Audit Review: 2016-03-30 We have reviewed RDA 2797 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 03-31-2016 Thank you.
RMD Director Recomendations: 04-15-2016 RDA 2797 is a request to revise an RDA. The retention period will increase from zero years after cut off to five years after cut off. The format will be paper/electronic/film. New records will be electronic but there is existing paper and film. Recommend approval of request to revise RDA 2797.
Signed Form Received: 2016-04-05
PRC Meeting Date: 06-22-2016
PRC Comments: PRC approves RDA 2797
PRC Action: Approved
RDA History
ID RDA PRC Reviewed PRC Action
1014 2797 2015-06-23 Approved
2106 2797 2016-06-22 Approved