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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 959
Database ID: 2285
Record Series Title: Securities Registration Statements, Registration Documents, Exemption and Notice Filings
Record Series Abstract: Record Series consists of but is not limited to registration statements, prospectuses, organizational documents, statements of additional information, specimens of securities, financial reports, and other supporting documentation.
Record Series Active: Yes
Cut Off at End of: Calendar Year
If Other, Explain:
Total Retention: 10 Years 0 Months
Retention End Action: Destroy
Disposition Notes: Records are to be cut off at the end of each calendar year, Records are generated and stored in paper or electronic format. Paper records will be maintained in the agency for one year. The records are then transferred to the state records center and held for nine years. Following the end of their retention paper records will be destroyed according to state approved methods. Electronic records will be kept in agency for the full ten year retention and then destroyed according to state approved methods
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 2286
Record Location: Department of Commerce and Insurance Davy Crockett Tower: 500 James Robertson Pkwy, Nashville, TN 37243
File Arrangement: ALPHA/NUMERIC
Media Format Generated: Both
Media Format Stored: Paper/Electronic
Date Range: 2005-Present
Annual Accumulation: 20 cubic feet, 1 GB
Current Volume: 310 cubic feet, 3 GB
Record Value: Administrative, Fiscal, Legal
Audit Requirements: State
Reference Frequency:
Current Year per Month: 30
Past Year: 100
2 - 5 Years: 10
Over 5 Years: 5
Data Update Frequency: Weekly
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, 8th Floor 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: 1 year
Agency Retention - Years Active: N/A
Agency Retention - Years Inactive: 1 year
Records Center Retention Period: 9 years
Final Disposition after Retention Expires: Destroy
Legal Citation: TCA 48-1-105 THROUGH 48-1-107; AND TCA 48-1-113
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:
Metadata Description: File name, file type, date modified
Contact Information
Contact Name: Susan Page
Job Title: Records Officer
Address 1: 500 James Robertson Parkway
Address 2:
City: Nashville
Zip: 37243
Phone: 615-253-8397
Email: Susan.J.Page@tn.gov
Agency: Dept. of Commerce and Insurance
Agency Head: Hodgen M. Mainda - Commissioner
Director: FRANK BORGER-GILLIGAN, ELIZABETH BOWLING
Allotment Code: 335.05
Status
Action Requested: Revision
Comments
  Date Comments
Records Management Division (RMD): 07-20-2017 No recommended changes.
Tennessee State Libary and Archives: 08-02-2017 No recommended changes.
Comptroller Audit Review: 2017-07-25 We have reviewed RDA 959 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 08-07-2017 Agency concurs with no recommended changes.
RMD Director Recomendations: 08-17-2017 RDA 959 is a request to revise an RDA. The retention period will remain ten years and destroy. The format will change to paper/electronic. The Abstract, Disposition Notes, and Worksheet have been updated. Recommend approval of request to revise RDA 959.
Signed Form Received: 2017-08-16
PRC Meeting Date: 09-07-2017
PRC Comments: PRC approves RDA 959.
PRC Action: Approved
RDA History
ID RDA PRC Reviewed PRC Action
141 959 2016-02-25 Approved
2285 959 2017-09-07 Approved