Department Home | Records Management Home | RDA List

Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 2052
Database ID: 553
Record Series Title: SECURITIES DIVISION ENFORCEMENT COMPLAINT FILES
Record Series Abstract: THE RECORDS INCLUDE, BUT ARE NOT LIMITED TO, INVESTOR COMPLAINTS MADE DIRECTLY TO THE SECURITIES DIVISION CONCERNING SPECIFIC GRIEVANCES, AND REPORTS OF INDUSTRY PRACTICES THAT ARE POSSIBLY IN VIOLATION OF THE TENNESSEE SECURITIES ACT OF 1980.
Record Series Active: Yes
Cut Off at End of: Other
If Other, Explain: THE FILES ARE TO BE CUT OFF WHEN CLOSED BY THE HEAD OF THE SECURITIES ENFORCEMENT DIVISION ONCE THE COMPLAINT HAS BEEN RESOLVED.
Total Retention: 10 Years 0 Months
Retention End Action: Destroy
Disposition Notes: THE FILES ARE TO BE CUT OFF WHEN CLOSED BY THE HEAD OF THE SECURITIES ENFORCEMENT DIVISION UPON RESOLUTION OF THE COMPLAINT. THE PAPER RECORDS ARE MAINTAINED IN THE AGENCY FOR 3 YEARS. THE PAPER RECORDS WILL THEN BE TRANSFERRED TO THE STATE RECORDS CENTER FOR 7 YEARS, AND DESTROYED BY STATE APPROVED METHODS. ELECTRONIC RECORDS ARE KEPT IN AGENCY FOR TEN YEARS, THEN DESTROYED.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 553
Record Location: Department of Commerce and Insurance Davy Crockett Tower 500 James Robertson Parkway 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; 3 MB
Current Volume: 45 cubic feet; just beginning to scan so there is less than 1 MB right now
Record Value: Administrative, Legal
Audit Requirements: State
Reference Frequency:
Current Year per Month: 20
Past Year: 10
2 - 5 Years: 5
Over 5 Years: 2
Data Update Frequency: Daily
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 500 James Robertson Parkway Nashville, TN 37243
Essential Record Media Type: Electronic
Confidential: Yes
Confidential Legal Citation: TCA 48-1-118(a) gives the Commissioner the authority to make public or private investigations. In our Investigatory that we use to officially open the investigation, specific language is included indicating that the investigation is private.
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 3 YEARS
Agency Retention - Years Active: N/A
Agency Retention - Years Inactive: 3 YEARS
Records Center Retention Period: 7 YEARS
Final Disposition after Retention Expires: Destroy
Legal Citation:
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 to offsite storage
Disaster Recovery: Oracle NAS Storage - Restore from Incremental-Backup - Restore from Weekly Full-Backup - Restore from Monthly Full-Backup
Data Migration Description: These records are scanned from a copier-scanner
Metadata Description: Name, file number, date created.
Contact Information
Contact Name: Susan Page
Job Title: RECORDS OFFICER
Address 1: 500 JAMES ROBERTSON PKWY
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
Allotment Code: 33505
Status
Action Requested: New RDA
Comments
  Date Comments
Records Management Division (RMD): 02-04-2016 No recommended changes.
Tennessee State Libary and Archives: 02-04-2016 No recommended changes.
Comptroller Audit Review: 2016-02-04 We have reviewed RDA 2052 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 02-08-2016 Thank you.
RMD Director Recomendations: 02-11-2016 RDA 2052 is a request to revise an RDA. The Abstract, Disposition, and Worksheet have been updated. The retention period will remain ten years. The format will change to paper/electronic. Recommend approval of request to revise RDA 2052.
Signed Form Received: 2016-02-11
PRC Meeting Date: 02-25-2016
PRC Comments: PRC approves RDA 2052.
PRC Action: Approved
RDA History
ID RDA PRC Reviewed PRC Action
553 2052 2016-02-25 Approved