Department Home | Records Management Home | RDA List

Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 2053
Database ID: 554
Record Series Title: Securities Division Enforcement Case Files
Record Series Abstract: Files contain legal case work involving violations of the Tennessee Securities Act of 1980. Contents may include, but are not limited to, written complaints to the Securities Division, Investor Complaint Questionnaires, and documentary evidence used in prosecution.
Record Series Active: Yes
Cut Off at End of: Other
If Other, Explain: When the case is closed by the Director of the Financial Services Investigations Unit
Total Retention: 10 Years 0 Months
Retention End Action: Destroy
Disposition Notes: Active files shall be retained in the Securities Division until closed by the Financial Services Investigations Unit Director. After files are closed, all paper records are scanned and kept electronically in the Securities Division. The paper copy will be destroyed after the scan has been checked and verified for completeness and accuracy, and the electronic record will be maintained on Server for 10 years then destroyed.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 554
Record Location: DAVY CROCKETT TOWER: 500 JAMES ROBERTSON PARKWAY, 8TH FLOOR, NASHVILLE, TN 37243
File Arrangement: Alpha Numeric
Media Format Generated: Both
Media Format Stored: Electronic: Other
Date Range: 1980 to current
Annual Accumulation: 2 GB
Current Volume: 10 GB
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: The network file share is located in the South Data Center (SDA).
Essential Record Media Type: Electronic
Confidential: Yes
Confidential Legal Citation: TCA 23-3-105
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 10
Agency Retention - Years Active: 0
Agency Retention - Years Inactive: 10
Records Center Retention Period: 0
Final Disposition after Retention Expires: Destroy
Legal Citation: TCA 23-3-105
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 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, Chris Clausi
Allotment Code: 335.05
Status
Action Requested: New RDA
Comments
  Date Comments
Records Management Division (RMD): 07-27-2017 No recommended changes.
Tennessee State Libary and Archives: 08-02-2017 No recommended changes.
Comptroller Audit Review: 2017-08-15 We have reviewed RDA 2053 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 08-15-2017 Agency concurs with no recommended changes.
RMD Director Recomendations: 08-18-2017 RDA 2053 is a request to revise an RDA. The retention period will change from seventy-five years to ten years and destroy. The format will change to electronic. The Abstract, Disposition Notes, and Worksheet have been updated. Recommend approval of request to revise RDA 2053.
Signed Form Received: 2017-08-18
PRC Meeting Date: 09-07-2017
PRC Comments: PRC approves RDA 2053.
PRC Action: Approved
RDA History
ID RDA PRC Reviewed PRC Action
554 2053 2017-09-07 Approved