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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 2479
Database ID: 914
Record Series Title: ENFORCEMENT ACTION FILE
Record Series Abstract: Copies of formal and informal administrative actions. Informal actions can include settlement demand letters, board resolutions, consent agreements, etc. Formal actions can include orders, agreed orders, etc. Both actions can include copies of examinations with violations, supporting documentation, pleadings, discovery, orders, correspondence, legal research, etc.
Record Series Active: Yes
Cut Off at End of: Calendar Year
If Other, Explain:
Total Retention: 5 Years 0 Months
Retention End Action: Destroy
Disposition Notes: The file are to be cut off at the end of calender year, then maintain in agency 2 years; Then transfer to state records center; Hold 3 years then destroy. Any paper migrated to electronic will be verified, upon verification paper will be destroyed.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 914
Record Location: TN Dept. of Financial Institutions Citizens Plaza Building 400 Deaderich Street, 6th Floor
File Arrangement: ALPHA
Media Format Generated: Both
Media Format Stored: Paper/Electronic
Date Range: 2009 - current
Annual Accumulation: 10 cu. ft/ 1 GB
Current Volume: 50 cu. ft./ 3.34 GB
Record Value: Administrative, Legal
Audit Requirements: State
Reference Frequency:
Current Year per Month: 2
Past Year: 20
2 - 5 Years: 0
Over 5 Years: 0
Data Update Frequency: Daily
Information Shared Outside of State: No
If Shared, List Agencies:
Essential Record: No
Essential Record Stored:
Essential Record Media Type: Paper
Confidential: Yes
Confidential Legal Citation: TCA 45-1-120 (a); 45-7-216; TCA 45-2-1603
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 2 years
Agency Retention - Years Active: 2 YEARS
Agency Retention - Years Inactive: 0 YEARS
Records Center Retention Period: 3 YEARS
Final Disposition after Retention Expires: Destroy
Legal Citation: NO
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name: AG 0319006WF03
IT-ABC Number:
Hardware Description: VMware, OIR Data Center File Server
Software Description: Adobe PDF
System Location: OIR Data Center North
Backup Procedures: Daily by OIR following OIR established policy and procedures
Disaster Recovery: OIR network recovery following OIR established policy and procedures
Data Migration Description: Migrate to VMware or ECM
Metadata Description: Company name, license or NMLS ID
Contact Information
Contact Name: Shanna Brake
Job Title: RECORDS OFFICER
Address 1: 312 Rosa L. Parks Avenue
Address 2: 26th Floor
City: NASHVILLE
Zip: 37243
Phone: 615-741-0054
Email: christy.beadle.adams@tn.gov
Agency: Dept. of Financial Institutions
Agency Head: GREG GONZALES
Director: TINA MILLER
Allotment Code: 33600
Status
Action Requested: New RDA
Comments
  Date Comments
Records Management Division (RMD): 01-09-2014 Abstract is unclear. No reference to electronic records in disposition notes. RDA mentions paper records; no information provided on paper storage. No information provided on record location. No legal citations provided or attached. No sample provided. Records that are maintained electronically must have completed Electronics Plan Inventory. Agency has been notified of these discrepancies. 1-14-2014: RMD met with agency and discussed appropriate changes needed for RDA. RDA on hold until further information is obtained. 2-6-14: Received information from agency to update and revise RDA. 2-7-14: No recommended changes.
Tennessee State Libary and Archives: 02-03-2014 TSLA concurs with RMD comments. 2-13-2014: No recommended changes.
Comptroller Audit Review: 2014-02-10 We have reviewed RDA 2479 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 02-11-2014 Agency concurs with RMD, TSLA and Audit.
RMD Director Recomendations: 02-13-2014 RDA 2479 is a request to revise an RDA. The retention period will change from 10 years to five years. The record series will now include both paper and electronic records. Recommend approval of RDA 2479.
Signed Form Received: 2014-02-13
PRC Meeting Date: 02-20-2014
PRC Comments:
PRC Action: Approved
RDA History
ID RDA PRC Reviewed PRC Action
914 2479 2014-02-20 Approved