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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 2486
Database ID: 921
Record Series Title: COMPLIANCE DIVISION EXAMINATION REPORTS
Record Series Abstract: All examination reports generated by the compliance division. These exams include industrial loan & thrift companies, insurance premium finance, mortgage, check cashing, title pledge lender and deferred presentment.
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: These files are to be cut off at the end of each calendar year then, maintian in agency 1 years; Then transfer to the state records; Hold for 4 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: 921
Record Location: TN Dept. of Financial Institutions Citizens Plaza Building 400 Deaderick Street, 6th Floor Nashville, TN 37243
File Arrangement: ALPHA
Media Format Generated: Both
Media Format Stored: Paper/Electronic
Date Range: 2009 - CURRENT
Annual Accumulation: .5 cu. ft./ 25 GB
Current Volume: 2 cu. ft./ 40 GB
Record Value: Administrative, Legal
Audit Requirements: State
Reference Frequency:
Current Year per Month: 5
Past Year: 5
2 - 5 Years: 5
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:
Confidential: Yes
Confidential Legal Citation: 45-1-120(a)
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 1 YEAR
Agency Retention - Years Active: 1 YEAR
Agency Retention - Years Inactive: 0 YEARS
Records Center Retention Period: 4 YEARS
Final Disposition after Retention Expires: Destroy
Legal Citation: T.C.A. 45-1-120(a)
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name: AG0319006WF503
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, city, profession, examiner name, date of exam
Contact Information
Contact Name: Shanna Brake
Job Title: RECORDS OFFICER
Address 1: 400 DEADERICK STREET 6TH FLOOR
Address 2:
City: NASHVILLE
Zip: 37243
Phone: 615-741-0054
Email: shanna.brake@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 RDA submitted is incomplete. No information provided on record location, reference and volume. No legal citation 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 to merge RDA’s 2488,2484,and 10204 into RDA 2486. 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: 02-04-2014 TSLA concurs in RMD comments to date. 2-13-2014: No recommended changes.
Comptroller Audit Review: 2014-02-10 We have reviewed RDA 2486 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 2486 is a request to revise an RDA. The retention period will remain five years. The record series will now include both paper and electronic records. Recommend approval of RDA 2486.
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
921 2486 2014-02-20 Approved