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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 2487
Database ID: 922
Record Series Title: EXAMINATION WORKPAPERS AND RELATED DOCUMENTS
Record Series Abstract: Examination work papers and related documents for all institutions regulated by the department including, but not limited to, bank, IT, trust, Bank Secrecy Act, money transmitter, Building and Industrial Development Corporation, credit union, premium finance, mortgage, industrial loan and thrift, check casher, title pledge lender and deferred presentment companies.
Record Series Active: Yes
Cut Off at End of: Other
If Other, Explain: Next full scope of exam
Total Retention: 1 Years 0 Months
Retention End Action: Destroy
Disposition Notes: Files are to be destroyed after the next full scope exam of the respective institution by the division unless the examiner-in-charge or other appropriate official determines that it is in the best interest of the division, for safety and soundness reason, to maintain for an extended period of time. Work papers associated with an examination performed jointly with a federal agency, and/or work papers of a trouble institution may require work papers to be retained for a longer period of time, as determined by the examiner-in-charge or other appropriate official. Any paper migrated to electronic will be verified, upon verification paper will be destroyed.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 922
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: 2006 - current
Annual Accumulation: 361 cu. ft./ 40 GB
Current Volume: 596 cu.ft/ 40 GB
Record Value: Administrative, Legal
Audit Requirements: State
Reference Frequency:
Current Year per Month: 7
Past Year: 10
2 - 5 Years: 5
Over 5 Years: 0
Data Update Frequency: Monthly
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); 45-2-1603; 45-7-216
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: 0 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: Compliance- AG 0319006WF503/ Bank- TDFI Imaging/ Credit Union- C: Drive tag #22936
IT-ABC Number:
Hardware Description: Compliance-VMware, OIR Data Center File Server/ Bank- VMware, OIR Data Center File Server. Database server location CF0119006WB002/ Credit Union- HP Desktop Workstation
Software Description: Compliance- Adobe PDF/ Bank- .NET/SQL Server 2005, Windows Server 2003/ Credit Union- Windows 7, Adobe PDF
System Location: Compliance- OIR Data Center North/ Bank- OIR Data Center North/ Credit Union- Local Hard drive
Backup Procedures: Compliance- Daily by OIR following OIR Established policy and procedures/ Bank- Daily by OIR following OIR Established policy and procedures/ Credit Union- CD-ROM Back-up
Disaster Recovery: Compliance- OIR Network recovery following OIR established policy and procedures/ Bank- OIR Network recovery following OIR established policy and procedures/ Credit Union- Recovery from CD-ROM
Data Migration Description: Compliance- Migrate to VMware or ECM/ Bank- Remain the same or migrate to new imaging solution/ Credit Union- None until saved in electronic form in a database or on a server.
Metadata Description: Compliance- Company name, city, profession, examiner name, date of exam/ Bank- Examiner name, date of exam, licensee profession, control number, bank name, city, county, address, document type/ Credit Union- credit union name, date of exam.
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: 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 More information needed before Records Management Division review record series. 1-14-2014: RMD met with agency to possibly merge with RDA 2477. RDA on hold until further information is obtained. 2-6-14: Received information from agency to update and revise RDA. 2-7-14: Consider cut off to reflect disposition.
Tennessee State Libary and Archives: 02-04-2014 TSLA concurs in RMD comments to date.
Comptroller Audit Review: 2014-02-21 We have reviewed RDA 2487 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 04-15-2014 Please change cut off to \"Next Full Scope Exam\". These records are working papers only and hold no fiscal value. The actual exam is kept for 5 years under RDA#2488 (Credit Union), RDA#2486 (Compliance), and RDA#2484 (Bank).
RMD Director Recomendations: 05-09-2014 RDA 2487 is a request to revise an RDA. The retention period will change from five years to one year and the records may be stored in either paper or electronic formats. Recommend approval with the changes below as agreed upon by the Agency. Cut off - Next full scope exam
Signed Form Received: 2014-05-09
PRC Meeting Date: 05-27-2014
PRC Comments: RDA approved with the following changes: Cut off - Next full scope exam
PRC Action: Approved with Changes
RDA History
ID RDA PRC Reviewed PRC Action
922 2487 2014-05-27 Approved with Changes
1959 2487 0000-00-00 Pending