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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 2918
Database ID: 1118
Record Series Title: Federal Aid Project Files
Record Series Abstract: Documents relating to projects funded by the Federal Highway Administration (FHWA). Includes proposals, reports , summaries, and the following forms: (US-1) Request to fund project; (POFA-5) FHWA Project Authorization Form; (PR-2) Verifies amount of funds that will be spent on the project; (PR-2A) Indicates additional funds needed for the project; (FMIS-Federal Management Information System)
Record Series Active: Yes
Cut Off at End of: Other
If Other, Explain: After final bill is paid and Project and financial reporting is complete.
Total Retention: 5 Years 0 Months
Retention End Action: Permanent
Disposition Notes: After cutoff, maintain in agency for five (5) years in paper and electronic format. At the end of the five (5) year retention the paper records are to be destroyed after confirmation that the records have been successfully converted to electronic format. Electronic records shall be maintained in agency five (5) years and then permanent. Agency shall maintain paper and microfilm records permanent in agency or at the state records center unless converted to electronic format.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 1118
Record Location: James K. Polk Bldg. Suite 600 505 Deaderick St. Nashville, TN. 37243
File Arrangement: Alpha-Numeric by project number.
Media Format Generated: Both
Media Format Stored: Paper/Electronic
Date Range: 1975 to Current.
Annual Accumulation: 30 Cu.Ft. 1.5 GB
Current Volume: 20 GB; 320 microfilm rolls; 16 cds; 5 DVDs 6 cf. paper
Record Value: Administrative, Fiscal, Historic, Legal
Audit Requirements: Both
Reference Frequency:
Current Year per Month: 70
Past Year: 50
2 - 5 Years: 30
Over 5 Years: 10
Data Update Frequency: Monthly
Information Shared Outside of State: Yes
If Shared, List Agencies: Federal Highway Administration
Essential Record: Yes - Original
Essential Record Stored: Electronic Records are maintained in agency on servers. Paper and microfilm are stored in agency or sent to the state records center
Essential Record Media Type: Electronic
Confidential: No
Confidential Legal Citation:
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 5 years
Agency Retention - Years Active: 5
Agency Retention - Years Inactive:
Records Center Retention Period:
Final Disposition after Retention Expires: Migrate to Electronic Data
Legal Citation: TITLE 49 SEC 18.42 (b) (c) (d) & (e); RETENTION: 3 YEARS after completion of project.
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name: Federal Aid Project Files on JJ01SDCWB00003 (SharePoint Site TBD [Federal Aid Project Files])
IT-ABC Number:
Hardware Description: The Federal Aid Project Files are on located on Shared Drives and then inactive files are transferred to the SharePoint site on servers at the State of TN Enterprise VMWare farm OIR’s South Datacenter (SDC) in Smyrna, TN. The VMWare farm physically resides and runs on a series of HP DL580 Class Servers.
Software Description: Federal Aid Project Files are on located on Shared Drives and then inactive files are transferred to the SharePoint site located at the State of TN Enterprise VMWare farm OIR’s South Datacenter (SDC) in Smyrna, TN. The VMWare Farm runs on the current level of VMWare ESX Server which is 4.1, and all TDOT virtual servers are running Microsoft Server 2008 R2 as an operating system. SharePoint currently operates using SharePoint Server 2013 Enterprise. Version June 2013 15.0.4517.1005 CU
System Location: OIR’s South Data Center, located in Smyrna Tennessee, hosts the servers that will be utilized for the storage to comply with both the Statewide and TDOT Electronic Records Policy.
Backup Procedures: OIR will conduct backup procedures. These procedures consist of daily incremental backups and weekly total backups on the weekend. The back-up servers are Hitachi and EMC SANs. The process for Backing Up the data from OIR’s South Data Center is to mirror the information at OIR’s North Data Center, and then create a weekly backup tape that is currently stored by the Vendor: Iron Mountain Incorporated Iron Mountain Nashville 6005 Dana Way Nashville, TN 37013 800-899-4766
Disaster Recovery: OIR conducts disaster recovery. This procedure is a prioritized process of enabling critical and essential applications first and then continuing through the priority list to less significant applications. Disaster Recovery begins with the utilization of the OIR’s North Data Center for both operations and data. If both OIR’s South Data Center and OIR’s North Data Center are out of operation, new operations will begin by acquiring appropriate hardware and software from a third party supplier, and restoring data from the offline tape backups stored with the current vendor: Iron Mountain Incorporated.
Data Migration Description: Data Migration will occur when support for the existing file format moves from Current to Twilight or Obsolete, or when software or hardware systems changes require the movement of RDA electronic data from a specified format to a different file format. Annual reviews will be conducted by the TDOT Records Officer and the TDOT IT Director in accordance with the Section 3 of the TDOT ERP. Additionally, the TDOT IT Director will provide information and guidance to the TDOT Records Officer at the time of discovery regarding functional and operational performance of software and hardware that will change the status of file formats from Current to Twilight or Obsolete. The annual review process of file formats status and the level of in those file formats confidence, with regards to specific RDA retention requirements, will result in the generation of a File Type Confidence Report. Time for measuring the required three year limit for migration completion of affected data will begin at the time of discovery of the file format status change to Twilight or Obsolete, even if it is outside the annual review where it is reported with time remaining. The TDOT IT Director will advise and develop a solution to move the data to a Current file format that is appropriate to the RDA retention requirement for the specific data. This may include translation of the data to a Current file format, conversion to an acceptable Current File format to preserve the integrity of the information of the data, or movement of the data to a legacy architecture that maintains the environment where the file format is considered Current as long as this effort has full functional and operational support.
Metadata Description: Content Subject/Title: Federal Aid Project Files JJ01SDCWB00003 (SharePoint Site TBD [Federal Aid Project Files]) Documents relating to projects funded by the Federal Highway Administration (FHWA). Includes proposals, reports , summaries, and the following forms: (US-1) Request to fund project; (POFA-5) FHWA Project Authorization Form; (PR-2) Verifies amount of funds that will be spent on the project; (PR-2A) Indicates additional funds needed for the project; (FMIS-Federal Management Information System). Date Created: 1/1/1975 Format:.doc, .docx, .pdf, .xls, .xlsx, .tif Content Size: 20 GB Location: South Data Center, in the VMWare Server Farm on Server JJ01SDCWB00003 (SharePoint Site TBD [Federal Aid Project Files])
Contact Information
Contact Name: Daniel Rose
Job Title: Records Coordinator
Address 1: James K. Polk Bldg. Suite 600
Address 2: 505 Deaderick St.
City: Nashville
Zip: 37243-0346
Phone: 615-253-1121
Email: Daniel.Rose@tn.gov
Agency: Dept. of Transportation
Agency Head: Clay Bright
Director: Ronnie Porter
Allotment Code: 403.33
Status
Action Requested: New RDA
Comments
  Date Comments
Records Management Division (RMD): 05-01-2014 No recommended changes provided the agency Electronic Records Plan Inventory meets OIR standards for permanent retention.
Tennessee State Libary and Archives: 11-25-2014 1) Previous version of this RDA did not include designation of historic value and TSLA has received none of these records to date. Please justify this change to make them historic and require permanent retention. 2) Please explain recommendation to split records between pre- and post-2014. If agency has the capability to store permanent pre-2014 records in a content management system, why have later records sent to TSLA, which does not have such a system?
Comptroller Audit Review: 2014-10-15 We have reviewed RDA 2918 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 12-04-2014 Agency desires to keep records permanently as we are called on to provide information from decades back at the request from legal and legislative hearings but agency does not consider them Historic per TSLA definition. For this reason we do not see the need to send records to TSLA pre- or post-2014. These permanent records will be stored electronically in agency, on a server.
RMD Director Recomendations: 01-27-2015 RDA 2918 is a request to revise an RDA. The agency is requesting changing the retention from 3 years and destroy to five years and permanent. The format will change from paper and microfilm to electronic. The agency agrees with TSLA that these records are not historic but that they do have important reference value for the agency. They would like to keep the records permanently in agency for reference. Recommend approval of RDA 2918 with the following changes: Disposition Notes: After cutoff, maintain in agency for five (5) years in paper and electronic format. At the end of the five (5) year retention the paper records are to be destroyed after confirmation that the records have been successfully converted to electronic format. Electronic records shall be maintained in agency five (5) years and then permanent. Agency shall maintain paper and microfilm records permanent in agency or at the state records center unless converted to electronic format. Essential Records Stored: Electronic Records are maintained in agency on servers. Paper and microfilm are stored in agency or sent to the state records center Final Disposition: Convert to Electronic
Signed Form Received: 2014-12-05
PRC Meeting Date: 03-30-2015
PRC Comments: RDA 2918 approved by PRC with the following changes: Disposition Notes: After cutoff, maintain in agency for five (5) years in paper and electronic format. At the end of the five (5) year retention the paper records are to be destroyed after confirmation that the records have been successfully converted to electronic format. Electronic records shall be maintained in agency five (5) years and then permanent. Agency shall maintain paper and microfilm records permanent in agency or at the state records center unless converted to electronic format. Essential Records Stored: Electronic Records are maintained in agency on servers. Paper and microfilm are stored in agency or sent to the state records center Final Disposition: Convert to Electronic
PRC Action: Approved with Changes
RDA History
ID RDA PRC Reviewed PRC Action
1118 2918 2015-03-30 Approved with Changes