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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 3084
Database ID: 1274
Record Series Title: LOTTERY FOR EDUCATION: AFTERSCHOOL PROGRAMS (LEAP)
Record Series Abstract: The purpose of the records relates to discretionary grant working papers-contracts, financial records, program reports, monitoring/audit information. Documents include Year-end Reports-ED5181, Program Monitoring Tool-ED5409, Request for Advance or Reimbursement-ED5023, LEAPs Budget Amendment-ED5184.
Record Series Active: Yes
Cut Off at End of: Fiscal Year
If Other, Explain:
Total Retention: 5 Years 0 Months
Retention End Action: Destroy
Disposition Notes: EDGAR/CFR requires maintaing files/records for a min of 5 years. Older files/records can be destroyed at at the end of oldest fiscal year annually.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 1274
Record Location: Andrew Johnson Tower 710 James Robertson Parkway
File Arrangement: Alphabetically
Media Format Generated: Paper
Media Format Stored: Paper: Sheet
Date Range: 2009 - current
Annual Accumulation: 4 cu. ft
Current Volume: 7 cu. ft
Record Value: Administrative, Fiscal
Audit Requirements: Both
Reference Frequency:
Current Year per Month: 4
Past Year: 3
2 - 5 Years: 3
Over 5 Years: 3
Data Update Frequency:
Information Shared Outside of State: No
If Shared, List Agencies:
Essential Record: No
Essential Record Stored:
Essential Record Media Type: Paper
Confidential: No
Confidential Legal Citation:
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 5 years
Agency Retention - Years Active:
Agency Retention - Years Inactive:
Records Center Retention Period:
Final Disposition after Retention Expires: Destroy
Legal Citation: PER GRANT CONTRACT (OCR) D.12
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name:
IT-ABC Number:
Hardware Description:
Software Description:
System Location:
Backup Procedures:
Disaster Recovery:
Data Migration Description:
Metadata Description:
Contact Information
Contact Name: Nell Polk
Job Title: Secretary
Address 1: 710 James Robertson Parkway
Address 2: 9th Floor, Andrew Johnson Tower
City: Nashville
Zip: 37243
Phone: 615-532-1655
Email: Nell.Polk@tn.gov
Agency: Dept. of Education
Agency Head: Kevin Huffman
Director: Mike Herrmann
Allotment Code: 33119
Status
Action Requested: New RDA
Comments
  Date Comments
Records Management Division (RMD): 11-07-2013 Expand abstract for clearer definition of record series. Check with Audit Division if 3 years is long enough retention period. Disposition Notes need clarification on how the record series is stored and clarification of when destroyed. Missing Record Location, File Arrangement, Record Value,Record Sample and Legal Sample. If subject to Federal Audit there should be information on Federal agency record may be shared with. Clarify Legal Citation
Tennessee State Libary and Archives: 02-04-2014 TSLA concurs with RMD comments and Audit comments.
Comptroller Audit Review: 2014-01-22 We have reviewed RDA 3084 from an audit standpoint. We recommend changing retention period to 5 years.
Agency: 02-20-2014 (1)Expand abstract: The original submission stated-The purpose of the records relates to discretionary grant working papers-contracts, financial records, program reports, monitoring/audit information. Documents include Year-end Reports-ED5181, Program Monitoring Tool-ED5409, Request for Advance or Reimbursement-ED5023, LEAPs Budget Amendment-ED5184. (2)Retention period: EDGAR/CFR Section 74.53 requires maintaining files/records for a minimum of 3 yrs.; older files/records can be destroyed at the end of each fiscal year. While these are state funds, we were recommending to follow the federal requirements. Can maintain records for up to 5 yrs. as suggested. (3)Record series storage and destruction: All records are paper copies beginning with 2009 and boxed alphabetically by fiscal year. The instructions/request submitted were to destroy oldest fiscal year annually at the end of the current fiscal year. (4)Record value: Historical was marked as the discretionary grant period is 3 years and the records cover the life of the grant. If historical should not be marked, that can be changed. (5)Sharing records: This question was not on the original form; however, these are state funds and the "federal audit" box was checked by mistake. We do not anticipate a need for federal audit or monitoring. (6)Record samples: Original submission included samples; please see attachments.
RMD Director Recomendations: 04-21-2014 RDA 3084 is a request to revise an existing RDA. The format will remain paper but the retention period will change from 3 years to five years. Recommend approval with the following changes as requested by agency in response to reviewer comments. Record Series Abstract: The purpose of the records relates to discretionary grant working papers-contracts, financial records, program reports, monitoring/audit information. Documents include Year-end Reports-ED5181, Program Monitoring Tool-ED5409, Request for Advance or Reimbursement-ED5023, LEAPs Budget Amendment-ED5184. Total Retention: 5 years Location: Andrew Johnson Tower 710 James Robertson Parkway File Arrangement: Alphabetically Record Value: Administrative & Fiscal Legal Citation: CFR 74.53 (sample uploaded) Agency Retention 5 years
Signed Form Received: 2014-03-05
PRC Meeting Date: 05-27-2014
PRC Comments: RDA approved with the following changes: Record Series Abstract: The purpose of the records relates to discretionary grant working papers-contracts, financial records, program reports, monitoring/audit information. Documents include Year-end Reports-ED5181, Program Monitoring Tool-ED5409, Request for Advance or Reimbursement-ED5023, LEAPs Budget Amendment-ED5184. Total Retention: 5 years Location: Andrew Johnson Tower 710 James Robertson Parkway File Arrangement: Alphabetically Record Value: Administrative & Fiscal Legal Citation: CFR 74.53 (sample uploaded) Agency Retention 5 years
PRC Action: Approved with Changes
RDA History
ID RDA PRC Reviewed PRC Action
1274 3084 2014-05-27 Approved with Changes