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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 11026
Database ID: 1860
Record Series Title: TDOT MultiModal Federal Grant
Record Series Abstract: All records regarding to Federal Grants including: Applications (TEAM, Agency), Contracts, Invoices, Asset Documentation, Monitoring Documentation (Financial Statements, Audit Reports, etc) and Correspondence. Approval of this RDA will allow for the retirement request of RDA's 2860,2862, 2863, 2868, & 2869. Programs included are: 5303, 5304, 5339, 5309, State of Good Repair, 5310, 5311, 5316 (3037), & 5317. These grant programs can last many years if purchased grant assets, such as equipment or buildings, are still in use. The cutoff period will not begin until the last asset is disposed, replaced, or transferred.
Record Series Active: Yes
Cut Off at End of: Other
If Other, Explain: The latter of either: the final Federal Financial Report (FFR) of the grant or the last disposal, replacement, or transfer date of all reportable assets purchased under the grant.
Total Retention: 5 Years 0 Months
Retention End Action: Destroy
Disposition Notes: While the grant is active the paper copies of the grant will be kept in the Multimodal Division for at least the first three years. After this time the records may be transferred to the State Records Center for up to four years. Depending on the individual grant, Multimodal may retain the records until the end of the active grant period. While the grant is still active Multimodal may scan the records into FileNet. After verification of the scanned images in FileNet the paper records will be destroyed. The scanned images will be retained until cut off date plus the five year retention after cut off. Once the grant is cut off and the FFR report is issued and the disposal, replacement, or transfer of the reportable assets is complete the records will be kept for five years and then destroyed.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 1847
Record Location: James K Polk Suite 1800, 505 Deaderick Street Nashville, TN 37243
File Arrangement: Alpha Numeric
Media Format Generated: Paper
Media Format Stored: Paper/Electronic
Date Range: 2000 to current
Annual Accumulation: 25 cu ft .865 gigabytes
Current Volume: 50 cu ft 3 gigabytes
Record Value: Administrative, Fiscal, Legal
Audit Requirements: Both
Reference Frequency:
Current Year per Month: 6
Past Year: 3
2 - 5 Years: 1
Over 5 Years: 1
Data Update Frequency: Weekly
Information Shared Outside of State: Yes
If Shared, List Agencies: Federal Transit Administration
Essential Record: No
Essential Record Stored:
Essential Record Media Type:
Confidential: No
Confidential Legal Citation:
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 5
Agency Retention - Years Active: 0
Agency Retention - Years Inactive: 5
Records Center Retention Period: 0
Final Disposition after Retention Expires: Destroy
Legal Citation: § 18.42 49 CFR Subtitle A (10–1–09 Edition)
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name: FileNet
IT-ABC Number:
Hardware Description: windows VM & Physical Servers
Software Description: PDF versions of documents. The PDF files will be imported into FileNet.
System Location: OIR Data Center North
Backup Procedures: Tape backups of the system are run daily, weekly, and monthly. The monthly backups are stored offsite at Iron Mountain. On file with OIR
Disaster Recovery: Access to all servers and data management systems is controlled through user login authentication. The servers are located in a secure server room, accessible only to Systems Administration staff. Tape backups of the system are run daily, weekly, and monthly. On file with OIR
Data Migration Description: OIR maintains and migrates data within the FileNet system. While the grant is still active Multimodal may scan the records into FileNet. After verification of the scanned images in FileNet the paper records will be destroyed. The scanned images will be retained until cut off date plus the five year retention after cut off.
Metadata Description: Subject/Title Date Created File Format Content Size
Contact Information
Contact Name: Larry Sanborn
Job Title: Records Officer
Address 1: James K. Polk Suite 1800,
Address 2: 505 Deaderick Street
City: Nashville
Zip: 37243
Phone: 615-532-7506
Email: Larry.Sanborn@tn.gov
Agency: Dept. of Transportation
Agency Head: Clay Bright
Director: Liza Joffrion
Allotment Code: 405.42
Status
Action Requested: New RDA
Comments
  Date Comments
Records Management Division (RMD): 06-19-2013 No recommended changes.
Tennessee State Libary and Archives: 06-21-2013 No recommended changes.
Comptroller Audit Review: 2013-06-28 We have reviewed record disposition authorization form 11026. From an audit standpoint we believe total retention should be at least 5 years.
Agency: 06-28-2013 Section 18.42 49 CFR Retention Period required is 3 years. We believe this period should match the Federal Regulation.
RMD Director Recomendations: 07-17-2013 Approve with the change to keep it five years as per the Audit Division's recommendation. The Audit Division explained they have had to review these records in the past and would like the extra time. Disposition Notes, Total Retention, Data Migration, and sections describing Agency Retention shall be updated to reflect the change.
Signed Form Received: 2013-07-02
PRC Meeting Date: 08-05-2013
PRC Comments: Approved with the retention period after cut off changed to five years. Disposition Notes, Total Retention, Data Migration, and sections describing Agency Retention shall be updated to reflect the change.
PRC Action: Approved with Changes
RDA History
ID RDA PRC Reviewed PRC Action
1860 11026 2013-08-05 Approved with Changes