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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 11042
Database ID: 1894
Record Series Title: Tennessee Higher Education Commission, Division of Postsecondary State Authorization (DPSA) Complaint, Investigation, and Claim Files
Record Series Abstract: DPSA formal complaint files are assigned a specific complaint number and may include the following: written statement from the complainant, DPSA's request for a response from the institution referenced in the complaint, response from the institution, and any other documentation related to the investigation and resolution and or conclusion of the complaint. Tuition Guaranty Fund (TGF) claims are files including claim forms and justifying documentation. Investigation files are comprised of materials gathered during the investigation of authorized institutions unrelated to complaints.
Record Series Active: Yes
Cut Off at End of: Other
If Other, Explain: Cut off at the end of the calendar year when the complaint, investigation, or claim is officially withdrawn or closed.
Total Retention: 5 Years 0 Months
Retention End Action: Destroy
Disposition Notes: Records will be maintained inactive for five calendar years after cut off. After five years the records are to be destroyed. Files may contain sensitive information including but not limited to education records and personal identifiable information, therefore files will be destroyed according to standards for secured information.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 1879
Record Location: Tennessee Higher Education Commission, Division of Postsecondary State Authorization Secure File Room, Parkway Towers 404 James Robertson Parkway, Suite 1900, Nashville, TN 37243
File Arrangement: Alphabetically by closure/withdrawal year
Media Format Generated: Paper
Media Format Stored: Paper: Sheet
Date Range: 1/2009 to Current
Annual Accumulation: 6 cu. ft.
Current Volume: 12 cu. ft.
Record Value: Administrative, Legal
Audit Requirements: State
Reference Frequency:
Current Year per Month: 12
Past Year: 243
2 - 5 Years: 30
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: No
Confidential Legal Citation:
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 5 years from end of calendar year of date of withdrawal or closure
Agency Retention - Years Active: 0
Agency Retention - Years Inactive: 5
Records Center Retention Period: N/A
Final Disposition after Retention Expires: Destroy
Legal Citation:
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name:
IT-ABC Number:
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Backup Procedures:
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Data Migration Description:
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Contact Information
Contact Name: Shauna Jennings
Job Title: DPSA Records Officer
Address 1: 404 James Robertson Pkwy, Suite 1900
Address 2:
City: Nashville
Zip: 37243
Phone: 615-741-0662
Email: shauna.jennings@tn.gov
Agency: TN Higher Education Commission
Agency Head: Dr. Russ Deaton, Interim Executive Director
Director: Dr. Stephanie Bellard-Chase, Assistant Executive Director for Postsecondary State Authorization
Allotment Code: 33201
Status
Action Requested: New RDA
Comments
  Date Comments
Records Management Division (RMD): 01-30-2014 Consider adding Records Value: Legal as complaints could be used in litigation.
Tennessee State Libary and Archives: 02-10-2014 Concur with RMD comment.
Comptroller Audit Review: 2014-05-05 We have reviewed RDA 11042 from an audit standpoint. We recommend changing retention period to 5 years.
Agency: 05-19-2014 In response to the Audit recommendation, DPSA finds that the proposed disposition that complaint files be maintained with the agency for 2 years after the complaint is officially closed meets the recommendation stated in the Performance Audit for Tennessee Higher Education Commission dated August 2007. The Audit states as follows on page 14: Since there are no requirements for THEC to keep complaint files for any period of time before destroying them, the file[s] could be destroyed as soon as a complaint investigation is completed. The Audit further states on page 14: For documentation purposes, and to track whether schools receive multiple complaints on the same topic in a multi-year period, THEC should keep these files for a minimum of two years or until an audit by this office covering the period in question has been completed. THEC should create and file a Records Disposition Authorization with the Department of General Services Records Management Division that covers the postsecondary education files. DPSA’s retention proposal will result in complaint files being maintained more than two years because the retention period of two years does not begin until the investigation of the complaint has been completed and the complaint has been closed. The likelihood of the use of the materials beyond the proposed retention period is negligible given that after the cut-off date the files have no value. Additionally, the files contain personal identifying and/or FERPA protected information that should be afforded protection through destruction at the earliest possible date. Given these facts, DPSA opines that the proposed retention of two years after the complaint is closed is justified.
RMD Director Recomendations: 08-12-2014 RDA 11042 is a request for a new RDA. Recommend the retention period be five years to comply with current recommendation from the Comptroller\\\'s Audit Division. By maintaining the record for five years the agency will have a clear reference point and avoid confusion about if an audit has been completed. Recommend approval of RDA 11042 with the following changes: Retention Period: 5 years Disposition Notes: Records will be maintained with the agency for 2 years after the complaint is officially closed. Records will be then transferred to State Records Center for 3 year retention. After retention the record will then be destroyed. Complaint files may contain sensitive information including but not limited to education records and personal identifiable information, therefore files will be destroyed according to standards for secured information. Record Value: Administrative and Legal Records Center Retention: 3 years
Signed Form Received: 2014-05-27
PRC Meeting Date: 09-10-2014
PRC Comments: PRC approved RDA 11042 with the following changes: Retention Period: 5 years Disposition Notes: Records will be maintained with the agency for 2 years after the complaint is officially closed. Records will be then transferred to State Records Center for 3 year retention. After retention the record will then be destroyed. Complaint files may contain sensitive information including but not limited to education records and personal identifiable information, therefore files will be destroyed according to standards for secured information. Record Value: Administrative and Legal Records Center Retention: 3 years
PRC Action: Approved with Changes
RDA History
ID RDA PRC Reviewed PRC Action
1894 11042 2014-09-10 Approved with Changes
2053 11042 2015-06-23 Approved
2075 11042 2016-02-25 Approved
2486 11042 0000-00-00 Pending
2487 11042 2018-10-30 Approved
2562 11042 0000-00-00 Pending
2563 11042 0000-00-00 Pending