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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 11190
Database ID: 1946
Record Series Title: Board of Professional Responsibility Permanent Disciplinary Counsel Files
Record Series Abstract: Investigation and Litigation Disciplinary Counsel Files pertaining to complaints made to the Board of Professional Responsibility concerning alleged ethical misconduct of attorneys licensed to practice law in the state of Tennessee. Records include, but are not limited to, all complaints, investigation reports, memoranda, correspondence, affidavits, pleadings, discovery documents, evidence, and other items under review by the Board of Professional Responsibility’s Disciplinary Counsel. Items contained in the file are confidential except where made public pursuant to Tennessee Supreme Court Rule 9, Section 32.
Record Series Active: Yes
Cut Off at End of: Other
If Other, Explain: Until the conclusion of the investigation or disciplinary matter arising from the investigation of a complaint of misconduct. Upon the conclusion of the complaint after exhaustion of the appeal.
Total Retention: 5 Years 0 Months
Retention End Action: Permanent
Disposition Notes: Upon the conclusion of a complaint investigation or disciplinary matter, all original documents will be reformatted as electronic files, verified and approved; thereafter, all copied originals will be destroyed by state approved methods. The electronic files will be retained by the Board permanently. Files will be maintained by disciplinary counsel in paper and electronic format until the conclusion of the investigation or disciplinary matter arising from the investigation of a complaint of misconduct. Upon the conclusion of the matter, the paper file will be reformatted into electronic media and stored by the Board of Professional Responsibility permanently. All original documents will be reformatted as electronic files, verified and approved; thereafter, all copied originals will be destroyed after 5 years by state approved methods.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 1922
Record Location: Board of Professional Responsibility 10 Cadillac Drive, Suite 200 Brentwood, TN
File Arrangement: alpha-numeric
Media Format Generated: Both
Media Format Stored: Electronic: Raster Image
Date Range: 2001 - Current
Annual Accumulation: 5gb
Current Volume: 355 gigabytes
Record Value: Legal
Audit Requirements: State
Reference Frequency:
Current Year per Month: 10
Past Year: 365
2 - 5 Years: 1
Over 5 Years: 5
Data Update Frequency: Daily
Information Shared Outside of State: No
If Shared, List Agencies:
Essential Record: Yes - Original
Essential Record Stored: Board of Professional Responsibility 10 Cadillac Drive, Suite 220 Brentwood, TN
Essential Record Media Type: Electronic
Confidential: Yes
Confidential Legal Citation: Tennessee Supreme Court Rule 9, Section 32.
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: Permanently
Agency Retention - Years Active:
Agency Retention - Years Inactive:
Records Center Retention Period:
Final Disposition after Retention Expires: Keep as Electronic
Legal Citation: Tennessee Supreme Court Rule 9, Section 32
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name: OnBase
IT-ABC Number:
Hardware Description: We use a 3-OnBase server cluster as virtual machines hosted on a four (4) host cluster which is stored on a clustered file system; database is stored on another database server.
Software Description: ESXi Windows 2012-A2 - OnBase – Hyper-V Windows 2012 R2 – Server 2014.
System Location: Board of Professional Responsibility offices – 10 Cadillac Drive, Suite 220, Brentwood, Tennessee, in the server room; backup is on-site with additional backup stored on ASW Cloud in Virginia.
Backup Procedures: Primary backup is the document management system’s secondary storage. Second backup is nightly on-site to local NAS; third backup is currently to cloud on a weekly basis (to be upgraded to nightly); database is backed up every four hours.
Disaster Recovery: Sufficient hardware and virtual capacity exists in order to restore and/or redeploy stored data and permit continuity of operations in accordance with our disaster recovery plans.
Data Migration Description: Hyland software's OnBase data migration procedures
Metadata Description: Metadata is indexed on the following key words: 102) Docket #; (103) Respondent Name OLD; (105) Private Discipline Type; (106) Reprimand Type; (107) County of Practice; (108) Rule #; (109) Verbal Description of Violation; (110) Closed #; (111) Complaint #; (112) Complainant; (113) Press Release Date; (114) Meeting Date; (115) Roster Type; (116) Term Year; (117) Revision Date; (118) Ethics Opinion Type; (119) Opinion Number; (120) Rule Number Addressed; (121) Key words(s) of Violation; (122) Date Discipline Issued; (123) Publication Date; (124) Date; (125) Topic; (126) Create/Revision Date; (127) Presentation Date; (128) Last Name; (129) First Name; (130) MI; (131) State; (132) License ID; (133) Case Participation Year; (134) Year; (Mult.); (135) Attorney Name; (136) Organization Name; (137) Document Type; (MISC-2); (138) Document Name; (139) Vendor Name; (140) Payment Date; (141) Memo Date; (142) Pleading Type; (143) Appellate Brief; (144) Evidence Issues; (145) Keywords of Argument (146) Department; (147) Type of Document; (149) Document Type (IF); (151) New Requests; (154) MISC - Document Type; (155) Registration Type; (157) AD Num; (158) Document Type; (BMM); (159) Rule 44 Organization; (160) Reference; (162) Respondent FN; (163) Respondent LN; (164) Respondent MI; (165) Respondent Suffix; (166) Respondent County Practice; (167) Respondent County/Practice; (Test); (168) Suffix; (169) Respondent County/Practice; (170) BPR #; (171) Document Type; (MISC); (172) Public Discipline Type; (173) Complainant FN; (174) Complainant LN; (175) Complainant MI; (176) Complainant Suffix; (177) Sent to CAP; (178) Status; (179) Form Name; (180) Misc.; (181) 2Complainant FN; (182) 2Complainant LN; (183) 2Complainant MI; (184) 2Complainant Suffix; (185) 3Complainant FN; (186) 3Complainant LN; (187) 3Complainant MI; (188) 3Complainant Suffix; (189) Alpha; (190) Description (PV); (191) Account Name; (192) CorpAtty; (193) Docket # (FD); (194) Closed # (FD); (195) Correspondence Type; (196) Month (RG); (197) Cause of Suspension; (198) Film Description 1; (199) Film Description 2; (202) Month (MR); (204) Document Type (AAC-2); (211) Bank Account; (217) Return Form; (218) Document Type (AAC-1); (223) Petty Cash Documents; (224) Document Type (AC); (231) Correspondence; (232) Month; (234) Document; (235) Year; (236) Start Date; (237) End Date; (238) Record Type; (239) Days; (240) Hours; (241) Comp Time; (242) Meeting Type; (243) Retired Reason; (244) Application; (245) Project Name; (246) Product; (247) Vendor; (248) Related BOPR Docket #; (249) Court & Case #; (250) Date Filed; (251) Date Closed; (252) Party; (253) Type; (254) Other; (255) Reference #; (256) Purchase Order #; (257) Complaint Closed Reason; (258) Complaint Source; (259) Docket Sheet #; (261) Title; (262) .Respondent FN; (263) .Respondent LN; (265) .Respondent MI; (266) .Respondent Suffix; (267) .BPR #; (268) .Complainant FN; (269) .Complainant LN; (270) .Complaint #; (272) .Docket #.
Contact Information
Contact Name: Ceesha Lofton
Job Title: Legal Project Assistant and Records Officer
Address 1: Nashville City Center, Suite 600
Address 2: 511 Union Street
City: Nashville
Zip: 37219
Phone: 6157412687
Email: ceesha.lofton@tncourts.gov
Agency: Administrative Office of the Courts
Agency Head: Deborah Taylor Tate
Director: Sandy Garrett
Allotment Code:
Status
Action Requested: New RDA
Comments
  Date Comments
Records Management Division (RMD): 10-06-2016 No recommended changes
Tennessee State Libary and Archives: 10-07-2016 No recommended changes.
Comptroller Audit Review: 2016-10-07 We have reviewed RDA 11190 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 10-10-2016 Thank you.
RMD Director Recomendations: 10-12-2016 RDA 11190 is a request for a new RDA. The retention period will be five years and permanent. The format will be electronic. Recommend approval of request to create RDA 11190.
Signed Form Received: 2016-10-12
PRC Meeting Date: 11-03-2016
PRC Comments: PRC approves RDA 11190.
PRC Action: Approved
RDA History
ID RDA PRC Reviewed PRC Action
1946 11190 2016-11-03 Approved
2229 11190 2017-03-28 Approved