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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 11135
Database ID: 2062
Record Series Title: Investigations Working Papers
Record Series Abstract: Documentation created to support the findings, conclusions/results, recommendations, referrals, and reports for investigations conducted by the Comptroller of the Treasury investigations units. This documentation may include but is not limited to: documentary evidence such as contracts, checks and invoices; analytical evidence such as data comparisons and analyses; testimonial evidence such as interrogations and interviews; and physical evidence such as confiscated records.
Record Series Active: Yes
Cut Off at End of: Other
If Other, Explain: Upon either report publication, case closure, or the conclusion of all court proceedings.
Total Retention: 5 Years 0 Months
Retention End Action: Destroy
Disposition Notes: Each case will be cutoff after either a report is published, the case is closed, or at the conclusion of all court proceedings depending on the action taken to conclude each investigation. Paper records will be maintained in agency for one year after cutoff and/or all court proceedings and appeals have been completed. Whichever is later, and then transferred to state records center for four years. Electronic records will be maintained on the agency's server for five years. All records will then be destroyed by state approved methods.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 2065
Record Location: Cordell Hull Building - 3rd Floor
File Arrangement: Alpha, numeric
Media Format Generated: Both
Media Format Stored: Paper/Electronic
Date Range: 1996-current
Annual Accumulation: 20 cu. ft. , 1 GB
Current Volume: 100 cu. ft. , 20 GB
Record Value: Fiscal, Legal
Audit Requirements: State
Reference Frequency:
Current Year per Month: 30
Past Year: 20
2 - 5 Years: 10
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: Original records are stored in both paper and electronic. Electronic records are stored on agency servers, and paper records are stored in agency and at state records center.
Essential Record Media Type: Paper
Confidential: Yes
Confidential Legal Citation: 10-7-504 TCA
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 5 year
Agency Retention - Years Active: 1 year
Agency Retention - Years Inactive: 4 years
Records Center Retention Period:
Final Disposition after Retention Expires: Destroy
Legal Citation: 10-7-504 TCA
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name: agency network server IGO2WW52
IT-ABC Number:
Hardware Description: stored on file servers with appropriate folders
Software Description: shared folder (CIFS) on our EMC VNX (like a SAN/NAS)
System Location: Cordell Hull Building
Backup Procedures: Backup procedures include nightly tapes, which are stored off-site (Iron Mountain), as well as nightly replication of the database to the COT DR Site.
Disaster Recovery: The recovery goal for File Storage Servers - 8 hours.
Data Migration Description: Data stored on File Servers with appropriate document extension.
Metadata Description: Each document has associate metadata fields captured (property size, related dates, related people)
Contact Information
Contact Name: Rosemary Dixon
Job Title: Publications Editor
Address 1: 425 5th Ave N. 3rd floor
Address 2:
City: Nashville
Zip: 37243
Phone: 615-401-7860
Email: mailto:Rosemary.Dixon@cot.tn.gov
Agency: Comptroller of the Treasury
Agency Head: Justin P. Wilson
Director: Jeff Puckett
Allotment Code: 30713
Status
Action Requested: New RDA
Comments
  Date Comments
Records Management Division (RMD): 08-20-2015 No recommended changes
Tennessee State Libary and Archives: 08-20-2015 No recommended changes.
Comptroller Audit Review: 2015-08-24 We have reviewed RDA 11135 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 08-31-2015 no changes
RMD Director Recomendations: 09-22-2015 RDA 11135 is a request for a new RDA. the retention period will be five years and destroy. The format will be paper/electronic. Recommend request for new RDA 11135 be approved.
Signed Form Received: 2015-09-21
PRC Meeting Date: 10-13-2015
PRC Comments: PRC approves RDA 11135.
PRC Action: Approved
RDA History
ID RDA PRC Reviewed PRC Action
2062 11135 2015-10-13 Approved