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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 2116
Database ID: 2297
Record Series Title: LIQUOR RELATED LICENSE FILES
Record Series Abstract: Records series contains license application for applicants that want to sell liquor, and all related forms and documentation. Included but not limited to Special occasion application to sell liquor, Catering application,& Responsible Vendor application. All forms are as follows: Liquor-By-The-Drink(LBD) Inspection Sheet, Questionnaire, Retail Inspection Report , Retail Package Store Non-Resident Liquor Sellers Permit Application, Application for license to sell alcoholic beverages at wholesale, Affidavit to accompany application for distiller’s representative permit, Application for Distiller’s Representative Permit, Application for license to manufacture or distill or rectify or brew alcoholic beverages, Application for special occasion license, Application for Winery license, Application for Permit to sell alcoholic beverage by the drink off premise permit, Application to conduct consumer education seminar, Clerk List, Responsible Vendor Training Program Application, Responsible Vendor Application, Information about Complaint , Application for Collector License, Direct Shipper License Application, List of Corporate Stockholders and Officers/LLC Members, Retail Application letter of waiver, Food Affidavit , Security Affidavit, Application for License to Sell Alcoholic beverages as farm winery, Annual Report Form, Declaration of Citizenship, Armed Forces License (For Tn. National Guard or a member of a reserve to ship wine from outside the US) this is an application form, Background Information-Retail, Certificate of Good moral Character, Credit Check Application, Application for Permit to sell alcoholic beverages on Premise- Airline, Passenger Train, boat; Premiere Type Tourist Resort License Application, Regulatory Citation, Wine Only Acknowledgement, Application for Permit to Import Alcohol, Personal Finance Statement, Notice of Catered Event, Statement of Cost, Application for Satellite Facility Permit, Application for Winery Self-Distribution Permit, Non-Manufacturing Non-resident liquor sellers permit application, Retail Application Letter of Waiver, Retail Renewal Notice, Transmittal Sheet for Processing from the Office, Non-Resident Renewal Notice, Wholesaler Inspection Acknowledgement, Notice of requirement for obtaining and maintaining a restaurant LBD License, Retail Application Credit Check, Agent Application Review Checklist, New LBD Applicant Checklist, Credit Check Authorization, LBD Wine only Acknowledgement , LBD Transmittal Sheet for Processing, LBD Inspection Acknowledgement, Farm Winery Inspection Report, Farm Winery Inspection Acknowledgement, Direct Shipper Renewal Notice, Manufacturer/Distiller/Rectifier Inspection Acknowledgement, LBD Inspection Request, Wine -Responsible Vendor Application, Wine Clerk List Retail Food store/Retail package & Winery
Record Series Active: Yes
Cut Off at End of: Calendar Year
If Other, Explain:
Total Retention: 5 Years 0 Months
Retention End Action: Destroy
Disposition Notes: These records are to be maintained in agency for five (5) years following expiration or closure, whichever is later. Once the establishment is closed and the license filed as inactive, the record is cut off. At the end of each calendar year, each establishment that was closed or became inactive in that year will be cut off and retained for five years and then destroyed.Files are generated in both paper and electronic format.The records will be maintained in agency for 5 years once closed. Paper will be converted into electronic format. Paper will be destroyed after verification of electronic documents is completed.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 2297
Record Location: Davy Crockett Tower 500 James Robertson Pkwy 3rd Floor Nashville TN 37243
File Arrangement: Alpha
Media Format Generated: Both
Media Format Stored: Paper/Electronic
Date Range: 2012 - current
Annual Accumulation: 100 CU. FT.- paper 2.0 G- Electronic
Current Volume: 600 CU. FT.- paper
Record Value: Administrative, Legal
Audit Requirements: State
Reference Frequency:
Current Year per Month: 5
Past Year: 2
2 - 5 Years: 1
Over 5 Years: 0
Data Update Frequency: Daily
Information Shared Outside of State: No
If Shared, List Agencies:
Essential Record: No
Essential Record Stored: Davy Crockett Tower 500 James Robertson Pkwy 3rd Floor Nashville TN 37243
Essential Record Media Type: Paper
Confidential: No
Confidential Legal Citation:
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 5 YEARS AFTER CLOSURE
Agency Retention - Years Active: UNTIL CLOSURE
Agency Retention - Years Inactive: 5
Records Center Retention Period: 0
Final Disposition after Retention Expires: Destroy
Legal Citation: NO
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name: ABC_be
IT-ABC Number: N/A
Hardware Description: Windows Servers Virtual Machines (VM) File Servers
Software Description: Microsoft Access 2007 Database File
System Location: STS Data Center North and South
Backup Procedures: Server and File Level Backups STS performs two levels of backups for Server and File Backups. • File level backup, of individual files and folders o It is performed on the server Monday through Friday. • Image level backup, of an entire server o It is performed on the virtual machines on Saturday and Sunday, so they can be entirely restored from that specific date. Data center backups are performed daily and are replicated to the other state data center. On the last calendar day of each month, a full backup is written to tape and sent offsite for 7 years.
Disaster Recovery: STS conducts disaster recovery. This procedure is a prioritized process of enabling critical and essential applications first and then continuing through the priority list to less significant applications. Disaster Recovery begins with the utilization of the STS’s North Data Center for both operations and data. If both STS’s South Data Center and STS’s North Data Center are out of operation, new operations will begin by acquiring appropriate hardware and software from a third party supplier, and restoring data from the offline tape backups stored with the current vendor: Iron Mountain Incorporated.
Data Migration Description: Data Migration will occur when support for the existing file format moves from Current to Twilight or Obsolete, or when software or hardware systems changes require the movement of RDA electronic data from a specified format to a different file format. Annual reviews will be conducted by the Records Officer and the IT Director. The IT Director will provide information and guidance to the Records Officer at the time of discovery regarding functional and operational performance of software and hardware that will change the status of file formats from Current to Twilight or Obsolete. The IT Director will advise and develop a solution to move the data to a Current file format that is appropriate to the RDA retention requirement for the specific data. This may include translation of the data to a Current file format, conversion to an acceptable Current File format to preserve the integrity of the information of the data, or movement of the data to a legacy architecture that maintains the environment where the file format is considered Current as long as this effort has full functional and operational support.
Metadata Description: License, Permit Numbers; Name, Business, Person; Date Issued; Expiration Date; Permit, License Type; Fee Totals; Renewal Date; Number, License, Permit; Address; Inovah Receipt Numbers; Date Closed;
Contact Information
Contact Name: Lisa Whittaker
Job Title: Procurement Officer
Address 1: Davy Crockett Tower 500 James Robertson Pkwy
Address 2: 3rd Floor
City: Nashville
Zip: 37243
Phone: 615-741-7556
Email: lisa.whittaker@tn.gov
Agency: Alcoholic Beverage Commission
Agency Head: Clay Byrd
Director: Clay Byrd
Allotment Code: 31603
Status
Action Requested: Revision
Comments
  Date Comments
Records Management Division (RMD): 08-17-2017 No recommended changes.
Tennessee State Libary and Archives: 08-23-2017 No recommended changes.
Comptroller Audit Review: 2017-08-18 We have reviewed RDA 2116 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 09-26-2017 We concur.
RMD Director Recomendations: 02-13-2018 RDA 2116 is a request to revise an RDA. The retention period will remain five years and destroy. The format will change from paper to paper/electronic. The Abstract, Cut Off, Disposition Notes, and Worksheet have been updated. Recommend approval of request to revise RDA 2116.
Signed Form Received: 2017-09-26
PRC Meeting Date: 04-25-2018
PRC Comments: PRC approves RDA 2116.
PRC Action: Approved
RDA History
ID RDA PRC Reviewed PRC Action
602 2116 2017-03-28 Approved
2297 2116 2018-04-25 Approved