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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 11042
Database ID: 2487
Record Series Title: Tennessee Higher Education Commission, Division of Postsecondary State Authorization (DPSA) Complaint, Investigation, Exemption, and Claim Files
Record Series Abstract: DPSA formal complaint files are assigned a specifican auto-generated complaint number and may include, but not be limited to, 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 includingincludes claim forms and justifying documentation. Investigation files are comprised of materials gathered during the investigation of authorized or unauthorized institutions unrelated to complaints. Exemption files include requests for exemption recognition or granting of T.C.A. § Tenn. Code Ann. 49-7-2004 exemption status. Files may contain confidential information including, but not limited to, education records and personally identifiable information (PII).
Record Series Active: Yes
Cut Off at End of: Other
If Other, Explain: Cut off at the end of the calendar year when in which the complaint, investigation, exemption request, or claim is officially withdrawn or closed.
Total Retention: 5 Years 0 Months
Retention End Action: Destroy
Disposition Notes: Records will be maintained active until end of the calendar year in which the complaint, investigation, exemption request, or claim is officially withdrawn or closed. Records will be maintained inactive for five (5) calendar years after cut off. Paper records will be migrated into electronic format and electronic files will be kept for the life of the record series and then destroyed according to state approved methods for confidential record destruction. Active files will be maintained in the DPSA Laserfiche electronic file room.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 2492
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: Both
Media Format Stored: Electronic: Other
Date Range: 1/2009 to Current
Annual Accumulation: 10 MB
Current Volume: 100 MB / 1 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: Five (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: Agency Share Drive
IT-ABC Number: Strategic Technology Solutions (STS) Data Center S
Hardware Description: Windows Server 2003, Windows Storage Server 2008, Microsoft Virtual Server, VMWare Virtual Server
Software Description: TN State STS Data Center
System Location: TN State STS Data Center
Backup Procedures: Data stored on the Shared SQL server is replicated. For the Windows application server, currently, only standard file level backup services are offered. Every STS managed server performs a nightly incremental backup to a disk storage device and is replicated to the other datacenter upon completion. Incremental backups are performed every night of the week and are retained for 30 days at each site. On the last Friday of the calendar month, a full backup is taken of every server and that full backup image is kept on disk for 60 days at both datacenters. The full backup image is also duplicated to tape for long term storage at Iron Mountain for 7 years. The standard backup window for both incremental and full server backups is between 6pm and 6am central time.
Disaster Recovery: STS preforms nightly backups of servers which includes the current two days of backups for each database. Hard copy Backups are stored off-site weekly.
Data Migration Description: The data resides in an SQL database located at the Data Center. If there were a need for migration, it could be done by STS database administrators.
Metadata Description: File Name, File Type, Date,
Contact Information
Contact Name: Marcie Mills
Job Title: Records Officer, Paralegal
Address 1: 404 James Robertson Pkwy, Suite 1510
Address 2:
City: Nashville
Zip: 37243
Phone: 615.25.7458
Email: Marcie.Mills@tn.gov
Agency: TN Higher Education Commission
Agency Head: Mr. Mike Krause
Director: Dr. Stephanie Bellard-Chase, Associate Executive Director for the Division of Postsecondary State Authorization
Allotment Code: 33201
Status
Action Requested: Revision
Comments
  Date Comments
Records Management Division (RMD): 10-04-2018 No recommended changes.
Tennessee State Libary and Archives: 10-04-2018 No recommended changes.
Comptroller Audit Review: 2018-10-04 We have reviewed RDA 11042 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency: 10-08-2018 Thank you for your comments.
RMD Director Recomendations: 10-10-2018 RDA 11042 is a request to revise an RDA. The retention period will remain five years and destroy. The format will be paper/electronic. The Abstract, Disposition Notes, and Worksheet have been updated. Recommend approval of request to revise RDA 11042.
Signed Form Received: 2018-10-10
PRC Meeting Date: 10-30-2018
PRC Comments: PRC approves RDA 11042.
PRC Action: Approved
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