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Tennessee Secretary of State Tre Hargett
Records Management Division
RDA
RDA Management System
RDA Details
RDA
RDA: 2459
Database ID: 894
Record Series Title: Tennessee Higher Education Commission, Division of Postsecondary State Authorization (DPSA) Licensure Files
Record Series Abstract: DPSA Authorization Files contain the following documents: 1.)Application for Initial Authorization of a Postsecondary Educational Institution (HE-0008) including Applicant’s Initial Authorization Application with signatures; Applicant’s summary list of all institution programs; Applicant’s New Program Application (HE-0020); Applicant’s summary list of all administrative staff and faculty; Applicant’s School Personnel Application (HE-0013); Applicant’s description of faculty and administrative staff evaluation methodology; Agent Permit Application (HE-0014); Applicant’s summary list of all agents; A listing of the names, home addresses, and home phone numbers of all owners or listing of board members position and address; Copy of applicant’s lease with landlords names, address and phone numbers (if applicable); Applicant’s License or authorization to operate in home state (if applicable); Applicant’s Corporate Charter or Business License; Applicant’s most recent corporate annual report if incorporated for more than one year; Applicant’s listing of all instructional equipment; Applicant’s fire and sanitation inspection; Applicant’s Pre-enrollment checklist; Applicant’s Enrollment agreement or contract; Applicant’s sample copy of the transcript that the institution will use for each student; Applicant’s sample copy of a master student registration list; Applicant’s institutional catalog and catalog checklist; Applicant’s financial statement and disclosures; Applicant’s cohort default letters (Title IV institutions); Applicant’s copies of any audits, program reviews (Title IV institutions). 2.)Application for Reauthorization of a Postsecondary Educational Institutions (HE-0005) including Institution’s Reauthorization Application with signatures (HE-0005); Institution’s summary list of approved programs; Institution’s summary list of all administrative personnel and faculty; Institution’s student enrollment, completion and placement data report; Institution’s board/licensure passage rates; Institution’s enrollment and tuition chart for individual classes; Research data form for in-state institutions; Research data form for out-of-state recruitment only institutions; Institutional Catalog; Institution’s Pre-Enrollment Checklist; Institution’s enrollment agreement/contract and transferability of credit disclosure statement; Institution’s master student registration list; Institution’s transcript; Institution’s ownership information; Copy of Institution’s lease; Institution’s fire and sanitation inspection report; Institution’s student housing lease; Institution’s student housing fire and sanitation inspection report; Institution’s state authorization; Institution’s current annual report filed with the Secretary of State; Institution’s financial statement and disclosures; Institution’s student funding sources and loan sources; Institution’s in-house financing and payment plans; Institution’s audits/program reviews; Institution’s website compliance statement Institution’s cohort default letters (Title IV institutions). 3.)School Personnel Application (HE-0013) 4.)Agent Permit Application (HE-0014) 5.)Change of Ownership Application (HE-0015) 6.)Change of Institutional Address Application (HE-0017) 8.)Change of Institutional Name Applications (HE-0018) 9.)New Program Application (HE-0020) 10.)Notification of Discontinued Programs (HE-0021) 11.)Program Revision Notification Form (HE-0022)
Record Series Active: Yes
Cut Off at End of: Other
If Other, Explain: Cut off at the end of the calendar year in which it is approved, withdrawn, denied, or any other action is taken. For example, if approved in April of 2014 the record would be cut off December 31, 2014.
Total Retention: 5 Years 0 Months
Retention End Action: Destroy
Disposition Notes: Record will be maintained for 5 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 confidential information.
View Signed Form: Form Not Received
Worksheet
Worksheet ID: 894
Record Location: Tennessee Higher Education Commission, Div. of Postsecondary State Authorization Secure File Room Parkway Towers 404 James Robertson Parkway, Suite 1900 Nashville, TN 37243
File Arrangement: Alphabetically by name of institution and year
Media Format Generated: Paper
Media Format Stored: Paper: Sheet
Date Range: 2004-current.
Annual Accumulation: 25 - 50 cu. ft.
Current Volume: 2004-2008 files stored in 93 rolls of microfilm and 38 DVDs; 2009-2010 out for scanning to DVD by General Services; 2011-current 94 cu. ft. paper files.
Record Value: Administrative
Audit Requirements: State
Reference Frequency:
Current Year per Month: 20
Past Year: 10
2 - 5 Years: 25
Over 5 Years: 0
Data Update Frequency:
Information Shared Outside of State: No
If Shared, List Agencies:
Essential Record: Yes - Original
Essential Record Stored: Tennessee Higher Education Commission, Div. of Postsecondary State Authorization Secure File Room Parkway Towers 404 James Robertson Parkway, Suite 1900 Nashville, TN 37243
Essential Record Media Type: Paper
Confidential: No
Confidential Legal Citation:
Media Recommendation: Current Format
Media Recommendation Other:
Agency Retention: 5
Agency Retention - Years Active:
Agency Retention - Years Inactive: 5
Records Center Retention Period: N/A
Final Disposition after Retention Expires: Destroy
Legal Citation: None
Record Sample: No Sample
Legal Documentation: No Legal Documentation
Electronic Records Plan Inventory
System Name:
IT-ABC Number:
Hardware Description:
Software Description:
System Location:
Backup Procedures:
Disaster Recovery:
Data Migration Description:
Metadata Description:
Contact Information
Contact Name: Shauna Jennings
Job Title: DPSA Records Officer
Address 1: 404 James Robertson Parkway, 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): 03-27-2014 Current RDA states that this RDA is of historical value, questions why the retention is changing from Permanent to 2 years. RDA needs to state location of microfilm.
Tennessee State Libary and Archives: 05-12-2014 TSLA concurs with RMD comments.
Comptroller Audit Review: 2014-06-05 We have reviewed RDA 2459 from an audit standpoint. We recommend changing retention period to 5 years.
Agency: 06-26-2014 This statement is offered in response to the comment/question by Records Management Division that the “current RDA states that this RDA is of historical value, questions why the retention is changing from Permanent to 2 years” and the Audit recommendation that the retention period should be changed to 5 years. The Division of Postsecondary School Authorization (DPSA) conducted a review and determined there are no statutes, rules, or any other documentation that classify the records as historical or require the records to be maintained permanently. It is unknown why, when originally established more than 20 years ago, that the records were given a historic value and permanently retained. DPSA suspects that this is probably what the agency was told to do by records management many years ago. After institutions are initially authorized, they must complete a reauthorization application each subsequent year; therefore, the previous authorization or reauthorization becomes inactive upon the next year’s filing. DPSA refers to the most recent ‘reauthorization’ in its daily operation and from time to time may refer back an additional year; thus, it was determined that once the record becomes inactive the likelihood of use is for no more than 2 years. Additionally, the files may contain personal identifying and/or FERPA protected information that should be afforded protection through destruction at the earliest possible date. Because the record cut-off does not begin until the end of the calendar year of approval or reauthorization, DPSA’s retention proposal will result in records maintained under RDA 2459 often being maintained more than 2 years in totality. Given these facts, DPSA opines that as to the initial authorization and reauthorization applications the proposed retention of 2 years after the end of the calendar year of initial approval or reauthorization is justified. Items 3 through 11 in the Record Series Abstract should be given similar treatment as that given to initial authorization and reauthorization applications. These documents are applications designed to provide DPSA the information needed to approve a particular action or individual, for example, a program revision or agent. Once DPSA has reviewed the application and issued a determination, DPSA staff enters all necessary information into a database. Once all necessary information is entered, the likelihood of use of the paper documents beyond the proposed retention period is negligible. Additionally, agent permits must be renewed each year; therefore, the previous permit application becomes inactive. Finally, as to all documents in the Record Series Abstract, the proposed retention period will result in all currently active records and 2 years of inactive records being available for audit purposes.
RMD Director Recomendations: 08-06-2014 RDA 2459 is a request to revise the RDA. The agency is requesting to change the retention period from two years and permanent retention to two years and destroy. When the RDA was originally approved in 1996 it was asked to be stored on microfilm until the school closes and then destroy. This was changed in the 2005 revision to permanent. I have spoken with the State Archives and they agree that these records do not need to be kept for historical value and may be destroyed after five years. If agency plans on keeping this information in an electronic format they must provide the server information as per the electronic inventory of the worksheet. Recommend the PRC consider revising this RDA to reflect an agency retention of five years and then destroy. Approve with the following changes: Total Retention: 5 years Retention End Action: Destroy Disposition Notes: Record will be maintained inactive for 5 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 confidential information. Media Format Stored: Paper/electronic (remove microfilm) Electronic Inventory Section: Agency to provide information to RMD for inclusion in the RDA. Agency Retention 5 years Final Disposition: Destroy
Signed Form Received: 2014-06-27
PRC Meeting Date: 09-10-2014
PRC Comments: PRC approved RDA 2459 with the following changes: otal Retention: 5 years Retention End Action: Destroy Disposition Notes: Record will be maintained inactive for 5 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 confidential information. Media Format Stored: Paper/electronic (remove microfilm) Electronic Inventory Section: Agency to provide information to RMD for inclusion in the RDA. Agency Retention 5 years Final Disposition: Destroy
PRC Action: Approved with Changes
RDA History
ID RDA PRC Reviewed PRC Action
894 2459 2014-09-10 Approved with Changes
2052 2459 2015-06-23 Approved
2076 2459 2016-02-25 Approved
2140 2459 2016-06-22 Approved
2215 2459 2017-03-28 Approved
2427 2459 0000-00-00 Pending