An official website of the Tennessee Secretary of State.
Core Data
RDA Number
2117
Effective Date
Record Series Abstract
This Record series consist of individual records for Vocational Rehabilitation (VR) customers including personal information, medical records, psychological records, school records, fiscal records, disposition of case information any other related information.
Record Series Active
Yes
Cut Off at End of
Other
If Other, Explain
Records are cut off upon case closure. Cases can be either closed as successfully or unsuccessfully rehabilitated. Records are kept for the total retention period from the date of case closure. Prior to expungement of cases from the VR electronic case management system, (Aware) VR staff will follow necessary steps to ensure that cases are reviewed and that there are no outstanding obligations, no ongoing litigation, nor no debt owed by the customer that would prevent the case from being eligible for expungement.
Total Retention Years
5
Total Retention Months
0
Retention End Action
Destroy
Disposition Notes
Records that are received as paper are then scanned into digital format within 30 days of receipt. Upon verification of images the paper records are destroyed after 90 days and the electronic version is kept for the remainder of the retention period, then destroyed according to state approved methods.
Worksheet
Record Location
Records are electronically stored in the VR case management system (Aware). Paper records are maintained at statewide VR offices and facilities.
File Arrangement
Alpha and Numeric
Media Format Generated
Paper
Media Format Generated Summary
Paper: Sheet
Paper: Other
Media Format Stored
Electronic
Paper
Media Format Stored Summary
Electronic: Text
Paper: Sheet
Date Range
2017 to Present
Agency
Allotment Code
345
Annual Accumulation
8 cu. ft. 105 gigabytes
Current Volume
287 cu. ft. 610 gigabytes.
Record Value
Administrative
Legal
Audit Requirements
Both
Information Shared Outside the State
Yes
Shared Agencies
Rehabilitation Services Administration
Essential Record
Yes - Original
Essential Record Stored
VR maintains the paper documents. Electronic case management records are maintained and hosted in the cloud by the VR case management system vendor (Alliance Enterprises, Inc.). VR still has access to documents that were stored in the prior VR case management system (TRIMS) via FileNet, prior to migration to the new case management system (new system, Aware, went live in July 2021). Those electronic documents are maintained at Strategic Technology Solutions (STS) Data Center. After the required retention period, records will be destroyed according to state approved methods.
Essential Record Media Type
Electronic
Confidential
Yes
Confidential Legal Citation
T.C.A. 49-11-13 and 34C.F.R. 341.38
Does this Record Series Contain Sensitive Information?
No
Agency Retention
5 years 0 months
Retention Legal Citation
T.C.A. 49-11-13 and 34C.F.R. 341.38
Electronic Records Plan Inventory
System Name
Vocational Rehabilitation Case Management System (Aware)
Hardware Description
Hardware is managed by vendor (Alliance Enterprises) and meets State requirements, as determined by STS, in the contract procurement process.
Software Description
Software is managed by vendor (Alliance Enterprises) and meets State requirements, as determined by STS, in the contract procurement process.
System Location
Electronic case management records are maintained and hosted in the cloud by the Vocational Rehabilitation case management system vendor, Alliance Enterprises, Inc. VR still has access to documents that were stored in the prior VR case management system (TRIMS) via FileNet, prior to migration to the new case management system (new system, Aware, went live in July 2021).
Backup Procedures
The VR case management system vendor, Alliance Enterprises, Inc. is responsible for the security, performance, and continuous operation of the multiple instances of the case management system application. The vendor regularly backs up the data in the case management system, along with key supporting documents from the vendor that protects against data loss. Backup copies of the Aware and Attachment databases are also backed up in Read Access Geo-redundant storage (GRS). GRS copies data synchronously three times within a single physical location in the primary region using LRS. It then copies data asynchronously to a single physical location in the secondary region. Within the secondary region, data is copied synchronously three times using LRS.
All backup procedures are described in the vendor’s Disaster Recovery Plan. The vendor conducts at least one full disaster recovery exercise per 12-month period and records results, including lessons learned and plan improvements. The vendor is also available to conduct joint recovery exercises with customer agencies as requested to meet any additional agency disaster recovery requirements
All backup procedures are described in the vendor’s Disaster Recovery Plan. The vendor conducts at least one full disaster recovery exercise per 12-month period and records results, including lessons learned and plan improvements. The vendor is also available to conduct joint recovery exercises with customer agencies as requested to meet any additional agency disaster recovery requirements
Disaster Recovery
The VR case management system vendor, Alliance Enterprises, Inc., has a detailed Disaster Recovery Plan that provides:
• Plan activation guidelines
• Technical response flow and recovery strategies
• Recovery procedure guidelines
• Technical dependency references
• Rollback procedures that will be implemented to return to standard operating state
• Plan activation guidelines
• Technical response flow and recovery strategies
• Recovery procedure guidelines
• Technical dependency references
• Rollback procedures that will be implemented to return to standard operating state
Data Migration Description
Documents that are attached to Aware case files are added via the specific case “Attach” feature and are transmitted through HTTPS into the cloud-based Aware attachment database where they are stored.
RDA Comments
Records Management Division (RMD)
03-31-2022
No recommended changes.
Tennessee State Library and Archives
04-05-2022
No recommended changes.
Comptroller Audit Review
04-01-2022
We have reviewed RDA 2117 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
04-05-2022
No recommended changes.
RMD Director
04-07-2022
RDA 2117 is a request to revise an RDA. The retention period will remain five years and destroy. The format will be paper/electronic. The Title, Abstract, Cut Off, Disposition Notes, and Worksheet have been updated. Recommend approval of the request to revise RDA 2117.
Public Records Commission
04-25-2022
PRC approves RDA 2117