LOTTERY FOR EDUCATION: AFTERSCHOOL PROGRAMS (LEAP)

Expand abstract for clearer definition of record series. Check with Audit Division if 3 years is long enough retention period. Disposition Notes need clarification on how the record series is stored and clarification of when destroyed. Missing Record Location, File Arrangement, Record Value,Record Sample and Legal Sample. If subject to Federal Audit there should be information on Federal agency record may be shared with. Clarify Legal Citation

TSLA concurs with RMD comments and Audit comments.

We have reviewed RDA 3084 from an audit standpoint. We recommend changing retention period to 5 years.

(1)Expand abstract: The original submission stated-The purpose of the records relates to discretionary grant working papers-contracts, financial records, program reports, monitoring/audit information. Documents include Year-end Reports-ED5181, Program Monitoring Tool-ED5409, Request for Advance or Reimbursement-ED5023, LEAPs Budget Amendment-ED5184. (2)Retention period: EDGAR/CFR Section 74.53 requires maintaining files/records for a minimum of 3 yrs.; older files/records can be destroyed at the end of each fiscal year. While these are state funds, we were recommending to follow the federal requirements. Can maintain records for up to 5 yrs. as suggested. (3)Record series storage and destruction: All records are paper copies beginning with 2009 and boxed alphabetically by fiscal year. The instructions/request submitted were to destroy oldest fiscal year annually at the end of the current fiscal year. (4)Record value: Historical was marked as the discretionary grant period is 3 years and the records cover the life of the grant. If historical should not be marked, that can be changed. (5)Sharing records: This question was not on the original form; however, these are state funds and the "federal audit" box was checked by mistake. We do not anticipate a need for federal audit or monitoring. (6)Record samples: Original submission included samples; please see attachments.

RDA 3084 is a request to revise an existing RDA. The format will remain paper but the retention period will change from 3 years to five years. Recommend approval with the following changes as requested by agency in response to reviewer comments. Record Series Abstract: The purpose of the records relates to discretionary grant working papers-contracts, financial records, program reports, monitoring/audit information. Documents include Year-end Reports-ED5181, Program Monitoring Tool-ED5409, Request for Advance or Reimbursement-ED5023, LEAPs Budget Amendment-ED5184. Total Retention: 5 years Location: Andrew Johnson Tower 710 James Robertson Parkway File Arrangement: Alphabetically Record Value: Administrative & Fiscal Legal Citation: CFR 74.53 (sample uploaded) Agency Retention 5 years