An official website of the Tennessee Secretary of State.
Core Data
RDA Number
SW11
Effective Date
Record Series Abstract
Documents relating to an agency's internal audit reports and working papers generated by internal auditors to document investigations and/or audit reports conducted internally that are submitted to the commissioners, the Comptroller of the Treasury, and other parties. This RDA is not applicable to the Comptroller of the Treasury and its divisional offices.
Record Series Active
Yes
Cut Off at End of
Fiscal Year
Total Retention Years
10
Total Retention Months
0
Retention End Action
Destroy
Disposition Notes
Files are cut off at the end of each Fiscal Year, maintained for ten years. Records may be maintained in either paper or electronic format, as long as the electronic content has been verified for completeness, accuracy, and usability. Records in electronic format shall be maintained in Finance and Administration (F&A)/Strategic Technology Solutions (STS) approved software and server environment. Files are to be maintained in the agency for ten years and then destroyed by State approved method. Records in paper format may be transferred to State Records Center for storage. FORMER RDA: S2099
Worksheet
Record Location
Agency records officer shall keep documentation of specific location.
File Arrangement
alpha numeric
Media Format Generated
Electronic
Paper
Media Format Generated Summary
Electronic: Text
Electronic: Raster Image
Electronic: Spreadsheet/Database
Electronic: Email
Paper: Sheet
Media Format Stored
Electronic
Paper
Media Format Stored Summary
Electronic: Text
Electronic: Raster Image
Electronic: Spreadsheet/Database
Electronic: Email
Paper: Sheet
Date Range
1970 to current
Agency
Allotment Code
30513
Annual Accumulation
Agency records officer shall keep documentation of specific volume.
Current Volume
Agency records officer shall keep documentation of specific volume.
Record Value
Administrative
Fiscal
Audit Requirements
State
Information Shared Outside the State
No
Essential Record
No
Confidential
Yes
Confidential Legal Citation
TCA 10-7-504 (a) (22)
Does this Record Series Contain Sensitive Information?
Yes
Agency Retention
10 years
Records Center Retention Period
0
Retention Legal Citation
TCA 10-7-504 (a) (22)
Electronic Records Plan Inventory
System Name
Records Officer shall document system name.
Hardware Description
All hardware for maintaining the records series shall be maintained in accordance with the current standards of Strategic Technology Solutions (STS).
Software Description
All software for maintaining the records series shall be maintained in accordance with the current standards of Strategic Technology Solutions (STS). The agency shall use File Types and Formats that are considered High Confidence by STS.
System Location
Agency Records Officer shall document the system location.
Backup Procedures
The backup procedures system shall be maintained in accordance with the current standards of Strategic Technology Solutions (STS). Backup procedures shall be reviewed and tested annually.
Disaster Recovery
Agency shall have a detailed Disaster Recovery Plan for the system in accordance with the current standards of Strategic Technology Solutions (STS). Disaster Recovery plans shall be reviewed annually.
Data Migration Description
Agency shall have a detailed plan for migrating the electronic records in case of a software upgrade/change, hardware replacement, or a disaster.
RDA Comments
Records Management Division (RMD)
07-25-2024
No recommended changes.
Tennessee State Library and Archives
07-31-2024
No recommended changes.
Comptroller Audit Review
07-25-2024
We have reviewed RDA SW11 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
07-31-2024
Agency concurs, thank you.
RMD Director
08-20-2024
Statewide RDA SW11 is a request to revise an RDA. The retention period will remain ten years and then destroy. The format will be paper/electronic. The Abstract, Disposition Notes, and Worksheet have been updated. Recommend approval of the request to revise Statewide RDA SW11.
Public Records Commission
09-23-2024
PRC approves RDA SW11.