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TDOT MultiModal Federal Grant

RDA Number
11026
Effective Date
Record Series Abstract
All records regarding to Federal Grants including: Applications (TEAM, Agency), Contracts, Invoices, Asset Documentation, Monitoring Documentation (Financial Statements, Audit Reports, etc) and Correspondence. Approval of this RDA will allow for the retirement request of RDA's 2860,2862, 2863, 2868, & 2869. Programs included are: 5303, 5304, 5339, 5309, State of Good Repair, 5310, 5311, 5316 (3037), & 5317. These grant programs can last many years if purchased grant assets, such as equipment or buildings, are still in use. The cutoff period will not begin until the last asset is disposed, replaced, or transferred.
Record Series Active
Yes
Cut Off at End of
Other
If Other, Explain
The latter of either: the final Federal Financial Report (FFR) of the grant or the last disposal, replacement, or transfer date of all reportable assets purchased under the grant.
Total Retention Years
5
Total Retention Months
0
Retention End Action
Destroy
Disposition Notes
While the grant is active the paper copies of the grant will be kept in the Multimodal Division for at least the first three years. After this time the records may be transferred to the State Records Center for up to four years. Depending on the individual grant, Multimodal may retain the records until the end of the active grant period. While the grant is still active Multimodal may scan the records into FileNet. After verification of the scanned images in FileNet the paper records will be destroyed. The scanned images will be retained until cut off date plus the five year retention after cut off. Once the grant is cut off and the FFR report is issued and the disposal, replacement, or transfer of the reportable assets is complete the records will be kept for five years and then destroyed.
Record Location
James K Polk Suite 1800, 505 Deaderick Street Nashville, TN 37243
File Arrangement
Alpha Numeric
Media Format Generated
Paper
Date Range
2000 to current
Allotment Code
405.42
Annual Accumulation
25 cu ft .865 gigabytes
Current Volume
50 cu ft 3 gigabytes
Record Value
Administrative
Fiscal
Legal
Audit Requirements
Both
Information Shared Outside the State
Yes
Shared Agencies
Federal Transit Administration
Essential Record
No
Confidential
No
Does this Record Series Contain Sensitive Information?
No
Agency Retention
5
Records Center Retention Period
0
System Name
FileNet
Hardware Description
windows VM & Physical Servers
Software Description
PDF versions of documents. The PDF files will be imported into FileNet.
System Location
OIR Data Center North
Backup Procedures
Tape backups of the system are run daily, weekly, and monthly. The monthly backups are stored offsite at Iron Mountain. On file with OIR
Disaster Recovery
Access to all servers and data management systems is controlled through user login authentication. The servers are located in a secure server room, accessible only to Systems Administration staff. Tape backups of the system are run daily, weekly, and monthly. On file with OIR
Data Migration Description
OIR maintains and migrates data within the FileNet system. While the grant is still active Multimodal may scan the records into FileNet. After verification of the scanned images in FileNet the paper records will be destroyed. The scanned images will be retained until cut off date plus the five year retention after cut off.
Records Management Division (RMD)
06-19-2013
No recommended changes.
Tennessee State Library and Archives
06-21-2013
No recommended changes.
Comptroller Audit Review
06-28-2013
We have reviewed record disposition authorization form 11026. From an audit standpoint we believe total retention should be at least 5 years.
Agency Records Officer
06-28-2013
Section 18.42 49 CFR Retention Period required is 3 years. We believe this period should match the Federal Regulation.
RMD Director
07-17-2013
Approve with the change to keep it five years as per the Audit Division's recommendation. The Audit Division explained they have had to review these records in the past and would like the extra time. Disposition Notes, Total Retention, Data Migration, and sections describing Agency Retention shall be updated to reflect the change.
Public Records Commission
08-05-2013
Approved with the retention period after cut off changed to five years. Disposition Notes, Total Retention, Data Migration, and sections describing Agency Retention shall be updated to reflect the change.