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Board of Professional Responsibility Ethics Opinions

RDA Number
Effective Date
Record Series Abstract
Record includes but is not limited to all ethics inquires made pursuant to Tennessee Supreme Court Rule 9, Section 5. Ethics inquiries, both formal and informal, are received by Ethics Counsel by telephone, email, and by mail.
Record Series Active
Cut Off at End of
If Other, Explain
Upon conclusion of opinion or upon exhaustion of all appeals.
Total Retention Years
Total Retention Months
Retention End Action
Disposition Notes
All matters considered by the Board of Professional Responsibilitys Ethics Counsel pursuant to Tenn. Sup. Ct. R. 9, Section 5, are recorded as they are received and considered. All original paper documents (including formal ethics opinions and advisory ethics opinions) will be reformatted as electronic files, verified and approved. Thereafter, all copied paper originals will be destroyed by state approved methods. The electronic files will be retained by the Board of Professional Responsibility permanently.
Record Location
Board of Professional Responsibility 10 Cadillac Drive, Suite 200, Brentwood, TN.
File Arrangement
Media Format Generated
Media Format Stored
Date Range
2001 to Current
Annual Accumulation
5 gigabytes .5 cubic feet
Current Volume
355 gigabytes 8 cubic feet
Record Value
Audit Requirements
Information Shared Outside the State
Essential Record
Yes - Original
Essential Record Stored
Board of Professional Responsibility 10 Cadillac Drive, Suite 200 Brentwood, TN
Essential Record Media Type
Does this Record Series Contain Sensitive Information?
Agency Retention
System Name
OnBase and Ethics Inquiry (a custom-built information system designed for the Board for handling the ethics inquiries received on a daily basis).
Hardware Description
We use a 3-OnBase server cluster as virtual machines hosted on a four (4) host cluster which is stored on a clustered file system; database is stored on another database server. The database server for the ethics inquiry is run on top of the same VMware cluster.
Software Description
Ethics Inquiry Database: ESXi 6.0 hosting Windows Server 2008 R2 hosting SQL Server 2008
System Location
Board of Professional Responsibility offices - 10 Cadillac Drive, Suite 220, Brentwood, Tennessee, in the server room; backup is on-site with additional backup stored to the AWS Cloud in Virginia.
Backup Procedures
Primary backup is the document management system's secondary storage. Second backup is nightly on-site to local NAS; third backup is currently to cloud on a weekly basis (to be upgraded to nightly); database is backed up every four hours to a NAS.
Disaster Recovery
Sufficient hardware and virtual capacity exists in order to restore and/or redeploy stored data and permit continuity of operations in accordance with our disaster recovery plans.
Data Migration Description
Hyland software's OnBase data migration procedures
Records Management Division (RMD)
No recommended changes.
Tennessee State Library and Archives
No recommended changes.
Comptroller Audit Review
We have reviewed RDA 11193 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
Thank you!
RMD Director
RDA 11193 is a request to revise an RDA. The retention period will remain permanent. The format will remain paper/electronic. The Total Retention, Disposition Notes, and Worksheet have been updated. Recommend approval of request to revise RDA 11193.
Public Records Commission
PRC approves RDA 11193