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Board of Professional Responsibility Ethics Opinions

Core Data
RDA Number
11193
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
Yes
Cut Off at End of
Other
If Other, Explain
Upon conclusion of opinion or upon exhaustion of all appeals.
Total Retention Years
0
Total Retention Months
0
Retention End Action
Permanent
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.
Worksheet
Record Location
Board of Professional Responsibility 10 Cadillac Drive, Suite 200, Brentwood, TN.
File Arrangement
Alpha-numeric
Media Format Generated
Both
Media Format Stored
Electronic
Date Range
2001 to Current
Agency
Administrative Office of the Courts
Annual Accumulation
5 gigabytes .5 cubic feet
Current Volume
355 gigabytes 8 cubic feet
Record Value
Legal
Audit Requirements
State
Information Shared Outside the State
No
Essential Record
Yes - Original
Essential Record Stored
Board of Professional Responsibility 10 Cadillac Drive, Suite 200 Brentwood, TN
Essential Record Media Type
Electronic
Confidential
No
Does this Record Series Contain Sensitive Information?
No
Agency Retention
Permanent
Retention Legal Citation
Tenn. Supreme Court Rule 9, Section 5
Electronic Records Plan Inventory
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
Metadata Description
Metadata is indexed on the following key words: 102) Docket #; (103) Respondent Name OLD; (105) Private Discipline Type; (106) Reprimand Type; (107) County of Practice; (108) Rule #; (109) Verbal Description of Violation; (110) Closed #; (111) Complaint #; (112) Complainant; (113) Press Release Date; (114) Meeting Date; (115) Roster Type; (116) Term Year; (117) Revision Date; (118) Ethics Opinion Type; (119) Opinion Number; (120) Rule Number Addressed; (121) Key words(s) of Violation; (122) Date Discipline Issued; (123) Publication Date; (124) Date; (125) Topic; (126) Create/Revision Date; (127) Presentation Date; (128) Last Name; (129) First Name; (130) MI; (131) State; (132) License ID; (133) Case Participation Year; (134) Year; (Mult.); (135) Attorney Name; (136) Organization Name; (137) Document Type; (MISC-2); (138) Document Name; (139) Vendor Name; (140) Payment Date; (141) Memo Date; (142) Pleading Type; (143) Appellate Brief; (144) Evidence Issues; (145) Keywords of Argument (146) Department; (147) Type of Document; (149) Document Type (IF); (151) New Requests; (154) MISC - Document Type; (155) Registration Type; (157) AD Num; (158) Document Type; (BMM); (159) Rule 44 Organization; (160) Reference; (162) Respondent FN; (163) Respondent LN; (164) Respondent MI; (165) Respondent Suffix; (166) Respondent County Practice; (167) Respondent County/Practice; (Test); (168) Suffix; (169) Respondent County/Practice; (170) BPR #; (171) Document Type; (MISC); (172) Public Discipline Type; (173) Complainant FN; (174) Complainant LN; (175) Complainant MI; (176) Complainant Suffix; (177) Sent to CAP; (178) Status; (179) Form Name; (180) Misc.; (181) 2Complainant FN; (182) 2Complainant LN; (183) 2Complainant MI; (184) 2Complainant Suffix; (185) 3Complainant FN; (186) 3Complainant LN; (187) 3Complainant MI; (188) 3Complainant Suffix; (189) Alpha; (190) Description (PV); (191) Account Name; (192) CorpAtty; (193) Docket # (FD); (194) Closed # (FD); (195) Correspondence Type; (196) Month (RG); (197) Cause of Suspension; (198) Film Description 1; (199) Film Description 2; (202) Month (MR); (204) Document Type (AAC-2); (211) Bank Account; (217) Return Form; (218) Document Type (AAC-1); (223) Petty Cash Documents; (224) Document Type (AC); (231) Correspondence; (232) Month; (234) Document; (235) Year; (236) Start Date; (237) End Date; (238) Record Type; (239) Days; (240) Hours; (241) Comp Time; (242) Meeting Type; (243) Retired Reason; (244) Application; (245) Project Name; (246) Product; (247) Vendor; (248) Related BOPR Docket #; (249) Court & Case #; (250) Date Filed; (251) Date Closed; (252) Party; (253) Type; (254) Other; (255) Reference #; (256) Purchase Order #; (257) Complaint Closed Reason; (258) Complaint Source; (259) Docket Sheet #; (261) Title; (262) .Respondent FN; (263) .Respondent LN; (265) .Respondent MI; (266) .Respondent Suffix; (267) .BPR #; (268) .Complainant FN; (269) .Complainant LN; (270) .Complaint #; (272) .Docket #.
RDA Comments
Records Management Division (RMD)
03-02-2017
No recommended changes.
Tennessee State Library and Archives
03-02-2017
No recommended changes.
Comptroller Audit Review
03-06-2017
We have reviewed RDA 11193 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
03-06-2017
Thank you!
RMD Director
03-10-2017
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
03-28-2017
PRC approves RDA 11193