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Background Unit Investigations

RDA Number
Effective Date
Record Series Abstract
Documents relating to Background Investigations including Inquiry Screen, Applicant Detail Sheet, Applications, Correspondence, Letters, Police reports/Narratives, Court Documents, Expungement, Disposition Forms, Criminal History Record and any other documentation relating to Background Check investigations.
Record Series Active
Cut Off at End of
If Other, Explain
When the investigative process ends.
Total Retention Years
Total Retention Months
Retention End Action
Disposition Notes
Files are created for each applicant, records are maintained on site. Both paper and electronic versions are kept for 10 years after cut off, then destroyed according to state approved methods.
Record Location
TDHS State Office
File Arrangement
Program, Year, Alpha
Date Range
Allotment Code
Annual Accumulation
10 cubic feet/.10 GB for Database and 20 MB per year for archived files
Current Volume
75 cubic feet/.57 GB of Database and 170 MB of archived file storage.
Record Value
Audit Requirements
Information Shared Outside the State
Shared Agencies
Federal Bureau of Investigation (FBI)
Essential Record
Yes - Original
Essential Record Stored
TDHS-Office of Inspector General (OIG)- Background Investigations Unit
Essential Record Media Type
Confidential Legal Citation
IRS Publication 1075, TDHS Administrative Policies and Procedures: 2.06
Does this Record Series Contain Sensitive Information?
Agency Retention
10 years
System Name
BacTrak (Background Check and Tracking System)
Hardware Description
The electronic records are permanently stored in a schema within a database hosted by STS in their Shared Oracle environment. That environment is hosted on a physical server located in the State of Tennessee Data Center. All hardware for maintaining the records is maintained in accordance with current STS standards.
Software Description
Notifications are created during the background check process and created using various templates based on the findings returned by the background check. The BacTrak application is a Java application hosted on a JBoss/Red Hat Linux VM server.
System Location
The database schema containing all electronic records is kept on servers maintained and supported by STS at State Data Centers.
Backup Procedures
Backup procedures shall be maintained in accordance with current STS Data Center Operations policy.
Disaster Recovery
A detailed Disaster Recovery Plan for BacTrak exists in accordance with current STS standards. It is reviewed annually. The Disaster Recovery Plan for the Shared Oracle environment is maintained by the STS Database Operations team.
Data Migration Description
When the user indicates that a notification is to be printed, they select a template and based on case data the appropriate template is generated and stored in the system. The types of documents include (but not limited to): No Findings/OK to Work Letter, No Findings and OK to Drive Letter, No Findings and Not OK to Drive Letter, and Findings/Not OK to work letter.
Records Management Division (RMD)
No recommended changes.
Tennessee State Library and Archives
No recommended changes.
Comptroller Audit Review
We have reviewed RDA 11301 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
No recommended changes.
RMD Director
RDA 11301 is a request for a new RDA. The retention period will be ten years and destroy. The format will be paper/electronic. Recommend approval of request to create RDA 11301.
Public Records Commission
PRC approves RDA 11301.