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Office of General Counsel (OGC) Closed Case Files

RDA Number
Effective Date
Record Series Abstract
Files related to legal enforcement and other legal issues. Enforcement notices issued by the Department. Board, court and administrative orders, and other supporting documentation.
Record Series Active
Cut Off at End of
If Other, Explain
The files are to be cut off at the end of each case closure. Records are maintained in Agency for 5 years after cut off, then destroyed.
Total Retention Years
Total Retention Months
Retention End Action
Disposition Notes
A legal referral is sent to an OGC Administrative Assistant (admin)to open a new case. The admin creates a hard copy file; enters and scans all pertinent information into FileNet; delivers hard copy file to attorney. Hard copy file with updates is exchanged between Attorney and admin for updates to FileNet until litigation is complete. Admin closes case in FileNet upon case closure;the hard file is filed in OGC, numerically and by program. Both paper and electronic versions are kept until 5 years after cutoff/case closure, and then destroyed.
Record Location
400 Deaderick Street, Citizens Plaza Building,15th Floor
File Arrangement
Numeric and program
Date Range
Allotment Code
Annual Accumulation
12 cu. ft. 2 GB
Current Volume
400 cu. ft. paper 14.3 GB
Record Value
Audit Requirements
Information Shared Outside the State
Shared Agencies
US Department of Agriculture; US Department of Justice; US Department of Health and Human Services.
Essential Record
Confidential Legal Citation
PUBLIC RECORDS Tenn. Code Ann. 10-7-504 (2016)
Does this Record Series Contain Sensitive Information?
Agency Retention
5 years
System Name
OGC (Office of General Counsel) FileNet system.
Hardware Description
Strategic Technology Solutions\' (STS) FileNet system
Software Description
FileNet is STS' electronic storage/retrieval system. All software for maintaining the records series is maintained in accordance with the current standards of the Strategic Technology Solutions (STS).
System Location
Strategic Technology Solutions Data Center.
Backup Procedures
Daily. Backup procedures are reviewed and tested annually.
Disaster Recovery
The Agency has a detailed Disaster Recovery Plan for the system in accordance with the current standards of the Strategic Technology Solutions (STS; reviewed annually.
Data Migration Description
OGC documents are scanned via state FileNet Capture station and by uploading them via the FileNet interface. As the document is processed in FileNet Capture it uses a SQL Server database that is in sync with the metadata database in FileNet itself to ensure data is valid.
Records Management Division (RMD)
No recommended changes.
Tennessee State Library and Archives
No recommended changes.
Comptroller Audit Review
We have reviewed RDA 1893 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
No recommended changes.
RMD Director
RDA 1893 is a request to revise an RDA. The retention period will remain five years and the format change to paper/electronic. The Title, Abstract, Cut Off, Disposition, and Worksheet have been updated. Recommend approval of request to revise RDA 1893.
Public Records Commission
PRC approves RDA 1893.