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Enforcement Files - Routine Legal Actions

RDA Number
Effective Date
Record Series Abstract
Cases referred to enforcement staff from all Water Resources program offices for civil legal action against a respondent who has violated any of the state or federal regulations for which the Division of Water Resources (DWR) has regulatory responsibility. Records vary but may include documents to determine compliance such as transcripts or summaries of informal meetings, site photographs, briefing memos, compliance data reports, final orders, court documents, pleadings, briefs, judgements, liens, and appellate documents. Does not include penalties, as these are paid to Consolidated Fees Unit.
Record Series Active
Cut Off at End of
If Other, Explain
At the end of each case closure.
Total Retention Years
Total Retention Months
Retention End Action
Disposition Notes
Records are generated in paper and electronic format. New paper files (beginning after RDA approval) are to be scanned for electronic storage, verified, and destroyed immediately upon receipt. Files are to be cut off upon closure or inactivation of case/enforcement action, maintained electronically in agency for 5 years, and then destroyed by state approved methods. Existing paper files are to be maintained in paper format in current filing system for 5 years from the date the case is closed or inactivated, and then destroyed by state approved methods.
Record Location
11th Fl, Wm. R. Snodgrass TN Tower 312 Rosa L. Parks Avenue
File Arrangement
Numeric, by case number
Media Format Stored
Date Range
Allotment Code
Annual Accumulation
5 cu. ft., 5 GB
Current Volume
56 cu. ft., 40 GB
Record Value
Audit Requirements
Information Shared Outside the State
Shared Agencies
Environmental Protection Agency
Essential Record
Does this Record Series Contain Sensitive Information?
Agency Retention
5 years
Records Center Retention Period
System Name
Oracle Database - Waterlog
Hardware Description
Oracle NAS (Networked Attached Storage) managed by STS. Raid 6 system with 40 terrabytes of space. STS Fiber SAN managed by STS. This is the STS mandated storage medium and backed up through Enterprise Backups.
Software Description
Oracle Database Enterprise 11.2.3 NAS mounted and managed through Windows CIFS (Common Internet File System). Oracle Exports and Hot online backups are used to backup the data SAN storage from where it is backed up to the Enterprise backups. Expected to use .doc, .docs, .xls, .xlx, .pdf, and .tif file formats.
System Location
STS Data Center South
Backup Procedures
NAS stores 31 daily snapshots. In addition, full backups are taken monthly with incremental backups taken daily. The monthly backups are stored offsite for 7 years. With both methods considered, we can restore to any of the past 31 days if the file(s) existed during the time of either the snapshot or the backup, to one of the full monthly backups from up to 7 years prior. Oracle Database is run in archive log mode and all redo logs are backed up daily. Hot backup of all data files is done on weekends.
Disaster Recovery
Recovery Procedure: Helpdesk tickets to STS as Priority 1 can restore file(s) in 2 hours' time if restoring to a point within the past 31 days. If later (as tapes must come from offsite), expected Priority 1 recovery time is 5 hours. Major Disaster Recovery: STS has a written policy on how to handle major disaster recovery. In summary: order new hardware if required. Receive, configure and verify setup and connectability. Install required software to restore from image files and/or tapes. Inventory media and image files, restore.
Data Migration Description
STS maintains and migrates data according to system updates, upgrades and replacement standards per industry standards. Full procedures are available with the Office of Information Resources.
Records Management Division (RMD)
No recommended changes.
Tennessee State Library and Archives
No recommended changes.
Comptroller Audit Review
We have reviewed RDA 1859 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
Thank you.
RMD Director
RDA 1859 is a request to revise an RDA. The retention period will remain five years and destroy. The format will be paper/electronic. The Title, Abstract, Disposition, and Worksheet have been updated. Recommend approval of request to revise RDA 1859.
Public Records Commission
PRC approves RDA 1859.