Core Data
RDA Number
11345
Effective Date
Mon, 10/20/2025
Record Series Abstract
These records consist of but are not limited to: warning and sanction letters, documentation justifying warnings or sanctions, internal correspondence requests by providers for appeal, acknowledgement of receipt and subsequent correspondence, letters and correspondence pertaining to settlement or hearing, pleadings, exhibits and orders in administrative proceedings. Selected printed emails will also be part of these records.
Record Series Active
Yes
Cut Off at End of
Other
If Other, Explain
After the conclusion of the appeal process.
Total Retention Years
6
Total Retention Months
0
Retention End Action
Destroy
Disposition Notes
Records are maintained and stored in the Agency's Office of General Counsel. Thereafter stored in the agency's warehouse until end of file retention and then destroyed in accordance with State approved methods.
Worksheet
Record Location
Office of General Counsel - 8th Floor in the UBS Tower; agency's warehouse storage
File Arrangement
alpha numeric
Media Format Generated
Electronic
Paper
Media Format Generated Summary
Electronic: Text
Paper: Sheet
Media Format Stored
Electronic
Paper
Media Format Stored Summary
Electronic: Text
Electronic: Email
Paper: Sheet
Date Range
2010-current
Allotment Code
344.01
Annual Accumulation
1.5 cubic feet - paper
24 megabytes - electronic
24 megabytes - electronic
Current Volume
13 cubic feet - paper
201 megabytes - electronic
201 megabytes - electronic
Record Value
Legal
Audit Requirements
State
Information Shared Outside the State
No
Essential Record
No
Confidential
Yes
Confidential Legal Citation
T.C.A. 33-3-103 classifies as confidential documents directly or indirectly identifying a service recipient. Some records may also be confidential as attorney/client privileged communications.
T.C.A. 52-3-103
HIPAA C.F.R. 45 Part 160 & 164
T.C.A. 52-3-103
HIPAA C.F.R. 45 Part 160 & 164
Does this Record Series Contain Sensitive Information?
No
Agency Retention
6 years
Retention Legal Citation
T.C.A. 52-3-101(d)
Electronic Records Plan Inventory
System Name
Shared File Servers
Hardware Description
Windows Servers 2012 R2
Software Description
MS Windows applications
System Location
State of Tennessee Data Centers
Backup Procedures
Replication across Data Centers, Complete Weekly File back up.
Disaster Recovery
3 months on site, 7 years Stone Mountain
Data Migration Description
Data is stored as combination of PDF and/or Microsoft Word and Excel Files. Data is periodically backed up by STS. Data may be copied and/or extracted in bulk through standard Windows file.
RDA Comments
Records Management Division (RMD)
Fri, 09/19/2025
Recommend changing the Cut Off and Retention Period for improved clarity. “Cut Off is after all applicable appeal periods have expired.” Change the Retention Period to 12 years. Alternatively, Cut Off should be at end of appeal process while Retention Period remains 6 years.
Update: After discussions with the agency the legal citation for a six-year retention was clarified. An agency memo has been added to the documentation. There are no recommended changes. 09-18-2025
Tennessee State Library and Archives
Mon, 09/22/2025
No recommended changes.
Comptroller Audit Review
Mon, 09/22/2025
We have reviewed RDA 11345 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
Mon, 09/22/2025
Thank you!
RMD Director
Fri, 09/26/2025
RDA 11345 is a request to revise an RDA. The retention period will change from five years to six years and destroy. The format will be paper/electronic. The Abstract, Disposition Notes, and Worksheet have been updated. Recommend approval of the request to revise RDA 11345 with the following change to the cut off, as was discussed with the agency.
Cut Off: After the conclusion of the appeal process.
Public Records Commission
Mon, 10/20/2025
PRC approves RDA 11345 with following changes: Cut Off: After the conclusion of the appeal process.
