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Tennessee Higher Education Commission, Division of Postsecondary State Authorization (DPSA) Complaint, Investigation, Exemption, and Claim Files

RDA Number
Effective Date
Record Series Abstract
DPSA formal complaint files are assigned an auto-generated complaint number and may include, but not be limited to, written statement from the complainant, DPSA's request for a response from the institution referenced in the complaint, response from the institution, and any other documentation related to the investigation and resolution and or conclusion of the complaint. ~ Tuition Guaranty Fund (TGF) claims include claim forms and justifying documentation. Investigation files are comprised of materials gathered during the investigation of authorized or unauthorized institutions unrelated to complaints. ~ Exemption files include requests for exemption recognition or granting of T.C.A. 49-7-2004 exemption status. Files may contain confidential information including, but not limited to, education records and personally identifiable information (PII).
Record Series Active
Cut Off at End of
If Other, Explain
Complaints, investigations, exemption requests, or TGF claims will be cut off at the end of the calendar year in which they are officially withdrawn or closed.
Total Retention Years
Total Retention Months
Retention End Action
Disposition Notes
Records will be maintained active until end of the calendar year in which the complaint, investigation, exemption request, or claim is officially withdrawn or closed. Records will be maintained inactive for five (5) calendar years after cut off. Paper records will be migrated into electronic format and electronic files will be kept for the life of the record series and then destroyed according to state approved methods for confidential record destruction. Active files will be maintained in the DPSA Laserfiche Document Management System (DMS).
Record Location
Tennessee Higher Education Commission
Division of Postsecondary State Authorization
312 Rosa L. Parks Ave., 9th Floor
Nashville, TN 37217
THEC File Room / Laserfiche DMS
File Arrangement
Auto-Generated YY-XXXX (EX: 21-0001, 21-0002, etc.)
Media Format Generated
Media Format Generated Summary
Electronic: Text
Electronic: Spreadsheet/Database
Electronic: Email
Electronic: Other
Media Format Stored
Media Format Stored Summary
Electronic: Text
Electronic: Spreadsheet/Database
Electronic: Email
Electronic: Other
Date Range
01/2009 to Current
Allotment Code
Annual Accumulation
1 GB Electronic
Current Volume
5 GB / 4 cu. ft
Record Value
Audit Requirements
Information Shared Outside the State
Essential Record
Confidential Legal Citation
T.C.A. ยง 10-7-504
Media Recommendation Other
Current Format
Does this Record Series Contain Sensitive Information?
Agency Retention
Five (5) years from end of calendar year of date of withdrawal or closure.
Records Center Retention Period
System Name
THEC Laserfiche Document Management System (DMS)
Hardware Description
Server name: CBSOSDCWA00002. Virtual server with 2 cores, 8 GB memory, 60 GB Operating System, 500 GB data storage, and Total Disk Size of 620.4 GB.
Software Description
VMware running Microsoft Windows Server 2012, LaserFiche ECM Document Management System, Microsoft SQL Server Express 2012 /
System Location
Server, software, and metadata in TN State STS Data Center SouthServer, software, and metadata in TN State STS Data Center South
Backup Procedures
Data is backed up daily Monday-Friday, and VM Server is backed up weekly (Saturday/Sunday). On the last calendar day of the month, a full backup is written to tape.
Disaster Recovery
New site, hardware and OS provided by TN State STS Tier 1 Level Disaster Recovery. Backup of data and images provided by TN State STS from latest backup. Laserfiche ECM and SQL Server Express software provided by Laserfiche authorized VAR. Installation and reconfiguration of system, images, and data performed by authorized Laserfiche VAR under contract at time of disaster.
Data Migration Description
Images are currently in non-proprietary .tiff, .xsls, .docsx, and .pdf format. All metadata is stored in Microsoft SQL Server Express. Annual review to determine if images or metadata need to be upgraded or migrated to new format.
Records Management Division (RMD)
No recommended changes.
Tennessee State Library and Archives
No recommended changes.
Comptroller Audit Review
We have reviewed RDA 11042 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
Thank you for your comments.
RMD Director
RDA 11042 is a request to revise an RDA. The retention period will remain five years. The format will be paper/electronic. The Abstract, Disposition Notes, and Worksheet have been updated. Recommend approval of the request to revise RDA 11042.
Public Records Commission
PRC approves RDA 11042.