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Volkswagen Diesel Settlement Environmental Mitigation Trust

RDA Number
Effective Date
Record Series Abstract
Records include but are not limited to applications, contracts, reimbursement requests and supporting documentation, monitoring checklists, photos, Title VI documents, quarterly and annual reports.
Record Series Active
Cut Off at End of
If Other, Explain
The cut-off will be the end date of the VW Settlement
Total Retention Years
Total Retention Months
Retention End Action
Disposition Notes
Paper records will be stored in the OEP Office. Electronic records will be retained in SmartSimple, Sharepoint, and Network Attached Storage. Both paper and Electronic files will be destroyed upon meeting their retention of 5 years.
Record Location
William R Snodgrass Tennessee Tower
312 Rosa L Parks Ave, 2nd Floor
Nashville, TN 37243
SmartSimple, SharePoint, NAS (Network Attached Storage)
File Arrangement
Media Format Generated
Media Format Generated Summary
Electronic: Text
Electronic: Spreadsheet/Database
Electronic: Email
Electronic: Other
Paper: Sheet
Media Format Stored
Media Format Stored Summary
Electronic: Text
Electronic: Spreadsheet/Database
Electronic: Email
Electronic: Other
Paper: Sheet
Date Range
2017 to Current
Allotment Code
Annual Accumulation
little to no paper accumulation
1 GB electronic
Current Volume
0.5 cu ft. paper
5 GB electronic
Record Value
Audit Requirements
Information Shared Outside the State
Shared Agencies
Wilmington Trust, U.S. DOE, U.S. EPA, U.S. DOJ
Essential Record
Yes - Original
Essential Record Stored
Originals are kept in the Grants Management System. Copies are retained in SharePoint and the Shared Drive/H-Drive.
Essential Record Media Type
Confidential Legal Citation
TDEC Office of Energy Programs (OEP) is required by Tenn. Code Ann. § 4-3-514(b)(1) to “maintain the confidentially of all proprietary information it may acquire.” Proprietary information is defined in Tenn. Code Ann. § 4-3-514(b)(2) as “trade secrets and commercial or financial information that is used either directly or indirectly in the business of any person submitting information to the office under this chapter, and that gives such person an advantage or an opportunity to obtain an advantage over competitors who do not know or use such information.” Applicants for and/or recipients of funding from the VW Settlement Environmental Mitigation Trust shall identify any proprietary information in submitted documents (e.g., applications, required reporting, etc.). TDEC OEP reviews information identified as proprietary to determine that it fits within the aforementioned statutory definition of proprietary information. Further, TDEC OEP maintains a log of the documents that contain proprietary information in order to ensure that such is redacted prior to being produced in response to a records request or disseminated for other purposes. The certification is also subject to the State of Tennessee’s applicable laws governing the public disclosure of personally identifiable information, which are set forth in Tenn. Code Ann. §10-7-504(a)(29). Pursuant to Tenn. Code Ann. § 10-7-503(a)(5), “information made confidential by State law shall be redacted whenever possible, and the redacted record shall be made available for inspection and copying.”
Does this Record Series Contain Sensitive Information?
Agency Retention
5 years from end date of the VW Settlement
System Name
Grants Management System (SmartSimple), Sharepoint Online; Tenant instance:, Shared Drive/H-Drive
Hardware Description
SmartSimple- utilizes Amazon AWS cloud offerings and physical data centers.
Minimum hardware requirements consists of standard Intel-based servers; each server is an Intel Xeon E5630 2.53GHz, 12M Cache, 1066MHz quad-core CPU, 16GB 1333MHz RAM, 2x 1TB 7.2k RPM SATA 3.5” HDD in RAID
1. Software Firewalls and Load Balancers are used – HAProxy and IPTables.
Shared Drive/H-Drive- VMware/Windows virtual server is the State Data Centers
Software Description
SmartSimple-The system is built using open source technologies and is constructed in a manner that ensures scalability as well as the ability to modify as the client’s operational environment changes. The core platform stack includes:
Web Server – Apache HTTP Server, Application Server – Tomcat, OS Language – Java, Database – MariaDB - MySQL Database Server, Linux – CentOS Sharepoint Online- Microsoft 365 (also known as Office 365) Government Community Cloud
Shared Drive/H-Drive- Server OS Windows 2012
System Location
SmartSimple- For Public cloud and Private cloud hosting options, SmartSimple partners with Amazon AWS to provide and manage the physical data center facilities where your data will reside. It's our policy to store your data in same jurisdiction as yours, unless specified otherwise. US hosting facilities are located at: • United States - US East (N. Virginia) • United States - US West (Oregon)
Sharepoint Online- Located in data centers guaranteed to be physically located in the USA Tennessee.Sharepoint/H-Drive- State Data Center
Backup Procedures
SmartSimple- All SmartSimple systems are backed-up on a nightly basis at a separate but equally secure data center from where production data is hosted. A hot backup server is used to save and mount the daily backups every night (the backup and mounting frequency can be determined by a client if they choose dedicated hosting). Acting as a hot backup, this server is always online and available. Physically, the server is hosted using Amazon’s EC2 cloud offering. Each daily incremental backup is archived to a separate location. Incremental backups are generally archived for a period of 3 months and then removed. Sharepoint Online- Daily backups retained for 14 days by MS. Backups are SQL Server Database backups and can be requested for restore by MS Premier Support ticket
Shared Drive/H-Drive- Agency Data is backed up daily and can be restored whole or in part as needed
Disaster Recovery
SmartSimple- is ISO 27001 certified and our ISMS policy documents a comprehensive disaster recovery and business continuity plan.
In the event that a SmartSimple server becomes unreachable, the hot backup server may be used in a read-only fashion for users wishing to view information entered into the system up to the previous date. After triaging the situation there are two possible routes of action:
• In the event that the production server data is intact and is recoverable within a predetermined amount of time, then users will continue to use the hot backup server in a read-only fashion until the production server is restored online.
• In the event that the production server data is unrecoverable or the server is not recoverable within a predetermined amount of time, then the hot backup server will be promoted as the production server. A new server will be procured and a maintenance window scheduled to promote the new server as the production server and demote the existing server back to the hot backup.
Shared Drive/H-Drive- Agency Data is backed up daily and can be restored whole or in part as needed
Data Migration Description
SmartSimple- Data migration took place during the original TDEC implementation of SmartSimple. Additional data can be imported to whatever degree required. We have a number of unique mechanisms that we have built to handle data migration, including specific tools to import Excel files. Data from Excel should be formatted (‘clean’) to ensure the rows/columns are consistent. Typically, we will establish the data points required for a Contact and Organization profile, and migrate your data to automatically create those entities within SmartSimple. This data can be integrated to any degree, to the extent that is required. Specifically, a simple push/pull of data can happen between a proprietary CRM system and SmartSimple, automated or manual, to ensure the systems are all kept up to date. Data migration involves the extraction, transformation, and then loading of data from one system into another. For a successful migration, you will need the appropriate resources in order to first decide and plan which data you need migrated, and then to extract and transform this data from your existing system. It is important to note that the migration of your historical information is not necessary for a successful implementation of the platform, and is not recommended for clients without the appropriate resources. The process has a number of pre-requisites: • You must have resources with the authority, and expertise capable of determining which historical data need to be migrated. • You must have resources with the ability to review, and ensure the data integrity of historical data. • You must have resources with the ability to extract, and transform historical data into acceptable formats for import into the platform. As the project team designs your SmartSimple system and architecture, we will work closely with you to design the final data translation to migrate your data into our platform. SmartSimple will create a transform mapping and review this with you. During the course of a project implementation two data loads will be conducted. One at the beginning of the project to allow you to verify the information that is input into SmartSimple. The second data load will be at the end of the project for the final migration from your current system to the platform. For this final data load, you can expect between a 3-5 day maintenance window where we ask you to freeze any updates to your current system in order to cut over and transition to our platform.
Shared Drive/H-Drive-VMware
Records Management Division (RMD)
No recommended changes.
Tennessee State Library and Archives
No recommended changes.
Comptroller Audit Review
We have reviewed RDA 11414 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
Agency concurs.
RMD Director
RDA 11414 is a request to create an RDA. The retention period will be five years and destroy. The format will be paper/electronic. Recommend approval of the request to create RDA 11414.
Public Records Commission
PRC approves RDA 11414.