An official website of the Tennessee Secretary of State.
Core Data
RDA Number
11492
Effective Date
Record Series Abstract
Clinical Laboratory Improvement Amendments (CLIA) records are surveys conducted by federally funded staff to determine the type of laboratory certificate (Certificate for Provider Performed Microscopy Procedures; Certificate of Registration; Certificate of Compliance; and Certificate of Accreditation) and if it is maintaining federal standards. This information is entered into Aspen Central Office (ACO), a federal system that is used to maintain this information. Any complaints received are entered into Aspen Complaint Tracking System (ACTS). Both federal systems are products of and maintained by Centers for Medicare and Medicaid Services (CMS). No CLIA documents are generated except in the federal systems.
Record Series Active
Yes
Cut Off at End of
Calendar Year
Total Retention Years
10
Total Retention Months
0
Retention End Action
Destroy
Disposition Notes
CLIA surveys are entered into the ACO, the federal system operated by Centers for Medicare and Medicaid Services (CMS). No CLIA documents are generated except in the federal system. Federal system records are maintained through CMS. Records are maintained and destroyed by Centers for Medicare and Medicaid Services (CMS).
Worksheet
Record Location
ACO and ACTS both federally maintained systems in Baltimore, MD.
File Arrangement
Healthcare License Number
Media Format Generated
Electronic
Media Format Generated Summary
Electronic: Spreadsheet/Database
Media Format Stored
Electronic
Media Format Stored Summary
Electronic: Spreadsheet/Database
Date Range
January 1, 2014 to Present
Agency
Allotment Code
31607
Annual Accumulation
340 surveys
Current Volume
40,800 surveys
Record Value
Administrative
Audit Requirements
Both
Information Shared Outside the State
Yes
Shared Agencies
Centers for Medicare and Medicaid Services (CMS)
Essential Record
No
Confidential
No
Does this Record Series Contain Sensitive Information?
No
Agency Retention
10 Years
Records Center Retention Period
0
Retention Legal Citation
Federal Regulations 42 CFR Parts §493.1 through §493.1850.
Electronic Records Plan Inventory
System Name
ASPEN Central Office (ACO) and ASPEN Complaint Tracking system (ACTS)
Hardware Description
Hardware maintained by Centers for Medicare and Medicaid Services (CMS), a federal agency.
Software Description
Software developed and maintained by Centers for Medicare and Medicaid Services (CMS), a federal agency.
System Location
System location maintained by Centers for Medicare and Medicaid Services (CMS), a federal agency.
Backup Procedures
Standard back-up protocols for federal systems
Disaster Recovery
Standard disaster recovery protocols for federal systems
Data Migration Description
Data Migration maintained by the Centers for Medicare and Medicaid Services (CMS), a federal agency
RDA Comments
Records Management Division (RMD)
03-06-2025
No recommended changes.
Tennessee State Library and Archives
03-07-2025
No recommended changes.
Comptroller Audit Review
03-10-2025
We have reviewed RDA 11492 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
03-10-2025
Thank you for the reviews. We concur with the recommendations.
RMD Director
03-18-2025
RDA 11492 is a request to create an RDA. The retention period will be ten years and then destroy. The format will be electronic. Recommend approval of the request to create RDA 11492.
Public Records Commission
04-21-2025
PRC approves RDA 11492