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Program Provider/Assessment Files

RDA Number
2341
Effective Date
Record Series Abstract
Documents relating to Department of Human Services provider files including assessment related documentation, provider applications, correspondence, disqualified letters, agreement letters, activity logs, enrollment and attendance forms, annual reviews, scanned forms, plans, child care contract, disallowed cost allocation letter, justification of disallowed cost, documents contesting the disallowed cost and other collateral documentation.
Record Series Active
Yes
Cut Off at End of
Other
If Other, Explain
When the agreement and or contract has been fulfilled and there is no outstanding obligation, litigation or debt owed; file is inactive and cut off.
Total Retention Years
5
Total Retention Months
0
Retention End Action
Destroy
Disposition Notes
Files are created and maintained in agency or at a State approved off-site storage facility. Documents from 2018 through current date, are scanned and maintained electronically. Once digital images have been verified and indexed then the paper file can be destroyed after 30 days. Both paper and electronic versions are kept for 5 years after cut off, then destroyed according to state approved methods.
Record Location
Statewide in all 95 county office and provider locations.
File Arrangement
Year then Alphabetically
Media Format Generated
Electronic
Paper
Media Format Generated Summary
Electronic: Text
Paper: Sheet
Media Format Stored
Electronic
Paper
Media Format Stored Summary
Electronic: Text
Paper: Sheet
Date Range
1970 to Current
Allotment Code
345
Annual Accumulation
1.5 Gigabytes - 73 Cubic Feet
Current Volume
7.5 Gigabytes - 363 Cubic Feet
Record Value
Administrative
Fiscal
Legal
Audit Requirements
Both
Information Shared Outside the State
Yes
Shared Agencies
U.S. Department of Agriculture
Essential Record
Yes - Original
Essential Record Stored
Original records are stored electronically with Strategic Technology Solutions (STS) in their 4 server locations across the State.
Essential Record Media Type
Electronic
Confidential
No
Media Recommendation Other
Electronic
Does this Record Series Contain Sensitive Information?
Yes
Agency Retention
5 years
System Name
Strategic Technology Solutions (STS) Enterprise Content Management Databases (ECM)
Hardware Description
The electronic records are permanently stored in folders on a Strategic Technology Solutions (STS) Network Attached Storage (NAS) device. Metadata is stored in a database on an Strategic Technology Solutions (STS) server. All hardware for maintaining the records series shall be maintained in accordance with the current standards of Strategic Technology Solutions (STS).

Software Description
Documents and their metadata are captured by using multi-function devices and scanning the document by pressing the appropriate button on the multi-function device using Lexmark Document Distributor software.
System Location
Department of Human Services uses an Enterprise Content Management (ECM) Database System. The electronic records are kept on a Network Attached Storage (NAS) device maintained and supported by Strategic Technology Solutions (STS) at their Data Center.
Backup Procedures
Backup procedures shall be maintained in accordance with the current standards of the Strategic Technology Solutions (STS). Backup procedures shall be reviewed and tested annually.
Disaster Recovery
The Agency shall have a detailed Disaster Recovery Plan for the system in accordance with the current standards of the Strategic Technology Solutions (STS). Disaster Recovery plans shall be reviewed annually.
Data Migration Description
Documents are scanned via state multi-function device on the state network to a folder on an Strategic Technology Solutions (STS) Network Attached Storage (NAS) device. An Enterprise Content Management (ECM) Database System application is used to access the stored documents.
Records Management Division (RMD)
03-04-2021
No recommended changes.
Tennessee State Library and Archives
03-26-2021
No recommended changes.
Comptroller Audit Review
03-11-2021
We have reviewed RDA 2341 from an audit standpoint. We concur with the recommended retention and disposition specifications.
Agency Records Officer
03-29-2021
No recommended changes.
RMD Director
04-14-2021
RDA 2341 is a request to revise an RDA. The retention period will remain five 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 2341.
Public Records Commission
05-04-2021
PRC approves RDA 2341
https://rmd-rda.tnsos.net/node/35232
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