{"id":824,"date":"2024-12-18T17:07:40","date_gmt":"2024-12-18T17:07:40","guid":{"rendered":"https:\/\/policies.pstcc.edu\/?page_id=824"},"modified":"2025-01-06T00:49:17","modified_gmt":"2025-01-06T00:49:17","slug":"policy-082200","status":"publish","type":"page","link":"https:\/\/policies.pstcc.edu\/?page_id=824","title":{"rendered":"POLICY 08:22:00"},"content":{"rendered":"\n<h2 class=\"wp-block-heading\"><strong>RECORDS \u2013 RETENTION AND DISPOSAL<\/strong><\/h2>\n\n\n\n<p>Please refer to Tennessee Board of Regents <a href=\"https:\/\/policies.tbr.edu\/policies\/records-retention-and-disposal-records-formerly-g-070\">1.12.01.00<\/a> Records Retention and Disposal of Records (Formerly G-70) and to Tennessee Board of Regents <a href=\"https:\/\/policies.tbr.edu\/guidelines\/litigation-hold-notice\">Guideline G-075<\/a>, Litigation Hold Notice Procedures for Federal Litigation (Federal Rules of Civil Procedure)<\/p>\n\n\n\n<p>Policy\/Guideline Area<br>Governance, Organization, and General Policies<\/p>\n\n\n\n<p>Applicable Divisions<br>TCATs, Community Colleges, System Office, Board Members<\/p>\n\n\n\n<p>Purpose<br>This Policy sets forth the records retention schedule and procedures for disposal of<br>records for the Pellissippi State Community College.<\/p>\n\n\n\n<p>Definitions<br>Tennessee Public Records Commission Rule Rules of Public Records<br>Commission, 1210-01-.02 Definitions, controls.<\/p>\n\n\n\n<p>Definitions, controls. Click on PDF file above for complete list of definitions.<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>\u201cPublic Record\u201d or \u201cState Records\u201d means all documents, papers, letters, maps,<br>books, photographs, microfilms, electronic data processing files and output, films,<br>sound recordings or other material regardless of physical form or characteristics<br>made or received pursuant to law or ordinance or in connection with the<br>transaction of official business by any governmental agency.<\/li>\n\n\n\n<li>Non-Record \u2013 Any item that does not reflect the official business of the agency.<br>This includes, but is not limited to reference materials, extra copies, drafts,<br>bulletins, trade journals, manuals, personal emails and texts, emails conveying<br>attachments.<\/li>\n<\/ul>\n\n\n\n<p>Policy\/Guideline<\/p>\n\n\n\n<ol style=\"list-style-type:upper-roman\" class=\"wp-block-list\">\n<li>Disposal of Records\n<ol style=\"list-style-type:upper-alpha\" class=\"wp-block-list\">\n<li>Disposal of records must be approved by the State Public Records Commission<br>(PRC). No records, paper, electronic, or other media may be destroyed unless and<br>until meeting the criteria of this policy and PRC rules.<\/li>\n\n\n\n<li>Unless specified otherwise, or otherwise required by law, records may be imaged,<br>microfilmed, or electronically reproduced and the paper copy destroyed upon<br>verification of an archival quality reproduction. The microfilm, image, or<br>electronic record will then be retained for the balance of the indicated retention<br>period.<\/li>\n\n\n\n<li>No record shall be destroyed, however, so long as it pertains to any pending legal<br>case, claim, or action; or to any federal or state audit until such actions have been<br>concluded.\n<ol class=\"wp-block-list\">\n<li>State records have been approved for disposal by state-approved methods:\n<ol style=\"list-style-type:lower-alpha\" class=\"wp-block-list\">\n<li>Shredding<\/li>\n\n\n\n<li>Recycling<\/li>\n\n\n\n<li>Purge (paper &amp; electronic)<\/li>\n<\/ol>\n<\/li>\n\n\n\n<li>Any record designated &#8220;confidential&#8221; shall be so treated by agencies in the<br>maintenance, storage and disposition of such confidential records. These records<br>shall be destroyed in such a manner that they cannot be read, interpreted or<br>reconstructed.<\/li>\n<\/ol>\n<\/li>\n\n\n\n<li>Unless specifically approved by the System Office or Institution Records Officer,<br>any records which reflect &#8220;Permanent&#8221; retention should be maintained by means<br>other than paper after verification of an archival quality electronic reproduction.<br>After verification, the paper copies will be destroyed.<\/li>\n\n\n\n<li>Actions by the State Commission shall be communicated to all campus Records<br>Officers through the System Office.<\/li>\n<\/ol>\n<\/li>\n\n\n\n<li>Records Officers\n<ol style=\"list-style-type:upper-alpha\" class=\"wp-block-list\">\n<li>Records Officers have the authority and responsibility to retain and dispose of<br>records in accordance with approved records disposition authorizations.<\/li>\n\n\n\n<li>Prior to the destruction of any records, the Records Officer must determine if the<br>action should be delayed due to audit or litigation requirements.<\/li>\n\n\n\n<li>Specific records pertaining to current or pending litigation or investigation must<br>be retained until all questions are resolved. These specific records can be retained<br>in a suspense file, while all other records not under pending investigation shall be<br>disposed of in accordance with established Statewide and TBR Records<br>Disposition Authorizations (RDAs).<\/li>\n\n\n\n<li>Records Officers should establish and apply retention schedules for records in<br>their custody that may not be specifically addressed in this policy.<\/li>\n<\/ol>\n<\/li>\n\n\n\n<li>Certificate of Destruction\n<ol style=\"list-style-type:upper-alpha\" class=\"wp-block-list\">\n<li>Records Management Division has authorized the implementation and utilization<br>of the Certificate of Destruction Form in order to better track the volume of<br>records destroyed and to insure that records have met the criteria necessary for<br>destruction.<\/li>\n\n\n\n<li>Certificate of Destruction forms must be used when destroying public or<br>confidential records that are not destroyed during the annual Operation<br>Roundfile campaign \u2013 an initiative through Executive Order 38 to purge out-of\u0002date documents and\/or records on an annual basis. (Exhibit 1)\n<ol class=\"wp-block-list\">\n<li>Certificates shall be held at the institution.<\/li>\n<\/ol>\n<\/li>\n<\/ol>\n<\/li>\n\n\n\n<li>Records Retention Schedules\n<ol style=\"list-style-type:upper-alpha\" class=\"wp-block-list\">\n<li>The Tennessee Board of Regents adheres to Statewide, College\/University<br>Statewide, other agency (where appropriate) and TBR Records Destruction<br>Authorization (RDA) classifications.<\/li>\n\n\n\n<li>Notwithstanding the retention period stated herein, should such periods conflict<br>with federal or state law or regulation, the period of longer retention shall apply.<\/li>\n\n\n\n<li>Each RDA listed below has a brief synopsis of the record type, the retention<br>period and end action.<\/li>\n\n\n\n<li>Click on the following link to access the Record Division RDA Public Page to see<br>the actual RDA which includes cut-off dates and other pertinent information. Use<br>the Fulltext search function to find the RDA for viewing. Example: SW-U02.<br>http:\/\/www.tnsos.net\/rmd\/rda\/index.php<\/li>\n<\/ol>\n<\/li>\n\n\n\n<li>Higher Education Records RDAs\n<ol style=\"list-style-type:upper-alpha\" class=\"wp-block-list\">\n<li>SW-U01: College\/University Boards, Commissions, and College\/System Chief<br>Executive Documents \u2013 Records include but not limited to: documents or records<br>related to meetings of Boards, Commissions, Councils, and Committees.<br>Documents relating to the System\/College Chief Executive in the transaction of<br>the official business. Examples: Official correspondence, memorandums, final<br>reports, official policies, current &amp; obsolete directives, minutes\/accounts of<br>proceedings, agenda, copies of reports, and announcements.\n<ol class=\"wp-block-list\">\n<li>For purposes of this RDA, records include official business of the Chancellor<br>and all institution presidents, or anyone designated as an \u201cInterim\u201d for these<br>positions. Retention: Permanent, Do Not Destroy<\/li>\n<\/ol>\n<\/li>\n\n\n\n<li>SW-U02: Student Education Record (College\/University Statewide) \u2013 These files<br>contain the official academic record of students attending State institutions. They<br>include, but are not limited to Academic Records (includes Narrative Evaluations,<br>Competency Assessments), Change of Grade Records; Financial Aid Transcripts (if<br>applicable), Class Lists (original grade sheets or cards), Graduation Lists,<br>transcripts, Permanent Student Cards, Statistical Data (enrollment, grades,<br>racial\/ethnic, degree), Commencement Program (1 copy), Student Disciplinary<br>Files resulting in expulsion. Retention: Permanent, Do Not Destroy\n<ol class=\"wp-block-list\">\n<li>Student FERPA rights and defining Education Records is contained in 20 USC<br>1232g: FERPA Rights<\/li>\n<\/ol>\n<\/li>\n\n\n\n<li>SW-U03: Alumni Development Files\/Donor Gifts and Contributions\/Endowment<br>and Living Trust Agreements (College\/University Statewide) \u2013 Current and<br>Historical Data Including (1) Alumni Development Files: alumni information,<br>solicitation, pledge and contributions data, and all related documents. (2) Donor<br>Gifts and Contributions: Donor Recognition Committee, Donor Director of Private<br>Giving, Fund Raising Report, Philanthropy Awards, and all related documents. (3)<br>Endowment and Living Trust Agreements, and all related documents. Retention:<br>Permanent, Do Not Destroy<\/li>\n\n\n\n<li>SW-U04: Student National Collegiate Athletic Association (NCAA), and Academic<br>Second Opportunity Records (College\/University Statewide) \u2013 These records<br>include, but is not limited to Athletic files including NCAA eligibility and related<br>files, and Academic second opportunity applications.\n<ol class=\"wp-block-list\">\n<li>For purposes of this RDA, NCAA also includes records related to the National<br>Junior College Athletic Association (NJCAA). Retention: 10 yrs; End Action:<br>Destroy<\/li>\n<\/ol>\n<\/li>\n\n\n\n<li>SW-U05: Trademark, Copyright, Patent Records, Printed Materials and<br>Publications (College\/University Statewide) \u2013 These records include, but are not<br>limited to Trademark, Copyright and Patent records, including correspondence,<br>forms, documents and materials relating to application for and granting of same.<br>Printed Materials and Publications which have permanent administrative,<br>physical, historical or legal value, such as; class schedules (institutional),<br>institution catalogs, brochures, etc. Retention: Permanent, Do Not Destroy<\/li>\n\n\n\n<li>SW-U06: Student Information Records (College\/University Statewide) \u2013 Records<br>that are not protected as part of the Student Education Record (Statewide RDA<br>SW-U02). These records include, but are not limited to individual office or<br>department files, graduation authorizations, accepted applications for admission<br>or readmission, credit by exam forms, placement records, student ledger<br>cards\/registration system receipts, tuition and fee charges, athletic department<br>files, campus health clinic records. Retention: 5 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW-U07: College University Research Records (College\/University Statewide) \u2013<br>Records pertaining to research conducted at an academic institution, including<br>records created over the course of a research project, steps taken, and results.<br>This series includes, but is not limited to: correspondence, project descriptions,<br>final reports or deliverables, data, and related documentation and<br>correspondence. Retention: 10 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW-U08: College\/University Real Property Files \u2013 Facility files that include: deeds,<br>leases, capital agreements, and other historical property documents. Retention:<br>Permanent, Do Not Destroy<\/li>\n\n\n\n<li>SW-U09: College\/University Personnel Records \u2013 Personnel Records of college<br>employees. Files are comprised of official personnel files for each employee. At a<br>minimum, these files contain documentation of the employee\u2019s payroll history<br>with the department. Retention: 65 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW-U10: Student Admissions Applications \u2013 Denied, Cancelled, Admitted Non\u0002Enrolled \u2013<br>This records series consists of application records for admission into<br>the University\/College undergraduate or graduate degree program. Records<br>include, but are not limited to: documents or records related to student<br>application for Admission. Examples: application, standardized test scores, letters<br>of recommendation, personal statements, medical records, high school and<br>college transcripts, appeals, and other supporting documentation. Applications<br>for students who do enroll should be kept for 5 years as part of SW-U06: Student<br>Information Records. Retention: 1 yr.; End Action: Destroy<\/li>\n\n\n\n<li>SW-U11: Applications for Scholarship Files \u2013 Not Selected \u2013 This record series<br>governs non-selected applications by students for academic or merit based<br>scholarships. Record series includes, but is not limited to: application and<br>supporting documentation, notification letter, type of scholarship requested,<br>amount, appeals, and other specific requirements determined by the scholarship<br>funding agent. This RDA covers non-selected applications only. Retention: 1 yr.;<br>End Action: Destroy<\/li>\n\n\n\n<li>SW-U12: Applications for Scholarship Files \u2013 Selected \u2013 This record series<br>governs selected applications by students for academic and\/or merit based<br>scholarships. Record series includes, but is not limited to: application and<br>supporting documentation, notification letter, type of scholarship awarded,<br>amount, appeals, and other specific requirements determined by the scholarship<br>funding agent. This RDA covers selected applications only. Retention: 5 years:<br>End Action: Destroy<\/li>\n\n\n\n<li>SW-U13: Student Medical Records (College\/University Statewide) &#8211;<br>Documents relating to Student medical records, Student health form,<br>Immunization History, Meningitis form, Hepatitis form, Allergy Injection form,<br>Health disclosure, etc. Retention: 10 years; End Action: Destroy<\/li>\n\n\n\n<li>SW-U14: Child Care Facility Records &#8211; Records documenting the child care<br>facility. Records include but not limited to: Visit reports, license renewal<br>documents, license certificates, inspection reports, immunization inspection<br>reports, fire safety reports, meal reports, program improvement plans,<br>playground and meal supervisory plans, observation reports, etc. Retention: 5<br>years; End Action: Destroy<\/li>\n\n\n\n<li>SW-U15: College\/University Clinic Records \u2013 Records documenting Clinic<br>Records including but not limited to: Patient records, patient billing information,<br>clinic notes, medical history, evaluation, immunization records. Retention 10 yrs.,<br>End Action: Destroy<\/li>\n\n\n\n<li>SW-U16: College\/University Animal Care Records \u2013 Records documenting Animal<br>Care including but not limited to: Animal procurement, vaccination records,<br>health records, livestock request form. Retention: 5 yrs., End Action: Destroy<\/li>\n\n\n\n<li>SW-U17: College\/University Non-Closeout Capital Project Files \u2013 Records<br>documenting Non-Closeout Capital Projects files. Record series includes but is<br>not limited to: Amendments, Supplements, Change Orders, Addendum, Bid<br>Documents, Certificates of Substantial Completion, Certificate of Insurance,<br>Schedules, Pay Applications, Job Order Contract Projects, Consent of Surety,<br>Requests for Proposals, Notice to Proceed Letters, Field\/Observation Reports,<br>Photographs, Meeting Notes, Letters, and Transmittal. Capital Project Closeout<br>files should be maintained permanently under SW-U08 Real Property Files.<br>Retention: 10 yrs., End Action Destroy<\/li>\n\n\n\n<li>Student Records\n<ol class=\"wp-block-list\">\n<li>The Family Educational rights and Privacy Act of 1974, as amended (FERPA)(see<br>Section VI.B.1.) specifically requires institutions to maintain records of requests<br>and disclosures of personally identifiable information except for defined<br>\u201cdirectory information\u201d and requests from students to review their own records.<\/li>\n\n\n\n<li>The records of disclosures and requests for disclosures are considered part of the<br>students\u2019 educational records; therefore, these records must be retained for as<br>long as the education records to which they refer are retained by the institution.<\/li>\n\n\n\n<li>FERPA requires that no record for which there is a pending request to review be<br>destroyed.<\/li>\n<\/ol>\n<\/li>\n<\/ol>\n<\/li>\n\n\n\n<li>Statewide RDAs\n<ol style=\"list-style-type:upper-alpha\" class=\"wp-block-list\">\n<li>SW01: Accounting Journal Vouchers &amp; Deposit Slips &#8211; Documents relating<br>to Accounts Receivables and Deposits with Supporting Documentation.<br>EXAMPLES: AG \u2013 Agency Only Approval Journals, AL \u2013 Allocation Process, AM \u2010<br>Assets Management, AP \u2010 Accounts Payable, AR \u2010 Accounts Receivable, BA \u2010<br>Balances from STARS, BI \u2010 Billing, CL \u2010 Closing Process, CM \u2010 Cash Management,<br>CN \u2010 Contracts, DA \u2010 Division of Accounts Approval, EX \u2010 External Application, FM<br>\u2010 Fleet Management, GM \u2010 Grants, IN \u2010 Inventory, IU \u2010 Inter\u2010Unit Transaction, JV \u2010<br>Online Journal Voucher, KK \u2010 Commitment Control Journals, LA \u2010 Accrued<br>Liabilities, LM \u2010 Enterprise Learning Management, MU \u2010 Multi\u2010Unit Transactions,<br>PM \u2010 Plant Management, PR \u2010 Project Closing, PY \u2010 Payroll, RA Accrued Revenue,<br>RV \u2010 PS exp to STARS, TR \u2010 Transactions from STARS, TV \u2010 Travel (Expenses), YA \u2010<br>Year End Adjustments This RDA is not applicable for the Division of Accounts,<br>Dept. of Finance and Administration. Retention: 5 yrs.; End Action: Destroy<br>II. SW02: Accounting Reports &#8211; Documents relating to monthly accounting reports.<br>This series also includes Accounting Reports from Edison, Banner, or the STARS<br>System. Retention: 5 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW03: Inactive Human Resources Employee Documentation &#8211; Documents<br>pertaining to the proof of eligibility to work. Included in this record series is<br>human resource documentation kept in agency. Examples: Cards or sheets<br>showing name, address, telephone number, and similar data for each office<br>employee; printouts. Records covered under SW-U09 University Personnel<br>Records shall not be destroyed under this RDA. Retention: 5 yrs.; End Action:<br>Destroy<\/li>\n\n\n\n<li>SW04: Employee Medical Records &#8211; Documents relating to confidential<br>employee medical records. Examples: Documentation of physicals and health<br>status, Alcoholics Anonymous treatment statement, drug related treatment,<br>injured in the line of duty and workers&#8217; compensation claims. Retention: 30 yrs.;<br>End Action: Destroy<\/li>\n\n\n\n<li>SW07: Travel Authorization Files &#8211; Documents relating to requests and<br>authorizations for in\u2010state and out\u2010of\u2010state travel and related correspondence,<br>including cost estimates for travel. Retention: 5 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW09: Attendance and Leave Records &#8211; Documents relating to attendance<br>and leave, including correspondence such as notice of holidays and hours<br>worked. Retention: 5 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW10: Real Property Lease Files &#8211; Documents relating to the lease space in<br>which various state agencies and departments are housed. Examples: Space<br>Action Request Form (FA\u20100006), Request for Proposal (RFP), and related<br>correspondence. Retention: 5 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW11: Internal Audit Reports and Working Papers &#8211; Documents relating to<br>internal audit reports and working papers generated by internal auditors to<br>document investigations and\/or audit reports conducted internally that are<br>submitted to the commissioners, the Comptroller of the Treasury, and other<br>parties. This RDA is not applicable to the Comptroller of the Treasury and its<br>divisional offices. Retention: 10 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW12: Contracts &amp; Requests for Proposals (RFP\u2019s) &#8211; Documents relating to<br>contracts between state agencies and vendors. Records includes a copy of the<br>final contract, Requests for Proposals (RFP)documents, Requests for Information<br>(RFI) documents, bid evaluation documents, statements of work, deliverable<br>documentation, change order documentation, correspondence, and other related<br>documents. Retention: 6 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW14: Discrimination Harassment Investigation Files &#8211; Documents relating<br>to discrimination and workplace harassment investigations. Examples:<br>investigation intake\/referral, investigation memos, Equal Employment<br>Opportunity Commission charges\/documents, Tennessee Human Rights<br>Commission charges\/documents. Retention: 5 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW15: Annual Report Working Papers &#8211; Working Paper documents relating<br>to the annual reports prepared by all agencies. Retention: 5 yrs.; End Action:<br>Destroy<\/li>\n\n\n\n<li>SW16: Temporary Records &#8211; &#8220;Temporary Records&#8221;, is defined at T.C.A \u00a7 10\u20107\u2010301<br>(13) as: &#8220;material which can be disposed of in a short period of time as being<br>without value in documenting the function of an agency. Temporary records will<br>be scheduled for disposal by requesting approval from the public records<br>commission [PRC] utilizing a records disposition authorization [RDA].&#8221; These<br>records are only considered records in that they are notes and\/or communication<br>media and may include correspondence below the Commissioner level, unless<br>superseded by another RDA. Under no circumstance will documents of Fiscal,<br>Legal, or Historic Value be considered Temporary Records. Retention: 0 yrs.; End<br>Action: Destroy<\/li>\n\n\n\n<li>SW17: Working Papers &#8211; &#8220;Working Papers&#8221; is defined in T.C.A. \u00a7 10\u20107\u2010301(14) as:<br>&#8220;those records created to serve as input for final reporting documents, including<br>electronic data processed records, and\/or computer output microfilm, and those<br>records which become obsolete immediately after agency use or publication.&#8221;<br>Working papers are used to produce a record in its final form. For the purpose of<br>the RDA, working papers are those records that have no evidential or<br>informational value once an action has been completed and do not relate to<br>significant steps taken in preparing the final record. The record resulting from the<br>working papers are then governed by its RDA. Working papers does not include<br>records that have evidential or informational value that is needed to support the<br>final record. Under no circumstance may documents of Fiscal, Legal, or Historic<br>Value be considered Working Papers. This RDA does not apply to Annual Report<br>(SA15), Budget (SW18), or Internal Audit (SW11) working papers. This RDA covers<br>all other working papers unless superseded by another specific RDA. Retention:<br>1 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW18: Budget Papers &#8211; Documents relating to budget working papers and<br>budget requests. The records are documents used to assist the agency in the<br>preparation of budgets and to justify requests to the Department of Finance and<br>Administration as well as copies of official budget requests submitted to the<br>Department of Finance and Administration for recommendations to be presented<br>for final approval. Records include correspondence, instructions, tabulations,<br>reports, cost estimates, budget request forms, program objectives, strategies,<br>budget revisions and other related documents. Retention: 5 yrs.; End Action:<br>Destroy<\/li>\n\n\n\n<li>SW20: Fiscal Administrative Documents &#8211; Files may include documents of<br>Fiscal Value not covered by another Statewide RDA or Agency Specific RDA.<br>(Examples: receipt documents, invoices, purchase orders, inventory records,<br>payment documentation, space assignment documentation, warranties, internal<br>bookkeeping documentation, &amp; balance sheets) Retention: 5 yrs.; End Action:<br>Destroy<\/li>\n\n\n\n<li>SW21: Grants &#8211; This RDA may apply to any Grant Files not covered by a<br>specific RDA. Files included in this record series may include any documents<br>pertaining to grants, such as applications, Contracts, Invoices, Asset<br>Documentation, Monitoring Documentation, Evaluations, Photographs, Reports,<br>Close\u2010out Documents and Correspondence. Retention: 5 yrs.; End Action:<br>Destroy<\/li>\n\n\n\n<li>SW22: Internal Policies and Procedures &#8211; Official record copy of the<br>policies, procedures or rules. One copy of the policy, procedure, or rule will be<br>kept by the issuing entity for retention\/reference. Records series will include<br>interim policies, procedures, and rules as well. Retention: 10 yrs.; End Action:<br>Destroy<\/li>\n\n\n\n<li>SW23: Credit Card and Purchasing Card (p-Card) Documents &#8211; Documents<br>relating to the issuing and use of state issued credit cards and Purchasing cards<br>(p\u2010 Cards). Records series includes: new card application, cardholder agreement<br>form, approver signed agreement form, account maintenance forms, training<br>tests, Edison security form, transaction logs, exception logs, fiscal officer&#8217;s<br>memos, account statements, and receipts. Retention: 5 yrs.; End Action:<br>Destroy<\/li>\n\n\n\n<li>SW24: Hazardous Material Files \u2013 Documentation of hazardous materials<br>purchased, shipped, stored, or utilized by state agencies. Documents may include:<br>inventories, shipping papers, safety documentation, utilization logs\/registers,<br>Federal or state compliance documentation (EPA, OSHA, TDEC, etc.), disposal<br>documentation, and correspondence. Training documentation shall be stored<br>with and covered by RDA SW-U09. Retention: 5 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW25: Administrative Documents \u2013 Internal Policies and Procedures &#8211;<br>Documents that relate to the day\u2010to\u2010day administration of internal policies,<br>procedures, and rules. Record series includes, but not limited to: employee<br>agreement forms, security forms, databases, frequently asked questions, and<br>related forms. (This does not include the official record copy of the policies,<br>procedures or rules which is covered by SW22.) Retention: 5 yrs.; End Action:<br>Destroy<\/li>\n\n\n\n<li>SW26: Incident Reports &#8211; Records of incidents\/accidents occurring on<br>State controlled property, involving state personnel or members of the general<br>public or state owned materials. A copy of the incident reports involving injuries<br>to state employees are to be included in the employee\u2019s medical file and covered<br>under SW04 Employee Medical Records. Retention: 10 yrs.; End Action:<br>Destroy<\/li>\n\n\n\n<li>SW27: Request for Proposal Documents \u2013 Not Selected &#8211; Final submitted<br>bid documents that were not awarded the contract. These fall under three (3)<br>categories: Unsuccessful \u2013 bids met criteria but were not the best bid; Non\u0002responsive<br>\u2013 bids that did not follow directions and thus disqualified; and<br>Rejected \u2013 bids that were not submitted by the set deadline for submission.<br>Retention: 5 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW28: Employment Application \u2013 Not Selected Candidates &#8211; Application<br>documents, hiring information, job registers, and resumes of candidates that<br>were not selected for the position. Records include applications for full-time,<br>part-time, temporary, and unpaid, such as internships. These fall under three (3)<br>categories: Unsuccessful \u2013 applicant met criteria but were not hired; Non\u0002responsive<br>\u2013 applicants that did not submit required material or respond back to<br>attempted communication; and Rejected \u2013 applications that were not submitted<br>by the set deadline for submission or failed to meet minimum requirements.<br>Retention: 5 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW29: Affirmative Action Compliance Records &#8211; Affirmative Action<br>Program records and any supporting documentation related to recruitment,<br>selection, and advancement of employees that may be used to show compliance<br>with federal Affirmative Action rules and regulations. Retention: 5 yrs.; End<br>Action: Destroy<\/li>\n\n\n\n<li>SW30: Internal Investigation Files \u2013 Records of investigation resulting from<br>a complaint from the public and\/or internally against an employee of the state<br>(TBR and its institutions). Records include but are not limited to: Correspondence,<br>photographs, interviews, criminal report, medical files, state employee\u2019s files,<br>decisions, orders or disciplinary actions and any collateral documentation<br>received for the investigation. Retention: 10 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW31: Communication Databases \u2013 Databases used for the collection of<br>information to facilitate in communication and correspondence with the public.<br>Includes spreadsheets\/lists in paper format if an agency utilizes instead of<br>electronic. Examples may include mailing lists for magazine or newsletter<br>subscriptions, communication tracking systems, requests for publications, and<br>agency\/news updates. Retention: 5 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW32: Accreditation Records \u2013 Documents the accreditation process<br>relating to an agency\u2019s program or programs as required by federal or state<br>statute, or other body. Includes background support materials, accrediting<br>agency correspondence, guidelines, reports, procedures, and accreditation review<br>reports and responses. Retention: 10 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW33: Volunteer Forms and Unpaid Intern Records \u2013 Volunteer and intern<br>screening documents and background check data. Records include but not<br>limited to; Applications submitted by individuals volunteering and interning for<br>the State, consent forms, background check information (verification of Social<br>Security number, verification of Driver\u2019s License, Criminal History Records, etc.),<br>liability forms, training records, training completion, disciplinary action,<br>performance evaluation, etc. These records include only applicants accepted.<br>Retention: 30 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW34: Recordings from Law Enforcement Mobile Devices \u2013 Incident Not<br>Identified \u2013 Recordings, created by a law enforcement agency using mobile<br>devices, that are not know to have captured a unique or unusual action from<br>which litigation or criminal prosecution is expected to likely to result. Records<br>included but not limited to all mobile recordings, regardless of where recording<br>device is mounted, such as: Bodycam (device on officer\u2019s chest, shoulder, head,<br>etc.), Dashcam (or other device mounted on the inside or outside of a vehicle),<br>Animal cam (on an animal\u2019s body), Drone (unmanned aerial vehicle or any other<br>remote controlled equipment). These records are only for recordings where no<br>incident is identified; recordings where an incident is identified will be<br>superseded by the agency\u2019s investigative RDA or Statewide 30: Internal<br>Investigation Files, and shall not be destroyed under this Statewide. Retention: 3<br>yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW35: Open Records Request \u2013 Record Series Consists of correspondence<br>with the public regarding requests to view or retrieve information from official<br>records. Records include but are not limited to emails, letters, and attachments.<br>Note: the records requested are not covered by this RDA, but are to be governed<br>by the appropriate original RDA for the requested records. Retention: 5 yrs.; End<br>Action: Destroy<\/li>\n\n\n\n<li>SW36: Original Captured Media \u2013 Finished products of video, audio and<br>digital images captured and produced of official agency business created and<br>used by the employees of the agency. Retention: 5 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW37: Temporary Captured Media \u2013 Temporary Records is defined at<br>T.C.A. \u00a7 10- 7-301(13) as: material which can de disposed of in a short period of<br>time as being without value in documenting the function of an agency.<br>Temporary records will be scheduled for disposal by the requesting approval<br>from the public records commission [PRC] utilizing a records disposition<br>authorization [RDA]. Video, audio and still photography captured and produced<br>by agency employees for the use of the agency and which do not meet quality<br>standards (blurry, out of focus, etc.) are temporary and to be removed at the<br>discretion of the creator and\/or staff. Any media that is not disposed of will be<br>covered under SW36. Retention: 0 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW39: Title VI Annual Report &#8211; Agency copy of Annual Reports and<br>supporting documentation submitted to the Federal Government or TN Human<br>Rights Commission. Retention: 5 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW40: Rule Promulgation File \u2013 Records of voting on policy or rule<br>adoption. The official files of the final promulgated rules: signed copies going to<br>the Attorney General and Secretary of State response to public comments; any<br>signed roll-call votes approving the rules, etc. Retention: Permanent, Do Not<br>Destroy<\/li>\n\n\n\n<li>SW41: Fraud Investigation Files \u2013 Documents of the investigations that are<br>undertaken based on complaints or referrals received involving, but not limited<br>to, alleged non-profit fraud, license fraud, medical fraud, and the abuse of state<br>funded benefits. Records include, but are not limited to, research investigation<br>notes, correspondence, files relative to investigation, and any pertinent law<br>enforcement data. Confidential investigation shall be kept under agency specific<br>RDA. Retention: 10 yrs.; End Action: Destroy<\/li>\n\n\n\n<li>SW42: Unsuccessful Grant Applications \u2013 Records of proposals that have<br>been denied funding or for which no award decision has been made by the<br>funding state agency. Series includes, but is not limited to, proposal for grant,<br>correspondence, notes, project\/planning files, grant evaluation summaries, letters<br>of denial, and other related documentation. Retention: 5 yrs.; End Action:<br>Destroy<\/li>\n<\/ol>\n<\/li>\n<\/ol>\n\n\n\n<p><strong>Exhibits<\/strong><br><a href=\"https:\/\/policies.tbr.edu\/system\/files\/exhibits\/1-12-01-00%20Exhibit%201%20Executive%20Order%20%2338.pdf\">Exhibit 1<\/a> &#8211; Executive Order #38(pdf \/2.23 MB)<\/p>\n\n\n\n<p><strong>Sources<\/strong><br>T.C.A. \u00a7 49-8-203; Rules of Secretary of State, Records Management Division,<br>Executive Order #38.<\/p>\n\n\n\n<hr class=\"wp-block-separator has-alpha-channel-opacity\"\/>\n\n\n\n<p>Approved by TBR: November 15, 1983<br>Revised by TBR: July 1, 1984<br>Revised by TBR: July 1, 1985<br>Revised by TBR: September 1, 1986<br>Revised by TBR: May 14, 1991, Presidents Meeting and implemented August 6, 1993 after approval by State Records Commission<br>Revised by TBR:May 5, 1998,<br>Revised by TBR:May 21, 2002<br>Revised by TBR: May 16, 2006<br>Renamed and revised by TBR: August 18, 2015. Records Commission RDA approval, June 2016.<br>Revised by TBR: February 21, 2017 Revised by TBR: May 16, 2017<br>Revised by TBR: November 14, 2017<br>Revised by TBR: June 22, 2018.<br>Revised by TBR:May, 2019<br>Revised by TBR: June 11, 2019<br>Revised by TBR: Revised by TBR: January 22, 2020<br>Revised by TBR: September 23, 2020<br>Reviewed\/Recommended: President\u2019s Council, August 28, 2023<br>Approved: President L. Anthony Wise, Jr., August 28, 2023<\/p>\n","protected":false},"excerpt":{"rendered":"<p>RECORDS \u2013 RETENTION AND DISPOSAL Please refer to Tennessee Board of Regents 1.12.01.00 Records Retention and Disposal of Records (Formerly G-70) and to Tennessee Board of Regents Guideline G-075, Litigation Hold Notice Procedures for Federal Litigation (Federal Rules of Civil Procedure) Policy\/Guideline AreaGovernance, Organization, and General Policies Applicable DivisionsTCATs, Community Colleges, System Office, Board Members [&hellip;]<\/p>\n","protected":false},"author":1,"featured_media":0,"parent":0,"menu_order":0,"comment_status":"closed","ping_status":"closed","template":"policy-template-1","meta":{"footnotes":""},"class_list":["post-824","page","type-page","status-publish","hentry"],"_links":{"self":[{"href":"https:\/\/policies.pstcc.edu\/index.php?rest_route=\/wp\/v2\/pages\/824","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/policies.pstcc.edu\/index.php?rest_route=\/wp\/v2\/pages"}],"about":[{"href":"https:\/\/policies.pstcc.edu\/index.php?rest_route=\/wp\/v2\/types\/page"}],"author":[{"embeddable":true,"href":"https:\/\/policies.pstcc.edu\/index.php?rest_route=\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/policies.pstcc.edu\/index.php?rest_route=%2Fwp%2Fv2%2Fcomments&post=824"}],"version-history":[{"count":1,"href":"https:\/\/policies.pstcc.edu\/index.php?rest_route=\/wp\/v2\/pages\/824\/revisions"}],"predecessor-version":[{"id":826,"href":"https:\/\/policies.pstcc.edu\/index.php?rest_route=\/wp\/v2\/pages\/824\/revisions\/826"}],"wp:attachment":[{"href":"https:\/\/policies.pstcc.edu\/index.php?rest_route=%2Fwp%2Fv2%2Fmedia&parent=824"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}