POLICY 08:22:00

RECORDS – 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 Area
Governance, Organization, and General Policies

Applicable Divisions
TCATs, Community Colleges, System Office, Board Members

Purpose
This Policy sets forth the records retention schedule and procedures for disposal of
records for the Pellissippi State Community College.

Definitions
Tennessee Public Records Commission Rule Rules of Public Records
Commission, 1210-01-.02 Definitions, controls.

Definitions, controls. Click on PDF file above for complete list of definitions.

“Public Record” or “State Records” means all documents, papers, letters, maps,
books, photographs, microfilms, electronic data processing files and output, films,
sound recordings or other material regardless of physical form or characteristics
made or received pursuant to law or ordinance or in connection with the
transaction of official business by any governmental agency.
Non-Record – Any item that does not reflect the official business of the agency.
This includes, but is not limited to reference materials, extra copies, drafts,
bulletins, trade journals, manuals, personal emails and texts, emails conveying
attachments.

Policy/Guideline

Disposal of Records
1. Disposal of records must be approved by the State Public Records Commission
  (PRC). No records, paper, electronic, or other media may be destroyed unless and
  until meeting the criteria of this policy and PRC rules.
2. Unless specified otherwise, or otherwise required by law, records may be imaged,
  microfilmed, or electronically reproduced and the paper copy destroyed upon
  verification of an archival quality reproduction. The microfilm, image, or
  electronic record will then be retained for the balance of the indicated retention
  period.
3. No record shall be destroyed, however, so long as it pertains to any pending legal
  case, claim, or action; or to any federal or state audit until such actions have been
  concluded.
  1. State records have been approved for disposal by state-approved methods:
    1. Shredding
    2. Recycling
    3. Purge (paper & electronic)
  2. Any record designated “confidential” shall be so treated by agencies in the
    maintenance, storage and disposition of such confidential records. These records
    shall be destroyed in such a manner that they cannot be read, interpreted or
    reconstructed.
4. Unless specifically approved by the System Office or Institution Records Officer,
  any records which reflect “Permanent” retention should be maintained by means
  other than paper after verification of an archival quality electronic reproduction.
  After verification, the paper copies will be destroyed.
5. Actions by the State Commission shall be communicated to all campus Records
  Officers through the System Office.
Records Officers
1. Records Officers have the authority and responsibility to retain and dispose of
  records in accordance with approved records disposition authorizations.
2. Prior to the destruction of any records, the Records Officer must determine if the
  action should be delayed due to audit or litigation requirements.
3. Specific records pertaining to current or pending litigation or investigation must
  be retained until all questions are resolved. These specific records can be retained
  in a suspense file, while all other records not under pending investigation shall be
  disposed of in accordance with established Statewide and TBR Records
  Disposition Authorizations (RDAs).
4. Records Officers should establish and apply retention schedules for records in
  their custody that may not be specifically addressed in this policy.
Certificate of Destruction
1. Records Management Division has authorized the implementation and utilization
  of the Certificate of Destruction Form in order to better track the volume of
  records destroyed and to insure that records have met the criteria necessary for
  destruction.
2. Certificate of Destruction forms must be used when destroying public or
  confidential records that are not destroyed during the annual Operation
  Roundfile campaign – an initiative through Executive Order 38 to purge out-ofdate documents and/or records on an annual basis. (Exhibit 1)
  1. Certificates shall be held at the institution.
Records Retention Schedules
1. The Tennessee Board of Regents adheres to Statewide, College/University
  Statewide, other agency (where appropriate) and TBR Records Destruction
  Authorization (RDA) classifications.
2. Notwithstanding the retention period stated herein, should such periods conflict
  with federal or state law or regulation, the period of longer retention shall apply.
3. Each RDA listed below has a brief synopsis of the record type, the retention
  period and end action.
4. Click on the following link to access the Record Division RDA Public Page to see
  the actual RDA which includes cut-off dates and other pertinent information. Use
  the Fulltext search function to find the RDA for viewing. Example: SW-U02.
  http://www.tnsos.net/rmd/rda/index.php
Higher Education Records RDAs
1. SW-U01: College/University Boards, Commissions, and College/System Chief
  Executive Documents – Records include but not limited to: documents or records
  related to meetings of Boards, Commissions, Councils, and Committees.
  Documents relating to the System/College Chief Executive in the transaction of
  the official business. Examples: Official correspondence, memorandums, final
  reports, official policies, current & obsolete directives, minutes/accounts of
  proceedings, agenda, copies of reports, and announcements.
  1. For purposes of this RDA, records include official business of the Chancellor
    and all institution presidents, or anyone designated as an “Interim” for these
    positions. Retention: Permanent, Do Not Destroy
2. SW-U02: Student Education Record (College/University Statewide) – These files
  contain the official academic record of students attending State institutions. They
  include, but are not limited to Academic Records (includes Narrative Evaluations,
  Competency Assessments), Change of Grade Records; Financial Aid Transcripts (if
  applicable), Class Lists (original grade sheets or cards), Graduation Lists,
  transcripts, Permanent Student Cards, Statistical Data (enrollment, grades,
  racial/ethnic, degree), Commencement Program (1 copy), Student Disciplinary
  Files resulting in expulsion. Retention: Permanent, Do Not Destroy
  1. Student FERPA rights and defining Education Records is contained in 20 USC
    1232g: FERPA Rights
3. SW-U03: Alumni Development Files/Donor Gifts and Contributions/Endowment
  and Living Trust Agreements (College/University Statewide) – Current and
  Historical Data Including (1) Alumni Development Files: alumni information,
  solicitation, pledge and contributions data, and all related documents. (2) Donor
  Gifts and Contributions: Donor Recognition Committee, Donor Director of Private
  Giving, Fund Raising Report, Philanthropy Awards, and all related documents. (3)
  Endowment and Living Trust Agreements, and all related documents. Retention:
  Permanent, Do Not Destroy
4. SW-U04: Student National Collegiate Athletic Association (NCAA), and Academic
  Second Opportunity Records (College/University Statewide) – These records
  include, but is not limited to Athletic files including NCAA eligibility and related
  files, and Academic second opportunity applications.
  1. For purposes of this RDA, NCAA also includes records related to the National
    Junior College Athletic Association (NJCAA). Retention: 10 yrs; End Action:
    Destroy
5. SW-U05: Trademark, Copyright, Patent Records, Printed Materials and
  Publications (College/University Statewide) – These records include, but are not
  limited to Trademark, Copyright and Patent records, including correspondence,
  forms, documents and materials relating to application for and granting of same.
  Printed Materials and Publications which have permanent administrative,
  physical, historical or legal value, such as; class schedules (institutional),
  institution catalogs, brochures, etc. Retention: Permanent, Do Not Destroy
6. SW-U06: Student Information Records (College/University Statewide) – Records
  that are not protected as part of the Student Education Record (Statewide RDA
  SW-U02). These records include, but are not limited to individual office or
  department files, graduation authorizations, accepted applications for admission
  or readmission, credit by exam forms, placement records, student ledger
  cards/registration system receipts, tuition and fee charges, athletic department
  files, campus health clinic records. Retention: 5 yrs.; End Action: Destroy
7. SW-U07: College University Research Records (College/University Statewide) –
  Records pertaining to research conducted at an academic institution, including
  records created over the course of a research project, steps taken, and results.
  This series includes, but is not limited to: correspondence, project descriptions,
  final reports or deliverables, data, and related documentation and
  correspondence. Retention: 10 yrs.; End Action: Destroy
8. SW-U08: College/University Real Property Files – Facility files that include: deeds,
  leases, capital agreements, and other historical property documents. Retention:
  Permanent, Do Not Destroy
9. SW-U09: College/University Personnel Records – Personnel Records of college
  employees. Files are comprised of official personnel files for each employee. At a
  minimum, these files contain documentation of the employee’s payroll history
  with the department. Retention: 65 yrs.; End Action: Destroy
10. SW-U10: Student Admissions Applications – Denied, Cancelled, Admitted NonEnrolled –
  This records series consists of application records for admission into
  the University/College undergraduate or graduate degree program. Records
  include, but are not limited to: documents or records related to student
  application for Admission. Examples: application, standardized test scores, letters
  of recommendation, personal statements, medical records, high school and
  college transcripts, appeals, and other supporting documentation. Applications
  for students who do enroll should be kept for 5 years as part of SW-U06: Student
  Information Records. Retention: 1 yr.; End Action: Destroy
11. SW-U11: Applications for Scholarship Files – Not Selected – This record series
  governs non-selected applications by students for academic or merit based
  scholarships. Record series includes, but is not limited to: application and
  supporting documentation, notification letter, type of scholarship requested,
  amount, appeals, and other specific requirements determined by the scholarship
  funding agent. This RDA covers non-selected applications only. Retention: 1 yr.;
  End Action: Destroy
12. SW-U12: Applications for Scholarship Files – Selected – This record series
  governs selected applications by students for academic and/or merit based
  scholarships. Record series includes, but is not limited to: application and
  supporting documentation, notification letter, type of scholarship awarded,
  amount, appeals, and other specific requirements determined by the scholarship
  funding agent. This RDA covers selected applications only. Retention: 5 years:
  End Action: Destroy
13. SW-U13: Student Medical Records (College/University Statewide) –
  Documents relating to Student medical records, Student health form,
  Immunization History, Meningitis form, Hepatitis form, Allergy Injection form,
  Health disclosure, etc. Retention: 10 years; End Action: Destroy
14. SW-U14: Child Care Facility Records – Records documenting the child care
  facility. Records include but not limited to: Visit reports, license renewal
  documents, license certificates, inspection reports, immunization inspection
  reports, fire safety reports, meal reports, program improvement plans,
  playground and meal supervisory plans, observation reports, etc. Retention: 5
  years; End Action: Destroy
15. SW-U15: College/University Clinic Records – Records documenting Clinic
  Records including but not limited to: Patient records, patient billing information,
  clinic notes, medical history, evaluation, immunization records. Retention 10 yrs.,
  End Action: Destroy
16. SW-U16: College/University Animal Care Records – Records documenting Animal
  Care including but not limited to: Animal procurement, vaccination records,
  health records, livestock request form. Retention: 5 yrs., End Action: Destroy
17. SW-U17: College/University Non-Closeout Capital Project Files – Records
  documenting Non-Closeout Capital Projects files. Record series includes but is
  not limited to: Amendments, Supplements, Change Orders, Addendum, Bid
  Documents, Certificates of Substantial Completion, Certificate of Insurance,
  Schedules, Pay Applications, Job Order Contract Projects, Consent of Surety,
  Requests for Proposals, Notice to Proceed Letters, Field/Observation Reports,
  Photographs, Meeting Notes, Letters, and Transmittal. Capital Project Closeout
  files should be maintained permanently under SW-U08 Real Property Files.
  Retention: 10 yrs., End Action Destroy
18. Student Records
  1. The Family Educational rights and Privacy Act of 1974, as amended (FERPA)(see
    Section VI.B.1.) specifically requires institutions to maintain records of requests
    and disclosures of personally identifiable information except for defined
    “directory information” and requests from students to review their own records.
  2. The records of disclosures and requests for disclosures are considered part of the
    students’ educational records; therefore, these records must be retained for as
    long as the education records to which they refer are retained by the institution.
  3. FERPA requires that no record for which there is a pending request to review be
    destroyed.
Statewide RDAs
1. SW01: Accounting Journal Vouchers & Deposit Slips – Documents relating
  to Accounts Receivables and Deposits with Supporting Documentation.
  EXAMPLES: AG – Agency Only Approval Journals, AL – Allocation Process, AM ‐
  Assets Management, AP ‐ Accounts Payable, AR ‐ Accounts Receivable, BA ‐
  Balances from STARS, BI ‐ Billing, CL ‐ Closing Process, CM ‐ Cash Management,
  CN ‐ Contracts, DA ‐ Division of Accounts Approval, EX ‐ External Application, FM
  ‐ Fleet Management, GM ‐ Grants, IN ‐ Inventory, IU ‐ Inter‐Unit Transaction, JV ‐
  Online Journal Voucher, KK ‐ Commitment Control Journals, LA ‐ Accrued
  Liabilities, LM ‐ Enterprise Learning Management, MU ‐ Multi‐Unit Transactions,
  PM ‐ Plant Management, PR ‐ Project Closing, PY ‐ Payroll, RA Accrued Revenue,
  RV ‐ PS exp to STARS, TR ‐ Transactions from STARS, TV ‐ Travel (Expenses), YA ‐
  Year End Adjustments This RDA is not applicable for the Division of Accounts,
  Dept. of Finance and Administration. Retention: 5 yrs.; End Action: Destroy
  II. SW02: Accounting Reports – Documents relating to monthly accounting reports.
  This series also includes Accounting Reports from Edison, Banner, or the STARS
  System. Retention: 5 yrs.; End Action: Destroy
2. SW03: Inactive Human Resources Employee Documentation – Documents
  pertaining to the proof of eligibility to work. Included in this record series is
  human resource documentation kept in agency. Examples: Cards or sheets
  showing name, address, telephone number, and similar data for each office
  employee; printouts. Records covered under SW-U09 University Personnel
  Records shall not be destroyed under this RDA. Retention: 5 yrs.; End Action:
  Destroy
3. SW04: Employee Medical Records – Documents relating to confidential
  employee medical records. Examples: Documentation of physicals and health
  status, Alcoholics Anonymous treatment statement, drug related treatment,
  injured in the line of duty and workers’ compensation claims. Retention: 30 yrs.;
  End Action: Destroy
4. SW07: Travel Authorization Files – Documents relating to requests and
  authorizations for in‐state and out‐of‐state travel and related correspondence,
  including cost estimates for travel. Retention: 5 yrs.; End Action: Destroy
5. SW09: Attendance and Leave Records – Documents relating to attendance
  and leave, including correspondence such as notice of holidays and hours
  worked. Retention: 5 yrs.; End Action: Destroy
6. SW10: Real Property Lease Files – Documents relating to the lease space in
  which various state agencies and departments are housed. Examples: Space
  Action Request Form (FA‐0006), Request for Proposal (RFP), and related
  correspondence. Retention: 5 yrs.; End Action: Destroy
7. SW11: Internal Audit Reports and Working Papers – Documents relating to
  internal audit reports and working papers generated by internal auditors to
  document investigations and/or audit reports conducted internally that are
  submitted to the commissioners, the Comptroller of the Treasury, and other
  parties. This RDA is not applicable to the Comptroller of the Treasury and its
  divisional offices. Retention: 10 yrs.; End Action: Destroy
8. SW12: Contracts & Requests for Proposals (RFP’s) – Documents relating to
  contracts between state agencies and vendors. Records includes a copy of the
  final contract, Requests for Proposals (RFP)documents, Requests for Information
  (RFI) documents, bid evaluation documents, statements of work, deliverable
  documentation, change order documentation, correspondence, and other related
  documents. Retention: 6 yrs.; End Action: Destroy
9. SW14: Discrimination Harassment Investigation Files – Documents relating
  to discrimination and workplace harassment investigations. Examples:
  investigation intake/referral, investigation memos, Equal Employment
  Opportunity Commission charges/documents, Tennessee Human Rights
  Commission charges/documents. Retention: 5 yrs.; End Action: Destroy
10. SW15: Annual Report Working Papers – Working Paper documents relating
  to the annual reports prepared by all agencies. Retention: 5 yrs.; End Action:
  Destroy
11. SW16: Temporary Records – “Temporary Records”, is defined at T.C.A § 10‐7‐301
  (13) as: “material which can be disposed of in a short period of time as being
  without value in documenting the function of an agency. Temporary records will
  be scheduled for disposal by requesting approval from the public records
  commission [PRC] utilizing a records disposition authorization [RDA].” These
  records are only considered records in that they are notes and/or communication
  media and may include correspondence below the Commissioner level, unless
  superseded by another RDA. Under no circumstance will documents of Fiscal,
  Legal, or Historic Value be considered Temporary Records. Retention: 0 yrs.; End
  Action: Destroy
12. SW17: Working Papers – “Working Papers” is defined in T.C.A. § 10‐7‐301(14) as:
  “those records created to serve as input for final reporting documents, including
  electronic data processed records, and/or computer output microfilm, and those
  records which become obsolete immediately after agency use or publication.”
  Working papers are used to produce a record in its final form. For the purpose of
  the RDA, working papers are those records that have no evidential or
  informational value once an action has been completed and do not relate to
  significant steps taken in preparing the final record. The record resulting from the
  working papers are then governed by its RDA. Working papers does not include
  records that have evidential or informational value that is needed to support the
  final record. Under no circumstance may documents of Fiscal, Legal, or Historic
  Value be considered Working Papers. This RDA does not apply to Annual Report
  (SA15), Budget (SW18), or Internal Audit (SW11) working papers. This RDA covers
  all other working papers unless superseded by another specific RDA. Retention:
  1 yrs.; End Action: Destroy
13. SW18: Budget Papers – Documents relating to budget working papers and
  budget requests. The records are documents used to assist the agency in the
  preparation of budgets and to justify requests to the Department of Finance and
  Administration as well as copies of official budget requests submitted to the
  Department of Finance and Administration for recommendations to be presented
  for final approval. Records include correspondence, instructions, tabulations,
  reports, cost estimates, budget request forms, program objectives, strategies,
  budget revisions and other related documents. Retention: 5 yrs.; End Action:
  Destroy
14. SW20: Fiscal Administrative Documents – Files may include documents of
  Fiscal Value not covered by another Statewide RDA or Agency Specific RDA.
  (Examples: receipt documents, invoices, purchase orders, inventory records,
  payment documentation, space assignment documentation, warranties, internal
  bookkeeping documentation, & balance sheets) Retention: 5 yrs.; End Action:
  Destroy
15. SW21: Grants – This RDA may apply to any Grant Files not covered by a
  specific RDA. Files included in this record series may include any documents
  pertaining to grants, such as applications, Contracts, Invoices, Asset
  Documentation, Monitoring Documentation, Evaluations, Photographs, Reports,
  Close‐out Documents and Correspondence. Retention: 5 yrs.; End Action:
  Destroy
16. SW22: Internal Policies and Procedures – Official record copy of the
  policies, procedures or rules. One copy of the policy, procedure, or rule will be
  kept by the issuing entity for retention/reference. Records series will include
  interim policies, procedures, and rules as well. Retention: 10 yrs.; End Action:
  Destroy
17. SW23: Credit Card and Purchasing Card (p-Card) Documents – Documents
  relating to the issuing and use of state issued credit cards and Purchasing cards
  (p‐ Cards). Records series includes: new card application, cardholder agreement
  form, approver signed agreement form, account maintenance forms, training
  tests, Edison security form, transaction logs, exception logs, fiscal officer’s
  memos, account statements, and receipts. Retention: 5 yrs.; End Action:
  Destroy
18. SW24: Hazardous Material Files – Documentation of hazardous materials
  purchased, shipped, stored, or utilized by state agencies. Documents may include:
  inventories, shipping papers, safety documentation, utilization logs/registers,
  Federal or state compliance documentation (EPA, OSHA, TDEC, etc.), disposal
  documentation, and correspondence. Training documentation shall be stored
  with and covered by RDA SW-U09. Retention: 5 yrs.; End Action: Destroy
19. SW25: Administrative Documents – Internal Policies and Procedures –
  Documents that relate to the day‐to‐day administration of internal policies,
  procedures, and rules. Record series includes, but not limited to: employee
  agreement forms, security forms, databases, frequently asked questions, and
  related forms. (This does not include the official record copy of the policies,
  procedures or rules which is covered by SW22.) Retention: 5 yrs.; End Action:
  Destroy
20. SW26: Incident Reports – Records of incidents/accidents occurring on
  State controlled property, involving state personnel or members of the general
  public or state owned materials. A copy of the incident reports involving injuries
  to state employees are to be included in the employee’s medical file and covered
  under SW04 Employee Medical Records. Retention: 10 yrs.; End Action:
  Destroy
21. SW27: Request for Proposal Documents – Not Selected – Final submitted
  bid documents that were not awarded the contract. These fall under three (3)
  categories: Unsuccessful – bids met criteria but were not the best bid; Nonresponsive
  – bids that did not follow directions and thus disqualified; and
  Rejected – bids that were not submitted by the set deadline for submission.
  Retention: 5 yrs.; End Action: Destroy
22. SW28: Employment Application – Not Selected Candidates – Application
  documents, hiring information, job registers, and resumes of candidates that
  were not selected for the position. Records include applications for full-time,
  part-time, temporary, and unpaid, such as internships. These fall under three (3)
  categories: Unsuccessful – applicant met criteria but were not hired; Nonresponsive
  – applicants that did not submit required material or respond back to
  attempted communication; and Rejected – applications that were not submitted
  by the set deadline for submission or failed to meet minimum requirements.
  Retention: 5 yrs.; End Action: Destroy
23. SW29: Affirmative Action Compliance Records – Affirmative Action
  Program records and any supporting documentation related to recruitment,
  selection, and advancement of employees that may be used to show compliance
  with federal Affirmative Action rules and regulations. Retention: 5 yrs.; End
  Action: Destroy
24. SW30: Internal Investigation Files – Records of investigation resulting from
  a complaint from the public and/or internally against an employee of the state
  (TBR and its institutions). Records include but are not limited to: Correspondence,
  photographs, interviews, criminal report, medical files, state employee’s files,
  decisions, orders or disciplinary actions and any collateral documentation
  received for the investigation. Retention: 10 yrs.; End Action: Destroy
25. SW31: Communication Databases – Databases used for the collection of
  information to facilitate in communication and correspondence with the public.
  Includes spreadsheets/lists in paper format if an agency utilizes instead of
  electronic. Examples may include mailing lists for magazine or newsletter
  subscriptions, communication tracking systems, requests for publications, and
  agency/news updates. Retention: 5 yrs.; End Action: Destroy
26. SW32: Accreditation Records – Documents the accreditation process
  relating to an agency’s program or programs as required by federal or state
  statute, or other body. Includes background support materials, accrediting
  agency correspondence, guidelines, reports, procedures, and accreditation review
  reports and responses. Retention: 10 yrs.; End Action: Destroy
27. SW33: Volunteer Forms and Unpaid Intern Records – Volunteer and intern
  screening documents and background check data. Records include but not
  limited to; Applications submitted by individuals volunteering and interning for
  the State, consent forms, background check information (verification of Social
  Security number, verification of Driver’s License, Criminal History Records, etc.),
  liability forms, training records, training completion, disciplinary action,
  performance evaluation, etc. These records include only applicants accepted.
  Retention: 30 yrs.; End Action: Destroy
28. SW34: Recordings from Law Enforcement Mobile Devices – Incident Not
  Identified – Recordings, created by a law enforcement agency using mobile
  devices, that are not know to have captured a unique or unusual action from
  which litigation or criminal prosecution is expected to likely to result. Records
  included but not limited to all mobile recordings, regardless of where recording
  device is mounted, such as: Bodycam (device on officer’s chest, shoulder, head,
  etc.), Dashcam (or other device mounted on the inside or outside of a vehicle),
  Animal cam (on an animal’s body), Drone (unmanned aerial vehicle or any other
  remote controlled equipment). These records are only for recordings where no
  incident is identified; recordings where an incident is identified will be
  superseded by the agency’s investigative RDA or Statewide 30: Internal
  Investigation Files, and shall not be destroyed under this Statewide. Retention: 3
  yrs.; End Action: Destroy
29. SW35: Open Records Request – Record Series Consists of correspondence
  with the public regarding requests to view or retrieve information from official
  records. Records include but are not limited to emails, letters, and attachments.
  Note: the records requested are not covered by this RDA, but are to be governed
  by the appropriate original RDA for the requested records. Retention: 5 yrs.; End
  Action: Destroy
30. SW36: Original Captured Media – Finished products of video, audio and
  digital images captured and produced of official agency business created and
  used by the employees of the agency. Retention: 5 yrs.; End Action: Destroy
31. SW37: Temporary Captured Media – Temporary Records is defined at
  T.C.A. § 10- 7-301(13) as: material which can de disposed of in a short period of
  time as being without value in documenting the function of an agency.
  Temporary records will be scheduled for disposal by the requesting approval
  from the public records commission [PRC] utilizing a records disposition
  authorization [RDA]. Video, audio and still photography captured and produced
  by agency employees for the use of the agency and which do not meet quality
  standards (blurry, out of focus, etc.) are temporary and to be removed at the
  discretion of the creator and/or staff. Any media that is not disposed of will be
  covered under SW36. Retention: 0 yrs.; End Action: Destroy
32. SW39: Title VI Annual Report – Agency copy of Annual Reports and
  supporting documentation submitted to the Federal Government or TN Human
  Rights Commission. Retention: 5 yrs.; End Action: Destroy
33. SW40: Rule Promulgation File – Records of voting on policy or rule
  adoption. The official files of the final promulgated rules: signed copies going to
  the Attorney General and Secretary of State response to public comments; any
  signed roll-call votes approving the rules, etc. Retention: Permanent, Do Not
  Destroy
34. SW41: Fraud Investigation Files – Documents of the investigations that are
  undertaken based on complaints or referrals received involving, but not limited
  to, alleged non-profit fraud, license fraud, medical fraud, and the abuse of state
  funded benefits. Records include, but are not limited to, research investigation
  notes, correspondence, files relative to investigation, and any pertinent law
  enforcement data. Confidential investigation shall be kept under agency specific
  RDA. Retention: 10 yrs.; End Action: Destroy
35. SW42: Unsuccessful Grant Applications – Records of proposals that have
  been denied funding or for which no award decision has been made by the
  funding state agency. Series includes, but is not limited to, proposal for grant,
  correspondence, notes, project/planning files, grant evaluation summaries, letters
  of denial, and other related documentation. Retention: 5 yrs.; End Action:
  Destroy

Exhibits
Exhibit 1 – Executive Order #38(pdf /2.23 MB)

Sources
T.C.A. § 49-8-203; Rules of Secretary of State, Records Management Division,
Executive Order #38.

Approved by TBR: November 15, 1983
Revised by TBR: July 1, 1984
Revised by TBR: July 1, 1985
Revised by TBR: September 1, 1986
Revised by TBR: May 14, 1991, Presidents Meeting and implemented August 6, 1993 after approval by State Records Commission
Revised by TBR:May 5, 1998,
Revised by TBR:May 21, 2002
Revised by TBR: May 16, 2006
Renamed and revised by TBR: August 18, 2015. Records Commission RDA approval, June 2016.
Revised by TBR: February 21, 2017 Revised by TBR: May 16, 2017
Revised by TBR: November 14, 2017
Revised by TBR: June 22, 2018.
Revised by TBR:May, 2019
Revised by TBR: June 11, 2019
Revised by TBR: Revised by TBR: January 22, 2020
Revised by TBR: September 23, 2020
Reviewed/Recommended: President’s Council, August 28, 2023
Approved: President L. Anthony Wise, Jr., August 28, 2023