- 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.
- SW02: Accounting Reports - Documents relating to monthly accounting reports. This series
also includes Accounting Reports from Edison, Banner, or the STARS System.
- SW03: Human Resources Employee Eligibility Documents - 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 SW19 Active
Employee Files shall not be destroyed under this RDA.
- 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
- SW06: Boards & Commissions Documents - Documents or recordings related to meetings of
Boards, Commissions, Councils, and Committees. Records included are minutes/accounts
of proceeding actions taken, agenda, copies of reports, exhibits, and announcements.
Also documents relating to all responsibility of agency heads, such as correspondence
or memos to internal personnel, officials of other state agencies (including the governor
and General Assembly) federal officials, local officials and the general public. Included
are: special studies, reports and working papers prepared by the executive staff,
policy and procedure manuals , current & obsolete directives (except Executive Orders),
and similar related materials.
- SW07: Travel Authorization Files - Documents relating to requests and authorizations for
in‐state and out‐of‐state travel and related correspondence, including cost estimates
- SW08: Commissioner's Subject Files - For purposes of this RDA, "Commissioner" means "Chief
Executive", which includes the President. "Executive Staff" means all persons employed
at the Vice President level. Documents relating to all areas of the President and
his/her executive staff in the transaction of official business. Examples: Correspondence
and memorandums with internal personnel, officials of other state agencies (including
the Governor and General Assembly) federal officials, local officials and the general
public. Included are: special studies, reports and working papers prepared by the
executive staff, policy and procedure manuals, current & obsolete directives, and
similar related materials.
- SW09: Attendance and Leave Records - Documents relating to attendance and leave, including
correspondence such as notice of holidays and hours worked.
- 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.
- 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.
- 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.
- 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.
- SW15: Annual Report Working Papers - Working Paper documents relating to the annual reports
prepared by all agencies.
- 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.
- 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.
- 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.
- SW19: Active Employee Files - These files consist of Departmental Employee HR information
and contains the following, but not limited to, documents: Personnel File Audit Checklist,
Request for Personnel Action Form, Employment Application,W‐4 Form, Direct Deposit
Authorization, Drug‐Free Workplace Policy, Memo for the Operation of Motor Vehicles
by State Employees, Acceptable Use Policy Network Access Rights and Obligations User
Agreement Acknowledgment, Performance Document‐Job Plan and Employee Insurance & Benefits
File Audit Checklist. Records covered under SW03 Human Resources Employee Information
Documents shall not be destroyed under this RDA.
- 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)
- 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.
- 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.
- 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.
- 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 SW19, Personnel Files.
- 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.)
- 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
- 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; Non-responsive – bids that did not
follow directions and thus disqualified; and Rejected – bids that were not submitted
by the set deadline for submission.
- 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; Non-responsive – 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- 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.
- SW37:Temporary Captured Media – 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 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
- 11068: State Owned Real Property - Records may include, but are not limited to: Warranty
Deeds to and/or the State, Maps, Drawings, Plot Layouts, Premises Land Leases, Appraisals,
Surveys, Environmental Assessments, Photographs, Financial Industry Regulatory Authority
Web Site and any other documents chronicling the history, sale, or purchase of State
- Student Records
- The Family Educational rights and Privacy Act of 1974, as amended (FERPA) 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.
- The records of disclosures and requests for disclosures are considered part of the
students’ educational records; therefore, these records must be retained as long as
the education records to which they refer are retained by the University.
- FERPA requires that no record for which there is a pending request to review be destroyed.
- Student Miscellaneous Records: Records in this category are covered under SW16 Temporary
Records. These records include, but are not limited to;
- All records of applicants who do not enter an institution;
- The following records of applicants who enter an institution;
- Grade Reports (Registrar’s copies)
- Registration Forms
- Social Security Certificates
- Teacher Certifications (Institution only)
- Transcript Requests (student)
- Audit Authorizations
- Pass/Fail Requests
- Changes of Course (add/drop)
- Credit/No Credit Approvals
- Enrollment Verifications (logs or lists)
- Applications for Graduation
- Examination Papers and Answer Sheets
- Academic Advisor Files
- Class Schedules (student)
- Personal Data Information Forms
- Letters of Recommendation
- Student Disciplinary Files (for matters resulting in a finding of no violations(s)
- 10152: Student Information Records: Retention 5 years
- Records that are not protected as part of the Student Education record.
- These records include, but are not limited to individual office or department files,
Entrance Examination Reports, Transcripts (high school, other colleges) foreign student
forms, graduation authorizations, advance placement records, applications for admission
or readmission, credit by exam forms, placement records, transfer credit evaluations,
student ledger cards/registration system receipts, tuition and fee charges, AAPP scan
sheets and essay booklets, examination papers and answer sheets, athletic department
files, campus health clinic records.
- 11169: Student Education Record. Retention: Permanent.
- These records contain the official education record of students attending the University.
- These records include, but are not limited to:
- Academic Records (includes Narrative Evaluations, Competency Assessments);
- Change of Grade Records;
- Financial Aid Transcripts;
- Class Lists (original grade sheets or cards);
- Permanent Student Cards;
- Statistical Data (enrollment, grades, racial/ethnic, degree);
- Student Disciplinary Files resulting in Expulsion or Suspension;
- Defining Education Records is contained in 20 USC 1232g
- 11170: Student National Collegiate Athletic Association (NCAA/NJCAA), Patient, and Academic
Second Opportunity Records. Retention: 10 years
- These records include, but are not limited to athletic files including NCAA and NJCAA
eligibility and related files, student patient files, and Academic Second Opportunity
- 10149: Alumni Development Files/Donor Gifts and Contributions/Endowment and Living Trust
Agreements – Current Retention: Permanent.
- These records include, but are not limited to:
- Alumni Development Files - Current and historical data including alumni information,
solicitation, pledge and contributions data, and all related documents.
- Donor Gifts and Contributions - Donor Recognition Committee, Donor Director of Private
Giving, Fund Raising Report, Philanthropy Awards, and all related documents.
- Endowment and Living Trust Agreements, and all related documents.
- 11171: Trademark, Copyright, and Patent Records; Printed Materials and Publications – Permanent
- These records include, but are not limited to:
- Trademark, Copyright, and Patent Records – Forms, documents and materials relating
to applications for and granting of trademarks, copyrights and patents.
- Printed Materials and Publications – Items which have permanent administrative, physical,
historical or legal value, such as: Class schedules (institutional), Graduation Lists,
Commencement Program (1 copy), institution catalogs, brochures, etc.
- Retain 2 copies in the University library archive.