Functional and Organizational Analysis of the Alabama ...



Alabama Department of Early Childhood EducationFunctional Analysis&Records Disposition AuthorityRevisionPresented to theState Records CommissionApril 28, 2021Table of Contents TOC \o "1-3" \h \z \u Functional and Organizational Analysis of the Department of Early Childhood Education PAGEREF _Toc63166071 \h 3Sources of Information PAGEREF _Toc63166072 \h 3Historical Context PAGEREF _Toc63166073 \h 4Agency Organization PAGEREF _Toc63166074 \h 6Agency Function and Subfunctions PAGEREF _Toc63166075 \h 7Records Appraisal of the Department of Early Childhood Education PAGEREF _Toc63166076 \h 14Temporary Records PAGEREF _Toc63166077 \h 14Permanent Records PAGEREF _Toc63166078 \h 15Permanent Records List PAGEREF _Toc63166079 \h 21Department of Early Childhood Education Records Disposition Authority PAGEREF _Toc63166080 \h 23Explanation of Records Requirements PAGEREF _Toc63166081 \h 23Records Disposition Requirements PAGEREF _Toc63166082 \h 24Coordinating Activities of State and County Children’s Policy Councils PAGEREF _Toc63166083 \h 24Promoting Early Childhood Development PAGEREF _Toc63166084 \h 25Administering Alabama’s Voluntary Pre-Kindergarten Program PAGEREF _Toc63166085 \h 25Supporting Early Childhood Educators PAGEREF _Toc63166086 \h 25Promulgating and Enforcing Standards PAGEREF _Toc63166087 \h 26Managing and Administering Funds PAGEREF _Toc63166088 \h 26Administering Internal Operations: Managing the Agency PAGEREF _Toc63166089 \h 27Administering Internal Operations: Managing Finances PAGEREF _Toc63166090 \h 30Administering Internal Operations: Managing Human Resources PAGEREF _Toc63166091 \h 31Administering Internal Operations: Managing Properties, Facilities, and Resources PAGEREF _Toc63166092 \h 33Requirement and Recommendations for Implementing the Records Disposition Authority (RDA) PAGEREF _Toc63166093 \h 35Functional and Organizational Analysis of the Department of Early Childhood EducationSources of Information Representatives of the Alabama Department of Early Childhood EducationCode of Alabama 1975 § 26-24-1 through 26-24-26Code of Alabama 1975 § 12-15-130 through 12-15-135 Code of Alabama 1975 § 41-20-3Code of Alabama 1975 § 41-22-1 through 41-22-27Alabama Act 1919-457Alabama Act 1935-332, 86-709, 98-382, 99-439, 2000-613 Community Facilities Act, 78 U.S.C. et seq. (1943) Alabama Government Manual (2018)Alabama Department of Early Childhood Education WebsiteAlabama Department of Early Childhood Education Audit Reports (2001-2020)Alabama Department of Early Childhood Education Publications Alabama Department of Early Childhood Education. “Alabama First Class Pre-K Program Guidelines 2020-2021.” , Ike. “Alabama Department of Human Resources (DHR).” Encyclopedia of Alabama. , Brenda K. “Universal Preschool: Policy Change, Stability, and the Pew Charitable Trusts.” Ed. Anne L. Schneider and Helen M. Ingram. Suny Press, 2009. , Trisha Powell. “14 Years and Counting: Alabama's First Class Pre-K Tops Again.” . Last modified April 22, 2020. , Andrew. “A Watershed Episode: The Comprehensive Child Development Act.” In Early Start: Preschool Politics in the United States, 59-85. University of Michigan Press, 2013. JSTOR. , Sonya. “The History of Child Care in the U.S.” VCU Libraries Social Welfare History Project. 2011. , Mary and Heather McGowan. “Records of the Office of the Chief of Ordnance: 1940-1966 [finding aid].” National Archives at Atlanta. May-July 2013. Institute for Early Education Research. “The State of Preschool 2006: State Preschool Yearbook.” 2006, Institute for Early Education Research. “The State of Preschool 2014: State Preschool Yearbook.” 2014, . Department of Health and Human Services Office of Head Start. “History of Head Start.” Last modified June 4, 2019. ContextThe United States has historically regarded childcare and early childhood development as a family matter rather than a shared social responsibility. For most of Alabama’s history, childcare was afforded only to poor or widowed mothers as a welfare service. The Alabama Legislature created the Alabama Department of Child Welfare in 1919 to provide services to disadvantaged children in the state. In 1935, this department became a division of the newly created Department of Public Welfare. During the Great Depression, the Department of Public Welfare administered New Deal programs to relieve child poverty, including “Aid to Dependent Children” for families with unemployed, absent, or deceased fathers. Under discriminatory Jim Crow laws, however, the program provided separate and inferior services to Black children and their families. The Department of Public Welfare became the Department of Pensions and Security in 1955 and the Department of Human Resources in 1986.The United States created the first federally funded childcare program during World War II. In 1943, the government authorized funding under the 1941 Defense Public Works Law to provide childcare to the unprecedented number of women entering the workforce. For example, at the Anniston Ordnance Depot in Anniston, Alabama, the Child Support Services Center provided childcare services to women working in the facility. While funding expired after the conclusion of the war, federal involvement in childcare during World War II popularized the idea of a national childcare program. Under President Lyndon B. Johnson’s administration, the Economic Opportunity Act of 1964 established a low-income childcare and kindergarten preparedness program called the Head Start program. A product of the “War on Poverty” campaign, the Head Start program served more than 560,000 children through an eight-week summer program administered by the Office of Economic Opportunity. A decade later, the United States nearly established a universal childcare program. The U.S. Congress passed the bipartisan Comprehensive Child Development Act in 1971; President Richard Nixon vetoed the bill, however, citing the need for a familial over a communal approach. The 1980s saw a shift in the national focus; once considered a wartime necessity or a form of social welfare, childcare came to be seen as key to every child’s development and education. Moreover, childcare represented a financial investment that paid for itself in the long term. When Congress reauthorized Head Start in 1994, they created another program, Early Head Start, to expand services to low-income children from birth to age three. In Alabama, the Legislature created the Department of Children’s Affairs in 1998 to “coordinate programs and services for children.” The following year, the Legislature placed the Children First Trust Fund under the Department of Children’s Affairs’ purview. The act renamed the Alabama Juvenile Justice Coordinating Council and the local Juvenile Justice Coordinating Councils, which administer the Children First Trust Fund, as the Children’s Policy Council and the county Children’s Policy Councils, respectively. The Children First Trust Fund uses appropriations from the Tobacco Master Settlement Agreement (MSA) to address the unmet needs of children in the state. Deposited funds are appropriated to eleven state agencies for specific programs serving children and their families. In 2000, as new research continued to demonstrate the impact of early childhood education on brain development and future success, the Alabama Legislature established the Office of School Readiness (OSR) within the Department of Children’s Affairs. The OSR piloted the Alabama Voluntary First Class Pre-K program, serving 750 children in eight classrooms during the program’s first year. Alabama became one of two states to meet all ten benchmarks of the National Institute for Early Education Research (NIEER) in 2006, when the department revised pre-kindergarten teacher certifications to include specialized training in early childhood education. The department reached its goal of having at least one pre-k classroom in each of the sixty-seven counties in 2014 and was awarded a federal Preschool Development Grant to expand access to underserved, high-need communities in the state. By 2019, the program reached about 30 percent participation and served 21,000 Alabama four-year-olds. The Legislature renamed the Department of Children’s Affairs as the Department of Early Childhood Education (ADECE) in 2015. In 2017, the department began working with the Alabama State Department of Education (ALSDE) to develop frameworks for pre-k to third-grade education (“Pre to Three”). A core component of Governor Kay Ivey’s Strong Start, Strong Finish initiative, Pre to Three focuses on securing statewide saturation for the Alabama First-Class Pre-K program, promoting a seamless transition from pre-k to elementary school, and ensuring that all of Alabama’s third-graders are proficient readers. As of April 2021, ADECE oversees the state’s pre-kindergarten program and ALSDE administers non-compulsory kindergarten in the state’s public schools. Agency OrganizationThe Alabama Department of Early Childhood Education operates under the direction, supervision, and control of the Secretary of Early Childhood Education, who is appointed by and holds office at the Governor’s pleasure. The Office of School Readiness director is appointed by the Secretary of Early Childhood Education and serves at the Secretary’s pleasure. As of April 2021, the department is composed of the following divisions: the Office of School Readiness, the Alabama Head Start State Collaboration Office, the Children First Trust Fund, the Office of Early Learning and Family Support (encompassing the Alabama Children’s Policy Council), the Office of Early Childhood Development and Professional Support, Administrative Services, and Accounting. The Office of School Readiness (OSR) Advisory Council assists OSR staff in accomplishing its mandates and responsibilities. The Council is composed of the Secretary of Early Childhood Education; the Director of the Office of School Readiness; and twenty-five to thirty members selected from public and private childcare programs, healthcare agencies, state agencies, childcare management agencies, child advocacy groups, research organizations, public schools, and colleges and universities. The OSR Advisory Council usually meets quarterly.A county Children’s Policy Council (“county council”) exists in each of Alabama’s sixty-seven counties and meets at least once each quarter to identify children’s needs in their community. The county councils are chaired by a local senior juvenile court judge in the county and consist of the following additional members: the county director of the Department of Human Resources; a county representative of the Department of Mental Health; a county representative of the Department of Youth Services; a county representative of the Department of Rehabilitation Services, the Medicaid Agency, the State Law Enforcement Agency, and the Alcoholic Beverage Control Board, provided they have a physical presence in the county; the county superintendent of education; and any city superintendent of education in the county. Except for ex officio members, all members serve for two years and until their successors are appointed. The Alabama Children's Policy Council (“State Council”) meets at least once annually prior to September 1 of each fiscal year to review needs and resources identified by the county councils and to develop statewide policy recommendations. The State Council is chaired by the Secretary of Early Childhood Education and consists of five members appointed by the Alabama Children’s Policy Council, and thirty-eight members appointed by the Governor, Lieutenant Governor, and leaders of the Legislature. The council also includes the heads of the following state agencies or entities: the Department of Early Childhood Education; the Office of School Readiness; the Department of Corrections; the Department of Human Resources; the Department of Youth Services; the Department of Mental Health; the State Department of Education; the Department of Public Health; the Department of Economic and Community Affairs; the Department of Rehabilitation Services; the Alabama Medicaid Agency; the State Law Enforcement Agency; the Alcoholic Beverage Control Board; the Multiple Needs Child Office; the Administrative Office of Courts; and the Children's Trust Fund. Members of the judicial branch also serve the Alabama Children’s Policy Council, including the Chief Justice of the Supreme Court of Alabama, who serves as the council’s vice chair. Lastly, the council includes the president or director of the following associations or organizations: the Juvenile and Family Court Judges' Association; the District Attorneys' Association; the Chief Juvenile Probation Officers' Association; the Alabama Parent-Teachers Association; Voices for Alabama's Children; A Journey to Manhood; A Coalition of 100 Black Women; 21st Century Youth Leadership Program; and the Children First Foundation. The Alabama Children’s Policy Council is responsible for administering the Children First Trust Fund, which uses appropriations from the Tobacco Master Settlement Agreement (MSA) to address the unmet needs of children in the state. The Permanent Joint Interim Legislative Oversight Committee provides oversight for the Children First Trust Fund and is composed of three members of each chamber appointed by the presiding officer of each chamber. The committee meets as it deems necessary.The Alabama Department of Early Childhood Education receives funding from the Education Trust Fund, the Children First Trust Fund, and federal and private grants. Agency Function and SubfunctionsThe mandated function for the Alabama Department of Early Childhood Education (ADECE) is to advise the Governor and the Legislature in matters relating to children, serve as a liaison between the Governor and various state agencies providing services for children, and create a network of local/community groups dedicated to children. The department is one of the agencies primarily involved in carrying out the Public Advocacy function of Alabama government.In the performance of its mandated function, the agency may engage in the following subfunctions:Coordinating Activities of State and County Children’s Policy Councils. The Code of Alabama 1975 Title 12 Article 15 authorizes the creation of the Alabama Children’s Policy Council and a county Children’s Policy Council in each of the state’s sixty-seven counties. Staff with ADECE manage and provide oversight for the county councils on behalf of the State Council.The county councils submit annual needs assessments to ADECE, which report on the needs of children and families in their communities, as well as annual reports which describe the local services available to children, ongoing needs, and the council’s recommendations for addressing those needs. The county councils compile an up-to-date local resource guide each year which details available local services and how to access those services. On behalf of the State Council, ADECE staff analyze annual needs assessments submitted by counties, compile an annual state needs assessment, and maintain a line of communication between local communities and state government. ADECE staff may also conduct training sessions and workshops; sponsor state conferences; apply for federal funding in support of the county councils; and draft legislation to develop and improve child services.The State Council reviews the needs assessments and resource guides created by the county councils to make recommendations to appropriate state leaders and to compile a state resource guide. This guide is distributed to all agencies and organizations serving children in the state, to the county councils, and to the general public. Promoting Early Childhood Development. ADECE promotes early childhood development through several programs serving low-income or at-risk families, including the Head Start and Early Head Start programs. The Head Start program is a comprehensive child development program serving low-income four-year-olds. The Early Head Start program, an extension of Head Start, serves low-income pregnant women and families with infants and toddlers. As of April 2021, Head Start grants are administered by the Administration for Children and Families (ACF) within the U.S. Department of Health and Human Services. The ACF provides funds directly to local non-profit organizations for services in education, health, nutrition, parent involvement, disability, or other social services. Head Start Collaboration Offices in each state facilitate partnerships between the federal Office of Head Start (the “federal office”) and local child-serving entities. In Alabama, the Head Start State Collaboration Office (the “state office”) is housed within ADECE. The state office supports local Head Start grantees by visiting and observing local programs and offering feedback. ADECE staff attend Head Start meetings at the regional and national level and disseminate information released by the federal office. The federal office provides the state office with limited supplemental funding, which the state office redistributes to local Head Start programs based on statewide priorities and initiatives. The state office receives guidance on the planning and implementation of program initiatives from the Head Start Collaboration Leadership Council, which meets quarterly. The Council consists of representatives selected from the Alabama Head Start Association and other community agencies. In addition to the Head Start program, ADECE administers Alabama’s home visiting program. This program (known as First Teacher Home Visiting as of April 2021) awards grant funding to local programs to deliver home visiting services to at-risk children prenatally through age five. Professionals such as nurses, social workers, and educators follow evidence-based models for observing and assessing children’s growth, development, learning, and behavior and assist families in accessing healthcare and social services, if needed. Home visitors educate and support parents, i.e., children’s “first teachers,” to improve outcomes for family and child health and child school readiness. First Teacher Home Visiting is partially funded through the state’s Education Trust Fund. The majority of funds are provided through federal programs, including the Maternal, Infant, Early Childhood Home Visiting (MIECHV) Program of the U.S. Department of Health and Human Services.The department also administers programs for mental health intervention and consultation through an interagency agreement with the Alabama Department of Mental Health. The Infant and Early Childhood Mental Health Consultation (IECMHC) Program partners childcare providers with mental health professionals who observe and identify young children with or at risk for mental health challenges. Consultants develop individualized strategies to improve children’s social, emotional, and behavioral health and development. Administering Alabama’s Voluntary Pre-Kindergarten Program. As mandated by the Code of Alabama 1975 § 26-24-23, the Office of School Readiness (OSR) within ADECE administers the state’s voluntary pre-kindergarten program, called Alabama First Class Pre-K. The First Class Pre-K program provides grant funding for full-day (7.5 hours) preschool education for four-year-old children in a variety of public and private settings including, but not limited to, childcare centers, public school systems, faith-based centers, colleges and universities, private schools, Head Start programs, community organizations, and military childcare centers. First Class Pre-K classrooms use evidence-based methods to support early learning and development and to foster school readiness, defined by OSR as an enthusiasm for learning; an ability to function in a social setting; age-appropriate communication and problem-solving skills; and optimal health. Classrooms must include no more than twenty children and maintain a staff-to-child ratio of one to ten or higher. Additionally, classrooms provide physical, vision, hearing, dental, and developmental screenings and may refer families to health and developmental resources. Classrooms are required to facilitate family engagement through opportunities including, but not limited to, home visits (using models such as Home?Instruction for Parents of Preschool Youngsters [HIPPY] and Parents as Teachers); formal and informal parent conferences; and parent classroom visits and participation in classroom activities. The First Class Pre-K program is funded by federal and state dollars as well as by private foundations. Funds are awarded through a competitive process, subject to funding availability, previous program compliance (for continuation programs), and identified local need. As of April 2021, the OSR funds over 1,200 First Class Pre-K classrooms in every county serving over 20,000 children. Since 2006, Alabama’s First Class Pre-K program has been one of only a few states to meet all ten criteria of the National Institute for Early Education Research (NIEER). The OSR aims to enhance existing programs and establish new programs to achieve universal pre-k in the state. Supporting Early Childhood Educators. ADECE supports early childhood educators in the state by providing training and professional development opportunities. As part of the First Class Pre-K grant program, each First Class Pre-K classroom receives professional development opportunities and customized assistance from a coach. First Class Pre-K coaches provide ongoing observation and offer individualized discussion and recommendations. The department works in partnership with the Department of Human Resources (DHR) to administer targeted coaching and training programs, including the Family Engagement and Challenging Behaviors grant programs. The Family Engagement grant program helps eligible childcare programs increase parent engagement and awareness. Family Engagement coaches work with grantees to create plans for building partnerships and communities among parents. Through the Challenging Behaviors grant program, Challenging Behaviors coaches consult with eligible grantees to address behavioral challenges in the classroom and build student resilience. ADECE also works with DHR to administer the federally funded Early Head Start/Child Care Partnership grant program, which provides Early Head Start programs with coaching and technical assistance. One key area of focus for the department is literacy and reading instruction. The 2019 Alabama Literacy Act funded coursework for teachers on teaching literacy and addressing reading challenges such as dyslexia. This campaign, the Alabama Campaign for Grade Level Reading (ACGLR), is administered jointly by ADECE and the Alabama State Department of Education. The coursework is available for teachers of pre-k to third-grade classrooms on a voluntary basis. Another focus is improving instruction for dual language learners in preschool. ADECE receives grant funding from the Office of English Language Acquisition within the U.S. Department of Education to administer the IMPACT-PD program (Improving Preschoolers’ Acquisition of Language through Coaching Teachers and Professional Development) in partnership with the University of Alabama at Birmingham (UAB). The program provides grant funding to pre-service and in-service teachers for education and professional development opportunities such as conferences, in-person and online courses, and postgraduate coursework in ESL (English as a Second Language). Other learning opportunities provided or supported by ADECE include, but are not limited to, professional conferences, leadership courses for program directors, and internships/field experiences for pre-service students studying early childhood education or early childhood special education. Promulgating and Enforcing Standards. ADECE is responsible for developing a “cohesive and comprehensive system of high-quality early learning and care.” To this end, the department develops evidence-based models and frameworks to support early childhood education. The department may also develop, promulgate, or enforce minimum standards for pre-k classroom quality. Alabama First Class Pre-K programs must adhere to specific quality assurances and operating guidelines promulgated by the ADECE Office of School Readiness (OSR) and other state and federal entities including, but not limited to, the Alabama Department of Human Resources (DHR). The foundational model for First Class Pre-K is the Alabama First Class Pre-K Framework. The Framework describes the First Class Pre-K grant program and classroom guidelines, program recruitment and enrollment requirements, and teacher qualifications and salary requirements. A core component of the Framework is the First Class Classroom Guidelines, which outline minimum benchmarks for classroom environment and community; discipline and behavior management; planning, teaching, and learning; gross motor activities; and outdoor activities. The OSR also develops and maintains the Alabama Standards for Early Learning and Development (ASELDs) for First Class Pre-K programs, which provide standards for lesson planning and classroom instruction, including special education standards. The ASELDs focus on improving children’s interpersonal relationships and connections; critical thinking and STEM (Science, Technology, Engineering, and Mathematics) skills; communication skills; and physical development and health. Another core component of the Alabama First Class Pre-K Framework is the Alabama Reflective Coaching (ARC) model developed by ADECE in partnership with the UAB School of Education. Through ARC, all First Class Pre-K classrooms are supported by a coach who provides teachers with tailored support and professional development opportunities. The ARC model enhances compliance with First Class Pre-K guidelines and promotes continuous improvement of the program. To evaluate compliance, quality, and child school readiness, ADECE may utilize standardized assessment tools. As of April 2021, these assessment tools include Teachstone’s Classroom Assessment Scoring System (CLASS) and the Teaching Strategies GOLD Assessment System. Extending beyond pre-k, ADECE works with the Alabama State Department of Education (ALSDE) to develop an integrated approach to early learning for preschool to third-grade children. The pre-k to third-grade (Pre to Three or “P-3”) framework and early learning continuum establishes teaching and learning standards that promote a seamless transition from pre-k to elementary school. A core component of the P-3 model is the Alabama Kindergarten Inventory of Developing Skills (AlaKiDS). Developed in partnership with ALSDE and the Alabama Department of Human Resources (DHR), AlaKiDS is an assessment tool administered statewide to students in their first month of kindergarten. The inventory, which includes both questions and observation, identifies children’s individual learning needs and informs instruction for kindergarten teachers.Managing and Administering Funds. ADECE may receive, manage, or provide funding to serve children in the state. As of April 2021, ADECE receives funding through a federal Preschool Development Grant (PDG) awarded by the U.S. Department of Education. PDG funds support several of the department’s initiatives including, but not limited to, voluntary pre-k programs, pre-k to third-grade (P-3) programs, and home visiting services. ADECE distributes funding for First Class Pre-K through grants at multiple levels to help grantees meet quality standards and ensure pay parity with K-12 teachers. Grantees must provide at least a 25% match to the awards locally in cash or in kind, which can include sliding-scale fee revenue. ADECE also matches grant funds awarded to Head Start projects by the U.S. Department of Health and Human Services.ADECE works on behalf of the Alabama Children’s Policy Council, which administers the Children First Trust Fund. The Children First Trust Fund uses appropriations from the Tobacco Master Settlement Agreement (MSA) to address the unmet needs of children in the state. Deposited funds are divided among the following eleven state agencies: the Department of Human Resources (20%), the Department of Youth Services (17%), the Department of Public Health (10%), the Juvenile Probation Services Fund (10%), the Children's Trust Fund (5%), the Multiple Needs Children's Fund (5%), the Department of Mental Health (5%), the Alabama Medicaid Agency (3.5%), the Alcoholic Beverage Control Board (1%), the Department of Forensic Sciences (1%), and the Department of Rehabilitation Services (.5%). The remaining 22% (previously allocated to the Alabama State Department of Education) is allocated to the Alabama General Fund. Allocations from the Children First Trust Fund are conditional upon the receipt of tobacco revenues. The above agencies must submit a Plan of Investment describing how funds will be used to address children’s needs in the state. Agencies must use the disbursed funds for specific child-serving programs as mandated by the Code of Alabama 1975 § 41-15B-2.2. ADECE staff review and approve Plans of Investment prepared by the eleven agencies; keep records of all expenditures and distributions from the fund; prepare monthly and annual reports detailing the activities and accomplishments of the fund; and make recommendations to the Governor and Legislature concerning fund distribution. The Permanent Joint Interim Legislative Oversight Committee of the Children First Trust Fund reviews monthly and annual reports prepared by the council and may make recommendations on the management of the fund. Administering Internal Operations. A significant portion of the agency’s work includes general administrative, financial, and personnel activities performed to support the programmatic areas of the agency including:Managing the Agency: Activities include internal office management activities common to most government agencies such as corresponding and communicating, scheduling, meeting, documenting policy and procedures, reporting, litigating, legislating (drafting, tracking), publicizing and providing information, managing records, and managing information systems and technology.Managing Finances: Activities include budgeting (preparing and reviewing budget package, submitting the budget package to the Department of Finance, documenting amendments and performance of the budget); purchasing (requisitioning and purchasing supplies and equipment, receipting and invoicing for goods, and authorizing payment for products received); accounting for the expenditure, encumbrance, disbursement, and reconciliation of funds within the agency’s budget through a uniform system of accounting and reporting; authorizing travel; contracting with companies or individuals; bidding for products and services; and assisting in the audit process.Managing Human Resources: Activities include recruiting and hiring eligible individuals to fill positions within the agency; providing compensation to employees; providing benefits to employees such as leave, health insurance, unemployment compensation, worker’s compensation, injury compensation, retirement, and death benefits; supervising employees by evaluating performance, granting leave, and monitoring the accumulation of leave; training and providing continuing education for employees; investigating and disciplining.Managing Properties, Facilities, and Resources: Activities include inventorying and accounting for non-consumable property and reporting property information to the appropriate authority; leasing and/or renting offices or facilities; providing security for property managed by the agency; insuring property; and assigning, inspecting and maintaining agency property. Records Appraisal of the Department of Early Childhood EducationThe following is a discussion of the two major categories of records created and/or maintained by the Alabama Department of Early Childhood Education: Temporary Records and Permanent Records. Temporary RecordsTemporary records should be held for what is considered their active life and be disposed of once all fiscal, legal, and administrative requirements have been met. Some of the temporary records created by the department are discussed below:Annual Reports of County Children’s Policy Councils. The state’s sixty-seven county councils submit annual reports to ADECE which include, but are not limited to, the following components: duplicate copies of meeting minutes and agendas; local needs assessments and resource guides; and other supporting documents (such as county council membership listings). The county councils’ important documentation is captured by the permanent record series “Annual Needs Assessments Compiled by the Alabama Children’s Policy Council” and “State Resource Guides Compiled by the Alabama Children’s Policy Council” below. The annual reports of the county councils should be retained for ten years to allow for the compilation of statewide resources and to provide a reasonable reference period for council members. Interagency Agreements. ADECE produces and maintains contracts with state agencies such as the Department of Human Resources, the Department of Mental Health, and the State Department of Education, which collaborate with ADECE to administer child-serving programs. A records retention of six years after expiration or cancellation of the contract provides a reasonable review period for staff. Grantee Professional Development Files. ADECE maintains records documenting or certifying grantees’ completion of professional development activities. Professional development activities may include, but are not limited to, teacher coursework, professional conferences, internships, and field experiences. A records retention of six years after submission of the final report or conclusion of the grant ensures that this documentation is available to grantees following the grant period. Grantee Contracts and Agreements. ADECE produces and maintains various types of contracts signed by recipients of grant funding, including First Class Pre-K grant recipients and Early Head Start/Child Care Partnership grant recipients. Examples of contracts include, but are not limited to, memoranda of understanding (MOUs), memoranda of agreement (MOAs), and authorization/permission forms. These records should be retained for six years after submission of the final report or conclusion of the grant to document grantees’ agreement to adhere to grant requirements. Grantee Evaluation Records. ADECE may review and evaluate recipients of grant funding on a periodic basis. For example, as of April 2021, ADECE staff conduct annual reviews of First Class Pre-K programs to ensure program quality and compliance and to approve the continuation of funding. Evaluation records may include, but are not limited to, evaluation forms, site visit reports, and completed assessments. These records should be retained for six years after submission of the final report or conclusion of the grant to provide evidence of compliance with grant requirements.Grantee Non-Compliance Records. ADECE creates and maintains records documenting non-compliance with grant requirements or guidelines. Consequences of non-compliance may include termination of a grant, suspension of a grant, reduction in grant funding, or repayment of funds. Non-compliance records may include, but are not limited to, notices, letters, and hearing files. These records should be retained for six years after submission of the final report or conclusion of the grant to provide evidence of non-compliance with grant requirements. Register of Administrative Rules. According to the Code of Alabama 1975 § 41-22-6 through § 41-22-7, agencies must compile and maintain “an official register of regulations which shall be compiled, indexed, published in loose-leaf form, and kept up to date…” This “official register of regulations” is known as “The Department of Early Childhood Education Code” and must be made available upon request to all persons. Since the register must be updated on an ongoing basis, it is to be retained until superseded. Administrative Rule Change Working Files. The Alabama Administrative Procedure Act (Code of Alabama 1975 Title 41 Chapter 22) details the steps which an agency must follow when updating its administrative rules. Working files are produced in the course of the proposal, adoption, amendment, and/or repeal of administrative rules. Records in this series may include, but are not limited to, the following: received public comments, economic impact statements, and business impact analyses. A retention of one year after adoption, amendment, repeal, or rejection of an administrative rule permits review by staff when considering similar rules.Permanent RecordsThe Archives Division has appraised the following records as permanent.Coordinating Activities of State and County Children’s Policy CouncilsMeeting Minutes, Agendas, and Packets of the Alabama Children’s Policy Council. The Code of Alabama 1975 § 12-15-130(b) requires the Alabama Children’s Policy Council to meet at least once annually prior to September 1 of each fiscal year. This series contains information on proposed and executed proceedings of the council. In addition to minutes, this series also includes meeting agendas and other supporting or reference documents. The meeting minutes of the council provide important documentation of the council’s actions that may not be found elsewhere. (Bibliographic Title: Meeting Files)Meeting Minutes, Agendas, and Packets of the County Children’s Policy Councils. The Code of Alabama 1975 § 26-24-33(b) requires the county Children’s Policy Councils to meet at least once each quarter. This series contains the county councils’ meeting minutes, agendas, and other supporting or reference documents. These records provide important documentation of the councils’ decisions and actions that may not be found elsewhere. (Bibliographic Title: Meeting Files)Annual Needs Assessments Compiled by the Alabama Children’s Policy Council. In accordance with the Code of Alabama 1975 § 26-24-34, all county Children’s Policy Councils must review the needs of children in their respective counties and submit annual needs assessments to the Alabama Children’s Policy Council for compilation and reference by the Governor, the Legislature, and child-serving state agencies for budget planning and appropriation. This series consists of file copies of the annual needs assessments compiled by the staff of the Alabama Children’s Policy Council for distribution to the Governor, the Legislature, and other agencies. The assessments address issues, priorities, action steps, and program/policy recommendations for each of the sixty-seven counties. This series should be preserved as key documentation for the state and county Children’s Policy Councils. (Bibliographic Title: Annual Needs Assessments)State Resource Guides Compiled by the Alabama Children’s Policy Council. In accordance with the Code of Alabama 1975 § 26-24-34, all county Children’s Policy Councils are responsible for identifying local resources for children and developing a local resource guide to available services in the county and how to access those services. County councils submit copies of their local resource guides to the Alabama Children’s Policy Council each year which are compiled into a state resource guide. The state resource guide provides a synopsis of services available to Alabama children each year. (Bibliographic Title: State Resource Guides)Alabama Children’s Policy Council Member Files – Biographical and Historical Information. These records include biographical description and other historical data related to the council members. These records provide important documentation of the council's composition. (Bibliographic Title: Biographical Files)Promoting Early Childhood DevelopmentMeeting Minutes, Agendas, and Packets of the Head Start Collaboration Leadership Council. As an important component of the state’s Head Start program, the Head Start Collaboration Leadership Council was established to advise the Alabama Head Start Collaboration Office on the planning and implementation of program initiatives. This series contains the Council’s meeting minutes, agendas, and other supporting/reference materials. These records should be maintained permanently to provide insight into the Council’s actions on behalf of the state’s Head Start Collaboration Office. (Bibliographic Title: Meeting Files)Alabama Head Start Collaboration Office Five-Year Final Reports and Other Special Grant Project Final Reports. As required by the federal government, staff with the Alabama Head Start Collaboration Office create a five-year report, in conjunction with the federal grant cycle, to provide a picture of events and activities relating to the state’s Head Start program during the previous five years. A typical report contains information on the history and administration of the Office, accomplishments and ongoing strategies for service priority areas, legislation impacting children in Alabama, and changes to the Head Start program. In addition, this series may include final reports generated for special grant projects (i.e. Alabama Professional Development Initiative, etc.). This series provides a cumulative summary of the work of the Office and should be preserved permanently. (Bibliographic Title: Grant Reports)Administering Alabama’s Voluntary Pre-Kindergarten ProgramMeeting Minutes, Agendas, and Packets of the Advisory Council for the Office of School Readiness. The Advisory Council for the Office of School Readiness (OSR) assists OSR staff in accomplishing its mandates and responsibilities including, but not limited to, the administration of the voluntary pre-kindergarten program. OSR staff members work in collaboration with local and state agencies to develop program performance standards, operation guidelines, and other decisions that are reviewed by the Council for feedback or input. This series contains meeting minutes, agendas, and other supporting documentation of the Council. These records should be preserved permanently to document the decision-making processes of OSR leadership. (Bibliographic Title: Meeting Files) Advisory Council for the Office of School Readiness Member Files – Biographical and Historical Information. These records include biographical description and other historical data related to the council members. These records provide important documentation of the council's composition. (Bibliographic Title: Biographical Files)Supporting Early Childhood EducatorsTraining Records – Coaching/Training Guidelines and Publications. These records document the department’s standards in providing specialized coaching or training to early childhood educators. They may include guidelines, training manuals, or other publications. The scope of the series includes coaching/training publications related to the Family Engagement program, the Challenging Behaviors program, the Early Head Start/Child Care Partnership program, and the First Class Pre-K program. These records should be retained permanently to document the agency’s engagement with early childhood educators and childcare providers. Documentation of training standards may also be needed to demonstrate that educators received adequate training in the performance of their job responsibilities. (Bibliographic Title:?Training and Outreach Files)Promulgating and Enforcing Standards Policies and Procedures - Policies and Procedures Governing Core Functions and Services. These records document the agency's role in promulgating policies governing critical operations, such as the state’s voluntary pre-kindergarten program. These records include, but are not limited to, guidelines, standards, and frameworks for early childhood education. The scope of the series includes policies and procedures related to the Alabama First Class Pre-K Framework, the Alabama Reflective Coaching (ARC) model, First Class Classroom Guidelines, the Alabama Standards for Early Learning and Development (ASELDs), and the Alabama Kindergarten Inventory of Developing Skills (AlaKiDS) assessment tool. The scope of the series does not include policies concerning the administration of routine, internal operations. (Bibliographic Title: Policies and Procedures)Managing and Administering FundsChildren First Trust Fund Annual Reports. Each agency which receives appropriations from the Children First Trust Fund prepares and submits annual reports to ADECE describing the agency’s accomplishments and impact on children in the state. Pursuant to the Code of Alabama 1975 § 41-15B-2 (e), ADECE is obligated to prepare an annual report for the Children First Trust Fund to the Governor and the Legislature. The Children First Trust Fund annual report details appropriations, distributions, actual receipts, expenditures, statistical data, and outcome goals for all agencies which receive funds. Both the agency annual reports and the compiled annual reports should be preserved as they document the allocation and distribution of the funds and the success or failure of each program receiving the funds. (Bibliographic Title: State Publications) Children First Trust Fund Annual Plans of Investment. Agencies receiving allocations from the Children First Trust Fund must submit a Plan of Investment to ADECE each year describing how the funds will be used to address the needs of children in the state. This series should be preserved as it documents agencies’ priorities and goals for improving the lives of children in the state. (Bibliographic Title: Annual Plans of Investment) Grant Records – Grant Project Final Reports. ADECE administers grant funding through several child-serving programs and initiatives. Examples of grant programs include, but are not limited to, the voluntary pre-k program, the home visiting program, and programs for pre-k to third-grade learning. These records should be permanently preserved to document how grants are implemented to the benefit of children’s well-being and school readiness. (Bibliographic Title: Grant Reports)Administering Internal OperationsResearch Project Records – Final Reports and Publications. These records are created over the course of a research project and document procedures, steps taken, and results. Examples of these records may include, but are not limited to, scholarly articles, issue briefs, research summaries, white papers, survey reports, published presentations, and published figures and charts. These records should be permanently preserved to document the activities and results of research projects. For projects associated with grants, see “Grant Records” under “Managing and Administering Funds.” (Bibliographic Title: Research Project Records)Annual and Other Periodic Reports. These records include reports created by the agency that document its critical activities. Some agencies must submit an annual report to the Governor and/or the legislature by statute. The frequency of report publications may vary (annual, biannual, quarterly, etc.). Interim reports that contain the same substantive information as a corresponding annual or other periodic report need not be retained permanently. Where no agency annual report exists, or where the agency annual report does not adequately document activities of the agency, then division annual reports should be retained. (Bibliographic Title: State Publications)Special Reports. These records include reports created by the agency pertaining to a specific topic or subject area. Special reports may be prepared on an irregular schedule. Interim reports that contain the same substantive information as a corresponding special report need not be retained permanently. (Bibliographic Title: State Publications)Newsletters. ADECE publishes newsletters which provide recipients with information regarding the activities of the department; highlights of successful childcare programs; news and announcements; and upcoming events. These publications document ADECE’s outreach to key stakeholders and the public. (Bibliographic Title: State Publications)Representational Final Versions of Informational and Promotional Materials. These records are created to build public awareness about a variety of issues and department related activities. The scope of this series includes materials produced by the Alabama Head Start Collaboration Office and the Office of School Readiness for distribution to the public. Examples of these records include, but are not limited to, directories, brochures, pamphlets, press releases, frequently asked question (FAQ) publications, and memos. The publications document the activities of ADECE and how the department views these activities. (Bibliographic Title: Publicity Files)Selection of Representative Photographs (Including High-Quality and/or Published Photographs). This series includes photographs taken by department staff or contractors for informational and promotional purposes. A selection of the department's representative photographs, including high-quality photographs and/or photographs published in informational and promotional materials, provides visual documentation of the department's significant activities. This selection is to be retained permanently. Photographs outside of this representative selection, including duplicative and poor photographs, are to be retained for useful life. Copyright and reproduction records including, but not limited to, use agreements, release forms, service request forms, and requests for permission to reproduce or publish photographs, are to be retained for the life of the photograph and may be permanent if related to photographs with a permanent retention. Photographs taken for internal or reference use are to be retained for useful life. (Bibliographic Title: Photographs)Final and/or Edited Audiovisual Materials. This series includes audio and/or video recordings taken by department staff or contractors for informational or promotional purposes. Final and/or edited recordings document the department's activities and are to be retained permanently. Copyright and reproduction records including, but not limited to, use agreements, release forms, service request forms, and requests for permission are to be retained for the life of the recording. Stock or raw footage is to be retained for useful life. Recordings taken for internal or reference use are also to be retained for useful life. (Bibliographic Title: Audiovisual Recordings)Certified Copies of Administrative Rules. The Alabama Administrative Code is a compilation of the rules of all state agencies covered by the Alabama Administrative Procedure Act. Each agency covered by the Act may propose and adopt revisions to its administrative rules. According to the Code of Alabama 1975 § 41-22-6, “each agency shall have an officer designated as its secretary and shall file in the office of the secretary of the agency a certified copy of each rule adopted [by the agency].” (Bibliographic Title: Not Applicable) (Maintained by the Department of Early Childhood Education)Administrative Files that Document Policy, Process, and Procedure. These records, which include official correspondence of the agency, document actions and positions of the agency. They do not include correspondence dealing with routine matters. These records include, but are not limited to, correspondence with state officials, legal/advisory correspondence, subject files, and other correspondence (Bibliographical Title: Administrative Files)Website(s) and Social Media Page(s). The department has a website at children. and social media pages on Facebook, Instagram, and Twitter. Information on the website includes descriptions of the department’s initiatives and grant programs, lists of childcare programs, resources for parents and teachers, and newsletters. ADAH staff capture and preserves the agency’s website(s) and other social media page(s) via a service offered by the Internet Archive [Archive-It]. Any content behind password protection or login would not be captured by the ADAH. Check with the ADAH website at anizations/62 to ensure that your agency’s website(s) and social media site(s) are captured and preserved. If your agency’s website(s) and social media page(s) are not being captured by the service, please contact the Archives Division at 334-242-4452 to get them included. (Bibliographic Title: Website and Social Media Sites)Permanent Records ListAlabama Department of Early Childhood EducationCoordinating Activities of State and County Children’s Policy CouncilsMeeting Minutes, Agendas, and Packets of the Alabama Children’s Policy CouncilMeeting Minutes and Agendas of the County Children’s Policy CouncilsAnnual Needs Assessments Compiled by the Alabama Children’s Policy CouncilState Resources Guides Compiled by the Alabama Children’s Policy CouncilAlabama Children’s Policy Council Member Files – Biographical and Historical InformationPromoting Early Childhood DevelopmentMeeting Minutes, Agendas, and Packets of the Head Start Collaboration Leadership CouncilAlabama Head Start Collaboration Office Five-Year Final Reports and Other Special Grant Project Final ReportsAdministering Alabama’s Voluntary Pre-Kindergarten ProgramMeeting Minutes, Agendas, and Packets of the Advisory Council for the Office of School ReadinessAdvisory Council for the Office of School Readiness Member Files – Biographical and Historical InformationSupporting Early Childhood EducatorsTraining Records – Coaching/Training Guidelines and PublicationsPromulgating and Enforcing StandardsPolicies and Procedures Governing Core Functions and ServicesManaging and Administering FundsChildren First Trust Fund Annual ReportsChildren First Trust Fund Annual Plans of InvestmentGrant Records – Grant Project Final ReportsAdministering Internal OperationsResearch Project Records – Final Reports and PublicationsAnnual and Other Periodic ReportsSpecial ReportsNewslettersRepresentational Final Versions of Informational and Promotional MaterialsSelection of Representative Photographs (Including High-Quality and/or Published Photographs)Final and/or Edited Audiovisual MaterialsCertified Copies of Administrative Rules*Administrative Files that Document Policy, Process, and ProcedureWebsite(s) and Social Media Page(s)*indicates records that the Department of Early Childhood Education determined should be retained permanently and that ADAH anticipates will remain in the care and custody of the creating agency. All other permanent records are to be transmitted to the ADAH once they are no longer in active use by the Department of Early Childhood Education. *indicates records that ADAH anticipates will remain in the care and custody of the creating agency.ADAH staff members are available to work with agency staff in determining the best location and storage conditions for the long-term care and maintenance of permanent records.Department of Early Childhood Education Records Disposition AuthorityThis Records Disposition Authority (RDA) is issued by the State Records Commission under the authority granted by the Code of Alabama 1975 § 41-13-5 and 41-13-20 through 21. It was compiled by the Archives Division, Alabama Department of Archives and History (ADAH), which serves as the Commission’s staff, in cooperation with representatives of the Agency. The RDA lists records created and maintained by the Agency in carrying out their mandated functions and activities. It identifies records which must be maintained permanently and ultimately transferred to the ADAH; establishes retention periods for temporary records; and provides the legal authority for the Agency to implement destruction of eligible records.Alabama law requires public officials to create and maintain records that document the business of their offices. These records must be protected from “mutilation, loss, or destruction,” so that they may be transferred to an official’s successor in office and may be made available to members of the public. Records also must be kept in accordance with auditing standards approved by the Examiners of Public Accounts (Code of Alabama 1975 § 36-12-2, 36-12-4, and 41-5-23). For assistance in implementing this RDA, or for advice on records disposition or other records management concerns, contact the agency records manager or ADAH Archives Division at (334) 242-4452.Explanation of Records RequirementsThe RDA shall govern the disposition of all records, regardless of format, created by the agency from creation to dissolution. Please contact the staff of the Department of Archives and History before destroying any records created prior to 1940.This RDA supersedes any previous records disposition schedules or RDAs governing the retention of the records created by the Agency. Copies of superseded schedules are no longer valid and may not be used for records disposition.The RDA establishes retention and disposition instructions for records listed below, regardless of the medium on which those records may be kept. Electronic mail, for example, is a communications tool that may record permanent or temporary information. As for records in any other format, the retention periods for e-mail records are governed by the requirements of the subfunctions to which the records belong. Certain other record-like materials are not actually regarded as official records and may be disposed of under this RDA. Such materials include (1) duplicate record copies that do not require official action, so long as the creating office maintains the original record for the period required; (2) catalogs, trade journals, and other publications received that require no action and do not document agency activities; (3) stocks of blank stationery, blank forms, or other surplus materials that are not subject to audit and have become obsolete; (4) transitory records, which are temporary records created for short-term, internal purposes, may include, but are not limited to, telephone call-back messages, drafts of ordinary documents not needed for their evidential value, copies of material sent for information purposes but not needed by the receiving office for future business, and internal communications about social activities; (5) honorary materials, plaques, awards, presentations, certificates, and gifts received or maintained by the agency staff. They may be disposed of without documentation of destruction.Records Disposition RequirementsThis section of the RDA is arranged by subfunctions of the Agency and lists the groups of records created and/or maintained as a result of activities and transactions performed in carrying out these subfunctions. The Agency may submit requests to revise specific records disposition requirements to the State Records Commission for consideration at its regular biannual meetings.Coordinating Activities of State and County Children’s Policy CouncilsMEETING MINUTES, AGENDAS, AND PACKETS OF THE ALABAMA CHILDREN’S POLICY COUNCILDisposition: PERMANENT RECORD.MEETING MINUTES AND AGENDAS OF THE COUNTY CHILDREN’S POLICY COUNCILSDisposition: PERMANENT RECORD.ANNUAL NEEDS ASSESSMENTS COMPILED BY THE ALABAMA CHILDREN’S POLICY COUNCILDisposition: PERMANENT RECORD.STATE RESOURCE GUIDES COMPILED BY THE ALABAMA CHILDREN’S POLICY COUNCILDisposition: PERMANENT RECORD.Annual Reports of County Children’s Policy CouncilsDisposition: Temporary Record. Retain 10 years. Alabama Children’s Policy Council Member FilesBIOGRAPHICAL AND HISTORICAL INFORMATIONDisposition: PERMANENT RECORD. Alabama Children’s Policy Council Appointment LettersDisposition: Temporary Record. Retain the length of the council term.Other Files about Alabama Children’s Policy Council MembersDisposition: Temporary Record. Retain for useful life.Annual Children’s Policy Council Conference Attendee Lists and CorrespondenceDisposition: Temporary Record. Retain 3 years. Promoting Early Childhood DevelopmentMEETING MINUTES, AGENDAS, AND PACKETS OF THE HEAD START COLLABORATION LEADERSHIP COUNCILDisposition: PERMANENT RECORD.ALABAMA HEAD START COLLABORATION OFFICE FIVE-YEAR FINAL REPORTS AND OTHER SPECIAL GRANT PROJECT FINAL REPORTSDisposition: PERMANENT RECORD.Interagency AgreementsDisposition: Temporary Record. Retain 6 years after expiration or cancellation.Administering Alabama’s Voluntary Pre-Kindergarten ProgramMEETING MINUTES, AGENDAS, AND PACKETS OF THE ADVISORY COUNCIL FOR THE OFFICE OF SCHOOL READINESSDisposition: PERMANENT RECORD.Advisory Council for the Office of School Readiness Member FilesBIOGRAPHICAL AND HISTORICAL INFORMATIONDisposition: PERMANENT RECORD. Advisory Council Appointment LettersDisposition: Temporary Record. Retain the length of the council term.Other Files about Advisory Council MembersDisposition: Temporary Record. Retain for useful life.Supporting Early Childhood EducatorsTraining RecordsCOACHING/TRAINING GUIDELINES AND PUBLICATIONSDisposition: PERMANENT RECORD. Coach Meeting Agendas and NotesDisposition: Temporary Record. Retain 3 years.Coaching ReportsDisposition: Temporary Record. Retain 6 years after submission of final report, conclusion of the grant, or rejection of application.Grantee Professional Development FilesDisposition: Temporary Record. Retain 6 years after submission of final report, conclusion of the grant, or rejection of application.Early Childhood Education Conference Attendee Lists and CorrespondenceDisposition: Temporary Record. Retain 3 years. Promulgating and Enforcing Standards POLICIES AND PROCEDURES GOVERNING CORE FUNCTIONS AND SERVICES Disposition: PERMANENT RECORD. ?Grantee Contracts and AgreementsDisposition: Temporary Record. Retain 6 years after submission of final report, conclusion of the grant, or rejection of application.Grantee Evaluation Records Disposition: Temporary Record. Retain 6 years after submission of final report, conclusion of the grant, or rejection of application.Grantee Non-Compliance RecordsDisposition: Temporary Record. Retain 6 years after submission of final report, conclusion of the grant, or rejection of application.Managing and Administering FundsCHILDREN FIRST TRUST FUND ANNUAL REPORTSDisposition: PERMANENT RECORD.CHILDREN FIRST TRUST FUND ANNUAL PLANS OF INVESTMENTDisposition: PERMANENT RECORD.Children First Trust Fund Plans of Investment Review and Approval FilesDisposition: Temporary Record. Retain 1 year after compliance or financial audit by the Examiners of Public Accounts or an equivalent auditing firm or one year after the end of the fiscal year the audit covers, whichever is later.Grant RecordsGRANT PROJECT FINAL REPORTSDisposition: PERMANENT RECORD.Grant Applications and Application Materials ReceivedDisposition: Temporary Record. Retain 6 years after submission of final report, conclusion of the grant, or rejection of application. Grant Financial RecordsDisposition: Temporary Record. Retain 6 years after submission of final report or conclusion of the grant, or two years after audit, whichever is longer. Supporting Documentation (including internal or administrative reports)Disposition: Temporary Record. Retain 6 years after submission of final report or conclusion of the grant, or two years after audit, whichever is longer. Administering Internal Operations: Managing the AgencyResearch Project RecordsFINAL REPORTS AND PUBLICATIONSDisposition: PERMANENT RECORD. For projects associated with grants, see “Grant Records” under “Managing and Administering Funds.” Research Data/FindingsDisposition: Temporary Record. Retain until completion of final report. Other RecordsDisposition: Temporary Record. Retain until completion of final report. ANNUAL AND OTHER PERIODIC REPORTSDisposition: PERMANENT RECORD.SPECIAL REPORTSDisposition: PERMANENT RECORD.NEWSLETTERSDisposition: PERMANENT RECORD.REPRESENTATIONAL FINAL VERSIONS OF INFORMATIONAL AND PROMOTIONAL MATERIALSDisposition: PERMANENT RECORD. Informational and Promotional Working FilesDisposition: Temporary Record. Retain for useful life. PhotographsSELECTION OF REPRESENTATIVE PHOTOGRAPHS (INCLUDING HIGH-QUALITY AND/OR PUBLISHED PHOTOGRAPHS)Disposition: PERMANENT RECORD. Photographs Outside of Representative Selection (Including Duplicative and Poor Photographs) Disposition: Temporary Record. Retain for useful life. Copyright and Reproduction Records for PhotographsDisposition: Retain for life of photograph. Photographs Taken for Internal or Reference UseDisposition: Temporary Record. Retain for useful life. Audiovisual RecordingsFINAL AND/OR EDITED AUDIOVISUAL RECORDINGS Disposition: PERMANENT RECORD. Footage (Including Stock and Raw Audiovisual Recordings)Disposition: Temporary Record. Retain for useful life. Copyright and Reproduction Records for Audiovisual Recordings Disposition: Retain for life of recording. Audiovisual Recordings Taken for Internal or Reference Use Disposition: Temporary Record. Retain for useful life.CERTIFIED COPIES OF ADMINISTRATIVE RULESDisposition: PERMANENT RECORD. Retain in office.Register of Administrative RulesDisposition: Temporary Record. Retain until superseded.Administrative Rule Change Working FilesDisposition: Temporary Record. Retain 1 year after adoption, amendment, repeal, or rejection of the rule.Policies and procedures concerning internal operations, including the administration of finances, personnel, properties, facilities, and resourcesDisposition: Temporary Record. Retain 3 years. ADMINISTRATIVE FILES THAT DOCUMENT POLICY, PROCESS, AND PROCEDURE Disposition: PERMANENT RECORD.Routine CorrespondenceDisposition: Temporary Record. Retain 3 years.Administrative Reference FilesDisposition: Temporary Record. Retain for useful life.Legislative Files (drafts of proposed agency-sponsored legislation, tracking files and records)Disposition: Temporary Record. Retain for useful life.Records documenting the implementation of the agency’s approved RDA (copies of transmittal forms to Archives or State Records Center, evidence of obsolete records destroyed, and annual reports to State Records Commission)Disposition: Temporary Record. Retain 10 years.Signed Copies of Approved RDADisposition: Temporary Record. Retain until puter Systems Documentation (Hardware/Software Specifications and Warranties)Disposition: Temporary Record. Retain documentation of former system 1 year after audit for the fiscal year in which the former hardware and software no longer exists anywhere in the agency and all permanent records have been migrated to a new system.WEBSITE(S) AND SOCIAL MEDIA PAGE(S) XE "WEBSITE AND SOCIAL MEDIA SITE(S)" Disposition: PERMANENT RECORD.Note: ADAH staff capture and preserve the agency’s website and other social media sites via a service offered by the Internet Archive [Archive It]. Any content behind password protected or login would not be captured by ADAH. Check with the ADAH website at anizations/62 to ensure your agency and social media site(s) are captured and preserved. If your agency’s website and social media site(s) are not captured by the service, please contact the Archives Division at 334-242-4452 to get them included. Printouts of Acknowledgment from the Secretary of State Relating to Notices of Meetings Posted by State Agencies Disposition: Temporary Record. Retain 3 years.Routine CorrespondenceDisposition: Temporary Record. Retain 1 year after compliance or financial audit by the Examiners of Public Accounts or an equivalent auditing firm or one year after the end of the fiscal year the audit covers, whichever is later.Mailing/Contact ListsDisposition: Temporary Record. Retain for useful life.Administrative Reference FilesDisposition: Temporary Record. Retain for useful life.Records documenting the implementation of the agency’s approved RDA (copies of transmittal forms to Archives or State Records Center, evidence of obsolete records destroyed, and annual reports to State Records Commission)Disposition: Temporary Record. Retain 1 year after audit after the end of the fiscal year in which the RDA was superseded.Copies of Approved RDADisposition: Temporary Record. Retain 1 year after the audit for the fiscal year in which the RDA is puter Systems Documentation (Hardware/Software Specifications and Warranties)Disposition: Temporary Record. Retain documentation of former system 1 year after audit for the fiscal year in which the former hardware and software no longer exists anywhere in the agency and all permanent records have been migrated to a new system.Administering Internal Operations: Managing FinancesRecords documenting the preparation of a budget request package and reporting of the status of funds, requesting amendments of allotments, and reporting program performanceDisposition: Temporary Record. Retain 1 year after compliance or financial audit by the Examiners of Public Accounts or an equivalent auditing firm or one year after the end of the fiscal year the audit covers, whichever is later.Records documenting the requisitioning and purchasing of supplies and equipment, receipting and invoicing for goods, and authorizing payment for products (includes AST-1 and AST-1A)Disposition: Temporary Record. Retain 1 year after compliance or financial audit by the Examiners of Public Accounts or an equivalent auditing firm or one year after the end of the fiscal year the audit covers, whichever is later.Records of original entry or routine accounting transactions, such as journals, registers, and ledgers, and records of funds deposited outside the state treasuryDisposition: Temporary Record. Retain 1 year after compliance or financial audit by the Examiners of Public Accounts or an equivalent auditing firm or one year after the end of the fiscal year the audit covers, whichever is later.Purchase and Repair Order DocumentsDisposition: Temporary Record. Retain for life of warranty.Records documenting requests for authorization from supervisors to travel on official business and other related materials, such as travel reimbursement forms and itinerariesDisposition: Temporary Record. Retain 1 year after compliance or financial audit by the Examiners of Public Accounts or an equivalent auditing firm or one year after the end of the fiscal year the audit covers, whichever is later.Records documenting contracts for services or personal propertyDisposition: Temporary Record. Retain 6 years after expiration of the contract.Records documenting the bid process (including requests for proposals and unsuccessful responses) XE "Records documenting the bid process (including requests for proposals and unsuccessful responses)" Disposition: Temporary Record. Retain for 10 years after the award of the contract. Agency Audit ReportsDisposition: Temporary Record. Retain 6 years after the end of the fiscal year in which the records were created.Administering Internal Operations: Managing Human ResourcesJob Recruitment MaterialsDisposition: Temporary Record. Retain 1 year after audit.Application MaterialsDisposition: Temporary Record. Retain 1 year.Position Classification QuestionnaireDisposition: Temporary Record. Retain 4 years after reclassification of the position.Records documenting payroll (e.g. pre-payroll reports, payroll check registers)Disposition: Temporary Record. Retain 1 year after compliance or financial audit by the Examiners of Public Accounts or an equivalent auditing firm.Records documenting payroll deduction authorizationsDisposition: Temporary Record. Retain 6 years after separation of the employee from the agency. Records documenting payroll deductions for tax purposes (including Form 941)Disposition: Temporary Record. Retain 1 year after compliance or financial audit by the Examiners of Public Accounts or an equivalent auditing firm or one year after the end of the fiscal year the audit covers, whichever is later.Personnel File - Records documenting an employee’s work history - generally maintained as a case fileDisposition: Temporary Record. Retain 6 years after separation of the employee from the agency.Records documenting employees’ daily and weekly work schedulesDisposition: Temporary Record. Retain 1 year after compliance or financial audit by the Examiners of Public Accounts or an equivalent auditing firm or one year after the end of the fiscal year the audit covers, whichever is later.Records documenting employee hours worked, leave earned, and leave takenDisposition: Temporary Record. Retain 1 year after compliance or financial audit by the Examiners of Public Accounts or an equivalent auditing firm or one year after the end of the fiscal year the audit covers, whichever is later.Records Documenting Leave DonationsDisposition: Temporary Record. Retain 1 year after compliance or financial audit by the Examiners of Public Accounts or an equivalent auditing firm or one year after the end of the fiscal year the audit covers, whichever is later.Records of Final Leave StatusDisposition: Temporary Record. Retain record of individual employees’ cumulative leave 6 years after separation of employee from the agency.Employee Flexible Benefits Plan Files (Applications and Correspondence)Disposition: Temporary Record. Retain 6 years after termination of participation in program.Records documenting the State Employee Injury Compensation Trust Fund (SEICTF) Claims Disposition: Temporary Record. Retain 6 years after separation of the employee from the agency.Records documenting Equal Employment Opportunity Commission (EEOC) Charges of DiscriminationDisposition: Temporary Record. Retain 6 years after final dispensation.Equal Employment Opportunity Commission Case FilesDisposition: Temporary Record. Retain 3 years.Employee Administrative Hearing FilesDisposition: Temporary Record. Retain 6 years after separation of the employee from the agency.Records Documenting Employee Grievances (Internal Complaints)Disposition: Temporary Record. Retain 6 years after separation of the employee from the agency.Records documenting complaints against the agency and its employees from outside the agency (made by members of the public, officials, or supervisees, etc.)Disposition: Temporary Record. Retain 6 years after separation of the employee from the agency.Records (maintained separately from employee personnel file), documenting employee disciplinary proceedings and appeals of formal reprimands, demotions, transfers, or terminations resulting from a grievance or complaintDisposition: Temporary Record. Retain 6 years after separation of the employee from the agency.Records documenting the administration of the unemployment compensation programDisposition: Temporary Record. Retain 6 years after conclusion of eligibility.Certification/Personnel Transaction FilesDisposition: Temporary Record. Retain 6 years after the end of the fiscal year in which the records were created.Records documenting verification of accuracy of State Personnel Department recordsDisposition: Temporary Record. Retain for useful life.Worker Compensation Injury and Settlement ReportsDisposition: Temporary Record. Retain 12 years after the end of the fiscal year in which the transaction occurred. (Code of Alabama 1975 § 25-5-4).Administering Internal Operations: Managing Properties, Facilities, and ResourcesSemiannual Property Inventory ListsDisposition: Temporary Record. Retain 2 years. (Code of Alabama 1975 § 36-16-8[1]).Agency Copies of Transfer of State Property Forms (SD-1)Disposition: Temporary Record. Retain 1 year after property audit.Property Inventory Cards and/or Computer FilesDisposition: Temporary Record. Retain 1 year after property audit.Property Inventory AffidavitsDisposition: Temporary Record. Retain 1 year after property audit.Receipts of Responsibility for PropertyDisposition: Temporary Record. Retain until return of item to property manager.Records documenting the use, maintenance, ownership, insurance, and disposition of vehicles owned by the agency Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the vehicle was removed from the property inventory.Real Property Renting/Leasing recordsDisposition: Temporary Record. Retain 6 years after the termination of lease or rental agreement or until agency is audited and audit report is released, whichever is longer.Facilities/Building Security Records (including visitor logs)Disposition: Temporary Record. Retain 1 year.Motor Pool Vehicle Use RecordsDisposition: Temporary Record. Retain 1 year after compliance or financial audit by the Examiners of Public Accounts or an equivalent auditing firm or one year after the end of the fiscal year the audit covers, whichever is later.Insurance Policies/Risk Management RecordsDisposition: Temporary Record. Retain 6 years after termination of policy or membership.Building Maintenance Work OrdersDisposition: Temporary Record. Retain 1 year. Records Documenting Vehicle Use/MileageDisposition: Temporary Record. Retain 1 year.Letters of TransmittalDisposition: Temporary Record. Retain 1 year after compliance or financial audit by the Examiners of Public Accounts or an equivalent auditing firm or one year after the end of the fiscal year the audit covers, whichever is later.Receipts of Responsibility for PropertyDisposition: Temporary Record. Retain until return of item to property manager.Requirement and Recommendations for Implementing the Records Disposition Authority (RDA)RequirementUnder the Code of Alabama 1975 § 41-13-21, “no state officer or agency head shall cause any state record to be destroyed or otherwise disposed of without first obtaining approval of the State Records Commission.” This Records Disposition Authority constitutes authorization by the State Records Commission for the disposition of the records of the Agency as stipulated in this document.One condition of this authorization is that the Agency submit an annual Records Disposition Authority (RDA) Implementation Report on its activities, including documentation of records destruction, to the State Records Commission.Unless otherwise stipulated in this document, the Agency must transmit all permanent records which are no longer in active use to the ADAH. RecommendationsIn addition, the Agency should make every effort to establish and maintain a quality record-keeping program by conducting the following activities:The Agency should designate a staff member in a managerial position as its records liaison/records manager, who is responsible for: ensuring the development of quality record keeping systems that meet the business and legal needs of the agency, coordinating the transfer and destruction of records, ensuring that permanent records held on alternative storage media (such as microforms and digital imaging systems) are maintained in compliance with national and state standards, and ensuring the regular implementation of the agency’s approved RDA. Permanent records in the Agency’s custody should be maintained under proper intellectual control and in an environment that will ensure their physical order and preservation. ADAH archivists are available to work with Agency staff in determining the best location and storage conditions for permanent records.Destruction of temporary records, as authorized in this RDA, should occur agency-wide on a regular basis—for example, after the successful completion of an audit, at the end of an administration, or at the end of a fiscal ye ar. Despite the RDA’s provisions, no record should be destroyed that is necessary to comply with requirements of the Open Meetings Act, audit requirements, or any legal notice or subpoena.The agency should maintain full documentation of any computerized record-keeping system it employs. It should develop procedures for: (1) backing up all permanent records held in electronic format; (2) storing a back-up copy off-site; and (3) migrating all permanent records when the system is upgraded or replaced. If the agency chooses to maintain permanent records solely in electronic format, it is committed to funding any system upgrades and migration strategies necessary to ensure the records’ permanent preservation and accessibility.Electronic mail contains permanent, temporary, or transitory record information. Although e-mail records can be printed out, filed, and retained according to the RDA’s requirements, the office should preferably employ an electronic records management system capable of sorting e-mail into folders and archiving messages having long-term value.The staff of the State Records Commission or the Examiners of Public Accounts may examine the condition of the permanent records maintained in the custody of the Agency and inspect records destruction documentation. Agency records managers and/or the ADAH archivists are available to instruct the staff in RDA implementation and otherwise assist the Agency in implementing its records management program.The State Records Commission adopted this records disposition authority on April 28, 2021._____________________________________________ _________________ Steve Murray, Chairman DateState Records CommissionBy signing below, the agency acknowledges receipt of the retention periods and requirements established by the records disposition authority._____________________________________________ _________________ Barbara Cooper, Secretary of Early Childhood Education DateAlabama Department of Early Childhood Education ................
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