Medical Licensure Commission of Alabama



Alabama Board of Medical Examiners / Medical Licensure Commission of AlabamaFunctional Analysis&Records Disposition AuthorityRevisionPresented to theState Records CommissionOctober 24, 2018Table of Contents TOC \h \z \u \t "H1,1,H2,2,H3,3" Functional and Organizational Analysis of the Alabama Board of Medical Examiners / Medical Licensure Commission of Alabama PAGEREF _Toc525638610 \h 3Sources of Information PAGEREF _Toc525638611 \h 3Historical Context PAGEREF _Toc525638612 \h 3Agency Organization PAGEREF _Toc525638613 \h 6Agency Function and Subfunctions PAGEREF _Toc525638614 \h 6Records Appraisal of the Alabama Board of Medical Examiners / Medical Licensure Commission of Alabama PAGEREF _Toc525638615 \h 11Temporary Records PAGEREF _Toc525638616 \h 11Permanent Records PAGEREF _Toc525638617 \h 12Permanent Records List PAGEREF _Toc525638618 \h 17Alabama Board of Medical Examiners / Medical Licensure Commission of Alabama General Records Disposition Authority PAGEREF _Toc525638619 \h 19Explanation of Records Requirements PAGEREF _Toc525638620 \h 19Records Disposition Requirements PAGEREF _Toc525638621 \h 20Promulgating Rules and Regulations PAGEREF _Toc525638622 \h 20Serving on the Joint Committee of the Board of Nursing and the Board of Medical Examiners for Advanced Practice Nurses PAGEREF _Toc525638623 \h 20Issuing Certificates of Qualification for Applicants Meeting the Statutory Qualifications for Licensure PAGEREF _Toc525638624 \h 21Licensing PAGEREF _Toc525638625 \h 21Serving as the Certifying Board for Medical Professionals Applying for Controlled Substances Certificates PAGEREF _Toc525638626 \h 21Processing Physician Applications for Expedited Licensure Under the Interstate Medical Licensure Compact PAGEREF _Toc525638627 \h 22Registering Physicians Who Provide Pain Management Services PAGEREF _Toc525638628 \h 22Investigating Complaints and Violations PAGEREF _Toc525638629 \h 22Reviewing Malpractice Judgments and Settlements PAGEREF _Toc525638630 \h 22Reviewing Articles of Incorporations of Professional Corporations Incorporated by Doctors of Medicine and Osteopathic Medicine PAGEREF _Toc525638631 \h 23Maintaining Continuing Medical Education Programs PAGEREF _Toc525638632 \h 23Treating and Rehabilitating Impaired Physicians PAGEREF _Toc525638633 \h 23Administering Internal Operation: Managing the Agency PAGEREF _Toc525638634 \h 23Administering Internal Operations: Managing Finances PAGEREF _Toc525638635 \h 25Administering Internal Operations: Managing Human Resources PAGEREF _Toc525638636 \h 26Administering Internal Operations: Managing Properties, Facilities, and Resources PAGEREF _Toc525638637 \h 27Requirement and Recommendations for Implementing the Records Disposition Authority (RDA) PAGEREF _Toc525638638 \h 29Functional and Organizational Analysis of the Alabama Board of Medical Examiners / Medical Licensure Commission of AlabamaSources of InformationRepresentatives of the Alabama Board of Medical ExaminersRepresentative of the Medical Licensure Commission of AlabamaCode of Alabama 1975 § 34-21-80 through 34-21-93 Code of Alabama 1975 § 34-24-50 through 34-24-75.1; § 34-24-290 through 34-24-306; § 34-24-310 through 34-24-406Code of Alabama 1975 § 34-24-400 through 34-24-610Alabama Administrative Code, Chapters 540-X-1 through 540-X-14; Chapters 540-X-16 through 540-X-21Alabama Administrative Code Chapters 545-X-1 through 545-X-6-.07Board of Medical Examiners Audit ReportMedical Licensure Commission of Alabama Audit ReportAlabama Government ManualArchives Division, State Agency Files (1985-ongoing)Board of Medical Examiners and Medical Licensure Commission website (albme.og)Interstate Medical Licensure Compact website ()“Discover the DO Difference.” American Osteopathic Association, 2018, what-is-osteopathic-medicine/what-is-a-do/.Hamowy, Ronald. “The Early Development of Medical Licensing Laws in the United States, 1875-1900.” The Development of Medical Licensing Laws, Journal of Libertarian Studies, 1979. pp. 73–119.Robinson, Kelli. “Physician Registration Required for Practice of Pain Management.” Sirote, Sirote & Permutt, PC, 10 Dec. 2013, blog/health-care/physician-registration-required-for-practice-of-pain-management.Alabama Physician Health Program, Medical Association of the State of Alabama, 2018, alabamaphp..Historical ContextThe practice of medicine in the United States was unregulated at the close of the Civil War, leading to a proliferation of unprofessional and even dangerous practices. The American Medical Association at its 1867 national meeting encouraged “members of the profession in the different States [sic] to use all their influence in securing such immediate and positive legislation as will require all persons, whether graduates or not, desiring to practice medicine, to be examined by a State Board of Medical Examiners, in order to become licensed for that purpose” (Hamowy 1979).Heeding this guidance, members of the Medical Association of the State of Alabama (MASA) spearheaded the campaign to pass the Acts of Alabama 1876-1877 No. 63, also called the Medical Practice Act, which created the Alabama Board of Medical Examiners (“the Board”) to regulate the practice of medicine in the state.The Acts of Alabama 1981 No. 81-218 created the Medical Licensure Commission of Alabama (“the Commission”). The Board and the Commission today form a unique bicameral system for the regulation of medical and osteopathic practitioners in the state. The Board certifies that applicants meet the statutory requirements for licensure, investigates complaints, and initiates formal actions against licensed physicians. The Commission grants medical and osteopathic licenses and adjudicates formal allegations concerning physician safety. Ultimately the Commission has the sole authority to issue medical licenses in Alabama. The bicameral system provides a dual approach to achieve the objectives of the Medical Practice Act.Explanatory note: The Board and the Commission confer medical licenses to both doctors of medicine (MD) and doctors of osteopathic medicine (DO); licensees have equal rights and responsibilities as physicians and may practice the full scope of medicine in all fifty states. The American Osteopathic Association explains on its website (2018) that doctors of osteopathic medicine receive specialized education in the musculoskeletal system and practice a hands-on technique to diagnose illness called Osteopathic Manipulative Treatment (OMT).Functionality of the Board and the Commission has expanded from its original narrow focus on physicians of medicine and osteopathic medicine over time. For example, in 1995 the state legislature provided for the establishment of a Joint Committee to regulate collaborative practice between licensed physicians, certified registered nurse practitioners, and/or certified nurse midwives (Code of Alabama 1975 § 34-21-80 through 93). The Joint Committee is composed of six members, with three members coming from the Board of Medical Examiners and the Board of Nursing, respectively. The Joint Committee makes recommendations concerning best practices in collaboration between the different healthcare fields, while the two separate Boards are responsible for collaborative practice registration processes for their members. The Board of Medical Examiners’ new collaborative practice registration license became available in 1996.Explanatory note: “Collaboration,” or collaborative practice, is defined in the Code of Alabama 1975 § 34-21-81 as “a formal relationship between one or more certified registered nurse practitioners and certified nurse midwives and a physician or physicians under which these nurses may engage in advanced practice nursing as evidenced by written protocols.” A key component of collaborative practice in Alabama is supervision; nurses and midwives may not work in this state as “independent practitioners” according to statute.In 1998 the state legislature vested the Board with authority to regulate the practices of Physician Assistants (PAs) and Anesthesiologist Assistants (AAs). The Code of Alabama 1975 § 34-24-290 through 34-24-306 requires that PAs and AAs hold a current license to practice and also be registered to a supervising physician to lawfully engage in practice as mid-level health practitioners. The Board confers the license to practice and issues registrations in accordance with statute. A PA or AA may be registered to one or more supervising physicians.The field of medicine is recognized as a physically and mentally taxing endeavor for its practitioners. Recognizing this, the legislature called for the establishment of a physician wellness committee during the 1988 legislative session (Code of Alabama 1975 § 34-24-401). The Board was charged with the responsibility “to promote the early identification, intervention, treatment and rehabilitation of physicians who may be impaired by reason of illness, inebriation, excessive use of drugs, narcotics, alcohol, chemicals or other substances or as a result of any physical or mental condition” (AAC 540-X-13.01). The Board established the Alabama Physician Health Program (APHP) and the Alabama Impaired Physicians Committee (AIPC) to meet its new legislative responsibilities. The Alabama Impaired Physicians Committee is now known as the Alabama Physician Wellness Committee (APWC). The APHP and APWC are directly administered by the Medical Association of the State of Alabama, as the legislative statute permitted the Board to enter into a contractual agreement with a nonprofit corporation or medical professional association for the creation of the program. The Alabama Uniform Controlled Substances Act was passed during the 1971 legislative session as part of the state’s effort to classify, regulate, and prevent abuse of controlled substances. According to the Code of Alabama 1975 § 20-2-30 through 32, pharmaceuticals are classified within the Uniformed Controlled Substances Act framework into five schedules, ranging from Schedule I (high potential for abuse, no accepted medical use in treatment) to Schedule V (containing limited quantities of codeine, dihydrocodeine, ethylmorphine, diphenozylate, or opium). The Board of Medical Examiners certifies individuals who manufacture, distribute or dispense controlled substances within the Act’s framework. Physicians must apply for an Alabama Controlled Substance Certificate (ACSC). Physician assistants (PA)s, Certified Registered Nurse Practitioners (CRNPs), and Certified Nurse Midwives (CNMs) must apply for a Qualified Alabama Controlled Substances Certificate (QACSC) in order to prescribe controlled substances in Schedules III, IV, and V. QACSC holders may also apply for a Limited Purpose Schedule II Permit (LPSP) conferring prescription privileges in Schedule II.On May 8, 2013, the Alabama Pain Management Act (APMA) was signed into law with the intention to prevent controlled substance abuse to a greater extent than the aforementioned legislation. Pursuant to the APMA, the Board adopted new standards entering into effect in December 2013 and requiring the registration of all physicians engaging in pain management services. The Alabama Administrative Code 540-X-19.02(9) states that physicians are said to provide pain management services if they advertise to the public as providers of pain management; dispense opioids; or are in the top three percent of practices prescribing controlled substances in the state of Alabama in a given year (Robinson 2013).Advances in healthcare delivery, transportation, and medical practice formats have created conditions favorable for the formulation of an interstate medical licensure compact. The Federation of State Medical Boards (FSMB) released proposed language for an interstate medical licensure compact in September 2014. The proposed language required that seven states agree to participate in the compact and pass legislation adopting the compact language verbatim prior to its entering into effect. Member states would then form an Interstate Medical Licensure Compact Commission (IMLCC) amongst themselves to administer the compact, promulgate rules and regulations, and issue advisory opinions concerning the compact’s interpretation.The legislature passed Act No. 2015-197 on May 19, 2015, a bill which adopted the Federation of State Medical Boards’ proposed interstate medical licensure compact language verbatim. The Interstate Medical Licensure Compact Commission was subsequently founded and had its first meeting in October 2015. The IMLCC began processing applications for expedited licensure, which streamlines physician licensure in multiple states, on April 6, 2017.Agency OrganizationAlabama Board of Medical ExaminersAccording to the Code of Alabama 1975 § 34-24-53, the Board of Medical Examiners is comprised of sixteen licensed Alabama physicians from the Medical Association of the State of Alabama (MASA)’s Board of Censors. The Board of Censors is the governing body of the Medical Association of the State of Alabama and its members are elected by their peers. The Board of Medical Examiners meets once each month, and special meetings may be called at the request of the chairman. The Board of Medical Examiners employs an executive director and has the authority to determine his/her duties, responsibilities, and compensation. The Board or the executive director, with the concurrence of the Board, also has the authority to employ qualified individuals to serve as administrative staff and investigators.Medical Licensure Commission of AlabamaThe Commission is composed of eight members who serve staggered five-year terms with no limit on the number of terms a member may serve. Four members are appointed by the governor, two by the lieutenant governor, and two by the speaker of the House of Representatives. Seven members of the Commission are licensed physicians, while the eighth is a member of the public.The Commission meets once each month, and special meetings may be called at the request of the chairman. The Commission may designate an executive officer to act on behalf of the Commission between regular meetings. Currently, all administrative functions of the Commission are performed by an executive assistant.Agency Function and SubfunctionsThe Alabama Board of Medical Examiners and the Medical Licensure Commission of Alabama together carry out the provisions of the state’s licensing and regulatory statutes for medical doctors and doctors of osteopathic medicine who apply for a license to practice medicine in Alabama. The Board reviews the credentials of licensee applicants and issues certificates of qualification to the Commission. The Commission exercises approval authority over the certifications and issues licenses to approved applicants. Physician assistants are certified to practice solely by the Board. The Board and the Commission also have roles in the disciplining of medical licensees. Both agencies are primarily involved in carrying out the Regulatory function of Alabama government as described in the “Functional Analysis of Alabama Government.”In the performance of their mandated functions, the Board and the Commission may engage in the following subfunctions:Promulgating Rules and Regulations. This subfunction encompasses the power of the Board to promulgate rules and regulations concerning the practice of medicine in the state of Alabama. Regulations may include the method by which healthcare professionals practice medicine, with a priority placed on patient safety and wellness. Regulatory authority is conferred pursuant to the Code of Alabama 1975 § 34-24-53 and 34-24-43.1.Serving on the Joint Committee of the Board of Nursing and the Board of Medical Examiners for Advanced Practice Nurses. The Joint Committee, established under the authority of Code of Alabama 1975 § 34-21-80 through 34-24-93, is comprised of six members (three from the Board of Nursing and three from the Board of Medical Examiners) and is charged with the responsibilities of recommending rules and regulations governing the collaborative relationship between physicians and certified registered nurse practitioners and/or certified nurse midwives engaging in advanced practice nursing.Issuing Certificates of Qualification for Applicants Meeting the Statutory Qualifications for Licensure. This subfunction encompasses the Board’s responsibility to screen applicants, and issue certificates of qualifications to applicants who pass the required examination and meet all requirements. The Board forwards certificates of qualification to the Medical Licensure Commission of Alabama for licensure as doctors of medicine or doctors of osteopathic medicine according to procedure outlined in the Code of Alabama 1975 § 34-24-330.Licensing. The Medical Licensure Commission of Alabama issues the following types of licenses in Alabama: doctor of medicine and doctor of osteopathic medicine. Upon receipt of a certificate of qualification for doctor of medicine or osteopathic medicine issued by the Board of Medical Examiners along with completed application form and required fee, the Commission issues a medical license in the form of certificate of registration (Code of Alabama § 34-24-330). Doctors of medicine and osteopathic medicine are able to receive various licenses including initial medical license, limited license, retired senior volunteer license, special purpose license, and license reinstatement.The application process for a physician assistant (PA) or anesthesiologist assistant (AA) license through the Board of Medical Examiners typically involves the completion of a required training program and examination; submission of application form, application fee, detailed job description; and a personal interview by the Board staff prior to final action on the application.Processing Physician Applications for Expedited Licensure Under the Interstate Medical Licensure Compact. In keeping with the language in Act No. 2015-197 and the guidance of the Interstate Medical Licensure Compact Commission, physicians in Alabama who meet certain criteria are currently (as of November 2017) able to apply for expedited licensure in the following other states under the compact: Arizona, Colorado, Idaho, Illinois, Iowa, Kansas, Maine, Mississippi, Minnesota, Montana, Nebraska, Nevada, New Hampshire, South Dakota, Utah, Washington, West Virginia, Wisconsin, and Wyoming.Serving as the Certifying Board for Medical Professionals Applying for Controlled Substances Certificates. The Code of Alabama 1975 § 20-2-51 mandates that every person who manufactures, distributes, or dispenses any controlled substance within this State must annually obtain a registration issued by the certifying Board. The Board of Medical Examiners serves as the certifying Board to register licensed doctors of medicine, doctors of osteopathic medicine, licensed physician assistants (PAs), Certified Registered Nurse Practitioners (CRNPs), and Certified Nurse Midwives (CNMs) in collaborative practices who propose to distribute, prescribe, or dispense any controlled substance within Alabama. Annual registration is accomplished by the completion of an application form and the payment of a fee.The Board issues to qualified applicants the appropriate certification (either the Alabama Controlled Substance Certificate [ACSC] or Qualified Alabama Controlled Substances Certificate [QACSC]) authorizing the distribution, prescription, and dispensing of controlled substances by the registrant.According to the Code of Alabama 1975 § 20-2-250 through 20-2-259, the Board is solely responsible for the regulation of the prescription of controlled substances by Certified Registered Nurse Practitioners (CRNPs) and Certified Nurse Midwives (CNMs). These medical professionals may apply for Qualified Alabama Controlled Substances Certificates (QACSCs) in order to prescribe such substances, and the certificates must be renewed annually.Physician assistants (PAs) may also apply for Qualified Alabama Controlled Substances Certificates (QACSCs) according to the Code of Alabama 1975 § 20-2-60 through 20-2-69. In addition, the Code of Alabama 1975 § 20-2-260 and the Alabama Administrative Code 540-X-20 provides that QACSC holders may apply for a Limited Purpose Schedule II Permit (LPSP), which confers prescriptive privileges within Schedule II of the Uniformed Controlled Substances Act framework.Registering Physicians Who Provide Pain Management Services. The Code of Alabama 1975 § 34-24-600 through 34-24-610 authorizes the Board to register physicians who provide pain management services. Physicians providing such services must apply for a license to be renewed annually and are subject to various forms of additional regulation, including registration with the Alabama Department of Public Health’s Prescription Drug Monitoring Program.Investigating Complaints and Violations. In accordance with the Code of Alabama § 34-24-360 and 361, the Board is empowered to investigate any evidence that appears to show that a licensee may be guilty of any violations on the grounds enumerated in the Code of Alabama 1975 § 34-24-360 and the standards stated in the Board’s rules and regulations. The Board may act on the basis of received complaints or upon its own motion. If the Board finds a complaint has merit, it may either issue a Letter of Concern requesting the licensee to change certain ways of practice, or file a formal charge against the licensee with the Commission seeking disciplinary action, which may include the suspension or revocation of license. In the context of this subfunction, the Board serves as prosecutor while the Commission acts as judge and jury.Reviewing Malpractice Judgments and Settlements. Licensees are mandated by the Code of Alabama 1975 § 34-24-56 to report to the Board annually any malpractice judgments and settlements stemming from “a claim or action for damages for personal injuries caused by an error, omission, or negligence in the performance of medical professional services, or in the performance of medical professional services without consent.” Reports must include the name of the physician or surgeon against whom the claim was made or asserted, the name of the claimant, a summary of the allegations made, the injuries incurred by the claimant, and the terms of the judgment or settlement. The Board receives and reviews these and may file disciplinary action against licensees on a discretionary basis.Reviewing Articles of Incorporations of Professional Corporations Incorporated by Doctors of Medicine and Osteopathic Medicine. The Code of Alabama 1975 § 10-4-400 indicates that each licensing authority of Alabama may examine any professional corporation organized to practice a profession within the jurisdiction of such licensing authority to ascertain whether such corporation has complied with all the provisions applicable to such professional corporation. This subfunction involves the review by the Board staff of the articles of incorporations, the certificate of authority, list of shareholders, and all subsequent amendments to the articles of incorporation submitted by medical professional corporations to ensure that at least one shareholder of such professional corporation is a licensed medical doctor as mandated by the Code of Alabama 1975 § 10-4-383. Maintaining Continuing Medical Education Programs. According to the Code of Alabama 1975 § 34-24-336, the Board is responsible for promoting “continuing medical education of all doctors of medicine and osteopathic medicine licensed by the Commission and is empowered to spend a portion of its funds in any manner it deems desirable for carrying out this purpose.” The Board requires current licensees to complete prescribed courses of continuing medical education as part of the licensure renewal process. The Alabama Administrative Code Chapter 540-X-14 outlines the Board’s current continuing education program, which requires physician and physician assistant licensees to complete twenty-five (25) American Medical Association Physician’s Recognition Award (AMA-PRA) Category 1 Credits or their equivalent each calendar year. Alabama Controlled Substance Certificate (ACSC) registrants must complete two (2) AMA-PRA Category 1 credits or their equivalent every two years. Failure to complete continuing education requirements may result in disciplinary action by the Commission, or (in the case of PAs) the Board.Treating and Rehabilitating Impaired Physicians. The Board is responsible for funding the Alabama Physician Health Program (APHP) and the Alabama Impaired Physicians Committee (AIPC, now known as the Alabama Physician Wellness Committee) in accordance with its legislative responsibilities specified in the Code of Alabama 1975 § 34-24-401. The APHP assists physicians in need of intervention, treatment and rehabilitation due to impairment caused by illness, drugs, alcohol, or physical/mental conditions. The Board contracts with the Medical Association of the State of Alabama (MASA) to administer this program. The APHP accepts referrals; oversees treatment of affected physicians; and facilitates meetings of various mutual aid organizations, including Alcoholics Anonymous (AA) and Narcotics Anonymous (NA).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 Alabama Board of Medical Examiners / Medical Licensure Commission of AlabamaThe following is a discussion of the two major categories of records created and/or maintained by the Board/Commission: 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 Board/Commission are discussed below:Approved Physician Requests to Commence Collaborative Practice. Physicians must file a request with the Board to commence collaborative practice with one or more Certified Registered Nurse Practitioners (CRNPs) and/or Certified Nurse Midwives (CNMs). The record series has a retention of five years after termination of the physician’s license.Physician Notifications of Termination of Collaborative Practice. Physicians must file a request with the Board to discontinue collaborative practice with one or more Certified Registered Nurse Practitioners (CRNPs) and/or Certified Nurse Midwives (CNMs). The record series has a retention of five years after termination of the physician’s license.Collaborative Practice Current Skills Lists. This record series is produced by the Joint Committee of the Board of Nursing and the Board of Medical Examiners for Advanced Practice Nurses. The skill lists include a variety of proficiencies demonstrated by Certified Registered Nurse Practitioners (CRNPs), and Certified Nurse Midwives (CNMs), indicating which skills on the list may be performed in the course of collaborative practice and under what circumstances (e.g. with supervision, without supervision, in no case). The record series shall be retained for a period of 10 years after the collaboration has been terminated.Medical Professional Licensure Database. This record series consists of the information maintained by the Board/Commission in electronic form for licensed medical professionals within their jurisdictional authority, including but not limited to doctor of medicine, doctor of osteopathic medicine physician assistant (PA), and anesthesiologist assistant (AA). Doctors of medicine and osteopathic medicine are able to receive various licenses including initial medical license, limited license, retired senior volunteer license, and special purpose license. Information contained in the database may include the licensees’ educational backgrounds, contact information, specialties and subspecialties, records of complaints and disciplinary actions, and reinstatement/renewal information.Medical Professional Certification Database. This record series consists of the information maintained by the Board/Commission in electronic form for licensed medical professionals within their jurisdictional authority, including but not limited to doctor of medicine Alabama Controlled Substance Certificate (ACSC) holders; doctor of osteopathic medicine Alabama Controlled Substance Certificate (ACSC) holders; physician assistant (PA) Qualified Alabama Controlled Substances Certificate (QACSC) holders; Certified Registered Nurse Practitioner (CRNP) Qualified Alabama Controlled Substances Certificate (QACSC) holders; Certified Nurse Midwife (CNM) Qualified Alabama Controlled Substances Certificate (QACSC) holders; physician assistant (PA) Limited Purpose Schedule II Permit (LPSP) holders; Certified Registered Nurse Practitioner (CRNP) Limited Purpose Schedule II Permit (LPSP) holders, and Certified Nurse Midwife (CNM) Limited Purpose Schedule II Permit (LPSP) holders. Information contained in the database certificate holders’ educational backgrounds, contact information, specialties and subspecialties, records of complaints and disciplinary actions, and reinstatement/renewal information.Letters of Qualification. The record series includes the date on which the licensee received his or her letter of qualification (LOQ) from the Board. The Board reviews the credentials of licensee applicants and issues certificates of qualification to the Commission. The Commission exercises approval authority over the certifications and issues licenses to approved applicants.Alabama Pain Management Registration Applications. The record series includes registration information for physicians engaging in pain management services. The Alabama Administrative Code 540-X-19.02(9) states that physicians are said to provide pain management services if they advertise to the public as providers of pain management; dispense opioids; or are in the top three percent of practices prescribing controlled substances in the state of Alabama in a given year.Reports of Malpractice Judgments and Settlements. Code of Alabama 1975 § 34-24-56 requires every licensed physician or medical professional corporation to report annually to the Board of Medical Examiners any final judgements rendered against them or any settlements in or out of court during the preceding year resulting from a claim or action for damages for personal injuries caused by an error, omission, or negligence in the performance of medical services. These reports are reviewed by the Board staff to determine whether the Board should take any disciplinary action against the licensee or professional corporation. If there is a ground for disciplinary action, the report may become a part of the records listed under the Investigating Possible Violations and Instituting Disciplinary Proceedings in Appropriate Cases subfunction. Otherwise, those reports are kept until the completion of one audit review by the Examiners of Public Accounts.Permanent RecordsThe Archives Division recommends the following records as permanent.Promulgating Rules and RegulationsMeeting Minutes, Agendas, and Packets of the Board of Medical Examiners and the Medical Licensure Commission. The Board and the Commission are obligated to keep complete minutes their respective proceedings. The meeting packets are the core documentation of the agencies’ major functions with regard to administration and enforcement of the rules and regulations of both the agencies themselves and the medical profession at large. The packets consist of both open/nonconfidential and closed/confidential sections, the latter of which contains personally identifiable information (PII) of licensees. A copy of the Board’s annual report is always included in its minutes. (Bibliographic Title: Meeting Files)Serving on the Joint Committee of the Board of Nursing and the Board of Medical Examiners for Advanced Practice NursesMeeting Minutes, Agendas, and Packets of the Joint Committee of the Board of Nursing and the Board of Medical Examiners for Advanced Practice Nurses. This record series is appended to the meeting packet of the Board of Medical Examiners and the Medical Licensure Commission and is therefore preserved with these records, not separately. (Bibliographic Title: Meeting Files)Issuing Certificates of Qualification for Applicants Meeting the Statutory Qualifications for LicensureApplications for Certificate of Qualification to Practice Medicine. Under the Code of Alabama 1975 § 34-24-330 the Board is required to credential applicants and issue certificates of qualification to the Commission certifying for a license each applicant who has met the Board's certification requirements. Information elicited in the application form includes the following: name; address; telephone number; criminal background; date and place of birth; sex; social security number; education background; citizenship; internship/residency training; professional experience; photograph of applicant; and other information to determine whether discretionary grounds for denial exist. After the applicant is certified by the Board, a certification of qualification is issued and forwarded to the Commission for licensure. (Bibliographic Title: Qualification Certificate Applications)LicensingAnnual Roster of Licensed Medical Professionals. Annual rosters are generated from the Board/Commission database and document the names of licensed medical professionals in the state of Alabama. The rosters may contain the following types of medical professional licensees: doctor of medicine, doctor of osteopathic medicine, physician assistant (PA), anesthesiologist assistant (AA). Doctors of medicine and osteopathic medicine specifically are able to receive variant licenses including initial medical license, limited license, retired senior volunteer license, special purpose license, and license reinstatement. (Bibliographic Title: Rosters and Registers)Serving as the Certifying Board for Medical Professionals Applying for Controlled Substance CertificatesAnnual Roster of Medical Professional Certificate Holders. Annual rosters are generated from the Board/Commission database and document the names of medical professional certificate holders in the state of Alabama. The rosters may contain the following types of medical professional certificate holders: doctor of medicine Alabama Controlled Substance Certificate (ACSC) holders; doctor of osteopathic medicine Alabama Controlled Substance Certificate (ACSC) holders; physician assistant (PA) Qualified Alabama Controlled Substances Certificate (QACSC) holders; Certified Registered Nurse Practitioner (CRNP) Qualified Alabama Controlled Substances Certificate (QACSC) holders; Certified Nurse Midwife (CNM) Qualified Alabama Controlled Substances Certificate (QACSC) holders; physician assistant (PA) Limited Purpose Schedule II Permit (LPSP) holders; Certified Registered Nurse Practitioner (CRNP) Limited Purpose Schedule II Permit (LPSP) holders; Certified Nurse Midwife (CNM) Limited Purpose Schedule II Permit (LPSP) holders. (Bibliographic Title: Rosters and Registers)Investigating Complaints and ViolationsInvestigative Final Reports. The Board investigations conclude in the production of a final investigative report. This record series is appended to the meeting packet of the Board of Medical Examiners and the Medical Licensure Commission and is therefore preserved with these records, not separately. The series is included in the closed/confidential section of the meeting packet, which contains personally identifiable information (PII) of licensees. (Bibliographic Title: Not Applicable) (Maintained by the Board of Medical Examiners / Medical Licensure Commission)Reviewing Articles of Incorporations of Professional Corporations Incorporated by Doctors of Medicine and Osteopathic MedicineMedical Professional Corporation Files. This series consists of articles of incorporation, certificates of authority, lists of shareholders, and all subsequent amendments to the articles of incorporation submitted by various medical professional corporations formed by doctors of medicine/osteopathic medicine for review by the staff of the Board of Medical Examiners to ensure that at least one shareholder of such professional corporation is a licensed medical doctor as mandated by Code of Alabama 1975 § 10-4-383. Alabama Administrative Code, Chapter 540-X-1-.07(L) requires the Board to record and maintain a permanent file on all professional corporations incorporated by doctors of medicine/osteopathic medicine. (Bibliographic Title: Not Applicable) (Maintained by the Board of Medical Examiners / Medical Licensure Commission)Maintaining Continuing Medical Education ProgramsContinuing Medical Education Program Approval Files. The Board prescribes standards and approves curricula for continuing medical education programs in accordance with its legislative responsibilities. While the Board retains statutory responsibility to maintain these records, the American Medical Association creates and retains these records. (Bibliographic Title: Not Applicable) (Maintained by Alabama Board of Medical Examiners / Medical Licensure Commission of Alabama)Treating and Rehabilitating Impaired PhysiciansPhysician Monitoring Reports. This record series is created by the Alabama Physician Health Program (APHP) and appended to the meeting packet of the Board of Medical Examiners and the Medical Licensure Commission; it is therefore preserved with these records, not separately. The series is included in the closed/confidential section of the meeting packet, which contains personally identifiable information (PII) of licensees. (Bibliographic Title: Not Applicable) (Maintained by the Board of Medical Examiners / Maintained by the Medical Licensure Commission)Physician Monitoring Memoranda to the Board. A member of the Board serves as the Physician Monitoring Department Director and conducts independent supervision of some licensees whose cases fall outside the purview of the Alabama Physician Health Program (APHP). The Physician Monitoring Department Director submits memoranda to the Board at its meetings documenting his/her findings pertaining to these cases. The series is included in the closed/confidential section of the meeting packet, which contains personally identifiable information (PII) of licensees. (Bibliographic Title: Not Applicable) (Maintained by the Board of Medical Examiners / Maintained by the Medical Licensure Commission)Administering Internal OperationsPolicies and Procedures. These manuals are designed to assist in the conduct of day-today operations. The manuals contain policies promulgated by the Executive Director, Office Director, or the Board. (Bibliographic Title: Policies and Procedures)Administrative Rules and Regulations. These rules and regulations are approved by the agency and govern the conduct of the Board and Commission’s licensure and certification processes, prosecution of cases, and involvement with the Joint Committee of the Board of Nursing and the Board of Medical Examiners for Advanced Practice Nursing, among other subjects. Combined with the policies and procedures manuals, they document the agency’s roles in prescribing standards for its programs. (Bibliographic Title: Rules and Regulations)Register of Administrative Rules. Each agency shall have an officer who shall file in the office of the Secretary of State a certified copy of each rule adopted by it. The secretary of the agency shall keep a permanent register of the rules open to public inspection. (Code of Alabama 1975 § 41-22-6) (Bibliographic Title: Not Applicable) (Maintained by the Board of Medical Examiners / Maintained by the Medical Licensure Commission)Administrative Files that Document Policy, Process, and Procedure. These records, which include official correspondence of the agency, document actions and positions of the agency and do not include correspondence dealing with routine matters. These records may be paper or electronic, but expressly exclude routine interoffice correspondence, e.g., memos, e-mails and unofficial records dealing with routine administrative and personnel actions. (Bibliographic Title: Administrative Files)Annual Reports. Although not required by legislative statute, the Board and the Commission create and distribute annual reports documenting activities of the agencies. (Bibliographic Title: State Publications)Newsletters of the Board of Medical Examiners. Published on a quarterly basis, this newsletter contains a public action report of the Board of Medical Examiners and the Medical Licensure Commission of Alabama. It also carries information on subjects, such as prescription drug abuse and access to medical records, that are useful to physicians. (Bibliographic Title: State Publications)Informational and Promotional Materials. These records are created to build public awareness about a variety of issues and department-related activities. The publications are necessary to document the relationship between the Board/Commission, its licensees, and the general public. (Bibliographic Title: Publicity Files)Website and Social Media Site(s). The Board and Commission share a website at ; online renewals for licenses and certifications falling under the agency’s purview can be conducted at a second website, . ADAH staff capture and preserves 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 being captured by the service, please contact the Archives Division at 334-242-4452 to get them included. (Bibliographic Title: Website and Social Media Site[s])Permanent Records ListAlabama Board of Medical Examiners /Medical Licensure Commission of AlabamaPromulgating Rules and RegulationsMeeting Minutes, Agendas, and Packets of the Board of Medical Examiners and the Medical Licensure CommissionServing on the Joint Committee of the Board of Nursing and the Board of Medical Examiners for Advanced Practice NursingMeeting Minutes, Agendas, and Packets of the Joint Committee of the Board of Nursing and the Board of Medical Examiners for Advanced Practice NursingIssuing Certificates of Qualification for Applicants Meeting the Statutory Qualifications for LicensureApplications for Certificate of Qualification to Practice MedicineLicensingAnnual Roster of Licensed Medical ProfessionalsServing as the Certifying Board for Medical Professionals Applying for Controlled Substance CertificatesAnnual Roster of Medical Professional Certificate HoldersInvestigating Complaints and ViolationsInvestigative Final Reports*Reviewing Articles of Incorporations of Professional Corporations Incorporated by Doctors of Medicine and Osteopathic MedicineMedical Professional Corporation Files*Maintaining Continuing Medical Education ProgramsContinuing Medical Education Program Approval Files*Treating and Rehabilitating Impaired PhysiciansPhysician Monitoring Reports*Physician Monitoring Memoranda to the Board*Administering Internal OperationsPolicies and ProceduresAdministrative Rules and RegulationsRegister of Administrative Rules*Administrative Files that Document Policy, Process, and ProcedureAnnual ReportsNewsletters of the Board of Medical ExaminersInformational and Promotional MaterialsWebsite and Social Media Site(s)*indicates records that the Alabama Board of Medical Examiners / Medical Licensure Commission of Alabama determined should be retained permanently and that ADAH anticipates will remain in the care and custody of the creating agency.ADAH staff is available to work with agency staff in determining the best location and storageconditions for the long-term care and maintenance of permanent records.Alabama Board of Medical Examiners / Medical Licensure Commission of Alabama General 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 establishes minimum retention periods and disposition instructions for those records and provides the legal authority for the Agency to implement records destruction.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 Requirements tc "Explanation of Records Requirements " \l 2The 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.Promulgating Rules and RegulationsMEETING MINUTES, AGENDAS, AND PACKETS OF THE BOARD OF MEDICAL EXAMINERS AND THE MEDICAL LICENSURE COMMISSIONDisposition: PERMANENT RECORD.Serving on the Joint Committee of the Board of Nursing and the Board of Medical Examiners for Advanced Practice NursesMEETING MINUTES, AGENDAS, AND PACKETS OF THE JOINT COMMITTEE OF THE BOARD OF NURSING AND THE BOARD OF MEDICAL EXAMINERS FOR ADVANCED PRACTICE NURSESDisposition: PERMANENT RECORD.Approved Physician Requests to Commence Collaborative PracticeDisposition: Temporary Record. Retain 5 years after termination of physician license.Denied Physician Requests to Commence Collaborative PracticeDisposition: Temporary Record. Retain 5 years after termination of physician license.Physician Notifications of Termination of Collaborative PracticeDisposition: Temporary Record. Retain 5 years after termination of physician license.Collaborative Practice Current Skills ListsCollaborative Practice Current List of Skills to be Maintained by PhysiciansDisposition: Temporary Record. Retain for a period of 10 years after the collaboration has been terminated.Collaborative Practice Current List of Skills to be Maintained by Advanced Practice Certified Registered Nurse Practitioners (CRNPs)Disposition: Temporary Record. Retain for a period of 10 years after the collaboration has been terminated.Collaborative Practice Current List of Skills to be Maintained by Advanced Practice Certified Nurse Midwives (CNMs)Disposition: Temporary Record. Retain for a period of 10 years after the collaboration has been terminated.Issuing Certificates of Qualification for Applicants Meeting the Statutory Qualifications for LicensureAPPLICATIONS FOR CERTIFICATE OF QUALIFICATION TO PRACTICE MEDICINEDisposition: PERMANENT RECORD.LicensingMedical Professional Licensure DatabaseDisposition: Temporary Record. Retain records in database for stated retentions, and other data entry fields until superseded.ANNUAL ROSTER OF LICENSED MEDICAL PROFESSIONALSDisposition: PERMANENT RECORD.Applications for Medical Professional Licensure RenewalApplications for Medical Professional Licensure Renewal (Inactive)Disposition: Temporary Record. Retain 50 years.Applications for Medical Professional Licensure Renewal (Deceased)Disposition: Temporary Record. Retain 2 years after verification of death.Applications Not Resulting in Medical Professional LicensureApplications Not Resulting in Medical Professional Licensure (Inactive)Disposition: Temporary Record. Retain 50 years.Applications Not Resulting in Medical Professional Licensure (Deceased)Disposition: Temporary Record. Retain 2 years after verification of death.Serving as the Certifying Board for Medical Professionals Applying for Controlled Substances CertificatesMedical Professional Certification DatabaseDisposition: Temporary Record. Retain records in database for stated retentions, and other data entry fields until superseded.ANNUAL ROSTER OF MEDICAL PROFESSIONAL CERTIFICATE HOLDERSDisposition: PERMANENT RECORD.Applications for Controlled Substances Certificate RenewalApplications for Controlled Substances Certificate Renewal (Inactive)Disposition: Temporary Record. Retain 50 years.Applications for Controlled Substances Certificate Renewal (Deceased)Disposition: Temporary Record. Retain 2 years after verification of death.Applications for Controlled Substances Certificates (ACSC) Not Resulting in CertificationDisposition: Temporary Record. Retain 5 years.Processing Physician Applications for Expedited Licensure Under the Interstate Medical Licensure CompactLetters of QualificationDisposition: Temporary Record. Retain until 10 years after the death of the physician.Registering Physicians Who Provide Pain Management ServicesAlabama Pain Management Registration ApplicationsDisposition: Temporary Record. Retain 2 years after verification of death.Investigating Complaints and ViolationsINVESTIGATIVE FINAL REPORTSDisposition: PERMANENT RECORD. Retain in office.Investigative Working FilesDisposition: Temporary Record. Retain 1 year after case closure.Investigative Files Resulting in Hearings, Disciplinary Actions, or Other Legal Proceedings by the Board/Commission Disposition: Temporary Record. Retain 10 years after death of medical professional.Investigative Files Not Resulting in Hearings, Disciplinary Actions, or Other Legal Proceedings by the Board/Commission Disposition: Temporary record. Retain 5 years after case closure.Reviewing Malpractice Judgments and SettlementsReports of Malpractice Judgments and SettlementsDisposition: Temporary Record. Retain 10 years.Reviewing Articles of Incorporations of Professional Corporations Incorporated by Doctors of Medicine and Osteopathic MedicineMEDICAL PROFESSIONAL CORPORATION FILESDisposition: PERMANENT RECORD. Retain in office (Alabama Administrative Code, Chapter 540-X-1-.07[L]).Maintaining Continuing Medical Education ProgramsCONTINUING MEDICAL EDUCATION PROGRAM APPROVAL FILESDisposition: PERMANENT RECORD.Approved Continuing Education Program Provider FilesDisposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the course is no longer effective.Treating and Rehabilitating Impaired PhysiciansPHYSICIAN MONITORING REPORTSDisposition: PERMANENT RECORD. Retain in office.PHYSICIAN MONITORING MEMORANDA TO THE BOARDDisposition: PERMANENT RECORD. Retain in office.Physician Monitoring Working FilesDisposition: Temporary Record. Retain 1 year after case closure.Administering Internal Operation: Managing the AgencyPOLICIES AND PROCEDURESDisposition: PERMANENT RECORD.ADMINISTRATIVE RULES AND REGULATIONSDisposition: PERMANENT RECORD.REGISTER OF ADMINISTRATIVE RULESDisposition: PERMANENT RECORD. Retain in Office (Code of Alabama 1975 § 41-22-6).Administrative Rule FilesDisposition: Temporary Record. Retain for useful life.ADMINISTRATIVE FILES THAT DOCUMENT POLICY, PROCESS, AND PROCEDURE Disposition: PERMANENT RECORD.Routine Correspondence Disposition: Temporary Record. Retain 3 years.Administrative Reference FilesDisposition: Temporary Record. Retain for useful life.Board Appointment LettersDisposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the member’s term is mission Appointment LettersDisposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the member’s term is expired.ANNUAL REPORTSDisposition: PERMANENT RECORD.NEWSLETTERS OF THE BOARD OF MEDICAL EXAMINERSDisposition: PERMANENT RMATIONAL AND PROMOTIONAL MATERIALS Disposition: PERMANENT RECORD.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 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.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.WEBSITE AND SOCIAL MEDIA SITE(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. 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.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)" Sealed Bids over $15,000Disposition: Temporary Record. Retain 7 years after the end of the fiscal year in which the bids were opened. (Code of Alabama 1975 § 41-16-24).Other Bids Disposition: Temporary Record. Retain for 10 years after the award of the contract, then destroy. 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 ResourcesPosition Classification QuestionnaireDisposition: Temporary Record. Retain 4 years after reclassification of the position. Application Materials Disposition: Temporary Record. Retain 1 year.Records documenting an employee’s work history - generally maintained as a case fileDisposition: Temporary Record. Retain 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) ClaimsDisposition: Temporary Record. Retain 6 years after separation of the employee from the agency.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 Equal Employment Opportunity Commission (EEOC) Charges of DiscriminationDisposition: Temporary Record. Retain 6 years after separation of the employee from the agency.Equal Employment Opportunity Commission Case FilesDisposition: Temporary Record. Retain 3 years.Records documenting the administration of the unemployment compensation programDisposition: Temporary Record. Retain 6 years after separation of the employee from the agency.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 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.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 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 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.Administering Internal Operations: Managing Properties, Facilities, and ResourcesSemiannual Inventory ListsDisposition: 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 (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 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.Property Inventory Cards and/or Computer FilesDisposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the items were removed from inventory.Receipts of Responsibility for PropertyDisposition: Temporary Record. Retain until return of item to property manager.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 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.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.Records documenting the use, maintenance, ownership, insurance, and disposition of vehicles owned by the agency Disposition: Temporary Record. Retain 1 year after audit for the year in which the equipment is removed from the property inventory.Records Documenting Vehicle Use/MileageDisposition: Temporary Record. Retain 1 year.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.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.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.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 year. 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 October 24, 2018.____________________________________________ ________________ Steve Murray, Chairman Date State Records Commission By signing below, the agency acknowledges receipt of the retention periods and requirements established by the records disposition authority._____________________________________________ _________________ Mark LeQuire, M.D., Acting Executive DirectorDateAlabama Board of Medical Examiners _____________________________________________ _________________ Karen Silas, Executive AssistantDateMedical Licensure Commission of Alabama ................
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