Functional and Organizational Analysis of the Alabama ...



Alabama Space Science Exhibit CommissionFunctional Analysis&Records Disposition AuthorityRevisionPresented to theState Records CommissionApril 24, 2019Table of Contents TOC \o "1-3" \h \z \u Functional and Organizational Analysis of the Alabama Space Science Exhibit Commission PAGEREF _Toc5717148 \h 3Sources of Information PAGEREF _Toc5717149 \h 3Historical Context PAGEREF _Toc5717150 \h 3Agency Organization PAGEREF _Toc5717151 \h 4Agency Function and Subfunctions PAGEREF _Toc5717152 \h 5Records Appraisal of the Alabama Space Science Exhibit Commission PAGEREF _Toc5717153 \h 7Temporary Records PAGEREF _Toc5717154 \h 7Permanent Records PAGEREF _Toc5717155 \h 8Permanent Records List PAGEREF _Toc5717156 \h 12Alabama Space Science Exhibit Commission Records Disposition Authority PAGEREF _Toc5717157 \h 13Explanation of Records Requirements PAGEREF _Toc5717158 \h 13Records Disposition Requirements PAGEREF _Toc5717159 \h 14Promulgating Rules and Regulations PAGEREF _Toc5717160 \h 14Constructing and Managing Exhibits of the Space Exploration and Defense Industries in Madison County PAGEREF _Toc5717161 \h 14Building Public Awareness PAGEREF _Toc5717162 \h 15Educating PAGEREF _Toc5717163 \h 15Administering Internal Operations: Managing the Agency PAGEREF _Toc5717164 \h 16Administering Internal Operations: Managing Finances PAGEREF _Toc5717165 \h 18Administering Internal Operations: Managing Human Resources PAGEREF _Toc5717166 \h 19Administering Internal Operations: Managing Properties, Facilities, and Resources PAGEREF _Toc5717167 \h 21Requirement and Recommendations for Implementing the Records Disposition Authority (RDA) PAGEREF _Toc5717168 \h 23Functional and Organizational Analysis of the Alabama Space Science Exhibit Commissiontc \l1 "Functional and Organizational Analysis of the Department of Conservation and Natural ResourcesSources of Informationtc \l2 "Sources of InformationRepresentatives of the Space Science Exhibit CommissionCode of Alabama 1975 § 41-9-430 through 41-9-439Code of Alabama 1975 § 41-16-12342 USC Ch. 26 § 2451 et seq.Alabama Government Manual (2006)State of Alabama Ethics Commission Advisory Opinion No. 97-94Dunar, Andrew J. “Marshall Space Flight Center.” Encyclopedia of Alabama. 12 December 2014. Accessed April 16, 2019. article/h-1047.Maloney, Christopher. “Wernher von Braun.” Encyclopedia of Alabama. 28 April 2015. Accessed April 9, 2019. .“MSFC History Office.” Marshall Space Flight Center, Huntsville, Alabama. Accessed April 9, 2019. , Greg. “Huntsville.” Encyclopedia of Alabama. 20 April 2018. Accessed April 9, 2019. , Samuel L. “John J. Sparkman.” Encyclopedia of Alabama. 21 April 2015. Accessed April 9, 2019. Contexttc \l2 "Historical ContextThe United States (US) government established the US Army missile research program in 1941 following the outbreak of World War II (WWII). The plant was located at Redstone Ordnance Plant in Huntsville, Alabama, renamed Redstone Arsenal in 1943. The Arsenal operated primarily as a chemical munitions production and stockpiling facility until 1949, when the site was selected as the location of the newly-expanded US Army Missile Research Program, later renamed the Army Ballistic Missile Agency (ABMA).The end of World War II in 1945 coincided with the commencement of Operation Paperclip, a secret program which relocated approximately 1,600 German scientists to the US. One group arrived in Huntsville in April 1950 to begin missile research and development at Redstone Arsenal. Dr. Werhner von Braun, a prominent figure in the US Space Program, came to Alabama during this time. The National Aeronautics and Space Act of 1958 (42 USC Ch. 26 § 2451 et seq.) transferred responsibility for US space exploration from the Department of Defense to the newly-created National Aeronautics and Space Administration (NASA). Redstone Arsenal transferred a tract of 1,840 acres of land and 4,670 civil service employees to the new space agency. President Dwight D. Eisenhower dedicated this installation as the George C. Marshall Space Flight Center on September 8, 1960, in honor of the late US Army General and author of the Marshall Plan (“MSFC History Office”).Marshall Space Flight Center (MSFC) provided pivotal support during the US space race. Huntsville engineers developed the Mercury-Redstone rocket which delivered astronaut Alan B. Shepherd to suborbital flight. Other achievements included the production of the Saturn V engines and the lunar roving vehicle (LRV) used during the last three moon missions (Dunar 2014).The Alabama legislature established the Alabama Space Science Exhibit Commission (ASSEC) in 1965 and empowered the commission to “provid[e] and participat[e] in the management and control of facilities to house and display such visual exhibits of space exploration and hardware used therefor as may be made available by the National Aeronautics and Space Administration” (Code of Alabama 1975 § 41-9-430).The ASSEC fulfills its statutory responsibilities through the stewardship and operation of the US Space and Rocket Center, a state-owned NASA Visitor Center and extension of the Marshall Space Flight Center. The US Space and Rocket Center has expanded its facilities over time, including the launch of Space Camp in 1982. Space Camp is NASA’s official science, technology, engineering, and mathematics (STEM) program for children. The Camp has produced more than 750,000 alumni from 120 countries since its founding, including three NASA astronauts.Agency OrganizationAccording to the Code of Alabama § 41-9-431, the Alabama Space Science Exhibit Commission “shall consist of 18 members, to be appointed by the Governor.” At least three (3) members reside in Madison County, Alabama, while the other fifteen (15) members are appointed from throughout the state. No requirement exists for a NASA or Marshall Space Flight Center (MSFC) employee to serve on the commission; however, a senior MFSC official has traditionally served since the commission’s inception in 1965. Members are expected to be knowledgeable and interested in both national defense and space exploration, as well as in the promotion of public interest in these disciplines.Members serve eight-year staggered terms and may be removed from office by the Governor for just cause. The members serve without compensation but are entitled to reimbursement for expenses as provided by law. One-half of the members constitute a quorum (Code of Alabama 1975 § 41-9-431).The commission members act as a board of directors and select a chairperson from among themselves (Code of Alabama 1975 § 41-9-431). The committee has the authority to employ an Executive Director, Chief Executive Officer, and/or additional personnel, to define their duties, and to fix their compensation.The commission has currently (as of April 2019) designated the following committees: Business Committee, Development Committee, Education Committee, Executive Committee, Visions and Plans Committee, and Space and Rocket Center Committee. All committees meet regularly.Agency Function and SubfunctionsThe mandated function of the ASSEC is to provide stewardship for the US Space and Rocket Center in Huntsville (Code of Alabama § 41-9-432). In the performance of its mandated functions, the Commission may engage in the following subfunctions:Promulgating Rules and Regulations. The Code of Alabama 1975 § 41-9-432 authorizes the commission to make any such rule and regulations the commission deems necessary to provide for the operation, management and control of the facilities in its charge.Constructing and Managing Exhibits of the Space Exploration and Defense Industries in Madison County. The legislature empowered the ASSEC to manage and control facilities to house and display “visual exhibits of space exploration and hardware” made available by NASA, along with “army weaponry and mementos of national defense” made available by the US military (Code of Alabama 1975 § 41-9-430). The facilities were required to be open to the general public and located in Madison County, Alabama. The ASSEC opened the US Space and Rocket Center pursuant to these responsibilities.Building Public Awareness. The ASSEC is empowered by statute to “develop and institute a program of promotion and advertising of the exhibits and facilities” it constructs and manages in Madison County (Code of Alabama 1975 § 41-9-436). The Commission’s promotional activities further the mission of the US Space and Rocket Center while building public awareness of national defense, space exploration, and energy issues.The ASSEC builds public awareness of these topics through public forums, service announcements, press releases, public interviews, conferences, and exhibits. The US Space and Rocket Center, Space Camp, and the Commission’s Energy and Information Exhibit Center also serves as platforms for knowledge exchange.Educating. The ASSEC conducts educational programs such as exhibits, lectures, children and adult “camps,” and other activities that support the mission of the US Space and Rocket Center. While this subfunction is related to the ASSEC’s subfunction of “Building Public Awareness,” the US Space and Rocket Center hosts more than 650,000 student visitors per year, making the facility a critical science, technology, engineering, and mathematics (STEM) educational opportunity for Alabama’s young people. tc \l2 "Administering Internal Operationstc \l3 "Administering Internal Operations. A significant portion of the Commission’s work includes general administrative, financial, and personnel activities performed to support the programmatic areas of the commission. 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 Commission 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, workers’ 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; 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 Space Science Exhibit Commissiontc \l1 "Analysis of Record Keeping System and Records Appraisal of the Department of Conservation and Natural ResourcesThe following is a discussion of the major categories of records created and/or maintained by the 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 commission are discussed below:Recordings of Meetings. The Commission is obligated under the Code of Alabama § 41-9-431 to hold an annual commission meeting at the site of the US Space and Rocket Center. Activities of the annual meeting may include a report by the CEO regarding the review of acquisitions, budget, and ongoing projects. This series consists of recordings taken at these meetings or other commission meetings and are to be retained until the official Meeting Minutes are adopted and mission Appointment Files. Per Section 41-9-431 of the Code of Alabama, the Governor appoints all members of the Commission. This records series contains all official commission appointment letters written by the Governor to newly appointed members. The retention for this series is retain 5 years after the term is expired or until audit, whichever is longer.Visitor Assessment Forms. Visitors provide the US Space and Rocket Center with feedback regarding exhibits, programs, facilities, staffing, and more. The retention of 5 years allows for administrative use.Space Camp Camper Medical Records. All children and adults attending space camp are required to have all pertinent medical records on file during their camp experience. This includes known medical conditions, immunizations, allergies, dietary restrictions and any insurance provider information. The retention for these files is based on retaining the files 5 years after the campers turn 18. As the youngest campers can be 6 years of age, the retention for these medical records is 17 years. Accident Reports. All accident reports shall be retained for any accident at the US Space and Rocket Center. This would include, but not be limited to, Space Camp accidents, any trip and fall reports, museum guest accident reports, employee accident and workers compensation reports, or any accidents with vendors on the property. The retention for these files is 6 years.Volunteer Files. These files document ASSEC use of volunteers who may serve as tour guides or docents, work in the gift shop or other facilities, or perform other tasks. The retention of 5 years allows for administrative use.Financial Loan Files. Under the Code of Alabama 1975, ASSEC is authorized to “borrow money from private sources or such other sources as may be acceptable to the Commission under such terms and conditions may be provided by law” (Code of Alabama § 41-9-432). Financial Loan Files may include information associated with bank loans, repayment, and records of loan fund expenditures. Financial Loan Files of loans under $100,000 are considered temporary and may be disposed of 5 years after the loan is closed. Loans borrowed by the Commission for sums over $100,000 are considered permanent due to their reference and historical value.Insurance Policies/Reports. The Commission maintains insurance policies through the Alabama Department of Risk Management (ADRM) and an independent insurance broker, providing coverage for property, National Flood Insurance policies, automobile and other property/artifact coverage for agency vehicles, artifacts, collections, and liability. These policies are retained 6 years after coverage ends or policy expires. Security Logs/Incident Reports. The Commission monitors the security and access of the park using security cameras and visitor logs. All records associated with the security of the park, including any incident reports are considered a temporary record. These should be retained for 6 years or until any associated incident litigation has been concluded.Permanent RecordsThe Archives Division recommends the following records as permanent.Promulgating Rules and RegulationsMeeting Minutes, Agendas, and Packets of the Commission. The minutes of the Commission provide documentation of actions of the Commission as voted on during meetings. The meeting minutes document policy and rule-making, as well as procedural changes within the agency. These records are part of the core administrative documentation of the agency. (Bibliographic Title: Meeting Files)Administrative Rules and Regulations. These rules and regulations are approved by the Commission and govern the conduct of the Commission. Combined with the policy and procedures manuals, they document the Commission’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 Alabama Space Science Exhibit Commission)Administrative Files that Document Policy, Process, and Procedure. As the Commission head, the Executive Director sets policy and procedures for the Commission and serves as a member of several boards. The correspondence that documents the activities and decisions of the Executive Director and/or the Commission, as well as other agencies should be retained permanently. This record series explicitly excludes routine correspondence and subject files, especially those essentially just serving as reference material. (Bibliographic Title: Administrative Correspondence)Policies and Procedures. Policies and procedures are designed by the agency to assist in the conduct of day-to-day operations. This series documents the role of the agency in prescribing standards and procedures for its operations. (Bibliographic Title: Policies and Procedures)Constructing and Managing Exhibits of the Space Exploration and Defense Industries in Madison County Center Building Plans and Specifications. The Commission is charged with the responsibility of establishing, building, and maintaining the US Space and Rocket Center (AL Code 41-9-432). This series includes building plans and specification drawings related to projects in support of this mandate. (Bibliographic Title: Not Applicable) (Maintained by the Alabama Space Science Exhibit Commission)Museum Archives and Exhibit Catalog and Files. The US Space and Rocket Center collects manuscripts and objects for research, education, and public display. The files serve as control files and may contain detailed information about the origins and history of these items. Under the Code of Alabama 1975, the Commission is mandated to build a collection of artifacts relating to “space exploration and hardware used therefor as may be made available by the National Aeronautics and Space Administration” (AL Code 41-9-430) as well as “army weaponry and mementos of defense” (AL Code 41-9-430). Collection artifacts include exhibits relating to the history of the American space program (particularly those relating to human spaceflight and the activities of Marshall Space Flight Center), exhibits relating to the history of the US Army’s Redstone Arsenal and exhibits relating to the generation through developmental technologies. (Bibliographic Title: Not Applicable) (Maintained by the Alabama Space Science Exhibit Commission)Artifact Loan Agreements and Files. The US Space and Rocket Center borrows artifacts and materials from other agencies and individuals for display. Records under this series contain items that have been loaned to the US Space and Rocket Center for display but have not been given as gifts or donations. These files can include information about items on loan from private collections and other institutions such as the US Army. These records are held and accounted for by the curatorial department and are to be retained as an ongoing record of the collections, exhibits, and artifacts featured at the Center. (Bibliographic Title: Not Applicable) (Maintained by the Alabama Space Science Exhibit Commission)Building Public AwarenessRepresentational Final Version of Informational and Promotional Materials. The ASSEC’s mission is to promote the US Space and Rocket Center as well as space exploration and national defense. The Commission produces promotional reports and materials (print, audio, and digital) to fulfill this mission. The Commission also possesses records associated with various advertisement campaigns. This series may also include newsletters, press releases, and photographs that document the Commission’s programs. (Bibliographic Title: Publicity Files)Educating Representational Final Version of Educational Publications. The US Space and Rocket Center produces printed educational publications such as lesson plans, student activities, teacher activities, handouts, and more that serve the Center’s mission. The Center also produces films, photography, and other digital media to deliver their education programs. (Bibliographic Title: Educational Publications)Educational Program Assessment Reports. The US Space and Rocket Center collects assessments from visitors. These assessment forms are used to create reports that include suggested improvement and action plans. (Bibliographic Title: Educational Program Assessment Reports)Educational Program Final Grant Submissions for Successful Grant Reports. The US Space and Rocket Center regularly applies for and accepts external grant funding (Code of Alabama § 41-9-432). The US Space and Rocket Center routinely applies for grant funding to supplement their educational programs. When a grant has been completed, the Center then submits a final report to the grant funding agency. (Bibliographic Title: Grant Files)Administering Internal OperationsAnnual Reports. Annual reports provide the best summary documentation of the Commission. Many times, information is found only in the annual reports. The Commission annual report does not always include all the details found in the division and section reports; as such, this record series includes but is not limited to Commission annual reports, division annual reports, and section annual reports. These details are important for documentation of the activities of the Commission. (Bibliographic Title: State Publications)Website(s) and Social Media Sites(s). The Commission has a website at . Information on the website includes information on the Commission history, list of Executive Directors, artifact information, events, and information for school field trips and visitors. The Commission also maintains a Facebook page. 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 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])Financial Loan Files over $100,000. Under the Code of Alabama 1975, ASSEC is authorized to “borrow money from private sources or such other sources as may be acceptable to the Commission under such terms and conditions may be provided by law” (Code of Alabama 1975 § 41-9-432). Financial loan files may include information associated with bank loans, repayment, and records of loan fund expenditures. Loans borrowed for sums over $100,000 are considered permanent due to their reference and historical value. Note: Financial loan files for loans issued to the Commission for sums under $100,000 are considered temporary records. (Bibliographic Title: Loan Files)Permanent Records ListAlabama Space Science Exhibit Commissiontc \l2 "Permanent Records ListPromulgating Rules and RegulationsMeeting Minutes, Agendas, and Packets of the CommissionPolicies and ProceduresAdministrative Rules and RegulationsRegister of Administrative RulesAdministrative Files that Document Policy, Process, and ProcedureConstructing and Managing Exhibits of the Space Exploration and Defense Industries in Madison CountyCenter Building Plans and SpecificationsMuseum Archives and Exhibit Catalog and FilesArtifact Loan Agreements and FilesBuilding Public AwarenessRepresentational Final Version of Informational and Promotional MaterialsEducatingRepresentational Final Version of Educational PublicationsEducational Program Assessment ReportsEducational Program Final Grant Submissions for Successful Grant ReportsAdministering Internal OperationsAnnual ReportsWebsite(s) and Social Media Sites(s)Financial Loan Files over $100,000Alabama Space Science Exhibit Commission Records Disposition Authoritytc \l1 "Department of Conservation and Natural Resources 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 Regulationstc \l3 "Promulgating Rules and RegulationsMEETING MINUTES, AGENDAS, AND PACKETS OF THE COMMISSIONDisposition: PERMANENT RECORD.Recordings of MeetingsDisposition: Temporary Record. Retain until the official minutes are adopted and signed.POLICIES AND PROCEDURESDisposition: PERMANENT RECORD.Procedural and Other Manuals for Financial and Human Resources ManagementDisposition: Temporary Record. Retain 1 year after the audit for the fiscal year in which the manuals were superseded.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 OF THE EXECUTIVE DIRECTOR THAT DOCUMENT POLICY, PROCESS, AND PROCEDURESDisposition: PERMANENT RECORD.Constructing and Managing Exhibits of the Space Exploration and Defense Industries in Madison CountyCENTER BUILDING PLANS AND SPECIFICATIONSDisposition: PERMANENT RECORD.MUSEUM ARCHIVES AND EXHIBIT CATALOG AND FILESDisposition: PERMANENT RECORD.ARTIFACT LOAN AGREEMENTS AND FILESDisposition: PERMANENT RECORD.Building Public AwarenessInformational and Promotional MaterialsREPRESENTATIONAL FINAL VERSION OF INFORMATIONAL AND PROMOTIONAL MATERIALSDisposition: PERMANENT RECORD.Alternate Versions of Information and Promotional Materials with Insignificant VariationsDisposition: Temporary Record. Retain 3 years.Working Files for Informational and Promotional MaterialsDisposition: Temporary Record. Retain for useful life.Educatingtc \l3 "EducatingEDUCATIONAL PUBLICATIONSDisposition: PERMANENT RECORD.Educational PublicationsREPRESENTATIONAL FINAL VERSION OF EDUCATIONAL PUBLICATIONSDisposition: PERMANENT RECORD.Alternate Versions of Educational Publications with Insignificant VariationsDisposition: Temporary Record. Retain 3 years.Working Files for Educational PublicationsDisposition: Temporary Record. Retain for useful life.EDUCATIONAL PROGRAM ASSESSMENT REPORTSDisposition: PERMANENT RECORD.Museum Visitor Tour and Attendance 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.Visitor Assessment FormsDisposition: Temporary Record. Retain 5 years.Space Camper Application and Attendance PacketsDisposition: Temporary Record. Retain 5 years.Space Camper Medical RecordsDisposition: Temporary Records. Retain 17 years.Accident ReportsDisposition: Temporary Record. Retain 6 years.Museum Gift Shop Operational 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.Grant Project FilesEDUCATIONAL PROGRAM FINAL GRANT SUBMISSIONS FOR SUCCESSFUL GRANT REPORTSDisposition: PERMANENT RECORD.Other Grant RecordsDisposition: Temporary Record. Retain 10 years after submission of final report.Unsuccessful Grant Application SubmissionsDisposition: Temporary Record. Retain 5 years.Volunteer FilesDisposition: Temporary Record. Retain 5 years.Administering Internal Operationstc \l3 "Administering Internal Operations: Managing the AgencyANNUAL REPORTSDisposition: PERMANENT RECORD.Routine CorrespondenceDisposition: Temporary Record. Retain 3 years.Administrative Reference FilesDisposition: Temporary Record. Retain for useful mission Appointment FilesDisposition: Temporary Record. Retain 5 years after the term is expired or until audit, whichever is mission Member FilesDisposition: Temporary Record. Retain 1 year after audit after the end of the fiscal year in which the term expires.Requests for InformationDisposition: Temporary Record. Retain 5 years.Activity ReportsDisposition: Temporary Record. Retain 5 years.Legal Case FilesDisposition: Temporary Record. Retain 6 years after the case is closed. 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 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.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.Financial Loan FilesFINANCIAL LOAN FILES (For loans containing sums over $100,000)Disposition: PERMANENT RECORD.Financial Loan Files (for loans containing sums under $100,000)Disposition: Temporary Record. Retain 5 years after the closure of the loan.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)" 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 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.Administering Internal Operations: Managing Properties, Facilities, and ResourcesSemiannual Inventory ListsDisposition: Temporary Record. Retain 1 year after compliance or financial audit (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.Property Inventory Cards and/or Computer FilesDisposition: Temporary Record. Retain 1 year after audit.Property Inventory AffidavitsDisposition: Temporary Record. Retain 1 year after compliance or financial audit.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.Motor Pool Vehicle Use RecordsDisposition: Temporary Record. Retain 1 year after compliance or financial audit.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 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.Records Documenting Vehicle Use/MileageDisposition: 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 April 24, 2019.____________________________________________ ________________ 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._____________________________________________ _________________ Deborah Barnhart, Chief Executive Officer Date Alabama Space and Science Exhibit Commission ................
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