Functional Analysis and Records Appraisal of the State Board of Education/State Department of Education

Sources of Information

State Department of Education, Records and Retention Committee members

Curt Cronin, Committee Chair, Information System Services

Don Chapman, DDS Supervisor, Disability Determination Services (DDS)

Jeanette Williams, Legal Assistant, Office of General Counsel

Walt Chambers, General Services Supervisor, SDE Purchasing

Betty Blankenship, SDE Accounting

Richard Harbin, LEA Accounting

Marian Wood, Education Specialist, Classroom Improvement

A.J. Townsend, Education Specialist, Federal Programs

Emily Graham, Administrative Support Coordinator, Special Education

Russell Chandler, Coordinator Non-School Program, Child Nutrition Program

Don Pate, Manager, Information System Services

George Martin, Director, Career and Technical Education

Mary Tindell, Career and Technical Education

Barbara Larson, Teacher Testing Specialist, Teacher Education and Certification

Dottie DeMars, Assessment

Other Department staff:

Sharon Fox, Administrator, LEA Assistance Team

Judy Atchison, Secretary to the State Board of Education

Nell Reynolds, Secretary to the State Superintendent of Education

Lynell Mosley, Secretary to the Special Assistant to the State Superintendent

Beverly Davis, Secretary to the Deputy State Superintendent Division of Instructional Services

Kathy Holt, Secretary to the Deputy State Superintendent Division of Administrative and Financial Services

Barbara Fannin, Coordinator, Information & Communications

Robert Morton, LEA Assistance Teams Coordinator

Mary Chandler, Secretary to the LEA Assistance Teams 5,6

Cindy Colquitt, Secretary to the LEA Assistance Teams 3,4

Ellen Duncan, Secretary to the LEA Assistance Teams 1,2

Elaine Kirkpatrick, Division Secretary, Division of Administrative and Financial Services

Louis McCurry, Systems Administrator, Division of Computer Services

Martha Lewis, Secretary to the Transportation Office

Bill Crews, Coordinator, Student Transportation

Bettie Jenkins, Administrative Assistant to the School Architect

Nancy Dailey, Secretary to the School Facilities Office

Karen Benefield, Secretary to the State Textbooks Office

Ann Jones, Coordinator for the State Textbook Committee

Bonnie Paulk, Adult and Community Education

Brenda Yates, Adult and Community Education

Naomi Scales, Adult and Community Education

Lori Coleman, Adult and Community Education

Vera Guettler, SDE Accounting

Code of Alabama 1975, Sections 16-1-1 through 16-60-221

Alabama Administrative Code

Alabama Government Manual (1994)

Constitution of 1901, Article V, Sections 114, 116, 118, 132; Article XIV, Sections 256-270; and Amendment 284

7 Code of Federal Regulations (CFR) Parts 210 - 275

34 Code of Federal Regulations (CFR) Parts 74 - 690

45 Code of Federal Regulations (CFR) Part 400

State Department of Education, Bulletin 1995-No.2, Annual Report (1995)

State Department of Education, Bulletin 1994-No.2, Annual Report (1994)

State Department of Education, Bulletin 1993-No.2, Annual Report (1993)

State Department of Education, Bulletin 1992-No.2, Annual Report (1992)

State Department of Education, Bulletin 1990-No.2, Annual Report (1990)

State Department of Education, Bulletin 1975-No. 7, History of Education in Alabama (1975)

State Department of Education, Finding a Better Way in Education, Superintendent's Report for 1993-1994

"Board Briefs" (Oct. 10, 1996 and Jan. 9, 1997)

Alabama Education News, Vol. 20, No.s 1-4 (Nov. 1996 - Jan. 1997)

Harvey, Ira. A History of Educational Finance in Alabama. Auburn University: The Truman Pierce Institute of the Advancement of Teacher Education, 1989.

Disability Determination Services (DDS) Fiscal and Administrative Manual, 1989.

Britnell v. Alabama State Board of Education, 374 So.2d 282 (Ala. 1979)

Holdings of the Department of Archives and History for the State Department of Education

Government Records Division, State Agency Files (1985-ongoing)

State Board of Education: The State Board of Education, created in 1919, determines policies for public education in the state of Alabama. Eight members, elected from districts, and the governor make up the State Board of Education. The governor serves as the president and the vice president is elected by the members. The members of the board serve four-year terms and must be qualified voters of the district they represent.

The State Board of Education also constitutes the controlling authority for the Alabama junior, community, and technical colleges, and for Athens State College. On recommendations of the Department of Postsecondary Education, and the Chancellor, the board makes rules and regulations for the government of each such school, prescribes the courses of study to be offered, and the conditions for granting certificates, diplomas and/or degrees. The board also appoints the president of each college, prescribes qualifications and tenure requirements for faculty, and establishes salary schedules.

The state superintendent of education, who is appointed by and serves at the pleasure of the board, is secretary and executive officer of the board for the public K-12 schools. The chancellor of the Department of Postsecondary Education serves as secretary to the board and as executive for overseeing junior and technical colleges, and Athens State College.

Superintendent of Education: The State Board of Education contracts with an individual to serve as the state superintendent of education. The state superintendent is Alabama's chief state school officer and, as such, has general control and supervision over the state's K-12 public schools. The State Board of Education determines the authority and duties of the state superintendent, subject to any regulations prescribed by the Alabama Legislature. The superintendent is responsible for administering public education as provided by the Constitution of Alabama, statutory enactments and policies set by the board; and administration and supervision of the State Department of Education.

The Constitution of 1901, Article V, establishes the state superintendent of education within the executive department as an elected official. Amendment 284 to the Constitution ratified in December 1969, excluded the office from the executive department and vested in the State Board of Education the general supervision of the public schools in Alabama and the authority to determine the duties of the superintendent.

State Department of Education: The State Department of Education, as mandated by Code of Alabama 1975, Section 16-2-2, executes educational policy for the K-12 schools of the state as determined by the State Board of Education and authorized by law. Currently, the State Department of Education is organized into two divisions--Administration and Finance, and Instructional Services--and two offices--Special Assistant to the Superintendent and Office of the General Counsel.

The State Department of Education serves as the agency responsible for reviewing and determining the eligibility of claims for Social Security disability insurance and Supplemental Security Income benefits. The Disability Determination Service (DDS), with offices in Birmingham and Mobile, operates in compliance with the regulations of the Social Security Administration. The programmatic areas of DDS are virtually independent of the department but the adminstrative support operations (financial management, human resources management, and property management) are coordinated through the department's accounting, purchasing, and personnel areas.

Agency Function

The mandated function of the State Board of Education is to establish policies, prescribe minimum course content and exercise general control and supervision over the public elementary and secondary schools. The State Board of Education is one of the agencies responsible for carrying out the Policy and Statute Development function, the Regulatory function, and the Financial Management subcategory of the Administrative Support Operations function of Alabama government. Records documenting the activities of the board are maintained by the State Department of Education.

The State Department of Education executes the educational policies of the Board, monitors and regulates the school systems, and performs the direct service of educating the children of the state. The State Department of Education is one of the agencies responsible for carrying out both the Regulatory function and the Health and Social Services and Education subcategories of the Client Services function of Alabama government.

Agency Subfunctions

In performance of its mandated functions, the State Department of Education may engage in the following subfunctions.

• Serving as secretary to the Board of Education, the Alabama Education Foundation, and the State Courses of Study Committee. The state superintendent of education, as mandated by Code of Alabama 1975, Section 16-3-2, serves as secretary and chief executive officer of the State Board of Education. The board secretary, a staff position within the superintendent's office, is responsible for maintaining the Meeting Files and Minutes of the State Board of Education.

The superintendent also serves as secretary of the board of trustees for the Alabama Education Foundation (Code of Alabama 1975, Section 16-26C-5). The foundation is a corporation composed of the governor, speaker of the House of Representatives, lieutenant governor, and the state superintendent of education, and is governed by a twelve member board of trustees. The foundation seeks to encourage and promote private giving, the creation of perpetual trusts, and the investment of funds in order to support the K-12 education.

The Alabama Education Foundation, authorized in 1995 by Code of Alabama 1975, Section 16-29C-5, is managed by the Retirement Systems of Alabama. This foundation, registered as a corporation with the Office of the Secretary of State, accepts private funds for the establishment of a perpetual trust for education. The department provided the initial seed money for the trust from its regular appropriations. Record keeping for the trust is in its beginning stages and many of the reporting requirements have yet to be firmly established. As the program and the trust itself grow, we will assess the retention requirements for the records.

The State Superintendent of Education serves as the executive secretary for the State Courses of Study Committee, (Code of Alabama 1975, 16-35-1 through 5) which conducts continuing studies and evaluations of the courses taught in K-12 education. It prepares the contents of the courses of study for each grade and prepares a written recommendation for presentation to the State Board of Education for action on the minimum contents of courses of study and the maximum number of compulsory courses for each grade.

• Administering Public Education. The state superintendent is Alabama's chief state school officer and, as such, has general control and supervision over the state's K-12 public schools. The superintendent is responsible for administering public education by reviewing the actions of the county and city boards of education, recommending regulations and procedures to the Board of Education for the administration of public education in the state, carrying out the review and examination of local education agencies (LEAs) for compliance with education accountability statutes, and overseeing the operations of the department (Constitution of 1901 Amendment 284 and Code of Alabama 1975, Section 16-4-4 through 21).
• Serving on boards, commissions, etc. The state superintendent represents the State Board of Education and the State Department of Education on several boards and commissions within state government. By virtue of office, the state superintendent is an ex officio member of the boards of trustees of all state special schools, state corrective schools, and all state public universities except Alabama Agricultural and Mechanical University and Alabama State University. The state superintendent is also a member of the Alabama Public School and College Authority (Code of Alabama 1975, Section 16-16-6), Building Commission (Code of Alabama 1975, Section 41-9-140), Teachers' Retirement System Board of Control (Code of Alabama 1975, Section 16-25-19), Youth Services Board (Code of Alabama 1975, Section 44-1-51), Alabama Council on Family and Children (Code of Alabama 1975, Section 16-1-16.1), Alabama Education Foundation (Code of Alabama 1975, Section 16-25C-5), and the Board of the Stonewall Jackson Memorial Fund (Code of Alabama 1975, Section 16-32-2).
• Approving policies, regulations and guidelines. Upon recommendation by the superintendent and the department, the board considers and adopts policies, rules, and regulations for the construction of school buildings (Code of Alabama 1975, Section 16-4-10), the maintenance of healthy (sanitary) conditions within the schools (Code of Alabama 1975, Section 16-4-13), the operation and purchase of school buses (AAC 290-020-040 and Code of Alabama 1975, Section 16-27-1), the implementation of standardized grading and instruction of students (Code of Alabama 1975, Sections 16-3-14 and 16-4-14), the development of vocational education programs (Code of Alabama 1975, Section 16-4-17), the training and certification of teachers for employment in Alabama (Code of Alabama 1975, Section 16-3-16.1), and the identification of educational needs statewide (Code of Alabama 1975, Sections 16-3-22 and 16-4-20). The power of the board to adopt rules, and regulations is cited in Code of Alabama 1975, Section 16-3-13.
• Appointing. The state superintendent appoints two members to the State Tenure Commission (Code of Alabama 1975, Section 16-24-31)--one member who is a county or city superintendent of education and one member who is currently employed as a certified principal or certified supervisor. The state superintendent, with the approval of the State Board of Education (Code of Alabama 1975, Section 16-2-7), may appoint deputy state superintendents, assistant state superintendents, and other employees to oversee departmental work.
• Reporting and publicizing. Code of Alabama 1975, Section 16-3-21 requires the State Board of Education to submit an annual report to the Governor covering all operations of the department and the support, conditions, progress and needs of K-12 education in the state. A separate report for the board is required under the Code of Alabama 1975, Section 16-4-18. This section requires the submission to the board by the state superintendent of an annual report on the condition of education in the state. Beyond the requirements for annual reporting, the Code of Alabama mandates the conduct of a decennial census of schools (Code of Alabama 1975, Section 16-4-15).

Code of Alabama 1975, Section 16-4-7 requires the state superintendent to prepare and publish the school laws of the state, the rules and regulations of the State Board of Education, and other pamphlets and publications that will stimulate the public interest, promote the work of education and foster in teachers professional insight and efficiency. The State Department of Education, as authorized by Code of Alabama 1975, Section 16-2-4, publishes three series of publications: a monthly circular of information, a series of bulletins that contain collected information on studies made by different divisions of the department, and an annual report.

The provisions of the Code are satisfied by the publication of the Alabama Education News, the Board Briefs, the annual statistical report, and various other informational brochures distributed throughout the state. News releases of the department and the board also serve to document this activity.

• Administering U. S. Department of Education funded programs. The State Department of Education receives federal funding from the U.S. Department of Education under the Elementary and Secondary Education Act (ESEA) as amended by the Improving Americas Schools Act (IASA) which it manages and distributes to the local boards of education. The IASA Title I Program is a federally funded compensatory program directed at improving education for educationally disadvantaged children. The Even Start Program and the Migrant Education Program are two examples of IASA Title I funding efforts. The IASA Title VI Program provides initial funding to allow state and local educational agencies to implement innovative educational programs. The IASA Title II Program, or the Eisenhower Professional Development Program, provides states with financial assistance to strengthen the economic competitiveness of the U.S. by improving the skills of teachers. The Individuals with Disabilities Education Act, Part B, provides funding for the implementation of educational programs for the disabled. The State Department of Education coordinates the provisions of these federal programs by: providing leadership and guidance in the administration and development of educational programs; administering and distributing federal and state funds; preparing and issuing policies and procedures handbooks; and, monitoring compliance with federal minimum standards established by the U.S. Department of Education in 34 Code of Federal Regulations (CFR) Parts 74, 76, 77, 79, and 80.
• Administering U. S. Department of Agriculture funded programs. The State Department of Education provides nutritional foods to adults and school children through the receipt and disbursement of grants from the U.S. Department of Agriculture. The National School Lunch/School Breakfast Program is a federally assisted meal program that provides balanced, low-cost or free breakfasts and lunches to Alabama's K-12 students. The U.S. Department of Agriculture also funds child and adult day care centers and family day care homes sponsored by private non-profit organizations or Title XX organizations to provide nutritious meals and snacks to eligible participants through the Child and Adult Care Food Program. The Temporary Food Assistance Program (TEFAP) and the Food Distribution Program distribute surplus food and price-supported agricultural commodities to low income and disadvantaged families. The Summer Feeding Service and Special School Milk Programs provide meals, snacks, and dairy products to children in needy areas through food service sponsors when school is not in session. The State Department of Education coordinates the provisions of these federal programs by: providing leadership and guidance in the administration and development of child nutrition programs; administering and distributing federal and state funds; preparing and issuing a policies and procedures handbook on child nutrition programs; monitoring compliance with federal minimum standards established by the U.S. Department of Agriculture in 7 Code of Federal Regulations (CFR) Parts 210, 215, 220, 225, 226, 227, 235, 240, 245, 250, and 252; monitoring compliance with state law and rules of the State Board of Education; providing training at the local school level; establishing and maintaining food service vendor contracts for purchase of food commodities; and, establishing and maintaining contracts for storage and transportation of USDA donated commodities. The department monitors compliance with federal and state rules through the conduct of program audits and on-site evaluations. On-site evaluations are conducted within local school systems, commercial commodity warehouses, and food distributors. (Code of Alabama 1975, Sections 16-3-11 and 12, and AAC 290-080-030) (Child Nutrition Act Public Law 89-642 and amendments) (National School Lunch Act Public Law 79-396 and amendments)

• Monitoring local education agencies for their financial accountability. Title 16, Chapter 6B of the Code of Alabama 1975, establishes a program of fiscal accountability with public K-12 education. The state superintendent and the State Department of Education monitor this accountability by analyzing annual budgets and financial statements, conducting audits in order to assess financial stability, and if fiscally unsound, providing budgetary assistance, advising in the day-to-day operations of the local board of education, or appointing a chief financial officer to manage the fiscal operations of the local board of education.
• Assisting at-risk children and local education agencies. Title 16, Chapter 6B of the Code of Alabama 1975, the Education Accountability Plan, requires the State Board of Education to establish specific levels of student achievement and provides for the identification of at-risk children and for a program of assistance to schools and school systems managing these children. At-risk children are those children performing below the standards established by the board and one or more grade levels behind the national average. Schools and school systems with at-risk children must provide needed tutoring and enforcement of truancy laws, create alternative or disciplinary schools to provide counseling and instruction, encourage parental involvement in at-risk children's education, and encourage literacy of parents with at-risk children. The schools determine how to address the problem of low achievement through a process of self-study and examination. If, within two years, the school or school system has shown no improvement, the state superintendent designates a team of professionals to work with the school in the solution of its problems. As a final step, the state superintendent may intervene and assume direct management or appoint an individual(s) to run the day-to-day operations of the school. (Code of Alabama 1975, Section 16-6B-1 through 3)

School and school systems may be released from state intervention only when the conditions improve to an acceptable level. At such time, the local board of education may petition the board by showing acceptable improvement.

• Selecting textbooks. The State Board of Education appoints a twenty-three member State Textbook Committee to consider and recommend the textbooks used in public K-12 schools. The State Textbook Committee reviews sample textbooks submitted to the State Department of Education by publishers bidding on the state textbook contract. The committee holds public hearings to discuss the merits of the books and reports its findings plus a proposed list of textbooks to the State Board of Education for review and approval. The board has final approval over the list of approved texts and the establishment of a statewide textbook contract. Where possible, the committee selects at least six books for usage for each subject in each grade. The local textbook selection committees review and consider these books in order to select the individual texts to be used in each school system. (Code of Alabama 1975, Sections 16-36-1 through 6 )

• Developing curricula. In response to Code of Alabama 1975, Section 16-6B-1 and 2, the State Board of Education establishes a core curricula for public K-12 schools that meet the requirements codified by the legislature. These core curricula form part of the courses of study that are regularly evaluated and recommended to the board by the State Courses of Study Committee. The State Department of Education coordinates activities in the development of core curricula and their inclusion in the courses of study.

• Assessing student achievement. In order to evaluate student achievement for the purposes of educational accountability, the board has established a unified, coordinated, statewide testing program. The department administers a standardized national achievement test and high school graduation examination. These tests establish a student's competency in various subjects, including reading, math, language, science, social science, and measures that competency against the standards established by the board or against national standards. The results of these tests are used to adjust core curricula and monitor student achievement improvements on the state and national levels. The department also monitors test administration procedures to ensure adherence to standardized testing conditions and to ensure security for the tests and test results to protect and provide accurate testing data.

• Supporting the delivery of special education services. In order to enhance the opportunities for exceptional students in achieving their potential, the department provides leadership to local school systems in the delivery of special education services. The department serves students ages 3-21 who are classified as hearing or visually impaired, multi disabled, deaf/blind, orthopedically impaired, other health impaired, emotionally conflicted, mentally retarded, speech and language impaired, specific learning disabled, autistic and traumatically brain injured. Gifted students also participate in these programs. The responsibilities of the department include establishing guidelines and policies; monitoring programs and other selected agencies for legal compliance; managing state and federal funds; supporting the development and implementation of quality programs; providing technical assistance; writing grants; developing and disseminating appropriate materials; and collaborating with various organizations, including higher education and advocacy groups. To meet the needs of those youth with disabilities residing in correctional facilities, the department provides services in cooperation with the Department of Corrections and J.F. Ingram State Technical College.

• Coordinating career and technical education opportunities. Also known as vocational education, career and technical education involves training at the high school level in a variety of specialized fields. The department coordinates the financing of vocational education in high schools with federal, state, and local funds, and the approval of these programs by the State Board of Education. (AAC 290-060-020 and 030) The department also provides coordination in the development and implementation of policies and rules; the development and submission of a state plan and the performance report for vocational education; and the development and submission of other required federal financial reports. (AAC 290-060-030-.02 and .04) An annual report to the Governor listing vocational education programs and detailing expenditures of federal and state monies is required by Code of Alabama 1975, Section 16-37-6.

• Administering the education of adults and the community. The State Department of Education has exercised statutory responsibility for administering adult education programs for adults with skills and credentials at or below the high school level since 1940 (Code of Alabama 1975, Sections 16-10-11 and 16-34-4). Adult education program offerings include basic education; GED preparation and testing; GED on Alabama Public Television; English as a second language; commercial drivers license, family literacy, workplace education, homeless adult education, and corrections literacy programs. Besides literacy, many programs include life-coping and/or basic skills instruction as part of their curricula. Public/private funding partnerships, federal grants, and state appropriations fund the programs. In cooperation with the State Department of Education, classes are offered through programs sponsored by the Job Training Partnership Act, Job Opportunities and Basic Skills, the Department of Corrections, and the Department of Postsecondary Education.

The concept of full use of school facilities is central to community education. Most programs use school facilities after regular school hours, during the week, or in the summer. Community education is a voluntary program with LEAs choosing to participate. Examples of community education programs include adult computer courses and exercise classes that make use of school facilities and the extended day programs offered by many schools to the benefit of working parents.

• Overseeing the construction and maintaining an inventory of all school facilities. The Code of Alabama 1975, Section 16-4-21 requires the state superintendent to conduct and maintain a continuous inventory of all school buildings and sites and to assist in the construction of school buildings by studying school needs and reviewing building plans. This inventory is maintained as a computerized database that is purged of inactive or incorrect data on an annual basis. The state school architect maintains building plans during construction and works with local school officials to ensure compliance with all applicable state laws. The school architect also administers Public School and College Authority (PSCA) bond monies for capital improvement projects in the school systems and for school improvements funded by Public Educational Building Authorities (Code of Alabama 1975, Section 16-18-1). Only after obtaining the approval of the state superintendent and the state school architect may construction begin (AAC 290-020-020-.03 (7c)). Building plans, specifications, and schematics are also submitted to the Building Commission for review and approval (Code of Alabama 1975, Section 41-9-141 and 171).
• Certifying teachers. Code of Alabama 1975, Section 16-23-1 provides for the certification of each person who serves as a teacher or in an instructional support position with the public and private schools of the state, or who serves as a private tutor. An individual must submit an application packet for review by the department's teacher certification staff when seeking certification for pre-school through twelfth grade. Certificates are issued at the Class B (bachelor's degree), Class A (master's degree), and Class AA (sixth-year) levels. Actions taken in regard to certification include the initial issuance, continuance, reinstatement, or revocation of a teacher's certificate. Certificates may be revoked, rendering the individual unable to teach within Alabama schools for immoral conduct, unbecoming or indecent behavior under authority of Code of Alabama 1975, Section 16-23-5.
• Educating and testing teachers. In order to ensure that teachers are prepared for their various duties, the state provides educational programs which take into account the spectrum of interests, abilities, and talents found in the school population. (AAC 290-030-030-.03 (1a)) Teachers participate in educational programs as undergraduates, as graduates, and as post-graduate candidates preparing to become teachers or seeking to specialize in a field or major area. The State Board of Education also provides alternative programs for individuals who want to become teachers and who meet certain criteria. All teacher education programs must meet the criteria determined by the State Board of Education. (Code of Alabama 1975, Section 16-23-14) The State Board of Education mandates that all proposed teacher education programs be reviewed on a five year cycle by a team of specialists appointed by the state superintendent. No teacher education program may be implemented prior to this review.

The department oversees the administration of the Alabama Basic Skills Test of the Content Mastery Examinations for Educators which serves as an admission test for teacher education programs. Activities include developing and updating testing administration procedures, conducting local bias and content validity studies, and conducting psychometric analyses as part of the ongoing studies designed to strengthen admission standards to teacher education programs.

Prior to July 1988, certification applicants were required to pass the appropriate test(s) of the Alabama Initial Teacher Certification Testing Program. A court suit initiated in 1981, Allen v. the State Board of Education (CV81 697N), resulted in a settlement agreement in 1987 that included provisions for redevelopment of the certification testing program. Because of a lack of funding, the Alabama Initial Teacher Certification Testing Program was suspended by the State Board of Education on July 12, 1988.

The department provides a placement service to comply with Code of Alabama 1975, Section 16-23-6. The department disseminates information about Alabama teaching and administrative vacancies to job hunters both within and outside the state, vacancy notices are sent to these individuals based on their teaching fields and other information indicated on a short questionnaire. For those who are interested in teaching, but have not completed a teacher education program, a special packet is sent including information about alternative certification programs, teacher certification, salaries and general information relating to education in Alabama.

• Providing for the development of professional staff. Departmental professional staff must participate in continuing education, including inservice education and professional development institutes, workshops, and training sessions. All professional development opportunities must meet the requirements of the State Board of Education, Southern Association of Colleges and Schools, and local education agencies. The department develops and approves professional development programs and evaluates their performance to determine costs, levels of participation, and value of the programs.

• Serving as the state approving agency for G.I. education benefits. The state approving agency, a federally funded program of the Department of Veterans Affairs, serves as the link between veterans and their education and training. The department, through this program, prevents abuses and promotes quality in veterans' education by evaluating and monitoring education and training programs. The department determines which institutions, training establishments and programs are appropriate for education under the G.I. Bill and provides a deterrent to individuals and institutions that desire to exploit the student for financial gain.

• Certifying school bus drivers and mechanics and conducting school bus safety inspections. The State Department of Education certifies school bus drivers and mechanics and conducts school bus safety inspections in accordance with state and federal law. As part of this subfunction, the department provides qualified instructors for driver training, designs written certification examinations, provides representatives for performance tests, and provides qualified inspectors for school bus equipment inspections. (AAC 290-020-040-.04 and Code of Alabama 1975, Sections 16-27-1 through 7) The department maintains certification and training files and issues procedural regulations in the Alabama Administrative Code to document this process. The department also maintains school bus accident reports (AAC 290-020-040-.07) .

• Licensing private schools. The Code of Alabama 1975, Section 16-46-5 establishes a program for the licensure of private schools prior to their operating within the state. Seminaries, schools associated with a religion or denomination, and schools meeting the criteria set out in Code of Alabama 1975, Section 16-46-3, are exempted from licensure. Schools wishing to operate within the state must submit an application packet and certificate of existence to the department. The department reviews the application, conducts an onsite evaluation of the school, and reviews the financial stability of the school prior to awarding the license. Licenses are renewed on an annual basis upon the completion of an annual review by the department.

• Accrediting public schools. The Alabama Performance-Based Accreditation System originated in July 1988 by State Board of Education resolution mandating the implementation of an accreditation system to be composed of specific guidelines and minimum performance levels. Budget restrictions and a refocussing of educational programs at the state level resulted in the suspension of the program in 1995. The public schools of Alabama have always participated in the Southern Association of Colleges and Schools (SACS) accreditation program. The suspension of the school accreditation program eliminated duplicate processes for accreditation at both the state and regional levels.

• Maintaining the records of defunct schools. Code of Alabama 1975, Section 16-46-3 (9e) makes provision for the continued maintenance and accessibility of the records of private schools that have ceased to operate in the state. If no administering authority or franchise of the school exists to maintain the records, the school must deposit all student academic, attendance, and financial aid records with the city or county superintendent or the State Department of Education in order to provide for their continued preservation. Postsecondary institutions meeting the same requirements must also deposit their records with the department.

• Administering the Disability Determination Program. The State Department of Education is the agency responsible for reviewing and determining the eligibility of claims for Social Security disability insurance and Supplemental Security Income benefits through the Disability Determination Services (DDS) office. This determination is based on a medical decision reached with the assistance and advice of physicians, hospitals, clinics, and schools. Community and statewide outreach programs provide information and assistance to claimants with terminal illnesses, the homeless, and children with disabilities. The department currently maintains offices in Birmingham and Mobile. The program coordinates its personnel, financial, and property management processes through the State Department of Education but maintains its own record keeping systems. The program is administered by the states and U.S. territories under guidance of Social Security Administration regulations. These regulations set forth the performance expectations of the state disability determination agency and provide for 100 per cent federal funding for administrative and operating expenses.

• Administering office operations. A significant portion of the State Department of Education's mandate includes general administrative, financial, and personnel activities geared toward the programmatic areas of the department. These administrative duties have been grouped together under the subfunction, administering office operations. The activities of this subfunction are grouped together under the headings: representation, records management, information systems and technology management, financial management, human resources management, and property, facility, and resource management.

Representation. The Office of the General Counsel acts as chief legal advisor to the State Board of Education, the state superintendent, and the State Department of Education in all matters relating to K-12 education and disability determination. It conducts or supervises all litigation in which the board, the state superintendent, or the department is a party. The office represents the board, the state superintendent, and the department in administrative hearings, and, upon request, reviews contracts, program proposals, and other documents for the divisions. It handles all claims before the Board of Adjustment and responds to legal inquiries by the divisions and by the local school systems. The Office of the General Counsel also coordinates the department Administrative Procedures Act rule filings in compliance with Code of Alabama 1975, Section 41-22-1 through 27.

Records management. In order to comply with various federal and state regulations, the State Department of Education maintains a records management program to document the storage, transfer, and disposition of its records.

Information systems and technology management: The State Department of Education is charged with the responsibility of planning, directing, and supervising all data processing, computer and office systems. The department also provides leadership in the use of technology in the administrative functions of the local school systems. The scope of services related to information systems management includes resource planning, systems analysis, application design and programming, microcomputer and personal computer (PC) procurement, installation and maintenance, training, telecommunications planning and support, end user technical assistance and support, departmental computer services, user hardware and software standards development, response to information requests, and management consultation.

Financial Management-Budgeting: The Budget Management Act of 1976 established a comprehensive system for budgeting and financial management that provides for the orderly establishment, continuing review, and periodic revision of the program and financial goals and policies of the state. Code of Alabama 1975, Section 16-4-19, authorizes the state superintendent to develop a budget for the further development and improvement of education in the state.

Financial Management-Purchasing: Code of Alabama 1975, Title 41, Chapter 4 establishes a mechanism under the authority of the Department of Finance for the purchase of all personal property by The State Department of Education. This mechanism provides procedures for requisitioning and purchasing supplies and equipment, receipting and invoicing for goods, and authorizing payment for products.

Financial Management-Accounting: State law mandates the implementation of a uniform accounting and reporting system that provides for the reporting of the financial position and operation of the department. This activity is performed for all funds, both federal and state, by the department. Because of the complexity of funding within the department, many of the funds are accounted for as discrete units, i.e., the Child Nutrition Program expenditures are accounted for distinctly from general department expenditures. Some of the sources of State Department of Education funds include the Foundation Fund Program (Code of Alabama 1975, Section 16-13-230), the Minimum Program Fund (Code of Alabama 1975, Section 16-13-50 through 59 repealed 1995), the Alabama Education Trust Fund, the U.S. Department of Agriculture, the U.S. Department of Veterans Affairs, the U.S. Department of Education, the Social Security Administration, and the U.S. Department of Transportation. The department is also allowed to accept and administer gifts and donations of money for the benefit of education (Code of Alabama 1975, Sections 16-3-29 through 31).

Until January 1, 1995, the department managed the rehabilitative programs for children and adults. With the creation of the Department of Rehabilitative Services this responsibility moved from the State Department of Education. All programmatic records transferred with the program. However, many of the financial and administrative records remained with the State Department of Education for payment of previously encumbered expenditures and for the completion of both compliance and financial audits.

Financial Management-Indemnifying school officials. To ensure the performance of any state or local school officials with regard to the handling of state and federal funds and commodities, the Code of Alabama 1975, Sections 16-3-39, 16-8-7, 16-8-33, and 16-11-7 require the purchase of performance bonds. Official bonds of state government are normally held by the Office of the Secretary of State, however, the State Department of Education is charged with the maintenance of these records. School officials who must be indemnified for any loss incurred as a result of damage done in the performance of their duty include the members of the State Board of Education (Code of Alabama 1975, Section 16-3-39); the state superintendent (Code of Alabama 1975, Section 16-8-7); the county superintendent and custodian of public school funds for the county (Code of Alabama 1975, Section 16-8-33); and the city superintendent and custodian of public school funds for the city (Code of Alabama 1975, Section 16-11-7).

Financial Management-Incurring and managing debt. The State Board of Education, acting on behalf of the educational institutions under its supervision, may incur debt in the form of borrowing from federal agencies and selling or issuing interest-bearing securities. The board pays this debt through appropriation of budget monies, or the collection of student or facility fees. (Code of Alabama 1975, Section 16-3-28) City boards of education are authorized to issue bonds by Code of Alabama 1975, Section 16-11-19 within the limits of the Constitution of 1901, Article XII, Section 222. County boards of education are expressly denied the right to create bonded indebtedness without approval of the electorate. (Section 222 Case Notes-County boards of education cannot issue notes or certificates of indebtedness without an election. In re Opinion of the Justices, 231 Ala. 152, 164 So. 572(1935)) Public Educational Building Authorities, authorized by Code of Alabama 1975, Sections 16-18-1 through 21, must seek the approval of the board prior to incurring debt for the improvement of schools. The state superintendent, under authority of Code of Alabama 1975, Section 16-4-8, and the legal counsel review requests for bonded indebtedness prior to the issuance of the certificates.

Financial Management-Processing federal funds. The State Department of Education applies for and receives numerous grants for education projects. Many of these grants are block grants for general use while others provide special project funding. The activities included in this process are: applying for monies, award of monies, receipt and disbursement of monies. The department documents these funds through its accounting procedures and by submitting periodic and final financial reports of expenditures.

Financial Management-Auditing. Code of Alabama 1975, Title 41, Chapter 5 establishes a regular cycle of audits and examination of the financial transactions of every state agency/department by the Examiners of Public Accounts. The State Department of Education is also audited by the various federal agencies from which it receives funding. These same agencies conduct compliance and management reviews of departmental procedural controls. The department participates in these audits and is required to maintain the records of such audits and reviews for two subsequent audit cyles.

Financial Management-Contracting: In order to purchase supplies and to ensure the performance of certain jobs or services, the department may contract with a company or individual. Code of Alabama 1975, Title 41, Chapter 16 establishes a mechanism to allow all state agencies to establish contracts for supplies, equipment, and services. The State Department of Education is further mandated to contract for the storage and distribution of federal food program materials by Code of Alabama 1975, Section 16-2-8. The state bid law establishes a $7500.00 limit over which competitive bidding must take place to establish a contract. Service contracts are exempt from this statute to allow for the hiring of the most qualified individual or company.

Contracts for state textbooks are established in compliance with the bid laws applying to the State Board of Education and last for a period of six years. (Code of Alabama 1975, Sections 41-16-51 (8c) and 16-36-10 through 13 ) (Educational institutes and agencies are excluded from compliance with the state bid law as codified in Code of Alabama 1975, Sections 41-16-21 (b)) The Department of Finance also maintains a school textbook contract, lasting a period of one year, which contains the same approved textbooks. School systems may purchase textbooks from either contract.

Financial Management-Bidding. Code of Alabama 1975, Sections 41-16-20 through 32 and 50 through 63 establish a mechanism for local and state agencies to bid for products and services. Code of Alabama 1975, Section 41-16-21 excludes all educational and eleemosynary institutions governed by a board of trustees or similar governing body from the provisions of the state bid law and includes them under the provisions of Section 41-16-51. The process established by Code of Alabama 1975, Sections 50 through 63 allows for the disposition of bid records after a period of seven years.

Human Resources Management-Compensating: Code of Alabama 1975, Title 41, Chapter 4 establishes the mechanism whereby state employees receive their salary by state warrants issued by the Division of Control and Accounts of the Department of Finance. The State Department of Education is responsible for verifying the correctness of the data and maintains records documenting salary and wages, deductions for taxes, and hours worked.

Human Resources Management-Benefitting: Code of Alabama 1975, Title 36 establishes the state merit system with its accompanying compensation and benefits package which includes such employer provided benefits as health insurance, unemployment compensation, workman's compensation, injury compensation, retirement, and death benefits, as well as such administratively supported but employee funded benefits as additional life and health insurance, tax-deferral plans, automatic deposit, charitable donation deductions, and savings plans. These benefits are documented by a variety of reports and other records submitted by and to the department as part of the payroll documentation.

Human Resources Management-Supervising: The activities forming the process of supervising establish documentation of an employee's work history. These activities--promoting, demoting, evaluating performance, granting leave, and monitoring the accumulation of leave--are governed by the rules of the State Personnel Board and Alabama Code Title 36, Chapter 26. Authority to hire department employees is vested with the State Board of Education upon the nomination of individuals by the state superintendent (Code of Alabama 1975, Section 16-4-11 and 12). Authority to hire department employees is vested with the board upon the nomination of individuals by the state superintendent (Code of Alabama 1975, Section 16-4-11 and 12).

Property, Facility and Resource Management-Inventorying: According to section 36-16-8 of the Code of Alabama 1975, each agency must send to the State Auditor a list of all nonconsumable property valued at over $500 excluding books. Each department and agency must account for the property items on their inventory. Examiners of Public Accounts may audit the property and records of property in the agency or at the offices of the State Auditor.

Property, Facility, and Resource Management-Leasing/Renting:According to Code of Alabama 1975, Section 41-4-17, the Department of Finance charges rent for use and occupancy of any building owned by the state located in the Capitol Complex or any other building maintained by Finance. Agencies must negotiate for the lease or rent of their offices if the agencies do not own the property.

Property, Facility, and Resource Management-Maintaining Vehicles:State agencies whose main office or branch offices are located in areas beyond the serviceable limits of the State Motor Pool in Montgomery are allowed to operate an agency motor pool (Code of Alabama 1975, 41-17-6). Agencies maintaining state cars must document vehicle maintenance, use, ownership, and disposition.

Agency Record Keeping System

The State Department of Education operates a hybrid record keeping system composed of a local area network (LAN) on which the State's mainframe serves as one of the department's servers, paper-based record keeping, and micrographics.

Paper-Based Systems: Most of departmental records continue to be maintained in paper form. Duplication of records is perhaps the major cause of the volume of paper within the department. The departmental records management program operates out of its mail room. The program supervises the use of the departmental records storage warehouse on the Eastern Boulevard and coordinates the destruction of paper records. The Eastern Boulevard warehouse was leased for the purpose of storing non-record materials and publications prior to their distribution. Since that time, the warehouse has expanded to include the storage of records. The departmental procedures manual contains instructions for use of the warehouse and records destruction. However, as is evidenced by the condition of the warehouse, these procedures do not address the refusal by individual programs to permit the destruction of eligible records stored at the facility. Currently, if destruction is denied by agency staff, the warehouse continues to maintain the records regardless of the reasons for denying destruction. Also, although procedures require the completion of a transmittal form and label (see attached copy) for records to be stored at the warehouse, inconsistencies in form completion make determination of box contents difficult without opening the box. The department manages a total of eleven warehouses ranging in size from mini storage units to a facility on the Eastern Boulevard capable of housing over 5000 cubic feet of paper records.

Computer Systems: The department utilizes a combination of a client/server and mainframe operation within its computer systems. Much of the department's financial data and student standardized testing information resides on the IBM mainframe operated by the State Data Center. The department does not utilize the Local Government Financial System (LGFS) provided by the state, but maintains its own system called the Budgetary Expenditure Control System (BECS). BECS generates both specialized reports and reports similar to those generated by LGFS. The Anderson Corporation out of Atlanta developed the system for the department in the early 1980's. Departmental data from BECS is integrated into the statewide accounting system (GFS) through files passed to the GFS nightly. The department also maintains a personnel system separate from the Government Human Resources System (GHRS) maintained by the state. Leave data is passed from the department system to the GHRS on a bi-weekly basis. All output from BECS is stored on Computer Disk-Read Only Memory (CD-ROM). This storage system was initiated in 1992. Each day a tape is downloaded onto a personal computer (PC) and written to CD-ROM. The department no longer maintains paper copies of BECS reports but relies on the BECS and the CD-ROM. Two Bull proprietary computer systems are being gradually phased out and the department is moving to a client-server environment. The information stored on the Bull systems is being migrated onto a LAN operating from Windows NT servers. The department currently utilizes Office 95 by Microsoft for its word processing needs and runs Eudora Lite as its electronic mail (E-mail) package. Most departmental employees have access to the E-mail system; a few have Internet access. E-mail records are not printed out and are regularly deleted, although not in accordance with established retentions. No formal policies or procedures exist discussing the use of state property, ownership of data, access, rights and authorities, or records disposition. Draft E-mail policies are currently being developed and reviewed.

Most of the department's computers are 486s that are in the process of being replaced with Gateway 2000 pentium PCS. A complete system backup occurs weekly, every Friday night, and is stored offsite in a temperature control facility at Record Retention Services on Arba Street. The agency uses 8mm and 4mm tapes to store the system backup. The four monthly backups are rotated in offsite storage with the fifth backup being maintained offsite for one year. Older student testing tapes are also maintained at the Arba street facility.

The department is connected to the Alabama Supercomputer Network (ASN) and maintains a web site at www.alsde.edu.

Micrographics: Microfilm is little used by the department except by the teacher certification office which maintains and accesses all teacher records on film.

Other technologies: Several programmatic areas of the department are investigating the expanded use of digital imaging as a records storage media. Such media are ideal for the storage and reproduction of the numerous handbooks and manuals published and distributed to the local schools by the department. The computer services program is responsible for ensuring that programmatic computer needs are met and that new applications and uses of technology are compatible with current departmental systems. Other storage technologies being investigated by the department include Redundant Array of Independent Disks (RAID) storage applications which are capable of handling volumes of data in the terabyte range. The Technology Initiatives program with the department is responsible for overall education technology needs planning. The program has issued an initial report providing an analysis of the information technology infrastructure within the state and the needs of the individual schools.

Disability Determination Services (DDS) with offices in Birmingham and Mobile, operates virtually independent of the department's record keeping system. The DDS Fiscal and Administrative Manual establishes the state's responsibility to maintain those records and reports pertinent to the financing of disability determinations and those which reflect the agency's workload of disability cases. Filing systems must allow for easy identification and location of cases as well as orderly assignment and processing of work. Because of the confidential information contained in the files and records, records storage areas and media must prevent unintentional exposure of confidential information to unauthorized persons.

DDS operates an AS400 Model 320-2050 operating on Novell client server software. Most staff have IBM 486 personal computers (PCS) operating OS/2. The system is backed up daily and the tapes stored in fire-proof cabinets until the next back-up is completed. E-mail is through CC:MAIL. No formal policies or procedures exist discussing the proper use of DDS computers, ownership of data, access, rights and authorities, or records disposition.

Records Appraisal

The following is a discussion of the two major categories of records created and/or maintained by theState Board of Education: Temporary Records, and Archival Records. Each category begins by defining the type of records to which it relates and continues with a justification for the appraisal decision.

II. Temporary Records.

A. Short-term records. Short-term records are those records requiring a retention period of less than five years after creation to meet all applicable state and federal requirements. Many of these records are routine administrative support documentation warranted for eventual destruction. The department should hold short-term records for what is considered to be their active life and dispose of them once their active life is over and all fiscal, legal, and administrative requirements have been met.

• Accrediting Public Schools. The Alabama Performance-Based Accreditation System originated in July 1988 by State Board of Education resolution. The board suspended the program in 1995 and determined that participation in the SACS accreditation program provided the most efficient means of monitoring minimum program levels. The department continues to maintain records of this program in the SDE records warehouse. These records should be maintained for three years from the suspension of the program to provide for the auditing of these files.

Records documenting the Accrediting Public Schools subfunction are found in the department's annual reports, programmatic publications, status reports on the condition of education, the State Board of Education's records, and the General Files of the state superintendent as described in the subfunctions above.

• Records of Disability Determination Services (DDS). The DDS responds to the requirements of the Social Security Administration with regard to its record keeping, citations affecting records retention and access include Section 221(f) of the Social Security Act; 5 USC 552 (FOIA); 5USC 552a (Privacy Act of 1974); the Federal Records Act of 1950; the Federal Procurement Regulations (41 CFR Parts 1-20); and Regulations 20CFR 404.1625 and 416.1025.

All financial records and supporting documents should be retained until resolution of all findings on the federal audit and the Cost Effectiveness Measurement System (CEMS) Compliance Review findings. With regards to retention, the state is responsible for conducting an annual inventory of records. The inventory has three main purposes: 1) to identify archival records; 2) to identify records that are disposable, immediately or later; and, 3) to provide the information necessary for scheduling of records for disposition. (DDS Fiscal and Administrative Manual)

• Records in the custody of ADAH.

Girls Sports Day Events Files, 1968-1974. These records document a U.S. Department of Education grant funding a round robin style sports tournament for high school girls. The event was held on the campus of the University of Montevallo and included a variety of sports. These files relate to the coordination of and participation in the events, and take the form of final grantee reports. They are eligible for destruction under the Administering U.S. Department of Education Funded Programs subfunction. (Disposition: Pre-1996 Records: Retain 5 years after submission of final expenditure report and resolution of any audit findings.)

Poll Tax Statements and Certificates of Apportionment of Public School Monies, 1902, 1904. These records document the disbursement of poll tax collections by the State Department of Education to the school systems within the state. The information in this limited group of records is duplicated in the financial ledgers described under the Archival Records section of this RDA.

Monthly Reports of School Expenses, 1904. These records document monthly expense details of several county school systems. The information in this limited group of records is also represented in the financial ledgers described under the Archival Records section of this RDA.

Teacher Payroll Receipts, 1858-1890. These records are individual forms signed by the teacher upon receipt of his/her payroll check. The information is wholly duplicated in the financial ledgers and reports, 1830-1904, discussed in the Archival Records section of this RDA.

Teacher Certification Special Examination Answer Sheets, 1908. If an individual missed the certification exam, he/she could apply to take the special examination. These records consist of answer sheets for the special examination for teacher certification. The exam questions are not on these sheets. They contain numbered answers such as true, false, dates, or names.

General Correspondence of the State Textbook Committee, 1903. These records consist of correspondence from publishers regarding sample books being reviewed for inclusion in the book contract. These records are eligible for destruction under the Administering Office Operations subfunction. (Disposition: Retain 3 years.)

Daily Journal, 1871. This record consists of a daily listing of disbursements by amount. There is no context for the payment.

Receipts, 1878. This is a partially filled receipt book for the express mailing of items. This record is eligible for destruction under the Administering Office Operations subfunction. (Disposition: Retain until completion of one audit and release of the audit report.)

Mailing List, 1870-1896. This record consists of lists of publication requests and the amount of money it took to mail the requested publication.

Changes to Remittances, 1888. This volume documents changes to remittances. It does not record what the remittance was, but does record the amount, date, and the means the remittance was sent (post). It is eligible for destruction under the Administering Office Operations subfunction. (Disposition: Retain until completion of one audit and release of the audit report.)

Applications for Special Examination For Teacher Certification, 1907-1908. For those individuals missing the regular exam, a special examination time was established. Individuals had to apply for permission to take this special exam. These records document applications for this examination.

List of Cancelled or Rejected Teacher Certificates, 1902. This volume lists teacher certificates that have been cancelled or rejected for various reasons. The list contains the individual's name and the reason the certificate has been cancelled.

B. Long-term Records. Long-term records are those records for which a legal, fiscal, and/or administrative need persists beyond five years, but that are not considered archival. Low-cost, off-site storage of these records is encouraged as a cost-efficient manner of maintaining the original record (if in paper format) for the required length of time. Once the records are determined to have no further use to the State Department of Education and have met all legal, fiscal, and administrative needs of the agency, the agency should destroy them. The following list includes some of the long-term records created by the State Department of Education.

• Financial Management Records. The State Department of Education receives funding from a variety of state and federal sources. Most programmatic areas receive a combination of federal-state matching funds. The United States Departments of Agriculture, Veterans Affairs, Education, Transportation, and the Social Security Administration, are sources of federal funding. State matching funds come from the Education Trust Fund, and the Foundation Fund Program. Periodically, federal agencies conduct a federal compliance review of the department and its accounting procedures. This review is called a Financial Management Review (MEI). The department maintains the records of purely state funded programs separate from those of mixed federal/state funding. Because of the various record keeping requirements of the state and the federal government, the records of federal/state funded programs are maintained for seven years.

• Alabama Administrative Code for State Board of Education/State Department of Education (AAC Chapter 290). Code of Alabama 1975, Sections 41-22-1 through 27 establishes a minimum procedural code for the operation of all state agencies when they take action affecting the rights and duties of the public. AAC Chapter 290 describes the procedures members of the public are to follow when requesting or utilizing the services of the State Department of Education. These procedures were established in compliance with the process provided in Title 41 of the Code of Alabama 1975. Under this process, proposed rules are submitted to the Legislative Reference Service, Administrative Procedures Office for review and placement in the Alabama Administrative Code. The agency conducts a review process in-house before submitting these rules to Legislative Reference. The rule copies maintained by the department's Administrative Procedures Rules Secretary should be maintained as duplicates until the rule is revised and superseded.

• Human Resources Management Records. The State Department of Education maintains records documenting expense reimbursement, pay, and years of service for the Board of Education members. These records are not duplicated within the records of the Personnel Department or the Finance Department but should be retained for retirement purposes. Board members are not participants of the state retirement systems but their years of service count towards federal retirement benefits (Social Security). Payroll earnings records for the department should be maintained for a period of thirty-five years to document the work history and earnings of appointed and contracted staff whose service is not documented elsewhere. A thirty-five year retention is sufficient to cover the work span of an employee.

III. Archival Records. The Government Records Division recommends the following records as constituting archives of the state of Alabama and warranting transfer to the Alabama Department of Archives and History (ADAH), as the custodian of government archives, for preservation for and access by the citizenry of the state. The records listed below provide the adequate documentation required by the state to describe fully over time the function of the State Department of Education.

• Records Prior to 1930. The Archives holds few records of the State Department of Education dating before 1930. Materials in the custody of the Archives are distinguished on this RDA by a **. Should any additional materials be located, either within the Archives or in the State Department of Education, the Archives would like to review these materials for possible transfer as archival records to ADAH.

Serving as Secretary to the State Board of Education, the Alabama Education Foundation, and the State Courses of Study Committee:

• State Board of Education Meeting Files. These records consist of the agenda and packet of information submitted to each board member for action at the board meeting. They document policy and rule development of the department, resolutions proposed to the board, and required reporting by the department and other committees to the board. These files are rich in documentation on K-12 education in Alabama, its funding, policies, legislation, and progress/improvement.

• State Board of Education Meeting Minutes. The minutes of the board document actions of the board as voted on during the meetings. They support the documentation in the Meeting Files by indicating the decision and any discussion prior to the vote. Also documented in these files are the attendance at the meetings of the board members and the public.

• Alabama Education Foundation Board of Trustees Minutes. These records document the establishment of the foundation and the meetings of the foundation's board of trustees. Actions of the board documenting acceptance and establishment of perpetual trusts for education, donations of money and property to the benefit of education, allocation of funds, and the investing of these funds by the Retirement Systems of Alabama are recorded in the minutes. The corporation filings of the foundation are maintained by the Secretary of State, Corporations Division.
• State Courses of Study Committee Meeting Minutes. These records document the discussions of the State Courses of Study Committee in its considerations and development of core curricula for state K-12 courses. Concerns for academic excellence in Alabama schools, discussion on the necessity of sex education, art, music, and physical education within Alabama's schools, as well as core needs in English, math, history, and science are among the topics placed before this committee for consideration.

• Records in the custody of ADAH.

Acts of the Board of Education Presented to the Legislature, 1873-1879. This record is in the custody of ADAH. It documents for each legislative session (1873-1879) the acts, by number, presented to the Legislature and their approval date. On the inside back cover of the volume is a printed list of county and city superintendents of education as of January 1, 1881 and their post-office. This volume provides a concise listing of legislation presented by the board and may be used as an index into the Acts of the Legislature for further research.

Administering Public Education:

• General Files of the State Superintendent of Education. The General Files of the state superintendent, currently maintained centrally by the SDE Mail Room, provide an overview of the operations of the department. The files contain memoranda, correspondence, reports, proposed rules and legislation, information on court suits, concerns of citizens, departmental appointments, and evidence of the state superintendent's activities as a member of various boards, commissions, committees, and professional organizations. Activities delegated to the deputy superintendents are copied to these files. Taken together with the State Board of Education records, they provide a complete picture of the state's efforts in managing K-12 education.
• School and School System Report Cards. The school system report cards, a practice implemented by Dr. Richardson, is connected with the Education Accountability Plan and 'scores' a school on its financial and administrative systems as well as academic performance. They provide a comparative and evaluative look at each of the schools and school systems in the state of Alabama and support the status reports on education discussed under the Reporting and Publicizing subfunction.
• Records in the custody of ADAH.

Correspondence of the State Superintendent of Education, 1857-190?. This is outgoing correspondence and telegrams of the state superintendent that is in the custody of ADAH. It documents the expenditure and appropriation of funds and policy decisions of the superintendent.

Serving on Boards, Commissions, etc.:

The activities of the state superintendent as a member of various boards and commissions are documented within the General Files but these records are copies. The record copy of these boards, commissions, etc. is held by the secretary for that body.

Approving Policies, Regulations, and Guidelines:

The board Meeting Files and Minutes document the review and approval of rules and regulations governing public K-12 education in the state. They are published as part of the Alabama Administrative Code for the State Board of Education/State Department of Education (AAC 290-010 through 090).

• SDE Policies and Procedures Manuals. These manuals document the procedures and policies of the department and the processes the staff utilize to execute the policies of the board.

Appointing:

The activities of the superintendent in appointing two members to the State Tenure Commission are documented in the records of that commission. Additional information on these appointments is located in the General Files of the state superintendent. The appointing power of the state superintendent with regards to departmental employees is documented in the department's personnel files (a temporary record) and somewhat in the General Files.

• Records in the custody of ADAH.

Appointments to City School Boards, 1900-1907. This volume is in the custody of the Archives and records individuals appointed to fill the term of a board member. The reason the board member has left the school board is noted.

Reporting and Publicizing:

• Education Directories. These directories document the organization of public K-12 education in the state, staff names, administrators, address, and telephone numbers. They provide a unique yearly picture of the structure of education in Alabama.

• News Releases. These records document news releases of the department, its programmatic areas and staff, the state superintendent, and the board on a variety of education topics including school system report cards, state invention in school system operations, disasters, academic excellence, court suits, and policy decisions.
• Board Briefs. This publication provides an at-a-glance look at the State Board of Education meeting for a particular month. In summary form, they report on action items, attendance, public concerns, and resolutions of the board. This publication is distributed to the schools and a select mailing list of public officials and citizens as a report or 'brief' on the activities of the board.

• Alabama Education News. This newsletter publicizes the accomplishments of the department and the local schools, announces employee changes (retirements), programmatic and policy changes, and gives a picture of the status of education in the state from the department's point-of-view.
• Annual Status Report on the Condition of Education in Each County Board of Education. This report and its city level counterpart are compiled by the department and represent the financial and academic conditions present within the schools and systems overseen by each local education agency. The two reports provide a concise, yet detailed, look at the status of education on the local level.

• Annual Status Report on the Condition of Education in Each City Board of Education. This report and its county level counterpart are compiled by the department and represent the financial and academic conditions present within the schools and systems overseen by each local education agency. The two reports provide a concise, yet detailed, look at the status of education on the local level.
• Annual Reports (Statistical and Financial Data). The annual report of the department provides statistical and financial data covering enrollment, attendance, graduates, dropouts, staffing, and funding sources reported by county and state totals for the fiscal year. It provides further summary and comparison of the data submitted in the above two reports.
• Departmental and Programmatic Information, Periodic Reports, Brochures, and Other Publications. The department and its programs create a wide variety of publications designed to promote K-12 education and to publicize the activities of the department in administering K-12 education. Included among these publications are the bulletins of the department that provide information on the history of the department, safety inspections of school buses, and the annual statistical and financial data. These publications provide an invaluable source of summary data regarding programs, grants, funding, cooperative efforts, conferences, and accomplishments.
• Annual Report of the State Superintendent. This annual report provides a narrative description of the condition of public education in Alabama. It summarizes the accomplishments of the department and analyzes significant issues facing education. This report is currently not being published by the department. (Last issue dated 1994)
• Alabama School Progress. This monthly publication of the State Board of Education is similar in purpose and format to the Alabama Education News. The Archives has one issue dated 1921 in its custody.

Administering U.S. Department of Education Funded Programs:

• State Plans. In the process of requesting federal funding for various programs administered by the department, each program unit is required to complete and submit a comprehensive state plan for consideration and approval by the federal government agency that has granting and monitoring authority. These plans reflect a statewide strategy or approach to the problems addressed by the federal program. The plans provide information on the nature and extent of the problems, areas of need, current efforts, planned efforts, and available funding.

Administering U.S. Department of Agriculture Funded Programs:

• State Plans. In the process of requesting federal funding for various programs administered by the department, each program unit is required to complete and submit a comprehensive state plan for consideration and approval by the federal government agency that has granting and monitoring authority. These plans reflect a statewide strategy or approach to the problems addressed by the federal program. The plans provide information on the nature and extent of the problems, areas of need, current efforts, planned efforts, and available funding.

Other records documenting this subfunction are found in the department's annual reports, programmatic publications, status reports on the condition of education, Alabama Administrative Code Chapter 290, and the General Files of the state superintendent as described in the subfunctions above.

Monitoring Local Education Agencies for Their Financial Accountability:

Records documenting this subfunction are found in the department's annual reports, programmatic publications, status reports on the condition of education, Alabama Administrative Code Chapter 290, the State Board of Education's records, and the General Files of the state superintendent as described in the subfunctions above.

• Records in the custody of ADAH.

High School Evaluation Studies, 1951-1967. These studies document school evaluations by visiting reviewing committees representing the Southern Association of Secondary Schools and Colleges (SACS) and self-studies conducted by individual schools. Each study uses an established set of evaluation criteria (referenced by each document but not included) to analyze the faculty, staff, student population, courses, quality of instruction, and physical plant of the school. Both city and county schools are represented.

Assisting At-Risk Children and Local Education Agencies:

Records documenting this subfunction are found in the department's annual reports, programmatic publications, status reports on the condition of education, Alabama Administrative Code Chapter 290, and the General Files of the state superintendent as described in the subfunctions above.

Selecting Textbooks:

• Minutes and Agenda of the State Textbook Committee. These records document the actions and discussion of the State Textbook Committee in developing the state textbook contract. The committee conducts public hearing (which are documented in the minutes) to allow public opinion on the selection of books. An example of the concerns addressed within the committee would include teaching Darwinian evolutionary theory versus the Biblical creation story, or traditional and nontraditional family composition.
• Records in the custody of ADAH.

State Textbook Committee Legislation and Book Contract, 1908. This record is in the custody of ADAH. This volume contains a statement of the Textbook Committee's legislation and a copy of the book contract for 1908.

Developing Curricula:

Records documenting this subfunction are found in the department's annual reports, programmatic publications, status reports on the condition of education, Alabama Administrative Code Chapter 290, the State Board of Education's records, and the General Files of the state superintendent as described in the subfunctions above.

Assessing Student Achievement:

• Student Assessment Handbook. This record documents the processes and procedures followed in assessing students through the administering of standardized tests. It is updated annually and discusses security, test administration, test development, and scoring processes.

Supporting the Delivery of Special Education Services:

• State Plans. In the process of requesting federal funding for various programs administered by the department, each program unit is required to complete and submit a comprehensive state plan for consideration and approval by the federal government agency that has granting and monitoring authority. These plans reflect a statewide strategy or approach to the problems addressed by the federal program. The plans provide information on the nature and extent of the problems, areas of need, current efforts, planned efforts, and available funding.

Coordinating Career and Technical Education Opportunities:

• State Plans. In the process of requesting federal funding for various programs administered by the department, each program unit is required to complete and submit a comprehensive state plan for consideration and approval by the federal government agency that has granting and monitoring authority. These plans reflect a statewide strategy or approach to the problems addressed by the federal program. The plans provide information on the nature and extent of the problems, areas of need, current efforts, planned efforts, and available funding.
• Annual Reports to the Governor. These reports provide lists vocational education programs within the state and details expenditures of state and federal monies. It provides supporting documentation for the state plan submitted as a request for federal monies.

Administering the Education of Adults and the Community:

• Alabama Program Plan for Adult Education (State Plan). In the process of requesting federal funding for various programs administered by the department, each program unit is required to complete and submit a comprehensive state plan for consideration and approval by the federal government agency that has granting and monitoring authority. These plans reflect a statewide strategy or approach to the problems addressed by the federal program. The plans provide information on the nature and extent of the problems, areas of need, current efforts, planned efforts, and available funding.

Overseeing the Construction and Conducting an Inventory of All School Buildings and Sites:

• School System Surveys, 1919. This survey conducted in 1919 as part of a much larger study by the Education Commission. This detailed survey in the 1919 report of several selected county school systems in Alabama revealed startling conditions in the facilities. The school usually lacked teaching equipment and were generally unsafe and unsanitary. These surveys are the raw data used by the Education Commission in compiling its study. The study resulted in recommendations for increasing in educational funding to solve many of these problems.
• Records in the custody of ADAH.

One Photograph and Five Hand Drawn Floorplans of Two-Story School Buildings, 1920. These records are in the custody of ADAH. They provide documentation of schools in Town Creek, Alexandria, Prattville, and Morgan County. The photograph is unidentified but is similar to the description of the Town Creek school.

Certifying Teachers:

Records documenting this subfunction are found in the department's annual reports, programmatic publications, the Alabama Administrative Code Chapter 290, the State Board of Education's records, and the General Files of the state superintendent as described in the subfunctions above. The advisory committee minutes discussed below also provide a source of information discussing the continued development of the teacher certification.

• Records in the custody of ADAH.

Applicants for Primary School Certification, 1899-1909. These records are in the custody of ADAH. Alabama was among the first states to establish a centralized system for certifying teachers. In 1899, the issuance of all teacher certificates was centralized with the State Department of Education, based exclusively upon the results of examination. This practice was discontinued in 1915. Four levels of certification were granted: first grade, second grade, third grade or life certification. These records document the application of individuals for teacher certification under this system.

List of Teachers, 1899. This volume is in the custody of the Archives and lists the name, race, sex, license grade, and post office of the teachers in the public school system in 1899.

Educating and Testing Teachers:

• Advisory Panel on Teacher Education and Certification Minutes. These records document the Advisory Committee on Teacher Education and Certification and its efforts to ensure quality professional development and training opportunities for teachers as well as the building of a quality workforce of educators.
• Testing Records of the Alabama Initial Teacher Certification Testing Program (AITCTP) (ALLEN Case Records). Allen v. the State Board of Education (CV81 697N) filed in 1981, questioned the pre-certification teacher testing procedures of the department as to their racial equity and the criteria for measuring basic skills competency. A 1987, settlement agreement included provisions for redeveloping the testing program. These records consist of analysis and study reports, sample tests, test scores, and administrative documentation of the Alabama Initial Teacher Certification Testing Program (AITCTP) which was the testing process questioned in the Allen Case. These records provide source documentation for the legal case file included in the Administering Office Operations-Representing the department subfunction of this document.The AITCTP was suspended by the State Board of Education in 1988 because of a lack of funding.
• Records in the custody of ADAH.

Teacher Certification Examination and Instructions, 1898-1901, 1904. These records are in the custody of ADAH. Alabama was among the first states to establish a centralized system for certifying teachers. In 1899, the issuance of all teacher certificates was centralized with the State Department of Education, based exclusively upon the results of examination. This practice was discontinued in 1915. Four levels of certification were granted: first grade, second grade, third grade or life certification. These records document the exam questions and the instructions or procedures for application and taking the test.

Providing for the development of professional staff:

Records documenting this subfunction are found in the department's annual reports, programmatic publications, status reports on the condition of education, and the General Files of the state superintendent as described in the subfunctions above.

Serving As the State Approving Agency:

Records documenting this subfunction are found in the department's annual reports, programmatic publications, status reports on the condition of education, and the General Files of the state superintendent as described in the subfunctions above.

Certifying School Bus Drivers and Mechanics and Conducting School Bus Safety Inspections:

• Handbook for School Bus Drivers. This manual documents State Board of Education policy and procedure with regards to the school bus drivers certification program and the conduct of school bus drivers in the operation of a school bus.
• Alabama Minimum Specifications for School Buses. This record documents an often used but little thought about portion of education, school bus transportation. It provides the contract specifications for school buses in Alabama and documents safety precautions built within the buses. The record also provides bus maintenance guidance.

Licensing Private Schools:

Records documenting this subfunction are found in the department's annual reports, programmatic publications, status reports on the condition of education, the State Board of Education's records, and the General Files of the state superintendent as described in the subfunctions above.

Accrediting Public Schools:

Records documenting this defunct program are found in the department's annual reports, programmatic publications, the State Board of Education's records, and the General Files of the state superintendent as described in the subfunctions above.

Maintaining the Records of Defunct Schools:

Records in this subfunction, if deposited with the department, are to be maintained by the State Department of Education. (Code of Alabama 1975, 16-43-3(9e))

Administering the Disability Determination Program.

Records documenting this program are found in the department's annual reports and programmatic publications.

Administering Office Operations:

• General Administrative Documentation.

Audiovisual Materials. The department maintains a substantial audiovisual library used for in-service training and as a resource for Alabama teachers. Many of the films are original creations of agencies, organizations, and individuals and document Alabama history and events. The Archives would like to review all Alabama related films for archival retention prior to disposal.

• Still Photographs. The department maintains a substantial photographic collection for use in the many departmental publications. Images include board meetings, press conferences, the State Superintendent of Education, various departmental staff, school buildings, school classrooms, and school events. The photographs for the most part are unidentified and many do not have negatives with the image.

Records in the custody of ADAH.

List of Newspapers Published in Alabama, 1875. This volume is in the custody of the Archives and provides a list of all state newspapers by name, editor, town/county, and political affiliation.

Index to State Department of Education Library, 1890?. This volume is in the custody of the Archives and provides a list of subject matter books in the custody of the department. It provides an interesting and unique look at the school texts in use in the state.

• Representing the Department. Legal Case Files. The legal case files of the department provide documentation of many educational issues the state is currently grappling to resolve. Two examples of the types of cases involving the department are: Allen v. the State Board of Education (CV81 697N) and Alabama Coalition for Equity Incorporation and Alabama Nonprofit Corporation, et. al. v. Fob James, Jr., et.al. (CV90 883GR and CV91 0117GR). Allen v. the State Department of Education (CV81 697N) filed in 1981, questioned the pre-certification teacher testing procedures of the department as to their racial equity and the criteria for measuring basic skills competency. In response to this suit, the department realigned its testing programs and redesigned basic skill competency testing. A more current court suit, Alabama Coalition for Equity Incorporation and Alabama Nonprofit Corporation, et. al. v. Fob James, Jr., et.al. (CV90 883GR and CV91 0117GR) proposes to implement a more equitable funding mechanism for Alabama's K-12 schools.These court cases and other like them provide valuable documentation of the efforts of the state and its people to provide education to its children.
• Financial Management-Accounting.

Records in the custody of ADAH.

Financial Ledgers, 1830-1904. The Department of Archives and History has approximately twenty cubic feet of financial ledgers in its custody. These records document the funding mechanisms for the schools during a period of upheaval and transition in public education. These records represent the tracking of fund collection, appropriation, and disbursement in the form of teachers and superintendents salaries.

In 1819, when Alabama was admitted to the union, the state received from the federal government, the sixteenth section in each township for schools. These lands were granted to each township within the state and not to the state as a whole. Because of the variation in the quality of the lands, some townships received more monies than others from leasing these lands. More often than not in Alabama, these lands were sold to obtain funds for the schools. After 1837, these lands were granted directly to the state so that the monies could be evenly distributed amongst the schools. Beginning in 1828, the sixteenth section monies were deposited with the State Bank. In 1836, the state received a large sum of money (National Surplus Revenue) for public education from the federal government. This money was also deposited with the State Bank. Thus, the bank held all the Public School Fund monies. The schools were funded from the interest and dividends generated by the capital stock held by the bank. The national panic of 1837 coupled with declining land prices encouraged the Department of Education to tighten credit on sixteenth section land leases and purchases. Individuals owing money to the Public School Fund were reported to the attorneys of the State Bank for collection. The failure of the bank in 1843 resulted in the complete loss of the Public School Fund monies. The state was granted additional sixteenth section lands in 1841 and again in 1848 relieve the indebtedness of the state in regards to the loss of the Public School Fund monies. Changes in legislation in 1848 required the deposit of all sixteenth section land monies with the State Treasury. The state comptroller reported on the funds due each township and the governor issued a certificate attesting to this amount. Funds equal to a six percent interest rate on the capital were then deposited for use by the county schools. The management of the Public School Fund was transferred from the state comptroller to the state superintendent of schools in the Public School Act of 1854.

• Financial Management-Indemnifying School Officials. By law, the department maintains the official bonds of the members of the State Board of Education, the state superintendent of education, members of the local school boards, and staff handling the property and equipment of the schools. These bonds are not duplicated in the records of the Secretary of State. The bonds of the state and local boards of education and the state superintendent provide documentation which supplements that currently maintained by the Secretary of State and the Department of Archives and History.
• Financial Management-Incurring and Managing Debt. Local Education Agency Bonded Indebtedness Approval Files. Prior to incurring bonded indebtedness a city school system must request the approval of the state superintendent of education. These files document the approval requests and the types and amounts of school bonds being issued in the state.

Other documentation of this subfunction is found in the records of the state agencies mandated to perform the Administrative Support Operations function of government.

State Board of Education/State Department of Education

Records Disposition Authority

This Records Disposition Authority (RDA) lists records created and maintained by the State Board of Education/State Department of Education in carrying out its mandated functions and subfunctions. The RDA establishes the retention and disposition requirements for those records as approved by the State Records Commission and provides the legal authority for the agency to implement the disposition instructions, including the transfer of records to the Department of Archives and History, the transfer of records to the SDE records center or to the State Records Center, and the destruction of records. This RDA supersedes any previous records disposition schedules governing the retention of records in the State Department of Education.

This RDA contains three sections:

• Definition of Terms
• Records Disposition Requirements
• Approval of Records Disposition Authority

Definition of Terms

• The Records Disposition Requirements section of this RDA lists the groups of records created and/or maintained by the State Department of Education.
• Temporary records are so noted and are indicated by the specified number of years they should be retained or by the statement "retain for useful life," which means that when they are no longer useful to the agency and have met their fiscal, administrative, and/or legal needs, they should be destroyed. Temporary records may be of either short-term or long-term retention and are eligible for off-site storage in the SDE records center (located on the Southeastern Boulevard) or in the State Records Center, if in paper format.
• Temporary records documenting the expenditure of state funds only and whose retention states "retain until completion of one audit and release of audit report," should be maintained through the completion of an external audit by the Examiners of Public Accounts. Neither the conduct of an independent audit nor an internal audit will satisfy the requirements of this retention.
• Temporary records documenting the expenditure of federal funds and state matching funds and whose retention states "retain 7 years," should be maintained through the completion of an open audit and the resolution of all audit findings. An open audit may be conducted by the Examiners of Public Accounts, any of the department's federal funding agencies, or by the Office of Inspector General.
• Records of the Disability Determination Services must be retained three years from the submission of the final expenditure report and resolution of all findings of the federal audit. A federal audit is an audit which conforms with the requirements in 20 CFR 404.1627 and 416.1027 as supplemented by Office of Management and Budget Circular A-128.
• Archival records are so noted and the agency should transfer them to the Alabama Department of Archives and History at the end of the administration or when the records are inactive.
• Records in the custody of the Archives for which the Archives is requesting disposition approval are listed with the appropriate subfunction and are indicated by an asterisk (**) at the end of the record title.

Records Disposition Requirements

This section of the RDA is arranged by subfunctions of the State Department of Education and lists the groups of records created and/or maintained by the agency as a result of the activities and transactions performed in carrying out these subfunctions. There is a disposition requirement for each group listed. The disposition instruction sets a minimum length of time to hold records, not a maximum retention. The agency may submit requests to revise specific records dispositions to the State Records Commission for consideration at its regular quarterly meetings.

Serving as Secretary to the State Board of Education, the Alabama Education Foundation, and the State Courses of Study Committee

State Board of Education Meeting Files

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

State Board of Education Meeting Minutes

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Alabama Education Foundation Board of Trustees Minutes

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

State Courses of Study Committee Meeting Minutes

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Acts of the Board of Education Presented to the Legislature, 1873-1874 **

Disposition: ARCHIVAL RECORD.

Administering public education

General Files of the State Superintendent of Education **

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Correspondence of the State Superintendent of Education, 1857-190? **

Disposition: ARCHIVAL RECORD.

School and School System Report Cards

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Serving on boards, commissions, etc.

Records documenting this subfunction are found in the General Files of the State Superintendent of Education.

Approving policies, regulations and guidelines

SDE Policies and Procedures Manuals

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Records documenting the development and approval of Alabama Administrative Code Rules.

Disposition: Temporary Record. Retain 5 years after rule is superseded.

Appointing

Current records documenting this subfunction are found in the General Files of the State Superintendent of Education.

Appointments to City School Boards, 1900-1907 **

Disposition: ARCHIVAL RECORD.

Reporting and publicizing

Education Directories **

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

News Releases

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Board Briefs

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Alabama Education News

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Annual Status Report on the Condition of Education in Each County Board of Education

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Annual Status Report on the Condition of Education in Each City Board of Education

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Annual Reports (Statistical and Financial Data) **

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Departmental and Programmatic Information, Periodic Reports, Brochures, and Other Publications **

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Annual Report of the State Superintendent.

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Alabama School Progress, 1920s **

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Administering U. S. Department of Education funded programs

Managing Programs

State Plans

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Records documenting policy and regulatory communications from federal agencies.

Disposition:

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting public notification of funds.

Disposition:

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting advisory council meetings.

Disposition:

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Reporting on funded programs

Records documenting annual performance and program statistics.

Disposition:

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting consolidated planning for federal programs

Disposition:

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

LEA Comparability Reports

Disposition:

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

LEA Evaluation Reports

Disposition:

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Establishing Eligibility

Records documenting eligibility criteria.

Disposition:

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting program eligibility for federal funding.

Disposition:

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting school participation and enrollment.

Disposition:

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting waivers.

Disposition:

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Gun-Free School Policies

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Determining Funding Criteria and Project Goals

Records documenting state planning for grant funds.

Disposition:

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Reviewing Funding Proposals

Records documenting summer program proposals.

Disposition:

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting grants proposals. **

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Providing Training

Records documenting workshop proposals

Disposition:

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Training Reports

Disposition:

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Administering U.S. Department of Agriculture funded programs

Managing USDA Food Services

STATE PLANS

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Records documenting annual and other program statistics.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting communications with the USDA.

Disposition: Temporary Record. Retain 5 years.

Records documenting grant funding plans and reports.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting public notifications.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting food program management and administrative plans.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Establishing eligibility and availability

Records documenting income eligibility of participants in food service programs.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records announcing program availability.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Reimbursing

Records documenting reimbursement rates and commodity acceptability.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting reimbursement claims.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting repayment agreements.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting payback/problems.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Contracting

Records documenting the establishment and maintenance of food service vendor, distributor, and commodity agreements and contracts.

Disposition: See disposition for financial management-contracting records.

Records documenting health department contracts.

Disposition: See disposition for financial management-contracting records.

Sponsoring agencies participating in child nutrition programs

Records documenting potential agreements/applications to participate.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

For disposition of agreements and contracts see financial management-contracting records.

Records documenting technical assistance to city and county schools.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report and resolution of any audit findings.

Records documenting home providers under agreement.

Disposition: See disposition for financial management-contracting records.

Records documenting preapproval sponsor site visits.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Distributing and managing commodities

Records documenting the requisitioning and managing of food/commodity inventories including receipt of shipments, commodity availability, delivery, and allocation of food.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report and resolution of any audit findings, or 7 years, whichever is longer.

Records documenting the availability, shipment, and allocation of donated foods.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report and resolution of any audit findings or 7 years, whichever is longer.

Records documenting the shortage of or loss of donated food commodities.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report and resolution of any audit findings or 7 years, whichever is longer.

Responding to complaints

Records documenting complaints regarding donated foods.

Disposition: Temporary Record. Retain 3 years.

Training

Records documenting program training.

Disposition: Temporary Record. Retain 3 years.

Auditing

Records documenting audits and program reviews.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Evaluating Programs

Records documenting U.S. Department of Agriculture (USDA) Management Evaluations.

Disposition: Temporary Record. Retain 5 years.

Records documenting the evaluation of food service programs, vendors, and distributors.

Disposition: Temporary Record. Retain 5 years.

Conducting Site Visits and Reviews

Records documenting food program sites.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting pre-registration visit and registering with state agency.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting city/county coordinated review efforts reviews.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting city/county food facilities.

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Monitoring local education agencies for their financial accountability

Analyzing Budgets, Program Applications, and Financial Statements

Records documenting the analysis of Local Education Agency (LEA) Budgets, program applications, and financial reports

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report.

Conducting Audits

Records documenting LEA Audits.

Disposition: Temporary Record. Retain 3 years.

High School Evaluation Studies, 1951-1967**

Disposition: ARCHIVAL RECORD.

Assisting at-risk children and local education agencies

Establishing Standards

Records documenting committees that establish grade standards.

Disposition: Temporary Record. Retain 3 years.

Monitoring school improvement

Records documenting school plans and performance.

Disposition: Temporary Record. Retain 3 years.

Records documenting LEA liaisons and special services teachers.

Disposition: Temporary Record. Retain 3 years.

Providing Training

Effective Schools Resource Center Books/Videos/Cassettes

Disposition: Temporary Record. Retain for useful life.

Records documenting the trainers.

Disposition: Temporary Records. Retain for 6 years.

Records documenting registration, attendance, conduct, and evaluation of LEA workshops .

Disposition: Temporary Record. Retain 1 year.

Forms/Instructions/Schedules and Handouts.

Disposition: Temporary Record. Retain for useful life.

Records documenting the presenters and trainers attendance at workshops (i.e., vitae, contracts, and travel).

Disposition: Temporary Record. Retain 6 years.

Selecting textbooks

Minutes and Agenda of the State Textbook Committee

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Records documenting public hearings.

Disposition: Temporary Record. Retain 5 years.

Sample Copies of Textbooks

Disposition: Temporary Record. Retain until expiration of the book contract.

Records documenting the state textbook contract.

Disposition: Temporary Record. Retain for 6 years after expiration of contract.

Sealed Bids for Textbook Contract

Disposition: Temporary Record. Retain for 7 years.

State Textbook Committee Legislation and Book Contract, 1908 **

Disposition: ARCHIVAL RECORD.

Developing curricula

Reviewing and Planning Programs

Records documenting program reviews.

Disposition: Retain 5 years.

Records documenting adult program planning.

Disposition: Retain 5 years.

Records documenting test items banks.

Disposition: Retain 5 years.

Records documenting the high school that work programs.

Disposition: Retain 5 years.

Assessing student achievement

Assessing students

Student Assessment Handbook

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Records documenting testing procedures workshop reference and handout materials.

Disposition: Temporary Record. Retain until superseded.

Developing test materials

Records documenting assessment test development.

Disposition: Temporary Record. Retain 3 years after test superseded.

Records documenting test development committee.

Disposition: Temporary Record. Retain 5 years.

Maintaining test security

Records documenting test security plans.

Disposition: Temporary Record. Retain until superseded.

Records documenting test security breaches.

Disposition: Temporary Record. Retain 10 years.

Documenting test results

Records documenting statewide assessment testing results.

Disposition: Temporary Record. Retain 10 years.

Records documenting individual LEA testing results.

Disposition: Temporary Record. Retain 10 years.

Coordinating testing

Directories of test coordinators

Disposition: Temporary Record. Retain 1 year.

Testing Materials

Disposition: Temporary Record. Retain until superseded.

Supporting the delivery of special education services

Student Records

Disposition: Temporary Record. Destroy after notifying school. (34 CFR 300.573)

State Plans

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Records documenting LEA plans.

Disposition: Temporary Record. Retain 5 years.

Records documenting assistance to LEAs.

Disposition: Temporary Record. Retain 5 years.

Records documenting due process hearings.

Disposition: Temporary Record. Retain 5 years.

Records documenting State Operated/State Supported Agencies.

Disposition: Temporary Record. Retain 5 years.

Records documenting federal and state monitoring.

Disposition: Temporary Record. Retain 5 years.

Coordinating career and technical education opportunities

Coordinating federal funding

State Plans

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Vocational education standards

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Postsecondary and LEA education program application plans

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Postsecondary budgets

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Planning and Reporting

Records documenting program planning.

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Annual Reports to the Governor

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Records documenting enrollment by sex statistics.

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Reviewing Programs

Office of Civil Rights (OCR) monitoring/follow-up visit reports

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Desk Monitoring Forms

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting LEA reviews.

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records of vocational reviews.

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Administering Programs

Records documenting technical assistance.

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting Nursing Board continuing education units.

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Teacher Data Sheets

Disposition: Temporary Record. Retain until superseded or teacher retires.

Supervised work experience records.

Disposition: Temporary Record. Retain 1 year.

Teacher/Reports Records

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Ensuring gender equity

Records of outstanding student or program of the year.

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Budgeting records for single bias elimination and single parent/displaced homemakers projects.

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Equity Plans of Work

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records of telephone calls.

Disposition: Temporary Record. Retain 3 years.

Copies of federal legislation and regulations

Disposition: Temporary Record. Retain until superseded.

Civil Rights Compliance Reports

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records documenting program evaluations.

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Final Project Reports (sex bias elimination and single parent/displaced homemaker programs)

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Grant Awards

Records Prior to FY 1996

Disposition: Temporary Record. Retain 5 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Records Post FY 1995

Disposition: Temporary Record. Retain 3 years after submission of final expenditure report or resolution of any audit findings, whichever is longer.

Workshop and conference log-in sheets

Disposition: Temporary Record. Retain 3 years.

Coordinating participation in professional organizations

Records document professional organization participation.

Disposition: Temporary Record. Retain 3 years.

Conference Reports

Disposition: Temporary Record. Retain 3 years.

Records documenting youth organizations.

Disposition: Temporary Record. Retain 3 years.

Student organization financial, membership, executive council, and conference records.

Disposition: Temporary Record. Retain 5 years.

New Teachers Institute Attendance Rosters

Disposition: Temporary Record. Retain 5 years.

HOSA financial, testing, and board records.

Disposition: Temporary Record. Retain 5 years.

FFA audit, membership, convention, and program of work records.

Disposition: Temporary Record. Retain 5 years.

FHA financial, budget, audit, and meeting records.

Disposition: Temporary Record. Retain 5 years.

DECA financial, conference, event, and membership records

Disposition: Temporary Record. Retain 5 years.

FBLA membership, financial, contest, and conference records.

Disposition: Temporary Record. Retain 5 years.

Administering the education of adults and the community

Planning and reporting

Records documenting adult education curricula.

Disposition: Temporary Record. Retain 5 years.

Records documenting Performance Measurement Reporting and Improvement System (PMRIS).

Disposition: Temporary Record. Retain 3 years.

Funding proposals

Disposition: Temporary Record. Retain 5 years.

Alabama Program Plan for Adult Education (state plan)

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Administering adult education programs

Records documenting workplace education initiatives and budgets.

Disposition: Temporary Record. Retain 5 years.

'Helpline' inquiries and sheets

Disposition: Temporary Record. Retain 5 years.

Monitoring reports

Disposition: Temporary Record. Retain 5 years.

Records documenting the Job Opportunities and Basic Skills (JOBS) program.

Disposition: Temporary Record. Retain 5 years.

Records documenting the Homeless program budget.

Disposition: Temporary Record. Retain 5 years.

Records documenting dependent care grants.

Disposition: Temporary Record. Retain 5 years.

Coordinating General Educational Development (GED) testing

GED Applications, transcripts, and certificates

Disposition: Temporary Record. Retain 5 years.

GED Requests

Disposition: Temporary Record. Retain 1 year.

GED on Alabama Public Television (APT)

Disposition: Temporary Record. Retain 7 years.

Records documenting testing centers.

Disposition: Temporary Record. Retain 7 years.

Copies of GED Tests

Disposition: Temporary Record.Retain 7 years.

Dollar General Cards

Disposition: Temporary Record. Retain 1 year.

GED fee logs

Disposition: Temporary Record. Retain 7 years.

Providing literacy training

Alabama Adult Literacy Resource Center (AALRC) Audio/Video tapes

Disposition: Temporary Record. Retain for useful life.

AARLCliteracy publications, manuals, and information materials from other states

Disposition: Temporary Record. Retain current copy.

Records documenting teaching reading to non-readers program.

Disposition: Temporary Record. Retain 5 years.

Records documenting the GATEWAY housing project.

Disposition: Temporary Record. Retain 5 years.

Records documenting the Job Training Partnership Act (JTPA) 8% Prison Literacy Project.

Disposition: Temporary Record. Retain 5 years.

Records documenting 353 special demonstration projects.

Disposition: Temporary Record. Retain 5 years.

Coordinating the VISTA volunteer services

Volunteers of America (VISTA) program travel records

Disposition: Temporary Record. Retain 5 years.

Overseeing the construction and conducting an inventory of all school buildings and sites

School System Surveys, 1919

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Records documenting the final plans of building projects.

Disposition: Temporary Record. Retain until construction completed.

Records documenting the funding and construction of building projects.

Disposition: Temporary Record. Retain 2 years.

Records documenting the inventory of school buildings and sites.

Disposition: Temporary Record. Retain until data is obsolete.

One Photograph and Five Hand Drawn Floorplans of Two-Story School Buildings, 1920 **

Disposition: ARCHIVAL RECORD.

Certifying teachers

Records documenting valid teacher certifications.

Disposition: Temporary Record. Retain records of deceased or retired teachers 6 years.

Records documenting noncertified teacher applications.

Applicants who do not qualify for certification

Disposition: Temporary Record. Retain 60 days.

Non-certified applicants pending completion of certification requirements

Records Prior to July 1, 1997

Disposition: Temporary Record. Retain 6 years.

Records Post July 1, 1997

Disposition: Temporary Record. Retain 60 days.

Records documenting certification requests.

Disposition: Temporary Record. Retain 60 days.

Records of revocated certificates.

Disposition: Temporary Record. Retain 6 years after revocation of certification.

Records documenting annual statistics.

Disposition: Temporary Record. Retain 7 years.

Applicants for Primary School Certification, 1899-1909 **

Disposition: ARCHIVAL RECORD.

Applicants for Special Examination for Teacher Certification, 1907-1908 **

Disposition: DESTROY.

List of Certified Teachers, 1899 **

Disposition: ARCHIVAL RECORD.

Lists of Cancelled or Rejected Teacher Certificates, 1902**

Disposition: DESTROY.

Educating and testing teachers

Conducting Site Visits and Reviews

Records documenting program approval reviews.

Disposition: Temporary Record. Retain 5 years.

Records documenting review team members.

Disposition: Temporary Record. Retain 5 years.

Managing Programs

Records documenting approved program changes.

Disposition: Temporary Record. Retain 5 years.

Records approving course substitutions.

Disposition: Temporary Record. Retain 5 years.

Records documenting program checklists.

Disposition: Temporary Record. Retain 5 years.

Records documenting faculty.

Disposition: Temporary Record. Retain 5 years.

Records documenting annual admissions to teacher education programs.

Disposition: Temporary Record. Retain 3 years.

Records documenting certification data.

Disposition: Temporary Record. Retain 5 years.

Records documenting studies and analyses.

Disposition: Temporary Record. Retain 5 years.

Directories of approved programs

Disposition: Temporary Record. Retain until obsolete.

Establishing Standards

Records documenting board resolutions.

Disposition: Temporary Record. Retain 1 year.

Advisory Panel on Teacher Education and Certification Minutes

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Records documenting advisory committee meetings (not minutes)

Disposition: Temporary Record. Retain 5 years.

Approving Higher Degrees for Pay Purposes

Records documenting communications regarding approval of higher degrees for pay purposes.

Disposition: Temporary Record. Retain 5 years.

Approving Cooperating Teachers

Records documenting waivers for cooperating teachers.

Disposition: Temporary Records. Retain 5 years.

Evaluating Teachers

Records documenting pilot of career incentive program.

Disposition: Temporary Record. Retain 5 years.

Testing Teachers

Teacher Certification Examinations and Instructions, 1898-1901, 1904 **

Disposition: ARCHIVAL RECORD.

Teacher Certification Special Examination Answer Sheets, 1908 **

Disposition: DESTROY.

Alabama Basic Skills Test Program

Records documenting test scores.

Disposition: Temporary Record. Retain 5 years.

Records documenting communications with testing companies.

Disposition: Temporary Record. Retain 5 years.

Records documenting communications regarding test requirements.

Disposition: Temporary Record. Retain 5 years.

Test books.

Disposition: Temporary Record. Retain 5 years.

Registration bulletins.

Disposition: Temporary Record. Retain 5 years.

Test adminstration manuals.

Disposition: Temporary Record. Retain 5 years.

Records documenting test registration and test sites.

Disposition: Temporary Record. Retain 5 years.

Records documenting testing analyses and studies.

Disposition: Temporary Record. Retain 5 years.

Alabama English Language Proficiency Test Program, 1981-1992

Records documenting test scores.

Disposition: Destroy.

Records documenting communications with testing companies.

Disposition: Destroy.

Records documenting communications regarding test requirements.

Disposition: Destroy.

Test books.

Disposition: Destroy.

Registration bulletins.

Disposition: Destroy.

Test administration manuals.

Disposition: Destroy.

Records documenting testing site logistics.

Disposition: Destroy.

Records documenting testing analyses and studies.

Disposition: Destroy.

Placing and Recruiting Teachers

Records documenting teaching field files.

Disposition: Temporary Record. Retain 1 year.

Records documenting lists of jobs advertised.

Disposition: Temporary Record. Retain for useful life.

Records documenting job mailing lists.

Disposition: Temporary Record. Retain until obsolete.

Records documenting requests for placement forms.

Disposition: Temporary Record. Retain 1 year.

Records documenting requests for non-traditional teaching materials.

Disposition: Temporary Record. Retain 1 year.

Records documenting minority contacts.

Disposition: Temporary Record. Retain 1 year.

Alabama Initial Teacher Certification Testing Program, 1981-1988

Records documenting the ALLEN case.

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Records not involved in court suit.

Disposition: Destroy.

Providing for the Development of Professional Staff

Professional Materials (Books and Periodicals)

Disposition: Temporary Record. Retain for useful life.

Professional Development Workshop Files

Forms/Instructions/Schedules

Disposition: Temporary Record. Retain for useful life.

Facility Contracts

Disposition: Temporary Record. Retain for 6 years.

Presenters' Vitae, Contracts, and Travel

Disposition: Temporary Record. Retain 6 years.

Handouts

Disposition: Temporary Record. Retain for useful life.

Registration and Evaluation Materials

Disposition: Temporary Record. Retain 1 year.

Serving as the state approving agency for G.I. education benefits

Records of college degrees approved for G.I. Bill utilization.

Disposition: Temporary Record. Retain 5 years.

Copies of college catalogs

Disposition: Temporary Record. Retain current copy.

Records documenting college compliance with rules and regulations

Disposition: Temporary Record. Retain 5 years.

Certifying school bus drivers and mechanics and conducting school bus safety inspections

Certifying

Records documenting the successful application, review, and certification of school bus drivers.

Disposition: Temporary Record. Retain inactive files 2 years.

Records documenting the successful application, testing, review, and certification of school bus mechanics.

Disposition: Temporary Record. Retain inactive files 2 years.

Alabama School Bus Drivers' Record and Report Book

Disposition: Temporary Record. Retain for useful life.

Handbook for School Bus Drivers

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Training

Training Rosters and Materials

Disposition: Temporary Record. Retain for 3 years.

Inspecting

Records documenting the safety inspections of school buses.

Disposition: Temporary Record. Retain 8 years.

Records documenting bus accidents.

Disposition: Temporary Record. Retain 8 years.

Alabama Minimum Specifications for School Buses

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

School Bus Inspection Handbook

Disposition: Temporary Record. Retain until obsolete.

Licensing private schools

Copies of Student Transcripts

Disposition: Temporary Record. Retain 1 year.

Licensing

Records documenting the successful application, review, and licensure of private schools.

Disposition: Temporary Record. Retain 6 years after license lapses.

Records documenting the initial application for licensure.

Disposition: Temporary Record. Retain 1 year.

Registering

Records documenting the application and registration of private schools.

Disposition: Temporary Record. Retain 6 years after registration lapses.

Accrediting public schools (defunct program)

Records documenting the accreditation process.

Disposition: Temporary Record. Retain 3 years.

Maintaining the records of defunct schools

Student Financial Aid Files

Disposition: Temporary Record. Retain for 5 years.

Student Academic Records

Disposition: Retain in office. (Code of Alabama 1975, Section 16-43-3(9e) and professional practice)

Administering the Disability Determination Program

Determining Eligibility

Doctors' Personal Data Sheets

Disposition: Temporary Record. Retain 2 years.

Records documenting proof of insurance.

Disposition: Temporary Record. Retain 1 year.

Records documenting affirmation of patient confidentiality.

Disposition: Temporary Record. Retain 2 years.

Case Pending Reports

Disposition: Temporary Record. Retain 1 year.

Doctors' Sheets and Sign-In Books

Disposition: Temporary Record. Retain 1 year.

Correspondence with medical staff

Disposition: Temporary Record. Retain 1 year.

Program Change Information

Disposition: Temporary Record. Retain until superseded.

Disability Claim Records

Disposition: Temporary Record. Retain 2 years.

Maintaining Medical Relations

Physician Drop Records

Disposition: Temporary Record. Retain in office.

Attorney Records

Disposition: Temporary Record. Retain 2 years after closure.

Complaint Records

Disposition: Temporary Record. Retain 2 years.

Onsite Review Records

Disposition: Temporary Record. Retain 2 years.

Fee Schedules

Disposition: Temporary Record. Retain until superseded.

Panel Files

Disposition: Temporary Record. Retain for useful life.

Convention Records.

Disposition: Temporary Record. Retain 2 years.

Exclusion Records

Disposition: Temporary Record. Retain in office.

CE Oversight Records

Disposition: Temporary Record. Retain in office.

Assuring Quality Service

Records documenting quality assurance statistics.

Disposition: Temporary Record. Retain 3 years.

Records documenting quality assurance review process.

Disposition: Temporary Record. Retain reviews with errors 3 years. Others: Retain 3 months.

Records of Atlanta Returns.

Disposition: Temporary Record. Retain 3 years.

Disposing of records

Records documenting the implementation of the agency's approved RDA, including departmental procedures; forms; copies of transmittals for records stored at the State Records Center or at the SDE records warehouse; copies of Archives transmittal forms; and records of destructions

Disposition: Temporary Record. Retain until completion of one audit and the release of the audit report after disposition of the records.

Reporting to the State Records Commission

Annual reports to State Records Commission. DDS report should be combined with departmental report.

Disposition: Temporary Record. Retain until completion of one audit and the release of the audit report following submission of report.

Maintaining DDS information systems

System Backup Tapes

Disposition: Temporary Record. Daily System Backup tapes should be reused.

Information systems requests

Disposition: Temporary Record. Retain 2 years.

System Documentation (hardware, software manuals, warranties, records of access/authorities, file naming conventions)

Disposition: Temporary Record. Retain documentation until all records have been migrated to current software. (Includes records on backup tapes)

Entering Data

Records documenting data entry statistics.

Disposition: Temporary Record. Retain 2 years.

Records documenting processing times.

Disposition: Temporary Record. Retain 2 years.

Records documenting work sampling.

Disposition: Temporary Record. Retain 2 years.

Records documenting work assignments.

Disposition: Temporary Record. Retain 3 months.

Records documenting transmissions.

Personnel and Claims Transmissions

Disposition: Temporary Record. Retain 3 months.

Medical Deferment and Presumptive Disability Transmissions

Disposition: Temporary Record. Retain 1 month.

Records documenting claims samples.

Disposition: Temporary Record. Retain 3 months.

Inventorying Property (DDS's copy of inventory)

Records documenting the conduct of the semiannual property inventory.

Disposition: Retain in office. (Code of Alabama 1975, Section 36-166-8[1])

Records affirming the accuracy of the agency's property inventory.

Disposition: Temporary Record. Retain 3 years.

Records documenting the agency's property inventory (i.e. inventory cards), and the transfer or receipt of property.

Disposition: Temporary Record. Retain 3 years after final disposition of property.

Administering Office Operations

General Administration Documentation:

General Correspondence and Informational Requests of Departmental Programs **

Disposition: Temporary Record. Retain 3 years.

Divisional/Programmatic General Files

Disposition: Temporary Record. Retain 5 years.

Reference Files

Disposition: Temporary Record. Retain for useful life.

Procedural and Other Manuals for Financial and Human Resources Management

Disposition: Temporary Record. Retain current copy.

Audit Standards Manuals

Disposition: Temporary Record. Retain current copy.

Education Policies, Procedures and Reference Materials From State and Federal Agencies

Disposition: Temporary Record. Retain for useful life.

Professional Association and Organization Materials

Disposition: Temporary Record. Retain for useful life.

Professional Meetings and Workshop Materials

Disposition: Temporary Record. Retain for useful life.

Alabama Association of School Officer Personnel Correspondence and Program Files

Disposition: Temporary Record. Retain 1 year.

Printing Service Request Files,

Disposition: Temporary Record. Retain until receipt of printed material.

Printing Negatives and Plates

Disposition: Temporary Record. Retain until obsolete.

Audiovisual Materials

In-service training films

Disposition: Temporary Record. Retain until obsolete.

General information films and films on topics not relating to Alabama

Disposition: Temporary Record. Retain until obsolete.

Films on Alabama history and events

Disposition: Allow ADAH to review before destruction for archival materials.

Still Photographs

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Travel Itineraries

Disposition: Temporary Record. Retain 1 year.

Daily Schedules

Disposition: Temporary Record. Retain 3 years.

Telephone Logs

Disposition: Temporary Record. Retain 3 years.

Daily Journal, 1871 **

Disposition: DESTROY.

Mailing Lists **

Disposition: DESTROY.

List of Newspapers Published in Alabama, 1875 **

Disposition: ARCHIVAL RECORD.

Index to State Department of Education Library, 1890? **

Disposition: ARCHIVAL RECORD.

Representing the department

Legal Case Files

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Records documenting the employee appeal to the Personnel Board of formal reprimands, demotions, transfers, or terminations.

Disposition: Temporary Record. Retain 3 years following decision of Personnel Board.

Records documenting Equal Employment Opportunity Commission (EEOC) complaints and lawsuits

Disposition: Temporary Record. Retain 5 years after final settlement.

Records documenting Board of Adjustment claims.

Disposition: Temporary Record. Retain 5 years after final settlement.

Advising the department and the schools

Subject Files

Disposition: Temporary Record. Retain 5 years.

Sequential Files

Disposition: Temporary Record. Retain 2 years.

Records Management Documentation:

Disposing of records

Records documenting the implementation of the agency's approved RDA, including departmental procedures; forms; copies of transmittals for records stored at the State Records Center or at the SDE records warehouse; copies of Archives transmittal forms; and records of destructions

Disposition: Temporary Record. Retain until completion of one audit and the release of the audit report after disposition of the records.

Reporting to the State Records Commission

Annual reports to State Records Commission

Disposition: Temporary Record. Retain until completion of one audit and the release of the audit report following submission of report.

Information Systems and Technology Management Documentation:

Maintaining the information systems

System Backup Tapes

Disposition: Temporary Record. Retain off-site in a temperature controlled facility. Weekly System Backup tapes should be reused.

Information systems requests

Disposition: Temporary Record. Retain 2 years.

System Documentation (hardware, software manuals, warranties, records of access/authorities, file naming conventions)

Disposition: Temporary Record. Retain documentation until all records have been migrated to current software. (Includes records on backup tapes)

Planning and designing systems

Records documenting departmental information systems planning.

Temporary Record. Retain for useful life.

Financial Management Documentation:

Budgeting

Records documenting the preparation of a budget request package and reporting of the status of funds, allotments and appropriations, requesting amendments of allotments, and program performance reporting.

Disposition: Temporary Record. Retain 7 years.

Purchasing

Records documenting the requisitioning and purchasing of supplies and equipment, receipting and invoicing for goods, and authorizing payment for products with state funds only. **

Disposition: Temporary Record. Retain until completion of one audit and the release of the audit report.

Records documenting the requisitioning and purchasing of supplies and equipment, receipting and invoicing for goods, and authorizing payment for products with federal and state-matching funds.

Disposition: Temporary Record. Retain 7 years.

Accounting

Source documents that may be within the BECS documenting the expenditure of state funds only.

Disposition: Temporary Record. Retain until completion of one audit and the release of the audit report.

Source documents that may be within the BECS documenting the expenditure of federal and state-matching funds.

Disposition: Temporary Record. Retain 7 years.

Records documenting accounting training program.

Disposition: Temporary Record. Retain 1 year.

Records documenting fund expenditures for Alabama Regional Inservice Centers.

Disposition: Temporary Record. Retain until completion of one audit and the release of the audit report.

Records documenting fund expenditures for education technology.

Disposition: Temporary Record. Retain until completion of one audit and the release of the audit report.

Records documenting fund expenditures of the Alabama Education Foundation.

Disposition: Record keeping within this area is so new that retention requirements are undetermined at this point.

Records documenting payment of Board of Adjustment claims.

Disposition: Temporary Record. Retain 5 years after settlement of claim.

Financial Ledgers and Reports, 1830-1904 **

Capital and Interest on Sixteenth Section Lands, 1830-1878

Income and Disbursements, 1831

Lists of Sixteenth Section Land Notes Sent to Attorney for Collection, 1830-1849

Sixteenth Section Fund Monies Ledger, 1840

Registers of Certificates Issued to State Auditor for Public School Monies, 1856-1871

Sixteenth Section Land Dividend Education Fund, 1848-1897

Registers of Vouchers for Public School Monies, 1855, 1869-1872

Payroll Ledger for County Superintendents, 1870-1871, 1901-1903

Annual Paid Interest And Apportionment for 1870

Income by State Fund for Free Public Schools, 1868

County School Appropriation Statistics, 1868-1869

Annual Financial Reports of County Superintendents, 1871, 1877-1885

Applicants for Peabody Fund Money, 1871

Peabody Educational Fund Ledger, 1875

Report of Balances Due Townships by County from School Fund, 1870-1872

Township Financial Ledgers, 1834-1838, 1874-1904

Requisition Reports, 1871-1873

Report of Quarterly School Expenses, 1868-1890

Teacher Payroll (contains list of county/city superintendents, 1890), 1890?

Quarterly School Payrolls, 1902, 1904

Reports of County Superintendents as to Value of Buildings, 1922

Receipts for Sale of School Lands, 190?

Disposition: ARCHIVAL RECORD.

Poll Tax Statements and Certificates of Apportionment of Public School Monies, 1902, 1904 **

Disposition: DESTROY.

Teacher Payroll Receipts, 1858-1890 **

Disposition: DESTROY.

Monthly Reports of School Expenses, 1904 **

Disposition: DESTROY.

Indemnifying School Officials

Records documenting the bonding of school officials.

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Incurring and managing debt

Records documenting issuance of school bond issues.

Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH.

Processing Federal Funds

Records documenting the application for, award of, receipt of, disbursement of and reporting of expenditure of federal funds.

Disposition: Temporary Record. Retain 6 years after submission of the final expenditure report.

Records documenting the purchase of nonexpendable property/equipment with federal funds.

Disposition: Temporary Record. Retain 3 years after final disposition of property.

Auditing

Disposition: Temporary Record. Retain until completion of two successive audits and the release of the audit reports.

Contracting

Records documenting contracts for supplies, equipment, and services.

Disposition: Temporary Record. Retain 6 years after expiration of contract.

Bidding

Records documenting the bid process, including requests for proposals and unsuccessful responses.

Disposition: Temporary Record. Retain 7 years.

Human Resources Management Documentation:

Compensating

Records documenting salary and wages.

Disposition: Temporary Record. Retain until completion of one audit and release of the audit report.

Exception: Payroll earnings records

Disposition: Temporary Record. Retain 35 years.

Records documenting employee leave requests and approval of leave time.

Disposition: Temporary Record. Retain 3 years.

Records documenting annual cumulative leave statements.

Disposition: Temporary Record. Retain 3 years.

Record of final leave status.

Disposition: Temporary Record. Retain record of individual employees' cumulative leave 6 years after separation of employee from the agency.

Benefitting

Records documenting payroll deductions for tax purposes.

Disposition: Temporary Record. Retain 5 years after tax year.

Records documenting the administration of the unemployment compensation program.

Disposition: Temporary Record. Retain 5 years after creation of record.

Records documenting the workers' compensation program and the state employee's injury compensation trust fund.

Disposition: Temporary Record. Retain 12 years after creation of record.

Supervising

Records documenting an employee's work history - generally maintained as a case file.

Disposition: Temporary Record. Retain 6 years after separation of employee from the agency.

Property Management Documentation:

Inventorying

Records documenting the conduct of the semiannual property inventory.

Disposition: Retain in office. (Code of Alabama 1975, Section 36-166-8[1])

Records affirming the accuracy of the agency's property inventory.

Disposition: Temporary Record. Retain 3 years.

Records documenting the agency's property inventory (i.e. inventory cards), and the transfer or receipt of property.

Disposition: Temporary Record. Retain 3 years after disposition of property.

Leasing/Renting

Records documenting the lease or rental of warehouse, storage, or office space by the department.

Disposition: Temporary Record. Retain 6 years after expiration of contract.

Maintaining Vehicles

Records documenting the use, maintenance, ownership, and disposition of vehicles owned by the department.

Disposition: Retain for 3 years after vehicle is sold, then destroy.

Approval of Records Disposition Authority

By signing this agreement the State Board of Education/State Department of Education acknowledges its responsibilities in the proper management of its records and agrees to abide by the implementation guidelines listed below.

• The State Department of Education agrees to allow the Department of Archives and History to dispose of State Department of Education records within ADAH's custody in accordance with the disposition guidelines in this approved RDA.
• The State Department of Education agrees to document the implementation of the RDA by maintaining a copy of the signed RDA and by developing procedures for its regular implementation. The agency will also document the destruction of the records created and maintained by the agency and submit a report to the State Records Commission in April of each year. This report should indicate the titles of records (as defined by this RDA) destroyed, their media (paper, electronic, microform), their volume, their date span, and their destruction date. The Archives will provide a report on the archival holdings of the State Department of Education for Commission review.
• Regular implementation of an approved RDA should occur organization-wide on a regular basis - for example, following the successful completion of an audit, at the end of an administration, or at the end of the fiscal year.
• In accordance with audit and legal requirements, the destruction of records must cease when the department receives a notice of pending or imminent litigation, government investigation, or audit, even when the destruction of records is permitted under the RDA.
• Archival records, while in the custody of the department, should be maintained under the intellectual and physical control of the department and under environmental conditions that will ensure their continued preservation.
• The State Department of Education should designate a managerial position as the agency records officer. This position would be responsible for ensuring the development of quality record keeping systems that meet the business and legal needs of the department, for coordinating the transfer and destruction of records, and for ensuring the regular implementation of the department's approved RDA.
• The State Department of Education agrees to allow the State Records Commission, its staff, and the Examiners of Public Accounts to examine into the condition of archival records maintained in the custody of the department and to inspect documentation on the destruction of public records.

  By: Date: Dr. Ed Richardson, State Superintendent of Education

  State Department of Education

  By: Date: Edwin C. Bridges, Chairman

  State Records Commission