Department of Youth Services
Functional Analysis
&
Records Disposition Authority

Revision
Presented to the
State Records Commission
January 25, 2001

Table of Contents

Functional and Organizational Analysis of the Department of Youth Services
Sources of Information
Historical Context
Agency Organization
Agency Function and Subfunctions
Promulgating Rules and Regulations
Screening and Placing Committed Youth
Providing Institutional Services
Providing Education Services
Licensing and Monitoring Local Youth Delinquency Care Facilities or Programs
Certifying and Subsidizing Juvenile Probation Officers
Administering the Interstate Compact on Juveniles
Administering Internal Operations
Organizational Chart
Analysis of Record Keeping System and Records Appraisal of the Department of Youth Services
Sources of Information
Agency Record Keeping System
Records Appraisal
Temporary Records
Permanent Records
Records No Longer Created
Accessibility of Records
Permanent Records List
Department of Youth Services Records Disposition Authority
Explanation of Records Requirements
Records Disposition Requirements
Promulgating Rules and Regulations
Screening and Placing Committed Youth
Providing Institutional Services
Providing Education Services
Licensing and Monitoring Local Youth Delinquency Care Facilities or Programs
Certifying and Subsidizing Juvenile Probation Officers
Administering the Interstate Compact on Juveniles
Administering Internal Operations
Approval of Records Disposition Authority
Department of Youth Services Records in the Appraisal Backlog of the Alabama Department of Archives and History

Functional and Organizational Analysis of the Department of Youth Services

Sources of Information

Department of Youth Services, Records Disposition Authority Executive Committee:

J. Walter Wood, Executive Director
John P.Rickicki, Executive Assistant to the Executive Director
Tim Davis, Compliance Officer
Pat Pendergast, Administrator of the Office of Screening and Placement
Bill Samford, Legal Counsel
Allen Peaton, Administrator of Support Operations Division
Debra Spann, Personnel Manager
Wayne Booker, Administrator of Institutional Services Division
Anita Boswell, Deputy Administrator of Community Services Division
John Stewart, Superintendent of Department of Youth Services School District
Berta Blackwell, Records Manager

Code of Alabama 1975, Sections 44-1-1 through 44-1-56
Alabama Administrative Code, Chapters 445-X-1.01 to 445-X-1.10
Alabama Government Manual (1994)
General Disposition Authority (GDA)
Department of Youth Services Annual Reports, 1974-1992
Department of Youth Services Juvenile Statistical Reports, 1974-1995
Department of Youth Services Strategic Plan (1996)
Government Records Division, Department of Youth Services records retention schedule
Government Records Division, State Agency Files (1985-ongoing)
Holdings of the Department of Archives and History

Historical Context

The first attempt of the state to provide for care of delinquent and criminal youth occurred in 1893 when the Legislature established a new convict system for the state. Among various sections of the law was one which specifically dealt with minors. It stipulated that "all convicts under sixteen years of age shall be separated and confined and worked apart ... from all other convicts." (Acts 1892-1893, No 102 1/2, Sec. 35).

In 1899, the Legislature authorized the establishment of a reformatory and industrial school, known as the Alabama Industrial School in Jefferson County, for the benefit of orphan, helpless, and wayward children. It was the duty of this school to receive, care, and provide for the welfare of white children between the ages of six and eighteen who were likely to become criminal or hurtful to the state. The Legislature in 1919 changed the name of the school to the Alabama Boys Industrial School. Similarly, the first effort by the state to assist female juvenile delinquents occurred in 1911 when the Legislature authorized the assumption of control of the Girls' Home for the Friendless, located near Eastlake in Birmingham. The institution was thereafter known as the Alabama Home of Refuge. In 1915, the Legislature changed the name to Alabama State Training School for Girls.

The state also started to deal with black juvenile delinquents in 1911 by organizing the Alabama Reform School for Juvenile Negro Law-Breakers at Mt. Meigs in Montgomery County. The school name was changed to Alabama Industrial School for Negro Children in 1947 and to Alabama Industrial School in 1970.

At the state government level, Governor Lurleen B. Wallace established in 1967 the Alabama Youth Committee to study and develop "techniques for the prevention and control of juvenile delinquency and youth offenses ..." (Executive Order No. 3). In response to recommendations of the committee, Governor Albert P. Brewer created the Division of Juvenile Delinquency Services within the Department of Pensions and Security (predecessor of the Department of Human Resources) to oversee programs related to juvenile delinquency. The Alabama Youth Committee continued to serve as the advisory committee on juvenile delinquency planning for the Department of Pensions and Security until the Legislature passed in 1973 the Youth Services Act which created the Department of Youth Services. All functions, responsibilities, and properties of the three youth delinquency schools, the Division of Juvenile Delinquency Services, and the Alabama Youth Committee were then transferred to the Department of Youth Services after 1973.

Agency Organization

Legislative Act No. 816 of 1973 created the Department of Youth Services (hereafter cited as "DYS") and it became operational in 1974. An 18-member Youth Services Board governs DYS. The Governor is the ex officio chairperson of the board. Other members include the Commissioner of the Department of Human Resources; the State Superintendent of Education; the Commissioner of the Department of Mental Health and Mental Retardation; the State Health Officer; the Director of the Alabama Law Enforcement Planning Agency; two House members appointed by the Speaker of the House of Representatives; two Senate members appointed by the Presiding Officer of the Senate; one member appointed by the President of the Alabama Council of Juvenile Court Judges; one member appointed by the Chairperson of the Alabama Chief Probation Officers Association; and seven members, selected from each of the state's seven congressional districts, appointed by the Governor. The membership elects a chairperson, vice-chairperson, and secretary. The board meets annually and the chairperson or any three members of the board may call special meetings. A quorum consists of any nine members of the board.

The board appoints the State Youth Services Director who exercises supervision over all employees of the department. Currently, DYS is organized into the following major divisions/offices: Community Services, Institutional Services, School District, Support Operations, Legal, and Screening and Placement. An organizational chart is attached.

Agency Function and Subfunctions

The mandated function of the department is, according to Code of Alabama 1975, Section 44-1-1, to promote and safeguard the social well-being of the troubled youth of the state through a comprehensive and coordinated program of public services for the prevention of juvenile delinquency and the rehabilitation of delinquent youth. It is one of the agencies primarily involved in carrying out the Law Enforcement and Emergency Powers function of Alabama government. In the performance of its mandated functions, DYS may engage in the following subfunctions:

Managing the agency: Activities include internal office management activities common to most government agencies such as corresponding and communicating, scheduling, meeting, documenting policy and procedures, reporting, litigating, legislating (drafting, lobbying, tracking), publicizing and providing information, managing records, and managing information systems and technology.

Managing finances: Activities include budgeting (preparing and reviewing budget package, submitting the budget package to the Department of Finance, documenting amendments and performance of the budget); purchasing (requisitioning and purchasing supplies and equipment, receipting and invoicing for goods, and authorizing payment for products received); accounting for the expenditure, encumbrance, disbursement, and reconciliation of funds within the agency's budget through a uniform system of accounting and reporting; authorizing travel; contracting with companies or individuals; bidding for products and services; assisting in the audit process; investing; and issuing bonds.

Managing human resources: Activities include recruiting and hiring eligible individuals to fill positions within the agency; providing compensation to employees; providing benefits to employees such as leave, health insurance, unemployment compensation, worker's compensation, injury compensation, retirement, and death benefits; supervising employees by evaluating performance, granting leave, and monitoring the accumulation of leave; training and providing continuing education for employees; and disciplining.

Managing properties, facilities, and resources: Activities include inventorying and accounting for non-consumable property and reporting property information to the appropriate authority; constructing buildings and facilities; leasing and/or renting offices or facilities; providing security for property owned by the agency; insuring property; and assigning, inspecting and maintaining agency property, including vehicles.

Attachment: Organizational Chart

Analysis of Record Keeping System and Records Appraisal of the Department of Youth Services

Agency Record Keeping System

The Department of Youth Services currently operates a hybrid record keeping system composed of paper-based record keeping and a computer system.

Paper-based Systems: Most of the DYS records are created and maintained in paper form. The department does not have a paper records management procedural manual for guiding staff in records storage, transfer, and disposition activities. The department has utilized the State Records Center for storage of its youth case files since 1991.

Computer Systems: The department's data communication network consists of an IBM System 36 mini computer and personal computers. The department uses the State Data Center's IBM mainframe as the central repository for information generated and stored by many of the functional areas of the department. Some of the systems hosted on mainframe include: the Local Government Financial System (LGFS), the Government Human Resources System (GHRS), and the Juvenile Court Statistical System.

Within the central office at Mt. Meigs, staff members use stand alone personal computers to perform routine word processing, accounting, and other administrative functions. Computer applications are varied from one person to another person and none of these computers is networked. All computer applications are backed up daily and backups are stored in the Information Services Division, Department of Finance.

Records Appraisal

The following is a discussion of the three major categories of records created and/or maintained by DYS: Temporary Records, Permanent Records, and Records No Longer Created.

I. Temporary Records. Temporary records should be held for what is considered to be their active life and disposed of once all fiscal, legal and administrative requirements have been met. Some of the temporary records created by the department are discussed below:

II. Permanent Records. The Government Records Division recommends the following records as permanent.

Promulgating Rules and Regulations:

Screening and Placing Committed Youth:

DYS retains inactive case files for reference until the youths reach the age of majority. The department's policies and procedures manuals provide information on the creation and composition of a typical case file. If considered singly and solely with reference to the information they contain, those case files have very little research value. The demographic and social significance of these case files is useful only if all case files are examined and analyzed. The agency's annual reports and the Juvenile Statistical Reports contain sufficient statistical information and may be used by researchers for studies relating to delinquent youth in Alabama. A small selection of samples of the case files from each DYS facility is useful in documenting the process of juvenile rehabilitation and treatment.

Providing Institutional Services:

Providing Education Services:

Licensing and Monitoring Local Youth Delinquency Care Facilities or Programs:

Permanent records documenting this subfunction are found in the Annual Reports and the Juvenile Statistical Reports as described in the Reporting heading within the Administering Internal Operations subfunction.

Certifying and Subsidizing Juvenile Probation Officers:

Permanent records documenting this subfunction are found in the Annual Reports as described in the Reporting heading within the Administering Internal Operations subfunction.

Administering the Interstate Compact on Juveniles:

Permanent records documenting this subfunction are found in the Annual Reports as described in the Reporting heading within the Administering Internal Operations subfunction.

Administering Internal Operations:

III. Records No Longer Created. The following records were created by DYS over time, but are no longer created in this same format.

A. Permanent Records.

Administering Internal Operations:

Accessibility of Records

All data concerning youth offenders is protected from disclosure to the general public in accordance with Code of Alabama, Section 44-1-39. Information may be accessible only for research purposes where anonymity is preserved and written clearance by DYS is obtained.

Permanent Records List

Department of Youth Services

Promulgating Rules and Regulations

1.Meeting Minutes of the Youth Services Board
2. Strategic Plan Files
3. Policies and Procedures Manuals

Screening and Placing Committed Youth

1. Youth Case Files (samples)

Providing Institutional Services

*1. DYS Youth Facility Advisory Board Meeting Minutes

Providing Education Services

*1. Student Permanent Records

Administering Internal Operations

1. Informational and Promotional Publications
2. Still Photographs
3. News Releases
4. Annual Reports
5. Juvenile Statistical Reports
6. DYS Newsletters

* indicates records that ADAH anticipates will remain in the care and custody of the creating agency. ADAH staff is available to work with agency staff in determining the best location and storage conditions for the long-term care and maintenance of permanent records.

Department of Youth Services Records Disposition Authority

This Records Disposition Authority (RDA) is issued by the State Records Commission under the authority granted by the Code of Alabama 1975, Sections 41-13-5 and 41-13-20 through 21. It was compiled by the Government Records Division, Alabama Department of Archives and History (ADAH), which serves as the commission's staff, in cooperation with representatives of the Department of Youth Services. The RDA lists records created and maintained by the Department of Youth Services in carrying out its mandated functions and activities. It establishes retention periods and disposition instructions for those records and provides the legal authority for the agency to implement records destruction.

Alabama law requires public officials to create and maintain records that document the business of their offices. These records must be protected from "mutilation, loss, or destruction," so that they may be transferred to an official's successor in office and made available to members of the public. Under Code of Alabama 1975, Section 36-12-40, "every citizen has a right to inspect and take a copy of any public writing in this state, except as otherwise expressly provided by statute." Records must be kept in accordance with auditing standards approved by the Examiners of Public Accounts (Code of Alabama 1975, Sections 36-12-2, 36-12-4, and 41-5-23). For assistance in implementing this RDA, or for advice on records disposition or other records management concerns, contact the ADAH Government Records Division at (334) 242-4452.

Explanation of Records Requirements

Records Disposition Requirements

This section of the RDA is arranged by subfunctions of the Department of Youth Services and lists the groups of records created and/or maintained by the agency as a result of activities and transactions performed in carrying out these subfunctions. The agency may submit requests to revise specific records disposition requirements to the State Records Commission for consideration at its regular quarterly meetings.

Promulgating Rules and Regulations

MEETING MINUTES OF THE BOARD
Disposition: PERMANENT RECORD.

Recordings of Meetings
Disposition: Temporary Record. Retain until the official minutes are adopted and signed.

STRATEGIC PLAN FILES
Disposition: PERMANENT RECORD.

POLICIES AND PROCEDURES MANUALS
Disposition: PERMANENT RECORD.

Appointments to the Youth Services Board
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the member's term expires.

Executive Director's Orders
Disposition: Temporary Record. Retain for useful life.

Screening and Placing Committed Youth

YOUTH CASE FILES
Disposition: RETAIN UNTIL THE YOUTH REACHES TWENTY-THIRD BIRTHDAY, THEN SAMPLE CASE FILES FOR PERMANENT PRESERVATION. AFTER SAMPLING IS COMPLETED, PROCEED WITH DESTRUCTION OF REMAINING RECORDS.

Youth Intake Logs
Disposition: Temporary Record. Retain 1 year after the last entry.

Youth Placement Logs
Disposition: Temporary Record. Retain 1 year after the last entry.

Weekly Institution Vacancy Reports
Disposition: Temporary Record. Retain 1 year.

Providing Institutional Services

Juvenile Court Statistical Cards
Disposition: Temporary Record. Retain until data entry is verified.

Juvenile Court Statistical System Database
Disposition: Temporary Record. Retain for useful life.

Client Tracking System Database
Disposition: Temporary Record. Retain information for retention period of corresponding youth case files.

American Correctional Association Accreditation Files
Disposition: Temporary Record. Retain 3 years or until reaccreditation is completed.

DYS YOUTH FACILITY ADVISORY BOARD MEETING MINUTES
Disposition: PERMANENT RECORD.

DYS Youth Facility Employee Council and Staff Meeting Minutes
Disposition: Temporary Record. Retain for useful life.

Youth Complaint Files
Disposition: Temporary Record.
Substantiated Complaints: Retain until case is closed, then transfer to the employee personnel files if applicable.
Unsubstantiated Complaints: Retain 1 year after case is closed.

Providing Education Services

School Teacher Applications (Not-hired)
Disposition: Temporary Record. Retain 1 year.

School Teacher Personnel Files
Disposition: Temporary Record. Retain 25 years after separation or 7 years after retirement.

School Teacher Professional Development Files
Disposition: Temporary Record. Retain 3 years.

School Curriculum Files
Disposition: Temporary Record. Retain until superceded.

School Educational Plan Files
Disposition: Temporary Record. Retain 5 years.

Special Education Program Student Records
Disposition: Temporary Record. Retain 5 years after the termination of student from the program.

Monthly School Administrators' Reports
Disposition: Temporary Record. Retain 5 years.

STUDENT PERMANENT RECORDS
Disposition: PERMANENT RECORD.

Student Attendance Records
Disposition: Temporary Record. Retain 5 years.

Licensing and Monitoring Local Youth Delinquency Care Facilities or Programs

Youth Delinquency Care Facility/Program Licensure Files
Disposition: Temporary Record. Retain 5 years after the end of the year in which the license lapsed.

Group Home Monitoring Files
Disposition: Temporary Record. Retain 5 years after the end of the year in which the facility is closed.

Special Placement Files for Youths with Multiple Needs
Disposition: Temporary Record. Retain 5 years after the release of custody.

Certifying and Subsidizing Juvenile Probation Officers

Juvenile Probation Officer Licensure Files
Disposition: Temporary Record. Retain 5 years after the end of the year in which the license lapsed.

Administering the Interstate Compact on Juveniles

Interstate Compact on Juveniles and Interstate Compact for the Supervision of Parolees and Probationers Administrative Files
Disposition: Temporary Record. Retain 1 year after the end of the year in which the youth is transferred or returned.

Administering Internal Operations

Managing the Agency:

INFORMATIONAL AND PROMOTIONAL PUBLICATIONS
Disposition: PERMANENT RECORD.

DYS NEWSLETTERS
Disposition: PERMANENT RECORD.

STILL PHOTOGRAPHS.
Disposition: PERMANENT RECORD.

NEWS RELEASES
Disposition: PERMANENT RECORD.

Routine Correspondence/Memoranda
Disposition: Temporary Record. Retain 3 years.

Administrative Reference Files
Disposition: Temporary Record. Retain for useful life.

Quarterly Program Performance Report Files
Disposition: Temporary Record. Retain 3 years.

Program Periodic Reports
Disposition: Temporary Record. Retain until DYS Annual Report and Juvenile Statistical Report are published.

Lobbyist Activity Records and Reports
Disposition: Temporary Record. Retain 3 years.

Legislation Tracking Files
Disposition: Temporary Record. Retain for useful life.

Telephone Logs
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the records were created.

Mail or Parcel Service Pickup/Delivery Receipts
Disposition: Temporary Record. Retain 1 year.

Press Service Files
Disposition: Temporary Record. Retain for useful life.

Printing Service Request Files
Disposition: Temporary Record. Retain until receipt of printed material.

Printing Negatives and Plates
Disposition: Temporary Record. Retain until obsolete.

ANNUAL REPORTS
Disposition: PERMANENT RECORD.

JUVENILE STATISTICAL REPORTS
Disposition: PERMANENT RECORD.

Monthly DYS Operated/Licensed Facility Population Reports
Disposition: Temporary Record. Retain until DYS Annual Report and Juvenile Statistical Report are published.

Legal Case Files
Disposition: Temporary Record. Retain 7 years after the final disposition of the case.

Compliance Records

Records documenting DYS compliance with court orders
Disposition: Temporary Record. Retain 5 years after the final disposition of the case.

Board of Adjustment Case Files
Disposition: Temporary Record. Retain 5 years after the final disposition of the case.

Administrative Hearing Case Files
Disposition: Temporary Record. Retain 5 years after the final disposition of the case.

Records documenting the implementation of the department's approved RDA (copies of transmittal forms to the Archives and the State Records Center, evidence of obsolete records destroyed, and the department's annual reports to the State Records Commission)
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the records were created.

Copy of RDA
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the records were created.

Computer systems documentation (hardware/software manuals and diskettes, warranties, records of access/authorities, file naming conventions, Y2K records)
Disposition: Temporary Record. Retain documentation of former system 3 years after the end of the fiscal year in which the former hardware and software no longer exists anywhere in the agency and all permanent records have been migrated to a new system.

Managing Finances:

Records documenting the preparation of a budget package and reporting of the status of funds, requesting amendments of allotments, and reporting program performance
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the records were created.

Records documenting the requisitioning and purchasing of supplies and equipment, receipting and invoicing for goods, and authorizing payment for products
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the records were created.

Records of original entry or routine accounting transactions, such as journals, registers, ledgers, and funds deposited outside the state treasury.
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the records were created.

Records documenting requests for authorization from supervisors to travel on official business either within or outside the state, and other related materials, such as travel reimbursement forms and itineraries
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the records were created.

Records documenting contracts for services or personal property
Disposition: Temporary Record. Retain 6 years after expiration of the contract.

Records documenting the bid process, including requests for proposals and unsuccessful responses
Disposition: Retain in office (Code of Alabama 1975, Section 41-16-24).

Audit Reports
Disposition: Temporary Record. Retain 6 years after the end of the fiscal year in which the records were created.

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

Managing Human Resources:

Job Recruitment Materials
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the records were created.

Position Classification Files
Disposition: Temporary Record. Retain 4 years after position is reclassified.

Application Materials
Disposition: Temporary Record. Retain 1 year.

Records documenting payroll (e.g. pre-payroll reports, payroll check registers)
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the records were created.

Records documenting payroll deduction authorizations
Disposition: Temporary Record. Retain 6 years after separation of the employee from the agency.

Records documenting payroll deductions for tax purposes (including Form 941)
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the records were created.

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.

Records documenting employees' daily and weekly work schedules
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the records were created.

Records documenting employee disciplinary actions (reprimands, demotions, transfers, terminations, appeals, and administrative hearings)
Disposition: Temporary Record. Retain 3 years following decision.

Records documenting an employee's hours worked, leave earned, and leave taken (including time sheets)
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the records were created.

Records documenting sick leave donations
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the records were created.

Records documenting pre-service orientation and other in-service training for DYS employees
Disposition: Temporary Record. Retain 3 years.

Employee Flexible Benefits Plan Files
Disposition: Temporary Record. General information -- Retain until superseded.
Other (applications, correspondence) -- Retain 6 years after termination of participation in program.

State Employee Injury Compensation Trust Fund Files
Disposition: Temporary Record. Retain 6 years after separation of the employee from the agency.

Equal Employment Opportunity Commission Case Files
Disposition: Temporary Record. Retain 3 years.

Managing Properties, Facilities, and Resources:

Real Property Files
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the property is sold or otherwise disposed of.

Semiannual Inventory Lists
Disposition: Retain in office. (Code of Alabama 1975, Section 36-16-8 [1]).

Transfer of State Property Forms (SD-1) (Agency copies)
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the records were created.

Property Inventory Cards and/or Computer Files
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the items were removed from inventory.

Receipts of Responsibility for Property
Disposition: Temporary Record. Retain until return of item to property manager.

Real Property Leasing/Renting Records
Disposition: Temporary Record. Retain 6 years after expiration of the lease.

Facilities/Building Security Records (including visitor logs)
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the records were created.

Vehicle and Equipment Maintenance Files
Disposition: Temporary Record. Retain 3 years after the end of the fiscal year in which the property if sold or replaced.

Insurance Policies/Risk Management Records
Disposition: Temporary Record. Retain 6 years after termination of policy or membership.

Building Maintenance Work Orders
Disposition: Temporary Record. Retain 1 year.

Approval of Records Disposition Authority

By signing this agreement the Department of Youth Services acknowledges its responsibilities for the proper management of its records and agrees to abide by the implementation guidelines listed below:

This records disposition authority is hereby adopted.

By: ________________________________________________ Date: ____________

Walter Wood, Executive Director

Department of Youth Services

By: ________________________________________________ Date: ____________

Edwin C. Bridges, Chairman

State Records Commission

Department of Youth Services Records in the Appraisal Backlog of the Alabama Department of Archives and History

Archival Records

Interstate Compact on Juveniles Ratification Documents