We spent the previous two weeks discussing the state agency Records Disposition Authority (RDA) revision process:
- “Help – This RDA is Outdated!”: How to Determine if Your State Agency Records Disposition Authority (RDA) Needs Revision
- An Overview of the State Agency Records Disposition Authority (RDA) Revision Process
Once you have contacted Records Management staff, held an introductory meeting, and received a copy of the currently approved RDA in Microsoft Word from Records Management staff, you are ready to begin revising.
The Microsoft Word copy of the RDA will contain notations indicating which sections may be revised and which sections contain standardized, inalterable language.
Edit the document using Microsoft Word’s “Track Changes” feature.
The RDA contains three main sections. Read below for a detailed guide to revising each section.
Section 1: Functional and Organizational Analysis
This section assesses the types of work your agency performs in the regular course of business.
This subsection should include an in-depth contextual description of the events leading to the agency’s establishment and the agency’s history, including, but not limited to, the following:
- Origin and development of the profession in the state of Alabama
- Specific legislation establishing the agency
- Agency composition and organization over time, if different than at present
- Specific executive orders, state legislation, and/or federal legislation affecting the agency, e.g. increasing or decreasing the scope of the agency’s work, restructuring the agency, etc.
- Explanatory notes which define concepts or terms specific to the field/industry that the general public may not understand
This subsection derives from the Code of Alabama 1975 and legislation. It should describe the agency’s current organization, including the structure of its board or executive branch, qualifications to serve, appointment procedures, meeting procedures, and term limits. This section also provides a brief overview of the agency’s departmental branches.
Agency Functions and Subfunctions
The agency function designation comes from a standard set of government functions and may not be altered.
The agency subfunctions may be revised to reflect the agency’s added or removed tasks. Subfunctions should be simple and concise. Records Management staff can help you articulate your agency’s subfunctions using a controlled vocabulary.
Common subfunctions include:
- Investigating Complaints & Violations
- Promoting Public Awareness
- Promulgating Rules & Regulations
- Providing Services
Note: “Administering Internal Operations” is common to every RDA and includes records that all agencies produce. This subsection should not be altered.
Each subfunction title should be followed by a thorough description of the subfunction. These descriptions may include legislation that assigns or authorizes the agency to engage in a subfunction, the activities encompassed by the subfunction, and the procedures followed in pursuance of the subfunction. These descriptions provide context for Section 2, which describes the record types within each subfunction.
Section 2: Records Appraisal
This section consists of descriptions of all permanent records and select temporary records.
Temporary records should be listed and described if they require explanation in order to be understood clearly by agency staff and State Records Commissioners.
The section is divided into (1) temporary records descriptions, (2) permanent records descriptions, and (3) the permanent record list. Records are ordered by subfunction in the same order in which they appear in Section 3.
Descriptions may include the following, if appropriate:
- Scope of materials included in the record series
- Format of record series
Additionally, descriptions must include the following:
- Description of record series
- Retention/disposition requirement
- For temporary records, a justification for the retention/disposition requirement
- For permanent records, an explanation of how/why the record series is deemed historically significant, citing statute if appropriate
Note: ADAH staff will provide the “Bibliographic Titles” appearing at the end of each permanent record description.
If your agency no longer produces a record series in the RDA, the series should be listed in a subsection entitled “Records No Longer Created” so that the Commission knows why they are no longer present.
The “Permanent Records List” at the end of Section 2 is a one-page list of all the permanent records created by the agency. Records are ordered by subfunction in the same order in which they appear in Section 3. Asterisks indicate permanent records that the agency will maintain on-site.
Many currently approved RDAs include the subsection “Agency Recordkeeping System” within Section 2. This subsection describes the agency’s paper and electronic filing practices. While this information is still necessary, Records Management staff will withdraw this subsection into a separate but joint document in order to protect the agency’s security and assets. The “Agency Recordkeeping System” will not be published online.
Section 3: Records Disposition Authority
This section provides retention periods for every record series, whether temporary or permanent. Permanent series are in all caps.
The retention requirement for each temporary record series depends on a variety of factors, including legislative and audit requirements and the record series’ foreseeable administrative and historical value. Records Management staff can provide guidance on a reasonable retention requirement.
Common language for temporary record retention requirements includes:
- Retain [x] years.
- Retain[x] years after [y].
- Retain [x] years after the end of the fiscal year in which [y].
- Retain [x] years after audit.
- Retain until superseded.
“Explanation of Records Requirements” and “Requirements and Recommendations for Implementing the RDA” are both standard to all RDAs.
- Return RDA Working Draft to Records Management Staff
- Agency Leadership Reviews Final Draft
- The State Records Commission Approves the RDA Revision
The state agency RDA is a complex document. Please feel free to reach out to Records Management staff with any questions at any point during the revision process using the contact information below: