Functional Analysis and Records Appraisal of the Alabama Manufactured Housing Commission

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1 Functional Analysis and Records Appraisal of the Alabama Manufactured Housing Commission Sources of Information Representative of the Alabama Manufactured Housing Commission Kathy Crowder, Records Liaison, Alabama Manufactured Housing Commission Code of Alabama 1975, Sections 24-4A-1 through 24-4A-7, through , through , through Alabama Administrative Code, Chapters 535-X-10, 5350-X-11, 535-X-12, & 535-X-13 Code of Federal Regulations, Title 24, Parts 3282 and 3283 Alabama Manufactured Housing Commission Audit Report ( ) Alabama Government Manual (1994) Government Records Division, State Agency Files (1985-ongoing) General Disposition Authority (GDA) Agency Organization The Alabama Manufactured Housing Commission (hereafter referred to as the Commission) is composed of six members, five of whom are appointed by the governor for fouryear, staggered terms. The Commission selects a sixth member to serve as a non-voting member and as the Commission s secretary. Appointed members are eligible for reappointment. A chairman, elected by members of the Commission every three years, presides over its meetings. The Commission meets on call of the chairman, monthly or twelve times a year. The Commission s day-to-day operations are carried out by an administrator and other support staff members. Currently, the Commission has eighteen full-time staff members (see attached organizational chart at the end of this report for reference). Agency Function The Alabama Manufactured Housing Commission was created by the Alabama Legislature in 1985 to provide a comprehensive manufactured housing and building program with respect to construction, transportation, site location or manufacturing standards for such structures. The Commission staff members perform all the duties and exercises all authorities relative to manufactured/modular buildings (offices, classrooms, restaurants, etc.) and manufactured housing (mobile homes) previously vested in the fire marshal s division of the Department of Insurance. In addition, the Commission participates, as the State Administrative Agency (SAA), in the Federal Standards Enforcement Program to ensure all manufactured buildings/homes are built in compliance with the National Manufactured Housing Construction and Safety Standards Act. The Commission is one of the agencies primarily involved in carrying out the Regulatory function of Alabama government. 1

2 Agency Subfunctions In the performance of its mandated function, the Commission may engage in the following subfunctions. # Approving Plans for Constructing Manufactured Buildings. This subfunction involves the Commission staff members effort in reviewing project design plans and quality control manuals submitted by manufacturers for approval and certification to construct manufactured buildings, such as offices, classrooms, and restaurants. Once the plans are approved by the Commission, manufacturers order an insignia for their units. The Commission staff may inspect a manufacturing facility to confirm that construction of a unit conforms to the approved plans. The Commission renews all approved plans annually upon receipt of a renewal fee. # Licensing Manufacturers and Dealers of Mobile Homes. The Commission is authorized to process license applications for construction of mobile homes by manufacturers and the sale of mobile homes by dealers. The initial application for a dealer s license is filed with one of the Commission s district inspectors located in the applicant s district. The inspector will then interview the applicant, explain the applicant s responsibilities under state and federal laws, and approve or disapprove the application. If approved, the inspector will forward applications and license fees to the Commission for processing. Applications for a manufacturer s license are handled through the Commission s office in Montgomery. There are no specific qualification requirements for both licenses. All licenses are valid for one year and renewable by the first day of each calendar year. # Certifying Installation Personnel. This subfunction reflects the Commission s mandate to ensure that all manufactured buildings and mobile homes are installed only by people certified by the Commission. Upon receipt and approval of the initial application by the Commission, the applicant may obtain a temporary certification for a period not to exceed six months. Applicants with temporary certification are required to attend an installer s course conducted by the Commission within six months in order to receive formal certification. Each certified installer must complete a refresher course on installation every two years after initial certification. All certifications are subject to annual renewal. # Investigating Violations and Instituting Proceedings in Appropriate Cases. The Commission is obligated, upon receipt of inspection reports or written consumer complaints alleging any violation of the rules and regulations of the Commission, to investigate the case and collect evidence. The Commission conducts disciplinary hearings to impose penalties if the violation is substantiated. # Participating in the Federal Standards Enforcement Program. The Code of 2

3 Alabama, Section authorizes the Commission to enter into contracts with the United States Department of Housing and Urban Development (HUD) to provide services in the enforcement of the National Manufactured Housing Construction and Safety Standards Act. As the State Administrative Agency (SAA), the Commission performs certain inspection and monitoring activities and prepares various monthly program statistical reports to HUD. # Administering Office Operations. The activities of this subfunction include all general administrative activities, financial management, property management, human resources management, and records management for the agency. Agency Record Keeping System The Commission s record keeping system relies on both paper and electronic records. At this time the agency creates a paper copy of all electronic records. The Commission operates its electronic record keeping system through the Information Services Division of the Finance Department. Staff members utilize ten IBM PCS to maintain databases for licensees and certified installers. Applications are routinely backed up on diskettes by individual users and backups are stored onsite in the Commission s office. Records Appraisal The following is a discussion of the two major categories of records created and/or maintained by the Board: Temporary Records, and Archival Records. Each category begins by defining the type of records to which it relates and continues with a justification of the appraisal decision. I. 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 under the General Disposition Authority (GDA). The GDA, developed as an appraisal resource guide by the Archives, includes the groups of records listed in the Administering Office Operations subfunction. The agency 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. The following list includes some of the short-term records that are listed under the GDA. # State Administrative Agency Reports. As required under 24 CFR , the Commission submits a number of monthly reports to the U.S. Department of Housing and Urban Development (HUD). These reports provide statistical data on the number of 3

4 plants producing mobile homes, number of complaints received and resolved, number of facilities / mobile homes inspected by the Commission staff for compliance with law or for any investigations, number of plants submitting plans for notification / correction, and number of final determination made. As a usual practice, the Commission maintains a copy of these reports along with supporting documentation for reference. They do not possess any significant historical value and should be disposed of after one audit review by the Examiners of Public Accounts. 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. Lowcost, 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 Commission and have met all the 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 Commission: # State Plan Application Files. In order to participate as the State Administrative Agency under the federal standards enforcement program, the Commission submits applications to the United States Department of Housing and Urban Development for approval. These are files created by the Commission to document the application process. # Manufactured Building Design Plan Files. These files consist of manufactured building project design plans and quality control manuals submitted by manufacturers for review and approval by the Commission staff. Also included are notarized letters from manufacturers stating the buildings will be built according to the approved plans, insignia requests, inspection reports, complaint records, renewal notices, shipping data, and other correspondence. Since these files may be used as supporting documentation in legal proceedings, they should be preserved for a reference period after the plans cease to be effective. # Mobile Home Manufacturer Licensure Files. Included in these files are original applications, copies of licenses, monthly statistical reports submitted by licensees, complaint records, correspondence, and annual renewal notices. They are retained for long-term for administrative reference needs. When the Commission is notified that a manufacturer is no longer operating a business, the file is extracted and then placed in the closed file location for a short reference period. # Manufactured Building Dealer Licensure Files. Included in these files are original applications, copies of licenses, monthly statistical reports submitted by licensees, complaint records, correspondence, and annual renewal notices. They are retained longterm for administrative reference needs. When the Commission is notified that a dealer is no longer in business, the file is extracted and then placed in the closed file location for a short reference period. 4

5 # Manufactured Building / Mobile Home Installer Certification Files. These files document the certification process for installers. Records found in these files include applications, certification course examinations, monthly reports submitted by installers, complaint records, copies of certificates, annual renewal notices, and correspondence. Since installers who fail to renew their certifications are entitled to renew their certifications anytime by paying a late penalty fee, these files must be maintained long term after the certification has lapsed. II. 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 adequate documentation required by the state to fully describe over time the function of the Alabama Manufactured Housing Commission. Approving Plans for Constructing Manufactured Buildings: # Meeting Minutes of the Alabama Manufactured Housing Commission. According to Code of Alabama, Section (3), the Commission is required to meet at the call of the chairman monthly, or twelve times per year. The meeting minutes document proposed and executed proceedings of the Commission. Topics on meeting agenda may include program activities, violations / complaints, staff problems, receipts and disbursement, and other related issues, such as audit findings / recommendations by the Examiners of Public Accounts. These minutes should be preserved as the key archival documentation of the Commission s work. Licensing Manufacturers and Dealers of Mobile Homes: Archival records documenting this subfunction are listed under the Approving Plans for Constructing Manufactured Buildings subfunction. Certifying Installation Personnel: Archival records documenting this subfunction are listed under the Approving Plans for Constructing Manufactured Buildings subfunction. Investigating Violations and Instituting Proceedings in Appropriate Cases: Archival records documenting this subfunction are listed under the Approving Plans for 5

6 Constructing Manufactured Buildings subfunction. Participating in the Federal Standards Enforcement Program: The Commission currently creates no archival records under this subfunction. Administering Office Operations: The Commission currently creates no archival records under this subfunction. 6

7 RDA Alabama Manufactured Housing Commission Records Disposition Authority This Records Disposition Authority (RDA) lists records created and maintained by the Alabama Manufactured Housing Commission (hereafter referred to as the Commission ) in carrying out its mandated functions and activities. 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 Commission to implement the disposition instructions, including the transfer of records to the Department of Archives and History, the transfer of records 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 Commission. 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 records created and/or maintained by the agency. # 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 State Records Center, if in paper format. # The short-term groups of records listed within the Administering Office Operations subfunction of this RDA represent duplicate copies of long-term and archival records maintained by other agencies. For example, records management documentation maintained by the agency until the completion of one audit and release of the audit report is maintained as an archival record by the Department of Archives and History. # Temporary records whose retention states retain until completion of one audit and the release of the audit report should be maintained through the completion of one external audit by the Examiners of Public Accounts. Neither the conduct of an independent audit 1

8 nor an internal audit will satisfy the requirement of this retention. RDA # Archival records are so noted, and the Commission should transfer them to the Alabama Department of Archives and History at the end of the administration or when the records are inactive. Records Disposition Requirements This section of the RDA is arranged by subfunctions of the Commission and lists records created and/or maintained by the Commission as a result of activities and transactions performed in carrying out these functions. There is a disposition requirement for each type of record 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. Approving Plans for Constructing Manufactured Buildings Meeting Minutes of the Alabama Manufactured Housing Commission Disposition: ARCHIVAL RECORD. TRANSFER TO ADAH. Manufactured Building Design Plan Files Disposition: Temporary Record. Retain 5 years after the end of the year in which the manufacturer fails to renew its plans. Licensing Manufacturers and Dealers of Mobile Homes Mobile Home Manufacturer Licensure Files Disposition: Temporary Record. Retain 5 years after the end of the year in which the license lapses. Mobile Home Dealer Licensure Files Disposition: Temporary Record. Retain 5 years after the end of the year in which the license lapses. Certifying Installation Personnel Manufactured Building / Mobile Home Installer Certification Files Disposition: Temporary Record. Retain 5 years after the end of the year in which the license lapses. Investigating Violations and Instituting Proceedings in Appropriate Cases Complaint Records Disposition: Temporary Record. Retain 5 years after the end of the year in which the license 2

9 lapses. RDA Participating in the Federal Standards Enforcement Program State Administrative Agency Reports Disposition: Temporary Record. Retain until completion of one audit and the release of the audit report. Administering Office Operations General Administration: State Plan Application Files Disposition: Temporary Record. Retain until the termination of participation in the Federal Standards Enforcement Program. Legal Case Files Disposition: Temporary Record. Retain 10 years after the case is closed. Correspondence Disposition: Temporary Record. Retain 3 years. Administrative Reference Files Disposition: Temporary Record. Retain for useful life. Records Management : Disposing of records (records documenting the implementation of the Board s approved RDA. Such documentation would include copies of transmittals for records transferred to ADAH and lists of records destroyed once those lists have been submitted to the State Records Commission in the Board s annual report). Disposition: Temporary Record. Retain until completion of one audit and the release of the audit report after the 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. Financial Management : Budgeting (records documenting the preparation of a budget package and reporting of the status of funds, requesting amendments of allotments, and reporting program performance). 3

10 Disposition: Temporary Record. Retain until completion of one audit and release of the audit report. RDA Purchasing (records documenting the requisitioning and purchasing of supplies and equipment, receipting and invoicing for goods, and authorizing payment for products). Disposition: Temporary Record. Retain until the completion of one audit and the release of the audit report. Accounting (records of original entry - journals, registers, and ledgers - and monies deposited outside the state treasury). Disposition: Temporary Record. Retain until completion of one audit and the release of the audit report. 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: Retain in office (Code of Alabama 1975, Sections to ). Human Resources Management : Compensating (records documenting salary and wages) Disposition: Temporary Record. Retain until completion of one audit and the release of the audit report. (records documenting employee leave requests and approval of leave time) Disposition: Temporary Record. Retain until completion of one audit and the release of the audit report. 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. (records documenting the worker s compensation program) 4

11 Disposition: Temporary Record. Retain 12 years after creation. RDA 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. (records documenting cumulative leave) Disposition: Temporary Record. Retain 6 years after separation of employee from the agency. Disciplining (records documenting the employee appeal to the Personnel Board of formal reprimands, demotions, transfers, or terminations) Disposition: Temporary Record. Retain 3 years following decision. Traveling (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.) Disposition: Temporary Record. Retain until completion of one audit and the release of the audit report. Property Management : Inventorying (records documenting the conduct of the semiannual property inventories) Disposition: Retain in office. (Code of Alabama 1975, Section [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 of receipt of property) Disposition: Temporary Record. Retain 3 years after disposition of property. Maintaining State Vehicles (records documenting the use, maintenance, and disposition of automobiles owned by the agency for use in official business.) Disposition: Temporary Record. Retain 2 years after vehicle is sold. Approval of Records Disposition Authority 5

12 By signing this agreement the Commission acknowledges its responsibilities in the proper management of its records and agrees to abide by the implementation guidelines listed below. RDA # The Commission 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 Commission will also document the destruction of the records created and maintained by the agency and to 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, microfilm), their volume, their date span, and their destruction date. The Archives will provide a report on the archival holdings of the Commission for the State Records 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 agency receives a notice of pending or imminent litigation, government investigation, or audit, even when destruction is normally permitted under the RDA. # Archival records, while in the custody of the agency, should be maintained under the intellectual and physical control of the agency and under environmental conditions that will ensure their continued preservation. # The Commission 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 agency, for coordinating the transfer and destruction of records, for maintaining centralized control files on the disposition of agency records, and for ensuring the regular implementation of the agency s approved RDA. # The Commission agrees to allow the State Records Commission, its staff, and the Examiners of Public Accounts to examine into the condition of the archival records maintained in the custody of the Commission and to inspect documentation on the destruction of public records. By: Date: Jimmy B. Sloan, Administrator Alabama Manufactured Housing Commission 6

13 By: Edwin C. Bridges, Chairman State Records Commission Date: RDA 7