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HomeMy WebLinkAboutAgenda 08-26-2025; 8-d - Adoption of Program and General Records Retention and Disposition Schedules for Local Government Agencies 1 ORANGE COUNTY BOARD OF COMMISSIONERS ACTION AGENDA ITEM ABSTRACT Meeting Date: August 26, 2025 Action Agenda Item No. 8-d SUBJECT: Adoption of Program and General Records Retention and Disposition Schedules for Local Government Agencies DEPARTMENT: BOCC ATTACHMENT(S): INFORMATION CONTACT: Program Records Schedule — Local John Roberts, County Attorney, 919- Government Agencies 245-2318 General Records Schedule — Local Laura Jensen, Clerk to the Board, 919- Government Agencies 245-2130 PURPOSE: To adopt the records retention and disposition schedules for local government agency program and general records, as required by the NC Department of Natural and Cultural Resources. BACKGROUND: The North Carolina Department of Natural and Cultural Resources ("NCDNCR") is directed by legislation to provide and administer records management services to state and local governments and to public colleges and universities. The NCDNCR fulfills that mandate by issuing guidance and best practice documents, creating records retention schedules and providing workshops, online tutorials and other forms of training to state and local officials. In addition to the NCDNCR schedules, many departmental record retention requirements are outlined in other NC laws and guidelines. In 2021, the Board of County Commissioners approved a resolution stating that future records retention schedules could be signed by the County Manager after review by the County Attorney. The County was informed by NCDNCR in 2025 that the resolution was insufficient, and requires adoption of updated retention schedules by the governing board. The Clerk to the Board reviewed agency policy dates with the affected departments and made updates as necessary. FINANCIAL IMPACT: There is no financial impact associated with this item. ALIGNMENT WITH STRATEGIC PLAN: This item supports: • GUIDING PRINCIPLE — COMMUNICATION AND AWARENESS We provide information and opportunities for engagement in a transparent manner so that all in our community have knowledge, understanding, and a voice. RECOMMENDATION(S): The Manager recommends that the Board adopt the records retention and disposition schedules for local government agency program and general records, as required by the NC Department of Natural and Cultural Resources. 2 RECORDS RETENTION AND DISPOSITION SCHEDULE PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 2 j, o QUpry�V\D'-� Issued By: ®■ NC DEPARTMENT OF 1! 'm 'o■ NATURAL AND CULTURAL RESOURCES n 41 ,m North Carolina Department of Natural and Cultural Resources Division of Archives and Records Government Records Section October 1, 2021 3 CONTENTS Approval..........................................................................................................................................iv Front Matter ExecutiveSummarV..........................................................................................................................v Legend for Records Schedule..........................................................................................................vi Records Retention and Disposition Schedule Standard 10: Airport Authority Records......................................................................................... 1 Standard 11: Animal Services Records ........................................................................................... 3 Standard 12: Code Enforcement and Inspection Records.............................................................. 5 Standard 13: Emergency Medical Services and Fire Department Records.................................. 12 Standard 14: Parks and Recreation Records................................................................................. 16 Standard 15: Planning and Regulation of Development Records ................................................ 19 Standard 16: Public Housing Authorities, Redevelopment Commissions, and Entitlement CommunitiesRecords............................................................................................................... 25 Standard 17: Public Transportation SVstems Records.................................................................. 31 Standard 18: Public Utilities and Environmental/Waste Management Records......................... 34 Standard 19: Street Maintenance, Public Works, and Engineering Records ............................... 46 Standard 20: Law Enforcement Records(excluding Sheriff's Office) .......................................... 53 Standard 21:Tax Records (for municipalities) ............................................................................. 73 Appendix Managing Public Records in North Carolina................................................................................A-1 Audits, Litigation, and Other Official Actions ..............................................................................A-5 TransitorVRecords.......................................................................................................................A-6 Destruction of Public Records......................................................................................................A-8 Sample Destructions Log ...............................................................................................A-10 Electronic Records: E-mail, Born Digital Records,and Digital Imaging .....................................A-11 GeospatialRecords ...................................................................................................................A-13 Security Preservation Record Copies.........................................................................................A-15 DisasterAssistance ....................................................................................................................A-17 StaffTraining..............................................................................................................................A-18 Request Forms Request for Change in Records Schedule......................................................................A-19 Request for Disposal of Unscheduled Records..............................................................A-20 Request for Disposal of Original Records Duplicated bV Electronic Means..................A-21 FilePlan......................................................................................................................................A-22 Index ........................................................................................................................................A-23 2021 Program Records Schedule: Local Government Agencies 4 Program Records Schedule: Local Government Agencies The records retention and disposition schedules and retention periods governing the records series listed herein are hereby approved. This approval extends to and includes the following standards in the 2021 Program Records Schedule:Local Government Agencies: 10.Airport Authority Records 11.Animal Services Records 12.Code Enforcement and Inspection Records 13.Emergency Medical Services and Fire Department Records 14.Parks and Recreation Records 15.Planning and Regulation of Development Records 16.Public Housing Authorities, Redevelopment Commissions,and Entitlement Communities Records 17.Public Transportation Systems Records 18.Public Utilities and Environmental/Waste Management Records 19.Street Maintenance, Public Works,and Engineering Records 20.Law Enforcement Records(excluding Sheriff's Offices) 21.Tax Records(for municipalities) In accordance with the provisions of Chapters 121 and 132 of the General Statutes of North Carolina, it is agreed that the records do not and will not have further use or value for official business, research, or reference purposes after the respective retention periods specified herein and are authorized to be destroyed or otherwise disposed of by the agency or official having custody of them without further reference to or approval of either party to this agreement. Destructions N.C.Gen. Stat. § 121-5 authorizes the Department of Natural and Cultural Resources to regulate the destruction of public records. Furthermore,the local government agency agrees to comply with 07 NCAC 04M.0510 when deciding on a method of destruction. The North Carolina Administrative Code states: "(a)Paper records which have met their required retention requirements and are not subject to legal or other audit holds should be destroyed in one of the following ways: 1. burned,unless prohibited by local ordinance; 2. shredded,or torn up so as to destroy the record content of the documents or material concerned; 3. placed in acid vats so as to reduce the paper to pulp and to terminate the existence of the documents or materials concerned;or 4. sold as waste paper,provided that the purchaser agrees in writing that the documents or materials concerned will not be resold without pulverizing or shredding the documents so that the information contained within cannot be practicably read or reconstructed. (b)When used in an approved records retention and disposition schedule,the provision that electronic records are to be destroyed means that the data and metadata are to be overwritten, deleted, and unlinked so the data and metadata may not be practicably reconstructed. (c)When used in an approved records retention and disposition schedule,the provision that confidential records of any format are to be destroyed means the data,metadata,and physical media are to be destroyed in such a manner that the information cannot be read or reconstructed under any means." All local government agencies should maintain logs of their destructions either in the minutes of their governing board or in their Records Management file. Confidential records will be destroyed in such a manner that the records cannot be practicably read or reconstructed. 2021 Program Records Schedule: Local Government Agencies i 5 Public records,including electronic records,not listed in this schedule are not authorized to be destroyed. Audits and Litigation Actions Records subject to audit or those legally required for ongoing official proceedings must be retained until released from such audits or official proceedings, notwithstanding the instructions of this schedule. Electronic Records All local government agencies and the Department of Natural and Cultural Resources concur that the long-term and/or permanent preservation of electronic records requires additional commitment and active management by the agency. Agencies agree to comply with all policies, standards, and best practices published by the Department of Natural and Cultural Resources regarding the creation and management of electronic records. Local government agencies should consider retention requirements and disposition authorities when designing and implementing electronic records management systems. Any type of electronically-created or electronically-stored information falls under the North Carolina General Assembly's definition of public records cited above. For example, e-mail,text messages, blog posts,voicemails,websites,word processing documents,spreadsheets, databases, and PDFs all fall within this definition of public records. In addition, N.C.Gen.Stat. §132-6.1(a)specifies: "Databases purchased, leased, created, or otherwise acquired by every public agency containing public records shall be designed and maintained in a manner that does not impair or impede the public agency's ability to permit the public inspection and examination of public records and provides a means of obtaining copies of such records. Nothing in this subsection shall be construed to require the retention by the public agency of obsolete hardware or software." Local government agencies may scan any paper record and retain it electronically for ease of retrieval. If an agency wishes to destroy the original paper records before their assigned retention periods have been met,the agency must establish an electronic records policy, including putting into place procedures for quality assurance and documentation of authorization for records destructions approved by the Government Records Section. This electronic records policy and releases for destruction of records must be approved by the Government Records Section. Agencies should be aware that for the purpose of any audit, litigation, or public records request, they are considered the records custodian obligated to produce requested records,even if said records are being maintained electronically by an outside vendor. Therefore, contracts regarding electronically stored information should be carefully negotiated to specify how records can be exported in case a vendor goes out of business or the agency decides to award the contract to a different vendor. Reference Copies All local government agencies and the Department of Natural and Cultural Resources agree that certain records series possess only brief administrative,fiscal, legal, research,and reference value. These records series have been designated by retention periods that allow these records to be destroyed when "reference value ends." All local government agencies hereby agree that they will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." If a local government agency does not establish internal policies and retention periods, the local government agency is not complying with the provisions of this retention schedule and is not authorized by the Department of Natural and Cultural Resources to destroy the records with the disposition instruction "destroy when reference value ends." Record Copy A record copy is defined as"The single copy of a document,often the original,that is designated as the official copy for reference and preservation."' The record copy is the one whose retention and disposition is mandated by these schedules; all additional copies are considered reference or access copies and can be destroyed when their usefulness expires. In some cases, postings to social media may be unofficial copies of information that is captured elsewhere as a record copy (e.g., a press release about an upcoming agency event that is copied to various social 1 Society of American Archivists,Dictionary of Archives Terminology. 2021 Program Records Schedule: Local Government Agencies ii 6 media platforms). Appropriately retaining record copies and disposing of reference copies requires agencies to designate clearly what position or office is required to maintain an official record for the duration of its designated retention period. Transitory Records Transitory records are defined as "record[s] that [have] little or no documentary or evidential value and that need not be set aside for future use."' North Carolina has a broad definition of public records. However,the Department of Natural and Cultural Resources recognizes that some records may have little or no long-term documentary or evidential value to the creating agency. These records are often called transitory records. They may be disposed of according to the guidance below. However, all public employees should be familiar with their appropriate retention schedule and any other applicable guidelines for their office. If there is a required retention period for these records,that requirement must be followed. When in doubt about whether a record is transitory or whether it has special significance or importance, retain the record in question and seek guidance from a DNCR records analyst. Routing slips and transmittal sheets adding no information to that contained in the transmitted material have minimal value after the material has been successfully transmitted. These records may be destroyed or otherwise disposed of after receipt of the material has been confirmed. Similarly, "while you were out" slips, memory aids, and other records requesting follow-up actions(including voicemails and calendar invites) have minimal value once the official action these records are supporting has been completed and documented. These records may be destroyed or otherwise disposed of once the action has been resolved. Drafts and working papers, including notes and calculations, are materials gathered or created to assist in the creation of another record. All drafts and working papers are public records subject to all provisions of Chapter 132 of the General Statutes, but many of them have minimal value after the final version of the record has been approved, and may be destroyed after final approval, if they are no longer necessary to support the analysis or conclusions of the official record. Drafts and working documents that maybe destroyed after final approval include: • Drafts and working papers for internal and external policies • Drafts and working papers for internal administrative reports,such as daily and monthly activity reports; • Drafts and working papers for internal, non-policy-level documents, such as informal workflows and manuals;and • Drafts and working papers for presentations, workshops, and other explanations of agency policy that is already formally documented. Forms used solely to create, update, or modify records in an electronic medium may be destroyed in office after completion of data entry and after all verification and quality control procedures,so long as these records are not required for audit or legal purposes. However, if the forms contain any analog components that are necessary to validate the information contained on them (e.g., a signature or notary's seal),they must be retained according to the disposition instructions for the records series encompassing the forms'function. It is further agreed that these records may not be destroyed prior to the time periods stated; however,for sufficient reason they may be retained for longer periods. These schedules supersede previous versions of these schedules and any localized amendments;they are to remain in effect from the date of approval until they are reviewed and updated. Z Ibid. 2021 Program Records Schedule: Local Government Agencies iii 7 APPROVAL RECOMMENDED Municipal/County Clerk or Manager Sarah E. Koonts, Director Title: Division of Archives and Records APPROVED r Head of Governing Body D. Reid Wilson,Secretary Title: Department of Natural and Cultural Resources County/Municipality: Effective: October 1, 2021 2021 Program Records Schedule: Local Government Agencies iv 8 EXECUTIVE SUMMARY ✓ Some records are covered by the General Records Schedule:Local Government Agencies and, therefore,are not listed separately here. ✓ According to N.C. Gen. Stat. § 121-5(b) and N.C. Gen.Stat. § 132-3,you may destroy public records only with the consent of the Department of Natural and Cultural Resources(DNCR). The State Archives of North Carolina is the division of DNCR charged with administering a records management program.This schedule is the primary way the State Archives of North Carolina gives its consent. Without approving this schedule,your agency is obligated to obtain the State Archives of North Carolina's permission to destroy any record, no matter how insignificant. ✓ Each records series listed on this schedule has specific disposition instructions that will indicate how long the series must be kept in your office. In some cases,the disposition instructions are simply"retain in office permanently,"which means that those records must be kept in your office forever. In other cases,the retention period may be "destroy in office when reference value ends." An agency may have reference copies of materials, meaning"a copy of a record distributed to make recipients aware of the content but not directing the recipient to take any action on the matter" (from Society of American Archivists, Dictionary of Archives Terminology). Your agency must establish and enforce internal policies by setting minimum retention periods for the records that the State Archives of North Carolina has scheduled with the disposition instructions, "destroy when reference value ends." ✓ E-mail is a record as defined by N.C. Gen. Stat. § 121-5 and N.C. Gen.Stat. § 132. It is the content of the e-mail that is critical when determining the retention period of a particular e-mail, including attachments, not the media in which the record was created. It is important for all agency employees and officials to determine the appropriate records series for specific a-mails and retain them according to the disposition instructions listed with the identified record series. ✓ The State Archives of North Carolina recommends that all agency employees and officials view the tutorials that are available online through the State Archives website in order to familiarize themselves with records management principles and practices. The State Archives of North Carolina's online tutorials include topics such as records management and scanning guidelines. ✓ The State Archives of North Carolina creates security preservation record copies for minutes and selected other records of governing bodies and commissions, adoption records, and maps and plats.Agencies can request copies of the digital images made during this process.Contact the appropriate Records Management Analyst to begin this process. ✓ If you have records that are not listed in this schedule, contact a Records Management Analyst.An analyst will discuss the nature of the records with you to determine if the records have historical value. If the records do not have historical value,we will ask you to complete a Request for Disposal of Unscheduled Records(page A-19)for records that are no longer being created. 2021 Program Records Schedule: Local Government Agencies v 9 LEGEND FOR RECORDS SCHEDULE This records retention and disposition schedule applies to records in all media, unless otherwise specified. r1 —symbol designating that one or more records in this series may be confidential or Includes t confidential information. Item#—an identifying number assigned to each records series for ease of reference. Series—"a group of similar records that are . . . related as the result of being created, received,or used in the same activity." (From Society of American Archivists, Dictionary of Archives Terminology). Series in this schedule are based on common functions in government offices. Records Series Title—a short identification of the records in a series, based on their common function. Series Description—a longer description of the records in a series,often including the types of records that can frequently be found in that series. This information is included underneath the Records Series Title. Disposition Instructions—instructions dictating the length of time a series must be retained and how the office should dispose of those records after that time. Citation—a listing of references to statutes, laws, and codes related to the records series. Citations can include: • Authority:governing the creation of records • Confidentiality: limiting access to public records • Retention: setting a retention period Throughout this schedule, items that cross-reference other items within this schedule are indicated with a SEE ALSO reference. If you hover your cursor over one of these items,you will see the hand tool that will enable you to click on the item to follow the link to that location. AUDITS:PERFORMANCE Records concerning internal and external audits conductedto assess the function of government programs. includes reports,working papers, corrective measures,and other related records_ SEE ALSO:Audits:Financial(STANDARD 2:BUDGET, FISCAL,AND PAYROLL RECORDS). Sample records series title and description with cross-reference included No destruction of records may take place if litigation or audits are pending or reasonably anticipated. See also AUDITS, LITIGATION,AND OTHER OFFICIAL ACTIONS,page A-5. 2021 Program Records Schedule: Local Government Agencies vi 10 '._-• NC DEPARTMENT OF NATURAL AND CULTURAL RESOURCES STANDARD 10:PROGRAM OPERATIONAL RECORDS—AIRPORT AUTHORITY RECORDS Official records and materials created and accumulated incidental to the operation of a county or municipal airport. STANDARD 10:AIRPORT AUTHORITY RECORDS ITEM# 0 RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION D 10.01 ACCESS CONTROL RECORDS Destroy in office 1 year after expiration. 0 Records concerning employee or contractor access to -I. facilities or resources. D c Zr 10.02 AIR SPACE CONSTRUCTION Destroy in office after 5 years. Applications to construct structures which may obstruct flight space. Includes correspondence and related records. 10.03 AIRFIELD INSPECTION Destroy in office after 1 year. Authority/Retention: Records concerning airfield inspections on runway 14 CFR 139.301 conditions,fueling agents,fire and rescue facilities, ground vehicle control and other airport condition information. 10.04 AIRPORT MASTER RECORD Destroy in office when superseded or obsolete. Federal Aviation Administration(FAA)form 5010 documenting basic information concerning airports. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 1 11 . ... '.�-• NC DEPARTMENT OF NATURAL AND CULTURAL RESOURCES STANDARD 10:AIRPORTAUTHORITYRECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 10.05 LAND DEVELOPMENT AND PLANNING STUDIES AND Retain in office permanently. REPORTS Records documenting local government and airport authority land use and development planning. 10.06 RADIO LOGS Destroy in office after 1 year. Records of radio calls received and placed. D 0 D c 0 r»: *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 2 12 IM' 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES =y NATURA AND OF r�� NATURAL AND CULTURAL RESOURCES STANDARD 11:PROGRAM OPERATIONAL RECORDS—ANIMAL SERVICES RECORDS Records created and received during the conduct of animal services programs. NOTE:Some records are covered by General Records Schedule:Local Government Agencies and,therefore,are not listed separately here. See Reference (Reading) File and Reports and Studies(Administration and Management Records). D STANDARD 11:ANIMAL SERVICES RECORDS 3 ITEM# v RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION m P- 11.01 ANIMAL ABUSE AND CRUELTY RECORDS Destroy in office after 5 years.* See G.S. 14-360 for m Includes complaints,citations and/or compliance orders, definition of animal En and other related records. cruelty. 11.02 ANIMAL COMPLAINT RECORDS Destroy in office after 3 years.* Includes complaints of animal nuisances. 11.03 ANIMAL CONTROL RECORDS a) Destroy in office records concerning dangerous Records of animal control calls. Includes information animals when known dead or after 10 years. regarding animal bites,animals received from residents, strays caught,animals taken to shelter or returned to b) Destroy in office animal control citations and owner,use of tranquilizer guns,and other related compliance orders after 3 years.* records.Also includes citations and/or compliance orders issued to animal owners for violations of government c) Destroy in office remaining records after 1 year. ordinances. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 3 13 .... 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES NTURA AND OF NAATURAL AND CULTURAL RESOURCES STANDARD 11:ANIMAL SERVICES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 11.04 ANIMAL LICENSING RECORDS Destroy in office after 3 years.* Confidentiality: Records concerning the licensing of dogs,cats,and other G.S. 132-1.2(2) t animals. Includes owner and animal information and record of fees paid. 11.05 ANIMAL SHELTER RECORDS Destroy in office 3 years after date of impoundment. Authority/Retention: D Records of animals impounded at the shelter,including G.S. 19A-32.1(j) 2. date of impoundment, length of impoundment, 3 disposition of animal,and any other information required Confidentiality(for t by rules adopted by the State Board of Agriculture.Also specific counties): CD includes certificates of animal release(e.g.,adoption, G.S. 132-1.15 :z reclaim,transfer,return to field) and owner contact m U) records. 11.06 CONTROLLED SUBSTANCE EUTHANASIA LOG Destroy in office after 2 years. Retention: Includes amount of controlled substances used. 21 CFR 1304.04 11.07 HISTORIES OF PET OWNERS Destroy in office after 3 years.* Records concerning information for each animal owner who violates government ordinances. Includes complaint forms and other related records. 11.08 RABIES VACCINATION RECORDS Destroy in office after 3 years. Authority: Includes rabies vaccination certificates submitted to G.S. 130A-189 agency by area veterinarians. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 4 14 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES °-e N N AATUTURAL AND DEPARTMEN AND OF CULTURAL RESOURCES STANDARD 12:PROGRAM OPERATIONAL RECORDS—CODE ENFORCEMENT AND INSPECTION RECORDS Official records and materials created and accumulated during the conduct of local government code enforcement and inspection programs. NOTE:Some records are covered by the General Records Schedule: Local Government Agencies and,therefore,are not listed separately here. N STANDARD 12:CODE ENFORCEMENT AND INSPECTION RECORDS n ITEM# p Q RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION m 12.01 AIR POLLUTION SOURCE INFORMATION Destroy in office after 2 years.* QO Includes records for facilities which are no longer E operational. -0 m 0 12.02 BLUEPRINTS AND SPECIFICATIONS a) Retain agency blueprints and specifications for life of Confidentiality: Records concerning blueprints and specifications of local structure. G.S. 132-1.7 government owned buildings and facilities,or drawings submitted when applying for a building permit for new b) Destroy in office commercial blueprints and n construction. Includes as-built plans and related records specifications 1 year after completion of project. t concerning approved changes or used in determining code compliance and enforcement of building code. c) Destroy in office residential blueprints and SEE ALSO:GENERAL RECORDS SCHEDULE: LOCAL specifications when reference value ends.± GOVERNMENT AGENCIES, Blueprints and Specifications Agency Policy:Destroy in office afterlDo-\-4ok�QS},ro (STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS). *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 5 15 .... 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES -�; N ATU NATURAL AND DEPARTMENTAND OF �9 NLTURAL RESOURCES STANDARD 12:CODE ENFORCEMENT AND INSPECTION RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 12.03 BUILDING AND ROAD PERMITTING AND INSPECTION a) Destroy in office permits,applications,and inspection RECORDS reports(or worksheets)6 years after Certificate of Records documenting applications for permits from Occupancy is issued or project is complete(inactive). property owners to erect new structures or manufactured homes,or to make structural modifications,demolition, b) Destroy in office Certificate of Occupancy 6 years after N fire permits,or the installation of plumbing,electrical,or permit is expired. o mechanical systems. Includes permits,inspection reports, Q inspector's worksheets,inspection requests,denial c) Destroy in office remaining records,including ai reports,sketches,correspondence(including e-mail),and applications for which a permit was never issued, Q° contractor change forms. when reference value ends.± a, m Agency Policy: Destroy in office after 20.t o' Z3 12.04 CONTROLLED SUBSTANCE LABS DECONTAMINATION En Destroy in office 3 years after documented RECORDS decontamination is complete. Records concerning decontamination compliance. 12.05 DROUGHT CONTINGENCY PLANS Destroy in office when superseded or obsolete. Includes water conservation plans in the event of a drought. 12.06 EROSION AND SEDIMENT CONTROL ENFORCEMENT Destroy in office 6 years after settlement.* CASES Includes settled legal matters and penalties. SEE ALSO:Violations: Building and Housing,below. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 6 16 �Q NC DEPARTMENT OF 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ' NATURAL AND CULTURAL RESOURCES STANDARD 12:CODE ENFORCEMENT AND INSPECTION RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 12.07 EROSION AND SEDIMENT CONTROL PLANS a) Destroy in office approved plans 6 years after approval Includes approved and disapproved plans as well as or last revision and/or addendum. revisions and addenda. b) Destroy in office non-approved plans after 3 years. N 12.08 EXEMPTION(VARIANCE)RECORDS a) Destroy in office 5 years after expiration.* Retention: o Records concerning exemptions and variances concerned 40 CFR 141.33 n. with the installation of water,sewer,gas,or electric lines. b) Destroy in office records for which an exemption or 15A NCAC 18C.1526 ch variance was not issued after 3 years. QO Cn 12.09 GOING-OUT-OF-BUSINESS LICENSES Destroy in office 1 year expiration. c0 i ' Records concerning licenses granted to business to hold .. going out of business,water and smoke damage,and . distress sales. C' 12.10 GROUNDWATER MONITORING RECORDS Destroy in office after 5 years.* Authority: Includes all groundwater monitoring wells and associated 15 NCAC 2C.0100 groundwater surface elevations. 12.11 ILLEGAL DUMPING FILE Destroy in office after 5 years.* Records concerning illegal dumping complaints received. SEE ALSO:Violations:Solid Waste Management, below. 12.12 INSPECTIONS Destroy in office after 6 years.* Inspections conducted by local government agencies concerning enforcement of state and local laws,codes, and ordinances. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-S. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 7 17 NC or ..... 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES id...: NA URALR TMENT 1 AND CULTURAL RESOURCES . STANDARD 12:CODE ENFORCEMENT AND INSPECTION RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 12.13 LEAD AND COPPER COMPLIANCE RECORDS Destroy in office after 12 years.* Retention: Includes all monitoring records required by federal,state, 40 CFR 141.91 and local regulations. 12.14 LANDFILL TONNAGE AND COST FILE Destroy in office after the 5 year reporting period is N complete. C� 0 0- 12.15 PERMITS:CONSTRUCTION a) Destroy in office 3 years after completion of project. ai Records documenting applications and permits 20 regarding sign installation,fencing,swimming pools, b) Destroy in office applications for which a permit was � W driveways,or similar activity required by local never issued when reference value ends.± _0 m ordinance. Agency Policy: Destroy in office after s � SEE ALSO:GENERAL RECORDS SCHEDULE: LOCAL U' GOVERNMENT AGENCIES, Miscellaneous(Non-Building) Applications, Licenses,and Permits(STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS). 12.16 PERMITS:PUBLIC UTILITIES PROJECTS a) Retain in office approval letters and supporting Authority: Records documenting permits,approval letters,and other documentation permanently. 40 CFR 122.28 related documentation required by local,state,or federal 15A NCAC 18C.0300 ordinance,regulation,or statute. Includes records b) Destroy in office permits 6 years after expiration, regarding National Pollutant Discharge Elimination cancellation, revocation,or denial.* Confidentiality: System (NPDES)permits. 15A NCAC 02H .0115 *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 8 18 �� : NC DEPARTMENT OF 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES NATURALAND CULTURAL RESOURCES STANDARD 12:CODE ENFORCEMENT AND INSPECTION RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 12.17 RECREATIONAL VEHICLE REGISTRATION RECORDS Destroy in office 1 year after expiration.* Records concerning issuance of registrations/decals for recreational vehicles. Includes,but is not limited to,golf carts,canoes,and mopeds as well as proof of insurance and renewals. iv n 12.18 UNSAFE BUILDINGS FILE Destroy in office after 6 years provided all issues have been Q Records documenting inspections and notifications to resolved.* Cn owners of unsafe conditions relative to a particular Sp structure. Cn m SEE ALSO:Violations:Building and Housing,below. 0 12.19 VALVE OPERATION FILE Destroy in office when reference value ends. ± u' Agency Policy: Destroy in office after 12.20 VIOLATIONS:BUILDING AND HOUSING a) Destroy building code violations in office 6 years after Records documenting violations of building and fire code, verification of correction. minimum housing,and erosion and sediment control. Includes complaints,summons, notices,appeals,and b) Destroy remaining records in office 3 years after other information created or compiled during the course verification of correction.* of investigation and resolution of each alleged violation. SEE ALSO:Water Analysis,below. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-S. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends.' Please use the space provided. 9 19 . ... 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERN M ENT AGENCIES • NA AND OF ��.� NAATURTURAL AND CULTURAL RESOURCES STANDARD 12:CODE ENFORCEMENT AND INSPECTION RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 12.21 VIOLATIONS:SOLID WASTE MANAGEMENT Destroy in office 7 years after resolution of case.* Includes complaints, notices of violations,citations, investigation records,court documents,and other related records issued by solid waste environmental enforcement programs. �? n 0 12.22 VIOLATIONS:WATER CONSERVATION Destroy in office when reference value ends.± CD- CDRecords concerning notices of water conservation i violations. Agency Policy: Destroy in office after QD (n 12.23 WASTEWATER POLLUTION CONTROL AND Destroy in office after 5 years.* Authority: m ABATEMENT RECORDS 15A NCAC 213.0505 0 0 U) 12.24 WASTEWATER QUALITY ANALYSIS RECORDS a) Destroy in office analysis reports after 3 years.* Authority: 15A NCAC 26.0505 b) Destroy in office monitoring and calculation sheets after 1 year.* *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. ±The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 10 20 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 'N NAA AND OF ..��� NATURTURAL AND CULTURAL RESOURCES STANDARD 12:CODE ENFORCEMENT AND INSPECTION RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 12.25 WATER ANALYSIS a) Destroy in office records of chemical and Retention: Records concerning bacteriological,chemical,radiological, radiological analysis after 10 years. 40 CFR 141.33 and physical analyses and climatological observations as 15A NCAC 18C.1526 well as records of actions taken to correct violations. b) Destroy in office records of bacteriological and turbidity analysis after 5 years. SEE ALSO:Violations: Building and Housing and Violations: o Water Conservations,above. c) Destroy in office records of actions taken to Q- correct violations 3 years after last corrective U) action taken. Q° E 4 cn d) Destroy in office remaining records after 5 years. -0 cn 0 12.26 WATER SYSTEM OPERATIONS RECORDS Destroy in office after 10 years. Retention: o Records concerning the operations of water supply, 40 CFR 141.33 treatment,distribution,and collection. Includes 15A NCAC 18C.1526 backflow prevention reports,flow reports,capacity studies, pump station reports,and similar records that summarize 12.27 WATER TANKS,SPECIFICATIONS,AND BOOSTER Destroy in office after 5 years.* STATIONS FILE *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 11 21 2021 PROGRAM RECORDS SCHEDULE_: LOCAL GOVERNMENT AGENCIES r'.N8 NATURA AND OF n�U NATURAL AND CULTURAL RESOURCES STANDARD 13:PROGRAM OPERATIONAL RECORDS—EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS Official records documenting the primary functions of emergency services programs and fire departments. Footage from body-worn cameras is scheduled by the content captured or the purpose of the footage rather than by its format. Recordings may fit under FIRE INVESTIGATION CASE FILES, DISPATCH RECORDS AND RECORDINGS, PUBLICITY RECORDS(General Schedule),TRAINING AND EDUCATIONAL RECORDS (General Schedule),and other items as appropriate. Footage is only confidential if it fits within an item where confidentiality is conferred by state or federal statute. w m CO PO STANDARD 13:EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS -n ITEM# cD RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 0 CD 13.01 911 COMMUNICATION RECORDS AND RECORDINGS Destroy in office after 30 days,if not made part of a case Confidentiality: v Records documenting any communications made by the file.* G.S. 132-1.5 3 public with 911. Includes transcripts and recordings of G.S. 132-1.4(c)(4) 911 calls received,transcripts of text messages received by 911,and computer-aided dispatch(CAD) reports. Retention: G.S. 132-1.4(i) SEE ALSO: Dispatch Records and Recordings, below AND PROGRAM RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES,Communication Records(STANDARD 20: LAW ENFORCEMENT RECORDS) 13.02 AMBULANCE CALL REPORTS(ACR)/PATIENT CARE a) Transfer copy of report to the admitting hospital for Confidentiality: REPORTS(PCR) inclusion into patient's medical record. G.S. 130A-12 6, Records concerning equipment used,patient location, t nature of call,vital signs and other physical signs,care b) Destroy original in office after 3 years.* rendered, medicine ordered,etc. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 12 22 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES NATURA AND OF ei���� NATURAL AND CULTURAL RESOURCES STANDARD 13:EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 13.03 BUILDING AND FIRE SAFETY SYSTEM PLANS Destroy in office when superseded or obsolete. Records concerning plans and fire safety systems of commercial,industrial,and government-owned properties. w 13.04 DISPATCH RECORDS AND RECORDINGS Destroy in office after 30 days,if not made part of a case Confidentiality: M Records and recordings concerning activities during an file.* G.S. 132-1.4 (r1 emergency services dispatch. Includes company run G.S. 143-518 Qo t reports and fire journals as well as ambulance dispatch 45 CFR 164.501 and service run records.Also includes footage from body- 42 U.S.C. 1395x m worn cameras of EMS and Fire Department personnel 0 when responding to an emergency if not otherwise m included in a separate item. cD SEE ALSO:911 Communication Records and Recordings, Z above AND PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES,Communication Records (STANDARD 20: LAW ENFORCEMENT RECORDS). 13.05 FIRE ALARM AND AUTOMATIC EXTINGUISHER FILE Destroy in office when superseded or obsolete. Records documenting licenses and insurance certificates of companies that perform installations of fire alarm and automatic extinguishing systems. 13.06 FIRE DISPATCH FILE Destroy in office when superseded or obsolete. Records concerning fire dispatch zones. Includes maps of fire dispatch zones,census tract information,annexation research,street closings,and other related material. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 13 23 goi NC DEPARTMENT OF 021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERN M ENT AGENCIES ��ri NATURAL AND CULTURAL RESOURCES STANDARD 13:EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 13.07 FIRE INVESTIGATION CASE FILES a) Retain in office permanently when loss of life occurs or Confidentiality: Records concerning investigations of fire. Includes if a publicly-owned building is involved.* G.S. 132-1.4 reports, photographs,evidence,and other related r; records. b) Destroy in office after 10 years when arson is f involved.* C.? SEE ALSO: PROGRAM RECORDS SCHEDULE:LOCAL M GOVERNMENT AGENCIES,Case File: Felonies AND Case c) Destroy in office after 5 years when cause of fire is if U) File:Misdemeanors(STANDARD 20: LAW ENFORCEMENT determined to be accidental and no loss of life Qo RECORDS). occurs.* -r7 m 13.08 FIRE SAFETY INSPECTIONS AND PERMITS a) Destroy in office inspections with no defects after 3 CD Records documenting inspections of and permits issued years. for fire protection measures and procedures for systems and buildings. b) Destroy in office inspections with noted defects 3 CD years after defects are corrected.* c) Destroy in office permits 3 years after expiration. 13.09 NORTH CAROLINA FIRE INCIDENT REPORT Retain original report permanently. Authority/Retention: Includes report required by state statute to document G.S.58-79-45 certain fire incidents. For retention of copies of fire incident reports filed with other agencies,see:GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES, Reports(STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS). *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 14 24 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES CM' NTURARTMENT OF ' �� NAATURAL AND CULTURAL RESOURCES STANDARD 13:EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 13.10 PHARMACEUTICAL AND NARCOTICS RECORDS Destroy in office after 3 years.* Authority: Records documenting the administration of 21 CFR 1310.03 pharmaceuticals and narcotics to patients as required by r1 the Drug Enforcement Agency. Confidentiality: t G.S. 130A-12 G? m Retention: � 21 CFR 1310.04 Qo cD 0 cD n� rn *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 15 25 bra- ..... NC DEPATMENT OF 21 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1 Gri NATURARAND CULTURAL RESOURCES STANDARD 14:PROGRAM OPERATIONAL RECORDS—PARKS AND RECREATION RECORDS Records created and received by Parks and Recreation departments. STANDARD 14:PARKS AND RECREATION RECORDS ITEM# .j RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION v 14.01 ADMISSION RECORDS Destroy in office after 3 years.* cn Records of admissions to parks or recreation facilities. a) D Q 14.02 CITATIONS RECORDS Destroy in office after 2 years. m Citations issued by park personnel to persons who violate 0 park rules and regulations. CDni o' 14.03 OFFICIALS FILE Destroy in office after 3 years. Records concerning individuals who officiate games. Includes schedule and correspondence(including e-mail). SEE ALSO:GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES, Payroll and Earnings Records (STANDARD 2: BUDGET, FISCAL,AND PAYROLL RECORDS)or Seasonal and Contract Worker Records (STANDARD 4: HUMAN RESOURCES RECORDS)for disposition of payment records. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 16 26 n61F1 NC DEPARTMENT OF 021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES RUN NATURAL AND CULTURAL RESOURCES STANDARD 14:PARKS AND RECREATION RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 14.04 PARKS PLANNING FILE a) If an element of the Strategic Plan,destroy in office Records concerning master plans and working plans for when reference value ends.± each park property and recreational facility which show layout,topography,and proposed developments and Agency Policy: Destroy in office after D Vlzk improvements. Includes drainage and resource maps, aerial maps,site analysis drawings,construction plans, b) If not an element of the Strategic Plan,destroy in� and as-built drawings. office when superseded or obsolete. Cn SEE ALSO:GENERAL RECORDS SCHEDULE: LOCAL Q GOVERNMENT AGENCIES,Strategic Plan(STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS)AND CD GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT CD AGENCIES, Maps: Parks(STANDARD 3:GEOGRAPHIC INFORMATION SYSTEMS(GIS) RECORDS). 14.05 POOL RECORDS Destroy in office after 1 year. Records concerning monthly reports indicating operational data,chemicals used,chlorination levels and other information relating to pool construction, maintenance,and health and safety. 14.06 RECREATION PROGRAMS a) Destroy in office program records after 3 years. Confidentiality: Records concerning athletic and recreation programs. G.S. 132-1.12 �j Includes staff notes, lesson plans,course descriptions, b) Destroy age verification records when reference f instruction manuals,schedules,team rosters, reservation value ends.± records,copies of receipts for fees paid,age verification records,and concession operators list. Agency Policy:Destroy in office after 5 eo�_ *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 17 27 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 0' N ATUR NATURAAL ANENT OF ��� AND CULTURAL RESOURCES STANDARD 14:PARKS AND RECREATION RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 14.07 TICKET STUBS Destroy in office when reference value ends.± Agency Policy: Destroy in office after -1T� V W 77 W TQ N n 0 *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 18 28 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES '-�A NATURA AND OF „ G NATURAL AND CULTURAL RESOURCES STANDARD 1S:PROGRAM OPERATIONAL RECORDS—PLANNING AND REGULATION OF DEVELOPMENT RECORDS Official records and materials created and accumulated during the conduct of local government planning, regulation of development,and zoning programs. Community Development Block Grants(CDBG) records are found in Standard 16:Public Housing Authorities, Redevelopment Commissions,and Entitlement Communities Records. NOTE:Some records are covered by the Local Government Agencies General Records Retention and Disposition Schedule and,therefore,are not listed cn separately here. v cn v STANDARD 15:PLANNING AND REGULATION OF DEVELOPMENT RECORDS °' ITEM# m RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION sv 15.01 BOARD OF ADJUSTMENT CASE FILES AND INDEXES a) Retain indices in office permanently. Retention: p Cases submitted to the board requesting variances from G.S. 1-50(5) :3 current zoning ordinances. Includes indexes to cases b) Destroy in office case files after 6 years.* 00h reviewed by the board. 0 CD m 0 m *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 19 29 !Vw NC DEPARTMENT OF RDS SCHEDULE: LOCAL GOVERNMENT AGENCIES w'� NATURAL AND CULTURAL RESOURCES STANDARD 15:PLANNING AND REGULATION OF DEVELOPMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 15.02 CERTIFICATES OF APPROPRIATENESS a) Retain in office certificates for life of structure and Authority: Certificates submitted by the Historic Preservation then destroy. G.S. 160A-400.9 Commission allowing alterations to exterior portions of building and structures on or within historic landmarks b) Destroy in office denied applications when reference and districts. Includes applications and other related value ends.± cn records. Agency Policy: Destroy in office after N c) Destroy in office remaining records when reference value ends.± v Z3 a Agency Policy: Destroy in office after m 15.03 COMPREHENSIVE PLAN AND AMENDMENTS a) Retain in office permanently adopted plan and m Official copies of comprehensive plan and all background amendments. o surveys,studies,reports,draft versions of plans,and o supporting documentation. b) Destroy in office remaining records 3 years after adoption of plan. cD SEE ALSO:GENERAL RECORDS SCHEDULE:LOCAL CD GOVERNMENT AGENCIES,Strategic Plan(STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS). CD *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-S. ±The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 20 30 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES NATURAAL ANENT OF h��� N ATUR AND CULTURAL RESOURCES STANDARD 15:PLANNING AND REGULATION OF DEVELOPMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 15.04 CONDITIONAL USE PERMIT RECORDS AND INDEX a) Destroy in office 3 years after discontinuance of use. Records concerning applications for conditional use permits.Permits allow for the construction of buildings, b) Destroy in office applications for which a permit on the condition that impacts on neighborhoods are was never issued when reference value ends.± mitigated. Includes original application,blueprint cn drawings,investigative reports,planning commission Agency Policy: Destroy in office afte`roO NUk' recommendations,cash receipts,and related v correspondence(including e-mail).Also includes reference copies of variances or exceptions from zoning cc regulations granted by the Board of Adjustment. v Q 15.05 DECLARATIONS AND BY-LAWS FROM TOWNHOUSES, a) If not filed in Register of Deeds or similar agency, Authority: W CONDOMINIUMS,PLANNED RESIDENTIAL retain in office permanently. G.S.47C-2-103 cc DEVELOPMENTS,COMMON AREAS,ETC. : b) If filed in Register of Deeds or similar agency, o destroy in office when reference value ends.± 0 0 Agency Policy: Destroy in office after 1C)'3_� CD !' CD 15.06 ENVIRONMENTAL IMPACT STUDIES Retain in office permanently. 0 Records and reports concerning the environmental impact of major projects proposed by localities and reviewed by local officials. 15.07 OPEN SPACE CLASSIFICATION CASE FILE Retain in office permanently. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 21 31 . ... 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES NTURA ANENT OF ht.= NAATURAL AND CULTURAL RESOURCES STANDARD 15:PLANNING AND REGULATION OF DEVELOPMENT RECORDS ?TEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 15.08 PERMITS:TEMPORARY MANUFACTURED HOME Destroy in office 6 years after permit expires. Retention: Records created to temporarily authorize the location of a G.S. 1-50(5) manufactured home on the same lot as a single family residence. 15.09 PERMITS:ZONING COMPLIANCE a) Retain in office permits concerning subdivision, Retention: For residential uses,non-residential uses,and accessory historical structure,major commercial or industrial G.S. 1-50(5) v Z3 structures. development,or capital construction,where county or municipality is lead agency,permanently. cn W b) Destroy in office permits concerning subdivision, Q- historic structures, major commercial or industrial CCD development,or capital construction,where county or municipality is not lead agency,6 years after last entry. 0 0 c) Destroy in office any other permits and related 0 records 6 years after last entry. < CD 0 15.10 PETITION&REGULATION RECORDS Destroy in office after 5 years.* 3 CD *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 22 32 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES '•M NC DEPARTMENT OF M fl NATURAL AND CULTURAL RESOURCES STANDARD 15:PLANNING AND REGULATION OF DEVELOPMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 15.11 PLANNING REVIEW CASE FILE a) Retain plan reviews and related records containing Retention: For required review of site plan,zoning variance,special subdivision,historical structure, major commercial or G.S. 1-50(c) permit,change of zoning,subdivision creation or industrial development,or capital construction, enlargement, municipal or county planning action,or where county or municipality is lead agency, _ other required review;including, but not limited to, maps, permanently. plans,sketches, photographs,engineering reports, 0 environmental impact statement and studies,copies of b) Destroy in office plan reviews and related records zoning records, project narrative,correspondence containing subdivision,historic structures,major (including e-mail),and record of final determination. commercial or industrial development,or capital cc construction,where county or municipality is not lead agency,6 years after last entry. Q rn c) Destroy in office any other mandatory reviews and �c_ related records 6 years after last entry. 0 15.12 REZONING RECORDS AND INDEXES Retain in office permanently. o Records concerning applications to rezone property p within the county or municipality. Includes original applications, review forms, maps of areas involved,copies CD of investigative reports,copies of relevant planning board minutes,notices of hearings,and development CD agreements. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 23 33 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES uI■L N AATUR'mI'g NTURA AND TMENT OF AL AND CULTURAL RESOURCES ■ u STANDARD 1S:PLANNING AND REGULATION OF DEVELOPMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 15.13 SUBDIVISION RECORDS a) If not filed in Register of Deeds or similar agency, Includes maps,plats,topographical data,names of retain in office permanently. streets, records of public utilities,action by council, etc.Also includes preliminary subdivision and group b) If filed in Register of Deeds or similar agency, development site plans. destroy in office when reference value ends. ± U SEE ALSO:GENERAL RECORDS SCHEDULE: LOCAL Agency Policy: Destroy in officeafter'00 N0�' GOVERNMENT AGENCIES, Maps: Plats(STANDARD 3: GEOGRAPHIC INFORMATION SYSTEMS RECORDS). J aD v n. 15.14 VARIANCES Retain official copies permanently in the minutes of the x Includes zoning variances,watershed variances,and Board of Adjustment or other governing body. c(D subdivision variances. m 15.15 VIOLATIONS:ZONING Destroy in office after 6 years.* Retention: Records concerning notices of zoning violations. G.S. 1-50(5) 0 0 CD (D 0 3 CD D *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 24 34 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ^`-0. NATURA AN, OF b�� NATURAL AND CULTURAL RESOURCES STANDARD 16:PROGRAM OPERATIONAL RECORDS—PUBLIC HOUSING AUTHORITIES,REDEVELOPMENT COMMISSIONS,AND ENTITLEMENT COMMUNITIES RECORDS Official records and materials created and received by public housing authorities,redevelopment commissions,and entitlement communities operated by local government agencies.Where there is a local funding match required to qualify for grant programs,all records should be retained according to the grant requirements listed below. NOTES:Some records,such as those for Section 8 assistance,are covered by the Local Government Agencies General Records Retention and Disposition Schedule and,therefore,are not listed separately here.See Bond Closing Records(Budget, Fiscal,and Payroll Records),Grants(Administration and Management Records),and Grants: Financial (Budget, Fiscal,and Payroll Records).24 CFR Parts 50-58 lay out the environmental review responsibilities of v' entities but do not establish specific retention requirements,so these records should be handled in accordance with the requirements of the funding source. _ 0 a Cn STANDARD 16:PUBLIC HOUSING AUTHORITIES,REDEVELOPMENT COMMISSIONS,AND ENTITLEMENT COMMUNITIES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 16.01 APPRAISAL PROJECT FILE a) Retain records with historical value permanently. Evaluations of properties and structures within proposed projects. File includes financial assessments of the worth b) Destroy in office remaining records 5 years after of real estate and building within proposed project areas. completion of abandonment of project.* File may also include assessments of architectural and historical significance and condition of the involved structures and real estate. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 25 35 ��_0! NC DEPARTMENT OF 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES „�S NATURAL AND CULTURAL RESOURCES STANDARD 16.PUBLIC HOUSING AUTHORITIES,REDEVELOPMENT COMMISSIONS,AND ENTITLEMENT COMMUNITIES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 16.02 COMMUNITY DEVELOPMENT BLOCK GRANT(CDBG) a) Retain records with historical value permanently. Retention: RECORDS 24 CFR 570 Records concerning the administration of projects funded b) Destroy in office rejected applications after 1 year. under the Community Development Block Grant(CDBG) rn program,including both direct grants and regrants. c) Destroy in office remaining records 4 years after Includes applications, reports,audits,certificates,maps, � execution of the closeout agreement for the grant. and other related records. 0 M 0 16.03 COMMUNITY DEVELOPMENT BLOCK GRANT(CDBG) a) For recipients,destroy in office 3 years after the Retention: RECORDS:OUTSTANDING LOAN BALANCES receivables or liabilities have been satisfied. 24 CFR Records concerning individual activities under the 570.502(a)(7)(i)(B) Community Development Block Grant(CDBG) program b) For subrecipients,destroy in office after such for which there are outstanding loan balances,other receivables or liabilities have been satisfied. receivables,or continent liabilities. Includes reports, audits,and other related records. 16.04 COMMUNITY DEVELOPMENT BLOCK GRANT(CDBG) a) For recipients,destroy in office 3 years after these Authority: RECORDS:SUBJECT TO REVERSION OF ASSETS provisions no longer apply to the activity. 24 CFR 570.503(b)(7) PROVISIONS OR CHANGE OF USE OF REAL PROPERTY 24 CFR 570.505 Records concerning real property which was acquired or b) For subrecipients,destroy in office when these improved in whole or in part using Community provisions no longer apply to the activity. Retention: Development Block Grant(CDBG)funds. Includes reports, 24 CFR audits,and other related records. 570.502(a)(7)(i)(B) *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 26 36 E;.� NC DEPARTMENT OF 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ti NATURAL AND CULTURAL RESOURCES STANDARD 16.PUBLIC HOUSING AUTHORITIES,REDEVELOPMENT COMMISSIONS,AND ENTITLEMENT COMMUNITIES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 16.05 CONTINUUM OF CARE RECORDS a) Destroy in office records documenting the acquisition, Retention: Records documenting the participation of the agency in new construction,or rehabilitation of a project site 15 24 CFR 578.103(c) funding by the Department of Housing and Urban years after the date site is first occupied/used. Development. Includes required Federal compliance records, program records,financial records,and other b) Destroy in office program participant records 5 years related records. after the expenditure of all funds from the grant under which the program participant was served. 0 2 0 c) Destroy in office all remaining records after 5 years. 1: 16.06 CRIMINAL RECORDS CHECKS Destroy in office once the purpose for which the record Confidentiality/ Records received by the local agency to screen applicants was requested has been accomplished,including Retention: for admission to covered housing programs and for lease expiration of the period for filing a challenge to the PHA 24 CFR 5.903(g) t enforcement or eviction. action without institution of a challenge or final disposition 24 CFR 5.905(c) of any such litigation. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 27 37 e.14 NC DEPARTMENT OF 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES &U. NATURAL AND CULTURAL RESOURCES . .. STANDARD 16:PUBLIC HOUSING AUTHORITIES,REDEVELOPMENT COMMISSIONS,AND ENTITLEMENT COMMUNITIES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 16.07 EMERGENCY SOLUTIONS GRANTS(ESG)RECORDS a) Destroy records supporting the expenditure of Confidentiality: Records documenting the participation of the agency in federal funds passed through NC Department of 24 CFR 576.500(x) funding by the Department of Housing and Urban Health and Human Services(DHHS)on a fiscal year Development. Includes case management records for basis when the DHHS Office of the Controller Retention: program participants,required federal compliance provides written guidance that records are released 24 CFR 576.500(y) records, program records,financial records,and other from all audits and other official actions. related records. ci t b) Destroy in office records documenting renovation of p an emergency shelter 10 years after the date that (nn ESG funds are first obligated for the renovation. cQ c) Destroy in office participant records 5 years after the expenditure of all funds from the grant under which the program participant was served. d) Destroy in office all remaining records after 5 years. 16.08 FACADE PROJECT FILES Retain in office permanently. Records documenting the re-granting of funds received by the agency to restore exteriors of architecturally important structures in project areas. Includes contracts, photographs,and correspondence. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 28 38 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES '�!'= NATURA ANDC OF �Zvi NATURAL AND CULTURAL RESOURCES STANDARD 16.PUBLIC HOUSING AUTHORITIES,REDEVELOPMENT COMMISSIONS,AND ENTITLEMENT COMMUNITIES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 16.09 HOME INVESTMENT PARTNERSHIPS PROGRAM a) Destroy in office rental assistance records 5 years after Authority/Retention: RECORDS termination of assistance.* 24 CFR 92.508 Records documenting the participation of the agency in _ funding by the Department of Housing and Urban b) Destroy in office written agreements 5 years after a� Development. Includes records concerning designation as termination.* c a participating jurisdiction,program records,project � records,Community Housing Development Organizations c) Destroy in office 5 years after the affordability period 0 records,financial records, program administration terminates records of individual tenant income = 0 records, records concerning other federal requirements, verifications,projects rents and inspections,and C: and other related records. documents imposing recapture/resale restrictions. : d) Destroy in office records covering displacements and acquisition 5 years after final payment.* e) Destroy in office remaining records after 5 years.* 16.10 HOUSING ASSISTANCE FOR PERSONS WITH DISABILITIES Destroy in office 5 years after the end of the grant term. Retention: Records documenting the participation of the agency in 24 CFR 582.301(c) funding by the Department of Housing and Urban 24 CFR 583.305(c) Development. Includes verifications of disability,grant agreements,performance reports,and other related records. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 29 39 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ■■_■= N ATUR'J' NATURA AND TMENT OF AL AND CULTURAL RESOURCES ■ u STANDARD 16:PUBLIC HOUSING AUTHORITIES,REDEVELOPMENT COMMISSIONS,AND ENTITLEMENT COMMUNITIES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 16.11 HOUSING OPPORTUNITIES FOR PERSONS WITH AIDS Destroy in office after 5 years. Authority/Retention: (HOPWA)RECORDS 24 CFR 574 Records documenting the participation of the agency in 24 CFR 5.106(d) funding by the Department of Housing and Urban rn Development. Includes grant agreements,performance c reports,and other related records. 16.12 LANDLORD MONITORING RECORDS Destroy in office after 5 years. _ 0 Records documenting monitoring of landlords of C: T. properties used in affordable or subsidized housing programs. Includes certifications and forms and other compliance-related records. 16.13 REDEVELOPMENT PLANS a) Retain in office permanently records concerning Records concerning redevelopment projects. Includes approved redevelopment projects. documentation of the review and certification process. b) Destroy in office remaining records 2 years after rejection. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 30 40 NC DEPARTMENT OF 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES „..o NATURAL AND CULTURAL RESOURCES ._... STANDARD 17:PROGRAM OPERATIONAL RECORDS—PUBLIC TRANSPORTATION SYSTEMS RECORDS Records received and created by area transit systems and authorities necessary to meet all statutory requirements. NOTE:Some records are covered by the Local Government Agencies General Records Retention and Disposition Schedule and,therefore,are not listed separately here. Comply with requirements of the Federal Transit Administration's Best Practice Procurement Manual, Master Agreement MA(11)Section 8 manual. i STANDARD 17.PUBLIC TRANSPORTATION SYSTEMS RECORDS v ITEM# Cn RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 0 17.01 AMERICANS WITH DISABILITIES ACT(ADA) Destroy in office after 5 years.* Authority: a)o PARATRANSIT RECORDS 2 CFR 200.333 Includes driver's daily assignments,dispatch records,logs of passenger pick-ups and drop-offs,manifests,trip requests,and appeal forms. 17.02 AMERICANS WITH DISABILITIES ACT(ADA) Destroy in office after 5 years.* Authority: PARATRANSIT VOUCHERS 2 CFR 200.333 Vouchers submitted by private transportation companies for reimbursement for alternative transportation of public transit clients. 17.03 AMERICANS WITH DISABILITIES ACT(ADA) PRE-TRIP Destroy in office after 1 year. Authority: INSPECTION FORMS 2 CFR 200.333 *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 31 41 NCDEPARTMENTOF 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES rii.i NATURAL AND CULTURAL RESOURCES ..on STANDARD 17.PUBLIC TRANSPORTATION SYSTEMS RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 17.04 APPLICATIONS FOR ART-IN-TRANSIT Destroy in office when reference value ends.± Applications and supporting documentation submitted by regional and national artists for exhibit on agency Agency Policy:Destroy in office after CS. property. 17.05 APPLICATIONS FOR DISCOUNT PASSES Destroy in office 3 years after service is terminated or _2: Applications,certificates of disability,and supporting denied. n documentation used to apply for discount passes. v D Cn 17.06 APPLICATIONS FOR TRANSIT SERVICE Destroy in office 3 years after service is terminated or o Includes customer applications,eligibility assessment denied. records,correspondence(including e-mail), health information,riders'guides,and related records. 17.07 CUSTOMER(RIDER) IDENTIFICATION RECORDS Destroy in office when reference value ends.± Records concerning customer identification,approvals, denials,and related information. Agency Policy: Destroy in office after rS. 17.08 DISADVANTAGED BUSINESS ENTERPRISE(DBE) a) Destroy in office company-specific records 5 years Authority: RECORDS after company is removed from certified list. 2 CFR 200.333 Includes company's articles of incorporation,financial statements,signed affidavits,letters of reference, b) Destroy in office related DBE program records, declarations, Federal Schedule A or B,and related including Federal Transit Administration reports,5 correspondence(including e-mail). years from date record was created. 17.09 OPERATOR SHIFT INSPECTION RECORDS Destroy in office after 5 years. Authority: Reports and similar records of operator's inspections of 2 CFR 200.333 vehicle at the beginning and end of shift. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 32 42 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ^-n��I.M NARTMENT OF NAATURTURAL AND CULTURAL RESOURCES STANDARD 17.PUBLIC TRANSPORTATION SYSTEMS RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 17.10 ROUTE HISTORY RECORDS Destroy in office when reference value ends.± Includes descriptions of routes, bus stops,passenger lists, and other related records. Agency Policy: Destroy in office after V1-e0u�5 v 17.11 SEAT BELT AND RESTRAINT SYSTEM RECORDS Destroy in office when reference value ends.± Records concerning the use and installation of seat belts and other restraint systems in vehicles. Agency Policy: Destroy in office afterg. 17.12 TRANSIT SCHEDULES Destroy in office when reference value ends.± Printed route schedules and related information used to generate schedules. Agency Policy: Destroy in office after 17.13 VANPOOL DRIVER APPLICATIONS a) Destroy in office accepted applications 3 years after Applications and supporting records submitted by person leaves program. persons operating vanpool vehicles. b) Destroy in office applications for persons not accepted for program after 1 year. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 33 43 021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES '�'= NA AND OF i�i�� NAATURTURAL AND CULTURAL RESOURCES STANDARD 18:PROGRAM OPERATIONAL RECORDS—PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS Official records and materials created and accumulated for use by municipal and county sanitation,water,sewage,electrical,and gas operations.Also contains environmental management records accumulated for use by erosion and sediment control,flood control,and monitoring of pollution.Comply with applicable provisions of G.S.§132-1.7 regarding confidentiality of public infrastructure detailed plans and drawings. STANDARD 18:PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 0 C 18.01 ENVIRONMENTAL:COMPREHENSIVE SOLID WASTE a) If an element of the Strategic Plan,destroy in office Authority: MANAGEMENT PLAN AND AMENDMENTS when reference value ends.f G.S. 130A-309.09A m w v SEE ALSO:GENERAL RECORDS SCHEDULE: LOCAL Agency Policy: Destroy in office after 2.0jr Q GOVERNMENT AGENCIES,Strategic Plan(STANDARD 1: M ADMINISTRATION AND MANAGEMENT RECORDS). b) If not an element of the Strategic Plan,destroy in < office when superseded or obsolete. O 3 18.02 ENVIRONMENTAL:CUSTOMER USAGE RECORDS Destroy in office after 3 years.* Retention: CD Includes reports, plans or similar records submitted by 40 CFR 403.12(o)(3) industrial users or publicly-owned treatment works concerning intended or actual use of the wastewater treatment system. m 18.03 ENVIRONMENTAL:DAILY DISPOSAL TICKETS Destroy in office after 3 years.* Record and/or receipts concerning the disposal of materials at the landfill. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 34 44 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES '!'= NA AND OF u�ra NATURAL AND CULTURAL RESOURCES STANDARD IS:PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 18.04 ENVIRONMENTAL:DISCHARGE MONITORING REPORTS a) Destroy in office NPDES reports 5 years from date of Retention: Includes discharge and non-discharge monitoring reports submission.* 40 CFR 122.41(3)(j)(2) submitted to state and/or federal regulatory agencies. 15A NCAC 213.0506 _ Also includes copies of monthly reports required by b) Destroy in office annual reports 5 years from date of o0 National Pollution Discharge Elimination System (NPDES) submission.* permits. C: c) Destroy in office daily reports after 3 years. C 18.05 ENVIRONMENTAL:LANDFILL MONITORING REPORTS a) Retain official reports permanently. Retention: CD Gas and groundwater monitoring records and reports. 15A NCAC 13B cch b) Destroy in office remaining records after 3 years. .1626(10) SEE ALSO:GENERAL RECORDS SCHEDULE: LOCAL 0- GOVERNMENT AGENCIES,Audits: Performance M (STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS). E3 9 m 18.06 ENVIRONMENTAL:LANDFILL OPERATIONAL PLAN Destroy when superseded or obsolete.* Authority: Describes the intended schedule of construction, G.S. 130A-309.09D description of on-site waste handling procedures during active life of the facility,contingency plans,description of C maintenance of installed equipment,and any other m information pertaining to the operation, maintenance, monitoring,or inspections as may be required by federal and state law. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-S. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 35 45 NC DEPARTMENT OF ULE: LCCAL GOVERNMENT AGENCIES ... ■sd NATURAL AND CULTURAL RESOURCES . STANDARD IS:PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 18.07 ENVIRONMENTAL:LANDFILL PERMITS a) Retain construction and operation permit for life of Retention: Permits and related records of landfills owned or system and then destroy. G.S. 130A-294(b1)(4) operated by agency.Includes amendments and hazardous _ waste management permits. b) Destroy in office all other permits and related records o0 after the 5-year reporting period is complete. c 18.08 ENVIRONMENTAL:NOTICE OF VIOLATIONS FOR Destroy in office one year after resolution. IMPROPER DISCHARGE OR DISPOSAL FILE C Notices issued by agency concerning improper non- — stormwater discharge or disposal. Includes improper Cn disposal of waste or products,chlorinated pool discharge, vehicle maintenance facility runoff,food service waste, and other unregulated commercial and industrial discharges. 0 18.09 ENVIRONMENTAL:OUTSIDE WASTE CLEARANCE Destroy in office 3 years after expiration of agreement. 3 CD RECORDS Records allowing parties outside the operator's jurisdiction to dispose of waste at landfill. 18.10 ENVIRONMENTAL:REPORTS SUBMITTED TO Destroy in office after 2 years.* m U.S.ENVIRONMENTAL PROTECTION AGENCY (EPA) 18.11 EROSION CONTROL:EROSION AND SEDIMENT Destroy in office after 6 years. AFFIDAVITS Forestry and agricultural affidavits clarifying land use exempt from land-disturbing activity standards. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-S. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 36 46 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES =0'-5 NC DEPARTMENTOF �'.o� NATURAL AND CULTURAL RESOURCES STANDARD 18:PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 18.12 EROSION CONTROL:EROSION AND SEDIMENT CONTROL Destroy in office when reference value ends.f EXHIBIT RECORDS Agency Policy: Destroy in office after .1 18.13 EROSION CONTROL:EROSION AND SEDIMENT CONTROL Destroy in office 6 years after final site inspection.* INSPECTIONS Inspections conducted by agency. Includes inspection 0 requests,notices of violations,denial reports,sketches, C plans,correspondence(including e-mail),and similar records concerning the construction,modification or cn demolition of existing and new roads and construction v sites. Q M 18.14 EROSION CONTROL:EROSION AND SEDIMENT CONTROL a) Destroy in office records concerning approved permits PERMITS 3 years after expiration of permit. Records concerning permits,including permit logs,issued CD for site construction. b) Destroy in office non-approved permits after 3 years. � v 18.15 EROSION CONTROL:EROSION AND SEDIMENT CONTROL a) Destroy approved plans in office 3 years after Authority: PLANS expiration. 15A NCAC 04B.0118 Includes approved and disapproved plans submitted to m agency. Includes revisions,addendums,and records b) Destroy non-approved plans after 3 years. delineating who is financially responsible for the project. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 37 47 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES N NATURAL ANENT OF i���� AND CULTURAL RESOURCES STANDARD 18:PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 18.16 EROSION CONTROL:TROUT BUFFER VARIANCES a) Destroy in office 6 years after approval of permit. Authority: Includes denials and waivers. 15A NCAC 046.0125 b) Destroy in office after 3 years plans for which a permit _ SEE ALSO: PROGRAM RECORDS SCHEDULE: LOCAL was not issued. co GOVERNMENT AGENCIES,Variances(STANDARD 15: PLANNING AND REGULATION OF DEVELOPMENT RECORDS). 0 _C 18.17 FLOOD CONTROL:FLOOD CERTIFICATIONS Destroy in office when superseded or obsolete. Records concerning lot reviews for construction projects Cn submitted to agency. v Q SEE ALSO: PROGRAM RECORDS SCHEDULE: LOCAL M GOVERNMENT AGENCIES, Permits:Zoning Compliance (STANDARD 15: PLANNING AND REGULATION OF 0 DEVELOPMENT RECORDS). 3 m 18.18 FLOOD CONTROL:FLOOD STUDIES Retain in office for life of structure and then destroy.* Reviews of stream crossings for construction projects submitted to agency. cD 18.19 UTILITIES:DAILY WATER AND WASTEWATER FACILITY a) Destroy in office records concerning the operation of Authority: OPERATORS LOGS wastewater treatment facilities after 5 years.* 15A NCAC 18C.1301 Records concerning water distribution and treatment. b) Destroy in office records concerning the operation of water treatment facilities after 3 years.* *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 38 48 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES '-0`: NA AND OF ���� NAATURTURAL AND CULTURAL RESOURCES STANDARD IS:PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 18.20 UTILITIES:ELECTRIC POWER AND NATURAL GAS FACILITY a) If an element of the Strategic Plan,destroy in office Confidentiality: ENGINEERING AND SYSTEM PLANS when reference value ends.f G.S. 132-1.7 Includes authorizations to construct, building plans,and specifications of privately owned utilities. Agency Policy: Destroy in office after N P 00 t •• SEE ALSO:GENERAL RECORDS SCHEDULE: LOCAL b) If not an element of the Strategic Plan,destroy in GOVERNMENT AGENCIES,Strategic Plan(STANDARD 1: office when superseded or obsolete. i7 ADMINISTRATION AND MANAGEMENT RECORDS). C 18.21 UTILITIES:ELECTRIC POWER AND NATURAL GAS a) Destroy in office permits 5 years after expiration, ai PERMITS AND APPROVAL RECORDS cancellation,revocation or denial.* Permits,approval letters,and other related 0 documentation required by local,state,or federal b) Retain approval letters and supporting documentation Z ordinance,regulation,or statute and issued b a g y agency. g y permanently. �- 0 0 18.22 UTILITIES:ELECTRIC POWER AND NATURAL GAS SYSTEM Destroy in office 3 years after equipment is no longer m MAINTENANCE AND REPAIR RECORDS owned and/or operational. 0 Records documenting installation,location,specifications, v and maintenance history of meters,lines, pipes, pumps, v and similar system equipment. m 18.23 UTILITIES:ELECTRIC POWER AND NATURAL GAS SYSTEM Retain in office for life of system and then destroy. Confidentiality: MANAGEMENT PLANS G.S. 132-1.7 SEE ALSO:GENERAL RECORDS SCHEDULE: LOCAL t GOVERNMENT AGENCIES,Strategic Plan(STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS). *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 39 49 NC DEPARTMENT OF 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES '�a. d� NATURAL AND CULTURAL RESOURCES STANDARD 18:PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 18.24 UTILITIES:ELECTRIC POWER AND NATURAL GAS SYSTEM a) Retain project pre-approval and final approval letters PROJECT RECORDS for life of system and then destroy. b) Destroy in office remaining records 5 years after o0 project is completed. c 18.25 UTILITIES:LANDLORD AGREEMENTS Destroy in office 3 years after expiration of agreement. 0 Agreements to automatically transfer utility accounts to C landlords when their tenant vacates a property. — v? 18.26 UTILITIES:MAPS(UTILITY INSTALLATIONS& Retain for life of system and then destroy. Authority: DISTRIBUTIONS) 15A NCAC 18C.0300 Q Includes maps,plats,charts,and similar records showing t the location of water mains,valves, hydrants,meters, Confidentiality: etc.,throughout the system. G.S. 132-1.7 0 SEE ALSO:GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES, Maps,All Other(STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS) RECORDS). m *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 40 50 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES _�!J NATURA ANDC OF u^.�0 NATURAL AND CULTURAL RESOURCES STANDARD IS:PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 18.27 UTILITIES:METER INSTALLATION,TESTING AND a) Destroy in office records verifying installation of meter CALIBRATION RECORDS(ELECTRIC,WATER,GAS) 3 years after equipment is no longer owned and/or Includes records concerning the installation or planned operational. 1 installation of meters and connecting any facility to utility o0 system owned or operated by the agency. b) Destroy in office notice to property owners of approval of utility installation after 2 years. 0' c) Destroy in office remaining records after reference C value ends.± m' Agency Policy:Destroy in office after 1v 1'T v Q 18.28 UTILITIES:PUBLIC UTILITIES INSPECTION FORMS Destroy in office when superseded or obsolete. Records relating to the inspection of sanitation,electric, water,gas and sewer utilities submitted to or conducted by agency. E m v m m *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 41 51 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES Oil El NATURA ANDC Of „��� NATURAL AND CULTURAL RESOURCES STANDARD 18:PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 18.29 UTILITIES:PUBLIC UTILITIES SYSTEM ENGINEERING, a) Retain in office as built plans and specifications for life Authority: MAINTENANCE,AND REPAIR RECORDS of system and then destroy. 15A NCAC 18C.0300 Includes records documenting installation,authorizations 15A NCAC 2H .0115 _ to construct,building plans, location,specifications,and b) Destroy in office 5 years after equipment is no longer o0 maintenance history,for hydrants, pipes,pumps,valves, owned and/or operational if unlike replacement Confidentiality: and similar system equipment. Includes drainage system occurred. G.S. 132-1.7 t maintenance and repair records. 0 c) Destroy in office 3 years after equipment is no longer C owned and/or operational if like replacement —_ occurred. cn (D v D d) Destroy in office background surveys,studies,reports, 0- drafts,and other records when superseded or obsolete. 0 18.30 UTILITIES:RECYCLING WATER RECORDS Destroy in office when superseded or obsolete. Authority: m Backwash recycling groundwater records. 40 CFR 141.76(d) v 18.31 UTILITIES:SERVICE INTERRUPTION RECORDS Destroy in office after 3 years.* Includes reports,logs,or similar records documenting Cn service interruptions. cD *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 42 52 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ei�'� NATURA ANDC OF n��' NATURAL AND CULTURAL RESOURCES STANDARD 18:PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 18.32 UTILITIES:TAP AND HOOK UP RECORDS a) Destroy in office permits and contracts 3 years after Confidentiality: Applications,permits,contracts, logs,or similar records termination or cancellation.* G.S. 132-1.1(c) documenting location and installation of water and _ wastewater hookup and taps. b) Destroy in office denied applications and remaining o0 records when reference value ends.f c Agency Policy: Destroy in office after 1V C 18.33 UTILITIES:WATER AND WASTEWATER PERMITS AND a) Retain approval letters and supporting documentation Retention: �~ APPROVAL RECORDS permanently. 15A NCAC 18C.0300 Cn (D Permits,approval letters,and other related 15A NCAC 2H.0115 n documentation required by local,state,or federal b) Destroy in office permits and other records 5 years 40 CFR 122.28 Q ordinance,regulation,or statute for systems owned or after expiration,cancellation, revocation or denial.* operated by agency. Includes records regarding National o Pollutant Discharge Elimination System (NPDES) permits. :3 3 m 18.34 UTILITIES:WASTEWATER MAINTENANCE Destroy in office after 3 years. OPERATION REPORTS v a, rn *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-S. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 43 53 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES rt­1 NC DEPARTMENT OF n��1 NATURAL AND CULTURAL RESOURCES STANDARD 18:PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 18.35 WATER QUALITY:LABORATORY OPERATIONS RECORDS a) Destroy in office samples,raw data,analysis reports Authority: Includes documentation of all analytical quality control and related documentation after 5 years.* 15A NCAC 02H practices,reporting units,forms,test methods,and .0805(7)(G) _ related procedures pertaining to certification obtained by b) Destroy in office records concerning certification 2 15A NCAC 02H .1100 o0 agency. years after expiration,cancellation,revocation,or denial.* SEE ALSO:GENERAL RECORDS SCHEDULE: LOCAL 0 GOVERNMENT AGENCIES,Audits: Performance C (STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS). CD v 18.36 WATER QUALITY:PRETREATMENT PROGRAM RECORDS a) Destroy in office permits and supporting Retention: Includes annual pretreatment reports, records of documentation 5 years after expiration,cancellation, 15A NCAC 02H monitoring activities and results,water quality records revocation,or denial.* .0908(f)(1) and other related documentation. 40 CFR 503.17 0 b) Destroy in office remaining records after 3 years.* 3 CD 18.37 WATER QUALITY:PUBLIC WATER SANITARY SURVEY * Retention: a) Destroy in office 10 years after completion of survey.* 40 CFR 141.33 Includes reports,summaries,studies,correspondence b) Destroy in office documentation of corrective 15A NCAC 18C.1526 u' (including e-mail),and other related records documenting measures 2 years after their implementation. (D the sanitary condition of system. SEE ALSO:GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES,Audits: Performance (STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS). *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 44 54 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES - �.1 NCDUVARTMENT OF m� NATURAL AND CULTURAL RESOURCES STANDARD 18:PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 18.38 WATER QUALITY:SEWER JETTING AND VECTORING Destroy in office after 3 years. RECORDS Records documenting the routine cleaning of wastewater lines. o0 18.39 WATER QUALITY:SLUDGE TREATMENT RECORDS Destroy in office after 5 years.* Retention: Includes analyses,certification statements,site 40 CFR 503.17 restrictions,monitoring records,vector attraction C reduction requirements,trip tickets, residual records, — control plans and other related documentation conducted c(Dn by or for agency. v Q 18.40 WATER QUALITY:STORMWATER DEVIATION PERMITS a) Destroy in office permits and contracts 3 years after Permits issued to single lots. Includes applications, termination or cancellation.* certifications of installations,and related records. � b) Destroy in office inspections submitted by owner when superseded or obsolete. 18.41 WATER QUALITY:VIOLATION RECORDS Destroy in office after 5 years.* Retention: Includes all documentation of actions taken to correct 40 CFR 141.33 can federal,state or local violations of water and wastewater 15A NCAC 18C.1526 management standards by agency. 18.42 WATER QUALITY:WATER AND WASTEWATER SYSTEM Destroy in office after 5 years. INSPECTIONS AND TESTS Includes non-compliance inspections and test records conducted by a facility. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 45 55 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES -Ar¢'= NC DEVARTMENT OF W NATURAL AND CULTURAL RESOURCES STANDARD 19:PROGRAM OPERATIONAL RECORDS—STREET MAINTENANCE,PUBLIC WORKS,AND ENGINEERING RECORDS Official records and materials created and accumulated for constructing and maintaining municipal and county-maintained streets and other public works projects,and engineering records. STANDARD 19:STREET MAINTENANCE,PUBLIC WORKS,AND ENGINEERING RECORDS ITEM# (n RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION CD CD 19.01 APPRAISAL REPORTS Destroy in office after 10 years. Records appraising privately owned land for C compensation in eminent domain projects. SEE ALSO:GENERAL RECORDS SCHEDULE: LOCAL p GOVERNMENT AGENCIES, Easements and Right-of-Way 7 Agreements(STANDARD 6:LEGAL RECORDS). v D Q 19.02 CEMETERY DEEDS a) Retain 1 copy of deed in office permanently. M Copies of deeds for the purchase of agency-owned cemetery plots. Includes applications or deed slips. b) Destroy in office remaining records when reference CD value ends.4- m cQ Agency Policy:Destroy in office after 19.03 CEMETERY INTERMENT RECORDS Retain in office permanently. Includes name of deceased,date of interment,and location of plot. Retention Note: If these records are maintained as an electronic database, a copy should be maintained on paper or microfilm and updated regularly. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 46 56 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES RON NRARTMENT OF �iR9 NATUTURALAND CULTURAL RESOURCES STANDARD 19:STREET MAINTENANCE,PUBLIC WORKS,AND ENGINEERING RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 19.04 EXCAVATION PERMITS a) Destroy in office billing records after 3 years.* Applications, permits,and billing information for individuals and contractors requesting to work in the b) Destroy in office applications and permits 1 year after county or municipal right-of-way for demolitions or expiration. j excavations. (D c) Destroy in office applications for which a permit was U) never issued when reference value ends.± m Agency Policy:Destroy in office after SA.20,%C5. 19.05 GRAVE OPENING ORDERS Destroy in office after 1 year. 0 Authorizations to dig graves in agency-owned cemeteries. 0 19.06 INFRASTRUCTURE MAINTENANCE RECORDS Destroy in office after 3 years. a' Records documenting the general maintenance and v upkeep of infrastructure,including roads,traffic lights, 0- and other public works. M D cQ CD 19.07 PLANNING FILE Destroy in office 5 years after superseded or obsolete. Includes long-range and immediate plans for paving D. streets and other projects. (Q 19.08 PROJECT RECORDS-CANCELLED a) Retain records with historical value permanently. Confidentiality: Background information for public works and engineering G.S. 132-1.7 projects explored but not undertaken. Records are used b) Destroy in office remaining records when reference as a reference file and include maps, project information, value ends.± T and the reason that the project failed. Agency Policy: Destroy in office afters S . *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-S. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends.' Please use the space provided. 47 57 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES '■ NC DEPARTMENT OF h�I NATURAL AND CULTURAL RESOURCES STANDARD 19:STREET MAINTENANCE,PUBLIC WORKS,AND ENGINEERING RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 19.09 PROJECT RECORDS—CORE Destroy originals after life of structure ends. Confidentiality: Records used to document the design and construction of G.S. 132-1.7 public works and engineering projects. Includes final as- built plans and specifications;certificate of 1 completion/closure; policy correspondence(including e- mail),covenants;final estimates and budgetary Cn summaries;geo-technical reports;environmental m mitigation agreements;permits for right-of-way use, photographs documenting key aspects of construction as- built;final specifications;and as-built structural C calculations. 2• 0 v D Q m 12. m m *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-S. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 48 58 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 400■ NATURA AND OF i�i�i NATURAL AND CULTURAL RESOURCES STANDARD 19.STREET MAINTENANCE,PUBLIC WORKS,AND ENGINEERING RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 19.10 PROJECT RECORDS—ENGINEERING&COMPLIANCE Destroy in office 6 years after completion or termination of Confidentiality: Records used to document the engineering and technical project.* G.S. 132-1.7 areas of a public works and engineering project,as well as compliance with regulatory requirements. Includes superseded plans and specifications,agreements for m construction and finance, billing information,change C/) orders,force orders,work orders,construction claims, m tcontract documentation,contracts, reports,diaries and narratives, EEO information, material certifications, material testing reports,notice to proceed,permit of entry,postings,pre-construction conference records,final progress payments,punch lists, regulations,shop drawings,and subcontractor information. File also 0 includes environmental review records and proof of compliance with any mitigation measures required as a m condition of project authorization. 0- M SEE ALSO:GENERAL RECORDS SCHEDULE: LOCAL �. GOVERNMENT AGENCIES,Grants(STANDARD 1: m ADMINISTRATION AND MANAGEMENT RECORDS); CD CD GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT cQ AGENCIES,Grants: Financial(STANDARD 2: BUDGET, FISCAL,AND PAYROLL RECORDS);GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES, Payroll and Earnings Records(STANDARD 2: BUDGET, FISCAL,AND PAYROLL RECORDS.) *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-S. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends.' Please use the space provided. 49 59 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 'J'1e NC DEPARTMENT OF NATURAL AND CULTURAL RESOURCES STANDARD 19:STREET MAINTENANCE,PUBLIC WORKS,AND ENGINEERING RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 19.11 PROJECT SHEETS FILE Destroy in office after 5 years. Local forms listing property owners,lot or tract size, right- of-way data,tax value,and compensation. 19.12 RIGHT-OF-WAY ACQUISITION WORKING RECORDS Destroy in office after 3 years.* Includes records of negotiations on acquisition of rights- Cn of-way related to public works and engineering projects, m m such as 10-day letter of notification, notification of intent to acquire,notice of condemnation action,and other correspondence(including e-mail) relating to right-of-way acquisitions. c>' SEE ALSO:GENERAL RECORDS SCHEDULE: LOCAL 0 GOVERNMENT AGENCIES, Easements and Right-of-Way Agreements(STANDARD 6: LEGAL RECORDS). v Q 19.13 STREET NAME AND HOUSE NUMBER FILES Retain in office permanently. Z5 Records relating to the assignment of street names and house numbers. May also include records documenting m m street name changes,and non-temporary street openings and closings. cn *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 50 60 �! NC DEPARTMENT OF 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES .:.' NATURAL AND CULTURAL RESOURCES STANDARD 19:STREET MAINTENANCE,PUBLIC WORKS,AND ENGINEERING RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 19.14 STRUCTURAL MAINTENANCE AND ANALYSIS RECORDS Destroy records pertaining to structure 3 years after the Confidentiality: Records used for maintenance, review,and analysis of end of life of the structure. G.S. 132-1.7 permanent and temporary structures owned by third parties that extend,cross or abut the public right-of-way. t � SEE ALSO:GENERAL RECORDS SCHEDULE: LOCAL CA GOVERNMENT AGENCIES, Blueprints and Specifications m (STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS). c 19.15 SURVEY FIELD RECORDS a) Retain records with historical value permanently. n' Records used to document and establish easements and rights-of-way,and to locate reference points used during b) Destroy in office remaining records when superseded 0 street and utility projects. Records include traverse or obsolete. information,tie sheets,sketches,field notes,plats, v interpretation of field notes,alignments,profiles of Q projects, plans,grade sheets,estimates,databank ties, IT and other miscellaneous documents used to establish grades, rights-of-way and easements. CD m SEE ALSO:GENERAL RECORDS SCHEDULE: LOCAL c� GOVERNMENT AGENCIES, Easements and Right-of-Way Agreements(STANDARD 6:LEGAL RECORDS). 19.16 TRAFFIC ANALYSIS Destroy in office after 5 years. Analysis of vehicle traffic within agency jurisdiction. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-S. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 51 61 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES :MIN NATURA AND OF �i�'' NATURAL AND CULTURAL RESOURCES STANDARD 19:STREET MAINTENANCE,PUBLIC WORKS,AND ENGINEERING RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 19.17 TRAFFIC VIDEO RECORDINGS AND DATA Destroy in office after 30 days.* Recordings and other data used to monitor traffic levels. m CD 0 m 0- M c0 D m m ca *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 52 62 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES STANDARD 20:PROGRAM OPERATIONAL RECORDS-LAW ENFORCEMENT RECORDS(EXCLUDING SHERIFF'S OFFICES) Records received and created by any local government law enforcement agency(excluding sheriff's offices)necessary to meet all statutory requirements. Comply with applicable provisions of G.S. §132-1.4 regarding confidentiality of law enforcement records and G.S.§153A-98 and G.S. §160A-168 regarding confidentiality of personal information of law enforcement officers. Please note: Records created by county sheriff's offices fall under the purview of the Records Retention Schedule of County Sheriff's Offices. N O r— v ITEM# STANDARD 20.LAW ENFORCEMENT RECORDS M 0 RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 0 cu 20.01 ALARM CALL REPORTS a) If records are made part of a case file,follow m Reports completed by officers responding to alarm disposition instructions for: :3 calls. Includes listings of alarm type,time received, Case File: Felonies ;a time arrived,reason for activation,and other related Case File: Misdemeanors o information. Includes forms completed by businesses a and residences naming emergency contacts, location b) Destroy in office after 30 days if not made part of a En of safe,or other related information. case file. 20.02 ALTERNATIVE SENTENCING PROGRAMS Destroy in office 3 years after individual leaves program. Records documenting alternative sentencing programs. Includes work release and weekender service. 20.03 ARREST PROCESSING RECORDS Destroy in office 1 year after date of arrest.* Confidentiality: Records used to track a defendant's time and activities G.S. 132-1.4 t while in arrest processing. Includes time of arrival and time to and from each workstation. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction 'destroy when reference value ends." Please use the space provided. 53 63 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM# STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.04 ARREST REPORTS a) If records are made part of a case file,follow Confidentiality: Reports concerning arrests made by officers. disposition instructions for: G.S. 132-1.4 _ Case File: Felonies t Case File: Misdemeanors No r b) Destroy in office 5 years from date of arrest if report v is not made part of a case file. M 0 20.05 AUCTION RECORDS Destroy in office after 3 years.* Records concerning abandoned and unclaimed articles m or found property in possession of law enforcement m sold at public auction. May include auction receipts of monies received for items sold. (D 0 20.06 CASE FILE:FELONIES a) Destroy in office records concerning solved cases Confidentiality: Q Includes investigative reports,complaint reports, 20 years after disposition of case and exhaustion of G.S. 132-1.4 fingerprint cards,original arrest reports,copies of any appeals.* warrants,special expenditure report,statements of seized and returned property,interview sheets;case b) Retain in office records concerning unsolved cases tstatus reports,photographs,court orders, until solved,and then follow disposition correspondence;officer's notes,court dispositions, instructions in part(a). audio or video recordings,and other related records. SEE ALSO: Electronic Recordings of Interrogations, below. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 54 64 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM# STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.07 CASE FILE:MISDEMEANORS a) Destroy in office records concerning solved malicious Confidentiality: Includes investigative reports,complaint reports, misdemeanor cases 3 years after disposition of case G.S. 132-1.4 fingerprint cards,original arrest reports,copies of and exhaustion of any appeals.* warrants,special expenditure reports,statements of N Gn. seized and returned property,interview sheets,case b) Retain in office records concerning unsolved malicious 0 t status reports, photographs,court orders, misdemeanor cases until solved,and then follow v correspondence,officer's notes,court dispositions, disposition instructions in part(a). m audio or video recordings,and other related records. c) Destroy in office records concerning all misdemeanor o cases not covered in (a)or(b)after 3 years.* rn CD 20.08 COMMUNICATION RECORDS a) If records are made part of a case file,follow Confidentiality: Recordings, printouts,and logs of telephone, radio, disposition instructions for: G.S. 132-1.4 dispatch,911 emergency calls or texts,and computer Case File: Felonies CD aided dispatch (CAD)systems incoming and/or Case File: Misdemeanors t outgoing communications. Includes time and date of call,contents of call,location of call,name of unit sent b) Destroy in office after 30 days if not made part of a to scene,and other related information. case file. SEE ALSO:PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES,911 Communication Records and Recordings AND Dispatch Records and Recordings. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. ±The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 55 65 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM# STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.09 COMPLAINTS a) If records are made part of a case file,follow Confidentiality: Records concerning complaints to which a unit disposition instructions for: G.S. 132-1.1(a) responded. Includes logs listing name and address of Case File:Felonies victim,time,date,nature of complaint,responding Case File: Misdemeanors N 0 officer's name,action taken,and other related r information. b) Destroy in office 3 years after resolution if not made t partof a case file. M 20.10 COMPOSITE INTERVIEWS a) If records are made part of a case file,follow Summaries of interviews used to determine the disposition instructions for: (D physical description of suspects. Case File: Felonies m Case File: Misdemeanors x (D b) Destroy in office when reference value ends if not 0 made part of case file.± CL 0 a, Agency Policy:Destroy in office after 20.11 CRIME ANALYSIS RECORDS a) If records are made part of a case file,follow Confidentiality: Records used to anticipate,prevent,or monitor disposition instructions for: G.S. 132-1.4 possible criminal activity. Includes crime reports, Case File: Felonies G.S. 132-1.7(a2) photographs,complaints,copies of citations,criminal Case File: Misdemeanors t profile information,and interoffice memoranda Authority/ generated or accumulated in connection with b) Destroy in office when reference value ends if not Confidentiality/ investigations or directed patrols. made part of case file.± Retention 28 CFR 23.20 Agency Policy:Destroy in office after *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 56 66 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM# STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.12 DETENTION FACILITY INCIDENT REPORTS c) If records are made part of a case file,follow Confidentiality: Detention facility incident reports. Include narratives disposition instructions for: G.S. 132-1.1(a) of incidents, lists of those involved,statements and Case File: Felonies interview reports,inmates'refusal of medical Case File: Misdemeanors N 0 treatment,inmates' refusal to press charges,and other r t related records. d) Destroy in office after 3 years if not made part of a case file.* SEE ALSO:GENERAL RECORDS SCHEDULE: LOCAL M GOVERNMENT AGENCIES, Litigation Case Records o (STANDARD 6: LEGAL RECORDS). N 3 20.13 DETENTION FACILITY OPERATIONAL RECORDS a) If records are made part of a case file,follow D Records concerning all activities occurring during shifts disposition instructions for: X at detention facilities. Includes end of duty(shift Case File:Felonies m 0 change reports,key and radio control lists,equipment Case File: Misdemeanors o and inmate/non-inmate housing check lists,cell Cn inspection reports, laundry exchange and controlled b) Destroy in office when reference value ends if not property lists,tour reports,etc.)and inmate made part of case file.± accountability(rosters,commitment and release reports,cell locations,etc.) records. Agency Policy:Destroy in office after 20.14 DETENTION FACILITY PHYSICAL FORCE RECORDS Destroy in office after 3 years.* Reports made by any officer or employee of a detention facility who applies physical force to an inmate or arrestee. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends.' Please use the space provided. 57 67 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM» STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.15 DIVISION OF CRIMINAL INFORMATION AND Destroy in office 1 year after period covered by audit.* Authority: NATIONAL CRIME INFORMATION CENTER(DCI- 28 USC 534 NCIC) ENTRIES Records and logs listing entries and inquiries made No against DCI-NCIC networks and concerning missing persons,wanted persons,stolen vehicles or other property,and other related topics. m 0 20.16 DIVISION OF CRIMINAL INFORMATION AND Destroy in office after 1 year.* Authority: NATIONAL CRIME INFORMATION CENTER(DCI- 28 USC 534 m NCIC)VALIDATION RECORDS m Requests and proofs of verification for DCI-NCIC or other law enforcement information networks. (] (D 0 0 20.17 DNA SAMPLING RECORDS a) If records are made part of a case file,follow Authority: N Records documenting the collection of DNA samples disposition instructions for: G.S. 15A-266.8 from persons for qualifying offenses. Includes copies Case File: Felonies of judgments.Original samples are forwarded to the Case File:Misdemeanors State Crime Lab. b) Destroy in office 1 year from date sample was obtained if not made part of a case file. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 58 68 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM# STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.18 DOMESTIC VIOLENCE RECORDS a) If records are made part of a case file,follow Confidentiality: Restraining orders and related records. disposition instructions for: G.S. 132-1.4 Case File: Felonies Case File: Misdemeanors o t r b) Destroy in office after expiration of restraining order if not made part of a case file. m 20.19 DRUG AND ALCOHOLTESTING RECORDS a) Transfer original Driving While Impaired (DWI)reports Records and reports generated when individuals to county Clerk of Superior Court's office. CD suspected of being under the influence of or impaired E by illegal drugs or alcohol are chemically tested. b) If records are made part of a case file,follow Includes reports used for persons arrested for driving disposition instructions for: (D while impaired by alcohol and/or drugs and Case File: Felonies 0 0 breathalyzer analysis reports. Case File: Misdemeanors SEE ALSO: Laboratory Case Records,below. c) Destroy in office when reference value ends if not made part of case file.± Agency Policy: Destroy in office after *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction 'destroy when reference value ends." Please use the space provided. 59 69 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM# STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.20 ELECTRONIC RECORDINGS OF INTERROGATIONS a) If records are made part of a case file,follow Authority: Electronic recordings generated by audio and/or video disposition instructions for: G.S. 15A-211 recording devices of custodial interrogations in an Case File: Felonies investigation of a juvenile or any person in a criminal Case File: Misdemeanors Confidentiality: N - o t investigation. G.S.76-3001(b) b) Destroy in office when reference value ends if G.S.132-1.4A not made part of case file.± M 0 Agency Policy: Destroy in office after (D 20.21 FIELD OBSERVATIONS a) If records are made part of a case file,follow Confidentiality: Records concerning field observations of suspicious disposition instructions for: G.S. 132-1.4 persons or vehicles. Includes subject's name,address, Case File:Felonies 'D m and physical description;date,time,and location of Case File:Misdemeanors 0 t occurrence; reason for stop;name of officer Q conducting interview;and other related information. (n b) Destroy in office when reference value ends if not made part of case file.± Agency Policy: Destroy in office after *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 60 70 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM# STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.22 FINGERPRINT CARDS a) If records are made part of a case file,follow Confidentiality: Records used to verify a subject's identity. Includes disposition instructions for: G.S. 132-1.4 fingerprints and all necessary information required to Case File: Felonies identify an individual.Also includes records of latent Case File: Misdemeanors Authority: No finger and palm prints that were found at the scene G.S. 15A-502 t of a crime without identification of suspects b) Destroy in office after 3 years if not made part of case file. m Original fingerprint records are forwarded to the =Y State Bureau of Investigation. o m SEE ALSO:Juvenile Case History Identification Records, m below. co 20.23 FORCIBLE ENTRY RECORDS Destroy in office after 1 year. o Records concerning forcible entries made by law a enforcement personnel. Cn 20.24 FUGITIVE WARRANTS CASE RECORDS Destroy in office when reference value ends.± Records concerning fugitive warrants sent to a department from another jurisdiction requesting Agency Policy:Destroy in office after assistance in finding an individual. Includes fugitive profile and warrant. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 61 71 21 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM# STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.25 IDENTIFICATION PHOTOGRAPHS a) If records are made part of a case file,follow Confidentiality: Photographs(mugshots)of persons arrested in disposition instructions for: G.S. 132-1.4 _ association with formal investigations.Also includes Case File: Felonies t` driver's license photos or negatives. Case File: Misdemeanors No r SEE ALSO:Juvenile Case History Identification Records, b) Destroy in office after 3 years if not made part of below. a case file. M 20.26 INCIDENT RESPONSE REPORTS a) If records are made part of a case file,follow Confidentiality: 0 Reports completed by officers responding to disposition instructions for: G.S.132-1.4 m incidents. Includes victim,suspect,and witness Case File: Felonies m information;damaged and stolen property reports; Case File: Misdemeanors statement sheets; Miranda waiver forms;and other x (D related records. b) Destroy in office when reference value ends if not o made part of case file.± C Agency Policy: Destroy in office after 20.27 INMATE CLASSIFICATION RECORDS Destroy in office 3 years after inmate is released or Records concerning classification information transferred from the facility.* gathered by the detention facility while inmates are incarcerated.Also includes incident reports, behavioral or disciplinary reports,interviews, classification level assigned, requested housing moves,and other related records. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-S. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 62 72 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM# STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.28 INMATE COMMITMENT RECORDS Destroy in office when reference value ends.zL Copies of judgment and commitment papers received from the Clerk of Superior Court's office used to Agency Policy:Destroy in office after validate time spent incarcerated. N 0 r 20.29 INMATE DEATH REPORTS Destroy in office after 3 years.* Authority: Reports filed by office upon the death of an inmate.A G.S. 153A-224(b) M report must be sent to the county health director and N.C. Department of Health and Human Services,within five days of the death. 3 cD 20.30 INMATE FINANCIAL RECORDS Destroy in office 3 years after inmate is released or Records concerning individual inmate funds transferred from the facility.* maintained by a detention facility for use by the 0 0 inmate while incarcerated. Includes balance sheets Q listing inmate's name and number,amount of funds, dates of deposits and withdrawals,and other related information. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 63 73 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM N STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.31 INMATE GRIEVANCE RECORDS a) If legal action is taken and case adjudicated,destroyin Confidentiality: Records concerning grievances filed by inmates and office 5 years after final disposition. G.S. 132-1.1(a) actions taken. b) If legal action is taken and case non-adjudicated(out- No of-court claims),destroy in office 5 years after final disposition or expiration of relevant statute of w t limitations. m 0 c) Destroy remaining records in office 3 years after inmate is released or transferred from the facility.* 3 m 20.32 INMATE MAIL,TELEPHONE,OR VISITOR RECORDS Destroy in office after 1 year.* Records concerning telephone calls and mail sent and m received by inmates and individuals visiting inmates o confined in county or municipal detention facilities. Q Cn Includes logs listing inmate's name,date and time of call or mail,visitor's signature and address,and other related information. 20.33 INMATE MEAL RECORDS Destroy in office after 3 years.* Retention: Records concerning the planning and scheduling of 10A NCAC 141 .1723 inmate meals. Includes food service daily shift reports, daily meal sheets,food order forms,kitchen checklists, lists of inmates receiving meals and other related records. File also includes records concerning requests for special diets made by inmates. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 64 74 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM# STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.34 INMATE MEDICAL RECORDS Destroy in office 10 years after inmate's release or parole. Confidentiality: Records concerning medical examinations,diagnoses, G.S.8-53 and treatments of inmates. Includes medical 45 CFR 164.502 information sheets and screening forms, medical N 0 histories as provided by inmate,receipt and/or release r forms for medications and medical articles, laboratory v � and x-ray reports,blood pressure records,sick bay m t` transfer forms,special diet authorizations, psychological evaluation forms,suicide watch sheets, progress notes,health assessment forms,dental forms,doctors'orders,transportation records to D CD outside clinics or hospitals,and other related records. May also include authorization records for release of cD medical information to detention facility staff, 0 0 informed consent forms, refusal of treatment forms, Q and release of financial responsibility forms. Cn SEE ALSO:Juvenile Detention Records,below. 20.35 INMATE PERSONAL IDENTIFICATION RECORDS Destroy in office 30 days after receipt.* Records concerning changes to be made to an inmate's incarceration file. Includes personal identification changes,superior court calendar, long form dismissals and other related records. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. i The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 65 75 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM 7 STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.36 INMATE RESEARCH REQUESTS Destroy in office 1 year from date of request. Requests filed by inmates seeking use of a facility's law library or similar collection containing research N materials. o r 20.37 JUVENILE CASE FILES a) Destroy in office records when juvenile reaches 21 Confidentiality: v Includes incident and arrest reports,detention orders, years of age if adjudicated for an offense that would G.S.7B-3001(b) M disposition instructions, name and address of person have been a Class A, B1, B2,C, D,or E felony if having legal and/or physical custody of child, committed by an adult. Retention: 0 i correspondence with county, municipal,or state (D juvenile services,and other related records. b) Destroy in office records related to all other cases m when juvenile reaches 18 years of age. rt x (D 20.38 JUVENILE CASE HISTORY IDENTIFICATION RECORDS a) Transfer to the State Bureau of Investigation and Confidentiality/ o Includes fingerprints and photographs. Federal Bureau of Investigation. Retention: Cn G.S.713-2102 b) Destroy in office agency copies when reference t value ends.*± Agency Policy:Destroy in office after 20.39 JUVENILE DETENTION RECORDS a) Destroy in office medical records when juvenile Confidentiality: Records concerning medical and non-medical reaches30 years of age. G.S.76-3001(b) information gathered on juvenile inmates held in t county or municipal detention facilities. b) Destroy in office non-medical records whenjuvenile reaches 18 years of age. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. ±The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 66 76 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM# STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.40 LABORATORY CASE RECORDS Retain in office permanently. Confidentiality: Records concerning cases examined in a crime G.S. 132-1.4 laboratory;includes reports,notes,charts,and other T related records oN r 20.41 LAW ENFORCEMENT AUDIO AND VIDEO RECORDINGS a) If records are made part of a case file,follow Confidentiality: v Tapes and digital recordings generated by mobile disposition instructions for: G.S. 132-1.4A M and fixed audio and video recording devices. Case File: Felonies G.S. 153A-98 Case File: Misdemeanors Does not include Electronic Recordings of m t Interrogations,above. b) Destroy in office after 30 days if not made part of a m case file. CD 0 20.42 MULTIPLE FIREARMS SALES REPORTS Destroy in office when reference value ends,but within 20 Retention: a Reports received from dealers reporting the sale of days after receipt.± 18 USC 923(g)(3)(b) multiple firearms. Agency Policy:Destroy in office after 20.43 MULTIPLE FIREARMS SALES REPORTS Destroy in office after 1 year. Authority: DESTRUCTION RECORDS 18 USC 923(g)(3)(b) Records submitted after 6 months to the U.S.Attorney General's Office certifying that all multiple firearm sales reports received from dealers have been destroyed. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends.' Please use the space provided. 67 77 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM# STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.44 ORDINANCE VIOLATIONS CITATIONS Destroy in office after 3 years.* Citations issued for violations of municipal and county ordinances. N O 20.45 PAWNSHOP RECORDS a) If records are made part of a case file,follow Authority: Pawnshop cards and property records submitted to disposition instructions for: G.S.66-391 municipal and county law enforcement offices. Case File: Felonies M Case File:Misdemeanors 0 ci b) Destroy in office after 1 year if not made part of a case m file. m 20.46 PERMISSION TO SEARCH RECORDS a) If records are made part of a case file,follow Authorizations for officers to search property,and if disposition instructions for: o necessary,confiscate property deemed pertinent to an Case File: Felonies investigation. Case File:Misdemeanors b) Destroy in office when reference value ends if not made part of a case file.± Agency Policy: Destroy in office after *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 68 78 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM# STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.47 PERMITS:CONCEALED WEAPONS AND HANDGUNS a) Destroy in office all approved applications after 5 Authority/ Applications and supporting documentation filed to years. Confidentiality: carry concealed weapons or purchase handguns. G.S. 14-415.17 Includes background checks and other related records. b) Destroy in office denied applications and related G.S. 132-1.4 N 0 ^4 records 5 years from date of denial or resolution of G.S. 132-1.7 t petition filed with district court,whichever is longer. v M c) Destroy in office background checks and related :3 records concerning approved applications when permit is issued. m 3 m 20.48 PRISON RAPE ELIMINATION ACT(PREA)FILE Destroy in office 6 years after inmate's release.* Authority: Allegation,investigation,and incident review records 28 CFR Part 115 m documenting investigations into allegations of sexual Retention Note: If a minor is involved in the incident 0 0 abuse or sexual harassment. records should be retained until the minor reaches age 30. 20.49 PRISON RAPE ELIMINATION ACT(PREA)DATA FILE Destroy in office after 10 years. Authority/Retention: Aggregated data for every allegation of sexual abuse at 28 CFR Part 115.187 county or municipal lockups. 28 CFR 115.189(d) 20.50 PRISONER TRANSPORT RECORD Destroy in office after 1 year. Verification forms completed by receiving party of prisoner patient. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 69 79 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM.# STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.51 PROPERTY RECORDS Destroy in office 3 years after final disposition of property. Records concerning confiscated property,evidence, stolen or recovered property,and unclaimed property. Includes descriptions of property and its value,serial No numbers,and other related records. Records may also r be filed with original incident report. v M 20.52 PURSUIT LOGS a) If records are made part of a case file,follow o Logs concerning pursuits by law enforcement disposition instructions for: personnel. Case File: Felonies m Case File: Misdemeanors m b) Destroy in office after 3 years if not made part of aCD case file. 0 0 n. 20.53 RIDE-ALONG PROGRAM RECORDS Destroy in office after 3 years.* Records concerning a law enforcement ride-along program. 20.54 SEXUAL OFFENDER RECORDS a) Destroy in office records of persons registered in the Authority: Records concerning sexual offenders living within "Sexually Violent Predator Program"when individual is G.S. 14-208 jurisdiction. known dead or after 90 years. Retention: b) Destroy in office records of persons registered in G.S. 14-208.6A the"Sex Offender and Public Protection Program" after court petition and review by the state;or after 30 years or length of court order,whichever is greater;or when individual is known dead. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 70 80 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM# STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.55 TRAFFIC ACCIDENT REPORTS a) Transfer original collision report to the N.C. Confidentiality: Records concerning traffic accidents. Includes general Division of Motor Vehicles within 10 days of 18 USC 2721 correspondence, property receipts,collision reports, accident. waivers signed by involved parties agreeing to settle No damages among themselves,and other related b) Destroy in office after 3 years records concerning r records. accidents not meeting N.C. Division of Motor Vehicles a) reporting requirements,but for which a report was m made. 0 0 c) Destroy in office duplicate reports when reference m value ends.± m Agency Policy:Destroy in office after 0 0 20.56 TRAFFIC CITATIONS AND WARNINGS a) Transfer original citations to county Clerk of Superior Cn Citations issued to drivers violating motor vehicle and Court's office. traffic laws. Includes voided citations and warnings that do not require a fine or court appearance. b) If records are made part of a case file,follow t disposition instructions for: Case File: Felonies Case File: Misdemeanors c) Destroy remaining records in office after 1 year. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. ±The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 71 81 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ITEM# STANDARD 20:LAW ENFORCEMENT RECORDS RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 20.57 TRESPASS RECORDS a) If records are made part of a case file,follow Authority: Authorizations by property owners,lessees,or disposition instructions for: G.S. 14-159.12-13 managers for law enforcement officers to take action Case File: Felonies deemed appropriate to remove unauthorized persons Case File: Misdemeanors No and issue trespass warnings. b) Destroy in office 1 year after expiration if not made part of a case file. IT 20.58 VEHICLE TOWING RECORDS a) If records are made part of a case file,follow Includes recovery authorizations and consent forms disposition instructions for: m completed by owners to have vehicle towed, removed, Case File: Felonies E (D stored,or left at the scene. Case File:Misdemeanors X b) Destroy in office after 1 year if not made part of a case o file. Q cn *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 72 82 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES STANDARD 21:PROGRAM OPERATIONAL RECORDS-TAX RECORDS(FOR MUNICIPALITIES) Records received and created by a municipality for the purposes of collecting taxes. For County Tax Administration records,please refer to the separate County Tax Administration Program Schedule. N STANDARD 21:TAX RECORDS ITEM# v RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION x �7 21.01 ANIMAL LICENSING RECORDS Destroy in office after 3 years.* Authority: CD Records concerning the licensing of dogs,cats,and other G.S. 160A-212 0 animals by the municipality. Includes owner and animal Cn n information and record of fees paid. Confidentiality: t G.S. 105-259 G.S. 132-1.1(b) G.S. 132-1.2 v G.S. 160A-208.1 21.02 BEER AND WINE TAXES AND RECORDS Destroy in office after 3 years.* Authority: Records concerning the levy of privilege taxes on beer G.S. 105-133.77-79 and wine. 21.03 BICYCLE LICENSE PLATE RECORDS Destroy in office after 1 year.* Confidentiality: Records concerning issuance of license plates for bicycles. G.S. 105-259 n_ G.S. 132-1.1(b) t G.S. 132-1.2 G.S. 160A-208.1 *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction 'destroy when reference value ends." Please use the space provided. 73 83 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES STANDARD 21:TAX RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 21.04 DELINQUENT TAXPAYER RECORDS Destroy in office after 10 years or 3 years after final Records concerning taxpayers who have not paid real and settlement or 1 year after released by governing board, personal property taxes due,including unpaid notices. whichever comes first.* N SEE ALSO: Delinquent Taxpayer Records:Advertisement of Tax Liens Against Real Property, below. x Z] CD 21.05 DELINQUENT TAXPAYER RECORDS:ADVERTISEMENT OF Destroy in office after 10 years.* Authority: o TAX LIENS AGAINST REAL PROPERTY G.S. 105-369 Q- Records concerning the municipal taxation officer's publication in the newspaper of delinquent taxpayer and c tax sales notices. v SEE ALSO: Delinquent Taxpayer Records,above. �- 21.06 MOTOR VEHICLE RENTAL TAX RECORDS Destroy in office after 3 years.* Records concerning motor vehicle rental tax assessments. 21.07 MUNICIPAL VEHICLE TAX RECORDS Destroy in office after 3 years.* Authority: Records concerning municipal vehicle taxes levied G.S.20-97(b) annually. 21.08 PREPARED FOOD AND BEVERAGE TAX RECORDS Destroy in office after 3 years.* Records concerning prepared food and beverage tax assessments. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 74 84 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES STANDARD 21:TAX RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 21.09 PRIVILEGE LICENSES,TAXES,AND FEE RECORDS Destroy in office after 3 years.* Authority: Records concerning the licensing of occupations, G.S. 160A-194 businesses,trades, professions,and forms of amusement or entertainment and associated fees and taxes. N SEE ALSO:Animal Licensing Records(above), Beer and --I Wine Taxes and Records(above), Municipal Vehicle Tax x Records(above),Taxicab and Limousine Tax Records ;U CD (below). 0 Q Cn 21.10 ROOM OCCUPANCY TAX RECORDS Destroy in office after 3 years.* Authority: Records concerning the administration of room G.S. 160A-215 occupancy tax records for those municipalities who have n. t adopted room occupancy taxes. Confidentiality: G.S. 105-259 G.S. 132-1.1(b) G.S. 132-1.2 G.S. 160A-208.1 *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction 'destroy when reference value ends." Please use the space provided. 75 85 STANDARD 21:TAX RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 21.11 SCHEDULE"B"LICENSES a) Destroy in office 3 years after close of license tax year Authority: Receipts of licenses issued by municipality in accordance stubs or detailed settlement records. G.S. 105-41 with Article 2,Schedule B of the Revenue Laws of North G.S. 105-83 Carolina.Applies to privilege licenses issued to attorneys- b) Destroy in office stubs 1 years after audit if G.S. 105-88 N at-law and other professionals,installment paper dealers, settlement records are kept. G.S. 153A-152 and pawnbrokers. G.S. 160A-211 x Confidentiality: m G.S. 105-259 0 0 G.S. 132-1.1(b) 0- G.S. 132-1.2 G.S. 160A-208.1 c 21.12 TAX ABSTRACTS AND LISTS Destroy in office after 10 years or two revaluation cycles. Authority: Records concerning real and personal property in the G.S. 105-309 municipality, based on assessment lists. Includes name G.S. 105-296 and address of taxpayer along with descriptions of property owned and estimated value. 21.13 TAX EXEMPT PROPERTY FILE Destroy in office 5 years after property exemption has Records concerning property that is exempt from expired or at end of life of structure,whichever comes taxation. first. 21.14 TAX LEDGER CARDS OR SHEETS Destroy in office 5 years after superseded or obsolete. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION, page A-5. +The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 76 86 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES STANDARD 21:TAX RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 21.15 TAX LEVY/SEIZURE RECORDS a) Destroy in office after 3 years execution forms if levy Authority: Inventory of property taken from property owner by the and sale of personal property is made. If levy and sale G.S. 105-366 municipal tax collector to pay back taxes. are conducted by municipal law enforcement agency, G.S. 105-367 execution forms are to be retained by that agency. N b) If levy,seizure,and sale are not made,destroy in office forms when reference value ends.± x ;U m Agency Policy: Destroy in office after 0 0 Cn 21.16 TAX LIEN SALES Destroy in office 10 years after sale. Records concerning sales held to satisfy tax liens. c 21.17 TAX REBATES Destroy in office after 10 years. Records concerning tax rebates given or received. 21.18 TAX SCROLLS Destroy in office after 10 years. Records indicating property(real estate and personal) valuation and taxes due. 21.19 TAXICAB AND LIMOUSINE TAX RECORDS Destroy in office after 3 years.* Authority: Records concerning the levy of privilege taxes on taxicabs G.S.20-97(d) and limousines. *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION,AND OTHER OFFICIAL ACTION, page A-S. ±The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 77 87 MANAGING PUBLIC RECORDS IN NORTH CAROLINA Q. What is this "records retention and disposition schedule"? A. This document is a tool for the employees of local government agencies across North Carolina to use when managing the records in their offices. It lists records commonly found in agency offices and gives an assessment of their value by indicating how long those records should be retained. This schedule is also an agreement between your agency and the State Archives of North Carolina. This schedule serves as the inventory and schedule that the State Archives of North Carolina is directed by N.C. Gen. Stat. § 121-5(c) and N.C. Gen. Stat. § 132-8 to provide. It supersedes all previous editions, including all amendments. Q. How do 1 get this schedule approved? A. This schedule must be approved by your governing body for use in your agency. That approval should be made in a regular meeting and recorded as an action in the minutes. It may be done as part of the consent agenda, by resolution,or other action. Q. Am I required to have all the records listed on this schedule? A. No, this is not a list of records you must have in your office. Q. What is "reference value"? A. Items containing"reference value" in the disposition instructions are generally records that hold limited value,which is typically restricted to those documenting routine operations within the office. A minimum retention period should be established by the office for any items containing the phrase "destroy in office when reference value ends" in the disposition instructions. Q. Do the standards correspond to the organizational structure of my agency? A. Records series are grouped into standards to make it easier for users to locate records and their disposition instructions. You may find that the groupings reflect the organizational structure of your agency,or you may find that records are located in various standards depending on the content of the record. The intent of the schedule's organization is to provide an easy reference I guide for the records created in your agency. i Q. What if I cannot find some of my records on this schedule? A. Sometimes the records are listed in a different standard than how you organize them in your office. Be sure to check the Index and utilize the search function on the PDF version of the schedule to facilitate the location of records series. If you still cannot locate your records on the schedule, contact a Records Management Analyst. We will work with you to amend this records schedule so that you may destroy records appropriately. The Request for Change in Records Schedule form (see page A-17) can be used for such requests. Q. What are public records? A. The General Statutes of North Carolina, Chapter 132, provides this definition of public records: "Public record" or"public records" shall mean all documents, papers, letters, maps, books, photographs,films, sound recordings, magnetic or other tapes, electronic data-processing records, artifacts, or other documentary material, regardless of physical form or A-1 88 characteristics, made or received pursuant to law or ordinance in connection with the transaction of public business by any agency of North Carolina government or its subdivisions. Agency of North Carolina government or its subdivisions shall mean and include every public office, public officer or official (state or local, elected or appointed), institution, board, commission, bureau,council, department, authority or other unit of government of the state or of any county, unit, special district or other political subdivision of government. Q. Is any person allowed to see my records? A. Yes, except as restricted by specific provisions in state or federal law. N.C. Gen. Stat. § 132-6 instructs: "Every custodian of public records shall permit any record in the custodian's custody to be inspected and examined at reasonable times and under reasonable supervision by any person, and shall, as promptly as possible,furnish copies thereof upon payment of any fees as may be prescribed by law. ... No person requesting to inspect and examine public records, or to obtain copies thereof,shall be required to disclose the purpose or motive for the request." Q. What about my confidential records? A. Not all government records are open to public inspection. Exceptions to the access requirements in N.C. Gen.Stat. § 132-6 and the definition of public records in N.C. Gen. Stat. § 132-1 are found throughout the General Statutes. You must be able to cite a specific provision in the General Statutes or federal law when you restrict or deny access to a particular record. Q. Am I required to make available to the public copies of drafts that have not been approved? A. Yes, even if a report, permit, or other record has not been finalized, it is still a public record subject to request. Any record that is not confidential by law must be provided when a request is received,whether it is "finished" or not. Q. What do 1 do with permanent records? A. Permanent records should be maintained in the office that created the records,forever. The Department of Natural and Cultural Resources (DNCR) is charged by the General Assembly with the administration of a records management program (N.C. Gen. Stat. § 121-4 (2) and § 132-8.1) and the maintenance of"a program for the selection and preservation of public records considered essential to the operation of government and to the protection of the rights and interests of persons"(§ 132-8.2). Permanent records with these characteristics require preservation duplicates that are human-readable (paper or microfilm). Some examples of these characteristics include: ■ Affect multiple people,without regard to relation ■ Have significance over a long span of time ■ Document governance ■ Document citizenship Examples of records with these characteristics: ■ Minutes of governing bodies at the state and local levels are the basic evidence of our system of governance, and are routinely provided for the public to read. A-2 89 ■ Records, such as deeds and tax scrolls, about land document changes in ownership and condition. Counties maintain offices expressly for the purpose of making those records available to the public. Other records in local and state governments document potential public health hazards, such as hazardous materials spills. ■ Adoptions, marriages, and divorces document changes in familial relationships and document citizenship. Though adoptions are confidential (not available for public inspection),they document citizenship and changes in inheritance and familial succession. ■ Court records, such as wills, estates, and capital cases,affect people within and across family groups, are made available for public inspection, and often involve transactions related to the examples above. See the Human-Readable Preservation Duplicates policy issued by the North Carolina Department of Natural and Cultural Resources (https://archives.ncdcr.gov/government/digital- records/digital-records-policies-and-guidelines/human-readable-preservation) and check with a records analyst to determine whether your permanent records require a preservation duplicate. Q. What is historical value? A. Historical records document significant events, actions, decisions, conditions, relationships, and similar developments. These records have administrative, legal, fiscal, or evidential importance for the government or its citizens. Two criteria for determining historical value are inherent interest and extraordinary documentation: • Inherent interest is created by non-routine events, by the involvement of famous parties, and by compelling contexts. For instance,foreclosure proceedings from the 1930s have high historical value because they date from the era of the Great Depression. • Extraordinary documentation is found in records that shed light on political, public, or social history. For instance,the records from the replevin case that returned the Bill of Rights to North Carolina hold more historical value than most property case files because of the political history intertwined with this case. SANC has further elaborated selection criteria that help distinguish records with historical value: • Do they protect the rights and property of citizens? • Do they have a long-term impact on citizens? • Do they document the core functions of an agency? • Do they document high-level decision-making that shapes an agency's policies or initiatives? • Do they summarize an agency's activities? Call a Records Management Analyst for further assistance in assessing historical value. Q. What if I do not have any records? A. Nearly every position in government generates, receives, or uses records. Computer files of any kind, including drafts and e-mail, are public records. Even if your records are not the official or final version,your records are public records. Not all records have high historical, legal,or fiscal value, but they all must be destroyed in accordance with the provisions of the appropriate records schedule. A-3 90 Q. I have a lot of unsorted records. What's a good first step for getting a handle on these records? A. We encourage you to create a file plan of what records you have.When you create this plan, you can match each record to its placement on this schedule or on the appropriate retention schedule.A sample file plan is available on Page A-21. Having a file plan can help you strategize how to best organize your physical or digital records.A file plan is also useful in disaster planning and scheduling destructions. Q. May 1 store our unused records in the basement, attic, shed, etc.? A. Public records are public property. Though we encourage agencies to find places to store records that do not take up too much valuable office space,the selected space should be dry, secure,and free from pests and mold. Your office must ensure that records stored away from your main office area are well protected from natural and man-made problems while remaining readily available to your staff and the public. Q. Our old records are stored in the attic, basement, or off-site building, etc. Are we required to provide public access to these records? A. Yes, as long as the records are not confidential by law. You should also be aware that confidentiality can expire. Q. Aren't all our old records at the State Archives of North Carolina? A. Probably not. The State Archives of North Carolina collects only very specific types of records from local government offices. Contact a Records Management Analyst for more information about which records are held or can be transferred to the State Archives of North Carolina for permanent preservation. Q. I found some really old records. What should I do with them? A. Call a Records Management Analyst. We will help you examine the records and assess their historical value. Q. Can 1 give my old records to the historical society or public library? A. Before you offer any record to a historical society, public library, or any other entity,you must contact a Records Management Analyst. Permanent records must be kept either in your offices or at the State Archives of North Carolina. Q. Whom can I call with questions? A. If you are located west of Statesville, call our Western Office in Asheville at(828) 250-3103. If you are east of Statesville, all the way to the coast, call our Raleigh office at (919) 814-6900. A-4 91 AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION Q. Why is there an asterisk in the disposition instructions of so many items on this schedule? A. No record involved in a pending or ongoing audit, legal, or other official action may be destroyed before that audit or action is resolved. A legal hold or litigation hold means that records that are the subject of the legal hold or litigation hold must be preserved and thus must not be destroyed until officially released from the hold. A legal hold or litigation hold is placed when either an official discovery order is served on the agency requesting the production of the records in question (for a litigation, regulatory investigation, audit, open records request, etc.)or litigation is pending and the agency is thus on notice to preserve all potentially relevant records. You must also ensure that for a claim or litigation that appears to be reasonably foreseeable or anticipated but not yet initiated, any records (in paper or electronic formats) relevant to such a claim or litigation are preserved and not destroyed until released by your General Counsel. The records in question must not be destroyed until the completion of the action and the resolution of all issues that arise from it regardless of the retention period set forth in this schedule. We have used an asterisk(*) in the disposition instructions to mark records series that are commonly audited, litigated, or may be subject to other official actions. However, any record has this potential. Records custodians are responsible for being aware of potential actions, and for preventing the destruction of any record that is, or may be reasonably expected to become, involved in an audit, legal,or other official action. t Records used during routine audits may be destroyed when the governing body accepts the audit, if the records have completed the retention period listed in this schedule. If time remains in the retention period,the records must be maintained for the remainder of the period. The auditor's working papers must be kept according to the schedule. (See also GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES, Audits: Performance, STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS,Audits: Financial, STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS.) Should a dispute arise over an audit,the records that were audited should be retained until that dispute is resolved. The attorney representing the agency should inform records custodians when legal matters are concluded and records will no longer be needed. Following the conclusion of any legal action, the records may be destroyed if they have met the retention period in the schedule. Otherwise, they should be kept for the remaining time period. A-5 92 TRANSITORY RECORDS Transitory records are defined as "record[s]that [have] little or no documentary or evidential value and that need not be set aside for future use."' According to North Carolina General Statutes§ 121 and § 132,every document, paper, letter, map, book, photograph,film,sound recording, magnetic or other tape, electronic data processing record, artifact, or other documentary material, regardless of physical form or characteristics, made or received in connection with the transaction of public business by any state, county, municipal agency, or other political subdivision of government is considered a public record and may not be disposed of, erased,or destroyed without specific approval from the Department of Natural and Cultural Resources. The Department of Natural and Cultural Resources recognizes that some records may have little or no long-term documentary or evidential value to the creating agency. These records are often called "transitory records." The following questions and answers discuss types of transitory records commonly created in state government. They may be disposed of according to the guidance below. However, all public employees should be familiar with the General Records Schedule for Local Government Agencies, their office's Program Records Retention and Disposition Schedule, and any other applicable guidelines for their office. If any of these documents require a different retention period for these records,follow the longer of the two retention periods. When in doubt about whether a record is transitory, or whether it has special significance or importance, retain the record in question and seek guidance from the analyst assigned to your agency. Q. What do I do with routing slips, fax cover sheets, "while you were out" slips, memory aids, etc.? A. Routing slips and transmittal sheets adding no information to that contained in the transmitted material have minimal value after the material has been successfully transmitted. These records may be destroyed or otherwise disposed of after receipt of the material has been confirmed. Similarly, "while you were out"slips, memory aids, and other records requesting follow-up actions (including voicemails) have minimal value once the official action these records are supporting has been completed and documented. Unless they are listed on the General Records Schedule for Local Government Agencies or your office's Program Records Retention and Disposition Schedule, these records may be destroyed or otherwise disposed of once the action has been resolved. Q. What about research materials, drafts, and other working papers used to create a final, official record? A. Drafts and working papers are materials, including notes and calculations,gathered or created to assist in the creation of another record. All drafts and working papers are public records subject to all provisions of General Statute§ 132, but many of them have minimal value after the final version of the record has been approved, and may be destroyed after final approval, if they are no longer necessary to support the analysis or conclusions of the official record. Drafts and working documents which may be destroyed after final approval include: • Drafts and working papers for internal and external policies s Society of American Archivists,Dictionary of Archives Terminology. A-6 93 • Drafts and working papers for internal administrative reports, such as daily and monthly activity reports • Drafts and working papers for internal, non-policy-level documents, such as informal workflows and manuals; and • Drafts and working papers for presentations, workshops, and other explanations of agency policy that are already formally documented. Q. What if I have forms designed and used solely to create, update, or modify records in an electronic medium? A. If these records are not required for audit or legal purposes,they may be destroyed in office after completion of data entry and after all verification and quality control procedures. However, if the forms contain any analog components that are necessary to validate the information contained on them (e.g. a signature or notary's seal),they should be retained according to the disposition instructions for the records series encompassing the forms' function. See also the State Archives of North Carolina's guidance on digital signatures found at: https:Harchives.ncdcr.gov/,government/digital-records/digital-records-policies-and- guidelines/digital-signature-policy A-7 94 DESTRUCTION OF PUBLIC RECORDS Q. When can I destroy records? A. Each records series listed on this schedule has specific disposition instructions that indicate how long the series must be kept in your office. In some cases,the disposition instructions are "Retain in office permanently," which means that those records must be kept in your offices forever. Q. How do I destroy records? A. After your agency has approved this records retention and disposition schedule, records should be destroyed in one of the following ways: 1) burned, unless prohibited by local ordinance; 2) shredded, or torn so as to destroy the record content of the documents or material concerned; 3) placed in acid vats so as to reduce the paper to pulp and to terminate the existence of the documents or materials concerned; 4) sold as waste paper, provided that the purchaser agrees in writing that the documents or materials concerned will not be resold without pulverizing or shredding the documents so that the information contained within cannot be practicably read or reconstructed. The provision that electronic records are to be destroyed means that the data, metadata, and physical media are to be overwritten, deleted, and unlinked so that the data and metadata may not be practicably reconstructed. The data, metadata, and physical media containing confidential records of any format are to be destroyed in such a manner that the information cannot be read or reconstructed under any means. — N.C.Administrative Code,Title 7, Chapter 4,Subchapter M,Section .0510 Without your agency's approval of this records schedule, no records may legally be destroyed. Q. How can I destroy records if they are not listed on this schedule? A. Contact a Records Management Analyst. An analyst will discuss the nature of the records with you to determine if the records have historical value. If the records do have historical value,we will discuss the possibility of transferring the records to the State Archives of North Carolina to be preserved permanently. If the records do not have historical value,we will ask you to complete a Request for Disposal for Unscheduled Records form if the records are no longer being created. If the records are an active records series,an analyst will help you develop an amendment to this schedule so that you can destroy the records appropriately from this point forward. A-8 95 Q. Am 1 required to tell anyone about the destructions? A. We recommend that you report on your records retention activities to your governing board on an annual basis. This report does not need to be detailed, but it is important that significant destructions be entered into the minutes of the Board. See a sample destructions log that follows (and is available online at the State Archives of North Carolina website, https://archives.ncdcr.gov/government/rm-tools). A-9 96 �■4,■ NC DEPARTMENT ■ ■ OF NATURAL AND MEMOS CULTURAL RESOURCES archives.ncdcr.gov 4615 Mail Service • .•• 6911 Destructions Log County/Municipality Division Section Branch Location(s) of Records Volume Media Records Series Required Date file drawers (Paper, Date of Method of Authorization for Retention Range Electronic Destruction Destruction Destruction or MB) P E A-10 97 ELECTRONIC RECORDS: E-MAIL, BORN-DIGITAL RECORDS, AND DIGITAL IMAGING Q. When can I delete my e-mail? A. E-mail is a public record as defined by N.C. Gen. Stat. § 121-5 and N.C. Gen. Stat. § 132. Electronic mail is as much a record as any paper record and must be treated in the same manner. It is the content of each message that is important. If a particular message would have been filed as a paper memo, it should still be filed (either in your e-mail program or in your regular directory structure), and it should be retained the same length of time as its paper counterparts. It is inappropriate to destroy e-mail simply because storage limits have been reached. Some examples of e-mail messages that are public records and therefore covered by this policy include: • Policies or directives; • Final drafts of reports and recommendations; • Correspondence and memoranda related to official business; • Work schedules and assignments; • Meeting agendas or minutes • Any document or message that initiates, facilitates, authorizes, or completes a business transaction; and • Messages that create a precedent,such as issuing instructions and advice. From the Department of Cultural Resources E-Mail Policy(Revised July 2009), available at the State Archives of North Carolina website Other publications (available online at the State Archives of North Carolina website) that will be particularly helpful in managing your e-mail include tutorials on managing e-mail as a public record and on using Microsoft Exchange. Q. May I print my e-mail to file it? A. We do not recommend printing e-mail for preservation purposes. Important metadata are lost when e-mail is printed. Q. I use my personal e-mail account for work. No one can see my personal e- mail, right? A. The best practice is to avoid using personal resources, including private e-mail accounts, for public business. N.C. Gen. Stat. § 132-1 states that records "made or received pursuant to law or ordinance in connection with the transaction of public business by any agency of North Carolina government or its subdivisions" are public records (emphasis added). The fact that public records reside in a personal e-mail account is irrelevant. A-11 98 Q. We have an imaging system. Are we required to keep the paper? A. You may scan any record, but you will need to receive approval from the Government Records Section in order to destroy paper originals that have been digitized. Your agency must develop an electronic records policy and then submit a Request for Disposal of Original Records Duplicated by Electronic Means. You can find these templates in the Digital Imaging section of the State Archives of North Carolina website (https://archives.ncdcr.gov/government/digital- records/digital-records-policies-and-guidelines#digital-imaging). Contact a Records Management Analyst for further instructions on how to develop a compliant electronic records policy. Permanent records must have a security preservation copy as defined by State Archives of North Carolina's Human-Readable Preservation Duplicate Policy(N.C. Gen.Stat. § 132-8.2): Preservation duplicates shall be durable, accurate,complete and clear, and such duplicates made by a photographic, photo static, microfilm, micro card, miniature photographic, or other process which accurately reproduces and forms a durable medium for so reproducing the original shall have the same force and effect for all purposes as the original record whether the original record is in existence or not. ... Such preservation duplicates shall be preserved in the place and manner of safekeeping prescribed by the Department of Natural and Cultural Resources. The preservation duplicate of permanent records must be either on paper or microfilm. Non-permanent records may be retained in any format. You will need to take precautions with electronic records that you must keep more than about 5 years. Computer systems do not have long life cycles. Each time you change computer systems,you must convert all records to the new system so that you can assure their preservation and provide access. Q. Computer storage is cheap. Can I just keep my computer records permanently? A. The best practice is to destroy all records that have met their retention requirements, regardless of format. Q. What are the guidelines regarding the creation and handling of electronic public records, including text messages and social media? A. There are numerous documents available on the State Archives of North Carolina website (https://archives.ncdcr.gov/government/digital-records/digital-records-policies-and-guidelines). Topics covered include shared storage, cloud computing, e-discovery,trustworthy digital public records, digital signatures, e-mail,social media,text messages, websites, digital imaging, metadata,file formats, database indexing, and security backups. Note that e-mail,text messages, and social media should be handled according to their content. Therefore,this schedule does not include a records series that instructs you on how to handle one of these born-digital records by format; instead of focusing on how the information is disseminated, consider what content is contained in the e-mail,text message, or social media post. For instance, an e-mail requesting leave that is sent to a supervisor should be kept for 3 years. On the General Records Schedule: Local Government Agencies,see Leave Records (Standard 4: HUMAN RESOURCES RECORDS). A-12 99 GEOSPATIAL RECORDS Q. Why should geographic information system (GIS) datasets be retained and preserved? A. Geospatial records are public records and need to be retained and preserved based on their legal, fiscal, evidential and/or historical value according to an established retention schedule. Local agencies involved in GIS operations should work with the State Archives of North Carolina in order to appraise, inventory, and preserve their geospatial records according to established best practices and standards to insure both their short-and long-term accessibility. Due to the complexity and transitory nature of these records,geospatial records retention and long-term preservation is a community-wide challenge. GIS files have become essential to the function of many local agencies and will continue to frequently be utilized in agency decision- making processes in the near and far future. Accessibility of GIS records over time has legal, fiscal, practical, and historical implications. The availability of GIS records can help safeguard the local government's legal and fiscal accountability and aid agencies in conducting retrospective and prospective studies. These studies are only possible when essential data from the past are still available. Q. What GIS datasets should be preserved by local governments? A. The following types of geospatial records have been designated as having archival value: • Parcel data I • Street centerline data • Corporate limits data • Extraterritorial jurisdiction data • Zoning data, address points • Orthophotography(imagery) • Utilities • Emergency/E-911 themes For more information,see GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES, STANDARD 3:GEOGRAPHIC INFORMATION SYSTEM(GIS) RECORDS. Q. How often should we capture the datasets retained for their legal, fiscal, evidential or historical value? A. Consult the retention schedule for frequency of capture. The frequency of capture is based on the significance of the record as well as its alterability. A-13 100 Q. What data formats, compression formats, and media should be used to preserve the data? A. Archiving practices should be consistent with North Carolina Geographic Information Coordinating Council (GICC) approved standards and recommendations. (Examples: Content Standards for Metadata; Data Sharing Recommendations). Consult the GICC website at https://it.nc.gov/about/boards-commissions/gicc. You should also comply with guidelines and standards issued by the State Archives of North Carolina,which are available on its website. Q. Who should be responsible for creation and long-term storage of archived data? A. The creating agency, NCOneMap, and the State Archives of North Carolina may all have responsibility for archiving data. If you choose to upload your data to NCOneMap, consult with your county's GIS department to determine whether data will be uploaded by your agency or by the whole county. If you choose not to upload your data to NCOneMap,your agency must comply with standards (for metadata,file naming, data sharing, and long term preservation) and procedures adopted by the North Carolina Geographic Information Coordinating Council. A-14 101 SECURITY PRESERVATION COPIES OF RECORDS Q. What is the advantage to having security preservation copies of records stored with the State Archives? A. Having duplicate copies of essential records in a separate location mitigates the risk that you may lose the only physical copy of a given record in a disaster or other records loss event. Maintaining offsite duplicates of records, regardless of format, is a good practice to adopt. The State Archives creates duplicate copies on microfilm because of the durability of the medium. Silver negative microfilm does not decay for hundreds of years, ensuring that your records maintain their integrity over time. Q. What records will the State Archives back up for us? A. The State Archives provides security imaging services for minutes of major decision-making boards and commissions. We will also image records of adoptions for Social Services agencies as well as maps and plats from Registers of Deeds offices. Once those records are imaged,they are converted to security microfilm. We will store the silver negative (original) microfilm in our security vault. Contact the Records Management Analyst in charge of imaging coordination for the most current information. Q. How do I start the process of backing up the above listed records? A. We have three processes for creating backup film copies of these records. First,you can send photocopies of your approved minutes to us in the mail. Simply include a copy of the Certification of the Preparation of Records for Security Preservation Copy form (available online at the State Archives of North Carolina website)with each shipment. For more detailed instructions, contact a Records Management Analyst. Secondly,you can bring us your original books. We will film them and return them to you. This process is most useful when you have more minutes to film than you are willing to photocopy. It is important to remember that a representative of your office or ours must transport the original books in person so that the custody of the records is maintained. You should not mail or ship your original minutes. Contact the Records Management Analyst in charge of imaging coordination to schedule an appointment for your books to be imaged. We will make every effort to expedite the filming so that your books will be returned to you as quickly as possible. Finally, you can submit these records to the State Archives electronically. Please see our procedures in "Transfer of Minutes in Digital Formats for Microfilming" or contact the Records Management Analyst in charge of imaging coordination for more information. Q. In the event of a records loss, how do I obtain copies of the security preservation copies stored at the State Archives? A. Contact the Records Management Analyst in charge of imaging coordination who will help you purchase copies of the microfilm from our office. You can then send those reels to a vendor who can either make new printed books or scan the film to create a digital copy. A-15 102 Q. Can I obtain digital copies of the security preservation records? A. Yes,you can request digital copies of records when you submit them to the State Archives for initial reproduction. Contact the Records Management Analyst in charge of imaging coordination to initiate a request for digital duplicates. A-16 103 DISASTER ASSISTANCE Q. What should 1 do in case of fire or flood? A. Secure the area, and keep everyone out until fire or other safety professionals allow entry. Then, call our Raleigh office at (919)814-6903 for the Head of the Government Records Section or(919) 814-6849 for the Head of the Collections Management Branch. If you're in the western part of the state, call our Asheville Office at(828) 250-3103. On nights and weekends, call your local emergency management office. DO NOT ATTEMPT TO MOVE OR CLEAN ANY RECORDS. Damaged records are extremely fragile and require careful handling. Our staff are trained in preliminary recovery techniques, documenting damage to your records, and authorizing destruction of damaged records. Professional vendors can handle larger disasters. Q. What help do you give in case of an emergency? A. We will do everything we can to visit you at the earliest opportunity in order to provide hands- on assistance. We can assist you in appraising the records that have been damaged so that precious resources(and especially time) are not spent on records with lesser value. We can provide lists of professional recovery vendors that you can contact to preserve your essential and permanent records. Q. What can I do to prepare for an emergency? A. We provide training on disaster preparation that includes a discussion of the roles of proper inventories, staff training, and advance contracts with recovery vendors. If you would like to have this workshop presented, call a Records Management Analyst. Q. What are essential records? A. Essential records are records that are necessary for continuity of operations in the event of a disaster. There are two common categories of records that are considered essential: • Emergency operating records—including emergency plans and directives, orders of succession, delegations of authority, staffing assignments, selected program records needed to continue the most critical agency operations, as well as related policy or procedural records. • Legal and financial rights records—these protect the legal and financial rights of the Government and of the individuals directly affected by its activities. Examples include accounts receivable records, Social Security records, payroll records, retirement records, and insurance records. These records were formerly defined as "rights-and-interests" records. Essential records should be stored in safe, secure locations as well as duplicated and stored off-site, if possible. A-17 I 104 STAFF TRAINING Q. What types of workshops or training do you offer? A. We have a group of prepared workshops that we can offer at any time at various locations throughout the state. Contact a Records Management Analyst if you are interested in having one of the workshops presented to your agency. We will work with you directly to develop training suited to your specific needs. Our basic workshops are: • Managing public records in North Carolina • Disaster preparedness and recovery • Digital communications Q. Will you design a workshop especially for our office? A. Yes,we will. Let a Records Management Analyst know what type of training you need. Q. Are workshops offered only in Raleigh? A. No,we will come to your offices to present the workshops you need. We have no minimum audience requirement. We will also do presentations for professional associations, regional consortiums, and the public. To arrange a workshop, please call the State Records Center at 919-814-6900 or contact a Records Management Analyst(https://archives.ncdcr.gov/government/local/analysts). Q. Is there a fee for workshops? A. Not at this time. Q. Are the workshops available in an online format? A. We can offer a virtual workshop for your agency upon request. For descriptions of available webinars, see https://archives.ncdcr.gov/government/training/webinars. You can also find several online tutorials available on the State Archives of North Carolina website (https://archives.ncdcr.gov/government/training/online-tutorials-and-resources). A-18 105 •aE-10•0,'■ GOVERNMENT RECORDS SECTION NC DEPARTMENT OF ■iui NATURAL AND CULTURAL RESOURCES STATE RECORDS CENTER ■1no� ncdcr.gov 4615 . .•• . . . .•11 Request for Change in Local Government Records Schedule Use this form to request a change in the records retention and disposition schedule governing the records of your agency. Submit the signed original and keep a copy for your file. A proposed amendment will be prepared and submitted to the appropriate state and local officials for their approval and signature. Copies of the signed amendment will be sent to you for insertion in your copy of the schedule. AGENCY INFORMATION RMATIt Requestor name Location and Agency[e.g., County/Municipality+ Department of Social Services] Phone and e-mail Mailing Address 'r CHANGE REMWESTE© Specify title and edition of records retention schedule being used: H Add a new item Delete an existing item Standard Number Page Item Number ❑ Change a retention period Standard Number Page Item Number_ Title of Records Series in Schedule or Proposed Title: Inclusive Dates of Records: Proposed Retention Period: Description of Records: Justification for Change: Requested by: Signature Title Date Approved by: Signature Requestor's Supervisor Date A-19 106 NC DEPARTMENT OF GOVERNMENT RECORDS SECTION rt��:!■ ■i��i NATURAL AND CULTURAL RESOURCES STATE RECORDS CENTER ■ 'OEM archives.ncdcr.gov 4615 - • ••• • • • ••11 Request for Disposal of Unscheduled Records AGENCY INFORMATION Requestor name Location and Agency[e.g., County/Municipality+Department of Social Services] Phone and e-mail Mailing Address In accordance with the provisions of N.C. GEN. STAT. § 121 and § 132, approval is requested for the destruction of records listed below. These records have no further use or value for official administrative, fiscal, historical, or legal purposes. RECORDS TITLE INCLUSIVE QUANTITY RELEVANT PROPOSED AND DESCRIPTION DATES STATUTORY RETENTION REGULATIONS PERIOD Requested by: Signature Title Date Approved by: Signature Requestor's Supervisor Date Concurred by: Signature Assistant Records Administrator Date State Archives of North Carolina A-20 107 �!��0 NC DEPARTMENT OF GOVERNMENT RECORDS SECTION ■NEE NATURAL AND CULTURAL RESOURCES STATE RECORDS CENTER ■ ONE ncdcr.gov 4615 • .•' . • .•11 Request for Disposal of Original Records Duplicated by Electronic Means If you have questions, call(919) 814-6900 and ask for a Records Management Analyst. This form is used to request approval from the Department of Natural and Cultural Resources to dispose of non-permanent paper records that have been scanned, entered into databases, or otherwise duplicated through digital imaging or other conversion to a digital environment.This form does not apply to records that have been microfilmed or photocopied or to records with a permanent retention. Agency Contact Name: Date (MM-DD-vYYY): Phone (area code): E-mail: County/Municipality: Office: Mailing address: i Records Series Title Description of Records Inclusive Approx.Volume Retention A group of records as listed Specific records as referred Dates of Records Period in records retention to in-office (1987-1989; (e.g."l file As listed in records schedule 2005- resent) cabinet,""5 boxes") retention schedule f Requested by: Signature Title Date Approved by: Signature Requestor's Supervisor Date Concurred by: Signature Assistant Records Administrator Date State Archives of North Carolina A-21 i I 0-.mom 108 -EM_0 NC DEPARTMENT ■ i OF NATURAL AND NEUNE CULTURAL RESOURCES ■ -■■■ ncdcr.gov 4615 Mail Service Center, - • . 6911 File Plan County/Municipality Division Section Branch Records Owner Media (if record copy is (Paper, Required Records Series Records Creator transferred within the Electronic, Retention Location(s) of Records Scanned agency) p E I S A-22 109 INDEX 911 COMMUNICATION RECORDS AND RECORDINGS,12 COMMUNITY DEVELOPMENT BLOCK GRANT(CDBG) ADMISSION RECORDS,16 RECORDS,26 AFFIRMATIVE ACTION FILE(AIRPORT),1 COMMUNITY DEVELOPMENT BLOCK GRANT(CDBG) AIR POLLUTION SOURCE INFORMATION,5 RECORDS:OUTSTANDING LOAN BALANCES,26 AIR SPACE CONSTRUCTION FILES,1 COMMUNITY DEVELOPMENT BLOCK GRANT(CDBG) AIRFIELD INSPECTION FILES,1 RECORDS:SUBJECT TO REVERSION OF ASSETS AIRPORT ACCESS CONTROL RECORDS,1 PROVISIONS OR CHANGE OF USE OF REAL PROPERTY, AIRPORT MASTER RECORD FILES,1 26 ALARM CALL REPORTS,53 COMPLAINTS(LAW ENFORCEMENT),56 ALTERNATIVE SENTENCING PROGRAMS,53 COMPOSITE INTERVIEWS,56 AMBULANCE CALL REPORTS,12 COMPREHENSIVE PLAN AND AMENDMENTS,20 AMERICANS WITH DISABILITIES ACT(ADA)PARATRANSIT COMPREHENSIVE SOLID WASTE MANAGEMENT PLAN& RECORDS,31 AMENDMENTS,34 AMERICANS WITH DISABILITIES ACT(ADA)PARATRANSIT CONTINUUM OF CARE RECORDS,27 VOUCHERS,31 CONTROLLED SUBSTANCE EUTHANASIA LOG(ANIMAL AMERICANS WITH DISABILITIES ACT(ADA)PRE-TRIP SERVICES),4 I INSPECTION FORMS,31 CONTROLLED SUBSTANCE LABS DECONTAMINATION ANIMAL ABUSE AND CRUELTY RECORDS,3 RECORDS,6 ANIMAL COMPLAINT RECORDS,3 CRIME ANALYSIS RECORDS,56 ANIMAL CONTROL RECORDS,3 CRIMINAL RECORDS CHECKS,27 ANIMAL LICENSING RECORDS(ANIMAL SERVICES),4 CUSTOMER(RIDER)IDENTIFICATION RECORDS,32 ANIMAL LICENSING RECORDS(TAX),73 CUSTOMER USAGE RECORDS,34 ANIMAL SHELTER RECORDS,4 DAILY DISPOSAL TICKETS(LANDFILL),34 APPRAISAL PROJECT FILE(PUBLIC HOUSING),25 DECLARATIONS AND BY-LAWS FROM TOWNHOUSES, APPRAISAL REPORTS(STREET MAINTENANCE,PUBLIC CONDOMINIUMS,PLANNED RESIDENTIAL WORKS,AND ENGINEERING),46 DEVELOPMENTS,AND COMMON AREAS,21 ARREST PROCESSING TRACKING RECORDS,53 DELINQUENT TAXPAYER RECORDS,74 ARREST REPORTS,54 DELINQUENT TAXPAYER RECORDS-ADVERTISEMENT OF ART-IN-TRANSIT APPLICATIONS,32 TAX LIENS AGAINST REAL PROPERTY,74 AUCTION RECORDS,54 DESTRUCTIONS LOG,A-10 AUDIO AND VIDEO RECORDINGS(LAW ENFORCEMENT),67 DETENTION FACILITY INCIDENT REPORTS,57 BEER AND WINE TAXES AND RECORDS,73 DETENTION FACILITY OPERATIONAL RECORDS,57 BICYCLE LICENSE PLATE RECORDS,73 DETENTION FACILITY PHYSICAL FORCE RECORDS,57 BLUEPRINTS AND SPECIFICATIONS,5 DISADVANTAGED BUSINESS ENTERPRISE(DBE)RECORDS, BOARD OF ADJUSTMENT CASE FILE,19 32 BUILDING AND FIRE SAFETY SYSTEM PLANS,13 DISCHARGE MONITORING REPORTS,35 BUILDING AND ROAD PERMITTING AND INSPECTION DISCOUNT PASSES APPLICATIONS,32 RECORDS,6 DISPATCH RECORDS AND RECORDINGS(EMS AND FIRE CASE FILE-FELONIES,54 DEPARTMENT),13 CASE FILE-MISDEMEANORS,55 DIVISION OF CRIMINAL INFORMATION AND NATIONAL CEMETERY DEEDS,46 CRIME INFORMATION CENTER(DCI-NCIC)ENTRIES,58 CEMETERY INTERMENT RECORDS,46 DIVISION OF CRIMINAL INFORMATION AND NATIONAL CERTIFICATES OF APPROPRIATENESS,20 CRIME INFORMATION CENTER(DCI-NCIC)VALIDATION CERTIFICATION FILE.See Redevelopment Plans RECORDS,58 CHEMICAL ANALYSIS RECORDS.See DRUG AND ALCOHOL DNA SAMPLING RECORDS,58 TESTING RECORDS DOMESTIC VIOLENCE RECORDS,59 CITATIONS RECORDS,16 DROUGHT CONTINGENCY PLANS,6 COMMUNICATION RECORDS(LAW ENFORCEMENT),55 DRUG AND ALCOHOL TESTING RECORDS,59 A-23 110 ELECTRIC POWER AND NATURAL GAS FACILITY INMATE GRIEVANCE RECORDS,64 ENGINEERING&SYSTEM PLANS,39 INMATE MAIL,TELEPHONE,OR VISITOR RECORDS,64 ELECTRIC POWER AND NATURAL GAS PERMITS AND INMATE MEAL RECORDS,64 APPROVAL RECORDS,39 INMATE MEDICAL RECORDS,6S ELECTRIC POWER AND NATURAL GAS SYSTEM INMATE PERSONAL IDENTIFICATION RECORDS,65 MAINTENANCE&REPAIR RECORDS,39 INMATE RESEARCH REQUESTS,66 ELECTRIC POWER AND NATURAL GAS SYSTEM INSPECTIONS,7 MANAGEMENT PLANS,39 JUVENILE CASE HISTORY FILES,66 ELECTRIC POWER AND NATURAL GAS SYSTEM PROJECT JUVENILE CASE HISTORY IDENTIFICATION RECORDS,66 RECORDS,40 JUVENILE DETENTION RECORDS,66 ELECTRONIC RECORDINGS OF INTERROGATIONS,60 LABORATORY CASE RECORDS,67 EMERGENCY SOLUTIONS GRANTS(ESG)RECORDS,28 LABORATORY OPERATIONS RECORDS,44 ENVIRONMENTAL IMPACT STUDIES,21 LAND DEVELOPMENT AND PLANNING STUDIES AND EROSION AND SEDIMENT AFFIDAVITS,36 REPORTS(AIRPORT),2 EROSION AND SEDIMENT CONTROL ENFORCEMENT CASES, LAND MARKETING AND DEVELOPMENT RECORDS.See 6 HOME Investment Partnerships Program Records EROSION AND SEDIMENT CONTROL EXHIBIT RECORDS,37 LANDFILL MONITORING REPORTS,35 EROSION AND SEDIMENT CONTROL INSPECTIONS,37 LANDFILL OPERATIONAL PLAN,35 EROSION AND SEDIMENT CONTROL PERMITS,37 LANDFILL PERMITS,36 EROSION AND SEDIMENT CONTROL PLANS,7,37 LANDFILL TONNAGE AND COST FILE,8 EXCAVATION PERMITS,47 LANDLORD AGREEMENTS(UTILITIES),40 EXEMPTIONS(VARIANCE)RECORDS,7 LANDLORD MONITORING RECORDS,30 FAgADE PROJECT FILES,28 LEAD AND COPPER COMPLIANCE RECORDS,8 FIELD OBSERVATIONS,60 MAPS(UTILITY INSTALLATIONS&DISTRIBUTIONS),40 FILE PLAN,22 METER TESTING AND CALIBRATION RECORDS(ELECTRIC, FINGERPRINT CARDS,61 WATER,GAS),41 FIRE ALARM AND AUTOMATIC EXTINGUISHER FILE,13 MOTOR VEHICLE RENTAL TAX RECORDS,74 FIRE DISPATCH FILE,13 MULTIPLE FIREARMS SALES REPORTS,67 FIRE INVESTIGATION CASE FILES,14 MULTIPLE FIREARMS SALES REPORTS DESTRUCTION FIRE SAFETY INSPECTIONS AND PERMITS,14 RECORDS,67 FLOOD CERTIFICATIONS,38 MUNICIPAL VEHICLE TAX RECORDS,74 FLOOD STUDIES,38 NORTH CAROLINA FIRE INCIDENT REPORT,14 FORCIBLE ENTRY RECORDS,61 NOTICE OF VIOLATIONS FOR IMPROPER DISCHARGE OR FUGITIVE WARRANTS CASE RECORDS,61 DISPOSAL FILE,36 GOING OUT OF BUSINESS LICENSES,7 OFFICIALS FILE,16 GRAVE OPENING ORDERS,47 OPEN SPACE CLASSIFICATION CASE FILE,21 GROUNDWATER MONITORING RECORDS,7 OPERATOR SHIFT INSPECTION RECORDS,32 HISTORIES OF PET OWNERS,4 ORDINANCE VIOLATIONS CITATIONS,68 HOME INVESTMENT PARTNERSHIPS PROGRAM RECORDS, OUTSIDE WASTE CLEARANCE RECORDS,36 29 PARKS PLANNING FILE,17 HOUSING ASSISTANCE FOR PERSONS WITH DISABILITIES, PATIENT CARE REPORTS,12 29 PAWNSHOP RECORDS,68 HOUSING OPPORTUNITIES FOR PERSONS WITH AIDS PERMISSION TO SEARCH RECORDS,68 (HOPWA)RECORDS,30 PERMITS IDENTIFICATION PHOTOGRAPHS,62 CONSTRUCTION,8 ILLEGAL DUMPING FILE,7 HANDGUN,69 INCIDENT RESPONSE REPORTS,62 PUBLIC UTILITIES PROJECTS,8 INFRASTRUCTURE MAINTENANCE RECORDS,47 TEMPORARY MANUFACTURED HOME,22 INMATE CLASSIFICATION RECORDS,62 ZONING COMPLIANCE,22 INMATE COMMITMENT RECORDS,63 PETITION&REGULATION RECORDS,22 INMATE DEATH REPORTS,63 PHARMACEUTICAL AND NARCOTICS RECORDS,15 INMATE FINANCIAL RECORDS,63 A-24 111 PLANNING FILE(STREET MAINTENANCE,PUBLIC WORKS, SEAT BELT AND RESTRAINT SYSTEM RECORDS,33 AND ENGINEERING),47 SERVICE INTERRUPTION RECORDS,42 PLANNING REVIEW CASE FILE,23 SEWER JETTING AND VECTORING RECORDS,45 POOL RECORDS,17 SEXUAL OFFENDER RECORDS,70 PREPARED FOOD AND BEVERAGE TAX RECORDS,74 SLUDGE TREATMENT RECORDS,45 PRETREATMENT PROGRAM RECORDS,44 SOCIAL MEDIA,A-12 PRISON RAPE ELIMINATION ACT(PREA)DATA FILE,69 SPECIAL USE PERMIT RECORDS AND INDEX,21 PRISON RAPE ELIMINATION ACT(PREA)FILE,69 STORMWATER DEVIATION PERMITS,45 PRISONER AND MENTAL PATEINT TRANSPORT RECORD,69 STREET NAME AND HOUSE NUMBER FILES,50 PRIVILEGE LICENSES,TAXES,AND FEE RECORDS,75 STRUCTURAL MAINTENANCE AND ANALYSIS RECORDS,51 PROJECT RECORDS—CANCELLED(PUBLIC WORKS AND SUBDIVISION RECORDS,24 ENGINEERING),47 SURVEY FIELD RECORDS,S1 PROJECT RECORDS—CORE(PUBLIC WORKS AND TAP AND HOOK UP RECORDS,43 ENGINEERING),48 TAX ABSTRACTS AND LISTS,76 PROJECT RECORDS—ENGINEERING&COMPLIANCE,49 TAX EXEMPT PROPERTY FILE,76 PROJECT SHEETS FILE(STREET MAINTENANCE,PUBLIC TAX LEDGER CARDS OR SHEETS,76 WORKS,AND ENGINEERING RECORDS,50 TAX LEVY AND SEIZURE RECORDS,77 PROPERTY MANAGEMENT RECORDS.See HOME TAX LIEN SALES,77 Investment Partnerships Program Records TAX REBATES,77 PROPERTY RECORDS-STOLEN AND RECOVERED,70 TAX SCROLLS,77 PUBLIC UTILITIES INSPECTION FORMS,41 TAXICAB AND LIMOUSINE TAX RECORDS,77 PUBLIC UTILITIES SYSTEM ENGINERRING,MAINTENANCE, TEXT MESSAGES,A-12 AND REPAIR,RECORDS,42 TICKET STUBS,18 PUBLIC WATER SANITARY SURVEY RECORDS,44 TRAFFIC ACCIDENT REPORTS,71 PURSUIT LOGS,70 TRAFFIC ANALYSIS,51 RABIES VACCINATION RECORDS,4 TRAFFIC CITATIONS,71 RADIO LOGS(AIRPORT),2 TRAFFIC VIDEO RECORDINGS AND DATA,52 RECREATION PROGRAMS,17 TRAFFIC WARNINGS,71 RECREATIONAL VEHICLE REGISTRATION RECORDS,9 TRANSIT SCHEDULES,33 RECYCLING WATER RECORDS,42 TRANSIT SERVICE APPLICATIONS,32 REDEVELOPMENT PLANS(PUBLIC HOUSING AND TRESPASS RECORDS,72 REDEVELOPMENT COMMISSION RECORDS),30 TROUT BUFFER VARIANCES,38 REHABILITATION RECORDS.See HOME Investment UNSAFE BUILDINGS FILE,9 Partnerships Program Records VALVE OPERATION FILE,9 RELOCATION RECORDS.See HOME Investment VANPOOL DRIVER APPLICATIONS,33 Partnerships Program Records VARIANCES(PLANNING AND REGULATION OF REPORTS DEVELOPMENT),24 DAILY WATER AND WASTEWATER FACILITY OPERATORS VEHICLE TOWING RECORDS,72 LOGS,38 VIOLATIONS ENVIRONMENTAL PROTECTION AGENCY(EPA),36 BUILDING AND HOUSING,9 WASTEWATER MAINTENANCE OPERATIONS,43 SOLID WASTE MANAGEMENT,10 REQUEST FOR CHANGE IN LOCAL GOVERNMENT RECORDS WATER CONSERVATION,10 SCHEDULE,A-19 ZONING,24 REQUEST FOR DISPOSAL OF ORIGINAL RECORDS WASTEWATER POLLUTION CONTROL AND ABATEMENT DUPLICATED BY ELECTRONIC MEANS,A-21 RECORDS,10 REQUEST FOR DISPOSAL OF UNSCHEDULED RECORDS, WASTEWATER QUALITY ANALYSIS RECORDS,10 A-20 WATER&WASTEWATER PERMITS&APPROVAL RECORDS, REZONING RECORDS AND INDEXES,23 43 RIDE-ALONG PROGRAM RECORDS,70 WATER&WASTEWATER SYSTEM INSPECTIONS&TESTS, RIGHT-OF-WAY ACQUISITION WORKING RECORDS,50 45 ROOM OCCUPANCY TAX RECORDS,75 WATER ANALYSIS,11 ROUTE HISTORY RECORDS,33 WATER QUALITY VIOLATION RECORDS,45 SCHEDULE"B"LICENSES,76 A-25 112 WATER SYSTEM OPERATIONS RECORDS,11 WATER TANKS,SPECIFICATIONS,AND BOOSTER STATIONS FILE,11 A-26 113 RECORDS RETENTION AND DISPOSITION SCHEDULE GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES �.Qlf/Wl V11�� Issued By: U; U o� NC DEPARTMENT OF ■o,�0i NATURAL AND CULTURAL RESOURCES ■SAE: North Carolina Department of Natural and Cultural Resources Division of Archives and Records Government Records Section October 1, 2021 114 CONTENTS Approval..........................................................................................................................................iv Front Matter ExecutiveSummary......................................................................................................................... v Legend for Records Schedule.........................................................................................................vii Records Retention and Disposition Schedule Standard 1: Administration and Management Records................................................................. 1 Standard 2: Budget, Fiscal, and Payroll Records........................................................................... 23 Standard 3: Geographic Information System Records ................................................................. 36 Standard 4: Human Resources Records.........................................................................................43 Standard 5: Information Technology Records...............................................................................61 Standard6: Legal Records..............................................................................................................67 Standard 7: Public Relations Records........................................................................................... 75 Standard 8: Risk Management Records........................................................................................ 80 Standard 9: Workforce Development Records............................................................................. 86 Appendix Managing Public Records in North Carolina................................................................................A-1 Audits, Litigation, and Other Official Action................................................................................A-5 TransitoryRecords.......................................................................................................................A-6 Destruction of Public Records......................................................................................................A-8 Sample Destructions Log ...............................................................................................A-10 Electronic Records: E-mail, Born Digital Records, and Digital Imaging .....................................A-11 GeospatialRecords ...................................................................................................................A-13 Security Preservation Copies of Records...................................................................................A-15 DisasterAssistance ....................................................................................................................A-17 StaffTraining..............................................................................................................................A-18 Request Forms Request for Change in Records Schedule......................................................................A-19 Request for Disposal of Unscheduled Records..............................................................A-20 Request for Disposal of Original Records Duplicated by Electronic Means..................A-21 FilePlan......................................................................................................................................A-22 Related Records Series in Program Schedules...........................................................................A-23 Index ........................................................................................................................................A-30 115 2021 General Records Schedule: Local Government Agencies The records retention and disposition schedules and retention periods governing the records series listed herein are hereby approved. This approval extends to and includes the following standards in the 2021 General Records Schedule:Local Government Agencies: 1. Administration and Management Records 2. Budget, Fiscal,and Payroll Records 3. Geographic Information System Records 4. Human Resources Records 5. Information Technology Records 6. Legal Records 7. Public Relations Records 8. Risk Management Records 9. Workforce Development Records In accordance with the provisions of Chapters 121 and 132 of the General Statutes of North Carolina, it is agreed that the records do not and will not have further use or value for official business, research, or reference purposes after the respective retention periods specified herein and are authorized to be destroyed or otherwise disposed of by the agency or official having custody of them without further reference to or approval of either party to this agreement. Destructions G.S. § 121-5 authorizes the Department of Natural and Cultural Resources to regulate the destruction of public records. Furthermore,the local government agency agrees to comply with 07 NCAC 04M .0510 when deciding on a method of destruction. The North Carolina Administrative Code states: "(a) Paper records which have met their required retention requirements and are not subject to legal or other audit holds should be destroyed in one of the following ways: 1. burned, unless prohibited by local ordinance; 2. shredded,or torn up so as to destroy the record content of the documents or material concerned; 3. placed in acid vats so as to reduce the paper to pulp and to terminate the existence of the documents or materials concerned;or 4. sold as waste paper, provided that the purchaser agrees in writing that the documents or materials concerned will not be resold without pulverizing or shredding the documents so that the information contained within cannot be practicably read or reconstructed. (b)When used in an approved records retention and disposition schedule,the provision that electronic records are to be destroyed means that the data and metadata are to be overwritten, deleted, and unlinked so the data and metadata may not be practicably reconstructed. (c) When used in an approved records retention and disposition schedule, the provision that confidential records of any format are to be destroyed means the data, metadata, and physical media are to be destroyed in such a manner that the information cannot be read or reconstructed under any means." All local government agencies should maintain logs of their destructions either in the minutes of their governing board or in their Records Management file. Confidential records will be destroyed in such a manner that the records cannot be practicably read or reconstructed. Public records,including electronic records,not listed in this schedule are not authorized to be destroyed. 116 Audits and Litigation Actions Records subject to audit or those legally required for ongoing official proceedings must be retained until released from such audits or official proceedings, notwithstanding the instructions of this schedule. Electronic Records All local government agencies and the Department of Natural and Cultural Resources concur that the long-term and/or permanent preservation of electronic records requires additional commitment and active management by the agency. Agencies agree to comply with all policies, standards,and best practices published by the Department of Natural and Cultural Resources regarding the creation and management of electronic records. Local government agencies should consider retention requirements and disposition authorities when designing and implementing electronic records management systems. Any type of electronically-created or electronically- stored information falls under the North Carolina General Assembly's definition of public records cited above. For example, e-mail, text messages, blog posts, voicemails, websites, word processing documents, spreadsheets, databases,and PDFs all fall within this definition of public records. In addition,G.S.§ 132-6.1(a)specifies: "Databases purchased, leased, created, or otherwise acquired by every public agency containing public records shall be designed and maintained in a manner that does not impair or impede the public agency's ability to permit the public inspection and examination of public records and provides a means of obtaining copies of such records. Nothing in this subsection shall be construed to require the retention by the public agency of obsolete hardware or software." Local government agencies may scan any paper record and retain it electronically for ease of retrieval. If an agency wishes to destroy the original paper records before their assigned retention periods have been met, the agency must establish an electronic records policy, including putting into place procedures for quality assurance and documentation of authorization for records destructions approved by the Government Records Section. This electronic records policy and releases for destruction of records must be approved by the Government Records Section. Agencies should be aware that for the purpose of any audit, litigation, or public records request, they are considered the records custodian obligated to produce requested records, even if said records are being maintained electronically by an outside vendor. Therefore, contracts regarding electronically stored information should be carefully negotiated to specify how records can be exported in case a vendor goes out of business or the agency decides to award the contract to a different vendor. Reference Copies All local government agencies and the Department of Natural and Cultural Resources agree that certain records series possess only brief administrative,fiscal, legal, research,and reference value. These records series have been designated by retention periods that allow these records to be destroyed when "reference value ends." All local government agencies hereby agree that they will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." If a local government agency does not establish internal policies and retention periods, the local government agency is not complying with the provisions of this retention schedule and is not authorized by the Department of Natural and Cultural Resources to destroy the records with the disposition instruction "destroy when reference value ends." Record Copy A record copy is defined as "The single copy of a document, often the original, that is designated as the official copy for reference and preservation."' The record copy is the one whose retention and disposition is mandated by this schedule; all additional copies are considered reference or access copies and can be destroyed when their usefulness expires. In some cases, postings to social media may be unofficial copies of information that is captured elsewhere as a record copy (e.g., a press release about an upcoming agency event that is copied to various social media platforms). Appropriately retaining record copies and disposing of reference copies requires agencies to 1 Society of American Archivists, Dictionary of Archives Terminology. 2021 General Records Schedule: Local Government Agencies ii 117 designate clearly what position or office is required to maintain an official record for the duration of its designated retention period. Transitory Records Transitory records are defined as "record[s]that [have] little or no documentary or evidential value and that need not be set aside for future use."' North Carolina has a broad definition of public records. However, the Department of Natural and Cultural Resources recognizes that some records may have little or no long-term documentary or evidential value to the creating agency. These records are often called transitory records. They may be disposed of according to the guidance below. However, all public employees should be familiar with their appropriate retention schedule and any other applicable guidelines for their office. If there is a required retention period for these records, that requirement must be followed. When in doubt about whether a record is transitory or whether it has special significance or importance, retain the record in question and seek guidance from a DNCR records analyst. Routing slips and transmittal sheets adding no information to that contained in the transmitted material have minimal value after the material has been successfully transmitted. These records may be destroyed or otherwise disposed of after receipt of the material has been confirmed. Similarly, "while you were out" slips, memory aids, and other records requesting follow-up actions(including voicemails and calendar invites) have minimal value once the official action these records are supporting has been completed and documented. These records may be destroyed or otherwise disposed of once the action has been resolved. Drafts and working papers, including notes and calculations, are materials gathered or created to assist in the creation of another record. All drafts and Working papers are public records subject to all provisions of Chapter 132 of the General Statutes, but many of them have minimal value after the final version of the record has been approved, and may be destroyed after final approval, if they are no longer necessary to support the analysis or conclusions of the official record. Drafts and working documents that may be destroyed after final approval include: • Drafts and working papers for internal and external policies • Drafts and working papers for internal administrative reports, such as daily and monthly activity reports; • Drafts and working papers for internal, non-policy-level documents, such as informal workflows and manuals;and • Drafts and working papers for presentations,workshops,and other explanations of agency policy that is already formally documented. Forms used solely to create, update, or modify records in an electronic medium may be destroyed in office after completion of data entry and after all verification and quality control procedures, so long as these records are not required for audit or legal purposes. However, if the forms contain any analog components that are necessary to validate the information contained on them (e.g., a signature or notary's seal),they must be retained according to the disposition instructions for the records series encompassing the forms'function. z Ibid. 2021 General Records Schedule: Local Government Agencies iii 118 It Is further agreed that these records may not be destroyed prior to the time periods stated;however, for sufficient reason they may be retained for longer periods. This schedule supersedes previous versions of this schedule and any localized amendments;it is to remain in effect from the date of approval until it is reviewed and updated. APPROVAL RECOMMENDED Municipal/County Clerk or Manager Sarah E. Koonts, Director Title: Division of Archives and Records APPROVED Head of Governing Body D. Reid Wilson,Secretary Title: Department of Natural and Cultural Resources Municipality/County: Effective:October 1, 2021 I 2021 General Records Schedule: Local Government Agencies 1v 119 EXECUTIVE SUMMARY ✓ Some records are covered by the Local Agency Program Retention and Disposition Schedules. See the appendix for Related Records Series Found in Local Agency Program Schedules. ✓ According to N.C. Gen. Stat. § 121-5(b) and N.C. Gen. Stat. § 132-3, you may destroy public records only with the consent of the Department of Natural and Cultural Resources (DNCR). The State Archives of North Carolina is the division of DNCR charged with administering a records management program. This schedule is the primary way the State Archives of North Carolina gives its consent. Without approving this schedule, your agency is obligated to obtain the State Archives of North Carolina's permission to destroy any record, no matter how insignificant. ✓ Each records series listed on this schedule has specific disposition instructions that will indicate how long the series must be kept in your office. In some cases, the disposition instructions are simply "retain in office permanently," which means that those records must be kept in your office forever. In other cases, the retention period may be "destroy in office when reference value ends." An agency may have reference copies of materials, meaning "a copy of a record distributed to make recipients aware of the content but not directing the recipient to take any action on the matter" (from Society of American Archivists, Dictionary of Archives Terminology). Your agency must establish and enforce internal policies by setting minimum retention periods for the records that the State Archives of North Carolina has scheduled with the disposition instructions, "destroy when reference value ends." ✓ E-mail is a record as defined by N.C. Gen. Stat. § 121-5 and N.C. Gen. Stat. § 132. It is the content of the e-mail that is critical when determining the retention period of a particular e-mail, including attachments, not the media in which the record was created. It is important for all agency employees and officials to determine the appropriate records series for specific a-mails and retain them according to the disposition instructions listed with the identified record series. ✓ The State Archives of North Carolina recommends that all agency employees and officials view the tutorials that are available online through the State Archives website in order to familiarize themselves with records management principles and practices. The State Archives of North Carolina's online tutorials include topics such as records management and scanning guidelines. ✓ The State Archives of North Carolina creates security preservation record copies for minutes and selected other records of governing bodies and commissions, adoption records, and maps and plats. Agencies can request copies of the digital images made during this process. Contact the appropriate Records Management Analyst to begin this process. v 120 ✓ If you have records that are not listed in this schedule, contact a Records Management Analyst. An analyst will discuss the nature of the records with you to determine if the records have historical value. If the records do not have historical value, we will ask you to complete a Request for Disposal of Unscheduled Records (page A-20) for records that are no longer being created. 2021 General Records Schedule: Local Government Agencies vi 121 LEGEND FOR RECORDS SCHEDULE This records retention and disposition schedule applies to records in all media, unless otherwise specified. (n —symbol designating that one or more records in this series may be confidential or may include t confidential information. Item#—an identifying number assigned to each records series for ease of reference. Series—"a group of similar records that are . . . related as the result of being created, received, or used in the same activity." (From Society of American Archivists, Dictionary of Archives Terminology). Series in this schedule are based on common functions in government offices. Records Series Title—a short identification of the records in a series, based on their common function. Series Description—a longer description of the records in a series,often including the types of records that can frequently be found in that series. This information is included underneath the Records Series Title. Disposition Instructions—instructions dictating the length of time a series must be retained and how the office should dispose of those records after that time. Citation—a listing of references to statutes, laws, and codes related to the records series. Citations can include: • Authority: governing the creation of records • Confidentiality: limiting access to public records • Retention: setting a retention period Throughout this schedule, items that cross-reference other items within this schedule are indicated with a SEE ALSO reference. If you hover your cursor over one of these items,you will see the hand tool that will enable you to click on the item to follow the link to that location. AUDITS:PERFORMANCE Records concerning internal and external audits conductedto assessthe function of government programs. Includes reports,working papers, corrective measures,and other related records. SEE ALSO:Audits:Financial(STANDARD 2:BUDGET, FISCAL,AND PAYROLL RECORDS). Sample records series title and description with cross-reference included No destruction of records may take place if litigation or audits are pending or reasonably anticipated. See also AUDITS,LITIGATION,AND OTHER OFFICIAL ACTION,page A-5. vii 122 . ... 2021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES .i�i NATURAL=■■ • NTURA AND C OF AL AND CULTURAL RESOURCES STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS Official records pertaining to the authority,operating philosophy,methods,primary functions,and routine office administration of local agencies. STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS 1 ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 3 1.01 ABSTRACTS OF MUNICIPAL ELECTIONS Destroy in office when reference value ends f Authority: Copies of abstracts prepared by the County Board of T� G.S. 163-300 Agency Policy:Destroy in office after y0 "O�t' �25y'by v Elections and forwarded to the municipal clerk. Retention Note:Official record maintained permanently by the 03 County Board of Elections. N Z3 1.02 ACCREDITATION RECORDS Destroy in office 5 years after superseded or obsolete. Authority- 10A NCAC 48B Records documenting accreditations and certifications p� received by the agency. Includes applications,final reports,and other related records.Also includes co CD evaluations of the agency by outside entities. D CD 1.03 ADMINISTRATIVE DIRECTIVES,REGULATIONS,AND Destroy in office when superseded or obsolete. RULES @ .� Records documenting requirements or directives promulgated by the agency for the conduct of a business or activity on agency premises or under agency authority. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 1 123 % i NC DEPARTMENT OF 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ..'.: NATURAL AND CULTURAL RESOURCES STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.04 AUDITS:PERFORMANCE(a— a) Retain in office permanently reports related to internal Records concerning internal and external audits compliance or operational audits, hazardous material,or conducted to assess the function of government those that document a significant change in agency programs. Includes reports,working papers, practices. corrective measures,and other related records. b) Destroy in office PCI attestation reports after 3 years. Q c) Destroy in office remaining audit reports after 10 years. SEE ALSO:Audits: Financial (STANDARD 2: BUDGET, FISCAL,AND PAYROLL RECORDS). d) Destroy in office documentation of corrective measures 2 years after their implementation. o e) Destroy in office working papers and remaining records when superseded or obsolete. Q 1.05 BLUEPRINTS AND SPECIFICATIONS @ a) Transfer as-built drawings to new owner when agency Confidentiality: Blueprints and specifications of agency owned relinquishes ownership of building or facility. G.S. 132-1.7 t ' buildings and facilities. Includes as-built plans and b) Retain in office as-built drawings for life of structure and m related records concerning approved changes. then destroy. 3 m c) Destroy in office blueprints,floorplans,and other preliminary design and construction documents when superseded or obsolete. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 2 124 . ... 2021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES R■■=■ NATURA AND OF ■i.■i NATURAL AND CULTURAL RESOURCES ■ u■ STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.06 BONDS Destroy in office 5 years after expiration or cancellation. Records documenting written guarantees from a third party,including bid bonds, payment bonds, 1 performance bonds,and surety bonds. D SEE ALSO: Bids for Purchase(STANDARD 2: BUDGET, 3 FISCAL,AND PAYROLL RECORDS),and Projects cn (below). � 1.07 BULLETINS Destroy in office when superseded or obsolete. Internal information sharing materials that circulate v information within the agency.Also includes Q memoranda and newsletters. v 1.08 BUSINESS CERTIFICATION RECORDS a) Destroy in office all documentation 3 years after most Applications and supporting documentation submitted recent recertification. cn CD by businesses to be certified as a Small Business b) If certification was never issued,destroy in office all 3 Enterprise(SBE)or other classification. CD documentation when reference value ends f Agency Policy: Destroy in office after 1.09 BUSINESS DEVELOPMENT SUBJECT FILE Destroy in office after 3 years. 1.10 CALENDARS OF EVENTS AND APPOINTMENTS Destroy in office when superseded or obsolete. 1.11 CENSUS PROJECT RECORDS Destroy in office when reference value ends. Records created to assist the U.S.Census Bureau with Agency Policy: Destroy in office after �p the decennial census. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 3 125 01 w.: 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES =� _ NC DEPARTMENT OF .Oum NATURAL AND CULTURAL RESOURCES STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.12 CHARTER RECORDS Retain in office permanently. Charter and charter proceedings related to adoption, amendment and/or repeal. 1.13 COLLECTED DATA Destroy in office when superseded or obsolete. If data contains D Information and statistics compiled and analyzed for confidential Q research purposes or to support the functions of the information,abide 3 a enc by relevant 2. g y• En restrictions. SEE ALSO: Data Warehouses(STANDARD 5: INFORMATION TECHNOLOGY RECORDS). Q N N cn (D 3 (D * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 4 126 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ■� ' NC DEPARTMENT OF u`■i NATURAL AND CULTURAL RESOURCES STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.14 CONSTITUENT COMMENTS,COMPLAINTS,PETITIONS, a) Transfer records as applicable to Litigation Case Records Authority: AND SERVICE REQUESTS @ (STANDARD 6: LEGAL RECORDS). 42 USC 12132 Records concerning objections,dissatisfaction,or b) Destroy in office comments,complaints, petitions,and disagreements with actions or positions taken or not requests 1 year after resolution.* D taken by the agency. Includes comments and Q petitions submitted by constituents requesting action c) Destroy in office accommodation requests 2 years after 3 as well as routine requests for service. Also includes resolution.* requests for reasonable accommodation to the general public under Title II of the Americans with 0 Disabilities Act, Housing and Urban Development Act, 1973 Rehabilitation Act,and Title VII of the Civil Rights v Act of 1964;including constituent requests,survey of 0- agency buildings to determine accessibility to the v physically handicapped, proposals for implementation, � correspondence(including e-mail),and resolutions. cn (D SEE ALSO:Civil Rights Records(STANDARD 6: LEGAL m RECORDS). 1.15 CONSTITUENT SURVEYS Destroy in office when reference value ends.± Surveys and related records addressing agency Agency Policy: Destroy in office after services, policies,and other concerns. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 5 127 ii m- NC DEPARTMENT OF ■■m 021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES • ■■ NATURAL AND CULTURAL RESOURCES 0 mom STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.16 CORRESPONDENCE AND MEMORANDA a) Transfer correspondence(including e-mail)with historical Administrative and management value to History Records(below),after 3 years. correspondence/memoranda (including e-mail) b) Destroy routine administrative correspondence and written or received by the office concerning agency memoranda after 1 year. D authority,operating philosophy,purpose,methods, Q and any other function. c) Destroy in office remaining records after 3 years. 3 2. Retention Note:The correspondence(including e-mail)of the c' For information on handling e-mail and text or instant most senior administrator has historical value and should be messages,see ELECTRONIC RECORDS, page A-11. SEE retained permanently. O ALSO: Public Bodies:Correspondence(below)and O Legal Correspondence(STANDARD 6: LEGAL RECORDS). CL 1.17 CUSTOMER CALL CENTER RECORDINGS " Destroy in office after 30 days. Recordings of calls to customer service centers made for quality assurance and training purposes. CD 3 1.18 EQUIPMENT AND VEHICLE MAINTENANCE,REPAIR, a) Destroy in office records documenting routine inspections, (D O AND INSPECTION RECORDS @ janitorial cleaning,and routine maintenance of equipment Records concerning the maintenance, repair, routine and vehicles after 1 year.* testing,and inspection of agency owned equipment b) Destroy in office records documenting all other and vehicles. Also includes warranties. maintenance and repairs after 3 years.* c) Destroy in office warranties 1 year after expiration. SEE ALSO:Grants(below),and System Maintenance Records: Hardware Repair or Service(STANDARD 5: INFORMATION TECHNOLOGY RECORDS). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 6 128 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES NC DEPARTMENT OF ��.: NATURAL AND CULTURAL RESOURCES —— . ... STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.19 EQUIPMENT AND VEHICLE REFERENCE RECORDS Destroy in office when superseded or obsolete. Includes operation,specification,and technical manuals. Also includes brochures, bulletins,and related documentation. 1 D 1.20 EQUIPMENT,FACILITY,AND VEHICLE USAGE a) Destroy in office after 3 years if records are used for Q RECORDS allocating costs or determining payment under rental or 3 Records documenting the assignment, request,and lease agreements.* c usage of agency assets. Also includes mileage and b) Destroy in office remaining records after 1 year. checkout logs,fuel consumption reports,reservation p requests,authorizations,utility usage logs,and similar records. Q 1.21 FACILITY MAINTENANCE,REPAIR,AND INSPECTION a) Destroy in office records documenting system repair and RECORDS improvement(including plumbing,electrical,fire,and v Records documenting maintenance,repair,and other sstems systems)after 3 years. cc inspection of agency-owned facilities,including b) Destroy in office records documenting routine inspections, CD warranties on said repairs. Also includes any real janitorial cleaning,environmental monitoring,and routine m property owned by the agency. maintenance of facilities after 1 year. Z c) Destroy in office warranties 1 year after expiration. SEE ALSO:Contracts, Leases,and Agreements (STANDARD 6: LEGAL RECORDS), Property Management Records(below). 1.22 FORMS AND TEMPLATES Destroy in office when superseded or obsolete. Blank forms,templates,and letterhead used to create agency records. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 7 129 -- u■ 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ■ NC DEPARTMENT OF ■iwii NATURAL AND CULTURAL RESOURCES STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.23 GRANT PROPOSALS a) Transfer records concerning approved grants to Grants Proposals submitted for grants,including applications, (below). correspondence(including e-mail),and other related b) Destroy in office rejected or withdrawn grant proposals records. when reference value ends.:E D 0- Agency Policy: Destroy in office after 3 1.24 @ Retention: � GRANTS a) Destroy records supporting the expenditure of fe al F funds passed through NC DHHS on a fiscal year basis when 09 NCAC 03M .0703 Records concerning approved federal,state,and v the DHHS Office of the Controller provides written 2 CFR 200.333 private grants. File includes applications, reports, p records of equipment purchased with grant funds,and guidance that records are released from all audits and :3 all relevant programmatic records.Also includes any other official actions. Q required certifications and disclosures,documentation b) Destroy in office records of state and private grants 5 years about grants issued by the agency,and research after final financial report is filed.* v records generated as part of a grant project. c) Destroy in office records of grants funded by local appropriations and other federal grants 3 years after final CD SEE ALSO:Grants: Financial(STANDARD 2:BUDGET, financial report is filed. m FISCAL,AND PAYROLL RECORDS). d) Destroy in office records not relating to a specific grant ., after 1 year. Retention Note:According to 2 CFR 200.333(c),records for real property and equipment acquired with Federal funds must be retained for 3 years after disposition of the property/equipment. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 8 130 moo. N DEPARTMENT OF 021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ...:: NATURAL AND CULTURAL RESOURCES STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.25 HISTORICAL DESIGNATIONS RECORDS a) Retain in office permanently the list of historical markers Records concerning the awarding of historical markers along with the accepted applications. by the agency. Includes applications, review materials, b) Destroy in office after 1 year rejected applications. and list of markers. c) Destroy in office remaining materials after 3 years. a 1.26 HISTORY RECORDS(AGENCY AND EMPLOYEES) a) Retain in office records with historical value permanently. 3' Records concerning the history of the agency and its b) Destroy in office remaining records when reference value employees. Includes published and unpublished v ends.f histories,biographical data, photographs,newspaper o clippings,and other related records. Agency Policy: Destroy in office after eo-r 1.27 IMPROPER CONDUCT INVESTIGATIONS Destroy in office 3 years after resolution.* Q Records concerning investigations triggered by questions about ethics or conduct within an agency, such as whistleblower reports or allegations of fraud. cc Includes complaints,reports,investigations,and other m related records.Also includes records from an ombuds m office. 1.28 INDICES @ Destroy in office when superseded or obsolete. Listings of where specific information can be found. 1.29 INTERAGENCY PROGRAMS Destroy in office when reference value Bends.± Records of programs involving more than one Agency Policy: Destroy in office after J government agency. Includes resource materials, program information,and other related records. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 9 131 0-mom 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES NATURA AND OF ai.� NATURAL AND CULTURAL RESOURCES STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.30 INVENTORIES @ a) Destroy in office lists of properties,facilities,fixed assets, Inventories describing the type of property(including supplies,and surplus property when superseded or equipment and facilities other and fixed assets), its obsolete. location,and related information.Also includes b) Destroy in office inventory control and usage records after D inventory control and usage records,such as 3 years. requisitions/draw tickets, mileage logs, request forms, and other related records. U' 1.31 LEGISLATION AND REGULATORY RECORDS Destroy in office when reference value ends.± Notices and copies of proposed or adopted state or 3o 0 Agency Policy: Destroy in office after :3federal legislation or regulations affecting the agency. � 1.32 LOGISTICS MATERIALS Destroy in office when superseded or obsolete. Q Records concerning scheduled plans of agency personnel and activities. Includes routine notices,task lists,and arrangements. CD 1.33 MAIL: UNDELIVERABLE/RETURNED Destroy in office after 30 days. 3 CD Outgoing agency mail returned by the post office for Retention Note:If notification is necessary for a particular any reason,including insufficient postage,incorrect process, reference the relevant case file for disposition address,forwarding order expired,etc. Also includes instructions(e.g., tax notifications). outgoing e-mail returned for any reason. 1.34 MAILING AND DISTRIBUTION RECORDS a) Destroy in office Sunshine Lists when superseded or Confidentiality: Includes mailing and meeting notification lists,e-mail obsolete. G.S. 132-1.12 G.S. 132-1.13 t distribution lists,Sunshine Lists,and related b) Destroy in office remaining records when reference value documentation of transactions with the U.S. Postal ends.± Service,state courier,or private carriers. Agency Policy: Destroy in office after * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. ±The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends.' Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 10 132 MOOSE 2021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES NATURA ANDC OF �iru NATURAL AND CULTURAL RESOURCES ■.uM STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.35 MEMBERSHIP RECORDS Destroy in office when superseded or obsolete. Records concerning associations,organizations, groups,etc.,with which the agency is involved. Includes records concerning memberships or D registrations on behalf of the agency or agency Q personnel. 3 1.36 MISCELLANEOUS(NON-BUILDING)APPLICATIONS, a) Destroy in office 1 year after expiration of license/permit. cn LICENSES,AND PERMITS b) Destroy in office applications for which a license/permit Includes, but not limited to,applications and permits was never issued when reference value ends. regarding free government-issued business permits, ZI burning,special events,and landscape establishment. Agency Policy: Destroy in office afterAA � Q 1.37 OFFICE AND PROPERTY SECURITY RECORDS a) If the recording necessitates law enforcement action, Confidentiality: Records concerning the security of agency offices, transfer to the appropriate agency. G.S. 132-1.7 p) t. facilities,vehicles,equipment,property,and b) If the recording becomes evidence in a personnel cc personnel. Includes visitors'register;security, CD investigation or lawsuit,transfer to Disciplinary Actions employee,or contractor access to facilities or (STANDARD 4:HUMAN RESOURCES RECORDS),or Litigation CD resources;and surveillance system reports and Case Records(STANDARD 6: LEGAL RECORDS). recordings. c) Destroy in office recordings not required to support known SEE ALSO: Employee Security Records(STANDARD 8: investigations or litigation after 30 days. RISK MANAGEMENT). d) Destroy in office remaining records after 1 year. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 11 133 -ENE I2021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES NATURARTMENT OF ;MEN NATURAL AND CULTURAL RESOURCES STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.38 ORDINANCES a) Retain in office official copy permanently. Includes code of ordinances. b) Destroy in office ordinance development records when ordinance is no longer in effect. See the SECURITY PRESERVATION COPIES OF c) Destroy in office additional copies(including tabled or Q RECORDS section on page A-15 for instructions on failed ordinances)when reference value ends.f a imaging. Agency Policy:Destroy in office after 1.39 PEST CONTROL Destroy in office after 3 years.* v Records concerning pest abatement or eradication 0 programs overseen by the agency. p� Q SEE ALSO: Facility Maintenance, Repair,and Inspection Records(above). v 1.40 PHONE LOGS Destroy in office after 1 year. N Records documenting calls placed and received in the N course of conducting agency business. SEE ALSO:Accounts Payable(STANDARD 2: BUDGET, FISCAL,AND PAYROLL RECORDS),Voice over Internet Protocol (VoIP) Records(STANDARD 5: INFORMATION TECHNOLOGY RECORDS). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 12 134 . ... =�I_a NC DEPARTMENT OF 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVER C•CCC NATURAL AND CULTURAL RESOURCES STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.41 POLICIES AND PROCEDURES @ a) Retain in office records with historical value permanently. Records documenting the formulation, planning,and b) Destroy in office remaining records when superseded or adoption of policies,procedures,and functions of the obsolete. agency and its departments. File also includes D organizational charts,reorganization studies,and 0- similar records describing the arrangement and 3 administrative structure of the agency. :3 c y SEE ALSO:Civil Rights Records(STANDARD 6:LEGAL p' RECORDS), Policies and Procedures(Personnel) � (STANDARD 4: HUMAN RESOURCES RECORDS), Q Electronic Records Policies and Procedures (STANDARD 5: INFORMATION TECHNOLOGY p� RECORDS). N 1.42 POLL LIST/REGISTRATION LIST/ROSTER/ Contact State Archives of North Carolina prior to destroying old Authority: CD AUTHORIZATION TO VOTE(ATV)@ poll books and voter registration books. G.S. 163 Art. 15A 3 CD Lists documenting registered electors and votes cast G.S. 163-166.708 NCAC 10B.0103 prior to County Board of Elections taking over 52 USC Chap. 01 municipal elections. Includes electronic or paper ATV 205 related records such as ATV books,forms,unused stickers, lists, registers,indexes,or similar records used to verify persons are registered voters at each polling location. 1.43 PRICE QUOTATIONS Destroy in office when reference value ends.± Agency Policy: Destroy in office after av * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. ±The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 13 135 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES =�■=• NCDEPARTMENTOF u.■i NATURAL AND CULTURAL RESOURCES STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.44 PROCLAMATIONS AND ORDERS a) Retain in office records with historical value permanently. Proclamations and orders issued by the governing b) Destroy in office remaining records when reference value board. ends.± Agency Policy: Destroy in office after D Q 1.45 PROJECTS " a) Retain in office records with historical value permanently. Z Includes project correspondence(including e-mail), b) Destroy in office remaining records 3 years after feasibility studies,final reports,specifications, completion of project. v assessments,notices to proceed,cost estimates, p" change orders,statements of work,and similar v documentation. Q SEE ALSO: Project Documentation (STANDARD 5: Z5 INFORMATION TECHNOLOGY RECORDS). j v cn 1.46 PROPERTY MANAGEMENT RECORDS Destroy in office when superseded or obsolete. CDD Includes appraisals of the financial valuation of agency-owned property as well as surveys,plats,and maps. SEE ALSO: Facility Maintenance, Repair,and Inspection Records(above). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 14 136 a saw 2021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES 014an N ATURTUR 0■, ; NAAL AND ANDC OF CULTURAL RESOURCES STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.47 PUBLIC BODIES:AGENDA AND MEETING PACKETS a) Retain in office records with historical value permanently. Includes agendas and copies of supporting b) Destroy in office remaining records when reference value documentation and exhibits submitted and discussed ends.± during meetings of public bodies.Also includes documentation of outside meetings attended by Agency Policy:Destroy in office after ` U cox Q agency personnel. X3 2. W SEE ALSO: Public Bodies: Minutes(below). p� 1.48 PUBLIC BODIES:APPLICATIONS FOR APPOINTMENT a) Destroy in office records concerning appointed individuals 0 Applications and related records received from 1 year after expiration of term. individuals applying for appointments to serve on b) Destroy in office remaining records when reference value Q public boards,commissions,councils,and committees. ends.± v Agency Policy:Destroy in office after c4k- ' (D 1.49 PUBLIC BODIES:APPOINTMENT REPORTS Destroy in office after 2 years. Authority: 3 G.S. 143-157.1 CD Includes annual appointment reports filed with the NC Department of the Secretary of State. 1.50 PUBLIC BODIES:AUDIO AND VIDEO RECORDINGS OF Destroy in office after approval of official written minutes. MEETINGS NoTE:If these serve as the official minutes,as allowed by G.S. SEE ALSO: Public Bodies: Minutes(below). 143-318.10(e), their retention should be permanent. These disposition instructions apply to recordings produced solely for the purpose of generating official written minutes. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 15 137 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES =■■._■ NC DEPARTMENT OF ■i E.Z. NATURAL AND CULTURAL RESOURCES STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.51 PUBLIC BODIES:CORRESPONDENCE a) Transfer correspondence(including e-mail)with historical Records documenting internal and external value to History Records(above),after 3 years. communications of governing and advisory board b) Destroy in office remaining records after 3 years. members. Includes correspondence(including e-mail) D related to decision-making,policy development,and other high-level planning as well as logistical 3 communications. 2. c 1.52 PUBLIC BODIES:MEETING NOTICES Destroy in office after 1 year. Includes notices and regular meeting schedules. p SEE ALSO:Affidavits of Publication (STANDARD 6: Q LEGAL RECORDS), Publicity Records(STANDARD 7: PUBLIC RELATIONS RECORDS). 1.53 PUBLIC BODIES:MEMBER FILES a) Retain in office records with historical value permanently. CQ CD Records concerning members of public boards, b) Destroy in office 1 year after superseded or obsolete 3 commissions,councils,and committees. Includes CD waivers from board members choosing not to receive codes of conduct,ethics statements,agreements, stipend/per diem payments. notices of resignation,and other related records.Also includes biographical information and waivers. c) Destroy in office remaining records 1 year after service ends. SEE ALSO:Oaths of Office(STANDARD 6:LEGAL RECORDS), Public Bodies:Applications for Appointment(above). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 16 138 . ... 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES .o .. N AATURTURAL AND DEPp NA TMEN AND OF CULTURAL RESOURCES STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.54 PUBLIC BODIES:MINUTES a) Retain in office permanently official minutes of the Authority: Includes minutes of the governing board and all governing board and its subsidiary boards as well as all G.S. 143-318.10 subsidiary and advisory boards. Subsidiary boards are attachments necessary to understand the body's actions. _ defined as boards that exercise or are authorized to b) The official minutes of advisory boards may be destroyed D exercise legislative,policy-making,quasi-judicial,or only upon approval by the State Archives of North 0- administrative functions. Also includes minutes of Carolina. The State Archives reserves the right to 3 subcommittees of the governing board and its designate the minutes of any advisory board as �• subsidiary and advisory boards. permanent. c) Destroy in office minutes of committees or subcommittees See the SECURITY PRESERVATION COPIES OF when reference value ends,if the minutes or actions and RECORDS section on page A-15 for instructions on decisions of the committee are entered as part of the Q.. imaging. minutes of the parent board. If minutes or actions and decisions of the committee or subcommittee in question N SEE ALSO:Ordinances(above), Public Bodies:Agenda are not entered as part of the minutes of the parent board, v and Meeting Packets(above), Public Bodies:Audio and the State Archives reserves the right to designate the m Video Recordings of Meetings(above), Resolutions minutes as permanent.± N (below). Agency Policy:Destroy in office after 1.55 RATE AND FEE SCHEDULES " Destroy in office when superseded or obsolete. Records relating to rates,fees,and regulations concerning agency services. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 17 139 NC DEPARTMENT OF 112 021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ■ w NATURAL AND CULTURAL RESOURCES ■ ■a■ STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.56 REBATE PROGRAM RECORDS a) Destroy in office financial records 3 years after approval.* Applications,receipts,and related records concerning b) Destroy in office applications 1 year after approval. rebate programs sponsored by the agency. These records document programs and incentivized actions c) Destroy in office denied applications when reference value that residents may opt into. ends.± D 0- Agency Policy:Destroy in office after 1 3 1.57 RECORDS MANAGEMENT a) Retain in office documentation concerning the final N Includes correspondence(including e-mail)with state disposition of records permanently. and/or federal agencies with regards to records b) Destroy in office remaining records when superseded or retention. Also includes records disposition obsolete. Q documentation,file plans,and copies of records retention and disposition schedules. 1.58 REFERENCE(READING))FILE Destroy in office when reference value ends. v Subject files containing informational copies of records , CD Agency Policy:Destroy in office after V1�.0y� organized by areas of interest. Also includes materials 3 CD that have no regulatory authority for the recipient and are received from outside the agency or from other units within the agency as well as reference copies of documents where another individual or agency is responsible for maintaining the record copy. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 18 140 Moo 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ■� [ NATURA ANDC OF ■■..a NATURAL AND CULTURAL RESOURCES STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.59 REPORTS AND STUDIES @ a) Retain in office permanently 1 copy of all annual and Records concerning the performance of a department, biennial reports written by the agency. program,or project,as well as those created for b) Retain in office permanently reports and studies prepared planning purposes. Includes all annual,sub-annual,or by request of an agency's governing body or a court. D irregularly prepared research studies, reports,and 0- studies generated by an agency or prepared by c) Destroy in office after 3 years reports prepared monthly, 3 consultants hired by the agency.Also includes reports bimonthly,or semi-annually. 2. U required to be submitted to the agency. d) Destroy in office after 1 year activity reports concerning workload measurements,time studies, number of jobs SEE ALSO:Accident/Incident Reports(STANDARD 8: completed,etc.,prepared on a daily or other periodic RISK MANAGEMENT RECORDS),Audits: Financial basis. Q (STANDARD 2: BUDGET, FISCAL,AND PAYROLL e) Destroy in office when superseded or obsolete reports RECORDS),Audits: Performance(above), Budget required to be submitted to the agency. v Reports(STANDARD 2: BUDGET, FISCAL,AND PAYROLL =3 f) Destroy in office remaining reports and studies when ccRECORDS), Financial Reports(STANDARD 2:BUDGET, reference value ends.± CDCD CD FISCAL,AND PAYROLL RECORDS),Grants(above), Lost, Agency Policy: Destroy in office after , Stolen,or Damaged Property Reports(STANDARD 8: RISK MANAGEMENT RECORDS), Projects(above), Public Bodies:Appointment Reports(above),Strategic Retention Note: Reports and studies listed elsewhere in this Plan (below),and Unemployment Compensation schedule should be retained the specified period of time. Reports(STANDARD 4: HUMAN RESOURCES RECORDS). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 19 141 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 0! ; NATURA AND OF ..�a. NATURAL AND CULTURAL RESOURCES STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.60 REQUESTS FOR INFORMATION Destroy in office after 1 year after resolution. Requests received and responses issued by the agency. D SEE ALSO: Public Records Requests(STANDARD 7: Q' PUBLIC RELATIONS RECORDS). : 1.61 REQUESTS FOR PROPOSALS RFP � ( ) Destroy in office when reference value ends.± Proposals submitted by vendors in response to Agency Policy: Destroy in office after�Q�L� p requests from agency.Also includes notices and evaluations produced by the agency. Q SEE ALSO: Bids for Purchase(STANDARD 2:BUDGET, FISCAL,AND PAYROLL RECORDS), Price Quotations v (above). (D 1.62 RESOLUTIONS a) Retain in office permanently one copy of final resolution. m File consists of resolutions indicating date,issues or b) Retain in office permanently resolution development policy involved,and appropriate signatures. records with historical value. c) Destroy in office additional copies of resolutions(including See the SECURITY PRESERVATION COPIES OF those tabled or failed)along with all remaining RECORDS section on page A-15 for instructions on development records when reference value ends.± imaging. Agency Policy:Destroy in office after 4L'_-0.t * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 20 142 .Jam 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES .■■ • NATURA AMNDC OF ■.RdE NATURAL AND CULTURAL RESOURCES STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.63 STAFF MEETINGS FILE a) Retain in office records with historical value permanently. Records concerning meetings of internal committees, b) Destroy in office remaining records after 1 year. groups,or task forces along with external meetings attended by agency personnel. Includes minutes, agendas,meeting packets,visual aids,presentations, Q notes,recordings,and other related records. 3 1.64 STRATEGIC PLAN @ a) Retain in office strategic plans permanently. E' Long-range plan outlining policies,guidelines,and b) Destroy in office background surveys,studies,and reports plans for future development of the agency. Includes 5 years after adoption of plan. o official copy of strategic plan and all background c) Destroy in office business plans 2 years after execution of surveys,studies,and reports. Also includes business Q plans as well as mission statements,goals,and plan. objectives. d) Destroy in office remaining records when superseded or v obsolete. v co (D 1.65 SURPLUS PROPERTY Destroy in office 3 years after disposition of property.* 3 CD Inventories and reports of agency property to be surplussed. .« 1.66 TRACKING MATERIALS Destroy in office when reference value ends.± Records intended to verify the receipt of information, Agency Policy: Destroy in office after such as certified mail receipts. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 21 143 2021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES ■: NATURA ANDC OF ��■i NATURAL AND CULTURAL RESOURCES STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 1.67 TRAVEL REQUESTS Destroy in office after 1 year.* Requests and authorizations for travel.Includes forms and itineraries. D SEE ALSO: Price Quotations(above),Travel Q' Reimbursements(STANDARD 2: BUDGET, FISCAL,AND D. PAYROLL RECORDS). rt 1.68 VEHICLE REGISTRATION CARDS Destroy in office when superseded. North Carolina registration cards for vehicles in the agency fleet. v Q SEE ALSO:Vehicle Titles(STANDARD 6: LEGAL RECORDS). N 1.69 WORK ORDERS a) If this is the only record documenting completed work, CD Includes date and location of work,cost of materials follow disposition instructions for Facility Maintenance, m used and labor,type of work performed,and other Repair,and Inspection Records(above),or Equipment and related records regarding the repairs of equipment, Vehicle Maintenance, Repair,and Inspection Records facilities,and vehicles. (above). b) Destroy in office remaining records 1 year after work is completed.* * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 22 144 ..... 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES =�■_■ NATURA ANDC OF ■Ong NATURAL AND CULTURAL RESOURCES s,_ ■.u■ STANDARD 2: BUDGET,FISCAL,AND PAYROLL RECORDS Records created and accumulated concerning the managerial control,budgeting,disbursement,collection,and accounting of the agency. Note:Per 26 CFR 1.148-5(d)(5)(iii)(E), all records necessary to support the tax-exempt status of an agency debt issue must be retained for the life of the debt plus 3 years. N W STANDARD 2:BUDGET,FISCAL,AND PAYROLL RECORDS Q ITEM# cII CD RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION = 1l 2.01 ACCOUNTS PAYABLE a) Destroy in office 5 years after payment documentation of Retention: n Records concerning the status of accounts in which reimbursement for business expenses to employees. 04 NCAC 24D .0501(a)(3)(1) the agency owes money to firms or individuals. b) Destroy in office all remaining records 3 years after � Includes invoices,reimbursements, receipts or bills of payment.* sale,check registers,and subsidiary registers.Also includes stop payment notices. �G 2.02 ACCOUNTS RECEIVABLE CD Destroy in office 3 years after collection.* G.S. 105A O Records concerning receivables owed and collected. Includes billing statements, records of payment received, remittances,subsidiary registers, overpayment or refund records,deposits,fines and fees assessed,and collection of past due accounts. Also includes records concerning accounts sent to NC Debt Setoff Program for collection. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 23 145 NC DEPARTMENT OF 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES aC NATURALAND CULTURAL RESOURCES STANDARD 2:BUDGET,FISCAL,AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 2.03 ACCOUNTS UNCOLLECTABLE Destroy in office 3 years after account is determined to be Records of accounts deemed uncollectable,including uncollectable.* returned checks,write-off authorizations,and other related records. N 2.04 ANNUAL BUDGET a) Retain in office records with historical value permanently. Authority: C0 G.S. 159-11 Annual budget and budget message submitted to Q b) Destroy in office remaining records after 3 years. � governing board for approval. CD Retention Note:Annual budgets should be entered into the = minutes of the governing board. -n SEE ALSO: Budget Reports(below). U) 2.05 ARBITRAGE RECORDS Destroy in office 3 years after final redemption date of the Authority: Records concerning arbitrage rebate calculations and bonds and after all related debts and obligations have been 26 CFR 1.148-3 funds rebated. satisfied.* Q 2.06 @ Authority: AUDITS:FINANCIAL a) Retain in office permanently final reports related to y: � internal compliance or operational audits or those that G.S. 159-34 Records concerning internal and external audits. o Includes reports,working papers,and related records. document a significant change in agency practices or have — significant administrative value. SEE ALSO:Audits: Performance(STANDARD 1: b) Destroy in office after 10 years final reports related to ADMINISTRATION AND MANAGEMENT RECORDS). internal accounting systems and controls and those with limited administrative value. c) Destroy in office working papers and remaining records when superseded or obsolete.* 2.07 AUTHORIZATION FORMS Destroy in office after 3 years.* Authorization to purchase materials. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 24 146 �� 202I GENERAL RECORDS SCHEDULE:LOCAL GOVE NC DEPARTMENT OF G . -m NATURAL AND CULTURAL RESOURCES ■ u■ STANDARD 2:BUDGET,FISCAL,AND PAYROLL RECORDS ITEM## RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 2.08 BANK STATEMENTS AND RECONCILIATIONS Destroy in office after 3 years.* Includes bank statements,canceled checks,deposit slips,and reconciliation reports. 2.09 BIDS FOR DISPOSAL OF PROPERTY Destroy in office all records after the disposition of property Authority: N Records concerning the disposal of surplus property. has been recorded in governing board's minutes.* G.S. 153A-176 c Includes information about various disposition Q procedures used,such as sealed bids and public CD auction. 1l U n SEE ALSO:Accounts Receivable(above). 2.10 BIDS FOR PURCHASE a) Transfer records to Contracts, Leases,and Agreements Authority: Records documenting quotes to supply products and (STANDARD 6:LEGAL RECORDS)when bid is approved. G.S. 143 Article 8 Q services. Includes advertisements,tabulations,awards b) Destroy in office bid records not awarded or opened after v letters, records of bids,good faith effort 1 year.* documentation,and related records concerning 0 accepted and rejected bids. 2.11 BOND CLOSING RECORDS Destroy in office 6 years after final maturity.* Authority: Includes applications,agreements,tax records, G.S. 159 Article 7 contracts,official statements, legal opinions,rating letters,public hearing bonds,title insurance,deeds of trust,and other related records concerning bonds issued by the agency.Also includes records concerning expenditure and/or investment of bond proceeds. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 25 147 M- 021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES zOun NATURA AND OF ■�.+ii NATURAL AND CULTURAL RESOURCES STANDARD 2:BUDGET,FISCAL,AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 2.12 BOND REGISTER Retain in office permanently. Authority: Records of all bonds, notes,and coupons issued by the G.S. 159-130 agency detailing the purpose of issuance,the date of issue,serial numbers(if any),denomination, maturity N date,and total principal amount. 00 2.13 BONDS,NOTES,AND COUPONS Destroy in office 1 year from date of payment. Authority: Q G.S. 159-139 cn CD 2.14 BUDGET ADMINISTRATION RECORDS Destroy in office after 2 years.* h TI Records of budget administration. Includes research, N correspondence(including e-mail),and other related n v records. _ v 2.15 BUDGET EXECUTION RECORDS Destroy in office when released from audits. Q Records of authorizations to move funds between budget codes. 2.16 BUDGET REPORTS a) Destroy in office daily detail reports after 1 year.* Includes daily detail reports and monthly budget b) Destroy in office remaining reports after 3 years.* reports. Also includes contract budget and expenditure reports and summaries of tax allocations. SEE ALSO:Annual Budget(above). 2.17 BUDGET REQUESTS AND WORKING PAPERS Destroy in office after 3 years.* Authority: Includes budget requests,cost estimates, G.S. 159-10 expenditures, program requests,salary and wage lists, correspondence(including e-mail),and related records. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 26 148 �! 021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES NC DEPARTMENT OF.. .: NATURAL AND CULTURAL RESOURCES STANDARD 2:BUDGET,FISCAL,AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 2.18 BUDGET RESOLUTIONS AND ORDINANCES a) Retain official copies in the minutes of the governing Authority: Includes project ordinances, budget resolutions,and board. G.S. 159-8 amendments. G.S. 159-13b) Destroy in office remaining copies when reference value G.S. 159-13.2 ends. G.S. 159-15 !�? SEE ALSO: Public Bodies:Minutes(STANDARD 1: Agency Policy: Destroy in office after G y eAx-s CC) ADMINISTRATION AND MANAGEMENT RECORDS). Q 2.19 COST ALLOCATION PLANS Destroy in office after 3 years.* (DD Accounting report that calculates and spreads agency- -� wide indirect costs to departments and funds that cn receive a service from other departments. v 2.20 CREDIT/DEBIT/PROCUREMENT CARD RECORDS Destroy in office when superseded or obsolete.* Confidentiality: p) t Records of assignation of agency credit cards and G.S. 132-1.2(2) Q purchasing cards along with authorization logs. 2.21 DONATIONS AND SOLICITATIONS a) Destroy in office records supporting approved donations 1 p Records concerning requests made to agency by year after payment. _ outside organizations. Includes applications and other b) Destroy in office rejected applications after 30 days. related records. SEE ALSO: Fund Drive and Event Records(STANDARD 7:PUBLIC RELATIONS RECORDS). 2.22 ELECTRONIC FUNDS TRANSFERS(EFT) Destroy in office when superseded or obsolete. Confidentiality: Includes forms authorizing electronic transfer of G.S. 14-113.20 t monies via wire transfer or automated clearing house (ACH)as well as ACH bank reports. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 27 149 ii�i NC DEPARTMENT OF 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES Wi..w NATURAL AND CULTURAL RESOURCES STANDARD 2:BUDGET,FISCAL,AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 2.23 ESCHEATS AND UNCLAIMED PROPERTY a) Destroy in office after 10 years if report was filed prior to Authority: Records containing information required to be July 16,2012.* G.S. 1166-60 included in holder reports submitted to the State Treasurer's office. b) Destroy in office after 5 years if report was filed on or after Retention: July 16,2012.* G.S. 11613-73 Iv 00 c 2.24 FINANCIAL JOURNALS AND LEDGERS a) Destroy in office year-end summaries of receipts and Q- disbursements after 3 years.* CD b) Destroy in office daily, monthly,or quarterly transaction 2i detail journals and ledgers after 1 year.* n v 2.25 FINANCIAL REPORTS a) Destroy in office annual financial reports or other reports generated to inform decision-making after 3 years.* n. b) Destroy monthly or quarterly reports generated for -p operational purposes after 1 year. c) Destroy logs and distribution repots generated to track transactions when released from audits. 2.26 GOVERNMENT EMPLOYEES RETIREMENT SYSTEM Destroy in office when reference value ends.f MONTHLY REPORTS \ Agency Policy:Destroy in office after Reports produced by the North Carolina Department of State Treasurer regarding the Teachers'and State Employees' Retirement System(TSERS)and the Local Governmental Employees' Retirement System (LGERS). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 28 150 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ■■ • N N AATURTURAL AND A AMNDC OF ■■■■i CULTURAL RESOURCES STANDARD 2:BUDGET,FISCAL,AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 2.27 GRANTS:FINANCIAL @ a) Destroy records supporting the expenditure of federal Retention: funds passed through NC Dept.of Health and Human 09 NCAC 03M.0703 Records concerning approved federal,state,and private grants received or issued by the agency. Services on a fiscal year basis when the DHHS Office of the Z CFR 200.333 Includes all relevant accounting,purchasing,payroll, Controller provides written guidance that records are and other financial records. released from all audits and other official actions. N W b) Destroy in office records of state and private grants 5 years SEE ALSO:Grants(STANDARD 1:ADMINISTRATION after final financial report is filed.* (((D AND MANAGEMENT RECORDS). c) Destroy in office records of grants funded by local TI appropriations and other federal grants 3 years after final U) financial report is filed. v d) Destroy in office records not relating to a specific grant or N to grants not funded after 1 year. Q Retention Note:According to 2 CFR 200.333(c),records for real v property and equipment acquired with Federal funds must be o retained for 3 years after disposition of the = property/equipment. 2.28 INVESTMENTS a) Destroy in office transaction schedules after 2 years.* Authority: Includes fund information, portfolio listings and G.S. 159-30 b) Destroy in office performance investment reports when reports,balance sheets,exchange or consent reference value ends.± instructions, broker confirmations, notices,and other documentation related to agency investments.Also Agency Policy:Destroy in office after NA Q-lr(S includes transaction schedules for projecting revenue c) Destroy in office all remaining records after 3 years.* on investments as well as performance investment reports issued by broker or investment firm. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. zE The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 29 151 ; •i NC NATURAL OF of 021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES . .0 N DEPARTMENT TMENTCULTURAL RESOURCES ..... STANDARD 2:BUDGET,FISCAL,AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 2.29 LOAN RECORDS Destroy in office 5 years after satisfaction or cancellation of Records concerning loans received by the agency. loan.* Includes documentation of intent to proceed, loan agreements, promissory notes, letters of credit, N statements,notices of principal and interest due,and other related records. 2.30 LOCAL GOVERNMENT COMMISSION FINANCIAL Destroy in office after 3 years.* Authority: STATEMENTS G.S. 159-33 (D 2.31 LONGEVITY PAY Destroy in office after 5 years.* Retention: TIcn 04 NCAC 24D .0501(a) 2.32 PAYMENT CARD DATA Destroy in office after processed.* Confidentiality: G.S. 132-1.2(2) C^? Records created in association with payment card Q t transactions entered by third parties for the purchase G.S. 132-1.10(b)(5) of goods or services from-the agency. 0 * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 30 152 021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES NA AND OF ■i■i NAATURTURAL AND CULTURAL RESOURCES - --, -A STANDARD 2:BUDGET,FISCAL,AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 2.33 PAYROLL AND EARNINGS RECORDS a) Destroy in office 30 years from date of separation records Authority: Records containing information such as the name, necessary for retirement or similar benefits verification. 29 CFR 516.30(a) Social Security number, number of hours worked, b) Destroy in office remaining records after 5 years.* Confidentiality: �t compensation rate,deductions,and total wages paid G.S. 132-1.10 N each employee per payroll period. Also includes employer contributions(e.g., retirement, healthcare) G.S. 115C Art.21A co along with individual and group employee earnings G.S. 145. Q G.S G.S. 59 cc records and payroll registers showing earnings and (D = deductions for each pay period. G.S.153A-98G.S. 160A-168 -n G.S. 161E-257.2 0 v SEE ALSO: Payroll Deduction Records(below),Time G.S. 162A-6.1 Sheets,Cards,and Attendance Records(below);for 401(k)and other retirement plan payouts,see Retention: CL Retirement Records(STANDARD 4:HUMAN 04 NCAC 24D.0501(a) RESOURCES RECORDS). 29 CFR 516.5(a) 29 CFR 1627.3(a) * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 31 153 �: NC DEPARTMENT OF If 021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES . .: NATURAL AND CULTURAL RESOURCES .:... STANDARD 2:BUDGET,FISCAL,AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 2.34 PAYROLL DEDUCTION RECORDS a) Destroy in office tax withholding forms 4 years after Confidentiality: C� Records used to start,modify,or stop all voluntary or termination of deduction.* G.S. 115C Art.21A G.S. 122C-158 t required deductions from payroll. Includes tax b) Destroy in office authorizations for deductions for G.S. 130A-45.9 withholding(NC-4,W-4),retirement and deferred retirement contributions, bank payments,savings plans, IV G.S. 153A-98 savings plans, insurance,association insurance,and dues 2 years after termination of G.S. 160 A-168 � dues,orders of garnishment,etc. Used as proof the deduction. employee approved of the deduction(s). G.S. 161E-257.2 c) Destroy in office remaining records 3 years after G.S. 162A-6.1 CD termination of deduction.* SEE ALSO: Payroll and Earnings Records(above), Retention: cn Retirement Records(STANDARD 4: HUMAN IRS Publication 15 n N RESOURCES RECORDS). 29 CFR 516.6(c)(1) _ 2.35 POWELL BILL RECORDS Destroy in office after 3 years. Q Records include certified statements,expenditures -p reports,information sheets,financial statements submitted to the North Carolina Department of p Transportation,and all other related records. 2.36 PURCHASE ORDERS Destroy in office after 3 years.* Records,forms,packing slips,and attached documents Retention Note:Packing slips may be destroyed upon concerning purchased supplies,equipment,and verification of items received if they are not the only record of services. the purchase of the item. SEE ALSO:Grants: Financial(above). 2.37 QUALIFIED PRODUCTS LISTS(QPL) Destroy in office 3 years after superseded or obsolete.* Records identifying products approved for purchase by the agency. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. �L The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 32 154 in: NC DEPARTMENT OF 21 GENERAL RECORDS,S an NATURAL AND CULTURAL RESOURCES STANDARD 2:BUDGET,FISCAL,AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 2.38 REQUISITIONS Destroy in office after 1 year.* Requests for payment or to acquire goods or services. SEE ALSO: Inventories(STANDARD 1: Iv ADMINISTRATION AND MANAGEMENT RECORDS). 00 c 2.39 SCHOLARSHIP RECORDS a) Destroy in office after 3 years records documenting the Q- cn Records concerning scholarships awarded by the awarding of scholarships. CD agency. Includes applications,award letters, b) Destroy in office 1 year after notification of applicant TI conditions and stipulations,agreements and contracts, records concerning applications that are denied by the n disbursement statements,progress reports,and other agency or awards that are declined by the recipient. related records. v 2.40 SHIFT PREMIUM PAY Destroy in office after 5 years.* Retention: Q Authorizations and other related records concerning 04 NCAC 24D.0501(a) v employees receiving shift premium pay. O 2.41 STATEMENTS OF BACK PAY Destroy in office 3 years after payment.* — Forms used to determine the gross pay an employee would have earned during a specified period for back pay in a grievance decision,settlement agreement,or other order. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 33 155 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES mp-p NA AND OF .i... NATURAL AND CULTURAL RESOURCES STANDARD 2:BUDGET,FISCAL,AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 2.42 TAX FORMS Destroy in office 5 years after submitted to taxpayer and/or Confidentiality: t Tax information returns generated by the agency(e.g., IRS.* G.S. 132-1.10 1098, 1099,W-2,W-3)to be reported to the Internal G.S. 115C Art.21A Revenue Service and furnished to the other party to G.S. 122C-158 G.S. 130A-45.9 the transaction. Iv G.S. 153A-98 G.S. 160A-168 Q G.S. 161E-257.2 cQ (D G.S. 162A-6.1 Z- CD Retention: n v 04 NCAC 24D.0501(a) _ IRS Publication 15 Q 2.43 TAX RETURNS Destroy in office 6 years after filed.* Tax returns filed by the agency. 2.44 TIME SHEETS,CARDS,AND ATTENDANCE RECORDS Destroy in office after 5 years.* Retention: O Records documenting the work hours and attendance 04 NCAC 24D.0501(a) of employees. 29 CFR 516.6(a)(1) SEE ALSO: Payroll and Earnings Records(above). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 34 156 _ iEi N DEPARTMENT OF 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ..:: NATURAL AND CULTURAL RESOURCES STANDARD 2:BUDGET,FISCAL,AND PAYROLL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 2.45 TRAVEL REIMBURSEMENTS Destroy in office after 5 years.* Retention: Includes requests and authorizations for 04 NCAC 24D.0501(a) reimbursement for travel and related expenses. N SEE ALSO:Grants: Financial (above),Travel Requests co (STANDARD 1:ADMINISTRATION AND MANAGEMENT Q RECORDS). (D 2.46 VENDORS Destroy in office when superseded or obsolete. Files maintained on specific vendors authorized or cn t" debarred from doing business with the agency. Includes name and address,correspondence(including e-mail),and other related records. Q.. v 0 * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 35 157 ._ z: 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES on.ow NATURA AND OF .err. NATURAL AND CULTURAL RESOURCES ■:ur STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS) RECORDS Official records received and created by agency geographic information system programs. See G.S. 132-10 for information about providing public access to GIS databases. STANDARD 3:GEOGRAPHIC INFORMATION SYSTEM(GIS)RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION W 3.01 GEOGRAPHIC INFORMATION SYSTEM (GIS)CORE Retain in office parcel, boundary,zoning,and orthoimagery DATA layers(with accompanying data sets) permanently. Geo-referenced data and metadata to facilitate the Retention Note:Other datasets should be kept according to management, manipulation,analysis, modeling, standards and procedures set by the North Carolina Geographic representation,and spatial analysis of complex Information Coordinating Council.See also GEOSPATIAL problems regarding planning and management of RECORDS,page A-13. resources. 3.02 GEOGRAPHIC INFORMATION SYSTEM(GIS) DATA Destroy in office when the system is discontinued or when DOCUMENTATION(METADATA) system data has been transferred to a new operating Records created during development or modification environment(platform). of an automated system which are necessary to access, retrieve,manipulate,and interpret data in that system;and records that explain the meaning, purpose,structure, local relationships,and origin of the data elements. Includes data element dictionaries,file layout,codebooks and tables,and definition files. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 36 158 NC DEPARTMENT OF 021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES ;; NATURAL AND CULTURAL RESOURCES ..... STANDARD 3:GEOGRAPHIC INFORMATION SYSTEM(GIS)RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 3.03 GEOGRAPHIC INFORMATION SYSTEM(GIS)INTERNAL Retain in office permanently. STANDARDS AND PROCEDURES Includes requirements that are intended to make hardware,software,and data compatible and that cover data capture,accuracy,sources, base categories, W output,and data element dictionaries. 3.04 GEOGRAPHIC INFORMATION SYSTEM(GIS) Destroy in office after 1 year. G) MONITORING RECORDS Includes system security,quality assurance, transaction tracking,and other related activity monitoring records. 3.05 GEOGRAPHIC INFORMATION SYSTEM(GIS) Destroy in office when the system is discontinued or when OPERATIONAL RECORDS system data has been transferred to a new operating Includes user guides,system flowcharts,job or environment(platform). workflow records,system specifications,and similar documentation. 3.06 GEOGRAPHIC INFORMATION SYSTEM (GIS)PROJECT a) Retain in office GIS datasets and accompanying RECORDS documentation(metadata)with historical and/or legal value permanently. b) Destroy in office remaining items when reference value ends.± Agency Policy: Destroy in office after ezuts * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @a In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 37 159 ■-■■■ 2021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES •4om NATURA AND OF ■ii■i NATURAL AND CULTURAL RESOURCES STANDARD 3:GEOGRAPHIC INFORMATION SYSTEM(GIS)RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 3.07 LAYERS:ADDRESS POINTS Paper: Retain in office permanently. GIS dataset:Create a snapshot of dataset annually. To See also GEOSPATIAL RECORDS, page A-13. maintain permanently, Either:Transfer snapshot to NCOneMap according to established procedures,complying with standards and procedures adopted by the North Carolina Geographic G� Information Coordinating Council. Cl) Or:If retained in office,your agency must comply with standards(for metadata,file naming,data sharing,and longterm preservation)and procedures adopted by the North Carolina Geographic Information Coordinating Council. 3.08 LAYERS:CORPORATE LIMITS Paper:Retain in office permanently. GIS dataset:Create a snapshot of dataset annually.To maintain See also GEOSPATIAL RECORDS,page A-13. permanently, Either:Transfer snapshot to NCOneMap according to established procedures,complying with standards and procedures adopted by the North Carolina Geographic Information Coordinating Council. Or:If retained in office,your agency must comply with standards(for metadata,file naming,data sharing,and long term preservation)and procedures adopted by the North Carolina Geographic Information Coordinating Council. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 38 160 . WAR 2021 GENERAL RECORDS SC.IEDULE: LOCAL GOVERNMENT AGENCIES NATURARANDC OF ����: NATURAL AND CULTURAL RESOURCES STANDARD 3:GEOGRAPHIC INFORMATION SYSTEM(GIS)RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 3.09 LAYERS:EXTRATERRITORIAL JURISDICTIONS Paper: Retain in office permanently. GIS dataset:Create a snapshot of dataset annually. To See also GEOSPATIAL RECORDS,page A-13. maintain permanently, Either:Transfer snapshot to NCOneMap according to established procedures,complying with standards and procedures adopted by the North Carolina Geographic G) Information Coordinating Council. (A Or.If retained in office,your agency must comply with standards(for metadata,file naming,data sharing,and longterm preservation)and procedures adopted by the North Carolina Geographic Information Coordinating Council. 3.10 LAYERS:ORTHOIMAGERY Create a snapshot of dataset when created.To maintain permanently, See also GEOSPATIAL RECORDS, page A-13. Either:Transfer snapshot to NCOneMap according to established procedures,complying with standards and procedures adopted by the North Carolina Geographic Information Coordinating Council. Or. If retained in office,your agency must comply with standards(for metadata,file naming,data sharing,and longterm preservation)and procedures adopted by the North Carolina Geographic Information Coordinating Council. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 39 161 ;:.,. IF 021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES rp=; NATURA AMNENTDC OF .iml NATURAL AND CULTURAL RESOURCES STANDARD 3:GEOGRAPHIC INFORMATION SYSTEM(GIS)RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 3.11 LAYERS:STREET CENTERLINE Paper: Retain in office permanently. GIS dataset:Create a snapshot of dataset annually. To See also GEOSPATIAL RECORDS, page A-13. maintain permanently, Either:Transfer snapshot to NCOneMap according to established procedures,complying with standards and W procedures adopted by the North Carolina Geographic G) Information Coordinating Council. W Or:If retained in office,your agency must comply with standards(for metadata,file naming,data sharing,and long term preservation)and procedures adopted by the North Carolina Geographic Information Coordinating Council. 3.12 MAPPING PROJECT RECORDS Paper: Retain in office permanently. Includes contract maps and all deliverable products for GIS dataset:Create a snapshot of dataset annually. To aerial photography,orthophotography,cartographic, maintain permanently, cadastral,and digital mapping projects. Either:Transfer snapshot to NCOneMap according to established procedures,complying with standards and See also GEOSPATIAL RECORDS,page A-13. procedures adopted by the North Carolina Geographic Information Coordinating Council. Or:If retained in office,your agency must comply with standards(for metadata,file naming,data sharing,and longterm preservation)and procedures adopted by the North Carolina Geographic Information Coordinating Council. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-S. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 40 162 �W-: NC DEPARTMENT OF 021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ■ ■: NATURAL AND CULTURAL RESOURCES --. _ ram STANDARD 3:GEOGRAPHIC INFORMATION SYSTEM(GIS)RECORDS ITEM## RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 3.13 MAPS:PARCEL Paper:Destroy in office upon State Archives approval. Maps,including cadastral maps,and surveys of GIS dataset:Create a snapshot of dataset quarterly. To boundaries and measurements of each parcel,and maintain permanently, information about encroachments, right-of-ways,and structures. Either:Transfer snapshot to NCOneMap according to established procedures,complying with standards and w procedures adopted by the North Carolina Geographic G� See also GEOSPATIAL RECORDS,page A-13,and Information Coordinating Council. W Property Management Records(STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS). Or:If retained in office,your agency must comply with standards(for metadata,file naming,data sharing,and longterm preservation)and procedures adopted by the North Carolina Geographic Information Coordinating Council. 3.14 MAPS:PARKS Paper: Retain in office permanently. Includes park boundaries,facilities, landscaping, GIS dataset:Create a snapshot of dataset annually.To maintain topography,and other pertinent information.Also permanently, includes maps and drawings stored and generated by Geographic Information System(GIS)and computer- Either:Transfer snapshot to NCOneMap according to aided design (CAD)systems. established procedures,complying with standards and procedures adopted by the North Carolina Geographic See also GEOSPATIAL RECORDS,page A-13. Information Coordinating Council. Or:If retained in office permanently,your agency must comply with standards(for metadata,file naming,data sharing,and longterm preservation)and procedures adopted by the North Carolina Geographic Information Coordinating Council. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 41 163 021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES NC DEPARTMENT OF ■u.no NATURAL AND CULTURAL RESOURCES STANDARD 3:GEOGRAPHIC INFORMATION SYSTEM(GIS)RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 3.15 MAPS:ALL OTHER @ a) Retain in office maps,including GIS datasets and Includes field maps,soil,topographic,sales, accompanying documentation (metadata),with historical subdivision plats, right-of-way,sectional,highway,etc. and/or legal value permanently. Also includes paper maps. b) Destroy in office remaining items when reference value ends.f W Retention note:Contact the State Archives of North G) Carolina before destroying any tax maps, watershed maps, W or zoning maps. Agency Policy:Destroy in office after to * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 42 164 . own 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES o+n. N AATURTUR= AL AND■:`: NA TMEN AND OF CULTURAL RESOURCES STANDARD 4:HUMAN RESOURCES RECORDS Official records and materials created and accumulated incidental to the employment,qualifications,training,and pay status of agency employees. Comply with applicable provisions of G.S. 115C Article 21A(LPSUs),G.S. 122C-158(area authorities),G.S. 130A-45.9(public health authorities),G.S. 153A-98(county), G.S. 160A-168(municipal),G.S. 161E-257.2(public hospitals),and G.S. 162A-6.1(water and sewer authorities)regarding confidentiality of personnel records. STANDARD 4:HUMAN RESOURCES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION = 4.01 ABOLISHED POSITIONS Destroy in office after 1 year. Records concerning positions that have been abolished. 4.02 ADMINISTRATIVE INVESTIGATIONS a) Destroy in office after 3 years records concerning Confidentiality: Records concerning the investigation of conduct complaints against agency personnel that are resolved G.S. 115C Art.21A problems among agency personnel. without an internal investigation. G.S. 122C-158 G.S. 130A-45.9 SEE ALSO: Disciplinary Actions(below). b) Destroy in office after 5 years records concerning G.S. 153A-98 complaints lodged against agency personnel that are G.S. 160A-168 exonerated. G.S. 161E-257.2 c) Destroy in office 5 years after final disposition or expiration G.S. 162A-6.1 of relevant statute of limitations complaints lodged against agency personnel that are settled out-of-court. d) Transfer investigation reports,disciplinary actions,and other related internal affairs case records to Personnel Records(Official Copy) (below). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-S. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 43 165 t ■a■ 2021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES ■ NATURA AND OF ��:wi NATURAL AND CULTURAL RESOURCES STANDARD 4:HUMAN RESOURCES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4.03 APPLICATIONS FOR EMPLOYMENT a) Transfer applications, resumes,transcripts,and similar Confidentiality: Records submitted by job applicants for vacant records as applicable to Personnel Records(Official Copy) G.S. 115C Art.21A t positions or by current employees for promotion, (below)or Seasonal and Contract Worker Records(below). G.S. 122C-158 G.S. 130A-45.9 transfer,or training opportunities. Includes b) Destroy in office after 2 years unsolicited application G.S. 153A-98 applications,transcripts, resumes, letters of reference, materials from individuals hired. G.S. 160A-168 -P.- and other related records. c) Destroy in office records concerning individuals not hired 2 G.S. 161E-257.2 = years after date of receipt,if no charge of discrimination G.S. 162A-6.1 has been filed. If charge has been filed,destroy in office 1 - year after resolution of charge.* Retention: 29 CFR 1602.31 d) Destroy in office 2 years after receipt unsolicited applications/resumes and those received after posted closing dates. 4.04 APPRENTICESHIP PROGRAM RECORDS Destroy in office 5 years after the making of the record or the Authority: Records concerning registered apprenticeship personnel action involved,whichever occurs later. 29 CFR 30.4(a) programs. Includes applications and selection 29 CFR 1602.20 materials as well as aggregated data.Also includes apprenticeship affirmative action plans. Retention: 29 CFR 30.12(d) 29 CFR 1602.21 * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 44 166 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ■; ; N N AATURTURAL AND A AND OF •■.0 CULTURAL RESOURCES STANDARD 4:HUMAN RESOURCES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4.05 APTITUDE AND SKILLS TESTING RECORDS Destroy in office after 2 years. Confidentiality: Records concerning aptitude and skills tests required G.S. 115C Art.21A t of job applicants or of current employees to qualify for G.S. 122C-158 promotion or transfer. Includes civil service G.S. 130A-45.9 examinations. G.S. 153A-98 G.S. 160A-168 G.S. 161E-257.2 = SEE ALSO: Employment Selection Records(below). G.S. 162A-6.1 Retention: 29 CFR 1602.31 29 CFR 1627.3(b)(1)(iv) 4.06 ASBESTOS TRAINING a) Destroy in office employee-specific records 1 year after Retention: separation. 29 CFR Records concerning training programs about the se p 1910.1001(m)(4) proper management of asbestos. b) Destroy in office remaining records when superseded or obsolete. SEE ALSO:Bloodborne Pathogen Training(below), Hazardous Materials Training Records(below). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 45 167 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ■ • NARTMENT OF ■ ■i NAATURTURAL AND CULTURAL RESOURCES STANDARD 4:HUMAN RESOURCES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4.07 BENEFITS RECORDS a) Destroy in office approved claims forms after 2 years.* Retention: Records concerning life, health,accident,and disability 29 CFR 1627.3(b)(2) b) Destroy in office rejected requests 6 months after decision. insurance plans as well as seniority and merit systems. Includes records concerning systems in which c) Destroy in office 3 years after employee returns or employees can select fringe benefits from a cafeteria eligibility expires notifications to employees or dependents plan,including flexible spending plans. File also informing them of their rights to continue insurance includes notifications,election and claim forms, coverage after termination or during disability or family = rejection letters,and other records related to COBRA leave. 'n (Consolidated Omnibus Budget Reconciliation Act). d) Destroy in office remaining records 1 year after plan is terminated. 4.08 BLOODBORNE PATHOGEN TRAINING Destroy in office after 3 years. Retention: Includes records showing date of training,sessions, 29 CFR contents or summaries of sessions, names of 1910.1030(h)(2)(ii) employees attending,and names and qualifications of instructors. SEE ALSO:Asbestos Training(above), Hazardous Materials Training Records(below). 4.09 DIRECTORIES,ROSTERS,OR INDICES Destroy in office when superseded or obsolete. Includes records listing employees,their job titles, work locations,phone numbers,e-mail addresses,and similar information. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 46 168 . ... e..=� NC DEPARTMENT OF 021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNME G, .: NATURAL AND CULTURAL RESOURCES STANDARD 4:HUMAN RESOURCES RECORDS ITEM># RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4.10 DISABILITY SALARY CONTINUATION CLAIMS a) Transfer original forms to Local Government Employees' Forms used by disabled employees to apply for salary Retirement System(LGERS)or Teachers'and State continuation benefits.Also include short-term Employees'Retirement System (TSERS)for action when disability claims forms and other related records. received. b) Destroy in office remaining records after 3 years. 4.11 DISCIPLINARY ACTIONS a) Transfer records as applicable to Personnel Records Authority: _ Correspondence(including e-mail)and other records (Official Copy)(below). G.S. 115C Art.21A X concerning disciplinary actions taken against G.S. 122C-158 b) Destroy in office all remaining records 2 years after G.S. 130A-45.9 employees by personnel or supervisory staff,including resolution of all actions. records documenting terminations. Includes records G.S. 153A-98 created by civil service boards when considering,or G.S. 160A-168 reconsidering on appeal,an adverse action against an G.S. 161E-257.2 employee. G.S. 162A-6.1 Retention: 29 CFR 1602.31 Subject to the public information provision delineated in the above authorities. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 47 169 ... 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ■■ NC DEPARTMENT OF u°■C NATURAL AND CULTURAL RESOURCES STANDARD 4:HUMAN RESOURCES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4.12 DUAL EMPLOYMENT a) Destroy in office approved requests and related records 1 Records concerning employees' requests and year after employee terminates additional employment. authorizations to accept employment with another b) Destroy in office denied requests and related records after local government agency. 6 months. P SEE ALSO:Secondary Employment(below). _ 4.13 EDUCATIONAL LEAVE AND REIMBURSEMENT a) Transfer records documenting approved leave requests to Confidentiality: Includes records requesting educational leave and Personnel Records(Official Copy) (below). G.S. 115C Art.21A t G.S.tuition assistance,reimbursements,and other related 1 b) Destroy in office records concerning denied requests 6 G.S. 130A-30A-455.9 records. months after denial.* G.S. 153A-98 c) Destroy in office records concerning approved tuition G.S. 160A-168 SEE ALSO: Leave Records(below). reimbursements 3 years after reimbursement.* G.S. 161E-257.2 G.S. 162A-6.1 4.14 EMPLOYEE ASSISTANCE PROGRAMS Destroy in office after 3 years. Confidentiality: (T Records documenting assistance and counseling G.S. 115C Art.21A t opportunities. Includes requests for information, G.S. 122C-158 referrals,forms,releases,correspondence,and other G.S. 130A-45.9 related records. G.S. 153A-98 G.S. 160A-168 G.S. 161E-257.2 G.S. 162A-6.1 * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 48 170 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES a� N AATURTUR NA AMNDC of ■■ AL AND CULTURAL RESOURCES —. • ■tea STANDARD 4:HUMAN RESOURCES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4.15 EMPLOYMENT ELIGIBILITY RECORDS a) 1-9 forms have mandatory retention throughout the Confidentiality: Includes the 1-9 forms,employment authorization duration of an individual's employment. After separation, G.S. 115C Art.21A t documents filed with the U.S. Department of Labor, destroy records in office 3 years from date of hire or 1 year G.S. 122C-158 petitions filed by the agency,E-Verify documentation, from separation,whichever occurs later. G.S. 130A-45.9 and Selective Service Registration compliance forms. G.S. 153A-98 b) Destroy in office after 5 years employment authorization G.S. 16OA-168 documents filed with the U.S. Department of Labor. G.S. 161E-257.2 M c) Destroy in office immigrant or nonimmigrant petitions filed G.S. 162A-6.1 by the agency 3 years after employee separation. Retention: d) Destroy in office remaining records 1 year after employee 8 USC 1324a(b)(3) separation. 4.16 EMPLOYMENT SELECTION RECORDS a) Destroy in office background and criminal history checks Confidentiality: Records concerning the selection of applicants for after 5 years. G.S. 115C Art.21A G.S. 122C-158 t vacant positions or of current employees for b) Destroy in office remaining records 2 years after hiring promotion,transfer,or training opportunities. * G.S. 130A-45.9 decision. G.S. 153A-98 Includes interview documentation, rosters,eligibility lists,test ranking sheets,justification statements, G.S. 160A-168 background and criminal history checks,and similar G.S. 161E-257.2 records. G.S. 162A-6.1 Retention: SEE ALSO:Applications for Employment(above), 29 CFR 1602.31 Aptitude and Skills Testing Records(above). 1 1 29 CFR 1627.3(b)(1) * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 49 171 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES "'n NARTMENT OF man NAATURTURAL AND CULTURAL RESOURCES STANDARD 4:HUMAN RESOURCES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4.17 EXIT INTERVIEW RECORDS Destroy in office after 1 year. Confidentiality: � Includes feedback from employees planning to G.S. 115C Art.21A t separate from the agency. G.S. 122C-158 G.S. 130A-45.9 G.S. 153A-98 G.S. 160A-168 p G.S. 161E-257.2 = G.S. 162A-6.1 4.18 FAMILY MEDICAL LEAVE ACT(FMLA)RECORDS Destroy in office 3 years after leave ends.* Authority: Records concerning leave taken,premium payments, 29 CFR 825.110 t employer notice, medical examinations considered in connection with personnel action,disputes with Confidentiality: employees over FMLA,and other related records. G.S. 115C Art.21A G.S. 122C-158 G.S. 130A-45.9 SEE ALSO: Leave Records(below). G.S. 153A-98 G.S. 160A-168 G.S. 161E-257.2 G.S. 162A-6.1 Retention: 29 CFR 825.500(b) * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 50 172 NC DEPARTMENT OF 2021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES NATURAL AND CULTURAL RESOURCES STANDARD 4:HUMAN RESOURCES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4.19 GRIEVANCES Destroy in office after 2 years.* Confidentiality: Includes initial complaint by employee,investigation, G.S. 115C Art.21A t action,summary, G.S. 122C-158 and disposition. G.S. 130A-45.9 G.S. 153A-98 SEE ALSO: Disciplinary Actions(above), Personnel G.S. 160A-168 Records(Official Copy) (below). G.S. 161E-257.2 = G.S. 162A-6.1 4.20 HAZARDOUS MATERIALS TRAINING RECORDS Destroy in office after 5 years. Authority: Includes records showing date of training,sessions, 29 CFR contents or summaries of sessions,names of 1910.120(p)(8)(iii) employees attending,and names and qualifications of 10A NCAC 15 instructors. May also include documentation of loans of radioactive materials for the purpose of training exercises. SEE ALSO:Asbestos Training(above), Bloodborne Pathogen Training(above). 4.21 INTERNSHIP PROGRAM Destroy in office after 2 years. Records concerning interns and students who work for the agency. 4.22 LAW ENFORCEMENT TRAINING Retain in office permanently. Records concerning internal training for law enforcement personnel. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 51 173 . MEN k021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES Z■_■ NA AND OF �iu�i NATURALND CULTURAL RESOURCES STANDARD 4:HUMAN RESOURCES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4.23 LEAVE RECORDS a) Destroy in office approved requests 3 years after return or Confidentiality: 6 L Records concerning employee leave,including separation of employee.* G.S. 115C Art.21A t G.S. 122C-158 requests for and approval of sick,vacation,overtime, b) Destroy in office denied requests after 6 months. buy-back,shared,donated,etc. Also includes records G.S.130A-45.9 98 documenting leave without pay. G.S. 1 G.S. 160A-A-168 � SEE ALSO: Educational Leave and Reimbursement G.S. 161E-257.2 = (above), Family Medical Leave Act(FMLA) Records G.S. 162A-6.1 ;U (above), Military Leave(below). 4.24 MEDICAL RECORDS a) Destroy in office exposure records 30 years after date of Authority: Records for employees,contractors,and volunteers exposure.* 29 CFR 1910.1020(e) concerning asbestos,toxic substances,and b) Destroy in office records pertaining to first-aid job-related t bloodborne pathogen exposure;physical examinations Confidentiality: illness and in after 5 years. 29 CFR 1630.14(c)(1) required by the employer in connection with any personnel action,including health or physical c) Provide medical records to employees who have worked 29 CFR examination reports,or certificates created in for less than 1 year at time of separation. 1910.1030(h)(1)(iii) accordance with the Americans with Disabilities Act d) Destroy in office after 1 year records concerning physical (ADA);and records of injury or illness. (Does not Retention: examinations or health certificates. 29 CFR 1627.3(b)(1)(v) include worker's compensation or health insurance claim records.) e) Destroy in office remaining records 30 years after 29 CFR 1910.1020(d) employee separation. 42 USC 12112(d)(3) SEE ALSO: Benefits Records(above),Workers' Retention Note:Records must be maintained separately from Compensation Program Claims(below). an employee's personnel jacket. If part of a worker's compensation claim,follow disposition for Workers' Compensation Program Claims(below). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. zL The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 52 174 E �■2 N DEPARTMENT OF 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES .: NATURAL ANDTME CULTURAL RESOURCES STANDARD 4:HUMAN RESOURCES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4.25 MILITARY LEAVE Destroy in office 3 years after leave ends or employee Authority: Records concerning military leave,as established by separates from agency.* 5 CFR 1208 the Uniformed Services Employment and Reemployment Rights Act(USERRA). SEE ALSO: Leave Records(above). _ 4.26 PERFORMANCE REVIEWS Destroy in office after 3 years. Confidentiality(applies Information used to establish employees'goals and only to performance t primary tasks. Records used to evaluate each evaluations): employee's work performance. G.S. 115C Art.21A G.S. 122C-158 G.S. 130A-45.9 SEE ALSO: Personnel Records(Official Copy) (below). G.S. 153A-98 G.S.60A-168 G.S. 161E-257.2 G.S. 162A-6.1 4.27 PERSONNEL ACTION NOTICES Transfer records to Personnel Records(Official Copy)(below). Subject to the public Records used to create or change information in the information provision personnel records of individual employees concerning delineated in relevant such issues as hiring,termination,transfer,pay grade, General Statutes. and position or job title. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @a In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 53 175 ... 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ■i■- NA AND OF i NATURAL AND CULTURAL RESOURCES STANDARD 4.HUMAN RESOURCES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4.28 PERSONNEL RECORDS(OFFICIAL COPY) a) Destroy in office after 30 years from date of separation Authority/ Official copy of personnel file maintained on each information needed to document:date and amount of Confidentiality: permanent and temporary agency employee that is each increase or decrease in salary with that agency;date G.S. 115C Art.21A t` eligible for benefits. Includes basic employee and type of each promotion,demotion,transfer, G.S. 122C-158 information and records and forms relating to the suspension,separation,or other change in position G.S. 130A-45.9 selection or non-selection, promotion,transfer,leave, classification with that agency;date and general G.S. 153A-98 salary,suspension,and termination of employment. description of the reasons for each promotion with that G.S. 160A-168 = agency;date and type of each dismissal,suspension,or G.S. 161E-257.2 ;l demotion for disciplinary reasons taken by the agency; G.S.162A-6.1 Note: For agencies responsible for maintaining and,if the disciplinary action was a dismissal,a copy of the personnel files for criminal justice officers,please written notice of the final decision of the agency setting consult 12 NCAC 09C.0307 for the mandatory records forth the specific acts or omissions that are the basis of the of certification that must be housed in the personnel dismissal. file. b) Destroy in office information necessary to verify benefits 30 years after date of separation. SEE ALSO: Medical Records(above),Seasonal and Contract Worker Records(below). c) Destroy in office remaining records when individual retention periods are reached as noted in individual items in this Records Retention and Disposition Schedule. 4.29 PERSONNEL RECORDS(SUPERVISOR COPY) a) Transfer records as applicable to Personnel Records Confidentiality: Official Co above t Personnel jacket that is often maintained by ( Copy) . G.S. 115C Art.21A(above). G.S. 122C-158 supervisors. b) Destroy in office remaining records when reference value G.S. 130A-45.9 ends.± hh G.S. 153A-98 Agency Policy: Destroy in office after V 4kr G.S. 160A-168 G.S. 161E-257.2 G.S. 162A-6.1 * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 54 176 u NC DEPARTMENT OF 021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES . rEn NATURAL AND CULTURAL RESOURCES STANDARD 4:HUMAN RESOURCES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4.30 POLICIES AND PROCEDURES(PERSONNEL) a) Retain in office internal agency personnel policies and Official internal agency personnel policies and procedures permanently. procedures.Also includes agreements and b) Destroy in office remaining records when superseded or authorizations required of employees,orientation obsolete. materials,and informational data. P 2 SEE ALSO:Civil Rights Records(STANDARD 6: LEGAL ;C7 RECORDS),and Workers'Compensation Program Administration (below). 4.31 POLYGRAPH RECORDS Destroy in office 3 years from the date the test was given,or Confidentiality: Includes statements informing employee of the time, from the date the test was requested if no examination was G.S. 115C Art.21A t place,and reasons for the test;copy of notice sent to given. G.S. 122C-158 examiner identifying employee to be tested;and G.S. 130A-45.9G.S. 153A-98 copies of opinions, reports,or similar records G.S. 160A-168 generated by the examiner and provided to the agency. G.S. 161E-257.2 G.S. 162A-6.1 Retention: 29 CFR 801.30 * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 55 177 s-son 021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES ii■ NA AND OF � �i NATURAL AND CULTURAL RESOURCES STANDARD 4:HUMAN RESOURCES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4.32 POSITION CLASSIFICATION,CONTROL,AND HISTORY a) Retain in office records with historical value permanently. Records concerning personnel actions and position b) Destroy in office remaining records when superseded or control,status of each established permanent, obsolete. temporary full-time,or part-time position,and other related topics. Also includes listings providing classification,titles,and position numbers. 2 ;Cl SEE ALSO: Position Descriptions(below). 4.33 POSITION DESCRIPTIONS Destroy in office 2 years after superseded. Retention: Includes information on job title,grade,duties,agency 29 CFR 1.620.32 assigned,and responsibilities. 4.34 POSITION EVALUATIONS Destroy in office after 1 year. Forms used to evaluate the primary purpose of a position. 4.35 RECRUITMENT RECORDS Destroy in office 1 year from date of record. Retention: Includes ads and notices of overtime,promotion,and 29 CFR 1627.3(b) training. Also includes employment listings. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 56 178 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ; NC DEPARTMENT OF Emomm NATURAL AND CULTURAL RESOURCES STANDARD 4:HUMAN RESOURCES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4.36 RETIREMENT RECORDS a) Destroy in office descriptive information about retirement Retention: Includes descriptive information about retirement plans 1 year after plan is terminated. 29 CFR 1627.3(b)(2) systems along with plans and related records outlining b) Destroy in office records concerning employer-sponsored the terms of employee pension and other deferred retirement plans 7 years after payment.* compensation plans,including 401(k). � c) Transfer Local Governmental Employees' Retirement System (LGERS)forms to Department of State Treasurer. 2 SEE ALSO: Payroll and Earnings Records; Payroll iU Deduction Records(STANDARD 2:BUDGET, FISCAL, d) Transfer applicable records to Personnel Records(Official AND PAYROLL RECORDS). Copy) (above). 4.37 SEASONAL AND CONTRACT WORKER RECORDS Destroy in office 5 years after date of separation. Confidentiality: Records concerning seasonal or contractual G.S. 115C Art.21A t employees who are not provided with or eligible for G.S. 122C-158 benefits. G.S. 130A-45.9 G.S. 153A-98 G.S. 160A-168 SEE ALSO: Personnel Records(Official Copy)(above). G.S. 161E-257.2 G.S. 162A-6.1 4.38 SECONDARY EMPLOYMENT a) Destroy in office approved requests and related records 1 Records concerning employees'requests and year after employee terminates outside employment. authorizations to accept employment with a private b) Destroy in office denied requests and related records after entity. 6 months. SEE ALSO: Dual Employment(above.) * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 57 179 NC DEPARTMENT OF I2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES .:..0 NATURAL AND CULTURAL RESOURCES STANDARD 4:HUMAN RESOURCES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4.39 SERVICE AWARDS AND COMMENDATIONS Destroy in office 2 years from date of record creation or the Includes award and selection committee reports, personnel action involved. nominations,selection criteria,and similar administrative records relating to employee recognition or incentive programs. 4h, 2 SEE ALSO: Personnel Records(Official Copy)(above). :(l 4.40 SUGGESTIONS AND SURVEYS Destroy in office after 1 year. Recommendations and feedback submitted by agency employees. 4.41 TRAINING AND EDUCATIONAL RECORDS a) Transfer records as applicable to Personnel Records Retention: Records concerning the delivery of training to agency (Official Copy) (above),if such training and testing is 29 CFR 1627.3(b)(1)(iv) personnel. Includes training manuals,syllabi and required for the position held or could affect career course outlines,and other related records. Also advancement. includes employee-specific records(certificates, b) Destroy in office certifications and other qualifications 5 transcripts,test scores,etc.) relating to the training, years after expiration or employee separation. testing,or continuing education of employees. c) Destroy in office general training materials when superseded or obsolete. SEE ALSO:Conferences and Workshops(STANDARD 7: PUBLIC RELATIONS RECORDS), Educational Leave and d) Destroy in office remaining employee-specific records after Reimbursement(above). Other required trainings are 1 year. handled in Asbestos Training(above), Bloodborne Pathogen Training(above), Hazardous Materials Training Records(above), Law Enforcement Training (above). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 58 180 %wl 0 NC DEPARTMENT OF t02I GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES . .: NATURAL AND CULTURAL RESOURCES STANDARD 4:HUMAN RESOURCES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4.42 UNEMPLOYMENT COMPENSATION CLAIMS Destroy in office after 5 years.* Confidentiality: Claim forms and other related records concerning G.S. 115C Art.21A t unemployment compensation cases. G.S. 122C-158 G.S. 130A-45.9 G.S. 153A-98 G.S. 160A-168 G.S. 161E-257.2 = G.S. 162A-6.1 X Retention: 04 NCAC 24D.0501(a) 4.43 UNEMPLOYMENT COMPENSATION REPORTS Destroy in office after 5 years.* Retention: Quarterly reports showing month-to-date wages, 04 NCAC 24D.0501(a) month-to-date compensation,year-to-date wages, and year-to-date compensation for each employee. May be filed with NC Division of Employment Security. 4.44 UNEMPLOYMENT INSURANCE Transfer to the N.C. Department of Commerce, Division of Forms submitted to the Department of Commerce to Employment Security. report wage records of terminated employees. 4.45 VERIFICATION OF EMPLOYMENT RECORDS Destroy in office after 1 year. Inquiries and responses concerning verification of an employee's prior or current employment with the agency. 4.46 VOLUNTEER RECORDS Destroy in office 2 years after completion of assignment. Records concerning individuals who volunteer to assist with various agency activities. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 59 181 i •i N DEPARTMENT OF 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES .::: NATURAL AND CULTURAL RESOURCES STANDARD 4:HUMAN RESOURCES RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 4.47 WORK SCHEDULES AND ASSIGNMENTS Destroy in office after 1 year. Records concerning work,duty,shift,crew,or case schedules, rosters,or assignments. 4.48 WORKERS'COMPENSATION PROGRAM a) Retain in office records with historical value permanently. ADMINISTRATION b) Destroy in office remaining records when superseded or Includes program policies,guidelines,and related obsolete. _ administrative documentation. �7 4.49 WORKERS'COMPENSATION PROGRAM CLAIMS Destroy in office agency's working file for workers' Confidentiality: n Records concerning workers'compensation claims compensation claims by its employees 5 years after employee G.S.8-53 t filed by employees'supervisors concerning accidental returns to work or separates from agency.* G.S.97-92(b) injuries or illnesses suffered on the job. Includes Employer's Report of Injury to Employee(Form 19), accident investigation reports, medical reports,claim cost reports, reference copies of medical invoices,and other related records. Note:All official copies of claims records should be transferred to the North Carolina Industrial Commission in compliance with G.S.97-92(a). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. zE The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 60 182 .�=■ NC DEPARTMENT OF L RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ..'.i NATURAL AND CULTURAL RESOURCES . Mon STANDARD 5: INFORMATION TECHNOLOGY(IT) RECORDS Information technology encompasses all activities undertaken by agency to design,develop,and operate electronic information systems. This section covers records for which Information Technology personnel are responsible,including administrative records and those used to process data and monitor and control operations. Note:Administration, use, and retention of records concerning computer and information security should comply with applicable provisions of G.S.132-6.1 on the confidentiality of records regarding 'hardware or software security,passwords,or security standards,procedures,processes,configurations,software,and codes."(G.S.132-6.1 (c)) STANDARD 5.INFORMATION TECHNOLOGY RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 5.01 AUDITS:IT SYSTEMS a) Destroy in office 1 year after superseded or obsolete fixity Confidentiality: Records documenting user actions affecting the check documentation. G.S. 132-6.1(c) I contents of monitored systems. Also includes fixity b) Destroy in office remaining records after disposition of checks and other periodic tests of data validity. record.* 5.02 COMPUTER AND NETWORK USAGE RECORDS Destroy in office after 1 year. Records documenting usage of electronic devices and networks. Includes login files,system usage files, individual program usage files,and records of use of the Internet by employees. 5.03 DATA DOCUMENTATION RECORDS Destroy in office 3 years after system is discontinued and/or Records concerning data in automated systems. replaced. Includes data element dictionary,file layout,code book or table,entity relationships tables,and other records related to the structure,management,and organization of data. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 61 183 •�_�� NC DEPARTMENT OF 021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES 20A NATURAL AND CULTURAL RESOURCES ----- — — . ... STANDARD 5:INFORMATION TECHNOLOGY RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 5.04 DATA MIGRATION RECORDS Destroy in office 1 year after completion of data migration. Technical records documenting data migrations. Note:The data itself is subject to the disposition instructions indicated for its relevant records series; these are merely records about migrating said data. Cn 5.05 DATA WAREHOUSES Destroy in office when superseded or obsolete. Maintain confidentiality Federated data gathered by the agency from other consistent with any sources for the purposes of comparison and restrictions placed on distribution. the data provider. SEE ALSO:Collected Data (STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS). 5.06 DIGITIZATION AND SCANNING RECORDS Destroy in office 10 days after digitization. Records concerning data entry and imaging Note:The digital surrogate becomes the record copy and must operations. Includes quality control records. be retained according to the disposition instructions for that record type. See also REQUEST FOR DISPOSAL OF ORIGINAL RECORDS DUPLICATED BY ELECTRONIC MEANS,page A-21. 5.07 ELECTRONIC RECORDS POLICIES AND PROCEDURES Destroy in office 3 years after superseded or obsolete. Confidentiality: Includes procedural manuals as well as an Electronic G.S. 132-1.7(b) t Records and Imaging Policy and a Security Backup G.S. 132-6.1(c) Policy. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 62 184 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ;n NATURA AND OF ����� NATURAL AND CULTURAL RESOURCES STANDARD 5:INFORMATION TECHNOLOGY RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 5.08 INFORMATION TECHNOLOGY ASSISTANCE RECORDS Destroy in office 1 year after work is completed. Records documenting troubleshooting and problem- solving assistance provided by agency information systems personnel to users of the systems. Includes help desk assistance requests,resolution records,and related documentation. cn 5.09 NETWORK AND SYSTEM SECURITY RECORDS a) Destroy in office finalized cyber incident reports 5 years Confidentiality: c Records documenting cybersecurity efforts. Includes after resolution. G.S. 132-6.1( ) t records concerning firewalls,anti-virus programs, b) Destroy in office after 2 years records documenting intruder scanning logs,and other related records. incidents involving unauthorized attempted entry or probes on data processing systems, IT systems, telecommunications networks,and electronic security systems. c) Destroy in office after 1 year records concerning firewalls, anti-virus programs,and other related records. 5.10 NETWORK DIAGRAMS Destroy in office when superseded or obsolete. Confidentiality: �^ Records documenting the logical and physical G.S. 132-6.1(c) t relationships of network components for purposes of organization,deployment,troubleshooting, monitoring of access,and management of day-to-day operations. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 63 185 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES �:O�Q NCDrz AND OF 0':A NATURAL AND CULTURAL RESOURCES STANDARD 5:INFORMATION TECHNOLOGY RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 5.11 PROJECT DOCUMENTATION a) Retain in office permanently records with historical value. Records created to design,develop,control,or b) Destroy in office remaining records 3 years after monitor a specific project or group of IT projects. completion of project. Includes statements of work,assessments, maintenance agreements,and testing records. cn SEE ALSO: Projects(STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS). 5.12 SOFTWARE LICENSE AND COPYRIGHT PROVISIONS Destroy in office 1 year after software is superseded or RECORDS obsolete. Records documenting compliance with agency software license and copyright provisions. Includes software licenses,correspondence(including e-mail), and related documentation. 5.13 SYSTEM ACCESS RECORDS Destroy in office 1 year after superseded or obsolete. Records documenting access requests and authorizations,system access logs,and other related records. 5.14 SYSTEM DOCUMENTATION RECORDS Destroy in office 3 years after superseded or obsolete. Confidentiality: Records documenting operating systems,application G.S. 132-1.1(g) � programs,structure and form of datasets,system G.S. 132-6.1(c) structure,and system-to-system communication. Includes system overviews,dataset inventories,server name,IP address, purpose of the system,vendor- supplied documentation,installed software,and current source code. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends.' Please use the space provided. 64 186 2021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES M NATURA ANENT OF ��r�� NATURAL AND CULTURAL RESOURCES STANDARD 5:INFORMATION TECHNOLOGY RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 5.15 SYSTEM MAINTENANCE RECORDS:HARDWARE a) Destroy in office records documenting routine inspections REPAIR OR SERVICE and maintenance of equipment after 1 year. Records documenting inspections,maintenance,and b) Destroy records documenting all other equipment repairs of agency computer systems that are owned or maintenance and repairs upon the final disposition of the leased. Includes computer equipment inventories and equipment. service records. Ut SEE ALSO: Equipment and Vehicle Maintenance, Repair,and Inspection Records(STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS). 5.16 SYSTEM MAINTENANCE RECORDS:RECORDS Destroy in office in accordance with your office's established, BACKUPS regular backup plan and procedures f . Records documenting regular or essential system Agency Policy:Destroy in office after �l}V backups. Includes backup tape inventories,relevant correspondence(including e-mail),and related cviex O C documentation. See also Security Backup Files as Public Records in _North Carolina:Guidelines for the Recycling Destruction, Erasure, and Re-use of Security Backup .Files available on the State Archives of North Carolina website. 5.17 TECHNICAL PROGRAM DOCUMENTATION Destroy in office 1 year after superseded or obsolete. Records concerning program code,program flowcharts,program maintenance logs,systems change notices,and other related records that document modifications to computer programs. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 65 187 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ' NATURA ANDC OP ■■non NATURAL AND CULTURAL RESOURCES STANDARD 5:INFORMATION TECHNOLOGY RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 5.18 VOICE OVER INTERNET PROTOCOL(VOIP) RECORDS a) Destroy in office records concerning line registration when Records concerning line registrations,calls logs,and superseded or obsolete. voicemail records. b) Destroy in office call logs after 1 year. c) Destroy in office voicemail records after 30 days. 5.19 WEB MANAGEMENT AND OPERATIONS RECORDS: Destroy in office when superseded or obsolete. STRUCTURE " Site maps that show the directory structure into which content pages are organized,and commercial,off-the- shelf software configuration or content management system files used to operate the site and establish its look and feel. Includes server environment configuration specifications. SEE ALSO:Website(Electronic)(STANDARD 7:PUBLIC RELATIONS RECORDS). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 66 188 . ONE 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES -■■ • NATURA ANDC OF ■■•■i NATURAL AND CULTURAL RESOURCES s a 7 STANDARD 6:LEGAL RECORDS Official documentation created or accumulated to substantiate the rights,obligations,or interests of the agency or their individual employees or clients. Please note the confidentiality that G.S. 132-1.1(a)confers to communications by legal counsel expires three years after receipt of such communication. STANDARD 6:LEGAL RECORDS ITEM## RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 6.01 AFFIDAVITS OF PUBLICATION a) Retain in office permanently if record provides sole Authority: Proof of publication provided by newspapers evidence of publication. G.S. 1-600 regarding publication of ordinances,public hearings, bid solicitations,payment of bills,public sales,etc. b) Destroy in office remaining records after 3 years.* SEE ALSO:Public Bodies: Meeting Notices(STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS). 6.02 ANNEXATION RECORDS a) Destroy in office withdrawn petitions after 1 year. Records concerning annexation of property into the city. Includes petitions, reports,correspondence b) Retain remaining records in office permanently. (including e-mail),maps,ordinances,and public hearings. Retention Note:Annexation maps and ordinances must be filed with the County Register of Deeds office and the office of the Secretary of State(G.S. 160A-29, G.S.160A-58.61 and G.S. 160A-58.90).A map must also be filed with the county board of elections(G.S. 163-288.1). 6.03 AUTHENTICATIONS Retain in office permanently. Certificates of authentication issued by the agency. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @a In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 67 189 �!�� NC DEPARTMENT OF RAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES NATURAL AND CULTURAL RESOURCES N ZONE STANDARD 6:LEGAL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 6.04 CIVIL RIGHTS CASE RECORDS a) Destroy in office requests for reasonable accommodation 2 Retention: Records concerning discrimination complaints by years after they become obsolete. 29 CFR 1602.14 employees or former employees and employee 29 CFR 1602.31 b) Destroy in office discrimination complaints 1 year after final requests for reasonable accommodation. Includes disposition of the charge or the action.* equal opportunity(EO)complaints. Retention Note:29 CFR 1602.14 defines final disposition of the charge or the action as"the date of expiration of the statutory SEE ALSO:Constituent Comments,Complaints, period within which the aggrieved person may bring an action Petitions,and Service Requests(STANDARD 1: in a U.S.District Court or, where an action is brought against an r ADMINISTRATION AND MANAGEMENT RECORDS), employer either by the aggrieved person, the Commission, or by c Personnel Records(Official Copy)(STANDARD 4: the Attorney General,the date on which such litigation is — HUMAN RESOURCES RECORDS). terminated." * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 68 190 . ... 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES =■■-■ NA OF ■pan NAATURTURAL AND C CULTURAL RESOURCES STANDARD 6:LEGAL RECORDS ITEM## RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 6.05 CIVIL RIGHTS RECORDS Destroy in office 3 years after superseded or obsolete. Authority: Records concerning documentation of personnel 29 CFR 1602.129 CFR 1602.7 policies and procedures to comply with the Age 29 CFR 160 .4 Discrimination in Employment Act(ADEA),the Americans with Disabilities Act(ADA),the Equal Pay Act,the Genetic Information Nondiscrimination Act Retention: (GINA),Section 504 of the 1973 Rehabilitation Act,and 29 CFR 1602.3 the 1964 Civil Rights Act. Includes reports required by 29 CFR 1602.32 �? 34 CFR 104.6(c)(2) r the Equal Employment Opportunity(EEO)Commission (p to and affirmative action plans. � SEE ALSO:Civil Rights Case Records(above), Constituent Comments,Complaints, Petitions,and Service Requests(STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS), Policies and Procedures(Personnel) (STANDARD 4: HUMAN RESOURCES RECORDS). 6.06 CONDEMNATION RECORDS Retain in office permanently. Settled and pending condemnation cases. SEE ALSO:Accounts Payable(STANDARD 2:BUDGET, FISCAL,AND PAYROLL RECORDS)for disposition of financial records. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 69 191 2021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES ■■ NC DEPARTMENT OF ■i�i NATURAL AND CULTURAL RESOURCES STANDARD 6:LEGAL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 6.07 CONFLICT OF INTEREST AND CONFLICT OF Destroy in office 1 year after completion of term or separation. COMMITMENT DISCLOSURE STATEMENTS Completed by the elected agency officials as well as designated staff members in order to disclose an official's status or ownership interests. 6.08 CONTRACTS,LEASES,AND AGREEMENTS @ a) Retain in office contracts and agreements with historical Retention: G.S. 1-47(2)tl a ermneny. Contracts and agreements for construction, value p )(5)a S. 1-50( equipment,property,supplies,special programs,and b) Destroy in office sealed contract records 10 years after G.G. CFR 1 )(5) m projects. Includes franchise agreements,hold expiration of contract.* G.S. 1-52 v harmless agreements,good faith effort — documentation,contractor compliance monitoring, c) Destroy in office all records related to capital improvement leases,and memoranda of understanding. contracts and business associate agreements 6 years after completion,termination,or expiration.* SEE ALSO:Software License and Copyright Provisions d) Destroy in office records documenting restrictions and Records(STANDARD 5:INFORMATION TECHNOLOGY compliance with license and copyright provisions for RECORDS). products and services purchased by the agency 1 year after superseded or obsolete.* e) Destroy in office all other contracts and agreements 3 years after completion,termination,or expiration.* 6.09 DECLARATORY RULINGS Retain in office permanently. Records concerning declaratory rulings issued by the agency to interpret statutes or rules as applied to a specified set of facts. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 70 192 . ... =::,.En .-� NC DEPARTMENT OF 2021 GENERAL RECORDS SCHEDULE: LOCAL a.S NATURAL AND CULTURAL RESOURCES STANDARD 6:LEGAL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 6.10 DELEGATION OF AUTHORITY RECORDS Destroy in office 1 year after superseded or obsolete. Records documenting delegations of power to authorize agency business. Includes signature authorities and powers of attorney. 6.11 EASEMENTS AND RIGHT-OF-WAY AGREEMENTS Destroy in office 10 years after expiration of agreement. Granted to the agency. SEE ALSO:Accounts Payable(STANDARD 2: BUDGET, CD FISCAL,AND PAYROLL RECORDS)for disposition of financial records; LOCAL PROGRAM SCHEDULE, Excavation Permits and Right-of-Way Acquisition Working Records(STANDARD 19:STREET MAINTENANCE, PUBLIC WORKS,AND ENGINEERING RECORDS). 6.12 ENCROACHMENTS a) Retain in office permanently records concerning Records concerning agreements granted by or to the agreements granted by outside entities to the agency. agency.Also includes maps or drawings detailing b) Destroy in office when superseded or obsolete records construction plans attached to agreements. concerning agreements granted to utilities, businesses, and private residents to encroach upon agency property. 6.13 EXPUNCTIONS Destroy in office when record is expunged. Expunction orders received by local agencies. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 71 193 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ■_■ NARTMENT OF ■ wii NAATURTURAL AND CULTURAL RESOURCES STANDARD 6.LEGAL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 6.14 INVESTIGATION AND HEARING RECORDS Destroy in office 3 years after completion.* Records concerning complaints,fraud allegations, contestments,grievances,and inquiries against individuals and other entities. Includes summaries, charges, reports,assessments and findings,hearing transcripts and evidence,decisions and sanctions, referrals,correspondence,and other related records. rn 6.15 LAND OWNERSHIP RECORDS Destroy in office 1 year after agency relinquishes ownership of r Includes deeds and titles. land.* ca 6.16 LEGAL CORRESPONDENCE Destroy in office after 5 years. Confidentiality: Correspondence(including e-mail)and related records G.S. 132-1.1(a) C^a For information on handling e-mail,see ELECTRONIC RECORDS, t concerning legal matters not related to specific legal page A-11. cases or official opinions. 6.17 LEGAL OPINIONS Retain in office permanently. Formal legal opinions written by counsel in response to requests concerning the governance and administration of the agency. 6.18 LEGAL REVIEW RECORDS a) Retain in office records with historical value permanently. Confidentiality: Includes legal reviews of by-laws and charges to G.S. 132-1.1(a) � b) Destroy in office remaining records after expiration of boards and commissions,conflicts of interest,and all t other agency matters as requested. relevant statute of limitations. SEE ALSO: Legal Opinions(above). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 72 194 . ... 021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES NA OF .�:.i NATURAL AND C CULTURAL RESOURCES 0.0 STANDARD 6:LEGAL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 6.19 LITIGATION CASE RECORDS a) Retain in office cases having precedential or historical Confidentiality: Civil suits to which the agency is a party. Includes value permanently. G.S. 132-1.1(a) affidavits,agreements,appeals, bills,briefs,citations, G.S. 132-1.9 b) Destroy in office adjudicated cases 6 years after final t commitments,complaints,discharges, motions, disposition. notices, pleas,releases,statements,testimony, verdicts,waivers,warrants,and writs. c) Destroy in office non-adjudicated cases(out-of-court claims)6 years after final disposition or expiration of relevant statute of limitations. 6.20 OATHS OF OFFICE Transfer official copy of oath of office to the municipal clerk or Authority: CD the county clerk to the board of commissioners or the clerk of G.S. 105-349 the governing board for permanent retention. G.S. 153A-26 SEE ALSO: Public Bodies:Member Files(STANDARD 1: G.S. 160A-61 ADMINISTRATION AND MANAGEMENT RECORDS). Retention Note:The Clerk should present a copy of the oaths Of G.S. 160A-68 elected officials to the Clerk of Superior Court for recording. G.S. 160A-284 Retention: G.S.7A-103(2) 6.21 PERMISSIONS a) Retain in office permanently records conferring perpetual Records conferring legal permission. Includes legal permission as well as records documenting copyright permission requests and requests for copyrights,patents,and trademarks held by the agency. permission to publish intellectual property or holdings b) Destroy in office 3 years after expiration records of the agency.Also includes copyrights,patents,and concerning one-time copyright permissions granted by trademarks held by the agency. the agency. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 73 195 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ' men NARTMENT OF mirii NAATURTURAL AND CULTURAL RESOURCES STANDARD 6:LEGAL RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 6.22 PRE-TRIAL RELEASE PROGRAM RECORDS Destroy in office 3 years after trial. Records documenting supervision for defendants who do not pose a risk to the community as they await trial. 6.23 RELEASE FORMS Destroy in office 5 years after termination of release/waiver. Records documenting consent and waiving the individual's right to hold the agency responsible for rn injuries or damages occurring while voluntarily r participating in events or activities. CD� 6.24 SETTLEMENTS Destroy in office 10 years after expiration. Authority: Records concerning pre-litigation or informal G.S. 132-1.3 settlements. 6.25 VEHICLE TITLES Dispose of in accordance with Division of Motor Vehicles Authority: Titles of agency owned vehicles. procedures for title transfer upon disposition of vehicle. G.S. 20-72 * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 74 196 . ... 2021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES p NC DEPARTMENT OF uio NATURAL AND CULTURAL RESOURCES STANDARD 7:PUBLIC RELATIONS RECORDS Official records and materials created and accumulated by internal public relations programs operated by the agency. STANDARD 7.PUBLIC RELATIONS RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 7.01 AGENCY PUBLICATIONS a) Retain in office records with historical value permanently. Publications created at agency expense.Also includes b) Destroy publications management records after 5 years. correspondence and other related records regarding �l the design and creation of agency publications. c) Destroy in office remaining records when reference value ends.± ;U Agency Policy:Destroy in office after 7.02 AUDIO-VISUAL RECORDINGS @ a) Retain in office records with historical value permanently. Recordings(including digital)and films produced by or b) Destroy in office remaining records when reference value for the agency. This does not include recordings of ends.± public meetings or security videos. Agency Policy: Destroy in office after SEE ALSO: Public Bodies:Audio and Video Recordings of Meetings(STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS),Office and Property Security Records(STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS). 7.03 COMMUNITY AWARDS @ a) Retain in office records with historical value permanently. Records concerning awards by the agency recognizing b) Destroy in office remaining records when reference value community contributions. ends.± Agency Policy: Destroy in office after * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 75 197 �� ■� NC DEPARTMENT OF 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ....>; NATURAL AND CULTURAL RESOURCES STANDARD 7.PUBLIC RELATIONS RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 7.04 CONFERENCES AND WORKSHOPS @ a) Retain in office records with historical value permanently. Records concerning conferences and workshops b) Destroy in office remaining records when superseded or conducted by agency employees. Includes slides, obsolete. charts,transparencies, handouts,and other related records used in presentations. SEE ALSO:Training and Educational Records (STANDARD 4: HUMAN RESOURCES RECORDS). 7.05 EDUCATIONAL MATERIALS Destroy in office when superseded or obsolete. U Z7 Materials produced for usage by teachers or tour groups. Includes lesson plans,activities,and other related records. 7.06 FUND DRIVE AND EVENT RECORDS a) Retain in office records with historical value permanently. Records documenting the promotion and organization b) Destroy in office remaining records when superseded or of fund drives and other special events in which the obsolete. agency participated. Includes records concerning solicitations requesting and donations providing money or in-kind donations for agency programs.Also includes invitations, registration materials,agendas, handouts, presentations,and programs. SEE ALSO: Donations and Solicitations (STANDARD 2: BUDGET, FISCAL,AND PAYROLL RECORDS). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 76 198 021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES =■■n NATURA ANDC OF ■ .■i NATURAL AND CULTURAL RESOURCES m one STANDARD 7:PUBLIC RELATIONS RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 7.07 INVITATIONS Destroy in office after event occurs. Invitations sent and received concerning agency and external functions. 7.08 MEDIA FILE Destroy in office when reference value ends f Reference copies of newspaper,magazine,and other Agency Policy: Destroy in office after media clippings concerning the agency,agency officials,and other topics of interest. v 7.09 POPULAR ANNUAL FINANCE REPORT a) Retain records with historical value permanently. Comprehensive annual financial report(CAFR) b) Destroy in office remaining records when superseded or � obsolete. 7.10 PUBLIC HEARINGS a) Retain in office minutes permanently. Includes agendas, minutes,notices,speaker sign-up b) Destroy in office remaining records after 1 year. sheets,and similar documentation. SEE ALSO: Public Bodies:Minutes(STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 77 199 .-'■■■ GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES .■■ NA OF ■ �.oi NATURAL A ANENT ND CULTURAL RESOURCES STANDARD 7:PUBLIC RELATIONS RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 7.11 PUBLIC RECORDS REQUESTS Destroy in office 2 years after resolution.* Formal requests submitted by persons seeking access to agency records along with documentation of Note:These disposition instructions apply only to the request, agency response. internal agency records related to searching for and preparing responsive records,and communication of response;the documents that are responsive to public records requests should be handled according to their respective disposition instructions. However,if the agency also retains separate copies of the documents that are responsive to public records requests, they may also be destroyed 2 years after completion �7 of the request. 7.12 PUBLICITY RECORDS `r a) Retain in office records with historical value permanently. Records concerning overall public relations of agency. b) Destroy in office remaining records when superseded or Includes advertisements,announcements, obsolete.* correspondence(including e-mail), photographic materials, news and press releases,and other related records. 7.13 SOCIAL MEDIA See APPENDIX(page A-12)for guidance in handling social media. SEE ALSO:Website(Electronic) (below). 7.14 SPEECHES a) Retain in office records with historical value permanently. Speeches made by agency officials. b) Destroy in office remaining records when reference value ends.± Agency Policy: Destroy in office after * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. ±The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 78 200 ��!�� NC DEPARTMENT OF 021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ..'.: NATURAL AND CULTURAL RESOURCES STANDARD 7.PUBLIC RELATIONS RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 7.15 WEBSITE(ELECTRONIC) a) Capture website annually or whenever a major revision in Records created and maintained in paper and design and/or content has taken place,whichever occurs electronic formats concerning the creation and first. Retain captured content in office permanently. Can maintenance of the agency's presence on the World be maintained as website snapshots or via Web crawler. Wide Web. Includes correspondence(including e- b) Destroy in office remaining records when superseded or mail),procedures,instructions,website designs, obsolete. HTML/XHTML,or other web-based file formats,and other related records. v SEE ALSO:Web Management and Operations Records: Structure(STANDARD 5: INFORMATION TECHNOLOGY RECORDS). * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-S. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 79 201 2021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIES ■ ■ NA AND OF ■ �i NAATURTURAL AND CULTVRAL RESOURCES STANDARD 8:RISK MANAGEMENT RECORDS Official records created and accumulated to manage risks in the agency. STANDARD 8:RISK MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 8.01 ACCIDENT/INCIDENT REPORTS(CUSTOMER AND a) Transfer records resulting in workers'compensation to EMPLOYEE) Workers'Compensation Program Claims(STANDARD 4: HUMAN RESOURCES RECORDS). SEE ALSO:Workers'Compensation Program Claims b) Destroy in office remaining employee claims 3 years after (STANDARD 4:HUMAN RESOURCES RECORDS). settlement or denial of claim.* C c) Destroy in office adult non-employee reports 3 years after settlement or denial of claim.* d) Destroy in office reports that do not result in claims or CD official action after 3 years. B (D e) Destroy in office reports of minors after minor has reached age of 21. 8.02 DECLARATIONS AND TERMINATIONS OF STATES OF Retain in office permanently. Authority: EMERGENCY G.S. 166A-19.22 * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to such records series. 80 202 . ... 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES _■;=; NC DEPARTMENT OF ■■ ■■ NATURAL AND CULTURAL RESOURCES STANDARD 8:RISK MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 8.03 DISASTER AND EMERGENCY MANAGEMENT PLANS @ Destroy in office when superseded or obsolete. Confidentiality: Records concerning preparedness,evacuations,and G.S. 132-1.7 t operations in the event of a disaster(natural, accidental,or malicious). Includes background surveys,studies,reports,and records concerning the process of notifying personnel in the event of an emergency.Also includes Continuity of Operations Plans(COOP)and Business Continuity Plans(BCP). 8.04 DISASTER RECOVERY a) Retain in office permanently records documenting major 00 Administrative records documenting and recovery agency disaster recovery efforts and records evaluating efforts for emergencies of a short duration as well as emergency response and efficacy. c disasters inflicting widespread destruction and having b) Destroy in office after 3 years records concerning minor or long-term consequences for the agency. Includes routine agency recovery operations that are managed with documents coordinating activities with federal,state, :3minimal disruption to normal operations. � and local emergency management,incident reports, N inventories,and disaster relief allocations. 3 (D 8.05 EMERGENCY DRILLS AND EQUIPMENT RECORDS Destroy in office when superseded or obsolete. Includes test records for fire suppression,defibrillator, respirator fit,and other emergency equipment.Also includes records concerning agency emergency and fire drills. 8.06 EMERGENCY NOTIFICATIONS Destroy in office after 1 year. Notifications and alerts sent to residents by Emergency Management or other agency staff regarding a current emergency. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 81 203 .0.1 NC DEPARTMENT OF . .i NATURAL AND CULTURAL RESOURCES STANDARD 8:RISK MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 8.07 EMPLOYEE SECURITY RECORDS Destroy in office when superseded or obsolete. Records concerning the issuance of keys,identification cards,parking assignments,passes,etc.,to employees. SEE ALSO:Office and Property Security Records (STANDARD 1:ADMINISTRATION AND MANAGEMENT RECORDS). 8.08 FIRE,HEALTH,AND ENVIRONMENTAL SAFETY a) Destroy in office inspection reports after 7 years. RECORDS 00 b) Destroy in office safety audits after 3 years. Records concerning agency safety measures. Includes A reports, logs,and other related records documenting c) Destroy in office remaining records when superseded or inspections of agency facilities. obsolete. v v 8.09 FIXED NUCLEAR FACILITIES PLANS FILE Destroy in office when superseded or obsolete. m Records concerning emergency plans for county fixed m nuclear facilities. 8.10 FUEL OIL STORAGE TANK RECORDS Destroy in office closure records 3 years after completion of Authority: permanent closure. 40 CFR 280.34 Retention: 40 CFR 280.74 * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 82 204 ■.■■■ 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES =w; NC DEPARTMENT OF ■■.■■ NATURAL AND CULTURAL RESOURCES STANDARD 8:RISK MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 8.11 HAZARDOUS MATERIALS MANAGEMENT a) Retain in office permanently records documenting Retention: Records documenting agency efforts to prevent and hazardous waste disposal sites on agency property and 29 CFR mitigate exposure to hazardous materials. Includes documenting the use of pathogens and biological toxins 1910.10010)(3)(ii) risk assessments,management plans,and (select agents)at the agency. abatement/removal records. b) Destroy in office asbestos records 1 year after building is demolished. (Note:If building is sold,transfer records to SEE ALSO:Safety Data Sheets(below). new owner.) c) Destroy in office after 5 years records concerning the Note:Title 10A of the NC Administrative Code provides receipt, maintenance,and disposal of radioactive 00 guidelines about the records requirements for persons materials. who receive,possess, use, transfer, own or acquire any d) Destroy in office 3 years after superseded or obsolete sources of radiation within the State of North Carolina. records concerning hazard mitigation plans. e) Destroy in office records documenting environmental and hazardous waste remediation projects 5 years after project (DD completion. 3 f) Destroy in office remaining records after 30 years. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 83 205 .. •■ _� NC DEPARTMENT OF .iM.i NATURAL AND CULTURAL RESOURCES STANDARD 8:RISK MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 8.12 INSURANCE POLICIES a) Destroy in office records concerning automobile and other Records concerning automobile,theft,fire,and all liability insurance policies 10 years after superseded or other insurance policies purchased by agency. Also obsolete.* includes insurance audits,claims reports,surveys, b) Destroy in office certificates of insurance after 1 year. endorsements,certificates of insurance,and waivers. c) Destroy in office self-insurer certifications 6 years from date of termination of policy or settlement of all claims. d) Destroy in office remaining records after 1 year after superseded or obsolete. Cb 8.13 LOSS CONTROL INSPECTION REPORTS Destroy in office when superseded or obsolete. Self-inspections to identify potential liabilities or � hazards that may exist in agency owned buildings or property. 8.14 LOST,STOLEN,OR DAMAGED PROPERTY REPORTS Destroy in office after 2 years.* CD Includes reports of property lost or stolen at agency. B CD Also includes reports and employee narratives of vandalism to agency property. 8.15 NATIONAL FLOOD INSURANCE PROGRAM RECORDS a) Retain in office permanently floodplain management Records concerning the participation of a local ordinances. government agency in FEMA's National Flood b) Destroy in office copies of flood insurance rate maps, Insurance Program(NFIP). Includes floodplain elevation certificates,and elevation information when management ordinances,maps,and other related superseded or obsolete. records. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 84 206 2021 GENERAL RECORDS SCHEDULE:LOCAL GOVERNMENT AGENCIE _u% NC DEPARTMENT OF i NATURAL AND CULTURAL RESOURCES A STANDARD S:RISK MANAGEMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 8.16 OCCUPATIONAL SAFETY AND HEALTH Destroy in office after 5 years. Retention: ADMINISTRATION (OSHA) 29 CFR 1904.33 Records concerning injury or illness,extent and 29 CFR 1904.44 outcomes,summary totals for calendar year,and OSHA forms. Includes ergonomic assessments for employees. 8.17 SAFETY DATA SHEETS Destroy in office 30 years after materials have been disposed of Retention: according to manufacturer's instructions. 29 CFR Forms supplied to agencies from manufacturers and g 1910.1020(d)(1)(ii)(B) distributors of hazardous materials for materials held Retention Note:A data sheet for a mixture may be discarded if 00 by the agency. the new data sheet includes the some hazardous chemicals as ;U the original formulation. If the formulation is different both Cn data sheets must be retained for 30 years. Data sheets may also be discarded if some other record identifying the v substances used, where they were used, and when they were v used is retained the required 30-year period. N 3 (D * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. t The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. @ In some cases,more specific record retention and disposition requirements can be found in the relevant program schedule. Seethe appendix for pointers to such records series. 85 207 NC DEPARTMENT OF 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES NOWS NATURAL AND CULTURAL RESOURCES STANDARD 9: WORKFORCE DEVELOPMENT RECORDS Official records created and accumulated by the agency to manage workforce development programs. Relevant legislation includes the Comprehensive Employment and Training Act,the Job Training and Partnership Act,the Workforce Investment Act,and the Workforce Innovation and Opportunity Act. STANDARD 9:WORKFORCE DEVELOPMENT RECORDS ITEM# RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION 9.01 AUDIT/AUDIT RESOLUTIONS Destroy in office after 3 years. Authority: Records concerning reports from financial and OMB Circular A-133 compliance audits conducted on Workforce 29 CFR 97.26 Investment Act programs in accordance with OMB Circular A-133. Includes audit reports and correspondence concerning audits and audit resolutions for the local area. Also includes federal and state audits. 9.02 LOCAL AREA JOB TRAINING PLAN RECORDS Destroy in office when superseded or obsolete. Authority: CD Records concerning the local board's bid process for 20 CFR 652.8 O contracting workforce development programs. 9.03 PARTICIPANT RECORDS Destroy in office 3 years after close of audit/final year Authority: Records concerning applicants,registrants,eligible expenditure.* 20 CFR 652.8 CD applicants/registrants,participants,terminees,and 0 CD employees who submit requests for services of the < m Dislocated Workers Program and Workforce p Investment Act programs. Includes applications,client �0 history,Employability Development Plans, program CCDD referral,monitoring notes,pay authorizations, release forms,and Workforce Investment Act follow-up questionnaires. * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,page A-5. f The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction "destroy when reference value ends." Please use the space provided. 86 208 MANAGING PUBLIC RECORDS IN NORTH CAROLINA Q. What is this "records retention and disposition schedule"? A. This document is a tool for the employees of local government agencies across North Carolina to use when managing the records in their offices. It lists records commonly found in agency offices and gives an assessment of their value by indicating how long those records should be retained. This schedule is also an agreement between your agency and the State Archives of North Carolina. This schedule serves as the inventory and schedule that the State Archives of North Carolina is directed by N.C. Gen. Stat. § 121-5(c) and N.C. Gen. Stat. § 132-8 to provide. It supersedes all previous editions, including all amendments. Q. How do I get this schedule approved? A. This schedule must be approved by your governing body for use in your agency. That approval should be made in a regular meeting and recorded as an action in the minutes. It may be done as part of the consent agenda, by resolution, or other action. Q. Am I required to have all the records listed on this schedule? A. No, this is not a list of records you must have in your office. Q. What is "reference value"? A. Items containing"reference value" in the disposition instructions are generally records that hold limited value,which is typically restricted to those documenting routine operations within the office. A minimum retention period should be established by the office for any items containing the phrase "destroy in office when reference value ends" in the disposition instructions. Q. Do the standards correspond to the organizational structure of my agency? A. Records series are grouped into standards to make it easier for users to locate records and their disposition instructions. You may find that the groupings reflect the organizational structure of your agency, or you may find that records are located in various standards depending on the content of the record. The intent of the schedule's organization is to provide an easy reference ! guide for the records created in your agency. Q. What if I cannot find some of my records on this schedule? A. Sometimes the records are listed in a different standard than how you organize them in your office. Be sure to check the Index and utilize the search function on the PDF version of the schedule to facilitate the location of records series. If you still cannot locate your records on the schedule, contact a Records Management Analyst. We will work with you to amend this records schedule so that you may destroy records appropriately. The Request for Change in Records Schedule form (see page A-19) can be used for such requests. Q. What are public records? A. The General Statutes of North Carolina, Chapter 132, provides this definition of public records: "Public record" or "public records" shall mean all documents, papers, letters, maps, books, photographs, films, sound recordings, magnetic or other tapes, electronic data-processing records, artifacts, or other documentary material, regardless of physical form or characteristics, made or received pursuant to law or ordinance in connection with the A-1 209 transaction of public business by any agency of North Carolina government or its subdivisions. Agency of North Carolina government or its subdivisions shall mean and include every public office, public officer or official (State or local, elected or appointed), institution, board, commission, bureau,council, department, authority or other unit of government of the State or of any county, unit, special district or other political subdivision of government. Q. Is any person allowed to see my records? A. Yes, except as restricted by specific provisions in state or federal law. N.C. Gen. Stat. § 132-6 instructs: "Every custodian of public records shall permit any record in the custodian's custody to be inspected and examined at±times and under reasonable supervision by any person, and shall, as promptly as possible,furnish copies thereof upon payment of any fees as may be prescribed by law. ... No person requesting to inspect and examine public records, or to obtain copies thereof,shall be required to disclose the purpose or motive for the request." Q. What about my confidential records? A. Not all government records are open to public inspection. Exceptions to the access requirements in N.C. Gen.Stat. § 132-6 and the definition of public records in N.C. Gen. Stat. § 132-1 are found throughout the General Statutes. You must be able to cite a specific provision in the General Statutes or federal law when you restrict or deny access to a particular record. Q. Am I required to make available to the public copies of drafts that have not been approved? A. Yes, even if a report, permit, or other record has not been finalized, it is still a public record subject to request. Any record that is not confidential by law must be provided when a request is received,whether it is "finished" or not. Q. What do 1 do with permanent records? A. Permanent records should be maintained in the office that created the records,forever. The Department of Natural and Cultural Resources (DNCR) is charged by the General Assembly with the administration of a records management program (N.C. Gen.Stat. § 121-4(2) and § 132-8.1) and the maintenance of"a program for the selection and preservation of public records considered essential to the operation of government and to the protection of the rights and interests of persons"(§ 132-8.2). Permanent records with these characteristics require preservation duplicates that are human-readable (paper or microfilm). Some examples of these characteristics include: ■ Affect multiple people,without regard to relation ■ Have significance over a long span of time ■ Document governance ■ Document citizenship Examples of records with these characteristics: ■ Minutes of governing bodies at the state and local levels are the basic evidence of our system of governance, and are routinely provided for the public to read. ■ Records,such as deeds and tax scrolls, about land document changes in ownership and condition. Counties maintain offices expressly for the purpose of making those records A-2 210 available to the public. Other records in local and state governments document potential public health hazards, such as hazardous materials spills. ■ Adoptions, marriages, and divorces document changes in familial relationships. Though adoptions are confidential (not available for public inspection),they document changes in inheritance and familial succession. ■ Court records, such as wills, estates, and capital cases,affect people within and across family groups, are made available for public inspection, and often involve transactions related to the examples above. See the Human-Readable Preservation Duplicates policy issued by the North Carolina Department of Natural and Cultural Resources (https://archives.ncdcr.gov/government/digital- records/digital-records-policies-and-guidelines/human-readable-preservation) and check with a records analyst to determine whether your permanent records require a preservation duplicate. Q. What is historical value? A. Historical records document significant events, actions, decisions, conditions, relationships, and similar developments. These records have administrative, legal,fiscal, or evidential importance for the government or its constituents. Two criteria for determining historical value are inherent interest and extraordinary documentation: • Inherent interest is created by non-routine events, by the involvement of famous parties, and by compelling contexts. For instance,foreclosure proceedings from the 1930s have high historical value because they date from the era of the Great Depression. • Extraordinary documentation is found in records that shed light on political, public, or social history. For instance,the records from the replevin case that returned the Bill of Rights to North Carolina hold more historical value than most property case files because of the political history intertwined with this case. SANC has further elaborated selection criteria that help distinguish records with historical value: • Do they protect the rights and property of residents and organizations? • Do they have a long-term impact on residents and organizations? • Do they document the core functions of an agency? • Do they document high-level decision-making that shapes an agency's policies or initiatives? • Do they summarize an agency's activities? Call a Records Management Analyst for further assistance in assessing historical value. Q. What if I do not have any records? A. Nearly every position in government generates, receives, or uses records. Computer files of any kind, including drafts and e-mail, are public records. Even if your records are not the official or final version,your records are public records. Not all records have high historical, legal, or fiscal value, but they all must be destroyed in accordance with the provisions of the appropriate records schedule. Q. I have a lot of unsorted records. What's a good first step for getting a handle on these records? A. We encourage you to create a file plan of what records you have. When you create this plan, you can match each record to its placement on this schedule or on the appropriate retention schedule. A sample file plan is available on page A-22. Having a file plan can help you strategize how to best organize your physical or digital records. A file plan is also useful in disaster planning and scheduling destructions. A-3 211 Q. May I store our unused records in the basement, attic, shed, etc.? A. Public records are public property. Though we encourage agencies to find places to store records that do not take up too much valuable office space,the selected space should be dry, secure, and free from pests and mold. Your office must ensure that records stored away from your main office area are well protected from natural and man-made problems while remaining readily available to your staff and the public. Q. Our old records are stored in the attic, basement, or off-site building, etc. Are we required to provide public access to these records? A. Yes, as long as the records are not confidential by law. You should also be aware that confidentiality can expire. Q. Aren't all our old records at the State Archives of North Carolina? A. Probably not. The State Archives of North Carolina collects only very specific types of records from local government offices. Contact a Records Management Analyst for more information about which records are held or can be transferred to the State Archives of North Carolina for permanent preservation. Q. I found some really old records. What should I do with them? A. Call a Records Management Analyst. We will help you examine the records and assess their historical value. Q. Can 1 give my old records to the historical society or public library? A. Before you offer any record to a historical society, public library, or any other entity,you must contact a Records Management Analyst. Permanent records must be kept either in your offices or at the State Archives of North Carolina. Q. Whom can I call with questions? A. If you are located west of Statesville, call our Western Office in Asheville at(828) 250-3103. If you are east of Statesville,all the way to the coast, call our Raleigh office at(919) 814-6900. A-4 212 AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION Q. Why is there an asterisk in the disposition instructions of so many items on this schedule? A. No record involved in a pending or ongoing audit, legal, or other official action may be destroyed before that audit or action is resolved. A legal hold or litigation hold means that records that are the subject of the legal hold or litigation hold must be preserved and thus must not be destroyed until officially released from the hold. A legal hold or litigation hold is placed when either an official discovery order is served on the agency requesting the production of the records in question (for a litigation, regulatory investigation, audit, open records request, etc.) or litigation is pending and the agency is thus on notice to preserve all potentially relevant records. You must also ensure that for a claim or litigation that appears to be reasonably foreseeable or anticipated but not yet initiated, any records (in paper or electronic formats) relevant to such a claim or litigation are preserved and not destroyed until released by your General Counsel. The records in question must not be destroyed until the completion of the action and the resolution of all issues that arise from it regardless of the retention period set forth in this schedule. We have used an asterisk(*) in the disposition instructions to mark records series that are j commonly audited, litigated, or may be subject to other official actions. However, any record has this potential. Records custodians are responsible for being aware of potential actions, and for preventing the destruction of any record that is, or may be reasonably expected to become, involved in an audit, legal, or other official action. Records used during routine audits may be destroyed when the governing body accepts the audit, if the records have completed the retention period listed in this schedule. If time remains in the retention period,the records must be maintained for the remainder of the period. The auditor's working papers must be kept according to the schedule. (See Audits: Performance (STANDARD 1: ADMINISTRATIVE AND MANAGEMENT RECORDS) and Audits: Financial (STANDARD 2: BUDGET, FISCAL,AND PAYROLL RECORDS).) Should a dispute arise over an audit, the records that were audited should be retained until that dispute is resolved. The attorney representing the agency should inform records custodians when legal matters are concluded and records will no longer be needed. Following the conclusion of any legal action, the records may be destroyed if they have met the retention period in the schedule. Otherwise, they should be kept for the remaining time period. A-5 i 213 TRANSITORY RECORDS Transitory records are defined as "record[s]that [have] little or no documentary or evidential value and that need not be set aside for future use."' According to North Carolina General Statutes § 121 and § 132,every document, paper, letter, map, book, photograph,film, sound recording, magnetic or other tape,electronic data processing record, artifact, or other documentary material, regardless of physical form or characteristics, made or received in connection with the transaction of public business by any state, county, municipal agency, or other political subdivision of government is considered a public record and may not be disposed of, erased,or destroyed without specific approval from the Department of Natural and Cultural Resources. The Department of Natural and Cultural Resources recognizes that some records may have little or no long-term documentary or evidential value to the creating agency. These records are often called "transitory records." The following questions and answers discuss types of transitory records commonly created in state government. They may be disposed of according to the guidance below. However, all public employees should be familiar with the General Records Schedule:Local Government Agencies, their office's Program Records Retention and Disposition Schedule, and any other applicable guidelines for their office. If any of these documents require a different retention period for these records,follow the longer of the two retention periods. When in doubt about whether a record is transitory, or whether it has special significance or importance, retain the record in question and seek guidance from the analyst assigned to your agency. Q. What do I do with routing slips, fax cover sheets, "while you were out" slips, memory aids, etc.? A. Routing slips and transmittal sheets adding no information to that contained in the transmitted material have minimal value after the material has been successfully transmitted. These records may be destroyed or otherwise disposed of after receipt of the material has been confirmed. Similarly, "while you were out" slips, memory aids, and other records requesting follow-up actions(including voicemails) have minimal value once the official action these records are supporting has been completed and documented. Unless they are listed on the General Records Schedule:Local Government Agencies or your office's Program Records Retention and Disposition Schedule,these records may be destroyed or otherwise disposed of once the action has been resolved. Q. What about research materials, drafts, and other working papers used to create a final, official record? A. Drafts and working papers are materials, including notes and calculations,gathered or created to assist in the creation of another record. All drafts and working papers are public records subject to all provisions of General Statute§ 132, but many of them have minimal value after the final version of the record has been approved, and may be destroyed after final approval, if they are no longer necessary to support the analysis or conclusions of the official record. Drafts and working documents which may be destroyed after final approval include: • Drafts and working papers for internal and external policies a Society of American Archivists,Dictionary of Archives Terminology. A-6 214 • Drafts and working papers for internal administrative reports, such as daily and monthly activity reports • Drafts and working papers for internal, non-policy-level documents, such as informal workflows and manuals; and • Drafts and working papers for presentations,workshops, and other explanations of agency policy that are already formally documented. Q. What if 1 have forms designed and used solely to create, update, or modify records in an electronic medium? A. If these records are not required for audit or legal purposes,they may be destroyed in office after completion of data entry and after all verification and quality control procedures. However, if the forms contain any analog components that are necessary to validate the information contained on them (e.g., a signature or notary's seal),they should be retained according to the disposition instructions for the records series encompassing the forms' function. See also the State Archives of North Carolina's guidance on digital signatures found at: https://archives.ncdcr.gov/government/digital-records/digital-records-policies-and- guidelines#digital-signatures A-7 215 DESTRUCTION OF PUBLIC RECORDS Q. When can I destroy records? A. Each records series listed on this schedule has specific disposition instructions that indicate how long the series must be kept in your office. In some cases,the disposition instructions are "Retain in office permanently,"which means that those records must be kept in your offices forever. Q. How do I destroy records? A. After your agency has approved this records retention and disposition schedule, records should be destroyed in one of the following ways: 1) burned, unless prohibited by local ordinance; 2) shredded, or torn so as to destroy the record content of the documents or material concerned; 3) placed in acid vats so as to reduce the paper to pulp and to terminate the existence of the documents or materials concerned; 4) sold as waste paper, provided that the purchaser agrees in writing that the documents or materials concerned will not be resold without pulverizing or shredding the documents so that the information contained within cannot be practicably read or reconstructed. The provision that electronic records are to be destroyed means that the data, metadata, and physical media are to be overwritten, deleted, and unlinked so that the data and metadata may not be practicably reconstructed. The data, metadata,and physical media containing confidential records of any format are to be destroyed in such a manner that the information cannot be read or reconstructed under any means. — N.C. Administrative Code,Title 7, Chapter 4,Subchapter M, Section .0510 Without your agency's approval of this records schedule, no records may legally be destroyed. Q. How can I destroy records if they are not listed on this schedule? A. Contact a Records Management Analyst. An analyst will discuss the nature of the records with you to determine if the records have historical value. If the records do have historical value,we will discuss the possibility of transferring the records to the State Archives of North Carolina to be preserved permanently. If the records do not have historical value,we will ask you to complete a Request for Disposal of Unscheduled Records (page A-20) if the records are no longer being created. If the records are an active records series, an analyst will help you develop an amendment to this schedule so that you can destroy the records appropriately from this point forward. A-8 216 Q. Am I required to tell anyone about the destructions? A. We recommend that you report on your records retention activities to your governing board on an annual basis. This report does not need to be detailed, but it is important that significant destructions be entered into the minutes of the Board. See a sample destructions log that follows (and is available online at the State Archives of North Carolina website, https://archives.ncdcr.gov/government/rm-tools). A-9 217 112 ■W® NC DEPARTMENT -- '. OF NATURAL AND ■■—■■ CULTURAL RESOURCES ncdcr.gov 46 - Center, Raleigh ••• • • • ••11 Destructions Log County/Municipality Division Section Branch Location(s) of Records Volume Media Records Series Required Date (file drawers (Paper, Date of Method of Authorization for Retention Range or MB) Electronic) Destruction Destruction Destruction P I E DIVISION OF ARCHIVES AND RECORDS—GOVERNMENT RECORDS SECTION http://archives.ncdcr.gov MAILING ADDRESS: Telephone(919)814-6900 LOCATION: A-10 4615 Mail Service Center Facsimile(919)715-3627 215 N.Blount Street Raleigh,N.C. 27699-4615 State Courier 51-81-20 Raleigh,N.C. 27601-2823 218 ELECTRONIC RECORDS: E-MAIL, BORN-DIGITAL RECORDS, AND DIGITAL IMAGING Q. When can I delete my e-mail? A. E-mail is a public record as defined by N.C. Gen. Stat. § 121-5 and § 132. Electronic mail is as much a record as any paper record and must be treated in the same manner. It is the content of each message that is important. If a particular message would have been filed as a paper memo, it should still be filed (either in your e-mail program or in your regular directory structure), and it should be retained the same length of time as its paper counterparts. It is inappropriate to destroy e-mail simply because storage limits have been reached. Some examples of e-mail messages that are public records and therefore covered by this policy include: • Policies or directives; • Final drafts of reports and recommendations; • Correspondence and memoranda related to official business; • Work schedules and assignments; • Meeting agendas or minutes • Any document or message that initiates,facilitates, authorizes, or completes a business transaction; and • Messages that create a precedent, such as issuing instructions and advice. From the Department of Cultural Resources E-Mail Policy(Revised July 2009), available at the State Archives of North Carolina website I Other publications (available online at the State Archives of North Carolina website)that will be particularly helpful in managing your e-mail include tutorials on managing e-mail as a public record and on using Microsoft Exchange. Q. May I print my e-mail to file it? A. We do not recommend printing e-mail for preservation purposes. Important metadata is lost when e-mail is printed. Q. I use my personal e-mail account for work. No one can see my personal e-mail, right? A. The best practice is to avoid using personal resources, including private e-mail accounts, for public business. N.C. Gen. Stat. § 132-1 states that records "made or received pursuant to law or ordinance in connection with the transaction of public business by any agency of North Carolina government or its subdivisions" are public records (emphasis added). The fact that public records reside in a personal e-mail account is irrelevant. A-11 i 219 Q. We have an imaging system. Are we required to keep the paper? A. You may scan any record, but you will need to receive approval from the Government Records Section in order to destroy paper originals that have been digitized. Your agency must develop an electronic records policy and then submit a Request for Disposal of Original Records Duplicated by Electronic Means. You can find these templates in the Digital Imaging section of the State Archives of North Carolina website (https://archives.ncdcr.gov/government/digital- records/digital-records-policies-and-guidelines#digital-imaging). Contact a Records Management Analyst for further instructions on how to develop a compliant electronic records policy. Permanent records must have a security preservation copy as defined by State Archives of North Carolina's Human-Readable Preservation Duplicate Policy(N.C. Gen. Stat. § 132-8.2): Preservation duplicates shall be durable, accurate,complete and clear, and such duplicates made by a photographic, photo static, microfilm, micro card, miniature photographic, or other process which accurately reproduces and forms a durable medium for so reproducing the original shall have the same force and effect for all purposes as the original record whether the original record is in existence or not. ... Such preservation duplicates shall be preserved in the place and manner of safekeeping prescribed by the Department of Natural and Cultural Resources. The preservation duplicate of permanent records must be either on paper or microfilm. Non-permanent records may be retained in any format. You will need to take precautions with electronic records that you must keep more than about 5 years. Computer systems do not have long life cycles. Each time you change computer systems,you must convert all records to the new system so that you can assure their preservation and provide access. Q. Computer storage is cheap. Can I just keep my computer records permanently? A. The best practice is to destroy all records that have met their retention requirements, regardless of format. Q. What are the guidelines regarding the creation and handling of electronic public records, including text messages and social media? A. There are numerous documents available on the State Archives of North Carolina website (https://archives.ncdcr.gov/government/digital-records/digital-records-policies-and-guidelines). Topics covered include shared storage,cloud computing, e-discovery,trustworthy digital public records,digital signatures, e-mail,social media,text messages,websites, digital imaging, metadata,file formats, database indexing, and security backups. Note that e-mail,text messages, and social media should be handled according to their content. Therefore,this schedule does not include a records series that instructs you on how to handle one of these born-digital records by format; instead of focusing on how the information is disseminated, consider what content is contained in the e-mail,text message,or social media post. For instance, an e-mail requesting leave that is sent to a supervisor should be kept for 3 years (see Leave Records, STANDARD 4: HUMAN RESOURCES RECORDS). A-12 220 GEOSPATIAL RECORDS Q. Why should geographic information system (GIS) datasets be retained and preserved? A. Geospatial records are public records and need to be retained and preserved based on their legal, fiscal, evidential and/or historical value according to an established retention schedule. Local agencies involved in GIS operations should work with the State Archives of North Carolina in order to appraise, inventory, and preserve their geospatial records according to established best practices and standards to insure both their short-and long-term accessibility. Due to the complexity and transitory nature of these records,geospatial records retention and long-term preservation is a community-wide challenge. GIS files have become essential to the function of many local agencies and will continue to frequently be utilized in agency decision- making processes in the near and far future. Accessibility of GIS records over time has legal, fiscal, practical, and historical implications. The availability of GIS records can help safeguard the local government's legal and fiscal accountability and aid agencies in conducting retrospective and prospective studies. These studies are only possible when essential data from the past are still available. i Q. What GIS datasets should be preserved by local governments? A. The following types of geospatial records have been designated as having archival value: • Parcel data • Street centerline data • Corporate limits data • Extraterritorial jurisdiction data • Zoning data, address points • Orthophotography(imagery) • Utilities • Emergency/E-911 themes For more information, see STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS) RECORDS. Q. How often should we capture the datasets retained for their legal, fiscal, evidential or historical value? A. Consult the retention schedule for frequency of capture. The frequency of capture is based on the significance of the record as well as its alterability. Q. What data formats, compression formats, and media should be used to preserve the data? A. Archiving practices should be consistent with North Carolina Geographic Information Coordinating Council (GICC) approved standards and recommendations. (Examples: Content Standards for Metadata; Data Sharing Recommendations). Consult the GICC website at https://it.nc.gov/about/boards-commissions/gicc. A-13 221 Q. Who should be responsible for creation and long-term storage of archived data? A. The creating agency, NCOneMap, and the State Archives of North Carolina may all have responsibility for archiving data. If you choose to upload your data to NCOneMap, consult with your county's GIS department to determine whether data will be uploaded by your agency or by the whole county. if you choose not to upload your data to NCOneMap,your agency must comply with standards (for metadata,file naming, data sharing, and long term preservation) and procedures adopted by the North Carolina Geographic Information Coordinating Council. A-14 222 SECURITY PRESERVATION COPIES OF RECORDS Q. What is the advantage to having security preservation copies of records stored with the State Archives? A. Having duplicate copies of essential records in a separate location mitigates the risk that you may lose the only physical copy of a given record in a disaster or other records loss event. Maintaining offsite duplicates of records, regardless of format, is a good practice to adopt. The State Archives creates duplicate copies on microfilm because of the durability of the medium. Silver negative microfilm does not decay for hundreds of years, ensuring that your records maintain their integrity over time. Q. What records will the State Archives back up for us? A. The State Archives provides security imaging services for minutes of major decision-making boards and commissions. We will also image records of adoptions for Social Services agencies as well as maps and plats from Registers of Deeds offices. Once those records are imaged,they are converted to security microfilm. We will store the silver negative (original) microfilm in our security vault. Contact the Records Management Analyst in charge of imaging coordination for the most current information. Q. How do I start the process of backing up the above listed records? A. We have three processes for creating backup film copies of these records. First,you can send I photocopies of your approved minutes to us in the mail. Simply include a copy of the Certification of the Preparation of Records for Security Preservation Copy form (available online at the State Archives of North Carolina website)with each shipment. For more detailed instructions, contact a Records Management Analyst. Secondly,you can bring us your original books. We will film them and return them to you. This process is most useful when you have more minutes to film than you are willing to photocopy. It is important to remember that a representative of your office or ours must transport the original books in person so that the custody of the records is maintained. You should not mail or ship your original minutes. Contact the Records Management Analyst in charge of imaging coordination to schedule an appointment for your books to be imaged. We will make every effort to expedite the filming so that your books will be returned to you as quickly as possible. Finally, you can submit these records to the State Archives electronically. Please see our procedures in "Transfer of Minutes in Digital Formats for Microfilming" or contact the Records Management Analyst in charge of imaging coordination for more information. Q. In the event of a records loss, how do I obtain copies of the security preservation copies stored at the State Archives? A. Contact the Records Management Analyst in charge of imaging coordination who will help you purchase copies of the microfilm from our office. You can then send those reels to a vendor who can either make new printed books or scan the film to create a digital copy. A-15 223 Q. Can I obtain digital copies of the security preservation records? A. Yes,you can request digital copies of records when you submit them to the State Archives for initial reproduction. Contact the Records Management Analyst in charge of imaging coordination to initiate a request for digital duplicates. A-16 224 DISASTER ASSISTANCE Q. What should I do in case of fire or flood? A. Secure the area, and keep everyone out until fire or other safety professionals allow entry. Then, call our Raleigh office at (919) 814-6903 for the Head of the Government Records Section or(919) 814-6849 for the Head of the Collections Management Branch. If you're in the western part of the state, call our Asheville Office at (828) 250-3103. On nights and weekends, call your local emergency management office. DO NOT ATTEMPT TO MOVE OR CLEAN ANY RECORDS. Damaged records are extremely fragile and require careful handling. Our staff are trained in preliminary recovery techniques, documenting damage to your records, and authorizing destruction of damaged records. Professional vendors can handle larger disasters. Q. What help do you give in case of an emergency? A. We will do everything we can to visit you at the earliest opportunity in order to provide hands- on assistance. We can assist you in appraising the records that have been damaged so that precious resources (and especially time) are not spent on records with lesser value. We can provide lists of professional recovery vendors that you can contact to preserve your essential and permanent records. Q. What can I do to prepare for an emergency? I A. We provide training on disaster preparation that includes a discussion of the roles of proper inventories, staff training, and advance contracts with recovery vendors. If you would like to have this workshop presented, call a Records Management Analyst. Q. What are essential records? A. Essential records are records that are necessary for continuity of operations in the event of a disaster. There are two common categories of records that are considered essential: • Emergency operating records—including emergency plans and directives, orders of succession, delegations of authority, staffing assignments, selected program records needed to continue the most critical agency operations, as well as related policy or procedural records. • Legal and financial rights records—these protect the legal and financial rights of the Government and of the individuals directly affected by its activities. Examples include accounts receivable records, Social Security records, payroll records, retirement records, and insurance records. These records were formerly defined as "rights-and-interests" records. Essential records should be stored in safe, secure locations as well as duplicated and stored off-site, if possible. A-17 i 225 STAFF TRAINING Q. What types of workshops or training do you offer? A. We have a group of prepared workshops that we can offer at any time at various locations throughout the state. Contact a Records Management Analyst if you are interested in having one of the workshops presented to your agency. We will work with you directly to develop training suited to your specific needs. Our basic workshops are: • Managing public records in North Carolina • Disaster preparedness and recovery • Confidentiality • Organizing paper and digital files • Digital communications Q. Will you design a workshop especially for our office? A. Yes,we will. Let a Records Management Analyst know what type of training you need. Q. Are workshops offered only in Raleigh? A. No, we will come to your offices to present the workshops you need. We have no minimum audience requirement. We will also do presentations for professional associations, regional consortiums, and the public. To arrange a workshop, please call the State Records Center at 919-814-6900 or contact a Records Management Analyst (https://archives.ncdcr.gov/government/local/analysts). Q. Is there a fee for workshops? A. Not at this time. Q. Are the workshops available in an online format? A. We can offer a virtual workshop for your agency upon request. For descriptions of available webinars, see https://archives.ncdcr.gov/government/training/webinars. You can also find several online tutorials available on the State Archives of North Carolina website (https://archives.ncdcr.gov/government/training/online-tutorials-and-resources). A-18 226 r ■�■ GOVERNMENT RECORDS SECTION " NC DEPARTMENT OF STATE RECORDS CENTER ■NEW NATURAL AND CULTURAL RESOURCES ■ ■o■ ncdcr.gov 4615 Mail Service Center, Raleigh NC 276994165 . . .•11 Request for Change in Local Government Records Schedule Use this form to request a change in the records retention and disposition schedule governing the records of your agency. Submit the signed original and keep a copy for your file. A proposed amendment will be prepared and submitted to the appropriate state and local officials for their approval and signature. Copies of the signed amendment will be sent to you for insertion in your copy of the schedule. Requestor name Location and Agency[e.g., County/Municipality+ Department of Social Services] Phone and email Mailing Address Specify title and edition of records retention schedule being used: ❑Add a new item I Delete an existing item Standard Number Page Item Number ❑ Change a retention period Standard Number Page Item Number Title of Records Series in Schedule or Proposed Title: i Inclusive Dates of Records: Proposed Retention Period: Description of Records: Justification for Change: Requested by: Signature Title Date Approved by: Signature Requestor's Supervisor Date DIVISION OF ARCHIVES AND RECORDS—GOVERNMENT RECORDS SECTION A-19 http://archives.ncdcr,gov MAILING ADDRESS: Telephone(919)814-6900 LOCATION: 4615 Mail Service Center Facsimile(919)715-3627 215 N.Blount Street Raleigh,N.C. 276994615 State Courier 51-81-20 Raleigh,N.C. 27601-2823 227 MEMOS GOVERNMENT RECORDS SECTION ■ENE■ NC DEPARTMENT OF ■iiC NATURAL AND CULTURAL RESOURCES STATE RECORDS CENTER MANE■ ncdcr.gov 46 - • .'• • • .'11 Request for Disposal of Unscheduled Records AGENCY INFORMATION Requestor name Location and Agency[e.g., County/Municipality+ Department of Social Services] Phone and email Mailing Address In accordance with the provisions of N.C. Gen. Stat. § 121 and § 132, approval is requested for the destruction of records listed below. These records have no further use or value for official administrative, fiscal, historical, or legal purposes. RECORDS TITLE INCLUSIVE QUANTITY RELEVANT PROPOSED AND DESCRIPTION DATES STATUTORY RETENTION REGULATIONS PERIOD Requested by: Signature Title Date Approved by: Signature Requestor's Supervisor Date Concurred by: Signature Assistant Records Administrator Date State Archives of North Carolina DIVISION OF ARCHIVES AND RECORDS—GOVERNMENT RECORDS SECTION A-20 http://archives.ncdcr.gov MAILING ADDRESS: Telephone(919)814-6900 LOCATION_ 4615 Mail Service Center Facsimile(919)715-3627 215 N.Blount Street Raleigh,N.C_ 27600-4615 State Courier 51-81-20 Raleigh,N.C. 27601-2823 228 ■ ■■■ GOVERNMENT RECORDS SECTION ■■ NC DEPARTMENT OF STATE RECORDS CENTER ■E".3 NATURAL AND CULTURAL RESOURCES ■ i■■ Request for Disposal of Original Records Duplicated by Electronic Means If you have questions, call(919) 814-6900 and ask for a Records Management Analyst. This form is used to request approval from the Department of Natural and Cultural Resources to dispose of non-permanent paper records that have been scanned, entered into databases, or otherwise duplicated through digital imaging or other conversion to a digital environment.This form does not apply to records that have been microfilmed or photocopied or to records with a permanent retention. Agency Contact Name: Date(MM-DD-YYYY): Phone (area code): Email: County/Municipality: Office: Mailing address: Records Series Title Description of Records Inclusive Approx.Volume Retention A group of records as listed Specific records as referred Dates of Records Period in records retention to in-office (1987-1989; (e.g. "1 file As listed in records schedule 2005- resent) cabinet,""5 boxes") retention schedule Requested by: Signature Title Date Approved by: Signature Requestor's Supervisor Date Concurred by: Signature Assistant Records Administrator Date State Archives of North Carolina DIVISION OF ARCHIVES AND RECORDS—GOVERNMENT RECORDS SECTION A-21 http://archives.ncdcr.gov MAILING ADDRESS: Telephone(919)814-6900 LOCATION: 4615 Mail Service Center Facsimile(919)715-3627 215 N.Blount Street Raleigh,N.C. 2769941615 State Courier 51-81-20 Raleigh,N.C. 27601-2823 m._,Nmm 229 `moo E NC DEPARTMENT .:,M ■ OF NATURAL AND EMBEE CULTURAL RESOURCES ■_:m■■ ncdcr.gov 4615 Mail Service Center, Raleigh .•• • • ••11 File Plan County/Municipality Division Section Branch Records Owner Media (Paper, Records Series Records Creator (if record copy is Electronic, Required Location(s) of Records transferred within the Scanned) Retention agency) p E S A-22 230 . ... 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ■■ NATURA AND OF ■■n■i NATURAL AND CULTURAL RESOURCES ■ no Related Records Series Found in Local Agency Program Schedules In some limited cases, records series with similar names and/or functions that are created and maintained by local government entities have not been superseded by the General Records Schedule:Local Government Agencies. These records series are described as unique records series in one of the local program retention schedules issued separately by DNCR for use by specific local agencies. This duplication occurs when records with similar names and/or functions have different retention guidance due to statutory, legal,evidentiary,or fiscal requirements. An example of this is the accounts receivable records series. In the General Records Schedule,the Accounts Receivable records series has a disposition instruction of"Destroy in office 3 years after collection." In the Local Health Departments Schedule,the Accounts Receivable:Clinical Services records series also includes the disposition instruction, "Destroy records supporting the expenditure of federal funds passed through NC DHHS on a fiscal year basis when the DHHS Office of the Controller provides written guidance that records are released from all audits and other official actions." In both cases,the records series documents the money received by the local agency, however,the retention requirements for the Accounts Receivable:Clinical Services differ due to specific retention requirements concerning the management and dispersal of grant funds. The purpose of this table is to provide a source for determining if the general records series item listed in the General Records Schedule:Local Government Agencies covers the function and/or retention requirements associated with the records created by your agency or if a specific program schedule applies. This table provides pointers to the relevant records series that can be found in one or more of the local agency program schedules. Here's how to use the table: • The records series found in the left-most column are listed and described in the General Records Schedule:Local Government Agencies and appear in this schedule with a @ beside them. ACCOUNTS RECEIVABLE"—d Records concerning receivables owed and collected. Includes billing statements,records of payment received,remittances,subsidiary registers, overpayment or refund records,deposits,fines and fees assessed,and collection of past due accounts. Also includes records concerning accounts sent to NC Debt Setoff Program for collection. • The middle column lists similar records series from one or more of the schedules that have been issued separately for use by specific local agencies. • The right-hand column lists the local agency program schedule that includes the records series listed in the middle column. The agencies represented in the right column include,but are not limited to, local health departments, Registers of Deeds,Sheriff's offices, local social services agencies,and tax offices. If you need further information, please contact a Records Management Analyst. Local General Schedule Records Series Related Records Series Local Program Schedule Accounts Receivable Accounts Receivable:Clinical Services Local Health Departments Schedule A-23 231 . ... ��.=• NC DEPARTMENT OF NATURAL AND CULTURAL RESOURCES Local General Schedule Records Series Related Records Series Local Program Schedule Accounts Receivable(cont.) Accounts Receivable—Client Services LME Schedule LME-MCO Schedule Administrative Directives, Regulations,and Rules State Board of Elections Numbered Memos County Board of Elections Schedule Audits:Financial Clinical Record Audits Local Health Departments Schedule Clinical Record Audits LME Schedule Clinical Record Audits LME-MCO Schedule Audits: Performance Pharmacy Audit Records Local Health Departments Schedule Blueprints and Specifications Blueprints and Specifications Local Government Agencies Program Schedule Project Records—Core Community Awards Student Awards and Honors Records Local Public School Unit Schedule Conferences and Workshops Health Promotion Training Records Local Health Departments Schedule Constituent Comments,Complaints, Petitions,and Animal Complaint Records Local Government Agencies Program Schedule Service Requests Illegal Dumping File Violations: Building and Housing Violations:Solid Waste Management Complaints(Law Enforcement) Complaints County Sheriff's Office Complaints:All Service Areas County Social Services Agencies Schedule Animal Complaints Local Health Departments Schedule Complaints File LME Schedule Complaints File LME-MCO Schedule Contracts,Leases,and Agreements School Health Provider Contracts Local Health Departments Schedule Petroleum Leases Register Register of Deeds Schedule Disaster and Emergency Management Plans Public Health Emergency Preparedness and Local Health Departments Schedule Response Records Equipment and Vehicle Maintenance, Repair,and Equipment and Instrument Maintenance and Local Health Departments Schedule Inspection Records Repair File Autopsy and Surgical Pathology: Instrument Public Hospitals Schedule Maintenance Records Clinical Laboratory Records: Instrument Maintenance Records Cytology Records: Instrument Maintenance Records File Instrument Maintenance File A-24 232 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ■y NC DEPARTMENT OF ■■-■i NATURAL AND CULTURAL RESOURCES Local General Schedule Records Series Related Records Series Local Program Schedule Grants CDBG Records Local Government Agencies Program Schedule Grants: Financial CDBG Outstanding Loan Balances CDBG Subject to Reversion of Assets Provisions or Change of Use of Real Property Continuum of Care Records Emergency Solutions Grants Records Home Investment Partnerships Program Records Housing Assistance for Persons with Disabilities Housing Opportunities for Persons with AIDS Records Indices Board of Adjustment Case Files and Indexes Local Government Agencies Program Schedule Conditional Use Permit Records and Index Rezoning Records and Indexes Master Client Identification File(Master Client LME Schedule Index) LME-MCO Schedule Master Patient Index Public Hospital Schedule Armed Forces Discharges and Index Register of Deeds Schedule Chattel Mortgages and Index Corporations(Incorporations)Records and Index Deeds, Record of and Index Deeds of Trust(Mortgages), Record of and Index Highway Right-of-Way Maps and Index Land Sold for Taxes and Index Merchant Returns and Index Mineral Rights Records and Index Notaries Public Records and Index Official Record Book and Index Partnerships and Assumed Names Records and Index Plats,Maps,and Index Registration of Titles(Torrens Act)and Index Surveys, Record of and Index Timber Marks and Index Vital Records: Births and Index Vital Records: Deaths and Index Vital Records: Delayed Births and Index Inventories Drug Inventories Local Health Departments Schedule A-25 233 . ■■■ 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES =�■ ■ NATURA ANDC OF ■i■■i NATURAL AND CULTURAL RESOURCES Local General Schedule Records Series Related Records Series Local Program Schedule Inventories(cont.) Drugs Inventories Public Hospitals Schedule Maps:All Other Utilities: Maps(Utility Installations&Distributions) Local Government Agencies Program Schedule Plats, Maps,and Index Register of Deeds Schedule Maps(Utility Installations and Distributions) Water and Sewer Authorities and Sanitary Districts Schedule Policies and Procedures Clinical Policies and Procedures Local Health Departments Schedule Laboratory Procedures Manual Behavioral Health Program Policy and Procedure Records Laboratory Procedures/Protocol File Public Hospitals Schedule Poll List/Registration List/Roster/Authorization to Poll List/Registration List/Roster/Authorization to County Board of Elections Schedule Vote(ATV) Vote(ATV) Projects Appraisal Project File Local Government Agencies Program Schedule Project Records—Cancelled Project Records—Core Project Records—Engineering&Compliance State Board of Elections Correspondence and County Board of Elections Schedule Reports Water and Wastewater System Project Records Waste and Sewer Authorities and Sanitary Districts Schedule Publicity Records Student Publicity Records Local Public School Unit Schedule Rate and Fee Schedules Fee Schedules Local Health Departments Schedule Fee Schedules LME Schedule Fee Schedules LME-MCO Schedule Recordings: Traffic Video Recordings and Data Local Government Agencies Program Schedule Customer Call Center Recordings Law Enforcement Audio and Video Recordings Audio-Visual Recordings Communication Records Electronic Recordings of Interrogations Audio and Video Recordings County Sheriff's Office Communication Records Electronic Recordings of Interrogations(Juvenile and Homicide) A-26 234 OEM 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES ■i ai NAATURTUR.■■ ■ NA AND OF AL AND CULTURAL RESOURCES 0 Nam Local General Schedule Records Series Related Records Series Local Program Schedule Reports and Studies Land Development and Planning Studies and Local Government Agencies Program Schedule Reports Ambulance Call Reports/Patient Care Reports North Carolina Fire Incident Report Pool Records Environmental:Customer Usage Records Environmental: Discharge Monitoring Reports Environmental:Landfill Monitoring Reports Environmental: Reports Submitted to U.S. Environmental Protection Agency Utilities:Daily Water and Wastewater Facility Operators Logs Utilities:Service Interruption Records Utilities:Wastewater Maintenance Operation Reports Water Quality: Pretreatment Program Records Water Quality:Public Water Sanitary Survey Records Appraisal Reports Traffic Analysis Project Records—Core Project Records—Engineering&Compliance Alarm Call Reports Arrest Reports Chemical Analysis Records Crime Analysis Records Detention Facility Incident Reports Detention Facility Physical Force Records Incident Response Reports Inmate Death Reports Laboratory Case Records Multiple Firearms Sales Reports Multiple Firearms Sales Reports Destruction Records (continued on following page) Traffic Accident Reports A-27 235 . ... =��-• NC DEPARTMENT OF NZ NATURAL AND CULTURAL RESOURCES Local General Schedule Records Series Related Records Series Local Program Schedule Reports and Studies(cont.) Daily Store Reports Alcoholic Beverage Control Boards Schedule Monthly Law Enforcement Activity Reports Monthly Operating Report to Board Receiving Report Sales Reports Stock Difference Reports Weekly Warehouse Reports Campaign Contribution and Expenditure Reports County Board of Elections Schedule Ballot Reports State Board of Elections Correspondence and Reports Voter Registration Lists and Reports Alarm Call Reports County Sheriffs Office Arrest Reports Detention Facility Incident Reports DWI Reports Incident Response Reports Inmate Death Reports Traffic Accident Reports Program Time and Activity Reports Local Health Departments Schedule Medicare Disbursement Reports Communicable Disease Reports Test Reports Adverse Drug Reaction Reports Intravenous Hood Performance Reports Medication Storage Inspection Reports Medicare Disbursement Reports LME Schedule LME-MCO Schedule Admission/Discharge/Transfer Reports Public Hospitals Schedule Communicable Disease Reports Call-In Reports Adverse Drug Reaction Reports Intravenous Hood Performance Reports (continued on following page) Medication Storage Inspection Reports A-28 236 E-: NC DEPARTMENT OF 2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES . := NATURAL AND CULTURAL RESOURCES -. _. _. -- "----- ------"-'"-_ ------ ■ ■III Local General Schedule Records Series Related Records Series Local Program Schedule Reports and Studies(cont.) Certified Facility Operators Logs and Reports Waste and Sewer Authorities and Sanitary Districts Discharge Monitoring Reports Schedule Periodic Inspection Reports of Industrial Facilities Wastewater Maintenance Operation Reports Strategic Plan Land Development and Planning Studies and Local Government Agencies Program Schedule Reports Parks Planning File Comprehensive Plan and Amendments Environmental:Comprehensive Solid Waste Management Plan and Amendments Planning File(Street Maintenance) A-29 237 INDEX BLOODBORNE PATHOGEN TRAINING,46 1 BLUEPRINTS AND SPECIFICATIONS,2 BOND CLOSING RECORDS,25 1099 FORMS.SEE TAX FORMS BOND REGISTER,26 BONDS,3 A BONDS, NOTES,AND COUPONS,26 BUDGET ADMINISTRATION RECORDS,26 ABOLISHED POSITIONS,43 BUDGET EXECUTION RECORDS,26 ABSTRACTS OF MUNICIPAL ELECTIONS,1 BUDGET REPORTS, 26 ACCIDENT/INCIDENT REPORTS(CUSTOMER AND BUDGET REQUESTS AND WORKING PAPERS,26 EMPLOYEE),80 BUDGET RESOLUTIONS AND ORDINANCES, 27 ACCOUNTS PAYABLE, 23 BUDGET, FISCAL,AND PAYROLL RECORDS,23 ACCOUNTS RECEIVABLE,23 BULLETINS,3 ACCOUNTS UNCOLLECTABLE,24 BUSINESS CERTIFICATION RECORDS,3 ACCREDITATION RECORDS, 1 BUSINESS DEVELOPMENT SUBJECT FILE,3 ADDRESS POINTS,38 ADMINISTRATION AND MANAGEMENT RECORDS, 1 C ADMINISTRATIVE DIRECTIVES, REGULATIONS,AND RULES, 1 CALENDARS OF EVENTS AND APPOINTMENTS,3 ADMINISTRATIVE INVESTIGATIONS,43 CALL CENTER RECORDINGS.SEE CUSTOMER CALL AFFIDAVITS OF PUBLICATION, 67 CENTER RECORDINGS AGENCY PUBLICATIONS,75 CANCELED CHECKS.SEE BANK STATEMENTS AND AMBULANCE SERVICE BILLS AND RECORDS FOR RECONCILIATIONS EMERGENCY MEDICAL SERVICE.SEE ACCOUNTS CASH REPORTS.SEE ACCOUNTS RECEIVABLE PAYABLE CENSUS PROJECT RECORDS,3 ANNEXATION FILE,67 CHARTER RECORDS,4 ANNUAL BUDGET,24 CHECK REGISTERS.SEE BANK STATEMENTS AND APPLICATIONS FOR EMPLOYMENT,44 RECONCILIATIONS APPRENTICESHIP PROGRAM RECORDS,44 CHECK STUBS.SEE BANK STATEMENTS AND APTITUDE AND SKILLS TESTING RECORDS,45 RECONCILIATIONS ARBITRAGE RECORDS,24 CITIZEN COMPLAINTS.SEE CONSTITUENT ASBESTOS MANAGEMENT PLAN.SEE HAZARDOUS COMMENTS,COMPLAINTS, PETITIONS,AND MATERIALS MANAGEMENT SERVICE REQUESTS ASBESTOS TRAINING,45 CIVIL RIGHTS CASE RECORDS,68 AUDIO-VISUAL RECORDINGS,75 CIVIL RIGHTS RECORDS,69 AUDITS COLLECTED DATA,4 FINANCIAL,24 COMMUNITY AWARDS,75 IT SYSTEMS,61 COMPLAINTS(CONSTITUENTS).SEE CONSTITUENT PERFORMANCE, 2 COMMENTS,COMPLAINTS, PETITIONS,AND AUTHENTICATIONS,67 SERVICE REQUESTS AUTHORIZATION FORMS,24 COMPUTER AND NETWORK USAGE RECORDS,61 CONDEMNATION RECORDS,69 $ CONFERENCES AND WORKSHOPS,76 CONFLICTS OF COMMITMENT,70 BANK STATEMENTS,25 CONFLICTS OF INTEREST,70 BANK STATEMENTS AND RECONCILIATIONS, 25 CONSTITUENT COMMENTS,COMPLAINTS, BENEFITS RECORDS,46 PETITIONS,AND SERVICE REQUESTS,5 BENEFITS REIMBURSEMENT PLAN.SEE BENEFITS CONSTITUENT SURVEYS,5 RECORDS CONTRACT BUDGET REPORTS,26 BIDS FOR DISPOSAL OF PROPERTY,25 CONTRACT WORKER RECORDS,57 BIDS FOR PURCHASE, 25 CONTRACTS, LEASES,AND AGREEMENTS,70 BIOGRAPHICAL DATA.SEE HISTORY RECORDS A-30 238 CORE DATA(GIS RECORDS).SEE GEOGRAPHIC EMPLOYMENT ELIGIBILITY RECORDS,49 INFORMATION SYSTEM (GIS)CORE DATA EMPLOYMENT SELECTION RECORDS,49 CORPORATE LIMITS,38 ENCROACHMENTS, 71 CORRESPONDENCE(LEGAL), 72 EQUIPMENT AND VEHICLE MAINTENANCE, REPAIR, CORRESPONDENCE AND MEMORANDA,6 AND INSPECTION RECORDS, 6 COST ALLOCATION PLANS, 27 EQUIPMENT INVENTORIES, 10 CREDIT/DEBIT/PROCUREMENT CARD RECORDS, 27 EQUIPMENT REFERENCE RECORDS,7 CUSTOMER CALL CENTER RECORDINGS,6 EQUIPMENT USAGE RECORDS,7 ESCHEATS AND UNCLAIMED PROPERTY, 28 D EXIT INTERVIEW RECORDS, EMPLOYEE, 50 EXPENDITURE REPORTS.SEE BUDGET REPORTS DAILY DETAIL REPORTS.SEE BUDGET REPORTS EXPUNCTIONS, 71 DATA DOCUMENTATION (METADATA) (GIS EXTRATERRITORIAL JURISDICTIONS,39 RECORDS).SEE GEOGRAPHIC INFORMATION SYSTEM (GIS) DATA DOCUMENTATION F (METADATA) DATA DOCUMENTATION RECORDS,61 FACILITY MAINTENANCE, REPAIR AND INSPECTION DATA MIGRATION RECORDS, 62 RECORDS, 7 DATA WAREHOUSES,62 FACILITY SERVICE AND MAINTENANCE DEBIT CARD PAYMENTS.SEE PAYMENT CARD DATA AGREEMENTS.SEE CONTRACTS, LEASES,AND DEBT FINANCING.SEE LOAN RECORDS AGREEMENTS DECLARATORY RULINGS,70 FACILITY USAGE RECORDS, 7 DELEGATION OF AUTHORITY RECORDS,71 FAMILY MEDICAL LEAVE ACT(FMLA) RECORDS, 50 DEPOSITS.SEE ACCOUNTS RECEIVABLE FEE SCHEDULES, 17 DESTRUCTIONS LOG, 10 FILE PLAN,22 DETAIL REPORT.SEE FINANCIAL REPORTS FINANCIAL JOURNALS AND LEDGERS, 28 DIGITIZATION AND SCANNING RECORDS,62 FINANCIAL REPORTS, 28 DIRECT DEPOSIT FORMS.SEE ELECTRONIC FUNDS FIRE EXTINGUISHER RECORDS.SEE EMERGENCY TRANSFERS DRILLS AND EQUIPMENT RECORDS DIRECTORIES, ROSTERS,OR INDICES, EMPLOYEE,46 FIRE, HEALTH,AND ENVIRONMENTAL SAFTEY DISABILITY SALARY CONTINUATION CLAIMS,47 RECORDS,82 DISASTER AND EMERGENCY MANAGEMENT PLANS, FIXED ASSETS.SEE INVENTORIES 81 FIXED NUCLEAR FACILITIES PLANS FILE,82 DISASTER RECOVERY,81 FORMS AND TEMPLATES,7 DISCIPLINARY ACTIONS,47 FUEL OIL STORAGE TANK RECORDS,82 DONATIONS AND SOLICITATIONS, 27 FUND DRIVE AND EVENT RECORDS,76 DRUG AND ALCOHOL PROGRAMS FILE.SEE EMPLOYEE ASSISTANCE PROGRAMS G DUAL EMPLOYMENT,48 GEOGRAPHIC INFORMATION SYSTEM (GIS)CORE E DATA,36 GEOGRAPHIC INFORMATION SYSTEM (GIS) DATA EASEMENTS AND RIGHT-OF-WAY AGREEMENTS,71 DOCUMENTATION (METADATA),36 EDUCATIONAL ASSISTANCE, EMPLOYEE,48 GEOGRAPHIC INFORMATION SYSTEM (GIS) EDUCATIONAL LEAVE AND REIMBURSEMENT,48 INTERNAL STANDARDS AND PROCEDURES,37 EDUCATIONAL MATERIALS,76 GEOGRAPHIC INFORMATION SYSTEM (GIS) EDUCATIONAL RECORDS, EMPLOYEE,58 MONITORING RECORDS, 37 ELECTRONIC FUNDS TRANSFERS, 27 GEOGRAPHIC INFORMATION SYSTEM (GIS) ELECTRONIC RECORDS POLICIES AND PROCEDURES, OPERATIONAL RECORDS, 37 62 GEOGRAPHIC INFORMATION SYSTEM (GIS) PROJECT EMERGENCY DRILLS AND EQUPIMENT RECORDS,81 RECORDS,37 EMERGENCY NOTIFICATIONS,81 GEOGRAPHIC INFORMATION SYSTEM (GIS) EMPLOYEE ASSISTANCE PROGRAMS,48 RECORDS,36 A-31 239 GOVERNING AND ADVISORY BODY MEMBER FILES. LEGISLATION AND REGULATORY RECORDS, 10 SEE PUBLIC BODIES:\MEMBER FILES LGERS MONTHLY REPORTS.SEE GOVERNMENT GOVERNMENT EMPLOYEES RETIREMENT SYSTEM EMPLOYEES RETIREMENT SYSTEM MONTHLY MONTHLY REPORTS,28 REPORTS GRANT PROPOSALS,8 LITIGATION CASE RECORDS,73 GRANTS,8 LOAN RECORDS,30 FINANCIAL, 29 LOCAL GOVERNMENT COMMISSION FINANCIAL GRIEVANCES,51 STATEMENTS,30 LOGISTICS MATERIALS, 10 H LONGEVITY PAY,30 LOSS CONTROL INSPECTION REPORTS,84 HAZARDOUS MATERIALS MANAGEMENT,83 LOST,STOLEN,OR DAMAGED PROPERTY REPORTS, HAZARDOUS MATERIALS TRAINING RECORDS,51 84 HEALTH CERTIFICATES, EMPLOYEE,SEE MEDICAL RECORDS M HISTORICAL DESIGNATIONS RECORDS,9 HISTORY RECORDS(AGENCY AND EMPLOYEES,9 MAIL, UNDELIVERABLE/RETURNED, 10 MAILING AND DISTRIBUTION RECORDS, 10 I MAINTENANCE RECORDS.SEE EQUIPMENT AND VEHICLE MAINTENANCE, REPAIR,AND 1-9 FORMS.SEE EMPLOYMENT ELIGIBILITY RECORDS INSPECTION RECORDS IMAGING RECORDS,62 MAINTENANCE RECORDS, FACILITY,7 IMPROPER CONDUCT INVESTIGATIONS,9 MANAGEMENT STUDIES.SEE REPORTS AND STUDIES INDICES,9 MAPPING PROJECT RECORDS,40 INFORMATION TECHNOLOGY(IT) RECORDS,61 MAPS INFORMATION TECHNOLOGY ASSISTANCE RECORDS, \ALL OTHER,42 63 \PARCEL,41 INSPECTION RECORDS.SEE EQUIPMENT AND \PARKS,41 VEHICLE MAINTENANCE, REPAIR,AND MAPS(PAPER).SEE MAPS:ALL OTHER INSPECTION RECORDS MEDIA FILE,77 INSPECTION RECORDS, FACILITY,7 MEDICAL RECORDS, EMPLOYEE,52 INSURANCE POLICIES,84 MEMBERSHIP RECORDS, 11 INTERAGENCY PROGRAMS,9 METADATA(GIS RECORDS).SEE GEOGRAPHIC INTERNAL STANDARDS AND PROCEDURES(GIS INFORMATION SYSTEM(GIS) DATA RECORDS)\T,37 DOCUMENTATION (METADATA) INTERNSHIP PROGRAM,51 MILITARY LEAVE,53 INVENTORIES, 10 MINUTES OF PUBLIC BODIES.SEE PUBLIC BODIES: INVESTIGATION AND HEARING RECORDS,72 MINUTES INVESTMENTS, 29 MISCELLANEOUS(NON-BUILDING)APPLICATIONS, INVITATIONS,77 LICENSES,AND PERMITS, 11 INVOICES.SEE ACCOUNTS PAYABLE MONITORING RECORDS(GIS RECORDS).SEE IT DISASTER PREPAREDNESS AND RECOVERY PLANS. GEOGRAPHIC INFORMATION SYSTEM (GIS) SEE DISASTER AND EMERGENCY MANAGEMENT MONITORING RECORDS PLANS N L NATIONAL FLOOD INSURANCE PROGRAM RECORDS, LAND OWNERSHIP RECORDS,72 84 LAW ENFORCEMENT TRAINING,51 NETWORK AND SYSTEM SECURITY RECORDS,63 LEAVE RECORDS,52 NETWORK DIAGRAMS,63 LEGAL OPINIONS,72 NEWSPAPER CLIPPINGS.SEE HISTORY RECORDS LEGAL RECORDS, 67 NOTICES OF PUBLIC MEETINGS.SEE PUBLIC BODIES: LEGAL REVIEW RECORDS,72 \MEETING NOTICES A-32 240 O PROCLAMATIONS AND ORDERS, 14 PROJECT DOCUMENTATION (INFORMATION OATHS OF OFFICE,73 TECHNOLOGY),64 OCCUPATIONAL SAFETY AND HEALTH PROJECT RECORDS(GIS RECORDS).SEE GEOGRAPHIC ADMINISTRATION (OSHA),85 INFORMATION SYSTEM (GIS) PROJECT RECORDS OFFICE AND PROPERTY SECURITY RECORDS, 11 PROJECTS, 14 OPERATIONAL RECORDS(GIS RECORDS).SEE PROPERTY INVENTORIES, 10 GEOGRAPHIC INFORMATION SYSTEM (GIS) PROPERTY MANAGEMENT RECORDS, 14 OPERATIONAL RECORDS PUBLIC BODIES ORDINANCE DEVELOPMENT RECORDS, 12 \AGENDA AND MEETING PACKETS, 15 ORDINANCES, 12 \APPLICATIONS FOR APPOINTMENT, 15 ORTHOIMAGERY,39 \APPOINTMENT REPORTS, 15 OSHA,85 \AUDIO AND VIDEO RECORDINGS OF MEETINGS, 15 P \CORRESPONDENCE, 16 PARKING.SEE SECURITY RECORDS, EMPLOYEE \MEETING NOTICES, 16 PAYMENT CARD DATA,30 \MEMBER FILES, 16\MINUTES, 17 PAYROLL AND EARNINGS RECORDS,31 PUBLIC HEARINGS,77 PAYROLL DEDUCTION RECORDS,32 PUBLIC RECORDS REQUESTS,78 PENSION PLAN ENROLLMENT FORMS, EMPLOYEE. PUBLIC RELATIONS RECORDS, 75 SEE RETIREMENT RECORDS PUBLICATIONS RECEIVED.SEE REFERENCE(READING) PERFORMANCE REVIEWS, EMPLOYEE,53 FILE PERMISSIONS, 73 PUBLICITY RECORDS, 78 PERSONNEL ACTION NOTICES,53 PURCHASE ORDERS, 32 PERSONNEL RECORDS,43 PERSONNEL RECORDS(OFFICIAL COPY),54 PERSONNEL RECORDS(SUPERVISOR COPY), 54 Q PEST CONTROL, 12 QUALIFIED PRODUCTS LISTS,32 PETITIONS(CONSTITUENT).SEE CONSTITUENT COMMENTS, COMPLAINTS, PETITIONS,AND R SERVICE REQUESTS PETTY CASH.SEE ACCOUNTS RECEIVABLE RATE SCHEDULES, 17 PHONE LOGS, 12 REBATE PROGRAM RECORDS, 18 POLICIES AND PROCEDURES, 13 RECONCILIATIONS(FINANCIAL), 25 POLICIES AND PROCEDURES(PERSONNEL), 55 RECORDS BACKUPS,SYSTEM MAINTENANCE POLL LIST, 13 RECORDS, 65 POLYGRAPH RECORDS, EMPLOYEE, 55 RECORDS MANAGEMENT, 18 POPULAR ANNUAL FINANCE REPORT, 77 RECRUITMENT RECORDS,56 POSITION CLASSIFICATION,56 REFERENCE(READING) FILE, 18 POSITION CONTROL,56 REFUND REPORTS.SEE FINANCIAL REPORTS POSITION DESCRIPTIONS,56 REGULATORY RECORDS(EXTERNAL).SEE POSITION EVALUATIONS,56 LEGISLATION AND REGULATORY RECORDS POSITION HISTORY,56 RELEASE FORMS, 74 POSITION REQUISITION AND ANALYSIS RECORDS. REPAIR RECORDS.SEE EQUIPMENT AND VEHICLE SEE POSITION CLASIFICATION, CONTROL,AND MAINTENANCE, REPAIR,AND INSPECTION HISTORY RECORDS POWELL BILL RECORDS,32 REPAIR RECORDS, FACILITY, 7 PRE-TRIAL RELEASE PROGRAM RECORDS, 74 REPORTS AND STUDIES, 19 PRICE QUOTATIONS, 13 REQUEST FOR CHANGE IN LOCAL GOVERNMENT PROCEDURES(GIS RECORDS).SEE GEOGRAPHIC RECORDS SCHEDULE, 19 INFORMATION SYSTEM(GIS) INTERNAL REQUEST FOR DISPOSAL OF ORIGINAL RECORDS STANDARDS AND PROCEDURES DUPLICATED BY ELECTRONIC MEANS,21 A-33 I 241 REQUEST FOR DISPOSAL OF UNSCHEDULED SYSTEM ACCESS RECORDS(INFORMATION RECORDS, 20 TECHNOLOGY), 64 REQUESTS FOR INFORMATION,20 SYSTEM DOCUMENTATION RECORDS, 64 REQUESTS FOR PROPOSALS, 20 SYSTEM MAINTENANCE RECORDS REQUISITIONS,33 \HARDWARE REPAIR OR SERVICE, 65 RESOLUTION DEVELOPMENT RECORDS,20 \RECORDS BACKUPS,65 RESOLUTIONS, 20 RESPIRATOR PROGRAM RECORDS.SEE EMERGENCY T DRILLS AND EQUIPMENT RECORDS RETIREMENT RECORDS, EMPLOYEE,57 TAX FORMS,34 RETURNED CHECKS.SEE ACCOUNTS UNCOLLECTABLE TAX RETURNS,34 RISK MANAGIVIENT RECORDS, 80 TECHNICAL PROGRAM DOCUMENTATION, 65 TEMPORARY EMPLOYEE RECORDS.SEE PERSONNEL S RECORDS(OFFICIAL COPY) TEXT MESSAGES, 12 SAFETY DATA SHEETS,85 TIME SHEETS,CARDS,AND ATTENDANCE RECORDS, SALES AND USE TAX REPORTS.SEE TAX RETURNS 34 SALES INFORMATION.SEE ACCOUNTS RECEIVABLE TRACKING MATERIALS,21 SCANNING RECORDS.SEE DIGITIZATION AND TRAINING RECORDS, EMPLOYEE,58 SCANNING RECORDS TRAVEL REIMBURSEMENTS,35 SCHOLARSHIP RECORDS,33 TRAVEL REQUESTS, 22 SEASONAL WORKER RECORDS,57 TSERS MONTHLY REPORTS.SEE GOVERNMENT SECONDARY EMPLOYMENT,57 EMPLOYEES RETIREMENT SYSTEM MONTHLY SECURITY RECORDS, EMPLOYEE,82 REPORTS SECURITY VIDEO RECORDINGS.SEE OFFICE AND PROPERTY SECURITY RECORDS u SELF-INSURER CERTICATIONS,SEE INSURANCE POLICIES UNEMPLOYMENT COMPENSATION CLAIMS,59 SERVICE AWARDS AND COMMENDATIONS,58 UNEMPLOYMENT COMPENSATION REPORTS,59 SERVICE REQUESTS(CONSTITUENT).SEE UNEMPLOYMENT INSURANCE,59 CONSTITUENT COMMENTS,COMPLAINTS, UTILITY USAGE LOG.SEE EQUIPMENT, FACILITY,AND PETITIONS,AND SERVICE REQUESTS VEHICLE USAGE RECORDS SETTLEMENTS, 74 UTILITY USAGE LOGS.SEE PHONE LOGS SHIFT PREMIUM PAY,33 UTILITY USAGE LOGS AND BILLS.SEE ACCOUNTS SOCIAL MEDIA, 78, 12 PAYABLE SOFTWARE LICENSE AND COPYRIGHT PROVISIONS RECORDS, 64 V SPACE NEED STUDIES.SEE REPORTS AND STUDIES SPECIAL EVENT RECORDS.SEE FUND DRIVE AND VEHICLE MAINTENANCE, REPAIR,AND INSPECTION EVENT RECORDS RECORDS.SEE EQUIPMENT AND VEHICLE MAINTENANCE, REPAIR,AND INSPECTION SPEECHES,78 STAFF MEETINGS FILE, 21 RECORDS VEHICLE MILEAGE LOG.SEE EQUIPMENT, FACILITY, STANDARDS(GIS RECORDS),37 STATE AND OTHER COUNTY PROGRAMS.SEE AND VEHICLE USAGE RECORDS REFERENCE (READING) FILE VEHICLE REFERENCE RECORDS,7 STATE OF EMERGENCY,80 VEHICLE REGISTRATION CARDS,22 STATEMENTS OF BACK PAY,33 VEHICLE TITLES,74 STOLEN PROPERTY REPORTS,84 VEHICLE USAGE RECORDS,7 STRATEGIC PLAN,21 VENDORS, 35 STREET CENTERLINE,40 VERIFICATION OF EMPLOYMENT RECORDS,59 VETERANS COMMISSION QUARTERLY REPORTS.SEE SUGGESTIONS, EMPLOYEE,58 REPORTS AND STUDIES SURPLUS PROPERTY,21 SURVEYS, EMPLOYEE,58 VOIP RECORDS, 66 A-34 242 VOLUNTEER RECORDS,59 WORK SCHEDULES AND ASSIGNMENT RECORDS, VOUCHERS.SEE ACCOUNTS RECEIVABLE EMPLOYEE, 60 WORKERS'COMPENSATION PROGRAM `7t;1 ADMINISTRATION, 60 WORKERS'COMPENSATON PROGRAM CLAIMS,60 W-2 FORMS.SEE TAX FORMS WORKFORCE DEVELOPMENT W-4 FORMS.SEE TAX FORMS \LOCAL AREA JOB TRAINING PLAN RECORDS,86 WARRANTIES.SEE EQUIPMENT AND VEHICLE WORKFORCE DEVELOPMENT MAINTENANCE, REPAIR,AND INSPECTION \AUDIT/AUDIT RESOLUTIONS,86 RECORDS WORKFORCE DEVELOPMENT WEB MANAGEMENT AND OPERATIONS RECORDS \PARTICIPANT RECORDS,86 STRUCTURE,66 WORKFORCE DEVELOPMENT RECORDS,86 WEBSITE(ELECTRONIC), 79 WORKSHOPS, 76 WORK ORDERS,22 A-35 E I