2018 revisions to the Functional Schedule for North Carolina State Agencies

Version 2.0 of the Functional Schedule for State Agencies is now available on our website (https://archives.ncdcr.gov/documents/functional-schedule-state-agencies).  A few cosmetic changes have been made – for example, you’ll notice the date has changed in the header banner:

banner for functional scheduleAmendments to Record Types

No changes to record types or appendices were necessary for the functions of Economic Development, Information Technology, or Infrastructure Management.  Here’s a summary of the amendments to record types from the remaining functions – note especially the change to Insurance Policies, which has the likelihood of affecting the greatest number of agencies:

5. Financial Management

  • RC No. 533.5, Grants Issued by Agency: Added language to description to address revenue streams other than state appropriations that are used for grants
  • RC No. 576.<, Tax Returns: Clarified description and disposition instructions to reflect internal practices of the Department of Revenue

6. Governance

  • RC No. 618, Voting Rights Act Records: Added to description additional agencies that may be required to submit reports to the U.S. Department of Justice

8. Human Resources

  • Section 8.6, Personnel Management: Added a note to point agencies that have personnel files for criminal justice officers to the requirements found in 12 NCAC 09C .0307
  • RC No. 863.2, Apprentice, Intern, and Volunteer Records: Changed trigger to Complete to make it clear these disposition instructions apply to more records than just applications
  • RC No. 864, Civil Rights Cases: Clarified that cases can be brought by former as well as current employees

12. Legal

  • 12.2, Agency Hearings: Added note to overview to point to the administrative hearings described in G.S. 150B Article 3A that are under Monitoring and Compliance
  • RC No. 1225, Workers’ Compensation Program Claims (for records held by the NC Industrial Commission):

o   Split disposition instructions to specify that electronic records can be destroyed 5 years after death of the claimant and paper records should be destroyed after 60 years

o   Added disposition instructions for non-documentary evidence received by NCIC that doesn’t become parts of the case file

  • RC No. 1242, Expunctions: Modified retention period for Administrative Office of the Courts expunction records
  • 12.5, Deposited Records: Added new record type (RC No. 1257) to address Ordinances and Regulations filed with the Department of the Secretary of State
  • RC No. 1252, Charters: Broadened description of charters deposited with the Secretary of State to include entities other than just municipalities
  • RC No. 1253, Financing Statements: Added permanent disposition instructions for federal liens deposited with the Secretary of State
  • RC No. 1265, Legal Case Records: Added subsets to handle

o   Criminal briefs for the Department of Justice

o   Records for the Conference of District Attorneys

13. Monitoring and Compliance

  • RC No. 1325, Licenses and Permits:

o   Added a specific retention for DMV source documents presented for Real IDs, as required by 6 CFR 37.31

o   Specified that records from the DHHS Certificate of Need Section are subject to the same retention requirements as lifetime professional licenses

  • RC No. 1333, Investigation and Hearing Records:

o   Modified description of long-term records to include cases that result in discipline by the courts or disbarment by the Council of the State Bar

o   Added description and disposition instructions for cases heard by the North Carolina Utilities Commission

14. Public Assistance and Support Services

  • RC No. 1437, Workforce Strategic Plans: Specified that final report is collected by the State Documents Clearinghouse, with the supporting documents having a 5-year retention

15. Public Relations

  • RC No. 1515, Social Media and Websites: Clarified that these disposition instructions apply to archival instances of social media and websites (and added pointers to other relevant record types where a website/social media instance may not be a unique record)

16. Risk Management

  • RC No. 1642, Insurance Policies: Provided different disposition instructions for liability policies, which should be retained for 10 years after they are superseded or become obsolete, and property policies, which have a 1-year retention after superseded/obsolete
  • RC No. 1659, Workplace Security Records: Added description and disposition instructions for dive logs maintained by the Department of Natural and Cultural Resources

 

Appendices

A number of additions and corrections have been made to the appendices.  Generally, we:

  • Added records series that had appeared inactive but that the agency still needs to transfer according to functional schedule
  • Created separate item numbers in cases where an old item encompassed records that are now in separate record types on the functional schedule
  • Removed defunct entities and records series

The most notable changes occurred in Agency Management and Governance.  In the appendix for RC No. 133.A, Correspondence, we added the list of positions identified through the TOMES grant as likely to create and/or receive archival correspondence.  And for RC No. 635.P, Governing and Advisory Body Minutes, we conducted a thorough review of minutes records, adding many active entities that had not been included in the 2017 version of the functional schedule.  We divided these minutes files into 3 groups, and specified transfer instructions:

  • Group 1 will transfer original minutes and attachments for permanent preservation by the State Archives.
  • Group 2P will transfer paper copies of minutes and attachments for permanent security storage at the State Records Center. Those entities that generate at least 500-600 pages of minutes annually (Group 2M) will have these records microfilmed for permanent security storage at the State Records Center.
  • Group 3 will retain original minutes and attachments permanently in office.

 

FAQs

In case you’ve missed them, we have a series of posts on this blog that address questions that have been frequently asked during consultations and workshops since the Functional Schedule for State Agencies became operative on December 1, 2017.  You can find them all under the Functional Analysis Initiative tab (https://ncrecords.wordpress.com/category/functional-analysis-initiative/).

 

Moving Forward

From this point forward, updates to the Functional Schedule for State Agencies will be released on an annual basis on July 1.  If something changes about the records that a state agency generates or receives or if an outside entity changes or establishes retention requirements for such records, please inform the records analyst for your agency by submitting a Record Series Evaluation Form, available on our website at https://archives.ncdcr.gov/documents/state-agency-rm.

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