Managing Public Records

for Local Government Agencies

Managing Public Records using a Records Retention and Disposition Schedule

General Statutes §121-4 and §121-5 grant DCR the authority and responsibility to implement a records management program and provide consultative services to state and local agencies and state-supported universities.

What is a "records retention and disposition schedule"?

This document is a tool for the employees of local governments across the state to use when managing the records in their offices.  It lists records (record series) commonly found in local government offices, and gives an assessment of their value (administrative, fiscal, legal, and/or historical) by indicating when (and if) those records should be destroyed.  This schedule is also an agreement between your county and municipality and the Department of Cultural Resources.

Why do I need to consult a records schedule?

According to G.S. 121-5 and G.S. 132-3, you may only destroy public records with the consent of the Department of Cultural Resources.  This schedule is the primary way DCR gives its consent.  Without approving a schedule, your county or municipality is obligated to obtain permission to destroy any record, no matter how insignificant.

How do you get the schedule approved?

This schedule must be approved by your governing board for use in your county or municipality.  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.

The Local Records Unit of the Department of Cultural Resources creates and updates the records schedules for local governments. To access the records schedules, click the links in the Learn More sidebar on the left of this page. The records schedules can also be found on the Government Records Branch Web site.

Format of a Records Schedule                            

A records schedule includes:

• Signature page
• Introduction that discusses:
• Using the records schedule
• Destruction of public records
• Records management workshops
• Microfilm and disaster assistance
• E-mail guidelines
• Standards, by which records series and disposition instructions are organized for separate functions

--Most records schedules will include the following standards:

• Administration & Management
• Budget, Fiscal, and Payroll
• Information Technology
• Legal
• Personnel
• Public Relations
• Risk Management
• Program Operational (listing those records that are unique to your Department)
• Request Forms
• Index

Elements of a Record Series

A record series refers to a group of similar records that are arranged according to a filing system and that are related as the result of being created, received, or used in the same activity (ex. Personnel File). A record series includes a record series title, description, disposition instructions, and in some instances, citations.

• The record series title is a brief phrase summarizing the form, function and/or subject of the records without the use of agency jargon or abbreviations. 
• For example, Communication Services Use Tax Returns is a more meaningful records series title than Form DR-700019; and Highway Planning Maps would be a more meaningful record series title than Road Files.
• The description of the record series identifies the purpose and function of the record series' with regard to the agency's operations.  It indicates how the record series is used, why it was created, and the types of information or subject matter the records contain.
• The disposition instructions:
• Instruct you on how long to keep the records and what to do with them. Examples:   
• Retain in office permanently.
• Destroy in office after 5 years.
• Set minimum retention periods.  Your office may elect to retain records longer, but be aware of the increased expense for storage and potential adverse legal consequences.  Keep in mind that the destruction of non-permanent records, when authorized by a records schedule, is a necessary part of good office and records management. 
• Are based on federal and state laws and regulations, records management practices, and your agency's administrative need.
• Include information about whether the record is subject to litigation or audit, and advises not to destroy your records if they are or may become involved in a legal action or an audit.  If you are uncertain, contact your department's legal counsel.
• The citation is applied to specific records that include confidential information and must be withheld from public inspection.  In this section of the record series, the specific state or federal statute will be cited for your reference.

The following is an example of a records schedule item:

How do I destroy a record once it has met its retention period?

After your county or municipality has approved your retention and disposition schedule, records should be destroyed in one of the following ways, as outlined in the NC Administrative Code 7.4.M.0510:

• burning
• shredding
• placing in acid vats
• burying
• selling as waste paper, provided that the purchaser agrees in writing that the documents or materials concerned will not be resold as documents or records.

How can I destroy records if they are not listed on a retention and disposition schedule?

Contact the Records Management Analyst assigned to your county or municipality.  Your 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 to be preserved permanently.

If the records do not have historical value, we will ask you to complete a Request and Approval of Unscheduled Records Disposal (located at the end of the schedule), if the records are not currently created. 

If the records are an active records series, your analyst will help you develop an amendment to the schedule so that you can continue to destroy the records appropriately.

Do I have to tell anyone about the destruction?

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.

Records Management Day

One way to incorporate records management into your office on a regular basis is to schedule a "Records Management Day".  The Local Records Unit recommends at least one day per year when everyone disposes of their records according to the approved records schedule.  An old saying is that if you don't manage your records, they will manage you!

Assess your knowledge of Records Retention and Disposition Schedules by answering this matching Quiz Me question.

 

Value: 1

Match the items. a b c 1. Record Series     a. refers to a group of similar records that are arranged according to a filing system and that are related as the result of being created, received, or used in the same activity; a file group (ex. Personnel File). a b c 2. Disposition Instructions     b.    are specific directions regarding the manner in which records are to be disposed (ex. keep them permanently; destroy them).  a b c 3. Signature Page     c. refers to the page attached to your records schedule, which is signed by your governing board, and the Secretary of the Department of Cultural Resources.

 

 

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