Records Retention and Disposition at NCSU

Adapted from the introduction to the University General Schedule (April 2007).

Approved Retention and Disposition Schedules

Records Retention Regulations

Public Records

Non-Paper Records

University General Schedule Explained

Records Not on the University General Schedule

Records Requiring Permanent Retention

Transferring Records to the University Archives

Destruction of Records

Regulations Governing Records Retention and Disposition

According to North Carolina General Statutes 121-5 and 132-3, public records (see below) of any campus in the UNC System can only be destroyed with the consent of the Department of Cultural Resources (DCR) of the State of North Carolina. DCR gives its consent primarily through the new University General Records Retention and Disposition Schedule (or University General Schedule), supplemented by unit specific addenda schedules (sometimes called individual office schedules). At NCSU, record retention and disposition is codefied in the Policies, Regulations and Rules REG 01.25.12. Records (regardless of media) that are not listed on a retention and disposition schedule may not be destroyed without the consent of DCR, the Office of Legal Affairs, and the university archivist.

Public Records

Public records at NCSU are defined in REG 01.25.12, Paragraph 4, which follows the definition stated in Chapter 132 of the General Statutes of North Carolina.

Publications produced by NCSU units are considered records, and at least one copy must be retained permanently.

Non-Paper Records

The following items are considered public records if they have been created or maintained during the course of university business:

Computer files (including drafts, e-mails, and web sites)
Video and audio recordings
Photographs

Any record can be scanned, including permanent records. Offices should follow the instructions in the North Carolina Guidelines for Managing Public Records Produced by Information Technology Systems to conduct the Self-Warranty process. Consult with the university archivist or the Office of Legal Affairs before destroying any permanent records on paper that have been digitized. Computer systems do not have long life cycles. Each time you change computer systems, you will have to convert all records to the new system so that you can assure their preservation and provide access. In many cases, in view of technological obsolescence, especially of software, only paper or microfilm is suitable for permanent preservation. The essential task is to assure that records with historical value remain accessible indefinitely into the future.

Non-permanent records may be retained in any format. You will have to take precautions with records that you must keep longer than approximately 10 years for the same reasons addressed above regarding the short life cycle of computer systems. Your office will still be required to conduct the Self-Warranty process described above. 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.

General Schedule for UNC System

The University General Schedule is a tool for the staff and faculty of the institutions of higher education in the University of North Carolina System (UNC) to use when managing the records in their offices. It lists records commonly found in university offices and gives an assessment of their value by indicating when (and if) those records should be destroyed. The university archivist at each campus is authorized to retain any record that he or she deems to have archival value. This schedule is also an agreement between the UNC System and DCR.

NCSU’s use and application of this University General Schedule falls under the direction and authority of the chancellor, the vice chancellor and general counsel, and the university archivist. This schedule serves as the inventory and schedule that the Department of Cultural Resources is directed by G.S. 121-5 (c) and G.S. 132-8 to provide. It supersedes all previous editions, including the University General Schedule issued in 1991.

The introduction of the University General Schedule allows the following short-term records to be destroyed when their reference value ends:

facsimile cover sheets containing only transmittal ("to" and "from") information, or information that does not add significance to the transmitted material
routing slips or other records that transmit attachments
reservations and confirmations
personal messages (including electronic mail) not related to official business
preliminary or rough drafts containing no significant information that is not also contained in the final drafts of the records
documents downloaded from the World Wide Web or by file transfer protocol not used in the transaction of business
records that do not contain information necessary to conduct official business, meet statutory obligations, carry out administrative functions, or meet organizational objectives

Records Not on the University General Schedule

Records cannot be destroyed if they are not listed on a retention and disposition schedule.
If offices cannot locate particular records in the University General Schedule, they should contact the University Archives (call 513-3763 or send e-mail) or call the Office of Legal Affairs (515-3071). Sometimes an appropriate series in the schedule can be found to cover these records, even if the records are not specifically named.
If it is determined that the University General Schedule does not cover certain records, a Unit Specific Addenda Schedule can be created to cover them. Procedures for creating addenda schedules can be found in Policies, Regulations and Rules REG 01.25.12, Paragraph 5.
Alternately, units may submit a request for destruction of unscheduled records. Procedures can be found in Policies, Regulations and Rules REG 01.25.12, Paragraph 6.

Records Requiring Permanent Retention

Certain university records have high historical value. The University General Schedule and the unit specific addenda schedules mandate their permanent retention and transfer to the University Archives. Such records document significant events, actions, decisions, conditions, relationships, and similar developments. These records have administrative, legal, fiscal, or evidential importance for the university, for state government, or for its citizens.

There is a quick-reference list of those records in the University General Schedule that should be transferred to the University Archives. There are also Guidelines on the Value of Records that can help determine if something requires permanent retention.

Contact the University Archives (call 513-3763 or send e-mail) if you have questions about whether or not records require permanent retention.

Transferring Records to the University Archives

When no longer used in the offices to which they pertain, many records requiring permenent retention shuold be transferred to the University Archives.
Offices should follow special instructions when transferring materials to the University Archives.
Office files should be transferred to the Archives in the order arranged during their use, since their organization reflects the functions and activities of the office that created the records.

Destruction of Records

The majority of records created by faculty and staff in the course of conducting university business will probably not require permanent retention.
Records can be destroyed only if they are listed on a schedule AND the schedule indicates that the records should be destroyed after a particular time period.
Records must not be destroyed prior to the end of the time period specified in the schedule.
Records should be destroyed after the end of the time period specified in the schedule, although this does not need to be done on exactly that last day. Best practices, however, recommend that destruction must be done as soon as practicable and that offices should not hold on to records for long amounts of time after the retention period.
Destruction of records is the responsibility of the offices that have been maintaining those records.
Confidential records should be destroyed in a secure manner so that the information contained in them cannot be viewed, used, or recreated. For electronic records, permanent erasure or deletion of records or data may require specialized software, equipment, and/or skills. Physical destruction of hard drives, magnetic tapes, CDs, DVDs, or other electronic storage media is another means of disposal of media containing confidential or sensitive electronic records or data.
Policies, Regulations and Rules REG 01.25.12, Paragraph 2.2, has information on methods to be used to destroy records.