Governance - University Record Retention and Disposition Regulation

University Record Retention and Disposition Regulation

REG 01.25.12

Governance – General
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Authority: Issued by the Chancellor.

History: First Issued: August 14, 2007. Additional History Information.

Additional Reference:
Request for Approval of Unit Specific Schedule/Addenda
Unit Request for Destruction of Unscheduled Records
NCSU Individual Office Schedules
NC Department of Cultural Resources – Government Records Branch Website
NC Department of Cultural Resources – State Records Center Handbook
NC Department of Cultural Resources Guidelines for Managing Public Records Produced by Information Technology Systems

Contact Info: Vice Chancellor and General Counsel (919) 515-3071; University Archivist (515-5881)

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1. Introduction

1.1 N.C.G.S. 121-5 and 132-3 prohibits the destruction of any public record except in accordance with the consent of the North Carolina Department of Cultural Resources. On June 5, 2007, the Department of Cultural Archives approved a University General Records Retention and Disposition Schedule (“University General Schedule”) that consents to the destruction or other disposition of public records in accordance with the retention and disposition instructions specified in the schedule. The University General Schedule supersedes all previous editions, including the University General Schedule issued in 1991.

1.2 The University General Schedule may be supplemented by individual unit specific schedules (“Unit Specific Addenda”) submitted to the Department of Cultural Resources pursuant to the procedures outlined in this regulation. Unit specific schedules approved prior to June 5, 2007 are superceded and no longer effective.

1.3 This regulation recognizes the primacy of the University General Schedule and establishes a procedure for the adoption of institutional Unit Specific Addenda.

2. Records Retention and Disposition Policy Statement

2.1 The University General Schedule and all approved supplemental institutional Unit Specific Addenda govern the retention and disposition of all university records. Public Records, including electronic records, not listed in the schedule or in an official approved Unit Specific Addenda that meets the minimum retention periods specified in the University General Schedule may not be destroyed unless specific approval from the Department of Cultural Resources is obtained.

2.2 Public Records that have met their retention requirements under an approved schedule and which are not subject to legal or other audit holds and Unscheduled Records that have been specifically approved for destruction by the Department of Cultural Resources may be destroyed in one of the following ways: (1) burned; (2) shredded or torn up 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 material concerned; (4) buried under such conditions that the record nature of the documents or materials will be terminated; (5) sold as waste paper, provided that the purchaser agrees in writing that the documents or materials concerned will not be resold as documents or records; (6) deletion, overwriting, or erasure of electronically stored records in a manner approved by Information Technology staff, or (7) other methods of disposal that are proportionate to the confidentiality of the record (for example, routine non-confidential public records may be put in the trash, but records covered by confidentiality laws must be irretrievably destroyed).

2.3 Notwithstanding the instructions of the University General Schedule and approved institutional Unit Specific Addenda, any records subject to audit or official investigative proceedings or that relate to pending or probable litigation must be retained until the final conclusion of the audit, official proceedings or litigation and an official release has been communicated by either the Auditor or the Vice Chancellor and General Counsel, as applicable.

3. Scope

This regulation applies to all university personnel and covers all records, regardless of form, made or received in connection with the transaction of university business.

4. Definitions

4.1 “Public Record” means 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 transaction of public business by any agency of North Carolina government or its subdivisions. (N.C.G.S. 132-1)

4.2 “University Personnel” includes all employees of the university whether permanent, temporary, full-time or part-time, faculty, staff, administrators and student employees.

4.3 “Unscheduled Record” means any record not listed in a retention and disposition schedule or unit specific schedule approved by the Chancellor, General Counsel, Archivist and Department of Cultural Resources.

4.4 “Historical Value” means records that have administrative, legal, fiscal, or evidential importance as well as documenting significant events, actions, decision, conditions, relationships, and similar developments.

5. Procedures for Approval of Unit Specific Addenda

5.1 University units may need to seek approval for new or revised Unit Specific Addenda when specific unit records are not included in the University General Schedule or when existing approved Unit Specific Addenda need revision. If units cannot locate particular records in the University General Schedule or a unit specific addenda needs revision, the unit should contact the University Archivist for assistance.

5.2 If the University Archivist determines that there is no appropriate record series in the University General Schedule or existing Unit Specific Addenda that meets the needs of the unit, the unit must submit a “ Request for Approval of Unit Specific Schedule/Addenda ” form to the University Archivist who will consult with the Office of Legal Affairs. If the request is approved, the University Archivist shall forward the form to the Chancellor for approval and then to the Department of Cultural Resources for final approval. Unit Specific Addenda are not effective until approved by the Department of Cultural Resources and electronically published by the University as Unit Specific Addenda.

5.3 A request for approval of unit specific schedule/addenda must meet the minimum retention requirements set forth in the University General Schedule.

6. Procedures for Seeking Approval for the Destruction of Unscheduled Records

Authorization for destruction of Unscheduled Records may be obtained from the Department of Cultural Resources. To obtain such approval, the unit must submit a “ Unit Request for Destruction of Unscheduled Records ” to the University Archivist. If the University Archivist determines that the record has historical value, the unit will be notified of the possibility of transferring the record(s) to the Archives or to another designated, authorized permanent storage area. If the University Archivist determines that the records do not have historical value and that they no longer have administrative value, the Archivist will forward the Request for Destruction of Unscheduled Records to the Department of Cultural Resources. No destruction of any Unscheduled Record may take place until the unit is notified in writing of the approval of the Department of Cultural Archives.

7. Unit Responsibilities

University units are responsible for establishing appropriate record retention management practices that are consistent with this regulation and the procedures of the University General Schedule and approved Unit Specific Addenda. Each unit head should identify and appoint a records manager who shall be responsible for ensuring (a) that unit records are retained and disposed of in accordance with the University General Record Schedule and Unit Specific Addenda, (b) that access to confidential university records and information is restricted, (c) that records with historical value are delivered to the University Archivist, and (d) that accurate records of destruction or transfer activity are maintained. The records manager shall also process appropriate unit requests for approval of unit specific addenda, as necessary. Records managers should be familiar with the guidelines contained in the State Records Center Handbook.

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