SCHEDULESA NEW PROCESS FOR RECORDS SCHEDULING

AT THE

STATE ARCHIVES OF NORTH CAROLINA

Functional

What is a FUNCTIONAL SCHEDULE?

Functional Analysis

Focuses on:►Agency’s core functions►Records that document

those core functions

Process

16 schedules drafted

15 schedules reviewed by expert stakeholders

12 schedules reviewed at SANC

6 revised schedules posted on blog

CB drafts schedule

expert stakeholders review schedule

internal review of schedule at SANC

blog post seeking comments

usability review

Functions Agency

Management Asset Management Economic

Development Education Financial

Management Governance Healthcare Human Resources

► Information Technology► Infrastructure

Management►Law Enforcement►Legal►Monitoring and

Compliance►Public Assistance and

Support Services►Public Relations►Risk Management

Agency Management

Agency Management

1.1 Establishing Organizational Structure

1.2 Information Management1.3 Operations1.4 Reporting1.5 Strategic Management

Asset Management

Asset Management

2.1 Natural and Cultural Resource Management

2.2 Property, Facility, Equipment, and Supplies Management

Economic Development

Economic Development

3.1 Business Recruitment and Services

3.2 Tourism

Education

Education

4.1 Administration4.2 Credentialing4.3 Curriculum and Assessment

Development4.4 Governor’s School of North

Carolina4.5 Student Progress

Financial Management

Financial Management

5.1 Accounting5.2 Budgeting5.3 Grants Management5.4 Investment Management5.5 Lending5.6 Procurement5.7 Tax Management

Governance

Governance

6.1 Administering Elections6.2 Governing and Advising6.3 Lawmaking and Rulemaking

Healthcare

Healthcare7.1 Administration

7.2 Business Office and Patients’/Residents’ Financial Records

7.3 Clinical Records

7.4 Health-Related Research

7.5 Laboratory Services

7.6 Nuclear Medicine, Radiation Therapy, and Radiology Records

7.7 Nursing Services

7.8 Pharmacy Records

7.9 Social Services and Acute Care Records

7.10 Utilization Review Records

Human Resources

Human Resources

8.1 Administrative Investigations8.2 Attendance and Leave8.3 Benefits8.4 Evaluations and Certifications8.5 Payroll Management8.6 Personnel Management8.7 Position Management8.8 Staff Development

Information Technology

Information Technology

9.1 Data Administration9.2 Network and System

Administration

Infrastructure Management

Infrastructure Management

10.1 Construction Management10.2 Design and Planning10.3 Transportation Management

and Safety

Law Enforcement

Law Enforcement

11.1 Corrections Management11.2 Crime Prevention11.3 Criminal Investigations11.4 Executive Protection and

Special Security Event Services11.5 Fugitive and Criminal

Apprehension and Other Searches

11.6 Traffic Safety

Legal

Legal

12.1 Affidavits, Authorizations, and Authentications

12.2 Contract Management12.3 Court Records12.4 Deposited Records12.5 Hearings12.6 Legal Matters Management

Monitoring and Compliance

Monitoring and Compliance13.1 Accountability and Oversight13.2 Authorizing and Licensing13.3 Enforcement

Public Assistance and Support Services

Public Assistance and Support Services14.1 Claims and Support Services14.2 Social Services14.3 Unemployment Assistance and

Workforce Development

Public Relations

Public Relations

15.1 Agency Publications15.2 Community Relations15.3 Development15.4 Marketing and Publicity15.5 Programming and Training

Risk Management

Risk Management

16.1 Accidents, Incidents, and Damage

16.2 Emergency Management16.3 Hazardous Materials

Management16.4 Insurance16.5 Office Safety and Security

So what will thefunctional schedule

LOOK LIKE?

Records Control Numbers

Function Sub-function Record Type Retention Abbreviation

15 4 5 A

Triggers• Adoption of plan: With a record such as a strategic plan, the

retention period begins as soon as the plan is adopted by the governing body.

• Closed: With a record such as an investigation, the retention period begins once the case is closed.

• Complete: With a record such as a report, the retention period begins once the report has been finalized.

• Execution of plan: With a record such as a business plan, the retention period begins once the plan has been carried out.

• Reference value ends: Once the content of a record is no longer useful or significant, it can be destroyed. This disposition is usually applied to records that were not created by the agency.

• Service ends: With a record relating to an appointed office, the retention period begins once the term of service ends.

• Superseded or Obsolete: With any record that is produced in versions, an older version can be destroyed when the new version is received.

Granularity

Transferring Records We will still accept paper records at

the SRC for eventual destruction or transfer to the Archives

Item numbers are still important

Total Records Series

Records Series transfer toSRC for destructionRecords Series transfer toArchives

Transferring Records (cont.)

Functional schedules are based on best practice

If an agency decides to keep records longer than recommended, they need to document that in internal procedures

Signatures List relevant functions

Overview

Signatures by CRO & Secretary

Lists of archival records and records scheduled to transfer to SRC for eventual destruction

IMPORTANT

Agencies are NOT required to create records merely because they are described on a functional schedule

Time Line

Winter 2017

• Agency Crosswalk Meetings

Fall 2017

• Release Functional Schedules

Feb-Aug 2017

• Develop 8 Functions

• Meet with Stakeholders

May-Dec2016

• Develop 8 Functions

• Meet with Stakeholders

Summer 2017: Functional Schedules Training

Training Opportunities

• Agency meetings• Overview in LMS• In-person MPR 2.0

Crosswalking Tools

Crosswalking Tools

Asks from Agencies• Review functional schedules• Provide relevant citations

regarding authorities, confidentiality, and retention

• Appoint records liaisons• Verify active/inactive records series

and entities within agency• Assist in determining appropriate

dispositions for legacy items• Inventory office records• Identify relevant functions for your

agency• Provide suggestions for training• Promote training opportunities

within agency

Asks from Agencies• Review functional schedules• Provide relevant citations

regarding authorities, confidentiality, and retention

• Appoint records liaisons• Verify active/inactive records series

and entities within agency• Assist in determining appropriate

dispositions for legacy items• Inventory office records• Identify relevant functions for your

agency• Provide suggestions for training• Promote training opportunities

within agency

Other Training Tools

Blog

https://ncrecords.wordpress.com/

Contact Us

Becky McGee-Lankford 919-807-7353becky.mcgee-lankford@ncdcr.gov

Courtney Bailey 919-807-7368courtney.bailey@ncdcr.gov

List of state agencies with records analyst names:http://archives.ncdcr.gov/For-Government/Services-

and-Training/Chief-Records-Officers