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SCHEDULES A NEW PROCESS FOR RECORDS SCHEDULING AT THE STATE ARCHIVES OF NORTH CAROLINA Functional
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 [email protected]
Courtney Bailey [email protected]
List of state agencies with records analyst names:http://archives.ncdcr.gov/For-Government/Services-
and-Training/Chief-Records-Officers
