Records Management

Effective 07/01/03
Updated 06/25/07


 

East Carolina University General Schedule

Records Retention & Disposition Schedule

General Schedule

Administrative/Business Financial Records

ACADEMIC COMMITTEES FILE
ACCREDITATION FILE
ADMINISTRATIVE FILE
APPELLATE COMMITTEES FILE
BUDGETS FILE
CALENDAR OF EVENTS FILE
COMMITTEES AND COUNCILS FILE
CONFERENCES AND WORKSHOPS CONDUCTED FILE
CONTRACTS, AGREEMENTS, AND LEASES FILE
CORRESPONDENCE FILE
DEPARTMENT HEAD'S FILE
DEPARTMENTAL HISTORY FILE
ENERGY CONSERVATION FILE
FACULTY MEETINGS FILE
FIRE AND SAFETY FILE
GRANT PROPOSALS FILE
GRANTS FILE
MAILING LISTS FILE
POLICIES AND PROCEDURES FILE
PROCUREMENT CARD FILE
PROFESSIONAL ORGANIZATIONS AND ASSOCIATIONS FILE
PUBLICATIONS FILE
PURCHASE ORDERS FILE
RECEIPTS FILE
REFERENCE FILE
RESEARCH PROJECTS FILE
SELF-STUDIES FILE
STAFF MEETINGS FILE
SUPPLIES AND EQUIPMENT FILE
SURPLUS PROPERTY FILE
TELEPHONE BILLINGS FILE
TRAVEL REQUESTS AND REIMBURSEMENTS FILE
UNIT ANNUAL PROGRESS REPORT FILE
UNIVERSITY CODE FILE
WORK ORDERS FILE

Course Records

CLASS SCHEDULES FILE
COURSE LISTINGS FILE
COURSE SYLLABI/OUTLINES FILE
DEPARTMENTAL PROGRAMS FILE
MASTER COURSE FILE
NEW COURSE PROPOSALS FILE
SUMMER SCHOOL FILE
TEXTBOOK FILE

Medical/Research Records

CLINICAL RESEARCH FILE
PATIENT REFERENCE FILE

Personnel Records

ACCIDENT REPORTS FILE
AFFIRMATIVE ACTION/EQUAL OPPORTUNITY FILE
APPLICATIONS FOR EMPLOYMENT FILE
CLINICAL SUPPORT SERVICES (CSS) REFERENCE FILE
CONFERENCES AND WORKSHOPS ATTENDED FILE
EXEMPT FROM PERSONNEL ACT (EPA) EMPLOYEE PERSONNEL FILE
FACULTY AWARD AND HONORS FILE
FACULTY LISTINGS FILE
FACULTY RECRUITMENT FILE
GRIEVANCES FILE
LEAVE FILE
OVERTIME FILE
PAYROLL TIME SHEETS FILE
PERSONNEL ACTION DOSSIER FILE
POSITION DESCRIPTION FILE
SEARCH COMMITTEE FILE
SELF-HELP, WORK STUDY AND TEMPORARY EMPLOYEE PAYROLL FILE
SUBJECT TO PERSONNEL ACT (SPA) REFERENCE FILE
WORKERS' COMPENSATION LITIGATION AND CLAIMS FILE

Student Records

ACADEMIC RECORDS FILE
APPLICATIONS FOR GRADUATION FILE
CAREER PLANNING/PLACEMENT RECORDS FILE
COMPLETED EXAMINATIONS FILE
COMPREHENSIVE EXAMINATIONS RESULTS FILE
COMPREHENSIVE EXAMINATIONS FILE
CREDITS BY EXAMINATION FILE
DEGREE LISTING FILE
DROP/ADD FORMS FILE
FINANCIAL AID FILE
GRADE DISTRIBUTION FILE
GRADE LISTINGS FILE
GRADUATE LISTINGS FILE
INDIVIDUAL PLACEMENT TEST SCORES FILE
INTERNSHIPS/ASSISTANTSHIPS FILE
LOAN RECIPIENTS' COLLEGE ENROLLMENT VERIFICATIONS FILE
MASTERS PROGRAM APPROVED APPLICANT ADMISSION FILE
MASTERS PROGRAM DENIED APPLICANT ADMISSION FILE
MASTERS PROGRAM GRADUATES FILE
MASTERS PROGRAM STUDENTS CURRENTLY ENROLLED FILE
MASTERS PROGRAM TERMINATIONS FILE
RAISED GRADE FILE
SCHOLARSHIP AWARDS FILE
STUDENT AWARDS AND HONORS FILE
STUDENT LOANS FILE
STUDENT RANKINGS FILE
STUDENT RECORDS CHANGES FILE
STUDENT REFERENCE FILE
TRANSFER ADMISSIONS FILE
TRANSFER EQUIVALENTS FILE
VETERANS' BENEFITS FILE

 



Series descriptions refer to all record formats, paper and electronic. See introduction for information regarding electronic records.

There is an indication of office(s) of record for each records group. These offices should consult their individual schedule to see if there are different disposition requirements.

Administrative/Business Financial Records

Series descriptions refer to all record formats, paper and electronic. See introduction for information regarding electronic records.

There is an indication of office(s) of record for each records group. These offices should consult their individual schedule to see if there are different disposition requirements.

Item 1. ACADEMIC COMMITTEES FILE

Reference copies of minutes of meetings, reports, notifications, correspondence, and other pertinent records.

DISPOSITION INSTRUCTIONS: Destroy in office when reference value ends.
Office of Record: Faculty Senate

Item 2. ACCREDITATION FILE

Records concerning departmental accreditation. File may include correspondence, reports, questionnaires, guides, and other related records.

DISPOSITION INSTRUCTIONS: Transfer to the custody of the University Archives after 10 years for appraisal and final disposition.
Office of Record: Individual office and SACS Office

Item 3. ADMINISTRATIVE FILE

Records concerning the administration of office. File may include reports, memorandums, correspondence, directives and other related records.

DISPOSITION INSTRUCTIONS: Transfer to the Unviersity Records Center after 3 years. Records will be retained for office in the University Records Center 2 additional years and then transferred to the custody of the University Archives for appraisal and final disposition.
Office of Record: Individual Office

Item 4. APPELLATE COMMITTEES FILE

Reference copies of minutes of meetings, reports, notifications, correspondence, and other pertinent records. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy in office when reference value ends.
Office of Record: Faculty Senate

Item 5. BUDGETS FILE

Reference copies of budgetary records. File may include budget reports, requests for budget changes, budget authorizations and other related records.

DISPOSITION INSTRUCTIONS: Destroy in office after 3 years if no litigation, claim, audit, or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Accounts Payable, Foundation Financial Services, Special Funds, Sponsored Programs and University Budget Office

Item 6. CALENDAR OF EVENTS FILE

Reference copies of university calendars of events.

DISPOSITION INSTRUCTIONS: Destroy in office when superseded or obsolete.
Office of Record: Special Events & Protocol and University Union

Item 7. COMMITTEES AND COUNCILS FILE

Records concerning various committees and councils created by the department. File may include minutes of meetings, reports, notifications, correspondence, and other pertinent records.
DISPOSITION INSTRUCTIONS: Transfer to the University Records Center after 3 years. Records wil be retained for office in the University Records Center 2 additional years and then transferred to the custody of the University Archives for appraisal and final disposition.
Office of Record: Individual office and Faculty Senate

Item 8. CONFERENCES AND WORKSHOPS CONDUCTED FILE

Records concerning conferences and workshops conducted by staff or office personnel. File may include correspondence, agendas, programs, reports, training materials, handouts, reservations, critiques, questionnaires, and other related records.

DISPOSITION INSTRUCTIONS: Transfer to the University Records Center after 3 years. Records will be retained for office in the University Records Center 2 additional years and then transferred to the custody of the University Archives for appraisal and final disposition.
Office of Record: Individual office

Item 9. CONTRACTS, AGREEMENTS, AND LEASES FILE

Contracts, agreements, and leases with consultants, vendors and other firms concerning services, equipment and other obligations.

DISPOSITION INSTRUCTIONS: Destroy in office after 5 years if no litigation, claim, audit or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Individual office, Materials Management and University Attorney

Item 10. CORRESPONDENCE FILE

Official office correspondence.

DISPOSITION INSTRUCTIONS: Print and interfile with related paper records. Destroy in office electronic versions of records that were printed and filed when reference value ends. Transfer paper records to the University Records Center after 2 years. Records will be retained for office in the University Records Center 4 additional years and then transferred to the custody of the University Archives for appraisal and final disposition.
Office of Record: Individual office in accordance with the University Electronic Mail Policy, see also General Schedule Introduction, Electronic Mail as a Public Record

Item 11. DEPARTMENT HEAD'S FILE

Records maintained by the Department Head concerning departmental programs and activities. File may include correspondence, memorandums, reports, directives, and other related records.

DISPOSITION INSTRUCTIONS: Tansfer to the University Records Center after 3 years. Records will be retained for office in the University Records Center 2 additional years and then transferred to the custody of the University Archives for appraisal and final disposition.
Office of Record: Individual office

Item 12. DEPARTMENTAL HISTORY FILE

Records concerning the history of the department. File includes publications, newsletters, reports, correspondence, photographs, and other related records.

DISPOSITION INSTRUCTIONS: Transfer to the custody of the University Archives when reference value ends for appraisal and final disposition.
Office of Record: Individual Office

Item 13. ENERGY CONSERVATION FILE

Records concerning energy conservation measures.

DISPOSITION INSTRUCTIONS: Destroy in office after 5 years.
Office of Record: Facilities Maintenance & Operations

Item 14. FACULTY MEETINGS FILE

Records concerning departmental faculty meetings.

DISPOSITION INSTRUCTIONS: Transfer to the University Records Center after 2 years. Records will be retained for office in the University Records Center 1 additional year and then transferred to the custody of the Unviersity Archives for appraisal and final disposition.
Office of Record: Individual office

Item 15. FIRE AND SAFETY FILE

Inspections and reports concerning fire and safety inspections within the department. File may include correspondence and other related records.

DISPOSITION INSTRUCTIONS: Destroy in office after 3 years.
Office of Record: Environmental Health & Safety

Item 16. GRANT PROPOSALS FILE

Proposals for departmental grants.

DISPOSITION INSTRUCTIONS: Transfer records concerning approved grants to Grants File when notified of approval. Destroy in office rejected or withdrawn grant proposals 4 years after rejection or withdrawal.
Office of Record: Individual office and Office of Sponsored Programs

Item 17. GRANTS FILE

Records concerning grants awarded to and/or administered by the department. File includes administrative documents, reports, regulations and guidelines, correspondence, audits, and other related records.

DISPOSITION INSTRUCTIONS: Transfer to the University Records Center 2 years after termination of grant if no litigation, claim, audit or other official action involving the records has been initiated. Records will be retained for office in the University Records Center 1 additional year and then transferred to the custody of the University Archives for appraisal and final disposition.
Office of Record: Individual office, Office of Sponsored Programs and Grants & Contracts

Item 18. MAILING LISTS FILE

Reference copies of departmental mailing lists.

DISPOSITION INSTRUCTIONS: Destroy in office when superseded or obsolete.
Office of Record: Individual office

Item 19. POLICIES AND PROCEDURES FILE

Reference copies of current policies and procedures.

DISPOSITION INSTRUCTIONS: Destroy in office when superseded or obsolete.
Office of Record: Division administrative offices

Item 20. PROCUREMENT CARD FILE

Reference copies of statements, bills and payments.

DISPOSITION INSTRUCTIONS: Destroy in office after 2 years if no litigation, claim, audit or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Materials Management

Item 21. PROFESSIONAL ORGANIZATIONS AND ASSOCIATIONS FILE

Records concerning professional organizations and associations with which the department deals. File may include reports, correspondence, publications, newsletters, and other related records.

DISPOSITION INSTRUCTIONS: Transfer correspondence and reports after 3 years to the University Records Center. Records will be retained for office in the University Records Center 2 additional years and then transferred to the University Archives for appraisal and final disposition. Destroy in office remaining records after 5 years.
Office of Record: Individual office

Item 22. PUBLICATIONS FILE

Publications produced by and concerning the activities and programs of the unit.

DISPOSITION INSTRUCTIONS: Transfer 2 copies to the custody of the University Archives at the conclusion of each fiscal year for permanent retention. Transfer copies (as required) to the State Document Clearinghouse, North Carolina State Library when received from the printer, in accordance with GS 125-11.8 (b). Destroy in office remaining copies when reference value ends.
Office of Record: Individual office

Item 23. PURCHASE ORDERS FILE

Reference copies of purchase orders for supplies and equipment.

DISPOSITION INSTRUCTIONS: Destroy in office after 2 years if no litigation, claim, audit or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Materials Management

Item 24. RECEIPTS FILE

Records (receipt books, etc.) detailing amoutns received by department from various sources.

DISPOSITION INSTRUCTIONS: Destroy in office after 2 years if no litigation, claim, audit, or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Cashier's Office

Item 25. REFERENCE FILE

Reference information concerning subjects pertinent to or of interest to the department. File may include publications, reports, directives and guidelines, news articles, and other related records.

DISPOSITION INSTRUCTIONS: Destroy in office when superseded or obsolete.
Office of Record: Individual office

Item 26. RESEARCH PROJECTS FILE

Records concerning various departmental research projects. File may include reports, correspondence, project descriptions, and other related records.

DISPOSITION INSTRUCTIONS: Transfer after 4 years to the University Records Center. Records will be retained for office in University Records Center 1 additional year and then transferred to the custody of the University Archives for appraisal and final disposition.
Office of Record: Individual office

Item 27. SELF-STUDIES FILE

Self-studies conducted by the department.

DISPOSITION INSTRUCTIONS: Transfer to the custody of the Unviersity Archives after 5 years for appraisal and final disposition.
Office of Record: Individual office and SACS Office

Item 28. STAFF MEETINGS FILE

Records concerning departmental staff meetings.

DISPOSITION INSTRUCTIONS: Transfer to the University Records Center after 2 years. Records will be retained for office in the University Records Center 1 additional year and then transferred to the custody of the University Archives for appraisal and final disposition.
Office of Record: Individual office

Item 29. SUPPLIES AND EQUIPMENT FILE

Records concerning supplies and equipment. File may include accounting records, operating manuals, warranties, inventories, and other related records.

DISPOSITION INSTRUCTIONS: Destroy in office inventory lists when superseded. Dispose of warranties and operating manuals in accordance with instructions of Property Office upon final disposition of equipment. Destroy in office accounting records after disposition of equipment if no litigation, claim, audit or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved. Destroy in office remaining records when superseded or obsolete.
Office of Record: Individual office

Item 30. SURPLUS PROPERTY FILE

Records concerning surplus property and its disposition. File may include inventories, records of disposal, accounting information, and other related records.
DISPOSITION INSTRUCTIONS: Destroy in office 3 years after disposition of property if no litigatin, claim, audit or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Individual office and Facilities Services

Item 31. TELEPHONE BILLINGS FILE

Reference copies of monthly office telephone bills.
DISPOSITION INSTRUCTIONS: Destroy in office after 1 year if no litigation, claim, audit or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Telecommunications Office and Accounts Payable

Item 32. TRAVEL REQUESTS AND REIMBURSEMENTS FILE

Authorizations and requests for reimbursement for travel and related expenses.

DISPOSITION INSTRUCTIONS: Destroy in office official/audit copies after 3 years if no litigation, claim, audit or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved. Destroy in office remaining records after 1 year.

Item 33. UNIT ANNUAL PROGRESS REPORT FILE

Reports concerning annual summary of departmental activities.

DISPOSITION INSTRUCTIONS: Transfer 1 copy to the custody of the University Archives at the conclusion of each academic year for permanent retention. Retain 1 copy in office permanently. Destroy in office remaining copies when reference value ends.
Office of Record: Individual office, Provost, Vice Chancellor for Administration & Finance, Vice Chancellor for Health Sciences, Vice Chancellor for Institutional Advancement, and Vice Chancellor for Research/Graduate Studies

Item 34. UNIVERSITY CODE FILE

Reference copies of the University Code.

DISPOSITION INSTRUCTIONS: Destroy in office when superseded or obsolete.
Office of Record: Faculty Senate

Item 35. WORK ORDERS FILE

Reference copies of work orders submitted to Facilities Services.

DISPOSITION INSTRUCTIONS: Destroy in office 1 year after completion of work.
Office of Record: Facilities Services

 

 

Course Records

Series descriptions refer to all record formats, paper and electronic. See introduction for information regarding electronic records.

There is an indication of office(s) of record for each records group. These offices should consult their individual schedule to see if there are different disposition requirements.

Item 36. CLASS SCHEDULES FILE

Reference copies of departmental class schedules.
DISPOSITION INSTRUCTIONS: Destroy in office after 5 years.
Office of Record: Individual office and Registrar

Item 37. COURSE LISTINGS FILE

Listings of courses currently offered by department.

DISPOSITION INSTRUCTIONS: Destroy in office after 5 years.
Office of Record: Individual office and Registrar

Item 38. COURSE SYLLABI/OUTLINES FILE

Syllabus or outline of each course offered by department.

DISPOSITION INSTRUCTIONS: Destroy in office when superseded or obsolete.
Office of Record: Individual office

Item 39. DEPARTMENTAL PROGRAMS FILE

Records concerning departmental academic programs. File includes program proposals and descriptions, accounting records, administrative records, correspondence, and other pertinent records.

DISPOSITION INSTRUCTIONS: Transfer to the University Records Center after 2 years. Records will be retained for office in the University Records Center 3 additional years and then transferred to the custody of the University Archives for appraisal and final disposition.
Office of Record: Individual office

Item 40. MASTER COURSE FILE

Records concerning each course taught by department faculty. File includes course schedules.

DISPOSITION INSTRUCTIONS: Retain in office permanently.
Office of Record: Individual office

Item 41. NEW COURSE PROPOSALS FILE

Records concerning each proposed new course. File may include course descriptions, justifications, projected schedules, and other related records.

DISPOSITION INSTRUCTIONS: Destroy in office when reference value ends.
Office of Record: Individual office

Item 42. SUMMER SCHOOL FILE

Reference information concerning courses taught by department during each summer school session. File includes schedules, listings of instructors, and administrative records.

DISPOSITION INSTRUCTIONS: Destroy in office after 5 years.
Office of Record: Individual office and Registrar

Item 43. TEXTBOOK FILE

Records concerning orders of textbooks and other publications by department.

DISPOSITION INSTRUCTIONS: Erase/destroy in office when reference value ends.File maintenance and backup procedures conducted by Information Technology and Computing Services (ITCS).
Office of Record: Student Store

 

Medical/Research Records

Series descriptions refer to all record formats, paper and electronic. See introduction for information regarding electronic records.

There is an indication of office(s) of record for each records group. These offices should consult their individual schedule to see if there are different disposition requirements.

Item 44. CLINICAL RESEARCH FILE

Records concerning clinical research performed by the unit. File may include all research protocols, consent forms, pertinent research data, and other related records. (Comply with applicable provisions of 21 CFR 312, 21 CFR 812, 20 USCA 1232g and common law principles of physician-patient privilege regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy in office after 3 years, if notified of FDA withdrawal or withdrawal by sponsor marketing product and if no litigation, claim, audit or other official action has been filed. If no FDA or sponsor notification occurs, transfer to the University Records Center 3 years after completion of project. Records will be retained for office in the Records Center 12 additional years if no notification of FDA or sponsor action occurs regarding the records and then destroyed if no litigation, claim, audit or other official action has been filed. If FDA or sponsor notification occurs, destroy in University Records Center 3 years after notification. If official action has been initiated, destroy in the University Records Center upon completion of action and resolution of issues involved.
Office of Record: Individual office

Item 45. PATIENT REFERENCE FILE

Official and reference copies of records concerning patients' medical information. File may include correspondence, diagnostic reports, insurance/billing information, laboratory data, x-rays, catheterization reports, and other related records. (Official copies maintained at either Pitt County Memorial Hospital Medical Records or ECU Medical Records.) (Comply with applicable provisions of 20 USCA 1232g, Health Insurance Portability and Accountability Act of 1996 and common law principles of physician-patient privilege regarding confidentiality of heatlh-related information.)

DISPOSITION INSTRUCTIONS: Transfer official copy to Pitt County Memorial Hospital Medical Records and/or ECU Medical Records, as appropriate, at the conclusion of each consultation. Destroy in office reference copy when administrative value ends if no litigation, claim, audit, or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Pitt County Memorial Hospital Records and ECU Medical Records. This file is sometimes called a Consultation File or Medical Records File.

 

Personnel Records

Series descriptions refer to all record formats, paper and electronic. See introduction for information regarding electronic records.

There is an indication of office(s) of record for each records group. These offices should consult their individual schedule to see if there are different disposition requirements.

Item 46. ACCIDENT REPORTS FILE

Records concerning accidents involving office employees or equipment.

DISPOSITION INSTRUCTIONS: Transfer records resulting in workers' compensation claims to Workers' Compensation Litigation and Claims File (Item G64). Destroy in office remaining records after 3 years if no litigation, claim, audit or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolutin of issues involved.
Office of Record: Environmental Health & Safety

Item 47. AFFIRMATIVE ACTION/EQUAL OPPORTUNITY FILE

Records concerning departmental participation in affirmative action/equal opportunity programs. File may include correspondence, reports, guidelines, and directives, and other related records. (Comply with applicable provisions of G.S. 126-22, 126-23, 126-24 regarding confidentiality of personnel records.)

DISPOSITION INSTRUCTIONS: Destroy in office after 5 years if no litigation, claim, audit or other official action involving the records has been initiated. If official action has been initiated, destroy in office after resolution of issues involved.
Office of Record: Equal Employment Opportunity Office, Human Resources and University Attorney

Item 48. APPLICATIONS FOR EMPLOYMENT FILE

Applications for employment within department. File may include resumes, recommendations, correspondence, and other related records. (Comply with applicable provisions of G.S. 126-22 regarding confidentiality of personnel records.)

DISPOSITION INSTRUCTIONS: Transfer applications and other records for individuals hired to appropriate personnel file when individual accepts position. Transfer applications for individuals not hired for SPA or CSS positions to Human Resources when position is filled. Destroy in office applications for EPA positions and other records that are unsolicited and for individuals not hired for EPA positions 2 years after vacancy is filled or position closed, if no charge of discrimination has been filed. If charge has been filed, destroy in office 1 year after resolution of charge.
Office of Record: Human Resources

Item 49. CLINICAL SUPPORT SERVICES (CSS) REFERENCE FILE

Records concerning employees excepted from personnel act under GS 116-37. File may include personnel action forms, resumes, job descriptions, and other related records. (Comply with applicable provisions of GS 126-7 regarding confidentiality of personnel records.)

DISPOSITION INSTRUCTIONS: Destroy in office 1 year after employee terminates service after verifying that records are duplicates of those in Human Resources office. Transfer to Human Resources office any unique records to be incorporated into the official personnel file of the employee.
Office of Record: Human Resources

Item 50. CONFERENCES AND WORKSHOPS ATTENDED FILE

Records concerning conferences and workshops attended by office personnel. File may include correspondence, agendas, programs, handouts, and other related records.

DISPOSITION INSTRUCTIONS: Destroy in office when reference value ends.
Office of Record: Individual Office

Item 51. EXEMPT FROM PERSONNEL ACT (EPA) EMPLOYEE PERSONNEL FILE

Records concerning employees not subject to the State Personnel Act. File may include personnel action forms, evaluations, resumes, job descriptions, and other related records. (Comply with applicable provisions of G.S. 126-22, 126-23, and 126-24 regarding confidentiality of personnel records.)

DISPOSITION INSTRUCTIONS: Transfer to the University Records Center for permanent security storage 2 years after employee terminates service.
Office of Record: Individual office, Provost, Vice Chancellor for Administration & Finance, Vice Chancellor for Health Sciences, Vice Chancellor for Institutional Advancement, and Vice Chancellor for Research/Graduate Studies

Item 52. FACULTY AWARD AND HONORS FILE

Records concerning awards and honors to faculty members within the department. File may include recommendations, approvals, and other related records. (Comply with applicable provisions of GS 126-22, 126-23 and 126-24 regarding confidentiality of personnel records.)

DISPOSITION INSTRUCTIONS: Transfer records concerning each individual award/honor to appropriate individual's personnel file when award/honor becomes official. Destroy in office remaining records after 10 years.
Office of Record: Individual office, Provost, Vice Chancellor for Administration & Finance, Vice Chancellor for Health Sciences, Vice Chancellor for Institutional Advancement, and Vice Chancellor for Research/Graduate Studies

Item 53. FACULTY LISTINGS FILE

Listings of departmental faculty.
DISPOSITION INSTRUCTIONS: Destroy in office after 8 years.
Office of Record: Individual office

Item 54. FACULTY RECRUITMENT FILE

Records concerning the recruitment of faculty members for department. File may include policies, forms, resumes, applications, correspondence, reports, interview notes, and other related records. (Comply with applicable provisions of G.S. 126-22, 126-23 and 126-24 regarding confidentiality of personnel records.)

DISPOSITION INSTRUCTIONS: Destroy in office policies and forms when superseded or obsolete. Transfer applications and other records for individuals hired to appropriate personnel file when individual accepts position. Destroy in office applications and other records that are unsolicited and for individuals not hired 2 years after date of receipt, if no charge of discrimination has been filed. If charge has been filed, destroy in office 1 year after resolution of charge. Destroy remaining records in office after 5 years if no litigation, claim, audit or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Individual office

Item 55. GRIEVANCES FILE

Records concerning disputed employee grievances. (Comply with applicable provisions of G.S. 126-22 and 132-1.1 regarding the confidentiality of personnel records.)

DISPOSITION INSTRUCTIONS: Destroy in office 3 years after resolution of grievance.
Office of Record: Human Resources and University Attorney

Item 56. LEAVE FILE

Records concerning leave by office personnel. (Comply with applicable provisions of G.S. 126-22, 126-23 and 126-24 regarding confidentiality of personnel records.)

DISPOSITION INSTRUCTIONS: Destroy in office after 5 years if no litigation, claim, audit or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Individual office and Payroll

Item 57. OVERTIME FILE

Records of overtime by department personnel.

DISPOSITION INSTRUCTIONS: Destroy in office after 5 years if no litigation, claim, audit, or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Individual office and Payroll

Item 58. PAYROLL TIME SHEETS FILE

Employee payroll time sheets.

DISPOSITION INSTRUCTIONS: Destroy in office after 5 years and when posted to applicable retirement plan if no litigation, claim, audit or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Individual office and Payroll

Item 59. PERSONNEL ACTION DOSSIER FILE

Records concerning the awarding of tenure to university faculty members. (Comply with applicable provisions of GS 126-22, 126-23 and 126-24 regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Transfer records concerning award of tenure to appropriate individual's personnel file when tenure is granted. Destroy in office remaining records after 2 years if no litigation, claim, audit or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Individual office

Item 60. POSITION DESCRIPTION FILE

Job descriptions for each non-faculty position within the department.

DISPOSITION INSTRUCTIONS: Destroy in office when superseded or obsolete.
Office of Record: Human Resources

Item 61. SEARCH COMMITTEE FILE

Records concerning activities of specially-formed search committees charged with recruiting new or replacement faculty members. File may include correspondence, resumes, applications and other related records. (Comply with provisions of GS 126-22, 126-23 and 126-24 regarding confidentiality of personnel.

DISPOSITION INSTRUCTIONS: Transfer applications and other records for individuals hired to appropriate personnel file when individual accepts position. Destroy in office applications and other records that are unsolicited and for individuals not hired 2 years after vacancy filled and/or position closed, if no charge of discrimination has been filed. If charge has been filed, destroy in office 1 year after resolution.
Office of Record: Individual Office

Item 62. SELF-HELP, WORK STUDY AND TEMPORARY EMPLOYEE PAYROLL FILE

Student and temporary employee records. File may include time sheets, employment eligibility records, and other employee records.

DISPOSITION INSTRUCTIONS: Destroy in office after 5 years if no litigation, claim, audit or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Individual office and Payroll

Item 63. SUBJECT TO PERSONNEL ACT (SPA) REFERENCE FILE

Records concerning employees subject to the Personnel Act. File may include personnel action forms, resumes, job descriptions, and other related records. (Comply with applicable provisions of G.S. 126-22, 126- 23, and 126-24 regarding confidentiality of personnel records.)

DISPOSITION INSTRUCTIONS: Destroy in office 1 year after employee terminates service after verifying that records are duplicates of those in Human Resources office. Transfer to Human Resources office any unique records to be incorporated inot the official personnel file of the employee.
Office of Record: Human Resources

Item 64. WORKERS' COMPENSATION LITIGATION AND CLAIMS FILE

Records concerning workers' compensation claims filed by employees' supervisors concerning accidental injuries or illnesses suffered on the job. File may include Employer's Report of Injury to Employee (Form 19), accident investigation reports, medical reports, reference copies of medical invoices and other related records. File also includes reference copies. (Records concerning claims filed for injuries which occurred prior to July 6, 1994 are considered permanent records in compliance with Hyler v. GTE Prods. Co., 333 N.C. 258 S.E. 2d 698 (1993).) (Comply with applicable provisions of G.S. 8-53, G.S. 97-72(b), and G.S. 126 Article 7 regarding the confidentiality of records.)

DISPOSITION INSTRUCTIONS: Retain in office records concerning claims filed for injuries which occurred prior to July 6, 1994 permanently. Transfer official copy of claim records to the Industrial Commission in compliance with G.S. 97-92(a), and in accordance with Office of State Personnel procedures. Retain in office records concerning claims filed for injuries which occurred on or after July 6, 1994, where the Industrial Commission form "Employee's Claim for Additional Medical Compensation Pursuant to N.C. Gen. Stat. § 97- 25.1" (Form 18M) has been filed, permanently. Destroy remaining records in office after 5 years, in accordance with G.S. 97-24(c), if no litigation, claim, audit, or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Environmental Health & Safety

 

Student Records

Series descriptions refer to all record formats, paper and electronic. See introduction for information regarding electronic records.

There is an indication of office(s) of record for each records group. These offices should consult their individual schedule to see if there are different disposition requirements.

Item 65. ACADEMIC RECORDS FILE

Individual student academic records. File may include grades, applications for graduation, drop/add forms, extra hour registration, raised grade forms, repeat course forms, admission transfers and other related records. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy in office applications for graduation, drop/add forms, and raised grade forms after 1 year. Destroy in office extra hour registration, repeat course forms, admission transfers and remaining records 1 year after student graduates or terminates enrollment. Transfer remaining records to the Registrar's Office at the end of each grading period to be incorporated into official academic file.
Office of Record: Registrar

Item 66. APPLICATIONS FOR GRADUATION FILE

Completed student applications to graudate. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy in office 1 year after graduation.
Office of Record: Registrar

Item 67. CAREER PLANNING/PLACEMENT RECORDS FILE

Records maintained to assist students in locating employment after graduation. File may include resumes, job interview forms, student profile data sheets and other related records.

DISPOSITION INSTRUCTIONS: Destroy in office when administrative value ends.
Office of Record: Career Services

Item 68. COMPLETED EXAMINATIONS FILE

Completed student examinations. (Completed with applicable provisions of 20 USCA 1232g regarding confidentiality of student records.)
DISPOSITION INSTRUCTIONS: Destroy in office after 1 year.
Office of Record: Individual office

Item 69. COMPREHENSIVE EXAMINATIONS RESULTS FILE

Listings of student comprehensive examination scores. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy in office after 6 years.
Office of Record: Individual office

Item 70. COMPREHENSIVE EXAMINATIONS FILE

Completed student comprehensive examinations for degrees. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy in office after 4 years.
Office of Record: Individual Office

Item 71. CREDITS BY EXAMINATION FILE

Records concerning academic credits awarded to students by special examination. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of student records.)

DISPOSITION INSTRUCTIONS: Transfer to the Registrar's Office at end of each grading period to be incorporated into official academic file.
Office of Record: Registrar

Item 72. DEGREE LISTING FILE

Listings of departmental students who tentatively are scheduled to receive degrees at end of semester. File may include information used to order diplomas. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy in office 1 year after graduation.
Office of Record: Individual office

Item 73. DROP/ADD FORMS FILE

Completed student drop/add forms.

DISPOSITION INSTRUCTIONS: Destroy in office after 1 semester.
Office of Record: Registrar

Item 74. FINANCIAL AID FILE

Records regarding financial aid awarded to students and student assistants within the department. File may include applications, approvals, accounting records, and other related records. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy in office 5 years if no litigation, claim, audit or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Student Financial Aid

Item 75. GRADE DISTRIBUTION FILE

Listings of student grade distributions by course and by instructor. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy in office after 8 years.
Office of Record: Registrar

Item 76. GRADE LISTINGS FILE

Listings of students' grades for each course taught by department. File may include final grade rolls and other related records. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Transfer data concerning grades to Registrar's Office at end of each grading period to be incorporated into official academic file. Destroy remaining records in office when administrative value ends.
Office of Record: Registrar

Item 77. GRADUATE LISTINGS FILE

Listings of student graduates within department.
DISPOSITION INSTRUCTIONS: Destroy in office after 12 years.
Office of Record: Individual office

Item 78. INDIVIDUAL PLACEMENT TEST SCORES FILE

Placement test score for each student taking test. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Transfer to appropriate academic records file after 1 year.
Office of Record: Registrar and Orientation & First Year Experience

Item 79. INSTRUCTOR CLASS ROLLS/GRADE SHEETS FILE

Copies of class rolls and grade sheets for each course (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy in office after 3 years.
Office of Record: Registrar

Item 80. INTERNSHIPS/ASSISTANTSHIPS FILE

Records concerning student internships and assistantships within department. File may include applications, approvals and disapprovals, records of credit earned, accounting information, class rolls, and other pertinent documents. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Transfer information regarding individuals to Registrar's Office and fiscal information to Administration and Finance (if applicable) at end of each grading period. Destroy in office remaining records after 1 year if no litigation, claim, audit, or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Individual office

Item 81. LOAN RECIPIENTS' COLLEGE ENROLLMENT VERIFICATIONS FILE

Records concerning the verifications of each loan recipient's enrollment, proposed major, probation status (if applicable), number of credit hours, and other loan stipulations (if any). (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy in office after 5 years.
Office of Record: Student Loans

Item 82. MASTERS PROGRAM APPROVED APPLICANT ADMISSION FILE

Records concerning applicants approved for admission to the masters program. File may include applications, transcripts, GRE scores, acceptance letters, correspondence, and other related records. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Transfer to Master Program Students Currently Enrolled File (Item G85) when applicant enters program. Destroy non-entry applicant files in office after 5 years.
Office of Record: Individual office, Graduate School, Admissions

Item 83. MASTERS PROGRAM DENIED APPLICANT ADMISSION FILE

Records concerning applicants who were denied admission to the masters program. File may include transcripts, GRE scores, applications, letters of rejection, correspondence, and other related records. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy in office after 3 years if no litigation, claim, audit, or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Individual office, Graduate School, Admissions

Item 84. MASTERS PROGRAM GRADUATES FILE

Reference information concerning students who have completed the masters program. File may include transcripts, GRE scores, applications, acceptance letters, class schedules, drop-add forms, grade sheets, and other related records. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy in office when reference value ends.
Office of Record: Individual office, Registrar, Graduate School

Item 85. MASTERS PROGRAM STUDENTS CURRENTLY ENROLLED FILE

Records concerning students currently pursuing a masters degree. File may include transcripts, GRE scores, applications, acceptance letters, class schedules, drop-add forms, grade sheets, contracts, and other related records. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy contracts in office when superseded or obsolete. Transfer records of students who complete the program to the Masters Program Graduates File (Item G84) upon notification of completion. Transfer records of students who become inactive to the Masters Program Terminations File (Item G86) 1 year after student becomes inactive.
Office of Record: Graduate School, Registrar

Item 86. MASTERS PROGRAM TERMINATIONS FILE

Reference information concerning students who have withdrawn, dropped-out or been terminated from the masters program. File may include transcripts, GRE scores, applications, acceptance letters, class schedules, drop-add forms, grade sheets, withdrawal and termination notices, and other related records. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy in office after 5 years.
Office of Record: Graduate School, Registrar

Item 87. RAISED GRADE FILE

Records concerning individual student grades which have been raised. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)
DISPOSITION INSTRUCTIONS: Transfer data concerning each changed grade to appropriate academic records file when change becomes official. Destroy in office remaining records after 2 years.
Office of Record: Registrar

Item 88. SCHOLARSHIP AWARDS FILE

Reference information concerning individual scholarship awards to students within department. File may include applications, recommendations, approvals, accounting records, correspondence, and other related records. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy in office when reference value ends.
Office of Record: Financial Aid

Item 89. STUDENT AWARDS AND HONORS FILE

Records concerning departmental awards and honors to students. File may include recommendations, approvals, reference information, and other related records.

DISPOSITION INSTRUCTIONS: Transfer information concerning recipients of awards and honors to the Registrar’s Office at end of each grading period to be incorporated into official academic file. Destroy in office reference information when superseded or obsolete. Destroy in office remaining records after 5 years.
Office of Record: Individual office

Item 90. STUDENT LOANS FILE

Records concerning university loans to students within department. File may include applications, recommendations, loan authorizations, financial statements, accounting information, correspondence, and other related records. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records).

DISPOSITION INSTRUCTIONS: Transfer information concerning specific individuals to Student Financial Aid Office when loan is approved. Destroy in office remaining records after 3 years if no litigation, claim, audit, or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Student Loans

Item 91. STUDENT RANKINGS FILE

Listings of student graduate rankings in department. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy in office after 6 years.
Office of Record: Registrar

Item 92. STUDENT RECORDS CHANGES FILE

Records concerning changes in student academic records. File may include requests, notices of approval/disapproval by faculty, justifications, and other related records. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Transfer data concerning each changed grade to appropriate academic records file when change becomes official. Transfer remaining records to the Registrar's Office at the end of the grading period to be incorporated into official academic file.
Office of Record: Registrar

Item 93. STUDENT REFERENCE FILE

Reference copies of records concerning students' activities within department. File may include correspondence, evaluations, internship records, and other related records. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Transfer appropriate records to Registrar's Office at the end of each semester to be incorporated into Student Records File. Destroy in office remaining records 5 year after student graduates or terminates enrollment.
Office of Record: Individual office

Item 94. TRANSFER ADMISSIONS FILE

Records concerning transfer admissions to university by students entering department. File may include applications, notices of acceptance or rejection, transcripts, recommendations, and other related records. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Transfer to Admissions Office when acceptance or rejection becomes official.
Office of Record: Admissions

Item 95. TRANSFER EQUIVALENTS FILE

Records concerning grade transfer equivalents from other institutions. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Transfer information concerning individuals to Registrar's Office when received. Destroy in office remaining records when superseded or obsolete.
Office of Record: Registrar

Item 96. VETERANS' BENEFITS FILE

Records concerning veterans' benefits awarded to students in department. File may include applications, approvals, dates of enrollment and attendance, entitlements and awards, amounts disbursed and other related records. (Comply with applicable provisions of 20 USCA 1232g regarding confidentiality of records.)

DISPOSITION INSTRUCTIONS: Destroy in office after 3 years if no litigation, claim, audit or other official action involving the records has been initiated. If official action has been initiated, destroy in office after completion of action and resolution of issues involved.
Office of Record: Financial Aid


 

Go to Joyner Library's Records Management Program Page

Click here to see an inventory of individual office records stored in the University Archives and Joyner Library Records Center. Click here for more information regarding statutes cited.