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Departmental Records Schedules
 
 
 
 
UNC General Records Retention and Disposition Schedule

This Schedule applies to records in all media, unless otherwise specified.

Items – a sample listing of items found within a series. Other related records not listed may also be part of a series.

Disposition all dispositions are minimum requirements and include, where applicable, transfer to the custody of the University Archives for appraisal and final disposition.

Destruction
takes place in the office. Any record with confidential or sensitive information shall be properly destroyed by shredding or by means to ensure that the records cannot be physically recreated.

Original and Reference Copy original copy (also known as a record copy) is the official authorized copy kept by the office charged with creating or maintaining the record copy. Reference copies (also known as convenience copies) are preserved for the convenience of reference or ease of access.

There must be no destruction of records if litigation or audits or other official action involving the records is pending or reasonably anticipated or foreseeable.

Refer to prefatory material for additional instructions or contact your university's records officer for clarification.


 
<h3>Personnel Records</h3>
Item 174. ALCOHOL AND DRUG ABUSE PROGRAM. Records concerning alcohol and drug abuse rehabilitation program for university employees. Comply with applicable provisions of GS 126-22, GS 126-23 and GS 126-24 regarding confidentiality.
Items:
DISPOSITION INSTRUCTIONS: Destroy in office after 3 years.

Item 175. AFFIRMATIVE ACTION AND EQUAL OPPORTUNITY (EEO). Agency participation in federal and state affirmative action / equal opportunity programs. Comply with applicable provisions of GS 126-22, GS 126-23 GS 126-24, GS 126-29 and GS 132-1.1 regarding
Items: correspondence, regulations, guidelines, reports, directives, recruitment plans, equal opportunity statements, full-time and EPA non-faculty actions, faculty employment reviews, procedures
DISPOSITION INSTRUCTIONS: Original: Transfer policies, guidelines, correspondence, affirmative action plans and compliance reviews to University Archives after 5 years. Destroy in office remaining records after 5 years.

Item 176. AGGREGATE SERVICE HISTORY. Complete history of employee’s service. Comply with applicable provisions of GS 126-22, GS 126-23 and GS 126-24 regarding confidentiality.
Items: forms, reports, correspondence
DISPOSITION INSTRUCTIONS: Transfer to appropriate individual personnel file when completed.

Item 177. APPLICATIONS FOR EMPLOYMENT (See also: Search Committees). Comply with applicable provisions of GS 126-22, GS 126-23 and GS 126-24 regarding confidentiality.
Items: applications, resumes, vitae, recommendations, correspondence, other related records
DISPOSITION INSTRUCTIONS: Original: 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 not solicited and for individuals not hired 3 years after date of receipt, if no charge of discrimination has been filed. If charge has been filed, destroy 1 year after resolution of charge. Reference: Destroy in office when employment decision is made.

Item 178. CONFLICT OF INTEREST. Possible conflicts of interest between university employees and outside agencies.
Items: forms, correspondence
DISPOSITION INSTRUCTIONS: Original: No conflict – destroy after 3 years. Potential / actual conflict – destroy 6 years after resolution of conflict. Reference: Destroy in office after 3 years.

Item 179. DEATH CLAIMS. Death claims on all retired and active employees. Comply with applicable provisions of GS 126-22, GS 126- 23 and GS 126-24 regarding confidentiality.
Items:
DISPOSITION INSTRUCTIONS: Destroy in office 5 years after claim is paid.

Item 180. DISABILITY SALARY CONTINUATION CLAIM. Claims completed by disabled employees to apply for salary continuation benefits. Comply with GS 126-22 regarding confidentiality.
Items: applications for salary continuation, claim forms
DISPOSITION INSTRUCTIONS: Original: Transfer to agency handling disability claim. Reference: Transfer to appropriate individual personnel file.

Item 181. DISCIPLINARY ACTIONS. Disciplinary actions brought against university employees for violations of university rules and regulations. Comply with applicable provisions of GS 125-22, GS 126-22/20, GS 126-23, GS 126-24 and GS132-1.1 regarding confidentiality of records.
Items: correspondence, forms
DISPOSITION INSTRUCTIONS: Original: Destroy in office 5 years after final resolution. Destruction after final resolution may occur earlier if permitted by state law. Reference: Destroy in office when reference value ends.

Item 182. DUAL EMPLOYMENT (See also: Secondary Employment). Employees requesting and engaging in dual employment within state government or universities.
Items: correspondence, forms
DISPOSITION INSTRUCTIONS: Destroy in office approved requests and related records 1 year after employee terminates outside employment. Destroy in office disapproved requests and related records after 6 months. Destroy in office remaining records when reference value ends.

Item 183. EDUCATIONAL LEAVE AND REIMBURSEMENT. Requests for educational leave and tuition reimbursement. Comply with 20 USCA 1232g.
Items:
DISPOSITION INSTRUCTIONS: Destroy in office after 3 years.

Item 184. EMPLOYEE ASSISTANCE PROGRAMS. Programs related to assistance and counseling opportunities. Comply with applicable provisions of GS 126-22 / 29, GS 132-1.1 regarding confidentiality.
Items: requests for information, referrals, correspondence, forms, releases
DISPOSITION INSTRUCTIONS: Destroy in office after 3 years.

Item 185. EMPLOYEE SURVEYS. Completed faculty or staff surveys.
Items: summary reports, conclusions
DISPOSITION INSTRUCTIONS: Transfer results and conclusions to University Archives after 5 years. Destroy in office surveys and working papers when administrative value ends.

Item 186. FAMILY MEDICAL LEAVE ACT (FMLA). Leave issued under the Family Medical Leave Act (FMLA), 29 USC 2601 et seq. Comply with applicable provisions of GS 126-22, GS 126-23 and GS 126-24 and medical records GS130A-374 and FMLA regarding confidentiality.
Items:
DISPOSITION INSTRUCTIONS: Original: Destroy in office 5 years after date of last activity. Reference: Destroy in office when reference value ends.

Item 187. GARNISHMENTS. Garnishments of employees’ wages. Comply with applicable provisions of GS 126-22, GS 126-23 and GS 126- 24 regarding confidentiality.
Items: statements, forms, correspondence
DISPOSITION INSTRUCTIONS: Original: Destroy in office 3 years after termination of deduction. Reference: Destroy in office when reference value ends.

Item 188. GRIEVANCES. Employee grievances. Comply with applicable provisions of GS 126-22/29 and GS132-1.1 regarding confidentiality.
Items:
DISPOSITION INSTRUCTIONS: Original: Destroy in office 3 years after resolution of grievance. Reference: Destroy in office upon resolution of grievance.

Item 189. INSURANCE ENROLLMENT. Health, life and related insurance plans available to employees. Comply with applicable provisions of GS 126-22, GS 126-23 and GS 126-24 regarding confidentiality.
Items: applications, medical histories, fee schedules
DISPOSITION INSTRUCTIONS: Destroy in office 2 years after account is closed.

Item 190. I-9 FORMS. Employment verification. 8CFR 274a.2(b)(2)(i)
Items:
DISPOSITION INSTRUCTIONS: Destroy in office 3 years after date of hire or 3 years after termination of employment whichever is longer.

Item 191. LEAVE. Comply with applicable provisions of GS 126-22, GS 126-23 and GS 126-24 regarding confidentiality of records.
Items: leave requests, monthly leave reports, yearly leave recapitulations, correspondence, military leave
DISPOSITION INSTRUCTIONS: Original: Destroy in office after 5 years. Reference: Destroy in office when reference value ends.

Item 192. MEDICAL RECORDS (Employee). Records concerning medical and health status of university employees, other than medical records referred to in GU208 (Employee Medical) relating to exposure of hazardous materials. Comply with applicable provisions of HIPAA, GS 126-22, GS 126-23, GS 126-24 and GS 130A-374 regarding confidentiality of
Items: medical leave permit forms, workers compensation injury reports, treatment reports
DISPOSITION INSTRUCTIONS: Destroy in office 6 years after employee terminates service. For medical records that relate to exposure of hazardous materials refer to Item 209.

Item 193. PERFORMANCE EVALUATION AND MANAGEMENT. Records concerning employees’ goals and primary tasks.
Items: work plan, development plan, performance evaluations
DISPOSITION INSTRUCTIONS: Original: Destroy in office after 3 years. Reference: Destroy in office when superseded or obsolete.

Item 194. PERSONNEL FILE (ACTIVE) - EPA. All employees exempt from the State Personnel Act. Comply with applicable provisions of GS 126-22, GS 126-23, GS 126-24, GS 126-29 and GS132-1.1 regarding confidentiality of records.
Items: applications, correspondence, resumes, vitae, promotions, demotions, transfers, personnel action forms, salary, termination of employment, social security numbers verification, driver’s license
DISPOSITION INSTRUCTIONS: Transfer to Personnel File (Inactive) – EPA (GU195) after separation or termination of service.

Item 195. PERSONNEL FILE (INACTIVE) - EPA. All employees exempt from the State Personnel Act. Comply with GS 126-22, GS 126-23, GS 126-24, GS 126-29 and GS132-1.1 regarding confidentiality of records.
Items: applications, correspondence, resume, vitae, promotions, demotions, transfers, personnel action forms, salary, termination of employment, social security numbers verification, driver’s license
DISPOSITION INSTRUCTIONS: Transfer to University Archives 30 years after separation or termination of services. [At ECU:  Transfer to the University Records Center 3 years after separation or termination of services for permanent security storage.]

Item 196. PERSONNEL FILE (EPA) ONE TIME PAYMENTS. Employees hired to fulfill temporary, short-term duties. “One-Time Payments (OTPs)” apply to honoraria paid to visiting lecturers and consultants as well as to university staff and students who undertake duties outside and not in conflict with their regular work. Comply with applicable provisions of GS 126-22, GS 126-23, GS 126- 24, GS 126-29 and GS 132-1.1 regarding confidentiality of records.
Items: personnel action forms, correspondence
DISPOSITION INSTRUCTIONS: Destroy in office 1 year after payment date.

Item 197. PERSONNEL FILE (ACTIVE) - SPA. All employees subject to the State Personnel Act. Comply with applicable provisions of GS 126-22, GS 126- 23 and GS 126-24 regarding confidentiality of records.
Items: applications, correspondence, resumes, vitae, promotions, demotions, transfers, suspensions, disciplinary actions, personnel action forms, salary, termination of employment, social security verification, drivers license
DISPOSITION INSTRUCTIONS: Transfer to Personnel File (Inactive) – SPA (GU198) after separation or termination of service.

Item 198. PERSONNEL FILE (INACTIVE) - SPA. All employees subject to the State Personnel Act. Comply with applicable provisions of GS 126-22, GS 126- 23 and GS 126-24 regarding confidentiality of records.
Items: applications, correspondence, resumes, vitae, promotions, demotions, transfers, suspensions, disciplinary actions, personnel action forms, salary, termination of employment, social security verification, drivers license
DISPOSITION INSTRUCTIONS: Destroy in office 30 years after separation or termination.

Item 199. POSITION CLASSIFICATIONS. Position classifications approved by the Office of State Personnel.
Items: position classification forms, lists of titles and position numbers, correspondence
DISPOSITION INSTRUCTIONS: Destroy in office when administrative value ends.

Item 200. REAPPOINTMENT, PROMOTION AND TENURE. Comply with applicable provisions of GS 126-22, GS 126-23, GS 126-24, GS 126-29 and GS 132-1.1 regarding confidentiality of records.
Items: correspondence, recommendations, reports, articles, curriculum, vitae, resume, list of publications, evaluations, research activities
DISPOSITION INSTRUCTIONS: Original: Transfer records concerning award of reappointment, promotion or tenure to individual’s Personnel File (Active) – EPA when granted. Destroy in office remaining records after 2 years. Reference: Destroy in office when reappointment, promotion or tenure decision is made.

Item 201. REDUCTION-IN-FORCE. Compilation of data regarding reduction-in-force situations. Comply with applicable provisions of GS 126-22, GS 126-23 and GS 126-24 regarding confidentiality of records.
Items: reports, forms, correspondence, list of employees
DISPOSITION INSTRUCTIONS: Transfer forms and correspondence to official personnel file 1 year after employee terminates service. Destroy in office remaining records when administrative value ends.

Item 202. RETIREMENT BENEFITS. Retirement beneficiaries for death benefits, personal data of employees who plan to retire or have retired, descriptive information about retirement system and other related topics. Comply with applicable provisions of GS 126-22, GS 126-23 and GS 126-24 regarding confidentiality.
Items:
DISPOSITION INSTRUCTIONS: Transfer forms concerning beneficiaries to the Department of State Treasurer, Retirement Systems Division or other retirement plan, when received. Destroy in office remaining records when reference value ends.

Item 203. SEARCH COMMITTEES. Comply with applicable provisions of GS 126-22, GS 126-23, GS 126-24, GS 126-29 and GS 132-1.1 regarding confidentiality of records.
Items: correspondence, resumes, applications, forms, interview notes, policies, reports, charge, roster
DISPOSITION INSTRUCTIONS: Original: Transfer application materials of successful candidates immediately after official offer of employment is accepted to Personnel file. Destroy in office application materials of unsuccessful candidates 3 years after date position is filled if no charge of discrimination has been filed. If charge has been filed, destroy 1 year after resolution of charge. Reference: Destroy in office upon completion of committee’s charge.

Item 204. SECONDARY EMPLOYMENT (See also: Dual Employment). Employees’ requests regarding engaging in secondary non-state employment.
Items:
DISPOSITION INSTRUCTIONS: Destroy in office approved requests and related records 1 year after employee terminates outside employment. Destroy in office disapproved requests and related records after 6 months. Destroy in office remaining records when reference value ends.

Item 205. STUDENT ASSISTANTS / WORK-STUDY STUDENTS. Comply with applicable provisions of GS 126-22, GS 126-23, GS 126-24, GS 126-29 and GS 132-1.1 regarding confidentiality of records.
Items: time sheets, correspondence, schedules, evaluations, job descriptions, payroll
DISPOSITION INSTRUCTIONS: Destroy in office 5 years after student terminates employment.

Item 206. TIME SHEETS. See Series Title
Items:
DISPOSITION INSTRUCTIONS: Destroy in office after 5 years and when posted to applicable retirement plan.

Item 207. TRAINING PROGRAMS (See also: Conferences, Training Programs and Workshops - Attended in Administrative Section). Certification of completion of a training program.
Items: Registration forms, certificates
DISPOSITION INSTRUCTIONS: Original: Transfer certification of completion to individual’s personnel file. Destroy in office remaining records when administrative value ends. Reference: Destroy in office when administrative value ends.

Item 208. VOLUNTARY SHARED LEAVE. Participation in the voluntary shared leave program.
Items: applications, forms, leave reports, correspondence, requests
DISPOSITION INSTRUCTIONS: Destroy in office after 5 years.