Staff Review Draft Agenda Package 20-Oct-25Monday, October 20, 2025
6:00 PM
Union County, NC
Union County Government Center
500 North Main Street
Monroe, North Carolina
Meeting Agenda
Board Room, First Floor
Board of Commissioners
Chair Melissa Merrell
Vice Chair Brian Helms
Commissioner Clancy Baucom
Commissioner Christina Helms
Commissioner Gary Sides
Visitor Advisory
Due to construction on the first floor of the UC Government Center, the primary
entrance off Main Street Plaza is closed. Throughout construction, visitors
should follow signage to enter or exit the facility. For meetings of the Board of
County Commissioners, two temporary entrances will be available. Meeting
attendees may enter via Main Street Plaza (near the intersection of W. Crowell St.
and N. Stewart St.) or via the ground floor of the Government Center (off N. Church
St.). To learn more about the project or view a project map,
visit ucgov.info/PardonOurProgress.
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Board of Commissioners Meeting Agenda October 20, 2025
Closed Session - 5:15 PM
Opening of Meeting - 6:00 PM
Invocation - Chair Melissa Merrell
Pledge of Allegiance
Informal Comments
Public Hearing(s)
Public Hearing - Step 4 Economic Development Incentive Grant to
McGee Corporation (Project Canopy)
25-624
INFORMATION CONTACT:
Ron Mahle, Economic Development, Director, 980-476-5279
ACTION REQUESTED:
Conduct Public Hearing.
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
The Union County Economic Development Department started
conversations with McGee Corporation under codename Project Canopy
in late 2024 about the potential relocation of their manufacturing
operation from Stallings, North Carolina, to a 60-acre parcel located off
Goldmine Road. The company is considering the purchase of 60-acres,
the construction of a 366,000 square foot manufacturing facility, and the
purchase and installation of new production equipment . Total capital
investment is approximately $40,000,000.
McGee Corporation is a fourth-generation existing manufacturer located
in Stallings, North Carolina. The company is an industry leader in the
production of steel-frame canopy systems used at fueling stations and
other custom architectural applications . Current employment at McGee
Corporation is 163 people earning an average annual salary of $63,000.
Due to exceptional growth in their business, they have outgrown the
capacity at their current location and are searching for a site which will
accommodate future growth .
Based on the anticipated capital investment, it is proposed that the Board
award a STEP 4 Economic Development Incentive Grant in an
amount-not-to-exceed $696,000 paid over a 5-year period beginning in
FY 2028. The value of the incentive grant will be based upon appraised
value each year as appraised by the Union County Tax Administration
Office. This grant is based on the company ’s projected investment of
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Board of Commissioners Meeting Agenda October 20, 2025
approximately $40,000,000 in land, new building construction, and
purchase and installation of new manufacturing equipment over the grant
period, but not less than $2,000,000. Based on its projected investment in
Union County, the current tax rate, and assuming a consistent assessed
value with no depreciation, the company will pay estimated ad valorem
taxes on the new taxable investment in the amount of $868,400 over the
grant period. Actual tax revenue for the County will be based on the
assessed value of the investment each year by the Union County Tax
Administration Office and will vary each year depending upon the
depreciation schedule and the timing of the investments .
The grant is also contingent upon the company retaining its current
number of employees located within Union County .
FINANCIAL IMPACT:
The project, if brought to Union County, would have an economic
development incentive grant in an amount-not-to-exceed $696,000 but
would generate approximately $868,400 in ad valorum taxes over the
5-year grant period . Actual tax revenue for the County will be based on
the assessed value of the investment each year by the Union County Tax
Administration Office and will vary each year depending upon the
depreciation schedule and the timing of the investments .
Consent Agenda
Contract - Utility Locating and Mapping Services25-637
INFORMATION CONTACT:
Christopher Clark, UC Water - Water & Wastewater Operations, Director,
704-296-4215
ACTION REQUESTED:
Authorize the County Manager to 1) negotiate and execute an agreement
substantially consistent with this agenda item, 2) exercise any renewal or
extension term options set forth in the Agreement, and 3) terminate the
Agreement if deemed in the best interest of the County, each in the
County Manager's discretion .
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
Union County Water maintains and operates over 1,000 miles of water
system infrastructure and over 700 miles of wastewater infrastructure . A
large portion of the combined 1700+ miles of piping is located near
roadway shoulders, and both residential and commercial areas . Once
water/sewer lines are required to be located through the NC 811 system,
UCW will locate their lines in the system . Due to the many outside
contractors for multiple cable and fiber companies working currently in the
county, UCW has been overwhelmed and unable to address the multiple
locate requests leading to uncompleted locates and damage to
infrastructure. This service requires a very specific skill set and potential
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Board of Commissioners Meeting Agenda October 20, 2025
scheduling implications and will be conducted by industry professionals .
This effort has shown a great improvement in customer service by
reducing damages to infrastructure and inconvenience to UC Water
customers
The Procurement Department partnered with Union County Water to
issue a Request for Proposal RFP 2025-054 Utility Locate Services. On
July 15, 2025, four proposals were received and reviewed by an
evaluation team in accordance with applicable evaluation criteria for this
project. As a result, the team requests approval to enter into a contract
with the top scoring/ranked preferred offeror, Surveying and Mapping,
LLC, to provide Utility Locating services. This contract has an initial term
of three years with two one-year renewal options at the sole discretion of
the County and is subject to annual budget appropriation .
FINANCIAL IMPACT:
The anticipated annual cost for this service is $3,345,000. Since this
contract contains an initial three-year term, with two additional one-year
renewal options, a total of $16,725,000 is estimated to be spent . Funding
is available in the adopted FY26 budget appropriation with future
expenditures subject to annual BOCC budget appropriation .
Bid Award - FY2022 Short Water Line Extension Program Phase A25-641
INFORMATION CONTACT:
John Shutak, Union County Water, Engineering Director, 704-283-3651
ACTION REQUESTED:
1) Award contract to Classic City Mechanical, Inc. in the amount of
$2,007,041.00; 2) authorize the County Manager to a) negotiate and
execute an agreement with Classic City Mechanical, Inc . substantially
consistent with this agenda item, b) exercise any renewal or extension
term options set forth in the agreement, and c) terminate the agreement if
deemed in the best interest of the County, each in the County Manager ’s
discretion; and 3) adopt Resolution Providing Notice of Construction of
the FY2022 Short Water Line Extension Program Phase A .
PRIOR BOARD ACTIONS:
1) August 16, 2021, Regular Meeting, Agenda Item # 40 - Approved the
ranking criteria, cost share, and application period for the Short Water
Line Extension Program .
2) February 7, 2022, Regular Meeting, Agenda Item # 22-011 - Approved
the FY2022 Short Water Line Extension Program applicant selections .
3) April 4, 2022, Regular Meeting, Agenda Item # 22-178 - Approved the
selection of two additional projects for the FY 2022 Short Water Line
Extension Program.
4) September 6, 2022, Regular Meeting, Agenda Item # 22-531 -
Approved moving forward with the selected FY 2022 Short Water Line
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Board of Commissioners Meeting Agenda October 20, 2025
Extension Program selected projects based on applicants ’ fee payments.
5) August 14, 2023, Regular Meeting, Agenda Item # 23-489 - Approved
Task Order 2021-10 with WK Dickson & Co., Inc. for engineering design
services for the FY2022 Short Water Line Extension Program Phases A &
C
BACKGROUND:
The Short Water Line Extension Program, as adopted by the Board of
County Commissioners (BOCC), provides for the extension of water lines
to serve and provide an environmental benefit to qualifying applicants in
Union County. The FY2022 Short Water Line Extension Program projects
have been divided into four Phases (A - D). Phase A consists of four
projects with approximately 2.4 miles of water lines serving 16 applicants
on E Old Dutch Road, Jack Connell Road, Deepwood Place, Sherin
Lane, Sikes Mill Road, Braswell Rushing Road, Tyler Ridge Court, and
Clontz Long Road.
The BOCC previously approved WK Dickson & Co., Inc Task Order
2021-10 for engineering design services for Phases A and C on August
14, 2023, in the amount of $556,600.00.
On September 3, 2025, the Procurement Department partnered with the
Union County Water to issue an Invitation for Bid IFB 2026-012 - FY2022
Short Water Line Extension Program Phase A. On September 30, 2025,
five (5) bids for the title project were received and processed. All bids
were tabulated, reviewed, and certified by WK Dickson & Co ., LLC d/b/a
Ardurra Group North Carolina. The bids ranged from $2,007,042.55 to
$3,876,127.50 ; staff recommends that the project be awarded to the
lowest responsive, responsible bidder, Classic City Mechanical, Inc ., in
the amount of $2,007,042.55.
FINANCIAL IMPACT:
Funding is available within the adopted capital account 60184128 FY2022
Short Water Line Extensions Program to support the construction
contract amount of $2,007,042.55 with Classic City Mechanical, Inc.
Purchase - Replacement/Expansion Vehicles25-622
INFORMATION CONTACT:
Christopher J. Boyd, Facilities and Fleet Management, Director,
704-283-3868
ACTION REQUESTED:
Authorize the County Manager to 1) negotiate and execute an agreement
substantially consistent with this agenda item, 2) exercise any renewal or
extension term options set forth in the Agreement, and 3) terminate the
Agreement if deemed in the best interest of the County, each in the
County Manager's discretion .
PRIOR BOARD ACTIONS:
None.
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Board of Commissioners Meeting Agenda October 20, 2025
BACKGROUND:
Fleet requests the approval to purchase eight (8) replacement and/or
expansion vehicles. Seven (7) Social Services Administration vehicles
have met their use in life and were approved for replacement in the FY 26
budget. One (1) expansion vehicle was approved for Economic
Development in the FY26 budget. A summary of the
replacement/expansion vehicles is below:
Replacements
(1)2026 Chevrolet Equinox - Replaces 05-16, Social Services
Admin, $28,795.50
(1)2026 Chevrolet Equinox - Replaces 02-16, Social Services
Admin, $28,795.50
(1)2026 Chevrolet Equinox - Replaces 48-14, Social Services
Admin, $28,795.50
(1)2026 Chevrolet Equinox - Replaces 28-13, Social Services
Admin, $28,795.50
(1)2026 Chevrolet Equinox - Replaces 04-16, Social Services
Admin, $28,795.50
(1)2026 Chevrolet Equinox - Replaces 03-16, Social Services
Admin, $28,795.50
(1)2026 Chevrolet Equinox - Replaces 47-14, Social Services
Admin, $28,795.50
Expansion
(1)2026 Chevrolet Tahoe 4WD - Expansion, Economic
Development, $55,463.25
N.C.G.S 143-129(e)(3) and N.C.G.S 143-129(e)(9) allow local
governments to make purchases through a competitively bid North
Carolina Statewide Term Contract or a Group Purchasing Program . The
purchase of the vehicles will be made using North Carolina Statewide
Term Contract 2510A as quoted by Capital Chevrolet .
FINANCIAL IMPACT:
The anticipated cost for the vehicles is $257,031.75 and is budgeted
accordingly for FY26.
Step 4 Economic Development Incentive Grant - Project Seven25-627
INFORMATION CONTACT:
Ron Mahle, Economic Development, Director, 980-476-5279
ACTION REQUESTED:
Confirm the Board’s action on July 14, 2025 (Agenda Item 25-425),
involving the award of a Step 4 Economic Development Incentive Grant to
Confidential Company (Project Seven) in an amount not-to-exceed
$4,860,000 over a seven-year period was an award of such incentive
grant to ATI Specialty Materials, Inc .
PRIOR BOARD ACTIONS:
July 14, 2025, Regular Meeting, Agenda Item #25-424 - Public Hearing;
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Board of Commissioners Meeting Agenda October 20, 2025
July 14, 2025, Regular Meeting, Agenda Item #25-425- Union County
Board of Commissioners award of Step 4 Economic Development
Incentive Grant to Confidential Company - Project Seven
BACKGROUND:
At its July 14, 2025, regular meeting, the Union County Board of
Commissioners awarded a Step 4 Economic Development Incentive
Grant to Confidential Company - Project Seven . The grant is in an
amount not-to-exceed $4,860,000 paid over a 7-year period beginning in
FY2028. The name of the company is ATI Specialty Materials, Inc .
FINANCIAL IMPACT:
$4,860,000 paid over a 7-year period beginning in FY2028.
Grant Application - Meals on Wheels America 2025-26 Waitlist Grant25-633
INFORMATION CONTACT:
Stephanie Starr, Human Services Agency - Department of Community
Support and Outreach , 704-296-4302
ACTION REQUESTED:
Authorize the County Manager to submit the associated grant application
and make necessary assurances and certifications associated with the
grant application as substantially consistent with this agenda item, which
includes the authorization to execute documents related to award of the
grant and budget funds as appropriate .
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
Meals on Wheels America, in partnership with Food Lion Feeds, has
established a funding opportunity to help address growing waitlists for
home-delivered meals across the country . These funds are intended to
support local programs by providing general operations and infrastructure
investments that will expand capacity and reduce wait times .
Union County has been identified as a recipient of these funds, which
have been set aside for our Senior Nutrition Program . To access the
funding, the County must complete an application form and accept the
associated terms and conditions . The funding is $77,000 and will primarily
be used to purchase a vehicle for the Senior Nutrition Program . This
vehicle will be used to deliver meals to homebound seniors and staff will
use it when completing the required annual in-home visits for all clients,
as mandated by North Carolina Department of Health and Human
Services - Division of Aging. The additional vehicle capacity will help
strengthen program operations and ensure that more seniors in Union
County receive timely, reliable nutrition and support services .
Any funds remaining after the vehicle purchase are unrestricted and may
be used to support other program needs, such as shelf-stable meals,
computer equipment for staff, or craft and activity supplies for congregate
meal site participants.
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Board of Commissioners Meeting Agenda October 20, 2025
FINANCIAL IMPACT:
The grant award is $77,000 with no required match.
Grant Application - Transportation FY2026 Rural Operating
Assistance Program, FY2027 Section 5310 Enhanced Mobility of
Seniors and Individuals with Disabilities Program and FY 2027 FTA
5303 Transit Planning Grant
25-643
INFORMATION CONTACT:
Theresa Torres, Human Services Agency, Transportation Director,
704-283-3598
ACTION REQUESTED:
Authorize the County Manager to submit the associated grant
applications and make necessary assurances and certifications
associated with the grant applications as substantially consistent with this
agenda item, which includes the authorization to execute documents, or
delegate electronic execution of documents when use of the federal
award management system is required, related to award of the grants
and budget funds as appropriate
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
The Human Services Agency Transportation Department seeks approval
to submit applications for three grant programs to support the continued
provision and planning of public transportation services for eligible
residents, particularly seniors, individuals with disabilities, and residents in
rural areas. The grants include :
1.Rural Operating Assistance Program (ROAP) - FY26
ROAP is a State-funded, formula-based program administered by the NC
Department of Transportation - Integrated Mobility Division
(NCDOT-IMD). Union County expects to receive $278,783 in FY26 ROAP
funding to support operating costs only (no administrative or capital
expenses) for eligible trips in the following categories :
·Elderly & Disabled Transportation Assistance Program (EDTAP) -
$125,890
·Employment Transportation Assistance Program (EMPL) - $46,526
·Rural General Public (RGP) - $106,367
Funds may cover up to 100% of the fully allocated trip cost with no local
match required. While EDTAP funds must remain in their designated
category, EMPL and RGP funds may be transferred to any program . The
period of performance for these funds is July 1, 2025 - June 30, 2026,
regardless of the date on which ROAP funds are disbursed to the County .
Eligibility:
·EDTAP: Participants must be either age 60+ or have a physical or
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Board of Commissioners Meeting Agenda October 20, 2025
mental impairments that substantially limits one or more major life
activities, per NC G.S. Article 2B, 136-44.27.
·EMPL: Recipients must meet one of the following criteria: (1) DSS
client who transitioned off Work First or Temporary Assistance for
Needy Families (TANF) in the last 12 months; (2) Workforce
Development Program participant; (3) Any resident who needs
transportation to work, employment training or other related
destinations whose work schedule and destination can be
accommodated by the local transit system; (4) A child who requires
transport to daycare in conjunction with an eligible parent ’s trip to
work.
·RGP: Recipients must reside in a non-urbanized area of the
County and need transport for any reason (E .g. medical
appointment, educational opportunity, employment, personal
business). Additionally, RGP recipients (1) must not qualify under a
Human Service Agency to receive transportation or (2) their
supporting Human Service Agency must have expended all
transportation funding and no longer be able to fund trips .
County governments are the only eligible applicants for ROAP funds, and
the County Financial Officer is the DOT-mandated person responsible for
overseeing the funding.
2.Enhanced Mobility of Seniors and Individuals with Disabilities -
Section 5310 Grant - FY27
The Section 5310 program (49 U.S.C. 5310) provides formula funding to
states to assist private nonprofit groups in meeting the transportation
needs of older adults and people with disabilities when transportation
service is unavailable, insufficient, or inappropriate to meet the needs of
these residents. The 5310 program aims to remove barriers to
transportation services and expand mobility options for seniors and
individuals with disabilities by supporting services planned, designed, and
carried out to meet the unique transportation needs of these residents in
all areas - large urbanized (over 200,000), small urbanized
(50,000-200,000), and rural (under 50,000). Funds are apportioned based
on each state's share of the population, then direct recipients manage
and distribute funds to sub-recipient projects .
The Human Services Agency Transportation Division will submit the grant
application as a sub -recipient through the Charlotte Area Transit System
(CATS), and our local agreement will be with the City of Charlotte .
Transportation staff have the capability to manage this grant and have
been receiving and managing this 5310 funding since January 2016.
FY27 grant funding will allow us to continue meeting the needs of current
and future residents who are eligible for services under this funding
structure. Our goal is to serve over 200 seniors aged 65 and older and/or
individuals with disabilities currently being served by our system under
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Board of Commissioners Meeting Agenda October 20, 2025
this funding.
The FY27 grant application will include:
Operations Funding (Demand Response Service):
·50% Federal / 50% Local match
·Union County will use its Home and Community Care Block Grant
(HCCBG) funds to meet the local match requirement .
Capital Funding:
·80% Federal / 20% Local match
·Request includes purchase of one (1) 22’ Light Transit Vehicle
(LTV) with lift and related equipment .
The performance period is for two funding years, meaning funds awarded
during a given fiscal year can be drawn down for two years after the start
of the award's fiscal year.
3.Transit Planning Program - Section 5303 Grant - FY27
Federal Transit Administration (FTA) Section 5303 federal transportation
funding authorizations are allocated each year by the North Carolina
Department of Transportation (NCDOT). 5303 funds are managed locally
by the Charlotte Regional Transportation Planning Organization
(CRTPO), the federally designated Metropolitan Planning Organization
(MPO) for the Charlotte Urbanized Area (UZA). 5303 funding helps UZAs
plan for the development, improvement, and effective management of
their transportation systems, focusing on planning and administrative
activities.
Union County Transportation requests approval to apply for $174,411 of
FY2027 5303 funds, funding is 80% Federal, 10% State, and 10% local
match. Funds cover a one (1)-year period of performance from July 1,
2026, to June 30, 2027.
The Human Service Agency Transportation Department plans to use the
funding associated with this grant to complete multiple tasks, including :
·Data and Planning Support - Ridership analysis, socio-economic
analysis, route analysis.
·Public Participation - Rider Surveys.
·Statewide & Extra Regional Planning - Interagency coordination,
state and regional coordination .
·Management, Operations & Program Support Administration -
grant development, attending regional and state events .
FINANCIAL IMPACT:
1.Rural Operating Assistance Program (ROAP) - FY2026
·Total Funding: $278,783
·Local Match Required: None
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Board of Commissioners Meeting Agenda October 20, 2025
·This funding is budgeted accordingly for FY 2026
2. Section 5310 Grant - FY2027
·Operating Request: $288,000 (two-year period: July 1, 2027 - June
30, 2029)
o Federal Share (50%): $144,000
o Local Match (50%): $144,000
·Capital Request: $147,878
o Federal Share (80%): $118,301
o Local Match (20%): $29,577
·Total Local Match Required for 5310 Grant: $173,577
3. Section 5303 Planning Grant - FY2027
·Total Grant Request : $174,411
o Federal Share (80%): $139,529
o State Share (10%): $17,441
o Local Share (10%): $17,441
·Projected revenue and local share expenditures will be included in
the proposed FY2027 budget.
Resolution - Surplus Vehicle Sale25-630
INFORMATION CONTACT:
Corey Brooks, Procurement & Contract Management, Interim Director,
704-283-3683
ACTION REQUESTED:
Adopt Resolution Authorizing Surplus Property Sale by Internet Auction
which 1) declares the property itemized on Attachment A as “Surplus” to
the needs of Union County, 2) authorizes sale at electronic auction of the
surplus property described in Attachment A as per the terms and
conditions as specified in the online auction service provider contract, and
3) authorizes the Procurement Director or their designee to execute any
and all documents necessary to transfer title to said property on behalf of
Union County.
BACKGROUND:
North Carolina General Statutes allow the disposition of personal property
by local governments through a variety of means including private
negotiations and sale; advertisement for sealed bids; negotiated offer,
advertisement, and upset bid; public auction; or exchange . In 2001, the
legislature amended the Statues to provide for disposition of property
through electronic auction .
The sale will begin October 28, 2025, at 9:00 AM and end November 11,
2025, with incremental closings as indicated on Attachment A . A
summary of the vehicle information is listed below . Additional vehicle
information can be found on Attachment A .
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Board of Commissioners Meeting Agenda October 20, 2025
Union County Water
·(2) 2014 FORD F350 SUPERCAB
UCSO
·(1) 2013 DODGE CHARGER
·(1) 2014 DODGE CHARGER
·(1) 2014 FORD EXPLORER
·(1) 2014 CHEVROLET TAHOE
·(1) 2016 CHEVROLET TAHOE
·(1) 2017 CHEVROLET CAPRICE
·(1) 2017 FORD EXPLORER
·(2) 2018 FORD POLICE INTERCEPTOR
Building Code Enforcement
·(1) 2015 FORD F150
Transportation
·(1) 2018 DODGE CARAVAN
The vehicles are to be picked up at 610 Patton Avenue, Monroe, NC with
the following terms of sale:
1. Sale to the highest bidder with all sales final .
2. All items sold “as is” with no warranty, expressed or implied, which
extends beyond the description of the item .
3. Purchasers must remove vehicles(s) within ten (10) business days
from the time and date of issuance of the Buyer ’s Certificate.
4. Payment must be made online through the online auction website .
Payment in full is due not later than five (5) business days from the time
and date of the Buyers Certificate . Payment will not be accepted onsite .
FINANCIAL IMPACT:
Estimated revenue is $50,000. The revenue will be returned to the fund
from which the asset came.
Grant Application - Firehouse Subs Public Safety Foundation25-635
INFORMATION CONTACT:
Jason May, Budget and Grants Management, Director, 704-283-3760
ACTION REQUESTED:
Authorize the County Manager to submit the associated grant application
and make necessary assurances and certifications associated with the
grant application as substantially consistent with this agenda item, which
includes the authorization to execute documents related to award of the
grant and budget funds as appropriate .
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Board of Commissioners Meeting Agenda October 20, 2025
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
The Union County Fire Marshal ’s Office is seeking authorization to apply
for and, if awarded, accept a grant from the Firehouse Subs Public Safety
Foundation in the amount of $15,000 (no local match). The grant program
provides funding to public safety organizations across the nation to
enhance emergency response capabilities, improve community safety,
and support lifesaving operations through specialized equipment .
The proposed project will fund the purchase of digital cameras and
accessories to improve incident documentation, post-disaster damage
assessments, and fire investigation capabilities . High-resolution imagery
is a critical component of accurate scene evaluation, training, and
reporting. These tools will allow the Fire Marshal ’s Office to collect
precise photographic evidence during investigations, emergency
incidents, and natural disaster events .
FINANCIAL IMPACT:
Union County anticipates requesting approximately $15,000 in funding
with no local match.
Contract Amendment - Additional Design Services for the South
Piedmont Regional Autopsy Center
25-640
INFORMATION CONTACT:
Linda Whitaker, Facilities and Fleet Management, Assistant Director
Design and Construction, 704-420-2626
ACTION REQUESTED:
Authorize the County Manager to 1) negotiate and execute an agreement
substantially consistent with this agenda item, 2) exercise any renewal or
extension term options set forth in the Agreement, and 3) terminate the
Agreement if deemed in the best interest of the County, each in the
County Manager’s discretion.
PRIOR BOARD ACTIONS:
May 05, 2025, Regular Meeting, Agenda Item # 25-215 - Approved
Design Contract with CPL Architects & Engineers, PC for Advanced
Planning/Conceptual Design Phase
BACKGROUND:
This request is to approve a contract amendment with CPL to provide full
building and site design and construction administration services for the
South Piedmont Regional Autopsy Center project . The project includes a
new building between 13,000 and 15,000 gross square feet, site work and
utilities and will be located on the parcel adjacent to the Union County
Sheriff's Office Campus. The cost of this amendment is $1,669,225.00,
bringing the revised total fee to $1,885,425.00. Staff recommends
approval of this contract amendment to continue design services for a full
building and site design for the project .
FINANCIAL IMPACT:
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Board of Commissioners Meeting Agenda October 20, 2025
The cost for this amendment is $1,669,225.00. There are sufficient funds
in capital account 40080222 South Piedmont Regional Autopsy Center
project to cover this expense.
Adoption of Updated Records Retention Schedules25-645
INFORMATION CONTACT:
Clayton T. Voignier, Assistant County Manager, 704-283-3687; Jason
Kay, County Attorney, 704-283-3784
ACTION REQUESTED:
Adopt the 2021 General Records Schedule and 2021 Program Records
Schedule for Local Government Agencies for Union County effective
October 20, 2025
PRIOR BOARD ACTIONS:
Union County’s General Records Schedule was last updated on August
5, 2019
BACKGROUND:
In April 2013, Union County adopted a Records Retention and Disposition
Schedule for County Management, which governed how long the County
must retain various types of county records to comply with North Carolina
law. All records retention and disposition schedules are published and
periodically updated by the North Carolina Department of Natural and
Cultural Resources Division of Archives and Records ("NC Archives").
In 2019, Government Records were combined into a General Records
Schedule for Local Government Agencies, and Union County adopted a
General Records Schedule for Local Government Agencies in August of
2019. In October of 2021, NC Archives published an updated General
Records Schedule for Local Government Agencies and a new Program
Records Schedule for Local Government Agencies . The 2021 General
Records Schedule for Local Government Agencies reorganized and
updated the 2019 version to improve clarity and consistency . The most
noticeable change is the renaming of the “Personnel Records” section to
“Human Resources Records.” Several record series were consolidated or
clarified to eliminate redundancy, and terminology was updated to reflect
electronic recordkeeping practices .
The 2021 Program Records Schedule for Local Government Agencies
was a new retention schedule created from the former County
Management (last updated in 2013) and Municipal (last updated in 2012 )
retention schedules. This schedule contains specific functions of
government at the county level including Code Enforcement and
Inspection Records, Parks and Recreation Records, Planning and
Regulation of Development Records, Public Transportation Systems
Records, Public Utilities and Environmental /Waste Management Records,
and Street Maintenance, Public Works, and Engineering Records . Most
retention periods remain consistent with prior guidance, though
descriptions and organization were modernized to improve clarity and
align with the format of the General Records Schedule .
Adoption of the 2021 General Records Schedule and Program Records
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Board of Commissioners Meeting Agenda October 20, 2025
Schedule for Local Government Agencies will supersede prior versions of
these schedules and authorize the County to dispose of records in
accordance with State-approved destruction methods .
FINANCIAL IMPACT:
None
Minutes for Approval25-639
INFORMATION CONTACT:
Lynn G. West, Clerk to the Board of Commissioners, 704-283-3853
ACTION REQUESTED:
Approve minutes.
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
Draft minutes have been provided to the Board of Commissioners for
review and approval on the Consent Agenda .
FINANCIAL IMPACT:
None.
Information Only
Communications Monthly Report - September 202525-623
INFORMATION CONTACT:
Liz Cooper, Public Communications, Director, 704-283-3587
ACTION REQUESTED:
None - Information Only.
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
This report provides valuable metrics and insights into communication
platforms and our efforts to collaborate with all County departments to
inform and engage residents, promote programs and services, and
strengthen internal and external communications .
FINANCIAL IMPACT:
None.
Contract Report July - September 202525-625
INFORMATION CONTACT:
Corey Brooks, Procurement & Contract Management, Interim Director,
704-283-3683
ACTION REQUESTED:
None - Information Only.
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
Page 14 of 18
15
Board of Commissioners Meeting Agenda October 20, 2025
Per Section XVIII of the FY 2026 adopted Operating and Capital Budget
Ordinance, the contract report lists executed contracts and purchase
orders that were entered into by the County Manager or Procurement
designee from July through September 2025.
FINANCIAL IMPACT:
As noted on contracts and purchase orders .
Wastewater Treatment Capacity - Monthly Update25-646
INFORMATION CONTACT:
John Shutak, Union County Water, Engineering Director, 704-283-3651
ACTION REQUESTED:
None - Information Only.
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
Union County Water is closely monitoring the wastewater treatment
capacities at our Water Reclamation Facilities . Permitting Capacity is
evaluated using the Actual Plant Flows plus the Permitted /Obligated
Flows (unconnected). Union County Water was asked to provide regular
updates. Plant flow information through September 2025 is summarized
in the attached table.
Twelve Mile Creek
·Percent of Actual Flows = 70.0%
·Percent of Actual + Permitted Flows = 89.1%
·Actual Flows (MGD)= 5.253
·Actual + Permitted Obligated Flows (MGD)= 6.682
Crooked Creek
·Percent of Actual Flows = 59.4%
·Percent of Actual + Permitted Flows = 88.7%
·Actual Flows (MGD)= 1.129
·Actual + Permitted Obligated Flows (MGD)= 1.686
Olde Sycamore
·Percent of Actual Flows = 26.0%
·Percent of Actual + Permitted Flows = 26.0%
·Actual Flows (MGD)= 0.039
·Actual + Permitted Obligated Flows (MGD)= 0.039
Tallwood
·Percent of Actual Flows = 44.0%
·Percent of Actual + Permitted Flows = 44.0%
·Actual Flows (MGD)= 0.022
·Actual + Permitted Obligated Flows (MGD)= 0.022
Grassy Branch
·Percent of Actual Flows = 86.0%
·Percent of Actual + Permitted Flows = 88.0%
Page 15 of 18
16
Board of Commissioners Meeting Agenda October 20, 2025
·Actual Flows (MGD)= 0.043
·Actual + Permitted Obligated Flows (MGD)= 0.044
In addition to the wastewater treatment capacities, flow volumes
associated with development projects that are in the planning and review
process within the Twelve Mile Creek and Crooked Creek WRF service
areas are provided for information as well . Development flow volumes
through September 2025 are summarized in the attached tables .
FINANCIAL IMPACT:
None.
Business
Consider a Step 4 Economic Development Incentive Grant to McGee
Corporation (Project Canopy)
25-626
INFORMATION CONTACT:
Ron Mahle, Economic Development, Director, 980-476-5279
ACTION REQUESTED:
1) Award a Step 4 Economic Development Incentive Grant in an amount
not to exceed $696,000 over a 5-year period and 2) authorize the County
Manager to a) negotiate and execute an agreement substantially
consistent with this agenda item, b) exercise any renewal or extension
term options set forth in the Agreement, and c) terminate the Agreement
if deemed in the best interest of the County, each in the County
Manager's discretion.
PRIOR BOARD ACTIONS:
October 20, 2025, Regular Meeting, Agenda Item # 25-624 - Public
Hearing Conducted.
BACKGROUND:
The Union County Economic Development Department started
conversations with McGee Corporation under codename Project Canopy
in late 2024 about the potential relocation of their manufacturing
operation from Stallings, North Carolina, to a 60-acre parcel located off
Goldmine Road. The company is considering the purchase of 60-acres,
the construction of a 366,000 square foot manufacturing facility, and the
purchase and installation of new production equipment . Total capital
investment is approximately $40,000,000.
McGee Corporation is a fourth-generation existing manufacturer located
in Stallings, North Carolina. The company is an industry leader in the
production of steel-frame canopy systems used at fueling stations and
other custom architectural applications . Current employment at McGee
Corporation is 163 people earning an average annual salary of $63,000.
Due to exceptional growth in their business, they have outgrown the
capacity at their current location and are searching for a site which will
accommodate future growth .
Page 16 of 18
17
Board of Commissioners Meeting Agenda October 20, 2025
Based on the anticipated capital investment, it is proposed that the Board
award a STEP 4 Economic Development Incentive Grant in an
amount-not-to-exceed $696,000 paid over a 5-year period beginning in
FY 2028. The value of the incentive grant will be based upon appraised
value each year as appraised by the Union County Tax Administration
Office. This grant is based on the company ’s projected investment of
approximately $40,000,000 in land, new building construction, and
purchase and installation of new manufacturing equipment over the grant
period, but not less than $2,000,000. Based on its projected investment in
Union County, the current tax rate, and assuming a consistent assessed
value with no depreciation, the company will pay estimated ad valorem
taxes on the new taxable investment in the amount of $868,400 over the
grant period. Actual tax revenue for the County will be based on the
assessed value of the investment each year by the Union County Tax
Administration Office and will vary each year depending upon the
depreciation schedule and the timing of the investments .
The grant is also contingent upon the company retaining its current
number of employees located within Union County .
FINANCIAL IMPACT:
The project, if brought to Union County, would have an economic
development incentive grant in an amount-not-to-exceed $696,000 but
would generate approximately $868,400 in ad valorum taxes over the
5-year grant period . Actual tax revenue for the County will be based on
the assessed value of the investment each year by the Union County Tax
Administration Office and will vary each year depending upon the
depreciation schedule and the timing of the investments .
Union County Land Preservation & Easement Program Update25-642
INFORMATION CONTACT:
Alan Aldridge, Soil & Water Conservation, District Director, 704-233-1621
Ext. 3
ACTION REQUESTED:
1) Approve the allocation of funds, from Budget 10115410-5630-11115,
for the purchase of Easements 90-2026-001, 90-2026-002, 90-2026-003,
and 90-2026-004 in the amount of $854,180; and 2) accept Easements
90-2026-001, 90-2026-002, 90-2026-003, and 90-2026-004 into the
Union County Land Preservation & Easement Program .
PRIOR BOARD ACTIONS:
1) November 6, 2023, Regular Meeting, Agenda Item # 23-755 - a)
Approved the Union County Soil & Water Conservation District to
purchase and hold conservation easements for land preservation in
Union County; and b) adopted Budget Amendment # 14 appropriating the
County’s General Fund unassigned fund balance in the amount of
$969,006 to be used for the purchase of conservation easements and
Page 17 of 18
18
Board of Commissioners Meeting Agenda October 20, 2025
associated transaction costs .
2) February 3, 2025, Regular Meeting, Agenda Item # 25-047 - a)
Adopted the Union County land preservation & easement ordinance; b)
approved the allocation of funds from BUDGET 10115410-5630-11115
for the purchase of Easement 90-2025-001 for the amount of
$721,575.00; c ) accepted Easement 90-2025-001 into the Union County
Land Preservation & Easement Program; d) accepted the donation of
Easement 90-2025-002 into the Union County Land Preservation &
Easement Program; e) adopted Budget Amendment 22 appropriating the
County’s General Fund unassigned fund balance in the amount of
$885,991.90 to be used for the purchase of conservation easements and
associated transaction costs .
BACKGROUND:
Union County is currently ranked 13th in the United States for open space
land loss on a per year basis according to the latest research published
by the American Farmland Trust . Over the last four fiscal years, Union
County has lost 3,191 acres (FY2020), 2,892 acres (FY2021), 3,625
acres (FY2022), and 2,419 acres (FY2023) from parcels enrolled in
present use value (PUV) alone. According to the 2022 NCDA Census of
Agriculture, Union County has 186,626 acres of farmland. In the
Business-as-Usual scenario published by NC FarmLink, Union County is
slated to lose 51,500 acres of current farmland by 2040. This scenario
would represent approximately a 28% reduction in total farmland acreage
in Union County by 2040.
The Union County Land Preservation & Easement program allows
landowners to sell and/or donate the development rights to their property
while still obtaining ownership of the land . By selling and/or donating the
development rights, open space and agricultural land will be preserved
through conservation easements held by the Union County Soil & Water
Conservation District. The District will be responsible for monitoring and
inspections of easements to maintain compliance within the program . The
use of present use value (PUV) rollback funds will provide financial
resources to the Union County Soil & Water Conservation District for the
easement purchases and all associated transaction costs . These funds
are held in a Union County budget line and all non-encumbered funds will
rollover at the end of each fiscal year .
FINANCIAL IMPACT:
$854,180 for the purchase of Easements 90-2026-001, 90-2026-002,
90-2026-003, and 90-2026-004.
County Manager's Comments
Commissioners' Comments
Adjournment
Page 18 of 18
19
Union County, NC
Staff Report
Union County Government
Center
500 North Main Street
Monroe, North Carolina
www.unioncountync.gov
File #:25-624 Agenda Date:10/20/2025
TITLE:..title
Public Hearing - Step 4 Economic Development Incentive Grant to McGee Corporation (Project
Canopy)
INFORMATION CONTACT:
Ron Mahle, Economic Development, Director, 980-476-5279
ACTION REQUESTED:
Conduct Public Hearing.
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
The Union County Economic Development Department started conversations with McGee
Corporation under codename Project Canopy in late 2024 about the potential relocation of their
manufacturing operation from Stallings, North Carolina, to a 60-acre parcel located off Goldmine
Road. The company is considering the purchase of 60-acres, the construction of a 366,000 square
foot manufacturing facility, and the purchase and installation of new production equipment. Total
capital investment is approximately $40,000,000.
McGee Corporation is a fourth-generation existing manufacturer located in Stallings, North Carolina.
The company is an industry leader in the production of steel-frame canopy systems used at fueling
stations and other custom architectural applications. Current employment at McGee Corporation is
163 people earning an average annual salary of $63,000.
Due to exceptional growth in their business, they have outgrown the capacity at their current location
and are searching for a site which will accommodate future growth.
Based on the anticipated capital investment, it is proposed that the Board award a STEP 4 Economic
Development Incentive Grant in an amount-not-to-exceed $696,000 paid over a 5-year period
beginning in FY 2028. The value of the incentive grant will be based upon appraised value each year
as appraised by the Union County Tax Administration Office. This grant is based on the company’s
projected investment of approximately $40,000,000 in land, new building construction, and purchase
and installation of new manufacturing equipment over the grant period, but not less than $2,000,000.
Based on its projected investment in Union County, the current tax rate, and assuming a consistent
assessed value with no depreciation, the company will pay estimated ad valorem taxes on the new
taxable investment in the amount of $868,400 over the grant period. Actual tax revenue for the
County will be based on the assessed value of the investment each year by the Union County Tax
Union County, NC Printed on 10/7/2025Page 1 of 2
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File #:25-624 Agenda Date:10/20/2025
Administration Office and will vary each year depending upon the depreciation schedule and the
timing of the investments.
The grant is also contingent upon the company retaining its current number of employees located
within Union County.
FINANCIAL IMPACT:
The project, if brought to Union County, would have an economic development incentive grant in an
amount-not-to-exceed $696,000 but would generate approximately $868,400 in ad valorum taxes
over the 5-year grant period. Actual tax revenue for the County will be based on the assessed value
of the investment each year by the Union County Tax Administration Office and will vary each year
depending upon the depreciation schedule and the timing of the investments.
Union County, NC Printed on 10/7/2025Page 2 of 2
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Union County, NC
Staff Report
Union County Government
Center
500 North Main Street
Monroe, North Carolina
www.unioncountync.gov
File #:25-637 Agenda Date:10/20/2025
TITLE:..title
Contract - Utility Locating and Mapping Services
INFORMATION CONTACT:
Christopher Clark, UC Water - Water & Wastewater Operations, Director, 704-296-4215
ACTION REQUESTED:
Authorize the County Manager to 1) negotiate and execute an agreement substantially consistent
with this agenda item, 2) exercise any renewal or extension term options set forth in the Agreement,
and 3) terminate the Agreement if deemed in the best interest of the County, each in the County
Manager's discretion.
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
Union County Water maintains and operates over 1,000 miles of water system infrastructure and over
700 miles of wastewater infrastructure. A large portion of the combined 1700+ miles of piping is
located near roadway shoulders, and both residential and commercial areas. Once water/sewer lines
are required to be located through the NC811 system, UCW will locate their lines in the system. Due
to the many outside contractors for multiple cable and fiber companies working currently in the
county, UCW has been overwhelmed and unable to address the multiple locate requests leading to
uncompleted locates and damage to infrastructure. This service requires a very specific skill set and
potential scheduling implications and will be conducted by industry professionals. This effort has
shown a great improvement in customer service by reducing damages to infrastructure and
inconvenience to UC Water customers
The Procurement Department partnered with Union County Water to issue a Request for Proposal
RFP 2025-054 Utility Locate Services. On July 15, 2025, four proposals were received and reviewed
by an evaluation team in accordance with applicable evaluation criteria for this project. As a result,
the team requests approval to enter into a contract with the top scoring/ranked preferred offeror,
Surveying and Mapping, LLC, to provide Utility Locating services. This contract has an initial term of
three years with two one-year renewal options at the sole discretion of the County and is subject to
annual budget appropriation.
FINANCIAL IMPACT:
The anticipated annual cost for this service is $3,345,000. Since this contract contains an initial three-
year term, with two additional one-year renewal options, a total of $16,725,000 is estimated to be
spent. Funding is available in the adopted FY26 budget appropriation with future expenditures
Union County, NC Printed on 10/7/2025Page 1 of 2
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File #:25-637 Agenda Date:10/20/2025
subject to annual BOCC budget appropriation.
Union County, NC Printed on 10/7/2025Page 2 of 2
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1
STATE OF NORTH CAROLINA
AGREEMENT
COUNTY OF UNION
THIS AGREEMENT is made and entered into as of __________________________, by and
between UNION COUNTY, a political subdivision of the State of North Carolina, whose address is
500 North Main Street, Monroe, NC 28112, hereinafter “Union,” and SURVEYING AND
MAPPING, LLC, a Texas limited liability company authorized to do business in North Carolina,
whose address is 9800 Southern Pine Blvd., Suite I, Charlotte, NC 28273, hereinafter “Contractor.”
W I T N E S S E T H
WHEREAS, Union desires that Contractor perform certain utility location services; and
WHEREAS, Contractor is willing to perform such services as described in this Agreement.
NOW, THEREFORE, in consideration of the mutual covenants and agreements hereinafter
set forth, the parties hereto do each contract and agree with the other as follows:
1. SERVICES PERFORMED. Contractor agrees to perform the services as set forth in
the attached Request for Proposal No. 2025-054 Utility Locate Services, which is incorporated herein
by reference (hereinafter the “Services”), in accordance with the terms of this Agreement.
2. FEE AND PAYMENT SCHEDULE. Union shall pay Contractor in accordance with
Contractor’s Appendix A – Cost Proposal (the “Cost Proposal”) for performance of the Services,
which Cost Proposal is attached hereto and incorporated herein by reference. Contractor shall
invoice Union on a monthly basis for Services performed, or upon such other schedule as may be
agreed upon by the parties. Payment is due within thirty (30) days of receipt of an accurate invoice
by Union’s Finance Division. All payments shall be conditioned upon appropriation by the Union
County Board of Commissioners of sufficient funds for each request for services.
3. TERM AND TERMINATION. The Effective Date is the date of mutual execution of
this Agreement. This Agreement shall have a term of three (3) years (the “Initial Term”). Upon
completion of the Initial Term, Union may, in its sole discretion, elect to renew this Agreement for
up to two (2) additional one (1)-year terms, each a “Renewal Term,” upon written notice to the
Contractor. Union may terminate this Agreement at any time, without cause, upon provision of ten
(10) days’ written notice to Contractor. In the event of termination without cause, Contractor shall
be paid for services performed to the date of notification of termination by Union.
4. OWNERSHIP OF DOCUMENTS. All deliverables and any other contract
documents prepared by Contractor, or any subcontractors or subconsultants under the terms of this
Agreement (“the Documents”), shall be the property of Union. Contractor further acknowledges that
Union is subject to Chapter 132 of the North Carolina General Statutes, the Public Records Act (the
“Act”), and that this Agreement, as well as any of the Documents as defined herein, shall be a public
record as defined in such Act, and as such, will be open to public disclosure and copying.
5. INSURANCE. The attached Exhibit A, Insurance Requirements, is incorporated
herein by reference.
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6. INDEMNIFICATION. Contractor agrees to protect, defend, indemnify and hold
Union, its officers, employees and agents free and harmless from and against any and all losses,
penalties, damages, settlements, costs, charges, professional fees or other expenses or liabilities of
every kind and character arising out of or relating to any and all claims, liens, demands, obligations,
actions, proceedings, or causes of action of every kind in connection with or arising out of this
Agreement and/or the performance hereof that are due, in whole or in part, to the negligence of
Contractor, its officers, employees, subcontractors or agents. Contractor further agrees to investigate,
handle, respond to, provide defense for, and defend the same at its sole expense and agrees to bear all
other costs and expenses related thereto.
7. DECLARATION BY CONTRACTOR. Contractor declares that Contractor has
complied with all federal, state and local laws regarding the location and operation of Contractor’s
business and regarding business permits, certificates, and licenses that may be required to carry out
the work to be performed under this Agreement.
8. FEDERAL, STATE, AND LOCAL TAXES. Neither federal, nor state, nor local
income tax nor payroll tax of any kind shall be withheld or paid by Union on behalf of Contractor or
the employees of Contractor. Contractor shall not be treated as an employee with respect to the
services performed hereunder for federal or state tax purposes.
9. NOTICE TO CONTRACTOR REGARDING ITS TAX DUTIES AND
LIABILITIES. Contractor understands that Contractor is responsible to pay, according to law,
Contractor’s income tax. If Contractor is not a corporation, Contractor further understands that
Contractor may be liable for self-employment (social security) tax, to be paid by Contractor
according to law.
10. FRINGE BENEFITS. Because Contractor is engaged in Contractor’s own
independently established business, Contractor is not eligible for, and shall not participate in, any
employee pension, health or other fringe benefit plan of Union.
11. UNION NOT RESPONSIBLE FOR WORKERS’ COMPENSATION. No workers’
compensation insurance shall be obtained by Union concerning Contractor or the employees of
Contractor. Contractor shall comply with the workers’ compensation law concerning Contractor and
the employees of Contractor.
12. NO AUTHORITY TO BIND UNION. Contractor has no authority to enter into
contracts or agreements on behalf of Union. This Agreement does not create a partnership or any
form of agency between the parties.
13. ASSIGNMENT. Neither Union nor Contractor shall assign, sublet or transfer any
rights under or interest in this Agreement (including, but without limitation, monies that may become
due or monies that are due) without the written consent of the other, except to the extent that any
assignment, subletting or transfer is mandated by law or the effect of this limitation may be restricted
by law. Unless specifically stated to the contrary in any written consent to assignment, no
assignment shall release or discharge the assignor from any duty or responsibility under this
Agreement.
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14. NON-WAIVER. The failure of either party to exercise any of its rights under this
agreement for a breach thereof shall not be deemed to be a waiver of such rights or a waiver of any
subsequent breach.
15. HOW NOTICES SHALL BE GIVEN. Any notice given in connection with this
agreement shall be given in writing and shall be delivered either by hand to the party or by certified
mail, return receipt requested, to the party at the party’s address stated herein. Any party may change
its address stated herein by giving notice of the change in accordance with this paragraph.
16. APPLICABLE LAW AND JURISDICTION. This Agreement shall be construed and
enforced in accordance with the laws of the State of North Carolina. The parties to this Agreement
confer exclusive jurisdiction of all disputes arising hereunder upon the General Courts of Justice of
Union County, North Carolina.
17. COMPLETE AGREEMENT. This Agreement contains the complete agreement of
the parties regarding the terms and conditions of the Agreement, and there are no oral or written
conditions, terms, warranties, understandings or other agreements pertaining thereto which have not
been incorporated herein. This Agreement may be modified only by written instrument duly
executed by both parties, or their respective successors in interest.
18. SEVERABILITY. The provisions hereof are severable, and should any provision be
determined to be invalid, unlawful or otherwise null and void by any court of competent jurisdiction,
the other provisions shall remain in full force and effect and shall not thereby be affected unless such
ruling shall make further performance hereunder impossible or impose an unconscionable burden
upon one of the parties.
19. AUTHORITY. Each party warrants that it has the corporate or other organizational
power and authority to execute, deliver and perform this Agreement. Each party further warrants that
the execution, delivery and performance by it of the Agreement has been duly authorized and
approved by all requisite action of the party’s management and appropriate governing body.
20. E-VERIFY. E-Verify is the federal program operated by the United States
Department of Homeland Security and other federal agencies, or any successor or equivalent
program, used to verify the work authorization of newly hired employees pursuant to federal
law. Contractor shall ensure that Contractor and any subcontractor performing work under this
Agreement: (i) uses E-Verify if required to do so by North Carolina law; and (ii) otherwise complies
with the requirements of Article 2 of Chapter 64 of the North Carolina General Statutes. A breach of
this provision by Contractor will be considered a breach of this Agreement, which entitles Union to
terminate this Agreement, without penalty, upon notice to Contractor.
[Signatures follow on the next page.]
26
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IN WITNESS WHEREOF, the parties hereto, acting under authority of their respective
governing bodies, have hereunto set their hands and seals, and have caused this Agreement to be duly
executed, this the day and year first above written.
UNION COUNTY
By: (SEAL)
Brian W. Matthews, County Manager
SURVEYING AND MAPPING, LLC
By: (SEAL)
Approved as to Legal Form RLM
This instrument has been preaudited in the manner
required by The Local Government Budget and Fiscal
Control Act.
Deputy Finance Officer
27
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Exhibit A
Insurance Requirements
I. BASIC INSURANCE REQUIREMENTS. At Contractor’s sole expense, Contractor
shall procure and maintain the following minimum insurances with insurers authorized to do
business in North Carolina and rated A-VII or better by A.M. Best, or as otherwise authorized by
the Union County Risk Manager.
A. WORKERS’ COMPENSATION
Statutory (coverage for three or more employees) limits covering all employees,
including Employer’s Liability with limits of:
$500,000 Each Accident
$500,000 Disease - Each Employee
$500,000 Disease - Policy Limit
B. COMMERCIAL GENERAL LIABILITY
Covering all operations involved in this Agreement.
$2,000,000 General Aggregate
$2,000,000 Products/Completed Operations Aggregate
$1,000,000 Each Occurrence
$1,000,000 Personal and Advertising Injury Limit
C. COMMERCIAL AUTOMOBILE LIABILITY
$1,000,000 Combined Single Limit - Any Auto
D. PROFESSIONAL LIABILITY
$1,000,000 Claims Made
Contractor shall provide evidence of continuation or renewal of Professional
Liability Insurance for a period of two (2) years following termination of the
Agreement.
II. ADDITIONAL INSURANCE REQUIREMENTS.
A. The Contractor’s General Liability policy shall be endorsed, specifically or
generally, to include the following as Additional Insured:
UNION COUNTY, ITS OFFICERS, AGENTS AND EMPLOYEES ARE
INCLUDED AS ADDITIONAL INSURED WITH RESPECT TO THE
GENERAL LIABILITY INSURANCE POLICY.
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B. Before commencement of any work or event, Contractor shall provide a
Certificate of Insurance in satisfactory form as evidence of the insurances
required above.
C. Contractor shall have no right of recovery or subrogation against Union County
(including its officers, agents and employees).
D. It is the intention of the parties that the insurance policies afforded by Contractor
shall protect both parties and be primary and non-contributory coverage for any
and all losses covered by the above-described insurance.
E. Union County shall have no liability with respect to Contractor’s personal
property whether insured or not insured. Any deductible or self-insured retention
is the sole responsibility of Contractor.
F. Notwithstanding the notification requirements of the Insurer, Contractor hereby
agrees to notify County’s Risk Manager at 500 North Main Street, Monroe, NC
28112, within two (2) days of the cancellation or substantive change of any
insurance policy set out herein. Union, in its sole discretion, may deem failure to
provide such notice as a breach of this Agreement.
G. The Certificate of Insurance should note in the Description of Operations the
following:
Department: Water & Wastewater
Contract #: 9899
H. Insurance procured by Contractor shall not reduce nor limit Contractor’s
contractual obligation to indemnify, save harmless and defend Union County for
claims made or suits brought which result from or are in connection with the
performance of this Agreement.
I. Certificate Holder shall be listed as follows:
Union County
Attention: Risk Manager
500 North Main Street
Monroe, NC 28112
J. If Contractor is authorized to assign or subcontract any of its rights or duties
hereunder and in fact does so, Contractor shall ensure that the assignee or
subcontractor satisfies all requirements of this Agreement, including, but not
limited to, maintenance of the required insurances coverage and provision of
certificate(s) of insurance and additional insured endorsement(s), in proper form
prior to commencement of services.
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Union County, NC
Staff Report
Union County Government
Center
500 North Main Street
Monroe, North Carolina
www.unioncountync.gov
File #:25-641 Agenda Date:10/20/2025
TITLE:..title
Bid Award - FY2022 Short Water Line Extension Program Phase A
INFORMATION CONTACT:
John Shutak, Union County Water, Engineering Director, 704-283-3651
ACTION REQUESTED:
1) Award contract to Classic City Mechanical, Inc. in the amount of $2,007,041.00; 2) authorize the
County Manager to a) negotiate and execute an agreement with Classic City Mechanical, Inc.
substantially consistent with this agenda item, b) exercise any renewal or extension term options set
forth in the agreement, and c) terminate the agreement if deemed in the best interest of the County,
each in the County Manager’s discretion; and 3) adopt Resolution Providing Notice of Construction of
the FY2022 Short Water Line Extension Program Phase A.
PRIOR BOARD ACTIONS:
1) August 16, 2021, Regular Meeting, Agenda Item # 40 - Approved the ranking criteria, cost share,
and application period for the Short Water Line Extension Program.
2) February 7, 2022, Regular Meeting, Agenda Item # 22-011 - Approved the FY2022 Short Water
Line Extension Program applicant selections.
3) April 4, 2022, Regular Meeting, Agenda Item # 22-178 - Approved the selection of two additional
projects for the FY2022 Short Water Line Extension Program.
4) September 6, 2022, Regular Meeting, Agenda Item # 22-531 - Approved moving forward with the
selected FY2022 Short Water Line Extension Program selected projects based on applicants’ fee
payments.
5) August 14, 2023, Regular Meeting, Agenda Item # 23-489 - Approved Task Order 2021-10 with
WK Dickson & Co., Inc. for engineering design services for the FY2022 Short Water Line Extension
Program Phases A & C
BACKGROUND:
The Short Water Line Extension Program,as adopted by the Board of County Commissioners
(BOCC),provides for the extension of water lines to serve and provide an environmental benefit to
qualifying applicants in Union County.The FY2022 Short Water Line Extension Program projects
have been divided into four Phases (A -D).Phase A consists of four projects with approximately 2.4
miles of water lines serving 16 applicants on E Old Dutch Road,Jack Connell Road,Deepwood
Place,Sherin Lane,Sikes Mill Road,Braswell Rushing Road,Tyler Ridge Court,and Clontz Long
Road.
The BOCC previously approved WK Dickson &Co.,Inc Task Order 2021-10 for engineering design
Union County, NC Printed on 10/7/2025Page 1 of 2
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File #:25-641 Agenda Date:10/20/2025
The BOCC previously approved WK Dickson &Co.,Inc Task Order 2021-10 for engineering design
services for Phases A and C on August 14, 2023, in the amount of $556,600.00.
On September 3,2025,the Procurement Department partnered with the Union County Water to issue
an Invitation for Bid IFB 2026-012 -FY2022 Short Water Line Extension Program Phase A.On
September 30,2025,five (5)bids for the title project were received and processed.All bids were
tabulated,reviewed,and certified by WK Dickson &Co.,LLC d/b/a Ardurra Group North Carolina.
The bids ranged from $2,007,042.55 to $3,876,127.50;staff recommends that the project be
awarded to the lowest responsive,responsible bidder,Classic City Mechanical,Inc.,in the amount of
$2,007,042.55.
FINANCIAL IMPACT:
Funding is available within the adopted capital account 60184128 FY2022 Short Water Line
Extensions Program to support the construction contract amount of $2,007,042.55 with Classic City
Mechanical, Inc.
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1213 W. Morehead Street, Suite 300 | Charlotte, NC 28208 | 704.334.5348 | www.ardurra.com
OCTOBER 3, 2025
THUY LE
ENGINEER – CAPITAL IMPROVEMENT PROGRAM
UNION COUNTY WATER
500 N. MAIN STREET, SUITE 600
MONROE, NORTH CAROLINA 28112
SUBJECT: IFB# 2026-012 FY22 Short Water Line Extensions – Phase A
Project Number: 20230824.00.CL
Bid Tabulation and Recommendation
Dear Ms. Thuy Le:
Enclosed is the Certified Bid Tabulation for the referenced project. A total of five (5) bids were
submitted. The bidders, listed in ascending order of total bid price, are Classic City Mechanical,
Inc., Simpson Land Development, LLC, Dawn Development Company, Inc., G.S. Construction Inc.
and Richard D. Suggs Construction LLC.
The five (5) bids appear to be complete and compliant with the Contract Documents.
The bid received from Classic City Mechanical, Inc. contained a few minor arithmetic errors
associated with the calculation of the Contingency Allowance for the Base Bid and Alternate 1.
The Base Bid Contingency Allowance, Total Base Bid (Base Bid + Mobilization + Contingency
Allowance), Alternate 1 Contingency Allowance, Total Alternate 1 (Base Bid + Mobilization +
Contingency Allowance) and Total Bid (Base Bid + Alternate 1) have been updated accordingly.
The error did not impact the outcome of the bids and has been corrected and noted as such in
the attached Bid Tabulation.
The bid received from Simpson Land Development, LLC contained a few minor arithmetic errors.
The first error is associated with the calculation of the bid price for Item No. 1 – 2” Dia. PVC
Water Line of the Base Bid. The second error is associated with the calculation of the bid price
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for Item No. 46 – Restoration, Seeding and Mulching of the Alternate 1 Bid. The Subtotal Base
Bid, Base Bid Contingency Allowance, Total Base Bid (Base Bid + Mobilization + Contingency
Allowance), Subtotal Alternate 1, Alternate 1 Contingency Allowance, Total Alternate 1 (Base Bid
+ Mobilization + Contingency Allowance), and Total Bid (Base Bid + Alternate 1) have been
updated accordingly. The error did not impact the outcome of the bids and has been corrected
and noted as such in the attached Bid Tabulation.
The bid received from Richard D. Suggs Construction LLC contained a minor arithmetic error
associated with the Total Base Bid (Base Bid + Mobilization + Contingency Allowance). The
Total Base Bid (Base Bid + Mobilization + Contingency Allowance) has been updated
accordingly. The error did not impact the outcome of the bids and has been corrected as note
as such in the attached Bid Tabulation.
The bids submitted by Dawn Development Company, Inc., G.S. Construction, Inc. and Richard D.
Suggs Construction LLC did not have the correct Total Bid (Base Bid + Alternate 1) price written
in words on the Bid Form. The oversight did not impact the outcome of the bids and has been
corrected and noted as such in the attached Bid Tabulation.
All other bids received were found to be free of mathematical errors or oversights. Classic City
Mechanical, Inc. is the apparent lowest responsive, responsible bidder. We understand Classic
City Mechanical, Inc., has completed successful projects for Union County in the past.
Furthermore, Classic City Mechanical, Inc. is absent or excluded from the SAM (Federal
Debarment), Iran Divestment and North Carolina Debarred lists.
Based on the results of this Bid and the information that we have received at this time, I
recommend Union County award the contract to Classic City Mechanical, Inc. in the amount of
$2,007,042.55 for the Total Bid (Base Bid + Alternate 1).
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RESOLUTION OF THE UNION COUNTY BOARD OF COMMISSIONERS PROVIDING NOTICE OF
FY2022 SHORT WATER LINE EXTENSION PROGRAM PHASE A
PROJECT CONSTRUCTION
WHEREAS, pursuant to G.S § 153A-457, a county shall notify property owners and adjacent
property owners prior to commencement of any construction project by the county; and
WHEREAS, G.S. § 153A-457 provides that notice of a county construction project is deemed
sufficient if notice of the construction project is given in any open meeting of the county prior to
the commencement of the construction project; and
WHEREAS, the Union County Board of Commissioners desires to give notice of construction of
the FY2022 Short Water Line Extension Program Phase A project prior to commencement of
project construction as required by G.S. § 153A-457.
NOW, THEREFORE, BE IT RESOLVED BY THE Union County Board of Commissioners that:
1. Union County may commence construction of the FY2022 Short Water Line Extension
Program Phase A project on property as shown on the attached map after the award date of
the construction contract for the project.
2. This resolution and notice is adopted in accordance with the construction notice
requirements of G.S. § 153A-457.
Adopted this the 20th day of October, 2025.
Attest:
Lynn West Melissa Merrell
Clerk to the Board Chair, Union County Board of Commissioners
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Union County, NC
Staff Report
Union County Government
Center
500 North Main Street
Monroe, North Carolina
www.unioncountync.gov
File #:25-622 Agenda Date:10/20/2025
TITLE:..title
Purchase - Replacement/Expansion Vehicles
INFORMATION CONTACT:
Christopher J. Boyd, Facilities and Fleet Management, Director, 704-283-3868
ACTION REQUESTED:
Authorize the County Manager to 1) negotiate and execute an agreement substantially consistent
with this agenda item, 2) exercise any renewal or extension term options set forth in the Agreement,
and 3) terminate the Agreement if deemed in the best interest of the County, each in the County
Manager's discretion.
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
Fleet requests the approval to purchase eight (8) replacement and/or expansion vehicles. Seven (7)
Social Services Administration vehicles have met their use in life and were approved for replacement
in the FY26 budget. One (1) expansion vehicle was approved for Economic Development in the FY26
budget. A summary of the replacement/expansion vehicles is below:
Replacements
(1)2026 Chevrolet Equinox - Replaces 05-16, Social Services Admin, $28,795.50
(1)2026 Chevrolet Equinox - Replaces 02-16, Social Services Admin, $28,795.50
(1)2026 Chevrolet Equinox - Replaces 48-14, Social Services Admin, $28,795.50
(1)2026 Chevrolet Equinox - Replaces 28-13, Social Services Admin, $28,795.50
(1)2026 Chevrolet Equinox - Replaces 04-16, Social Services Admin, $28,795.50
(1)2026 Chevrolet Equinox - Replaces 03-16, Social Services Admin, $28,795.50
(1)2026 Chevrolet Equinox - Replaces 47-14, Social Services Admin, $28,795.50
Expansion
(1)2026 Chevrolet Tahoe 4WD - Expansion, Economic Development, $55,463.25
N.C.G.S 143-129(e)(3) and N.C.G.S 143-129(e)(9) allow local governments to make purchases
through a competitively bid North Carolina Statewide Term Contract or a Group Purchasing Program.
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File #:25-622 Agenda Date:10/20/2025
The purchase of the vehicles will be made using North Carolina Statewide Term Contract 2510A as
quoted by Capital Chevrolet.
FINANCIAL IMPACT:
The anticipated cost for the vehicles is $257,031.75 and is budgeted accordingly for FY26.
Union County, NC Printed on 10/7/2025Page 2 of 2
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Union County, NC
Staff Report
Union County Government
Center
500 North Main Street
Monroe, North Carolina
www.unioncountync.gov
File #:25-627 Agenda Date:10/20/2025
TITLE:..title
Step 4 Economic Development Incentive Grant - Project Seven
INFORMATION CONTACT:
Ron Mahle, Economic Development, Director, 980-476-5279
ACTION REQUESTED:
Confirm the Board’s action on July 14, 2025 (Agenda Item 25-425), involving the award of a Step 4
Economic Development Incentive Grant to Confidential Company (Project Seven) in an amount not-
to-exceed $4,860,000 over a seven-year period was an award of such incentive grant to ATI
Specialty Materials, Inc.
PRIOR BOARD ACTIONS:
July 14, 2025, Regular Meeting, Agenda Item #25-424 - Public Hearing;
July 14, 2025, Regular Meeting, Agenda Item #25-425- Union County Board of Commissioners
award of Step 4 Economic Development Incentive Grant to Confidential Company - Project Seven
BACKGROUND:
At its July 14, 2025, regular meeting, the Union County Board of Commissioners awarded a Step 4
Economic Development Incentive Grant to Confidential Company - Project Seven. The grant is in an
amount not-to-exceed $4,860,000 paid over a 7-year period beginning in FY2028. The name of the
company is ATI Specialty Materials, Inc.
FINANCIAL IMPACT:
$4,860,000 paid over a 7-year period beginning in FY2028.
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Union County, NC
Staff Report
Union County Government
Center
500 North Main Street
Monroe, North Carolina
www.unioncountync.gov
File #:25-633 Agenda Date:10/20/2025
TITLE:..title
Grant Application - Meals on Wheels America 2025-26 Waitlist Grant
INFORMATION CONTACT:
Stephanie Starr, Human Services Agency - Department of Community Support and Outreach, 704-
296-4302
ACTION REQUESTED:
Authorize the County Manager to submit the associated grant application and make necessary
assurances and certifications associated with the grant application as substantially consistent with
this agenda item, which includes the authorization to execute documents related to award of the
grant and budget funds as appropriate.
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
Meals on Wheels America, in partnership with Food Lion Feeds, has established a funding
opportunity to help address growing waitlists for home-delivered meals across the country. These
funds are intended to support local programs by providing general operations and infrastructure
investments that will expand capacity and reduce wait times.
Union County has been identified as a recipient of these funds, which have been set aside for our
Senior Nutrition Program. To access the funding, the County must complete an application form and
accept the associated terms and conditions. The funding is $77,000 and will primarily be used to
purchase a vehicle for the Senior Nutrition Program. This vehicle will be used to deliver meals to
homebound seniors and staff will use it when completing the required annual in-home visits for all
clients, as mandated by North Carolina Department of Health and Human Services - Division of
Aging. The additional vehicle capacity will help strengthen program operations and ensure that more
seniors in Union County receive timely, reliable nutrition and support services.
Any funds remaining after the vehicle purchase are unrestricted and may be used to support other
program needs, such as shelf-stable meals, computer equipment for staff, or craft and activity
supplies for congregate meal site participants.
FINANCIAL IMPACT:
The grant award is $77,000 with no required match.
Union County, NC Printed on 10/7/2025Page 1 of 1
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Union County, NC
Staff Report
Union County Government
Center
500 North Main Street
Monroe, North Carolina
www.unioncountync.gov
File #:25-643 Agenda Date:10/20/2025
TITLE:..title
Grant Application - Transportation FY2026 Rural Operating Assistance Program, FY2027 Section
5310 Enhanced Mobility of Seniors and Individuals with Disabilities Program and FY2027 FTA 5303
Transit Planning Grant
INFORMATION CONTACT:
Theresa Torres, Human Services Agency, Transportation Director, 704-283-3598
ACTION REQUESTED:
Authorize the County Manager to submit the associated grant applications and make necessary
assurances and certifications associated with the grant applications as substantially consistent with
this agenda item, which includes the authorization to execute documents, or delegate electronic
execution of documents when use of the federal award management system is required, related to
award of the grants and budget funds as appropriate
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
The Human Services Agency Transportation Department seeks approval to submit applications for
three grant programs to support the continued provision and planning of public transportation
services for eligible residents, particularly seniors, individuals with disabilities, and residents in rural
areas. The grants include:
1.Rural Operating Assistance Program (ROAP) - FY26
ROAP is a State-funded, formula-based program administered by the NC Department of
Transportation - Integrated Mobility Division (NCDOT-IMD). Union County expects to receive
$278,783 in FY26 ROAP funding to support operating costs only (no administrative or capital
expenses) for eligible trips in the following categories:
·Elderly & Disabled Transportation Assistance Program (EDTAP) - $125,890
·Employment Transportation Assistance Program (EMPL) - $46,526
·Rural General Public (RGP) - $106,367
Funds may cover up to 100% of the fully allocated trip cost with no local match required. While
EDTAP funds must remain in their designated category, EMPL and RGP funds may be transferred to
any program. The period of performance for these funds is July 1, 2025 - June 30, 2026, regardless
of the date on which ROAP funds are disbursed to the County.
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File #:25-643 Agenda Date:10/20/2025
Eligibility:
·EDTAP: Participants must be either age 60+ or have a physical or mental impairments that
substantially limits one or more major life activities, per NC G.S. Article 2B, 136-44.27.
·EMPL: Recipients must meet one of the following criteria: (1) DSS client who transitioned off
Work First or Temporary Assistance for Needy Families (TANF) in the last 12 months; (2)
Workforce Development Program participant; (3) Any resident who needs transportation to
work, employment training or other related destinations whose work schedule and destination
can be accommodated by the local transit system; (4) A child who requires transport to
daycare in conjunction with an eligible parent’s trip to work.
·RGP: Recipients must reside in a non-urbanized area of the County and need transport for
any reason (E.g. medical appointment, educational opportunity, employment, personal
business). Additionally, RGP recipients (1) must not qualify under a Human Service Agency to
receive transportation or (2) their supporting Human Service Agency must have expended all
transportation funding and no longer be able to fund trips.
County governments are the only eligible applicants for ROAP funds, and the County Financial
Officer is the DOT-mandated person responsible for overseeing the funding.
2.Enhanced Mobility of Seniors and Individuals with Disabilities - Section 5310 Grant - FY27
The Section 5310 program (49 U.S.C. 5310) provides formula funding to states to assist private
nonprofit groups in meeting the transportation needs of older adults and people with disabilities when
transportation service is unavailable, insufficient, or inappropriate to meet the needs of these
residents. The 5310 program aims to remove barriers to transportation services and expand mobility
options for seniors and individuals with disabilities by supporting services planned, designed, and
carried out to meet the unique transportation needs of these residents in all areas - large urbanized
(over 200,000), small urbanized (50,000-200,000), and rural (under 50,000). Funds are apportioned
based on each state's share of the population, then direct recipients manage and distribute funds to
sub-recipient projects.
The Human Services Agency Transportation Division will submit the grant application as a sub-
recipient through the Charlotte Area Transit System (CATS), and our local agreement will be with the
City of Charlotte. Transportation staff have the capability to manage this grant and have been
receiving and managing this 5310 funding since January 2016. FY27 grant funding will allow us to
continue meeting the needs of current and future residents who are eligible for services under this
funding structure. Our goal is to serve over 200 seniors aged 65 and older and/or individuals with
disabilities currently being served by our system under this funding.
The FY27 grant application will include:
Operations Funding (Demand Response Service):
·50% Federal / 50% Local match
·Union County will use its Home and Community Care Block Grant (HCCBG) funds to meet the
local match requirement.
Capital Funding:
·80% Federal / 20% Local match
·Request includes purchase of one (1) 22’ Light Transit Vehicle (LTV) with lift and related
equipment.
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File #:25-643 Agenda Date:10/20/2025
The performance period is for two funding years, meaning funds awarded during a given fiscal year
can be drawn down for two years after the start of the award's fiscal year.
3.Transit Planning Program - Section 5303 Grant - FY27
Federal Transit Administration (FTA) Section 5303 federal transportation funding authorizations are
allocated each year by the North Carolina Department of Transportation (NCDOT). 5303 funds are
managed locally by the Charlotte Regional Transportation Planning Organization (CRTPO), the
federally designated Metropolitan Planning Organization (MPO) for the Charlotte Urbanized Area
(UZA). 5303 funding helps UZAs plan for the development, improvement, and effective management
of their transportation systems, focusing on planning and administrative activities.
Union County Transportation requests approval to apply for $174,411 of FY2027 5303 funds, funding
is 80% Federal, 10% State, and 10% local match. Funds cover a one (1)-year period of performance
from July 1, 2026, to June 30, 2027.
The Human Service Agency Transportation Department plans to use the funding associated with this
grant to complete multiple tasks, including:
·Data and Planning Support - Ridership analysis, socio-economic analysis, route analysis.
·Public Participation - Rider Surveys.
·Statewide & Extra Regional Planning - Interagency coordination, state and regional
coordination.
·Management, Operations & Program Support Administration - grant development, attending
regional and state events.
FINANCIAL IMPACT:
1.Rural Operating Assistance Program (ROAP) - FY2026
·Total Funding: $278,783
·Local Match Required: None
·This funding is budgeted accordingly for FY2026
2. Section 5310 Grant - FY2027
·Operating Request: $288,000 (two-year period: July 1, 2027 - June 30, 2029)
o Federal Share (50%): $144,000
o Local Match (50%): $144,000
·Capital Request: $147,878
o Federal Share (80%): $118,301
o Local Match (20%): $29,577
·Total Local Match Required for 5310 Grant: $173,577
3. Section 5303 Planning Grant - FY2027
·Total Grant Request: $174,411
o Federal Share (80%): $139,529
o State Share (10%): $17,441
o Local Share (10%): $17,441
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File #:25-643 Agenda Date:10/20/2025
·Projected revenue and local share expenditures will be included in the proposed FY2027
budget.
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Revised 09-29-25
Application for Transportation Operating Assistance
FY2026 Rural Operating Assistance Program (ROAP) Funds
Name of Applicant (County) Union County
County Manager Brian W. Matthews
County Manager’s Email Address Brian.matthews@unioncountync.gov
County Finance Officer Beverly L. Liles
CFO’s Email Address Beverly.liles@unioncountync.gov
CFO’s Phone Number 704-283-3675
Person Completing this
Application Theresa Torres
Person’s Job Title Transportation Director
Person’s Email Address Theresa.torres@unioncountync.gov
Person’s Phone Number 704-283-3598
Community Transportation
System Union County Transportation
Name of Transit Contact Person Theresa Torres
Transit Contact Person’s Email Address Theresa.torres@unioncountync.gov
Application Completed by: Theresa Torres_____________________________ Date: 10.20.2025__________
Signature
I certify that the content of this application is complete and accurately describes the county’s
administration of the ROAP Program, and the use of the ROAP funds in accordance with
applicable state guidelines. I certify and understand that if the monthly and final monthly
milestone reports, and any other status reports required by the Integrated Mobility Division
(IMD) are not submitted on or before the due dates, the next scheduled disbursement will be
held until all reports are submitted.
I further certify that ROAP funds will only be used for program purposes to provide trips
and will not be used for Administrative or Operational expenses. If it is determined that ROAP
funds have been misused, repayment of funds must be made.
Transit Director: _Theresa Torres___________________________________________Date: _10/20/2025________
Signature
County Manager: ___________________________________________________ Date: ___________________
Signature
County Finance Officer: ______________________________________________ Date: ____________________
Signature
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Application Instructions
County officials should read the ROAP Program Administration Guide which contains guidance on the
administration of the ROAP Program and information about the preparation of grant applications.
The application must be completed by an official of the county or his/her designee.
Click on the gray rectangle and type each answer. If necessary, the text will automatically wrap to the
next row. The answer may wrap to the next page if necessary.
If the county wishes to explain their response to any questions or provide more information, the county
may include additional pages with this application form. All the pages of the application and any pages
added by the applicant should be scanned into the same file.
If there are questions regarding this application, contact the NCDOT-IMD Regional Grant Specialist
assigned to the area served by the transit system.
FY2026 ROAP Program Schedule
Application Deadline October 24, 2025
Anticipated Funds Disbursement Week of November 17, 2025**
** Applications not submitted into SmartSheet by October 24th will delay disbursement of
funds until the application is submitted and reviewed.
*Counties with unspent FY25 funds will retain the funds and the disbursement will be adjusted
accordingly.
*Counties with 5% or less in unspent funds are eligible for a second disbursement of any unspent
funds from FY25. The ROAP formula will be used to determine the amount of funds each eligible
county will receive.
*Monthly reports are due via SmartSheet 30 days following reporting period (i.e., July reporting
period, report due August 30th)
County’s Management of ROAP Funds
County governments or regional public transportation authorities created pursuant to Article 26 or Article 26 of
Chapter 160A of the General Statutes (upon written agreement with municipalities or counties served) are the
only eligible applicants for ROAP funds. As a recipient of ROAP funds, the county must implement
administrative processes that will ensure the following:
ROAP funds are expended on needs identified through a public involvement and/or planning process.
ROAP funds are expended only on eligible activities as described in Appendix A of the ROAP Guidance.
Supporting documentation of expenditures by all sub-recipients is required.
Service recipients meet eligibility requirements, and their eligibility is documented.
Trips funded with ROAP funding are monitored and evaluated throug hout the period of performance.
An accounting of trips and expenditures is provided on a monthly basis to IMD with supporting documents.
ROAP funds received and expended are included in the local annual audit.
ROAP funds shall be disbursed in the traditional program allocations in each of the ROAP programs in one
disbursement however, if it is determined that a single disbursement is not possible , IMD reserves the right to
change the method of distributing the funds . Counties have the flexibility to determine how the funding will be
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Revised 09-29-25
used to meet the needs of the citizens and how to sub-allocate the funding to meet the transportation needs, but
the guidelines for each program used must be followed and trips accounted for by program used. Funds
transferred from one program to another become that program’s funds and takes on the characteristics of the
program, i.e. funds transferred into the EDTAP program become EDTAP funds and are not eligible to be
transferred to another program except to match a 5310 Operating grant.
Transportation Needs and Public Involvement in Funding Decisions Yes/No
A. Did the county ask the Community Transportation Advisory Board (TAB), which is affiliated
with the Community Transportation System, to recommend how the ROAP funds should be
sub-allocated?
If no, how were recommendations made and by whom
How many individuals assisted in the determination?
Yes
B. Were outreach efforts conducted to inform agencies about the availability of ROAP funds and to
discuss transportation needs BEFORE the county decided how to sub-allocate the ROAP funds? Yes
B. Is the method used to sub-allocate the ROAP funds fair and equitable?
Open and transparent? Explain transparency. Yes, the method used to sub-allocate ROAP
funds is fair and equitable. All funding decisions are reviewed in detail with our
Transportation Advisory Board (TAB), which includes representation from various
community stakeholders. This process ensures that input is gathered from those who
understand the local transportation needs.
Yes
Financial Management of ROAP Funds Yes/No
D. Does the county pass through any ROAP funds to agencies or organizations that are not county
governmental departments or agencies? No
E. If yes, does the county have a written agreement with these agencies that addresses the proper
use, return and accountability of these funds? (Include a sample agreement with application) N/A
F. Do any of the organizations or departments receiving ROAP funds plan to use private transit
contractors to provide the ROAP funded trips? (Their procurement practices will need to meet all
federal and state requirements for procurement of professional services.)
No
G. Are ROAP funds deposited in an interest-bearing account? Yes
H. Does the county provide local funds for transportation operating assistance to any of the ROAP
sub-recipients in addition to the state ROAP funds? Yes
Monitoring and Oversight Responsibilities Yes/No
I. Subrecipients of ROAP funds are required to provide sufficiently detailed progress reports and
statistical data about trips provided and rider eligibility with ROAP funds. How frequently are
these provided to the county? In what format? The County must be prepared to provide
documentation that an eligible citizen was provided an eligible service or trip on the billed date, by
whatever conveyance, at a specific cost.
How frequently and in what form are documents collected? Monthly
Yes
J. Does the county require the subrecipients of ROAP funds to use the coordinated transportation
services of the federally funded Community Transportation System operating in the county? Yes
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CERTIFIED STATEMENT
FY2026
RURAL OPERATING ASSISTANCE PROGRAM
County of Union
WHEREAS, the state-funded, formula-based Rural Operating Assistance Program (ROAP) administered by the North
Carolina Department of Transportation, Integrated Mobility Division provides funding for the operating cost of passenger
trips for counties within the state;
WHEREAS, the county uses the most recent transportation plans (i.e., CCP, CTIP, LCP) available and other public
involvement strategies to learn about the transportation needs of agencies and individuals in the county before
determining the sub-allocation of these ROAP funds;
WHEREAS, the county government or regional public transportation authorities created pursuant to Article 25 or Article
26 of Chapter 160A of the General Statutes (upon written agreement with the municipalities or counties served) are the
only eligible recipients of Rural Operating Assistance Program funds which are allocated to the counties based on a
formula as described in the Program Guidelines included in the ROAP State Management Plan. NCDOT will disburse the
ROAP funds only to counties and eligible transportation authorities and not to any sub-recipients selected by the county;
WHEREAS, the county finance officer will be considered the county official accountable for the administration of the
Rural Operating Assistance Program in the county, unless otherwise designated by the Board of County Commissioners;
WHEREAS, the passenger trips provided with ROAP funds must be accessible to individuals with disabilities and be
provided without discrimination on the basis of national origin, creed, age, race, or gender (FTA C 4702.1B, FTA C
4704.1A, Americans with Disabilities Act 1990); and
WHEREAS, the period of performance for these funds will be July 1, 2025 to June 30, 2026 regardless of the date on
which ROAP funds are disbursed to the county.
NOW, THEREFORE, by signing below, the duly authorized representatives of the County of Union
North Carolina certify that the following statements are true and accurate:
The county employed a documented methodology for sub-allocating ROAP funds that involved the participation of
eligible agencies and citizens. Outreach efforts to include the participation of the elderly and individuals with
disabilities, persons with limited English proficiency, minorities and low-income persons in the county’s sub-
allocation decision have been documented.
The county will advise any sub-recipients about the source of the ROAP funds, specific program requirements and
restrictions, eligible program expenses and reporting requirements. The county will be responsible for invoicing any
sub-recipients for unexpended ROAP funds as needed.
The county will monitor ROAP funded services routinely to verify that ROAP funds are being spent on allowable
activities and that the eligibility of service recipients is being properly documented. The county will maintain records
of trips for at least five years that prove that an eligible citizen was provided an eligible transportation service on the
billed date, by whatever conveyance at the specified cost.
The county will be responsible for monitoring the safety, quality, and cost of ROAP funded services and assures that
any procurements by subrecipients for contracted services will follow state and federal guidelines.
The county will conduct regular evaluations of ROAP funded passenger trips provided throughout the period of
performance.
The county will only use the ROAP funds to provide trips when other funding sources are not available for the same
purpose or the other funding sources for the same purpose have been completely exhausted.
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The county will notify the Regional Grant Specialist assigned to the county if any ROAP funded services are
discontinued before the end of the period of performance due to the lack of funding. No additional ROAP funds will
be available.
The county will provide an accounting of trips and expenditures in monthly reports to NCDOT – Integrated Mobility
Division or its designee. Back-up documentation is required to support the monthly reports, failure to provide
documentation will affect future disbursements. The June report will be considered the annual report.
Any interest earned on the ROAP funds will be expended for eligible program uses as specified in the ROAP
application. The County will include ROAP funds received and expended in its annual independent audit on the
schedule of federal and state financial assistance. Funds passed through to other agencies will be identified as such.
The county is applying for the following amount of FY2026 Rural Operating Assistance Program funds: *The total
amount of allocated funds are identified in the Total Disbursement (columns L-O) on the allocation table. The amount
of requested funds cannot exceed the amount of allocated (disbursed) funds listed in the application table. Funds are
allowed to be transferred to ROAP programs as needed, according to transfer criteria. Transfers must be recorded in
the monthly ROAP report in the month transferred.
State-Funded Rural Operating Assistance Program Allocated*(Disbursed) Requested
Elderly and Disabled Transportation Assistance Program
(EDTAP) $125,890 $125,890
Employment Transportation Assistance Program (EMPL) $46,526 $46,526
Rural General Public Program (RGP) $106,367 $106,367
TOTAL $278,783 $278,783
WITNESS my hand and county seal, this 20 day of October , 2025 .
____________________________
_________________________
Signature of County Manager/Administrator Signature of County Finance Officer
Brian W. Matthews___________
Beverly L. Liles_________
Printed Name of County Manager/Administrator Printed Name of County Finance Officer
State of North Carolina County of Union
County Seal Here
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FY 2024
CALL FOR PROJECTS &
GRANT APPLICATION
CHARLOTTE-MECKLENBURG
URBANIZED AREA’S
ENHANCED MOBILITY OF SENIORS AND
INDIVIDUALS WITH DISABILITIES PROGRAM
(SECTION 5310)
RFP 269-2026-1928
AUGUST 22, 2025
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I. INTRODUCTION & BACKGROUND
In July 2012, Congress authorized a new federal transportation bill, Moving Ahead for
Progress in the 21st Century (MAP-21), which consolidated two transit programs under
previous legislation (Section 5310: “Transportation for Elderly Persons and Persons
with Disabilities” and Section 5317: “New Freedom Program”) into a single: “Enhanced
Mobility of Seniors and Individuals with Disabilities” (Section 5310). The purpose of this
consolidated program is to provide funds for projects that serve the special needs of
transit-dependent populations when traditional public transportation services are
insufficient, unavailable, or inappropriate and programs that expand the transportation
options beyond those required by the Americans with Disabilities Act (ADA).
Section 5310 Designated Recipient
The City of Charlotte is the Designated Recipient fo r Section 5310 funds allocated by
formula for the Charlotte-Mecklenburg Urban Area (Char-Meck UA). The City’s public
transit department, the Charlotte Area Transit System (CATS), administers the program
in accordance with federal law and regulations.
This Section 5310 funding application package includes information on funding
availability, project eligibility, and the application timeline, among other items.
II. ELIGIBLE PROJECTS & SUBRECIPIENTS
To be eligible for 5310 funding, projects and services must be derived from or included
in a locally developed coordinated human services transportation plan. Additionally,
eligible Section 5310 projects must serve the urban area where the funds were
apportioned (there is either an origin or destination located within the urban boundary).
The “Coordinated Transit-Human Services Transportation Plan for the Charlotte Urban
Area FY2022-FY2027” can be found at Charlotte Coordinated Human Services Plan
TRADITIONAL SECTION 5310 PROJECTS. Section 5310 requires that, of the funds
apportioned to a designated recipient, no less then fifty-five percent (55%) of the funds
must be available for public transportation capital projects that meet the special needs of
seniors and individuals with disabilities when public transportation is insufficient,
unavailable, or inappropriate (Traditional 5310 Projects).
It is not sufficient that seniors and individuals with disabilities are merely included (or assumed
to be included) among the people who will benefit from the Project.
1. Eligible Subrecipients for Traditional 5310 Projects:
a) Private Non-Profit Organizations. Subrecipients qualifying as private non-profit
organizations must provide a copy of their IRS Tax Identification Number Certificate
and a copy of the charter and bylaws as filed with the North Carolina Secretary of State
as proof of non-profit eligibility.
b) State or Local Governmental Authorities. According to 49 USC § 5302, this
includes a political subdivision of the state, an Indian tribe, or a public corporation,
board, or commission established under state law that is:
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(i) Approved by the state to coordinate services for seniors and individuals with
disabilities; or
(ii) Certifies that no nonprofit corporations or associations are readily availabl e in
an area to provide the service.
2. Examples of Traditional 5310 Projects.
Purchase of rolling stock and other capital activities for paratransit service;
Passenger facilities related to Section 5310-funded vehicles—purchase and
installation of benches, shelters and other passenger amenities;
Related activities and support facilities and equipment for Section 5310-funded
vehicles—preventive maintenance, radios and communication equipment,
wheelchair lifts and securement devices, computer hardware and software, ITS,
dispatch systems, and fare collection systems;
Lease of Equipment (if more cost-effective than purchase);
Contracted services (capital and operating included);
Support for mobility management and coordination programs among public transit
providers and human service agencies; and
Capital activities to support ADA-complementary paratransit service.
A. OTHER SECTION 5310 PROJECTS. Up to 45 percent (45%) of a designated recipient’s
annual apportionment may be utilized for public transportation projects that exceed the
requirements of the ADA, that improve access to fixed route service and decrease reliance by
individuals with disabilities on paratransit, or that provide an alternative to public transportation
that assists seniors and individuals with disabilities with transportation.
1. Eligible Subrecipients for Other 5310 Projects include the eligible
subrecipients for Traditional 5310 Projects above, as well as:
(i) Private Operators of Public Transportation. In order to receive 5310 Program
funding, these recipients must be able to document that they are, and have been
providing, shared-ride service (two or more passengers in the same vehicle who
are otherwise not traveling together) to the public or to special categories of users
on a regular basis.
2. Examples of Other Section 5310 Projects.
a) Public transportation projects that meet the special needs of seniors and individuals
with disabilities when public transportation is insufficient, unavailable or inappropriate
(capital only) (see examples above)
b) Public transportation projects that exceed the requirements of the ADA (capital and
operating). Examples include:
(i) Expansion of paratransit service area and/or hours;
(ii) Cost for providing same day paratransit service;
(iii) Enhanced paratransit service—providing escorts or assistance through door;
(iv) Acquisition of vehicles or equipment to accommodate mobility aids that exceed
ADA dimension and load standards;
(v) Installation of additional securement locations in buses beyond what is required by
the ADA; and
(vi) Accessible feeder services.
c) Public transportation projects that improve access to fixed-route service and decrease
reliance on paratransit by individuals with disabilities (capital and operating).
Examples include:
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(i) Accessibility improvements to transit and intermodal stations that are not key
stations—accessible path to a bus stop; adding elevator, ramps, or detectable
warnings; improving signage or wayfinding; technology improvements that
enhance accessibility; and
(ii) Travel training.
d) Alternatives to public transportation that assist seniors and individuals with disabilities
with transportation (capital and operating). Examples include:
(i) Purchasing vehicles to support accessible taxi, ride-sharing, or vanpooling
programs—must meet regulatory requirements and permit the passenger to
remain in his or her mobility device inside the vehicle;
(ii) Administration and expenses related to voucher programs offered by human
service providers. Transit passes for use on existing fixed route or ADA paratransit
service are not eligible; and
(iii) Volunteer driver and aide programs.
III. FUNDING REQUIREMENTS
A. SECTION 5310 PROGRAM LOCAL SHARE GUIDANCE
1. General. Section 5310 funds may be used to finance capital, operating expenses, and
mobility management (MM) projects. The Federal share of eligible capital and MM costs
for the Fiscal Year 2023 funds can be (80%) of the net cost of the activity, with local
matching funds. The Federal share of the eligible operating costs can be (50%) of the net
operating costs of the activity, with local matching funds.
The subrecipient is responsible for securing the local matching funds for their
Section 5310 project and a ll of its local share must be provided from sources
other than Federal United States Department of Transportation (USDOT)
funds. Local share requirements are flexible to encourage coordination with other
federal programs that may provide transportation, such as Health and Human
Services or Medicaid. Fare revenue or user fees generated by the service to
be supported by the 5310 Program grant cannot be used as matching funds.
Examples of sources that may be used to meet any or the entire local share
requirement include:
State or local appropriations;
Dedicated tax revenues;
Private donations;
Revenue from human service contracts;
Net income generated from advertising and concessions;
Income from contracts to provide human service transportation;
Other non-USDOT Federal funds that are eligible to be expended for transportation
including: employment training, community services, vocational rehabilitation
services, and Temporary Assistance for Needy Families (TANF). Examples of
other types of federal funding that may be available as a local match can be
found at Federal Fund Braiding Guide
2. Soft Match. Non-cash shares such as donations, volunteer services, or in-kind
contributions are eligible as long as the value of each is documented and supported, AND
it is a cost that would otherwise be eligible under the 5310 Program. Applicants that
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intend to use these sources are required to submit an in-kind valuation plan with
their application for review and approval by the City.
In-kind Valuation Plan. In-kind contributions can only be used for operating and
mobility management expenses. In-kind contributions are the value of non -cash
contributions, received from a third party, for real property, equipment, and/or
goods and services directly benefitting and specifically identifiable to the project.
In-kind contributions must be included as project costs, and the value of the
services must be documented. If your organization intends to use in-kind
contributions as a match, certain conditions apply. Those conditions are:
a) An In -kind Valuation Plan MUST BE SUBMITTED AND APPROVED in writing by
the City prior to being used for the project.
b) Detailed documentation must be submitted that includes, but is not limited to:
(1) A statement from the person or organization providing the goods or
services;
(2) The value of the goods or services; and.
(3) The goods or services must be necessary for the project.
IV. PROGRAM MEASURES AND REPORTING REQUIREMENTS
The Section 5310 Program has federally mandated reporting requirements.
Subrecipients will be required to report on their project each time they make a claim for
reimbursement from their funded grant. Quarterly reports will be required regardless
of financial activity. Subrecipients will submit both quantitative and qualitative
information on each of the following measures:
Traditional Section 5310 Projects
1. Gaps in Service Filled. Provision of transportation options that would not
otherwise be available for seniors and individuals with disabilities measured in
numbers of seniors and people with disabilities afforded mobility they would not
have without program support as a result of traditional Section 5310 projects
implemented in the current reporting year.
2. Ridership. Actual or estimated number of rides (as measured by one -way trips)
provided at least quarterly for individuals with disabilities and seniors, and Section
5310-supported vehicles, and services as a result of traditional Section 5310
projects implemented in the current reporting year.
Other Section 5310 Projects
1. Increases or enhancements related to geographic coverage, service quality and/or
service times that impact availability of transportation service for seniors and
individuals with disabilities as a result of other Section 5310 projects implemented
in the current reporting year.
2. Additions or changes to physical infrastructure (e.g. transportation facilities,
sidewalks, etc.), technology and vehicles that impact availability of transportation
services for seniors and individuals with disabilities as a result of other Section
5310 projects implemented in the current reporting year.
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3. Actual or estimated number of rides (as measured by one-way trips) provided for
seniors and individuals with disabilities as a result of other Section 5310 projects
implemented in the current reporting year.
SECTION 1: APPLICANT INFORMATION
Field Response
Legal Name (Agency) Union County
Doing Business As (DBA) (if any)
Address 1407 Airport Road
City, State, ZIP Monroe, NC 28110
Federal Tax ID Number 56-6000345
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Unique Entity Identifier (UEI) LHMKBD4AGRJ5
Parent Agency UEI (if different) N/A
Project Manager Name & Title Theresa Torres
Telephone 704-283-3598
Email Theresa.torres@unioncountync.gov
Project Service Area (County/Counties) Union County
Organization Type (check one)
[ ] Local Government Authority
[ ] Private Non-Profit Organization
[X] Public Transportation Operator
[ ] Private Operator of Public Transportation
SECTION 2: ORGANIZATIONAL OVERVIEW
1. Mission Statement: Union County Transportation's (UCT) mission is to serve the
residents of Union County and internal County business partners by providing reliable
and efficient transportation services in a safe and cost-effective manner.
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2. Services Currently Provided to Seniors/Individuals with Disabilities:
UCT provides accessible transportation for seniors and individuals with disabilities,
enabling them to maintain their independence, access essential services, pursue
educational and employment opportunities, and fully engage in community life.
3. Experience Managing Similar Projects:
a. Project 1: Section 5307 – Operating and Capital Funding
In FY25, UCT provided over 32,133 passenger trips using Section 5307 funds.
This support included both operating assistance and capital investments, helping
to maintain and enhance service delivery.
b. Project 2: HCCBG (Home and Community Care Block Grant)
Through HCCBG funding, UCT completed 6,569 trips for adults aged 60 and
older, supporting access to essential services and promoting independent living
for seniors.
c. Project 3: ROAP (Rural Operating Assistance Program)
ROAP funding supported 14,219 trips for rural residents, including individuals
traveling to work, to and from their homes, and those with disabilities or aged
60 and older. These trips are critical in addressing mobility needs in underserved
rural areas.
4. Staff and Resources Available for this Project:
The UCT staff has overseen the 5310 grant since UCT first received funds in 2016. We
have worked closely with the employees at CATS to ensure UCT meets all regulations.
Tana Cromwell – Admin Professional is responsible for determining eligibility and record
maintenance for all grant-funded passengers. Tana has managed this area of the grant
since 2017. Beth Young, an Analytical Specialist, is responsible for utilizing our
scheduling software's billing module to invoice agencies, verifying all driver manifests,
and assisting with other functions of the grant. Beth has been managing 5310 funding
since 2022.
SECTION 3: PROJECT NARRATIVE
Project Title Section 5310 – Enhancing On-Demand Transportation for Seniors and
Individuals with Disabilities in Union County
Project Type [ ] Traditional 5310 [X ] Other 5310
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Total
Funding
Requested
$435,878 Total Cost/ Federal $262,301/ Local $173,577
Scope of
Services
This project will enhance transportation access for seniors and individuals
with disabilities in Union County, using Section 5310 funds to support both
vehicle acquisition and operating assistance. The goal is to reduce mobility
barriers and improve quality of life by offering safe, reliable, and accessible
transportation to essential destinations.
Target Population
Transportation services will be provided to:
Individuals aged 65 and older
Individuals of any age with a qualifying disability
Services Provided
The program will provide:
Curb-to-curb and door-to-door transportation
scheduled trips
Assistance with boarding and deboarding vehicles, if needed
Trip purposes may include:
Medical appointments
Grocery shopping and pharmacy visits
Access to senior centers and adult day programs
Social services and government agency appointments
Community and recreational activities
Vehicle Purchase
The project includes the purchase of one ADA-compliant, wheelchair-
accessible van to expand current service capacity.
All vehicles will meet federal and state safety standards and be operated
and maintained in compliance with FTA and NCDOT guidelines.
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Expected Outcomes
Increased access to essential services for seniors and people with
disabilities
Improved health and well-being through reduced missed
appointments
Greater community engagement and reduced isolation
Efficient use of coordinated transportation resources across agencies
Brief Project Description:
UCT is requesting Section 5310 funding to support both operating and capital expenses that
improve transportation access for seniors and individuals with disabilities. Operational funds
will be used to provide on-demand, curb-to-curb transportation for passengers aged 65 and
older and for those with disabilities. These trips enable riders to access essential services , such
as healthcare, grocery stores, social services, and other daily necessities, helping them maintain
their independence and quality of life.
Capital funding will be used to purchase and install wheelchair safety arms in vehicles,
improving rider safety and ensuring ADA compliance. A vehicle that is ADA-equipped, camera
equipment, and installation of a radio. This investment will enhance the accessibility and
reliability of our services for passengers who require mobility aids.
This project aligns with the goals of the 5310 programs by expanding access, increasing safety,
and reducing transportation barriers for populations with the greatest need.
1. Target Population:
Estimated number of seniors and/or individuals with disabilities served: 1,190
Total population with unmet transit needs in service area: 1,929, with no Vehicles
2. Demographics and Geography:
All areas of the County have and will continue to benefit from this project. Attached is a
map showing the locations to be served by 5310 grant funds, including non-medical
facilities to which we transport seniors age 65 and older or individuals with disabilities.
We’ve also included additional maps illustrating workers without vehicles (noting that
many seniors continue working past age 65), residents aged 65+ with disabilities, and
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the total number of disabled persons in the County. The 50-to-64 age group is growing
fastest—up 50.7%, which suggests our 65+ population will increase significantly in the
coming years.
3. Coordination and Partnerships:
UCT partners with Anson County for our trips going into Charlotte. Several days of the
week, we will meet Anson at a relay location. Our passengers will transfer to the Anson
van, and Anson will take them to Charlotte for their appointment. This allows UCT
vehicles to remain in the County, helping to assist more people.
4. Timeline and Milestones:
Please list key milestones and their anticipated dates.
Milestone
Description Anticipated Completion Date Responsible
Party
Capital Items No more than 1 year after the contract is signed Theresa Torres
Operational
Funding No more than 1 year after the contract is signed Beth Young
Capital –
Vehicle
No more than 1 year after the contract is signed, unless there is an
issue ordering vehicles. This is hard to determine, as we are still
awaiting a 2024 vehicle order.
Theresa Torres
5. Sustainability Plan:
At present, there is no local guarantee that this program will continue if 5310 funding
ends. However, we proactively work to transition as many 5310-funded passengers as
possible to alternative funding sources already in use in our system that serve the same
populations. If the reduction or loss of 5310 funds occurs, we would prioritize and limit
other funding programs to those trip types whose eligibility criteria align with 5310
services, ensuring that seniors and individuals with disabilities continue to access their
essential appointments.
6. Alignment with CPT-HSTP:
According to our region’s Coordinated Plan, if seniors are no longer able to drive,
two-thirds will be left relying solely on on-demand or community transportation
services. As our population ages, demand will only increase, placing greater pressure on
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community transit providers. The same is true for individuals with disabilities—
especially those who live outside of existing ADA paratransit or deviated fixed-route
service areas—where transportation options are currently much more limited. Union
County Transportation is the only public transit agency in the County equipped to serve
both of these vulnerable groups. We are committed to working closely with county
partners to expand capacity and ensure reliable access to transportation for our
growing senior and disabled populations.
7. Scalability:
If we receive only partial funding, the scope of what we can achieve will adjust
accordingly. In particular:
Capital purchases depend on sufficient funding:
If we do not secure enough capital funding, we may not be able to purchase a vehicle.
Prioritization of core functions:
In case funding is limited, we will prioritize essential services first. For example, we may
continue transportation for seniors and individuals with disabilities but defer non-urgent
services or expansions until full funding is available.
SECTION 4: PERFORMANCE & EVALUATION
Indicator How Will It Be Measured Frequency
One-way trips provided Dispatch/Trip logs Quarterly
Denials or missed trips Operations data Quarterly
Customer satisfaction Survey or feedback forms Annually
Equipment or vehicle usage Mileage logs or GPS data Quarterly
Briefly describe how you will collect and track the above data.
Our system monitors key performance metrics, including the number of one-way trips
provided, as well as any denials or missed trips, and tracks vehicle usage. When customers call
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to schedule rides, we randomly select some to complete a satisfaction survey. The survey
results are documented and available for sharing
Will your system allow for system-generated reporting (e.g., Excel, Trapeze, etc.)?
All reports that are generated by our scheduling software can be downloaded and saved to
Excel.
SECTION 5: BUDGET SUMMARY
Capital/Operating/Mobility Management Budget Table (Example Template)
Use the example format below to break down your proposed budget by line item. You may add
rows as needed to reflect your project costs. This is only a template.
Expense Category Total
Cost
Federal
Share
Local
Match
Match Type
(Cash/In-Kind) Notes/Description
Vehicle Purchase $131,361 $105,088 $26,273 General Fund Capital Purchase
Tablet & Arm $1,000 $800 $200 General Fund
Needed for Vehicle
Safety Arms $5,738 $4,590 $1,148 General Fund
Needed for Vehicle
Vehicle Wraps $3,815 $3,052 $763 General Fund
Needed for Vehicle
Camera Purchase
and Install $2,964 $2,371 $593 General Fund
Needed for Vehicle
Vehicle Radio $3000 $2,400 $600 General Fund
Needed for Vehicle
Trip Cost $288,000 $144,000 $144,000 HCCBG
Operational Cost
TOTAL $435,878 $262,301 $173,577
Provide a detailed justification for each category (Limit: 500 words per category):
Describe the costs included and why they are necessary.
Explain how local match will be provided, including sources.
If match is in-kind, attach a valuation method or documentation.
Note any other grants or funding that complement this budget.
Vehicle and Equipment required for vehicles (Safety Arm, Vehicle Wrap, Cameras, Radio) - An
additional public vehicle would significantly enhance our capacity to meet growing community
needs.
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Improved Access to Essential Services: Many older adults and individuals with disabilities rely
on public transit for non-emergency medical appointments, grocery shopping, pharmacy visits,
and social engagement. An additional vehicle ensures more timely and consistent access to
these critical destinations.
Greater Independence and Quality of Life: Reliable, accessible transportation empowers older
adults and people with disabilities to live independently, remain active in their communities,
and maintain social connections, all of which are vital for physical and mental well-being.
This investment directly supports the health, dignity, and independence of some of our most
vulnerable residents.
Trip Cost - This aligns with the goals of the FTA Section 5310 Enhanced Mobility of Seniors and
Individuals with Disabilities Program, which aims to improve mobility and reduce
transportation barriers for older adults and people with disabilities.
A portion of the grant funding will be used to support transportation services and travel costs,
enabling these individuals to access critical services, programs, and community activities. This
may include:
Accessible transportation to medical appointments, social service agencies, or senior
centers
Trips to grocery stores, pharmacies, and essential errands
Transportation to community events or recreational programs that reduce isolation
Many of our target participants live on fixed incomes and lack access to safe, reliable, or
accessible transportation options. By providing funded travel support, we are ensuring
independent living and improving overall quality of life.
All services will comply with the requirements of the Section 5310 program, including ADA
accessibility standards, coordination with local transportation providers, and alignment with the
CPT-HSTP.
The local match will be drawn from HCCBG for operating and the general fund for capital and
will be included in the adopted budget for fiscal year 2027.
SECTION 6: REQUIRED ATTACHMENTS CHECKLIST
Please confirm the following are included:
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1. Title VI Plan – Your agency’s current nondiscrimination policy.
2. Organizational Chart – Include all departments and the location of the proposed project
within the structure.
3. Key Personnel Resumes – Include resumes for individuals directly managing the
proposed project.
4. Lobbying Certification – Certification that no federal funds will be used for lobbying
purposes.
5. Debarment Certification – Certification that the bidder, contractor, or subcontractor, as
appropriate, certifies to the best of its knowledge and belief that neither it nor any of its officers,
directors, or managers who will be working under the Contract, are certified to do so.
6. Conflict of Interest Statement – Statement disclosing any potential or actual conflicts.
7. Disclosure Form for Lobbying – Required only if lobbying activities are occurring.
8. Local Share Certification Form – Signed form documenting the sources and amounts
of non-federal match.
9. Project Milestone Table – A completed table outlining key milestones with dates and
responsible parties.
10. Vehicle Inventory or Capital Asset List (if applicable) – Include if applying for capital
funds, or if your agency owns 5310-funded assets.
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SECTION 7: SYNOPSIS (EXECUTIVE SUMMARY)
Complete this last and limit to one page.
1. What is the title of your project?
Section 5310 – Enhancing On-Demand Transportation for Seniors and Individuals with
Disabilities in Union County
2. How much money are you requesting and how will it be used?
$435,878 Total Cost/ Federal $262,301/ Local $173,577 for capital and operational
expenses.
3. What is the main deliverable?
The primary deliverable is the provision of coordinated and accessible transportation
solutions, including vehicles and operational support, specifically designed to serve
seniors and individuals with disabilities. These services aim to improve mobility, reduce
isolation, and increase access to healthcare, employment, and other community
resources.
4. How will the project be sustained?
UCT will sustain future 5310 projects by ensuring that all awarded funds are utilized
effectively and within designated timeframes. To date, UCT has successfully expended
all previously awarded 5310 grant funds, demonstrating strong fiscal management and
commitment to program compliance.
5. Is the project scalable?
Yes, our project is scalable. Service levels can be adjusted based on the amount of
funding received. With full funding, we can fully implement our service plan, expand trip
availability, and accommodate new client registrations without delay. If awarded a
reduced amount, we can scale the project accordingly by prioritizing the most critical
trips and adjusting scheduling. Our operational structure, flexible routing, and
experienced staff allow us to expand service levels efficiently based on available
resources.
6. How would the project change if less funding is awarded?
While receiving less than the full requested amount would still be helpful, it would
create a funding shortfall. The amount requested is essential to provide critical
transportation services for seniors and individuals with disabilities. As our fleet expands
to meet increasing demand, we will be able to complete more trips and serve more
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passengers. However, if awarded less funding, we may need to reduce the number of
trips provided under this grant. This could result in delays for new client registrations
and potentially reinstate a wait list, something we have previously eliminated with
previous 5310 support.
7. Include your top 3–5 milestones or tasks with dates.
Grant Award Notification – Spring 2027: Receive Official award notice and begin
internal planning.
Vehicle Procurement – Summer 2027: Submit purchase order and coordinate with
approved vendors for vehicle acquisition, following all FTA and state procurement
guidelines.
Vehicle delivery and Inspection – Winter 2027: Receive and inspect vehicles to ensure
compliance with ADA and safety standards.
Submit completed applications electronically by October 31, 2025, at 2:00 PM to:
Beverly Hovis – Department of Contracting & Procurement
Beverly.Hovis@charlottenc.gov
Early submittals are encouraged. Incomplete applications will not be reviewed.
A. APPLICANT CONTACTS
Provide the name, title, address, phone/fax number, and e -mail for the following key
contact people for the Project:
1. Executive Director/Chairman of the Board – Brian Matthews County Manager/Authorized
Official brian.matthews@unioncountync.gov 500 N. Main St. 9th Floor Monroe, NC 28110
2. Administrative Contact (person responsible for grant administration) Theresa Torres,
Director theresa.torres@unioncountync.gov 1407 Airport Road, Monroe, NC 28110 704-283-
3598 (P) 704-283-3551 (F)
3. Operations Contact (person responsible for operational issues) Brandon Earp, Human
Service Supervisor brandon.earp@unioncountync.gov 1407Airport Road, Monroe, NC 28110
704-292-2597
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4. Procurement Contact (person responsible for procuring assets and preparing bid
packages) Vicky Watts, Senior Procurement Specialist vicky.watts@unioncountync.gov 500
N. M 500 N. Main St. Suite 709 Monroe, NC 28110 704-2283-3601
5. Financial Contact (person responsible for billing, accounting, closeouts,
reimbursement requests) Laura Gardner Human Service Supervisor Fiscal Compliance
laura.gardner@unioncountync.gov 1407Airport Road, Monroe, NC 28110 704-292-2566
6. Audits Contact (responsible for annual audits) Beth Young, Analytical Specialist, Theresa
Torres, Director, Laura Gardner Human Service Supervisor Fiscal Compliance 1407 Airport
Road, Monroe, NC 28110
7. Legal Counsel Carolyn Mayor, Senior Staff Attorney carolyn.mayer@unioncountync.gov 500
N. Main Street, Monroe, NC 28110 704-283-3772
8. EEO Representatives – An Applicant’s Chief Executive Officer (CEO) should
designate an EEO Officer and adequate staff to administer the EEO program. The
EEO Officer should be an executive and should report directly to the CEO. Care
should be taken to avoid conflicts when assigning responsibility for administering the
EEO program as a collateral duty assignment, e.g., a personnel officer may have a
conflict of interest.
Brian Matthews County Manager/Authorized Official brian.matthews@unioncountync.gov 500
N. Main St. 9th Floor Monroe, NC 28110 704-292-2597
9. DBE Representative
Laura Gardner Human Service Supervisor Fiscal Compliance
laura.gardner@unioncountync.gov 1407Airport Road, Monroe, NC 28110 704-292-2566
10. ADA Representative Matt Smith Safety Officer matthew.smith@unioncountync.gov
1407 Airport Road Monroe, NC 28110 704-292-2511
11. Title VI Representative Theresa Torres, Director theresa.torres@unioncountync.gov
1407Airport Road, Monroe, NC 28110 704-283-3598 (P) 704-283-3551 (F)
114
A-19
B. DOCUMENTS AND RECORDKEEPING
Indicate where the following program records will be retained and provide the name of
the individual responsible for maintaining documents.
Document Location
Name and Title of
Responsible Individual
Contract w/ City Union County Procurement Vicky Watts, Senior
Procurement Specialist
Contract w/ Service
Provider
N/A N/A
Civil Rights Records
(EEO, Title VI, ADA)
Union County
Transportation
Theresa Torres Director
Financial Records Union County
Transportation
Laura Gardner, HS
Supervisor, Fiscal and
Compliance
Procurement and Bid
Documents (Including
RFPs)
Union County Procurement Vicky Watts, Senior
Procurement Specialist
Certificates and
Assurances
Union County
Transportation
Theresa Torres, Director
Others (List)
N/A N/A
Capital Projects
Vehicle Records Union County Fleet Amanda Joyner
Non-Vehicle Records
Transportation Service Projects
Driver Manifests Union County
Transportation
Beth Young, Analytical
Specialist
115
A-20
Daily Pre-Trip Forms Union County
Transportation
Beth Young, Analytical
Specialist
Maintenance Records Union County Fleet Amanda Joyner, Office
Manager
Drug and Alcohol Records Union County
Transportation
Matthew Smith, Safety
Officer
Ridership Records Union County
Transportation
Tana Cromwell, Admin
Professional II
116
A-21
C. PROJECT PERSONNEL
1. List all positions, names, titles and the number of positions, which will be
charged to this grant during the grant period. Next to each position indicate the
percentage of the position/individual salary that will be charged to the grant.
2. For positions that will only be PARTIALLY charged to this grant, describe how the
estimated percentage of the salary to be charged to the grant was derived. If
percentage of time to be charged to grant is estimated, describe what auditable
mechanism(s) will be used to verify the actual time that an individual spends on grant
related activities.
3. Are all individuals listed in item 1 above currently working in their job titles? If not,
explain what the differences are between their current positions and the position that
will be charged to the grant and why they are not working in their grant positions.
4. Attach to this exhibit an official organizational chart showing the reporting/supervisory
relationships of each of the positions listed above.
117
A-22
D. THIRD PARTY CONTRACTING
If an applicant is planning to purchase any goods or capital assets from a third party, it
must follow the applicable competitive process required by the FTA. If the applicant is
planning to contract out service under this grant, then the applicant must list all proposed
service to be contracted out (i.e., transportation services, computer routed services,
dispatching, auditing, drug and alcohol testing, legal, marketing, maintenance) to a third
party. All bids/RFP/contract awards must have prior CATS review and approval. A price/cost
analysis must be done by the applicant prior to request. See FTA Third Party Contracting
Guidelines Circular FTA C 4220.1F.
Bid/RFP/State Name/Type Estimated
Contract of Asset/Service Timeframe Cost/Budget
54-SG-05062022
Palmetto Bus/22’ LTV Unknown $131,361
Under $10,000 Grant
Services/Wheelchair
Safety Arm
Within the grant
POP
$5,738
Under $10,000
Industrial Sign
Graphics/Vehicle
Warp
Within the grant
POP
$3,815
Under $10,000 Seon & The Solution
Store /Camera
purchase and Install
Within the grant
POP
$2,964
Under $10,000 Motorola/ Van Radio Within the grant
POP
$3,000
Under $10,000 Tablet & Arm Within the grant
Pop
$1,000
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A-23
E. SECTION 5310 TITLE VI PROGRAM REPORT
Legal Name of Applicant: _____________________
(Complete either Part A or Part B)
Part A – No complaints or Lawsuits Filed
I certify that to the best of my knowledge, No complaints or lawsuits alleging discrimination have been filed against (Union County Transportation)
during the period July 1, 2024 through June 30, 2025.
10/20/25
Signature of Authorized Official
Brian W. Matthews
Date
Type Name and Title of Authorized Official
Part B – Complaints or Lawsuits Filed
I certify that to the best of my knowledge, the below described complaints or lawsuits alleging discrimination have been file d against (Transit System
Name) __________________ during the period July 1, 2024 through June 30, 2025.
Complainant Name/Address/Telephone
Number
Date Description Status/Outcome
(Attach an additional page if required.)
Signature of Authorized Official Date
Name and Title of Authorized Official
119
A-24
Please provide a copy of your current Title VI Plan with your Application.
120
F. SECTION 5310 LOCAL SHARE CERTIFICATION FOR FUNDING
(This form is required for EACH separate funding request)
_Union County___________________________
(Legal Name of Applicant)
Local matching funds are required for application submittals for Fiscal Year 2024. Please
list all anticipated Capital and Operating Local matching funds below.
The local match must be provided from sources other than federal Department of
Transportation funds. Guidance is provided in Article III above about eligible sources of
matching funds. Applicants are responsible for verifying the eligibility of non-USDOT
federal funds the applicant proposes to use as their local match.
Requested Funding Amounts
Net Project
Cost
Local Share Local Source(s)
Capital
(Vehicles &
Other)
$ 147,878__ $ 29,577_ (20% of
net)
1. General Fund
2. _______________
3. _______________
Operating $288,000___ $ _144,000 (50% of
net)
1. HCCBG
2. _______________
3. _______________
TOTAL $ 435,878 $ 173,577
I, the undersigned representing Union County, do hereby certify to the City of Charlotte,
that the required local funds will be available as of July 1, 2026.
Signature of Authorized Official
Brian W. Matthews
Name and Title of Authorized Official
10/20/25
Date
121
G. LOBBYING CERTIFICATION
The undersigned certifies, to the best of his or her knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence a member of the
Metropolitan Transit Commission, Charlotte City Council, officer or employee of the
Charlotte Area Transit System, or any elected, appointed, or employed official or
employee of the State of North Carolina, member of Congress, an officer or employee
of Congress, or an employee of a member of Congress in connection with the awarding
of any Federal Contract, or the amendment or modification of any Federal Contract.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence a member of the Metropolitan Transit
Commission, Charlotte City Council, officer or employee of the Charlotte Area Transit
System, a member of Congress, an officer or employee of Congress, or an employee of
a member of Congress in connection with this Federal Contract, the undersigned shall
complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying", in
accordance with its instructions.
3. The undersigned shall require that the language of this certification be included in the
award of all subcontracts anticipated to be of a value of one hundred thousand dollars
($100,000.00) or more and that all subcontractors shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by 31 U.S.C. §1352. Any person who fails to file the
required certification shall be subject to a civil penalty of not less than ten thousand dollars
($10,000.00) and not more than one hundred thousand dollars ($100,000.00) for each such failure.
Signature: Date:__________________________________
Title: County Manager Telephone No. (704) 292-2597_____
Firm or Corporate Name: Union County______________________________________________
Address: 500 N. Main Street, Monroe, NC 28112_______________________________________
122
DISCLOSURE FORM TO REPORT LOBBYING
DISCLOSURE OF LOBBYING ACTIVITIES
Complete this form to disclose lobbying activities pursuant to 31 U.S.C. §1352
(See below for public burden disclosure)
Approved by OMB
0348-0046
1. Type of Federal Action:
[ ] a. Contract
b. Grant
c. Cooperative agreement
d. Loan
e. Loan guarantee
f. Loan insurance
2. Status of Federal Action:
[ ] a. Bid/offer/application
b. Initial award
c. Post-award
3. Report Type:
[ ] a. Initial filing
b. Material change
For Material Change Only:
year quarter
date of last report
4. Name and Address of Reporting Entity:
[ ] Prime [ ] Subawardee Tier , if
known:
Congressional District, if known:
5. If Reporting Entity in No. 4 is Subawardee, Enter Name and
Address of Prime:
Congressional District, if known:
6. Federal Department/Agency:
7. Federal Program Name/Description:
CFDA Number if applicable:
8. Federal Action Number, if known:
9. Award Amount, if known:
10. a. Name and address of Lobbying Entity
(if individual, last name, first name, MI):
b. Individuals Performing Services
(including address if different from No. 10a)
(last name, first name, MI):
(attach Continuation Sheet(s) SF-LLL-A, if necessary)
11. Amount of Payment (check all that apply):
$ [ ] actual [ ] planned
13. Type of Payment (check all that apply):
[ ] a. retainer
[ ] b. one-time fee
[ ] c. commission
[ ] d. contingent fee
[ ] e. deferred
[ ] f. other; specify:
12. Form of Payment (check all that apply):
[ ] a. cash
[ ] b. in-kind; specify: nature value
14. Brief Description of Services Performed or to be Performed and Date(s) of service, including officer(s), employee(s), or
Members contacted, for Payment Indicated in Item 11:
(attach Continuation Sheet(s) SF-LLL-A, if necessary)
15. Continuation Sheet(s) SF-LLL-A attached: [ ] Yes [ ] No
123
16. Information requested through this form is authorized by 31 U.S.C.
§1352. This disclosure of lobbying activities is a material
representation of fact upon which reliance was placed by the tier
above when this transaction was made or entered into. This
disclosure is required pursuant to 31 U.S.C. §1352. This information
will be reported to the Congress semiannually and will be available for
public inspection. Any person who fails to file the required disclosure
shall be subject to a civil penalty of not less than $10,000.00 and not
more than $100,000.00 for each such failure.
Signature:
Print Name: Brian W. Matthews
Title: County Manager
Telephone No.: (704) 292-2597
Date: 10/20/25
Federal Use Only: Authorized for Local Reproduction
Standard Form-LLL
INSTRUCTIONS FOR COMPLETION OF SF-LLL,
DISCLOSURE OF LOBBYING ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal recipient, at the initiation or
receipt of a covered Federal Action, or a material change to a previous filling, pursuant to the 31 U.S.C. §1352. The filing of a form is
required for each payment or agreement to make payment to any lobbying entity for influencing or attempting to influence and officer
or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in
connection with a covered Federal action. Use the SF-LLL-A Continuation Sheet for additional information if the space on the form is
inadequate. Complete all items that apply for both the initial filing and material change report. Refer to the implementing guidance
published by the Office of Management and Budget for additional information.
1. Identify the type of covered Federal action for which lobbying activity is an/or has been secured to influence the outcome of a
covered Federal action.
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report. If this is a follow-up report caused by a material change to the information
previously reported, enter the year and quarter in which the change occurred. Enter the date of the last previously submitted
report by this reporting entity for this covered Federal action.
4. Enter the full name, address, city, state and zip code of the reporting entity. Include Congressional District, if known. Check the
appropriate classification of the reporting entity that designates if it is, or expects to be, a prime or sub award recipient. Identify
the tier of the subawardee, e.g., the first subawardee of the prime is the 1st tier. Subawards include but are not limited to
subcontracts, subgrants and Contract awards under grants.
5. If the organization filing the report in item 4 checks "Subawardee", then enter the full name, address, city, state and zip code of
the prime Federal recipient. Include Congressional District, if known.
6. Enter the name of the Federal agency making the award or loan commitment. Include at least one organizational level below
agency name, if known. For example, Department of Transportation, United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 1). If known, enter the full Catalog of Federal
Domestic Assistance (CFDA) number for grants, cooperative agreements, loan, and loan commitments.
8. Enter the most appropriate Federal Identifying number available for the Federal action identified in Item 1 (e.g., Request for
Proposal (RFP) number; Invitation for Bid (IFB) number; grant announcement number; the Contract, grant, or loan award number;
the application/proposal control number assigned by the Federal agency). Include prefixes, e.g., "RFP-DE-90-001."
9. For a covered Federal action where there has been an award or loan commitment by the Federal agency, enter the Federal
amount of the award/loan commitment for the prime entity identified in item 4 or 5.
a. Enter the full name, address, city, state and zip code of the lobbying entity engaged by the reporting entity identified in
item 4 to influence the covered Federal action.
b. Enter the full names of the individual(s) performing services, and include full address if different from 10(a). Enter Last
Name, First Name, and Middle Initial (MI).
10. Enter the amount of compensation paid or reasonably expected to be paid by the reporting entity (item 4) to the lobbying entity
(Item 10). Indicate whether the payment has been made (actual) or will be made (pleased). Check all boxes that apply. If this
is a material change report, enter the cumulated amount of payment made or planned to be made.
124
11. Check the appropriate box(es). Check all boxes that apply. If payment is made through an in-kind contribution, specify the nature
and value of the in-kind payment.
12. Check the appropriate box(es) that apply. If other, specify nature.
13. Provide a specific and detailed description of the services that the lobbyist has performed, or will be expected to perform, and the
date(s) of any services rendered. Include all preparatory and related activity, not just time spent in actual contact with Federal
officials. Identify the Federal official(s) or employee(s) contacted or the officer(s), employee(s), or Member(s) of Congress that
were contacted.
14. Check whether or not a SF-LLL-A Continuation Sheet(s) is attached.
15. The certifying officer shall sign and date the form, print his/her name, title, and telephone number.
Public reporting burden for this collection of information is estimated to average thirty (30) minutes per response
including time for reviewing instructions, searching existing date sources, gathering and maintaining the data needed,
and completing and reviewing the collection of information.
Send comments regarding the burden estimate or any aspect of this collection of information, including suggestions for
reducing this burden, to the Office of Management and Budget. Paperwork Reduction Project (0348-0046),
Washington, D.C. 20503.
125
H. CERTIFICATION REGARDING DEBARMENT,
SUSPENSION, AND OTHER RESPONSIBILITY MATTERS
The bidder, contractor, or subcontractor, as appropriate, certifies to the best of its knowledge and belief
that neither it nor any of its officers, directors, or managers who will be working under the Contract, or
persons or entities holding a greater than (ten percent) 10% equity interest in it (collectively “Principals”):
1. Are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from covered transactions by any federal or state department or agency in the United States;
2. Have within a three-year period preceding this proposal been convicted of or had a civil judgment
rendered against them for commission of fraud or a criminal offense in connection with obtaining,
attempting to obtain, or performing a public (federal, state, or local) transaction or contract under a
public transaction; violation of federal or state anti-trust or procurement statutes or commission of
embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements,
or receiving stolen property;
3. Are presently indicted for or otherwise criminally or civilly charged by a government entity, (federal,
state or local) with commission of any of the offenses enumerated in paragraph 2 o f this certification;
and
4. Have within a three-year period preceding this application/proposal had one or more public transactions
(federal, state or local) terminated for cause or default.
I understand that a false statement on this certification may be grounds for rejection of this proposal or
termination of the award or in some instances, criminal prosecution.
I hereby certify as stated above:
(Print Name) Signature
County Manager 10/20/25
Title Date
I am unable to certify to one or more the above statements. Attached is my explanation. [Check
box if applicable]
(Print Name) Signature
126
I. CONFLICT OF INTEREST
Except as may be identified and explained below, the undersigned hereby certifies that, no member of the Charlotte
City Council, Mecklenburg Board of County Commissioners, Metropolitan Transit Commission, officer, employee, or
former employee of the City, AND
no elected, appointed, or employed official or employee of the State of North Carolina or of a governing body,
instrumentality, or political subdivision within the territory comprising Mecklenburg County, AND
no relative of persons described above, AND
no member of or delegate to the Congress of the United States
has an interest whatsoever (regardless of how indirect and how remote that interest may be) in the Bidder’s
organization and/or in the proceeds of any contract and/or agreement which might be made between the
Bidder and the City as result of the successful bid/proposal accompanied by this certification; no person who
is or who during the past twelve (12) months has been a member of the Charlotte City Council, Mecklenburg
Board of County Commissioners, Metropolitan Transit Commission, an officer or employee of the City is
employed by or on behalf of the Bidder’s organi zation; and that until acceptance of all work or services to be
performed under any resulting contract or agreement, the Bidder shall not enter into any contract involving
services or property, whether or not related to the performance of any resulting con tract or agreement, with
any of the aforementioned persons or with any business in which any such person has an interest, direct or
indirect.
Except as identified and explained below and with City’s prior approval the Bidder shall not engage in any
activity, or accept any employment, interest or contribution that would create an appearance of a conflict of
interest (personal or organizational) or reasonably appear to compromise the Bidder’s judgment with respect
to all work or services to be performed under any resulting contract or agreement.
The undersigned certifies that he is legally authorized by the Bidder to make the above representation, and that the
representation is true to the best of his knowledge and belief and without deliberate omission of any inquiry which would
to the best of his belief tend to change the above representation. The undersigned understands that any representation
made knowing it to be false may be cause to disqualify the Bidder from competing for award for the contract at hand,
may be cause to terminate the resulting contract and disqualify the Bidder from being awarded future contracts by the
City.
The Bidder certifies that neither he nor any agent, representative, or other party acting on his behalf has offered or
given any gratuity or gratuities, in the form of gifts, entertainment, or otherwise, to any director, officer, or employee of
the City or of any person, firm, consultant or contractor retained by the City, with a view to securing the contract or of
securing favorable treatment with respect to the award hereof, and the Bidder further certifies that neither he nor any
agent, representative, or other party acting on his behalf will offer or give any such gratuity to any director, officer, or
employee of the City or of any such consultant or contractor with a view to securing favorable treatment with respect to
any change or amendment to the contract, or to any other action with respect to the performance hereof.
The Bidder further understands that in addition to submitting this certification at the time of bid/proposal submission to
the City, the Bidder shall also be required to submit a similar certification at the time of execution of any resulting
contract.
NOTE: THIS CERTIFICATION MUST BE SIGNED AND SUBMITTED WITH THE BID/PROPOSAL
127
Signature:
Title: County Manager Date of Signing: 10/20/25 _______
Firm or Corporate Name: Union County _______
Address: 500 N. Main Street, Monroe, NC 28112___________________________________
Telephone Number: (704)-292-
2597______________________________________________________________________
128
J. CHECKLIST FOR SUBMITTING PROPOSAL
Step 1 – Read the document fully
Step 2 Proposal Copies
An electronic Application to be delivered, to Department of Contracting & Procurement,
Attention: Beverly Hovis at beverly.hovis@charlottenc.gov.
It is the Subrecipient’s responsibility to check the City’s Contract Opportunities Site for
any addenda or changes to this Project. Search for 5310 FY24 Call for Projects Grant
Application to find any documents or changes have been posted.
129
Union County, NC
Staff Report
Union County Government
Center
500 North Main Street
Monroe, North Carolina
www.unioncountync.gov
File #:25-630 Agenda Date:10/20/2025
TITLE:..title
Resolution - Surplus Vehicle Sale
INFORMATION CONTACT:
Corey Brooks, Procurement & Contract Management, Interim Director, 704-283-3683
ACTION REQUESTED:
Adopt Resolution Authorizing Surplus Property Sale by Internet Auction which 1) declares the
property itemized on Attachment A as “Surplus” to the needs of Union County, 2) authorizes sale at
electronic auction of the surplus property described in Attachment A as per the terms and conditions
as specified in the online auction service provider contract, and 3) authorizes the Procurement
Director or their designee to execute any and all documents necessary to transfer title to said
property on behalf of Union County.
BACKGROUND:
North Carolina General Statutes allow the disposition of personal property by local governments
through a variety of means including private negotiations and sale; advertisement for sealed bids;
negotiated offer, advertisement, and upset bid; public auction; or exchange. In 2001, the legislature
amended the Statues to provide for disposition of property through electronic auction.
The sale will begin October 28, 2025, at 9:00 AM and end November 11, 2025, with incremental
closings as indicated on Attachment A. A summary of the vehicle information is listed below.
Additional vehicle information can be found on Attachment A.
Union County Water
·(2) 2014 FORD F350 SUPERCAB
UCSO
·(1) 2013 DODGE CHARGER
·(1) 2014 DODGE CHARGER
·(1) 2014 FORD EXPLORER
·(1) 2014 CHEVROLET TAHOE
·(1) 2016 CHEVROLET TAHOE
·(1) 2017 CHEVROLET CAPRICE
·(1) 2017 FORD EXPLORER
·(2) 2018 FORD POLICE INTERCEPTOR
Union County, NC Printed on 10/7/2025Page 1 of 2
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File #:25-630 Agenda Date:10/20/2025
Building Code Enforcement
·(1) 2015 FORD F150
Transportation
·(1) 2018 DODGE CARAVAN
The vehicles are to be picked up at 610 Patton Avenue, Monroe, NC with the following terms of sale:
1. Sale to the highest bidder with all sales final.
2. All items sold “as is” with no warranty, expressed or implied, which extends beyond the description
of the item.
3. Purchasers must remove vehicles(s) within ten (10) business days from the time and date of
issuance of the Buyer’s Certificate.
4. Payment must be made online through the online auction website. Payment in full is due not later
than five (5) business days from the time and date of the Buyers Certificate. Payment will not be
accepted onsite.
FINANCIAL IMPACT:
Estimated revenue is $50,000. The revenue will be returned to the fund from which the asset came.
Union County, NC Printed on 10/7/2025Page 2 of 2
powered by Legistar™131
RESOLUTION AUTHORIZING SURPLUS PROPERTY SALE BY INTERNET AUCTION
WHEREAS, G.S. 160-270(c) allows Union County to sell personal property at electronic auction
upon adoption of a resolution authorizing the Procurement & Contract Management Director or her
designee to dispose of the property at electronic auction; and
WHEREAS, the Procurement Manager has developed a list of these items as shown on Attachment
“A” for review by the Board of Commissioners for disposal by electronic auction;
NOW, THEREFORE, BE IT HEREBY RESOLVED by the Union County Board of Commissioners
that the items of personal property included on Attachment “A” and incorporated herein by reference, be
declared surplus and that the Procurement Manager or her designee be authorized to sell at electronic
auction, beginning October 28, 2025, at 9:00 a.m. and ending November 11, 2025, with incremental
closings as indicated on Attachment “A”, the surplus property described on Attachment “A”, as per the
terms and conditions as specified in the County’s existing contract with the on-line auction Service Provider
to the highest bidders.
BE IT FURTHER RESOLVED that the Procurement Director or her designee is authorized to
execute any and all documents necessary to transfer said property on behalf of Union County.
BE IT FURTHER RESOLVED that the terms of sale applicable at the aforementioned auction of the
items listed on Attachment “A” shall be as follows:
1. Sale to the highest bidder with all sales final.
2. All items sold “as is” and “where is” with no warranty, expressed or implied, which extends
beyond the description of the items.
3. Purchasers must remove vehicle(s) within ten business days from the time and date of
issuance of the Buyer’s Certificate. The vehicles are to be picked up at 610 Patton Avenue,
Monroe, North Carolina. Purchasers shall bear sole risk of loss for all items remaining on
the premises ten (10) calendars days from the time and date of issuance of the Buyer’s
Certificate.
4. Payment must be made online through the on-line auction Website. Payment in full is due
not later than five (5) calendar days from the time and date of the Buyer’s Certificate.
Payment cannot be accepted onsite.
BE IT FURTHER RESOLVED that payment of advertising and miscellaneous expenses be paid
from the proceeds of the sale.
Adopted this 20th day of October 2025
ATTEST:
Lynn G. West, Clerk to the Board Melissa Merrell, Chair
132
Attachment A
Tag Number Description Serial/Parcel Mileage Department Auction Start Auction End
06-14 Ford F350 Super Cab 1FD8X3DT7EEA27240 180,094 UC Water 10/28/25 9:00 AM 11/11/25 9:00 AM
07-14 Ford F350 Super Cab 1FD8X3DTOEEA27239 140,593 UC Water 10/28/25 9:00 AM 11/11/25 9:10 AM
11-13 Dodge Charger 2C3CDXAT70H627707 119,348 UCSO 10/28/25 9:00 AM 11/11/25 9:20 AM
12-14 Dodge Charger 2C3DXAT3EH145866 122,204 UCSO 10/28/25 9:00 AM 11/11/25 9:30 AM
32-14 Ford Explorer 1FM5K8AB1EGA75859 119,249 UCSO 10/28/25 9:00 AM 11/11/25 9:40 AM
34-14 Chevrolet Tahoe 1GNLC2E04ER179825 162,963 UCSO 10/28/25 9:00 AM 11/11/25 9:50 AM
33-15 Ford F150 1FTEX1C80FFC54371 198,599 Building Code Enforcement 10/28/25 9:00 AM 11/11/25 10:00 AM
44-16 Chevrolet Tahoe 1GNSKDEC1GR252849 149,641 UCSO 10/28/25 9:00 AM 11/11/25 10:10 AM
51-17 Chevrolet Caprice 6G3NS5U24HL302137 98,545 UCSO 10/28/25 9:00 AM 11/11/25 10:20 AM
66-17 Ford Explorer 1FM5K8AT5HGD92236 109,346 UCSO 10/28/25 9:00 AM 11/11/25 10:30 AM
47-18 Dodge Caravan 2C7WDGBGOJR176414 164,478 Transportation 10/28/25 9:00 AM 11/11/25 10:40 AM
11-18 Ford Police Interceptor 1FMSK8AR5JGA32281 356,612 UCSO 10/28/25 9:00 AM 11/11/25 10:50 AM
30-18 Ford Police Interceptor 1FM5K8AT85GA36952 148,887 UCSO 10/28/25 9:00 AM 11/11/25 11:00 AM
133
Union County, NC
Staff Report
Union County Government
Center
500 North Main Street
Monroe, North Carolina
www.unioncountync.gov
File #:25-635 Agenda Date:10/20/2025
TITLE:..title
Grant Application - Firehouse Subs Public Safety Foundation
INFORMATION CONTACT:
Jason May, Budget and Grants Management, Director, 704-283-3760
ACTION REQUESTED:
Authorize the County Manager to submit the associated grant application and make necessary
assurances and certifications associated with the grant application as substantially consistent with
this agenda item, which includes the authorization to execute documents related to award of the
grant and budget funds as appropriate.
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
The Union County Fire Marshal’s Office is seeking authorization to apply for and, if awarded, accept
a grant from the Firehouse Subs Public Safety Foundation in the amount of $15,000 (no local match).
The grant program provides funding to public safety organizations across the nation to enhance
emergency response capabilities, improve community safety, and support lifesaving operations
through specialized equipment.
The proposed project will fund the purchase of digital cameras and accessories to improve incident
documentation, post-disaster damage assessments, and fire investigation capabilities. High-
resolution imagery is a critical component of accurate scene evaluation, training, and reporting.
These tools will allow the Fire Marshal’s Office to collect precise photographic evidence during
investigations, emergency incidents, and natural disaster events.
FINANCIAL IMPACT:
Union County anticipates requesting approximately $15,000 in funding with no local match.
Union County, NC Printed on 10/7/2025Page 1 of 1
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Union County, NC
Staff Report
Union County Government
Center
500 North Main Street
Monroe, North Carolina
www.unioncountync.gov
File #:25-640 Agenda Date:10/20/2025
TITLE:..title
Contract Amendment - Additional Design Services for the South Piedmont Regional Autopsy Center
INFORMATION CONTACT:
Linda Whitaker, Facilities and Fleet Management, Assistant Director Design and Construction, 704-
420-2626
ACTION REQUESTED:
Authorize the County Manager to 1) negotiate and execute an agreement substantially consistent
with this agenda item, 2) exercise any renewal or extension term options set forth in the Agreement,
and 3) terminate the Agreement if deemed in the best interest of the County, each in the County
Manager’s discretion.
PRIOR BOARD ACTIONS:
May 05, 2025, Regular Meeting, Agenda Item # 25-215 - Approved Design Contract with CPL
Architects & Engineers, PC for Advanced Planning/Conceptual Design Phase
BACKGROUND:
This request is to approve a contract amendment with CPL to provide full building and site design
and construction administration services for the South Piedmont Regional Autopsy Center project.
The project includes a new building between 13,000 and 15,000 gross square feet, site work and
utilities and will be located on the parcel adjacent to the Union County Sheriff's Office Campus. The
cost of this amendment is $1,669,225.00, bringing the revised total fee to $1,885,425.00. Staff
recommends approval of this contract amendment to continue design services for a full building and
site design for the project.
FINANCIAL IMPACT:
The cost for this amendment is $1,669,225.00. There are sufficient funds in capital account
40080222 South Piedmont Regional Autopsy Center project to cover this expense.
Union County, NC Printed on 10/7/2025Page 1 of 1
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Union County, NC
Staff Report
Union County Government
Center
500 North Main Street
Monroe, North Carolina
www.unioncountync.gov
File #:25-645 Agenda Date:10/20/2025
TITLE:..title
Adoption of Updated Records Retention Schedules
INFORMATION CONTACT:
Clayton T. Voignier, Assistant County Manager, 704-283-3687; Jason Kay, County Attorney, 704-283-
3784
ACTION REQUESTED:
Adopt the 2021 General Records Schedule and 2021 Program Records Schedule for Local
Government Agencies for Union County effective October 20, 2025
PRIOR BOARD ACTIONS:
Union County’s General Records Schedule was last updated on August 5, 2019
BACKGROUND:
In April 2013, Union County adopted a Records Retention and Disposition Schedule for County
Management, which governed how long the County must retain various types of county records to
comply with North Carolina law. All records retention and disposition schedules are published and
periodically updated by the North Carolina Department of Natural and Cultural Resources Division of
Archives and Records ("NC Archives").
In 2019, Government Records were combined into a General Records Schedule for Local
Government Agencies, and Union County adopted a General Records Schedule for Local
Government Agencies in August of 2019. In October of 2021, NC Archives published an updated
General Records Schedule for Local Government Agencies and a new Program Records Schedule
for Local Government Agencies. The 2021 General Records Schedule for Local Government
Agencies reorganized and updated the 2019 version to improve clarity and consistency. The most
noticeable change is the renaming of the “Personnel Records” section to “Human Resources
Records.” Several record series were consolidated or clarified to eliminate redundancy, and
terminology was updated to reflect electronic recordkeeping practices.
The 2021 Program Records Schedule for Local Government Agencies was a new retention schedule
created from the former County Management (last updated in 2013) and Municipal (last updated in
2012) retention schedules. This schedule contains specific functions of government at the county
level including Code Enforcement and Inspection Records, Parks and Recreation Records, Planning
and Regulation of Development Records, Public Transportation Systems Records, Public Utilities and
Environmental/Waste Management Records, and Street Maintenance, Public Works, and
Engineering Records. Most retention periods remain consistent with prior guidance, though
descriptions and organization were modernized to improve clarity and align with the format of the
General Records Schedule.
Union County, NC Printed on 10/7/2025Page 1 of 2
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File #:25-645 Agenda Date:10/20/2025
Adoption of the 2021 General Records Schedule and Program Records Schedule for Local
Government Agencies will supersede prior versions of these schedules and authorize the County to
dispose of records in accordance with State-approved destruction methods.
FINANCIAL IMPACT:
None
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RECORDS RETENTION AND DISPOSITION
SCHEDULE
GENERAL RECORDS SCHEDULE:
LOCAL GOVERNMENT AGENCIES
Issued By:
North Carolina Department of Natural and Cultural Resources
Division of Archives and Records
Government Records Section
October 1, 2021
138
CONTENTS
Approval ..........................................................................................................................................iv
Front Matter
Executive Summary ......................................................................................................................... v
Legend for Records Schedule ......................................................................................................... vii
Records Retention and Disposition Schedule
Standard 1: Administration and Management Records ................................................................. 1
Standard 2: Budget, Fiscal, and Payroll Records ........................................................................... 23
Standard 3: Geographic Information System Records ................................................................. 36
Standard 4: Human Resources Records .........................................................................................43
Standard 5: Information Technology Records ...............................................................................61
Standard 6: Legal Records ..............................................................................................................67
Standard 7: Public Relations Records ........................................................................................... 75
Standard 8: Risk Management Records ........................................................................................ 80
Standard 9: Workforce Development Records ............................................................................. 86
Appendix
Managing Public Records in North Carolina ................................................................................ A-1
Audits, Litigation, and Other Official Action ................................................................................ A-5
Transitory Records ....................................................................................................................... A-6
Destruction of Public Records ...................................................................................................... A-8
Sample Destructions Log ............................................................................................... A-10
Electronic Records: E-mail, Born Digital Records, and Digital Imaging ..................................... A-11
Geospatial Records ................................................................................................................... A-13
Security Preservation Copies of Records ................................................................................... A-15
Disaster Assistance .................................................................................................................... A-17
Staff Training .............................................................................................................................. A-18
Request Forms
Request for Change in Records Schedule ...................................................................... A-19
Request for Disposal of Unscheduled Records .............................................................. A-20
Request for Disposal of Original Records Duplicated by Electronic Means .................. A-21
File Plan ...................................................................................................................................... A-22
Related Records Series in Program Schedules ........................................................................... A-23
Index ........................................................................................................................................ A-30
139
2021 General Records Schedule:
Local Government Agencies
The records retention and disposition schedules and retention periods governing the records series listed herein
are hereby approved. This approval extends to and includes the following standards in the 2021 General Records
Schedule: Local Government Agencies:
1.Administration and Management Records
2.Budget, Fiscal, and Payroll Records
3.Geographic Information System Records
4.Human Resources Records
5.Information Technology Records
6.Legal Records
7.Public Relations Records
8.Risk Management Records
9.Workforce Development Records
In accordance with the provisions of Chapters 121 and 132 of the General Statutes of North Carolina, it is agreed
that the records do not and will not have further use or value for official business, research, or reference purposes
after the respective retention periods specified herein and are authorized to be destroyed or otherwise disposed
of by the agency or official having custody of them without further reference to or approval of either party to this
agreement.
Destructions
G.S. § 121-5 authorizes the Department of Natural and Cultural Resources to regulate the destruction of public
records. Furthermore, the local government agency agrees to comply with 07 NCAC 04M .0510 when deciding on a
method of destruction. The North Carolina Administrative Code states:
“(a) Paper records which have met their required retention requirements and are not subject to legal or other
audit holds should be destroyed in one of the following ways:
1.burned, unless prohibited by local ordinance;
2.shredded, or torn up so as 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 materials concerned; or
4.sold as waste paper, provided that the purchaser agrees in writing that the documents or
materials concerned will not be resold without pulverizing or shredding the documents so that
the information contained within cannot be practicably read or reconstructed.
(b)When used in an approved records retention and disposition schedule, the provision that electronic records are
to be destroyed means that the data and metadata are to be overwritten, deleted, and unlinked so the data and
metadata may not be practicably reconstructed.
(c)When used in an approved records retention and disposition schedule, the provision that confidential records
of any format are to be destroyed means the data, metadata, and physical media are to be destroyed in such a
manner that the information cannot be read or reconstructed under any means.”
All local government agencies should maintain logs of their destructions either in the minutes of their governing
board or in their Records Management file. Confidential records will be destroyed in such a manner that the
records cannot be practicably read or reconstructed.
Public records, including electronic records, not listed in this schedule are not authorized to be destroyed.
140
ii 2021 General Records Schedule: Local Government Agencies
Audits and Litigation Actions
Records subject to audit or those legally required for ongoing official proceedings must be retained until released
from such audits or official proceedings, notwithstanding the instructions of this schedule.
Electronic Records
All local government agencies and the Department of Natural and Cultural Resources concur that the long-term
and/or permanent preservation of electronic records requires additional commitment and active management by
the agency. Agencies agree to comply with all policies, standards, and best practices published by the Department
of Natural and Cultural Resources regarding the creation and management of electronic records.
Local government agencies should consider retention requirements and disposition authorities when designing
and implementing electronic records management systems. Any type of electronically-created or electronically-
stored information falls under the North Carolina General Assembly’s definition of public records cited above. For
example, e-mail, text messages, blog posts, voicemails, websites, word processing documents, spreadsheets,
databases, and PDFs all fall within this definition of public records. In addition, G.S. § 132-6.1(a) specifies:
“Databases purchased, leased, created, or otherwise acquired by every public agency containing public
records shall be designed and maintained in a manner that does not impair or impede the public agency's
ability to permit the public inspection and examination of public records and provides a means of
obtaining copies of such records. Nothing in this subsection shall be construed to require the retention by
the public agency of obsolete hardware or software.”
Local government agencies may scan any paper record and retain it electronically for ease of retrieval. If an
agency wishes to destroy the original paper records before their assigned retention periods have been met, the
agency must establish an electronic records policy, including putting into place procedures for quality assurance
and documentation of authorization for records destructions approved by the Government Records Section. This
electronic records policy and releases for destruction of records must be approved by the Government Records
Section. Agencies should be aware that for the purpose of any audit, litigation, or public records request, they are
considered the records custodian obligated to produce requested records, even if said records are being
maintained electronically by an outside vendor. Therefore, contracts regarding electronically stored information
should be carefully negotiated to specify how records can be exported in case a vendor goes out of business or the
agency decides to award the contract to a different vendor.
Reference Copies
All local government agencies and the Department of Natural and Cultural Resources agree that certain records
series possess only brief administrative, fiscal, legal, research, and reference value. These records series have been
designated by retention periods that allow these records to be destroyed when “reference value ends.” All local
government agencies hereby agree that they will establish and enforce internal policies setting minimum retention
periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction “destroy
when reference value ends.” If a local government agency does not establish internal policies and retention
periods, the local government agency is not complying with the provisions of this retention schedule and is not
authorized by the Department of Natural and Cultural Resources to destroy the records with the disposition
instruction “destroy when reference value ends.”
Record Copy
A record copy is defined as “The single copy of a document, often the original, that is designated as the official
copy for reference and preservation.”1 The record copy is the one whose retention and disposition is mandated by
this schedule; all additional copies are considered reference or access copies and can be destroyed when their
usefulness expires. In some cases, postings to social media may be unofficial copies of information that is captured
elsewhere as a record copy (e.g., a press release about an upcoming agency event that is copied to various social
media platforms). Appropriately retaining record copies and disposing of reference copies requires agencies to
1 Society of American Archivists, Dictionary of Archives Terminology.
141
iii 2021 General Records Schedule: Local Government Agencies
designate clearly what position or office is required to maintain an official record for the duration of its
designated retention period.
Transitory Records
Transitory records are defined as “record[s] that [have] little or no documentary or evidential value and that need
not be set aside for future use.”2
North Carolina has a broad definition of public records. However, the Department of Natural and Cultural
Resources recognizes that some records may have little or no long-term documentary or evidential value to the
creating agency. These records are often called transitory records. They may be disposed of according to the
guidance below. However, all public employees should be familiar with their appropriate retention schedule and
any other applicable guidelines for their office. If there is a required retention period for these records, that
requirement must be followed. When in doubt about whether a record is transitory or whether it has special
significance or importance, retain the record in question and seek guidance from a DNCR records analyst.
Routing slips and transmittal sheets adding no information to that contained in the transmitted material have
minimal value after the material has been successfully transmitted. These records may be destroyed or otherwise
disposed of after receipt of the material has been confirmed. Similarly, “while you were out” slips, memory aids,
and other records requesting follow-up actions (including voicemails and calendar invites) have minimal value once
the official action these records are supporting has been completed and documented. These records may be
destroyed or otherwise disposed of once the action has been resolved.
Drafts and working papers, including notes and calculations, are materials gathered or created to assist in the
creation of another record. All drafts and working papers are public records subject to all provisions of Chapter
132 of the General Statutes, but many of them have minimal value after the final version of the record has been
approved, and may be destroyed after final approval, if they are no longer necessary to support the analysis or
conclusions of the official record. Drafts and working documents that may be destroyed after final approval
include:
•Drafts and working papers for internal and external policies
•Drafts and working papers for internal administrative reports, such as daily and monthly
activity reports;
•Drafts and working papers for internal, non-policy-level documents, such as informal workflows and
manuals; and
•Drafts and working papers for presentations, workshops, and other explanations of agency policy that is
already formally documented.
Forms used solely to create, update, or modify records in an electronic medium may be destroyed in office after
completion of data entry and after all verification and quality control procedures, so long as these records are not
required for audit or legal purposes. However, if the forms contain any analog components that are necessary to
validate the information contained on them (e.g., a signature or notary’s seal), they must be retained according to
the disposition instructions for the records series encompassing the forms’ function.
2 Ibid.
142
It is further agreed that these records may not be destroyed prior to the time periods stated; however, for
sufficient reason they may be retained for longer periods. This schedule supersedes previous versions of this
schedule and any localized amendments; it is to remain in effect from the date of approval until it is reviewed and
updated.
APPROVAL RECOMMENDED
Municipal/County Clerk or Manager
Title: ____________ _
APPROVED
Head of Governing Body
Title: ___________ _
Municipalit y/C ounty: ___________ _
Effective: October 1, 2021
2021 General Records Schedule: Local Government Agencies
:,ADA� l" .l!rso-nfs
Sarah E. Koonts, Director
Division of Archives and Records
D.Reid Wilson, Secretary
Department of Natural and Cultural
Resources
iv
Union County
County Manger
BOCC Chair
143
v
EXECUTIVE SUMMARY
Some records are covered by the Local Agency Program Retention and Disposition
Schedules. See the appendix for Related Records Series Found in Local Agency Program
Schedules.
According to N.C. Gen. Stat. § 121-5(b) and N.C. Gen. Stat. § 132-3, you may destroy public
records only with the consent of the Department of Natural and Cultural Resources
(DNCR). The State Archives of North Carolina is the division of DNCR charged with
administering a records management program. This schedule is the primary way the State
Archives of North Carolina gives its consent. Without approving this schedule, your agency
is obligated to obtain the State Archives of North Carolina’s permission to destroy any
record, no matter how insignificant.
Each records series listed on this schedule has specific disposition instructions that will
indicate how long the series must be kept in your office. In some cases, the disposition
instructions are simply “retain in office permanently,” which means that those records
must be kept in your office forever. In other cases, the retention period may be “destroy
in office when reference value ends.” An agency may have reference copies of materials,
meaning “a copy of a record distributed to make recipients aware of the content but not
directing the recipient to take any action on the matter” (from Society of American
Archivists, Dictionary of Archives Terminology). Your agency must establish and enforce
internal policies by setting minimum retention periods for the records that the State
Archives of North Carolina has scheduled with the disposition instructions, “destroy when
reference value ends.”
E-mail is a record as defined by N.C. Gen. Stat. § 121-5 and N.C. Gen. Stat. § 132. It is the
content of the e-mail that is critical when determining the retention period of a particular
e-mail, including attachments, not the media in which the record was created. It is
important for all agency employees and officials to determine the appropriate records
series for specific e-mails and retain them according to the disposition instructions listed
with the identified record series.
The State Archives of North Carolina recommends that all agency employees and officials
view the tutorials that are available online through the State Archives website in order to
familiarize themselves with records management principles and practices. The State
Archives of North Carolina’s online tutorials include topics such as records management
and scanning guidelines.
The State Archives of North Carolina creates security preservation record copies for
minutes and selected other records of governing bodies and commissions, adoption
records, and maps and plats. Agencies can request copies of the digital images made
during this process. Contact the appropriate Records Management Analyst to begin this
process.
144
vi 2021 General Records Schedule: Local Government Agencies
If you have records that are not listed in this schedule, contact a Records Management
Analyst. An analyst will discuss the nature of the records with you to determine if the
records have historical value. If the records do not have historical value, we will ask you to
complete a Request for Disposal of Unscheduled Records (page A-20) for records that are
no longer being created.
145
vii
LEGEND FOR RECORDS SCHEDULE
This records retention and disposition schedule applies to records in all media, unless otherwise
specified.
–symbol designating that one or more records in this series may be confidential or may include
confidential information.
Item # – an identifying number assigned to each records series for ease of reference.
Series – “a group of similar records that are . . . related as the result of being created, received, or used
in the same activity.” (From Society of American Archivists, Dictionary of Archives Terminology).
Series in this schedule are based on common functions in government offices.
Records Series Title – a short identification of the records in a series, based on their common function.
Series Description – a longer description of the records in a series, often including the types of records
that can frequently be found in that series. This information is included underneath the Records
Series Title.
Disposition Instructions – instructions dictating the length of time a series must be retained and how
the office should dispose of those records after that time.
Citation – a listing of references to statutes, laws, and codes related to the records series. Citations can
include:
•Authority: governing the creation of records
•Confidentiality: limiting access to public records
•Retention: setting a retention period
Throughout this schedule, items that cross-reference other items within this schedule are indicated with
a SEE ALSO reference. If you hover your cursor over one of these items, you will see the hand tool that
will enable you to click on the item to follow the link to that location.
No destruction of records may take place if litigation or audits are pending or reasonably anticipated.
See also AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION, page A-5.
Sample records series title and description with
cross-reference included
146
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
1
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
Official records pertaining to the authority, operating philosophy, methods, primary functions, and routine office administration of local agencies.
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.01 ABSTRACTS OF MUNICIPAL ELECTIONS
Copies of abstracts prepared by the County Board of
Elections and forwarded to the municipal clerk.
Destroy in office when reference value ends.±
Agency Policy: Destroy in office after ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟
Retention Note: Official record maintained permanently by the
County Board of Elections.
Authority:
G.S. 163-300
1.02 ACCREDITATION RECORDS
Records documenting accreditations and certifications
received by the agency. Includes applications, final
reports, and other related records. Also includes
evaluations of the agency by outside entities.
Destroy in office 5 years after superseded or obsolete. Authority:
10A NCAC 48B
1.03 ADMINISTRATIVE DIRECTIVES, REGULATIONS, AND
RULES @
Records documenting requirements or directives
promulgated by the agency for the conduct of a
business or activity on agency premises or under
agency authority.
Destroy in office when superseded or obsolete.
2 years
147
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
2
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.04 AUDITS: PERFORMANCE @
Records concerning internal and external audits
conducted to assess the function of government
programs. Includes reports, working papers,
corrective measures, and other related records.
SEE ALSO: Audits: Financial (STANDARD 2: BUDGET,
FISCAL, AND PAYROLL RECORDS).
a)Retain in office permanently reports related to internal
compliance or operational audits, hazardous material, or
those that document a significant change in agency
practices.
b)Destroy in office PCI attestation reports after 3 years.
c)Destroy in office remaining audit reports after 10 years.
d)Destroy in office documentation of corrective measures 2
years after their implementation.
e)Destroy in office working papers and remaining records
when superseded or obsolete.
1.05 BLUEPRINTS AND SPECIFICATIONS @
Blueprints and specifications of agency owned
buildings and facilities. Includes as-built plans and
related records concerning approved changes.
a)Transfer as-built drawings to new owner when agency
relinquishes ownership of building or facility.
b)Retain in office as-built drawings for life of structure and
then destroy.
c)Destroy in office blueprints, floorplans, and other
preliminary design and construction documents when
superseded or obsolete.
Confidentiality:
G.S. 132-1.7
148
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
3
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.06 BONDS
Records documenting written guarantees from a third
party, including bid bonds, payment bonds,
performance bonds, and surety bonds.
SEE ALSO: Bids for Purchase (STANDARD 2: BUDGET,
FISCAL, AND PAYROLL RECORDS), and Projects
(below).
Destroy in office 5 years after expiration or cancellation.
1.07 BULLETINS
Internal information sharing materials that circulate
information within the agency. Also includes
memoranda and newsletters.
Destroy in office when superseded or obsolete.
1.08 BUSINESS CERTIFICATION RECORDS
Applications and supporting documentation submitted
by businesses to be certified as a Small Business
Enterprise (SBE) or other classification.
a)Destroy in office all documentation 3 years after most
recent recertification.
b)If certification was never issued, destroy in office all
documentation when reference value ends.±
Agency Policy: Destroy in office after _____________͟͟͟
1.09 BUSINESS DEVELOPMENT SUBJECT FILE Destroy in office after 3 years.
1.10 CALENDARS OF EVENTS AND APPOINTMENTS Destroy in office when superseded or obsolete.
1.11 CENSUS PROJECT RECORDS
Records created to assist the U.S. Census Bureau with
the decennial census.
Destroy in office when reference value ends.±
Agency Policy: Destroy in office after
6 months
149
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
4
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.12 CHARTER RECORDS
Charter and charter proceedings related to adoption,
amendment and/or repeal.
Retain in office permanently.
1.13 COLLECTED DATA
Information and statistics compiled and analyzed for
research purposes or to support the functions of the
agency.
SEE ALSO: Data Warehouses (STANDARD 5:
INFORMATION TECHNOLOGY RECORDS).
Destroy in office when superseded or obsolete. If data contains
confidential
information, abide
by relevant
restrictions.
150
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
5
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.14 CONSTITUENT COMMENTS, COMPLAINTS, PETITIONS,
AND SERVICE REQUESTS @
Records concerning objections, dissatisfaction, or
disagreements with actions or positions taken or not
taken by the agency. Includes comments and
petitions submitted by constituents requesting action
as well as routine requests for service. Also includes
requests for reasonable accommodation to the
general public under Title II of the Americans with
Disabilities Act, Housing and Urban Development Act,
1973 Rehabilitation Act, and Title VII of the Civil Rights
Act of 1964; including constituent requests, survey of
agency buildings to determine accessibility to the
physically handicapped, proposals for implementation,
correspondence (including e-mail), and resolutions.
SEE ALSO: Civil Rights Records (STANDARD 6: LEGAL
RECORDS).
a)Transfer records as applicable to Litigation Case Records
(STANDARD 6: LEGAL RECORDS).
b)Destroy in office comments, complaints, petitions, and
requests 1 year after resolution.*
c)Destroy in office accommodation requests 2 years after
resolution.*
Authority:
42 USC 12132
1.15 CONSTITUENT SURVEYS
Surveys and related records addressing agency
services, policies, and other concerns.
Destroy in office when reference value ends.±
Agency Policy: Destroy in office after ________ _____ 1 year
151
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
6
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.16 CORRESPONDENCE AND MEMORANDA
Administrative and management
correspondence/memoranda (including e-mail)
written or received by the office concerning agency
authority, operating philosophy, purpose, methods,
and any other function.
For information on handling e-mail and text or instant
messages, see ELECTRONIC RECORDS, page A-11. SEE
ALSO: Public Bodies: Correspondence (below) and
Legal Correspondence (STANDARD 6: LEGAL
RECORDS).
a)Transfer correspondence (including e-mail) with historical
value to History Records (below), after 3 years.
b)Destroy routine administrative correspondence and
memoranda after 1 year.
c)Destroy in office remaining records after 3 years.
Retention Note: The correspondence (including e-mail) of the
most senior administrator has historical value and should be
retained permanently.
1.17 CUSTOMER CALL CENTER RECORDINGS @
Recordings of calls to customer service centers made
for quality assurance and training purposes.
Destroy in office after 30 days.
1.18 EQUIPMENT AND VEHICLE MAINTENANCE, REPAIR,
AND INSPECTION RECORDS @
Records concerning the maintenance, repair, routine
testing, and inspection of agency owned equipment
and vehicles. Also includes warranties.
SEE ALSO: Grants (below), and System Maintenance
Records: Hardware Repair or Service (STANDARD 5:
INFORMATION TECHNOLOGY RECORDS).
a)Destroy in office records documenting routine inspections,
janitorial cleaning, and routine maintenance of equipment
and vehicles after 1 year.*
b)Destroy in office records documenting all other
maintenance and repairs after 3 years.*
c)Destroy in office warranties 1 year after expiration.
152
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
7
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.19 EQUIPMENT AND VEHICLE REFERENCE RECORDS
Includes operation, specification, and technical
manuals. Also includes brochures, bulletins, and
related documentation.
Destroy in office when superseded or obsolete.
1.20 EQUIPMENT, FACILITY, AND VEHICLE USAGE
RECORDS
Records documenting the assignment, request, and
usage of agency assets. Also includes mileage and
checkout logs, fuel consumption reports, reservation
requests, authorizations, utility usage logs, and similar
records.
a)Destroy in office after 3 years if records are used for
allocating costs or determining payment under rental or
lease agreements.*
b)Destroy in office remaining records after 1 year.
1.21 FACILITY MAINTENANCE, REPAIR, AND INSPECTION
RECORDS
Records documenting maintenance, repair, and
inspection of agency-owned facilities, including
warranties on said repairs. Also includes any real
property owned by the agency.
SEE ALSO: Contracts, Leases, and Agreements
(STANDARD 6: LEGAL RECORDS), Property
Management Records (below).
a)Destroy in office records documenting system repair and
improvement (including plumbing, electrical, fire, and
other systems) after 3 years.
b)Destroy in office records documenting routine inspections,
janitorial cleaning, environmental monitoring, and routine
maintenance of facilities after 1 year.
c)Destroy in office warranties 1 year after expiration.
1.22 FORMS AND TEMPLATES
Blank forms, templates, and letterhead used to create
agency records.
Destroy in office when superseded or obsolete.
153
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
8
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.23 GRANT PROPOSALS
Proposals submitted for grants, including applications,
correspondence (including e-mail), and other related
records.
a)Transfer records concerning approved grants to Grants
(below).
b)Destroy in office rejected or withdrawn grant proposals
when reference value ends.±
Agency Policy: Destroy in office after ________ ____
1.24 GRANTS @
Records concerning approved federal, state, and
private grants. File includes applications, reports,
records of equipment purchased with grant funds, and
all relevant programmatic records. Also includes any
required certifications and disclosures, documentation
about grants issued by the agency, and research
records generated as part of a grant project.
SEE ALSO: Grants: Financial (STANDARD 2: BUDGET,
FISCAL, AND PAYROLL RECORDS).
a)Destroy records supporting the expenditure of federal
funds passed through NC DHHS on a fiscal year basis when
the DHHS Office of the Controller provides written
guidance that records are released from all audits and
other official actions.
b)Destroy in office records of state and private grants 5 years
after final financial report is filed.*
c)Destroy in office records of grants funded by local
appropriations and other federal grants 3 years after final
financial report is filed.
d)Destroy in office records not relating to a specific grant
after 1 year.
Retention Note: According to 2 CFR 200.333(c), records for real
property and equipment acquired with Federal funds must be
retained for 3 years after disposition of the
property/equipment.
Retention:
09 NCAC 03M .0703
2 CFR 200.333
5 years
154
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
9
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.25 HISTORICAL DESIGNATIONS RECORDS
Records concerning the awarding of historical markers
by the agency. Includes applications, review materials,
and list of markers.
a)Retain in office permanently the list of historical markers
along with the accepted applications.
b)Destroy in office after 1 year rejected applications.
c)Destroy in office remaining materials after 3 years.
1.26 HISTORY RECORDS (AGENCY AND EMPLOYEES)
Records concerning the history of the agency and its
employees. Includes published and unpublished
histories, biographical data, photographs, newspaper
clippings, and other related records.
a)Retain in office records with historical value permanently.
b)Destroy in office remaining records when reference value
ends.±
Agency Policy: Destroy in office after _______________
1.27 IMPROPER CONDUCT INVESTIGATIONS
Records concerning investigations triggered by
questions about ethics or conduct within an agency,
such as whistleblower reports or allegations of fraud.
Includes complaints, reports, investigations, and other
related records. Also includes records from an ombuds
office.
Destroy in office 3 years after resolution.*
1.28 INDICES @
Listings of where specific information can be found.
Destroy in office when superseded or obsolete.
1.29 INTERAGENCY PROGRAMS
Records of programs involving more than one
government agency. Includes resource materials,
program information, and other related records.
Destroy in office when reference value ends.±
Agency Policy: Destroy in office after ________ ____
5 years
3 years
155
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
10
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.30 INVENTORIES @
Inventories describing the type of property (including
equipment and facilities other and fixed assets), its
location, and related information. Also includes
inventory control and usage records, such as
requisitions/draw tickets, mileage logs, request forms,
and other related records.
a)Destroy in office lists of properties, facilities, fixed assets,
supplies, and surplus property when superseded or
obsolete.
b)Destroy in office inventory control and usage records after
3 years.
1.31 LEGISLATION AND REGULATORY RECORDS
Notices and copies of proposed or adopted state or
federal legislation or regulations affecting the agency.
Destroy in office when reference value ends.±
Agency Policy: Destroy in office after ________ ____
1.32 LOGISTICS MATERIALS
Records concerning scheduled plans of agency
personnel and activities. Includes routine notices, task
lists, and arrangements.
Destroy in office when superseded or obsolete.
1.33 MAIL: UNDELIVERABLE/RETURNED
Outgoing agency mail returned by the post office for
any reason, including insufficient postage, incorrect
address, forwarding order expired, etc. Also includes
outgoing e-mail returned for any reason.
Destroy in office after 30 days.
Retention Note: If notification is necessary for a particular
process, reference the relevant case file for disposition
instructions (e.g., tax notifications).
1.34 MAILING AND DISTRIBUTION RECORDS
Includes mailing and meeting notification lists, e-mail
distribution lists, Sunshine Lists, and related
documentation of transactions with the U.S. Postal
Service, state courier, or private carriers.
a)Destroy in office Sunshine Lists when superseded or
obsolete.
b)Destroy in office remaining records when reference value
ends.±
Agency Policy: Destroy in office after _______________
Confidentiality:
G.S. 132-1.12
G.S. 132-1.13
5 years
8 years
156
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
11
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.35 MEMBERSHIP RECORDS
Records concerning associations, organizations,
groups, etc., with which the agency is involved.
Includes records concerning memberships or
registrations on behalf of the agency or agency
personnel.
Destroy in office when superseded or obsolete.
1.36 MISCELLANEOUS (NON-BUILDING) APPLICATIONS,
LICENSES, AND PERMITS
Includes, but not limited to, applications and permits
regarding free government-issued business permits,
burning, special events, and landscape establishment.
a)Destroy in office 1 year after expiration of license/permit.
b)Destroy in office applications for which a license/permit
was never issued when reference value ends.±
Agency Policy: Destroy in office after ____________
1.37 OFFICE AND PROPERTY SECURITY RECORDS
Records concerning the security of agency offices,
facilities, vehicles, equipment, property, and
personnel. Includes visitors’ register; security,
employee, or contractor access to facilities or
resources; and surveillance system reports and
recordings.
SEE ALSO: Employee Security Records (STANDARD 8:
RISK MANAGEMENT).
a)If the recording necessitates law enforcement action,
transfer to the appropriate agency.
b)If the recording becomes evidence in a personnel
investigation or lawsuit, transfer to Disciplinary Actions
(STANDARD 4: HUMAN RESOURCES RECORDS), or Litigation
Case Records (STANDARD 6: LEGAL RECORDS).
c)Destroy in office recordings not required to support known
investigations or litigation after 30 days.
d)Destroy in office remaining records after 1 year.
Confidentiality:
G.S. 132-1.7
6 months
157
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
12
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.38 ORDINANCES
Includes code of ordinances.
See the SECURITY PRESERVATION COPIES OF
RECORDS section on page A-15 for instructions on
imaging.
a)Retain in office official copy permanently.
b)Destroy in office ordinance development records when
ordinance is no longer in effect.
c)Destroy in office additional copies (including tabled or
failed ordinances) when reference value ends.±
Agency Policy: Destroy in office after ____________
1.39 PEST CONTROL
Records concerning pest abatement or eradication
programs overseen by the agency.
SEE ALSO: Facility Maintenance, Repair, and Inspection
Records (above).
Destroy in office after 3 years.*
1.40 PHONE LOGS
Records documenting calls placed and received in the
course of conducting agency business.
SEE ALSO: Accounts Payable (STANDARD 2: BUDGET,
FISCAL, AND PAYROLL RECORDS), Voice over Internet
Protocol (VoIP) Records (STANDARD 5: INFORMATION
TECHNOLOGY RECORDS).
Destroy in office after 1 year.
3 months
158
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
13
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.41 POLICIES AND PROCEDURES @
Records documenting the formulation, planning, and
adoption of policies, procedures, and functions of the
agency and its departments. File also includes
organizational charts, reorganization studies, and
similar records describing the arrangement and
administrative structure of the agency.
SEE ALSO: Civil Rights Records (STANDARD 6: LEGAL
RECORDS), Policies and Procedures (Personnel)
(STANDARD 4: HUMAN RESOURCES RECORDS),
Electronic Records Policies and Procedures
(STANDARD 5: INFORMATION TECHNOLOGY
RECORDS).
a)Retain in office records with historical value permanently.
b)Destroy in office remaining records when superseded or
obsolete.
1.42 POLL LIST/REGISTRATION LIST/ROSTER/
AUTHORIZATION TO VOTE (ATV) @
Lists documenting registered electors and votes cast
prior to County Board of Elections taking over
municipal elections. Includes electronic or paper ATV
related records such as ATV books, forms, unused
stickers, lists, registers, indexes, or similar records
used to verify persons are registered voters at each
polling location.
Contact State Archives of North Carolina prior to destroying old
poll books and voter registration books.
Authority:
G.S. 163 Art. 15A
G.S. 163-166.7
08 NCAC 10B .0103
52 USC Chap. 205
1.43 PRICE QUOTATIONS Destroy in office when reference value ends.±
Agency Policy: Destroy in office after ________ ____. 1 year
159
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
14
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.44 PROCLAMATIONS AND ORDERS
Proclamations and orders issued by the governing
board.
a)Retain in office records with historical value permanently.
b)Destroy in office remaining records when reference value
ends.±
Agency Policy: Destroy in office after ________ ____
1.45 PROJECTS @
Includes project correspondence (including e-mail),
feasibility studies, final reports, specifications,
assessments, notices to proceed, cost estimates,
change orders, statements of work, and similar
documentation.
SEE ALSO: Project Documentation (STANDARD 5:
INFORMATION TECHNOLOGY RECORDS).
a)Retain in office records with historical value permanently.
b)Destroy in office remaining records 3 years after
completion of project.
1.46 PROPERTY MANAGEMENT RECORDS
Includes appraisals of the financial valuation of
agency-owned property as well as surveys, plats, and
maps.
SEE ALSO: Facility Maintenance, Repair, and Inspection
Records (above).
Destroy in office when superseded or obsolete.
3 months
160
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
15
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.47 PUBLIC BODIES: AGENDA AND MEETING PACKETS
Includes agendas and copies of supporting
documentation and exhibits submitted and discussed
during meetings of public bodies. Also includes
documentation of outside meetings attended by
agency personnel.
SEE ALSO: Public Bodies: Minutes (below).
a)Retain in office records with historical value permanently.
b)Destroy in office remaining records when reference value
ends.±
Agency Policy: Destroy in office after ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟
1.48 PUBLIC BODIES: APPLICATIONS FOR APPOINTMENT
Applications and related records received from
individuals applying for appointments to serve on
public boards, commissions, councils, and committees.
a)Destroy in office records concerning appointed individuals
1 year after expiration of term.
b)Destroy in office remaining records when reference value
ends.±
Agency Policy: Destroy in office after ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟
1.49 PUBLIC BODIES: APPOINTMENT REPORTS
Includes annual appointment reports filed with the NC
Department of the Secretary of State.
Destroy in office after 2 years. Authority:
G.S. 143-157.1
1.50 PUBLIC BODIES: AUDIO AND VIDEO RECORDINGS OF
MEETINGS
SEE ALSO: Public Bodies: Minutes (below).
Destroy in office after approval of official written minutes.
NOTE: If these serve as the official minutes, as allowed by G.S.
143-318.10(e), their retention should be permanent. These
disposition instructions apply to recordings produced solely for
the purpose of generating official written minutes.
8 years
1 year
161
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
16
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.51 PUBLIC BODIES: CORRESPONDENCE
Records documenting internal and external
communications of governing and advisory board
members. Includes correspondence (including e-mail)
related to decision-making, policy development, and
other high-level planning as well as logistical
communications.
a)Transfer correspondence (including e-mail) with historical
value to History Records (above), after 3 years.
b)Destroy in office remaining records after 3 years.
1.52 PUBLIC BODIES: MEETING NOTICES
Includes notices and regular meeting schedules.
SEE ALSO: Affidavits of Publication (STANDARD 6:
LEGAL RECORDS), Publicity Records (STANDARD 7:
PUBLIC RELATIONS RECORDS).
Destroy in office after 1 year.
1.53 PUBLIC BODIES: MEMBER FILES
Records concerning members of public boards,
commissions, councils, and committees. Includes
codes of conduct, ethics statements, agreements,
notices of resignation, and other related records. Also
includes biographical information and waivers.
SEE ALSO: Oaths of Office (STANDARD 6: LEGAL
RECORDS), Public Bodies: Applications for
Appointment (above).
a)Retain in office records with historical value permanently.
b)Destroy in office 1 year after superseded or obsolete
waivers from board members choosing not to receive
stipend/per diem payments.
c)Destroy in office remaining records 1 year after service
ends.
162
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
17
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.54 PUBLIC BODIES: MINUTES
Includes minutes of the governing board and all
subsidiary and advisory boards. Subsidiary boards are
defined as boards that exercise or are authorized to
exercise legislative, policy-making, quasi-judicial, or
administrative functions. Also includes minutes of
subcommittees of the governing board and its
subsidiary and advisory boards.
See the SECURITY PRESERVATION COPIES OF
RECORDS section on page A-15 for instructions on
imaging.
SEE ALSO: Ordinances (above), Public Bodies: Agenda
and Meeting Packets (above), Public Bodies: Audio and
Video Recordings of Meetings (above), Resolutions
(below).
a)Retain in office permanently official minutes of the
governing board and its subsidiary boards as well as all
attachments necessary to understand the body’s actions.
b)The official minutes of advisory boards may be destroyed
only upon approval by the State Archives of North
Carolina. The State Archives reserves the right to
designate the minutes of any advisory board as
permanent.
c)Destroy in office minutes of committees or subcommittees
when reference value ends, if the minutes or actions and
decisions of the committee are entered as part of the
minutes of the parent board. If minutes or actions and
decisions of the committee or subcommittee in question
are not entered as part of the minutes of the parent board,
the State Archives reserves the right to designate the
minutes as permanent.±
Agency Policy: Destroy in office after ____________
Authority:
G.S. 143-318.10
1.55 RATE AND FEE SCHEDULES @
Records relating to rates, fees, and regulations
concerning agency services.
Destroy in office when superseded or obsolete.
N/A - Retain
Permanently
163
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
18
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.56 REBATE PROGRAM RECORDS
Applications, receipts, and related records concerning
rebate programs sponsored by the agency. These
records document programs and incentivized actions
that residents may opt into.
a)Destroy in office financial records 3 years after approval.*
b)Destroy in office applications 1 year after approval.
c)Destroy in office denied applications when reference value
ends.±
Agency Policy: Destroy in office after ________ _____
1.57 RECORDS MANAGEMENT
Includes correspondence (including e-mail) with state
and/or federal agencies with regards to records
retention. Also includes records disposition
documentation, file plans, and copies of records
retention and disposition schedules.
a)Retain in office documentation concerning the final
disposition of records permanently.
b)Destroy in office remaining records when superseded or
obsolete.
1.58 REFERENCE (READING) FILE
Subject files containing informational copies of records
organized by areas of interest. Also includes materials
that have no regulatory authority for the recipient and
are received from outside the agency or from other
units within the agency as well as reference copies of
documents where another individual or agency is
responsible for maintaining the record copy.
Destroy in office when reference value ends.±
Agency Policy: Destroy in office after ________ ____
1 year
3 years
164
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
19
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.59 REPORTS AND STUDIES @
Records concerning the performance of a department,
program, or project, as well as those created for
planning purposes. Includes all annual, sub-annual, or
irregularly prepared research studies, reports, and
studies generated by an agency or prepared by
consultants hired by the agency. Also includes reports
required to be submitted to the agency.
SEE ALSO: Accident/Incident Reports (STANDARD 8:
RISK MANAGEMENT RECORDS), Audits: Financial
(STANDARD 2: BUDGET, FISCAL, AND PAYROLL
RECORDS), Audits: Performance (above), Budget
Reports (STANDARD 2: BUDGET, FISCAL, AND PAYROLL
RECORDS), Civil Rights Records (STANDARD 6: LEGAL
RECORDS), Financial Reports (STANDARD 2: BUDGET,
FISCAL, AND PAYROLL RECORDS), Grants (above), Lost,
Stolen, or Damaged Property Reports (STANDARD 8:
RISK MANAGEMENT RECORDS), Projects (above),
Public Bodies: Appointment Reports (above), Strategic
Plan (below), and Unemployment Compensation
Reports (STANDARD 4: HUMAN RESOURCES
RECORDS).
a)Retain in office permanently 1 copy of all annual and
biennial reports written by the agency.
b)Retain in office permanently reports and studies prepared
by request of an agency’s governing body or a court.
c)Destroy in office after 3 years reports prepared monthly,
bimonthly, or semi-annually.
d)Destroy in office after 1 year activity reports concerning
workload measurements, time studies, number of jobs
completed, etc., prepared on a daily or other periodic
basis.
e)Destroy in office when superseded or obsolete reports
required to be submitted to the agency.
f)Destroy in office remaining reports and studies when
reference value ends.±
Agency Policy: Destroy in office after ______________.
Retention Note: Reports and studies listed elsewhere in this
schedule should be retained the specified period of time.
3 years
165
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
20
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.60 REQUESTS FOR INFORMATION
Requests received and responses issued by the
agency.
SEE ALSO: Public Records Requests (STANDARD 7:
PUBLIC RELATIONS RECORDS).
Destroy in office after 1 year after resolution.
1.61 REQUESTS FOR PROPOSALS (RFP)
Proposals submitted by vendors in response to
requests from agency. Also includes notices and
evaluations produced by the agency.
SEE ALSO: Bids for Purchase (STANDARD 2: BUDGET,
FISCAL, AND PAYROLL RECORDS), Price Quotations
(above).
Destroy in office when reference value ends.±
Agency Policy: Destroy in office after ________ ____
1.62 RESOLUTIONS
File consists of resolutions indicating date, issues or
policy involved, and appropriate signatures.
See the SECURITY PRESERVATION COPIES OF
RECORDS section on page A-15 for instructions on
imaging.
a)Retain in office permanently one copy of final resolution.
b)Retain in office permanently resolution development
records with historical value.
c)Destroy in office additional copies of resolutions (including
those tabled or failed) along with all remaining
development records when reference value ends.±
Agency Policy: Destroy in office after
3 years
3 months
166
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
21
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.63 STAFF MEETINGS FILE
Records concerning meetings of internal committees,
groups, or task forces along with external meetings
attended by agency personnel. Includes minutes,
agendas, meeting packets, visual aids, presentations,
notes, recordings, and other related records.
a)Retain in office records with historical value permanently.
b)Destroy in office remaining records after 1 year.
1.64 STRATEGIC PLAN @
Long-range plan outlining policies, guidelines, and
plans for future development of the agency. Includes
official copy of strategic plan and all background
surveys, studies, and reports. Also includes business
plans as well as mission statements, goals, and
objectives.
a)Retain in office strategic plans permanently.
b)Destroy in office background surveys, studies, and reports
5 years after adoption of plan.
c)Destroy in office business plans 2 years after execution of
plan.
d)Destroy in office remaining records when superseded or
obsolete.
1.65 SURPLUS PROPERTY
Inventories and reports of agency property to be
surplussed.
Destroy in office 3 years after disposition of property.*
1.66 TRACKING MATERIALS
Records intended to verify the receipt of information,
such as certified mail receipts.
Destroy in office when reference value ends.±
Agency Policy: Destroy in office after ________ ____ 3 years
167
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 1: Administration and Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
22
ITEM #
STANDARD 1: ADMINISTRATION AND MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
1.67 TRAVEL REQUESTS
Requests and authorizations for travel. Includes forms
and itineraries.
SEE ALSO: Price Quotations (above), Travel
Reimbursements (STANDARD 2: BUDGET, FISCAL, AND
PAYROLL RECORDS).
Destroy in office after 1 year.*
1.68 VEHICLE REGISTRATION CARDS
North Carolina registration cards for vehicles in the
agency fleet.
SEE ALSO: Vehicle Titles (STANDARD 6: LEGAL
RECORDS).
Destroy in office when superseded.
1.69 WORK ORDERS
Includes date and location of work, cost of materials
used and labor, type of work performed, and other
related records regarding the repairs of equipment,
facilities, and vehicles.
a)If this is the only record documenting completed work,
follow disposition instructions for Facility Maintenance,
Repair, and Inspection Records (above), or Equipment and
Vehicle Maintenance, Repair, and Inspection Records
(above).
b)Destroy in office remaining records 1 year after work is
completed.*
168
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
2: Budget, Fiscal, and Payroll *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
23
STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS
Records created and accumulated concerning the managerial control, budgeting, disbursement, collection, and accounting of the agency.
Note: Per 26 CFR 1.148-5(d)(6)(iii)(E), all records necessary to support the tax-exempt status of an agency debt issue must be retained for the life of the debt
plus 3 years.
ITEM #
STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
2.01 ACCOUNTS PAYABLE
Records concerning the status of accounts in which
the agency owes money to firms or individuals.
Includes invoices, reimbursements, receipts or bills of
sale, check registers, and subsidiary registers. Also
includes stop payment notices.
a)Destroy in office 5 years after payment documentation of
reimbursement for business expenses to employees.
b)Destroy in office all remaining records 3 years after
payment.*
Retention:
04 NCAC 24D
.0501(a)(3)(I)
2.02 ACCOUNTS RECEIVABLE @
Records concerning receivables owed and collected.
Includes billing statements, records of payment
received, remittances, subsidiary registers,
overpayment or refund records, deposits, fines and
fees assessed, and collection of past due accounts.
Also includes records concerning accounts sent to NC
Debt Setoff Program for collection.
Destroy in office 3 years after collection.* G.S. 105A
169
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
2: Budget, Fiscal, and Payroll *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
24
ITEM #
STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
2.03 ACCOUNTS UNCOLLECTABLE
Records of accounts deemed uncollectable, including
returned checks, write-off authorizations, and other
related records.
Destroy in office 3 years after account is determined to be
uncollectable.*
2.04 ANNUAL BUDGET
Annual budget and budget message submitted to
governing board for approval.
SEE ALSO: Budget Reports (below).
a)Retain in office records with historical value permanently.
b)Destroy in office remaining records after 3 years.
Retention Note: Annual budgets should be entered into the
minutes of the governing board.
Authority:
G.S. 159-11
2.05 ARBITRAGE RECORDS
Records concerning arbitrage rebate calculations and
funds rebated.
Destroy in office 3 years after final redemption date of the
bonds and after all related debts and obligations have been
satisfied.*
Authority:
26 CFR 1.148-3
2.06 AUDITS: FINANCIAL @
Records concerning internal and external audits.
Includes reports, working papers, and related records.
SEE ALSO: Audits: Performance (STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS).
a)Retain in office permanently final reports related to
internal compliance or operational audits or those that
document a significant change in agency practices or have
significant administrative value.
b)Destroy in office after 10 years final reports related to
internal accounting systems and controls and those with
limited administrative value.
c)Destroy in office working papers and remaining records
when superseded or obsolete.*
Authority:
G.S. 159-34
2.07 AUTHORIZATION FORMS
Authorization to purchase materials.
Destroy in office after 3 years.*
170
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
2: Budget, Fiscal, and Payroll *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
25
ITEM #
STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
2.08 BANK STATEMENTS AND RECONCILIATIONS
Includes bank statements, canceled checks, deposit
slips, and reconciliation reports.
Destroy in office after 3 years.*
2.09 BIDS FOR DISPOSAL OF PROPERTY
Records concerning the disposal of surplus property.
Includes information about various disposition
procedures used, such as sealed bids and public
auction.
SEE ALSO: Accounts Receivable (above).
Destroy in office all records after the disposition of property
has been recorded in governing board’s minutes.*
Authority:
G.S. 153A-176
2.10 BIDS FOR PURCHASE
Records documenting quotes to supply products and
services. Includes advertisements, tabulations, awards
letters, records of bids, good faith effort
documentation, and related records concerning
accepted and rejected bids.
a)Transfer records to Contracts, Leases, and Agreements
(STANDARD 6: LEGAL RECORDS) when bid is approved.
b)Destroy in office bid records not awarded or opened after
1 year.*
Authority:
G.S. 143 Article 8
2.11 BOND CLOSING RECORDS
Includes applications, agreements, tax records,
contracts, official statements, legal opinions, rating
letters, public hearing bonds, title insurance, deeds of
trust, and other related records concerning bonds
issued by the agency. Also includes records concerning
expenditure and/or investment of bond proceeds.
Destroy in office 6 years after final maturity.* Authority:
G.S. 159 Article 7
171
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
2: Budget, Fiscal, and Payroll *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
26
ITEM #
STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
2.12 BOND REGISTER
Records of all bonds, notes, and coupons issued by the
agency detailing the purpose of issuance, the date of
issue, serial numbers (if any), denomination, maturity
date, and total principal amount.
Retain in office permanently. Authority:
G.S. 159-130
2.13 BONDS, NOTES, AND COUPONS Destroy in office 1 year from date of payment. Authority:
G.S. 159-139
2.14 BUDGET ADMINISTRATION RECORDS
Records of budget administration. Includes research,
correspondence (including e-mail), and other related
records.
Destroy in office after 2 years.*
2.15 BUDGET EXECUTION RECORDS
Records of authorizations to move funds between
budget codes.
Destroy in office when released from audits.
2.16 BUDGET REPORTS
Includes daily detail reports and monthly budget
reports. Also includes contract budget and
expenditure reports and summaries of tax allocations.
SEE ALSO: Annual Budget (above).
a)Destroy in office daily detail reports after 1 year.*
b)Destroy in office remaining reports after 3 years.*
2.17 BUDGET REQUESTS AND WORKING PAPERS
Includes budget requests, cost estimates,
expenditures, program requests, salary and wage lists,
correspondence (including e-mail), and related
records.
Destroy in office after 3 years.* Authority:
G.S. 159-10
172
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
2: Budget, Fiscal, and Payroll *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
27
ITEM #
STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
2.18 BUDGET RESOLUTIONS AND ORDINANCES
Includes project ordinances, budget resolutions, and
amendments.
SEE ALSO: Public Bodies: Minutes (STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS).
a)Retain official copies in the minutes of the governing
board.
b)Destroy in office remaining copies when reference value
ends.±
Agency Policy: Destroy in office after ________ ____
Authority:
G.S. 159-8
G.S. 159-13
G.S. 159-13.2
G.S. 159-15
2.19 COST ALLOCATION PLANS
Accounting report that calculates and spreads agency-
wide indirect costs to departments and funds that
receive a service from other departments.
Destroy in office after 3 years.*
2.20 CREDIT/DEBIT/PROCUREMENT CARD RECORDS
Records of assignation of agency credit cards and
purchasing cards along with authorization logs.
Destroy in office when superseded or obsolete.* Confidentiality:
G.S. 132-1.2(2)
2.21 DONATIONS AND SOLICITATIONS
Records concerning requests made to agency by
outside organizations. Includes applications and other
related records.
SEE ALSO: Fund Drive and Event Records (STANDARD
7: PUBLIC RELATIONS RECORDS).
a)Destroy in office records supporting approved donations 1
year after payment.
b)Destroy in office rejected applications after 30 days.
2.22 ELECTRONIC FUNDS TRANSFERS (EFT)
Includes forms authorizing electronic transfer of
monies via wire transfer or automated clearing house
(ACH) as well as ACH bank reports.
Destroy in office when superseded or obsolete. Confidentiality:
G.S. 14-113.20
5 years
173
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
2: Budget, Fiscal, and Payroll *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
28
ITEM #
STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
2.23 ESCHEATS AND UNCLAIMED PROPERTY
Records containing information required to be
included in holder reports submitted to the State
Treasurer’s office.
a)Destroy in office after 10 years if report was filed prior to
July 16, 2012.*
b)Destroy in office after 5 years if report was filed on or after
July 16, 2012.*
Authority:
G.S. 116B-60
Retention:
G.S. 116B-73
2.24 FINANCIAL JOURNALS AND LEDGERS a)Destroy in office year-end summaries of receipts and
disbursements after 3 years.*
b)Destroy in office daily, monthly, or quarterly transaction
detail journals and ledgers after 1 year.*
2.25 FINANCIAL REPORTS a)Destroy in office annual financial reports or other reports
generated to inform decision-making after 3 years.*
b)Destroy monthly or quarterly reports generated for
operational purposes after 1 year.
c)Destroy logs and distribution repots generated to track
transactions when released from audits.
2.26 GOVERNMENT EMPLOYEES RETIREMENT SYSTEM
MONTHLY REPORTS
Reports produced by the North Carolina Department
of State Treasurer regarding the Teachers’ and State
Employees’ Retirement System (TSERS) and the Local
Governmental Employees’ Retirement System
(LGERS).
Destroy in office when reference value ends.±
Agency Policy: Destroy in office after ________ ____ 3 years
174
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
2: Budget, Fiscal, and Payroll *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
29
ITEM #
STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
2.27 GRANTS: FINANCIAL @
Records concerning approved federal, state, and
private grants received or issued by the agency.
Includes all relevant accounting, purchasing, payroll,
and other financial records.
SEE ALSO: Grants (STANDARD 1: ADMINISTRATION
AND MANAGEMENT RECORDS).
a)Destroy records supporting the expenditure of federal
funds passed through NC Dept. of Health and Human
Services on a fiscal year basis when the DHHS Office of the
Controller provides written guidance that records are
released from all audits and other official actions.
b)Destroy in office records of state and private grants 5 years
after final financial report is filed.*
c)Destroy in office records of grants funded by local
appropriations and other federal grants 3 years after final
financial report is filed.
d)Destroy in office records not relating to a specific grant or
to grants not funded after 1 year.
Retention Note: According to 2 CFR 200.333(c), records for real
property and equipment acquired with Federal funds must be
retained for 3 years after disposition of the
property/equipment.
Retention:
09 NCAC 03M .0703
2 CFR 200.333
2.28 INVESTMENTS
Includes fund information, portfolio listings and
reports, balance sheets, exchange or consent
instructions, broker confirmations, notices, and other
documentation related to agency investments. Also
includes transaction schedules for projecting revenue
on investments as well as performance investment
reports issued by broker or investment firm.
a)Destroy in office transaction schedules after 2 years.*
b)Destroy in office performance investment reports when
reference value ends.±
Agency Policy: Destroy in office after __________________
c)Destroy in office all remaining records after 3 years.*
Authority:
G.S. 159-30
2 years
175
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
2: Budget, Fiscal, and Payroll *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
30
ITEM #
STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
2.29 LOAN RECORDS
Records concerning loans received by the agency.
Includes documentation of intent to proceed, loan
agreements, promissory notes, letters of credit,
statements, notices of principal and interest due, and
other related records.
Destroy in office 5 years after satisfaction or cancellation of
loan.*
2.30 LOCAL GOVERNMENT COMMISSION FINANCIAL
STATEMENTS
Destroy in office after 3 years.* Authority:
G.S. 159-33
2.31 LONGEVITY PAY Destroy in office after 5 years.* Retention:
04 NCAC 24D .0501(a)
2.32 PAYMENT CARD DATA
Records created in association with payment card
transactions entered by third parties for the purchase
of goods or services from the agency.
Destroy in office after processed.* Confidentiality:
G.S. 132-1.2(2)
G.S. 132-1.10(b)(5)
176
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
2: Budget, Fiscal, and Payroll *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
31
ITEM #
STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
2.33 PAYROLL AND EARNINGS RECORDS
Records containing information such as the name,
Social Security number, number of hours worked,
compensation rate, deductions, and total wages paid
each employee per payroll period. Also includes
employer contributions (e.g., retirement, healthcare)
along with individual and group employee earnings
records and payroll registers showing earnings and
deductions for each pay period.
SEE ALSO: Payroll Deduction Records (below), Time
Sheets, Cards, and Attendance Records (below); for
401(k) and other retirement plan payouts, see
Retirement Records (STANDARD 4: HUMAN
RESOURCES RECORDS).
a)Destroy in office 30 years from date of separation records
necessary for retirement or similar benefits verification.
b)Destroy in office remaining records after 5 years.*
Authority:
29 CFR 516.30(a)
Confidentiality:
G.S. 132-1.10
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
Retention:
04 NCAC 24D .0501(a)
29 CFR 516.5(a)
29 CFR 1627.3(a)
177
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
2: Budget, Fiscal, and Payroll *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
32
ITEM #
STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
2.34 PAYROLL DEDUCTION RECORDS
Records used to start, modify, or stop all voluntary or
required deductions from payroll. Includes tax
withholding (NC-4, W-4), retirement and deferred
compensation, savings plans, insurance, association
dues, orders of garnishment, etc. Used as proof the
employee approved of the deduction(s).
SEE ALSO: Payroll and Earnings Records (above),
Retirement Records (STANDARD 4: HUMAN
RESOURCES RECORDS).
a)Destroy in office tax withholding forms 4 years after
termination of deduction.*
b)Destroy in office authorizations for deductions for
retirement contributions, bank payments, savings plans,
insurance, and dues 2 years after termination of
deduction.
c)Destroy in office remaining records 3 years after
termination of deduction.*
Confidentiality:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
Retention:
IRS Publication 15
29 CFR 516.6(c)(1)
2.35 POWELL BILL RECORDS
Records include certified statements, expenditures
reports, information sheets, financial statements
submitted to the North Carolina Department of
Transportation, and all other related records.
Destroy in office after 3 years.
2.36 PURCHASE ORDERS
Records, forms, packing slips, and attached documents
concerning purchased supplies, equipment, and
services.
SEE ALSO: Grants: Financial (above).
Destroy in office after 3 years.*
Retention Note: Packing slips may be destroyed upon
verification of items received if they are not the only record of
the purchase of the item.
2.37 QUALIFIED PRODUCTS LISTS (QPL)
Records identifying products approved for purchase by
the agency.
Destroy in office 3 years after superseded or obsolete.*
178
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
2: Budget, Fiscal, and Payroll *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
33
ITEM #
STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
2.38 REQUISITIONS
Requests for payment or to acquire goods or services.
SEE ALSO: Inventories (STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS).
Destroy in office after 1 year.*
2.39 SCHOLARSHIP RECORDS
Records concerning scholarships awarded by the
agency. Includes applications, award letters,
conditions and stipulations, agreements and contracts,
disbursement statements, progress reports, and other
related records.
a)Destroy in office after 3 years records documenting the
awarding of scholarships.
b)Destroy in office 1 year after notification of applicant
records concerning applications that are denied by the
agency or awards that are declined by the recipient.
2.40 SHIFT PREMIUM PAY
Authorizations and other related records concerning
employees receiving shift premium pay.
Destroy in office after 5 years.* Retention:
04 NCAC 24D .0501(a)
2.41 STATEMENTS OF BACK PAY
Forms used to determine the gross pay an employee
would have earned during a specified period for back
pay in a grievance decision, settlement agreement, or
other order.
Destroy in office 3 years after payment.*
179
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
2: Budget, Fiscal, and Payroll *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
34
ITEM #
STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
2.42 TAX FORMS
Tax information returns generated by the agency (e.g.,
1098, 1099, W-2, W-3) to be reported to the Internal
Revenue Service and furnished to the other party to
the transaction.
Destroy in office 5 years after submitted to taxpayer and/or
IRS.*
Confidentiality:
G.S. 132-1.10
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
Retention:
04 NCAC 24D .0501(a)
IRS Publication 15
2.43 TAX RETURNS
Tax returns filed by the agency.
Destroy in office 6 years after filed.*
2.44 TIME SHEETS, CARDS, AND ATTENDANCE RECORDS
Records documenting the work hours and attendance
of employees.
SEE ALSO: Payroll and Earnings Records (above).
Destroy in office after 5 years.* Retention:
04 NCAC 24D .0501(a)
29 CFR 516.6(a)(1)
180
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
2: Budget, Fiscal, and Payroll *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
35
ITEM #
STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
2.45 TRAVEL REIMBURSEMENTS
Includes requests and authorizations for
reimbursement for travel and related expenses.
SEE ALSO: Grants: Financial (above), Travel Requests
(STANDARD 1: ADMINISTRATION AND MANAGEMENT
RECORDS).
Destroy in office after 5 years.* Retention:
04 NCAC 24D .0501(a)
2.46 VENDORS
Files maintained on specific vendors authorized or
debarred from doing business with the agency.
Includes name and address, correspondence (including
e-mail), and other related records.
Destroy in office when superseded or obsolete.
181
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
3: GIS *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
36
STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS) RECORDS
Official records received and created by agency geographic information system programs. See G.S. 132-10 for information about providing public access to GIS
databases.
ITEM #
STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS) RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
3.01 GEOGRAPHIC INFORMATION SYSTEM (GIS) CORE
DATA
Geo-referenced data and metadata to facilitate the
management, manipulation, analysis, modeling,
representation, and spatial analysis of complex
problems regarding planning and management of
resources.
Retain in office parcel, boundary, zoning, and orthoimagery
layers (with accompanying data sets) permanently.
Retention Note: Other datasets should be kept according to
standards and procedures set by the North Carolina Geographic
Information Coordinating Council. See also GEOSPATIAL
RECORDS, page A-13.
3.02 GEOGRAPHIC INFORMATION SYSTEM (GIS) DATA
DOCUMENTATION (METADATA)
Records created during development or modification
of an automated system which are necessary to
access, retrieve, manipulate, and interpret data in that
system; and records that explain the meaning,
purpose, structure, local relationships, and origin of
the data elements. Includes data element
dictionaries, file layout, codebooks and tables, and
definition files.
Destroy in office when the system is discontinued or when
system data has been transferred to a new operating
environment (platform).
182
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
3: GIS *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
37
ITEM #
STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS) RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
3.03 GEOGRAPHIC INFORMATION SYSTEM (GIS) INTERNAL
STANDARDS AND PROCEDURES
Includes requirements that are intended to make
hardware, software, and data compatible and that
cover data capture, accuracy, sources, base categories,
output, and data element dictionaries.
Retain in office permanently.
3.04 GEOGRAPHIC INFORMATION SYSTEM (GIS)
MONITORING RECORDS
Includes system security, quality assurance,
transaction tracking, and other related activity
monitoring records.
Destroy in office after 1 year.
3.05 GEOGRAPHIC INFORMATION SYSTEM (GIS)
OPERATIONAL RECORDS
Includes user guides, system flowcharts, job or
workflow records, system specifications, and similar
documentation.
Destroy in office when the system is discontinued or when
system data has been transferred to a new operating
environment (platform).
3.06 GEOGRAPHIC INFORMATION SYSTEM (GIS) PROJECT
RECORDS
a)Retain in office GIS datasets and accompanying
documentation (metadata) with historical and/or legal
value permanently.
b)Destroy in office remaining items when reference value
ends.±
Agency Policy: Destroy in office after _________________
183
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
3: GIS *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
38
ITEM #
STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS) RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
3.07 LAYERS: ADDRESS POINTS
See also GEOSPATIAL RECORDS, page A-13.
Paper: Retain in office permanently.
GIS dataset: Create a snapshot of dataset annually. To
maintain permanently,
Either: Transfer snapshot to NCOneMap according to
established procedures, complying with standards and
procedures adopted by the North Carolina Geographic
Information Coordinating Council.
Or: If retained in office, your agency must comply with
standards (for metadata, file naming, data sharing, and
long term preservation) and procedures adopted by the
North Carolina Geographic Information Coordinating
Council.
3.08 LAYERS: CORPORATE LIMITS
See also GEOSPATIAL RECORDS, page A-13.
Paper: Retain in office permanently.
GIS dataset: Create a snapshot of dataset annually. To maintain
permanently,
Either: Transfer snapshot to NCOneMap according to
established procedures, complying with standards and
procedures adopted by the North Carolina Geographic
Information Coordinating Council.
Or: If retained in office, your agency must comply with
standards (for metadata, file naming, data sharing, and
long term preservation) and procedures adopted by the
North Carolina Geographic Information Coordinating
Council.
184
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
3: GIS *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
39
ITEM #
STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS) RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
3.09 LAYERS: EXTRATERRITORIAL JURISDICTIONS
See also GEOSPATIAL RECORDS, page A-13.
Paper: Retain in office permanently.
GIS dataset: Create a snapshot of dataset annually. To
maintain permanently,
Either: Transfer snapshot to NCOneMap according to
established procedures, complying with standards and
procedures adopted by the North Carolina Geographic
Information Coordinating Council.
Or: If retained in office, your agency must comply with
standards (for metadata, file naming, data sharing, and
long term preservation) and procedures adopted by the
North Carolina Geographic Information Coordinating
Council.
3.10 LAYERS: ORTHOIMAGERY
See also GEOSPATIAL RECORDS, page A-13.
Create a snapshot of dataset when created. To maintain
permanently,
Either: Transfer snapshot to NCOneMap according to
established procedures, complying with standards and
procedures adopted by the North Carolina Geographic
Information Coordinating Council.
Or: If retained in office, your agency must comply with
standards (for metadata, file naming, data sharing, and
long term preservation) and procedures adopted by the
North Carolina Geographic Information Coordinating
Council.
185
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
3: GIS *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
40
ITEM #
STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS) RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
3.11 LAYERS: STREET CENTERLINE
See also GEOSPATIAL RECORDS, page A-13.
Paper: Retain in office permanently.
GIS dataset: Create a snapshot of dataset annually. To
maintain permanently,
Either: Transfer snapshot to NCOneMap according to
established procedures, complying with standards and
procedures adopted by the North Carolina Geographic
Information Coordinating Council.
Or: If retained in office, your agency must comply with
standards (for metadata, file naming, data sharing, and
long term preservation) and procedures adopted by the
North Carolina Geographic Information Coordinating
Council.
3.12 MAPPING PROJECT RECORDS
Includes contract maps and all deliverable products for
aerial photography, orthophotography, cartographic,
cadastral, and digital mapping projects.
See also GEOSPATIAL RECORDS, page A-13.
Paper: Retain in office permanently.
GIS dataset: Create a snapshot of dataset annually. To
maintain permanently,
Either: Transfer snapshot to NCOneMap according to
established procedures, complying with standards and
procedures adopted by the North Carolina Geographic
Information Coordinating Council.
Or: If retained in office, your agency must comply with
standards (for metadata, file naming, data sharing, and
long term preservation) and procedures adopted by the
North Carolina Geographic Information Coordinating
Council.
186
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
3: GIS *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
41
ITEM #
STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS) RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
3.13 MAPS: PARCEL
Maps, including cadastral maps, and surveys of
boundaries and measurements of each parcel, and
information about encroachments, right-of-ways, and
structures.
See also GEOSPATIAL RECORDS, page A-13, and
Property Management Records (STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS).
Paper: Destroy in office upon State Archives approval.
GIS dataset: Create a snapshot of dataset quarterly. To
maintain permanently,
Either: Transfer snapshot to NCOneMap according to
established procedures, complying with standards and
procedures adopted by the North Carolina Geographic
Information Coordinating Council.
Or: If retained in office, your agency must comply with
standards (for metadata, file naming, data sharing, and
long term preservation) and procedures adopted by the
North Carolina Geographic Information Coordinating
Council.
3.14 MAPS: PARKS
Includes park boundaries, facilities, landscaping,
topography, and other pertinent information. Also
includes maps and drawings stored and generated by
Geographic Information System (GIS) and computer-
aided design (CAD) systems.
See also GEOSPATIAL RECORDS, page A-13.
Paper: Retain in office permanently.
GIS dataset: Create a snapshot of dataset annually. To maintain
permanently,
Either: Transfer snapshot to NCOneMap according to
established procedures, complying with standards and
procedures adopted by the North Carolina Geographic
Information Coordinating Council.
Or: If retained in office permanently, your agency must
comply with standards (for metadata, file naming, data
sharing, and long term preservation) and procedures
adopted by the North Carolina Geographic Information
Coordinating Council.
187
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
3: GIS *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
42
ITEM #
STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS) RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
3.15 MAPS: ALL OTHER @
Includes field maps, soil, topographic, sales,
subdivision plats, right-of-way, sectional, highway, etc.
Also includes paper maps.
a)Retain in office maps, including GIS datasets and
accompanying documentation (metadata), with historical
and/or legal value permanently.
b)Destroy in office remaining items when reference value
ends.±
Retention note: Contact the State Archives of North
Carolina before destroying any tax maps, watershed maps,
or zoning maps.
Agency Policy: Destroy in office after 7 years
188
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
43
STANDARD 4: HUMAN RESOURCES RECORDS
Official records and materials created and accumulated incidental to the employment, qualifications, training, and pay status of agency employees. Comply
with applicable provisions of G.S. 115C Article 21A (LPSUs), G.S. 122C-158 (area authorities), G.S. 130A-45.9 (public health authorities), G.S. 153A-98 (county),
G.S. 160A-168 (municipal), G.S. 161E-257.2 (public hospitals), and G.S. 162A-6.1 (water and sewer authorities) regarding confidentiality of personnel records.
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.01 ABOLISHED POSITIONS
Records concerning positions that have been
abolished.
Destroy in office after 1 year.
4.02 ADMINISTRATIVE INVESTIGATIONS
Records concerning the investigation of conduct
problems among agency personnel.
SEE ALSO: Disciplinary Actions (below).
a)Destroy in office after 3 years records concerning
complaints against agency personnel that are resolved
without an internal investigation.
b)Destroy in office after 5 years records concerning
complaints lodged against agency personnel that are
exonerated.
c)Destroy in office 5 years after final disposition or expiration
of relevant statute of limitations complaints lodged against
agency personnel that are settled out-of-court.
d)Transfer investigation reports, disciplinary actions, and
other related internal affairs case records to Personnel
Records (Official Copy) (below).
Confidentiality:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
189
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
44
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.03 APPLICATIONS FOR EMPLOYMENT
Records submitted by job applicants for vacant
positions or by current employees for promotion,
transfer, or training opportunities. Includes
applications, transcripts, resumes, letters of reference,
and other related records.
a)Transfer applications, resumes, transcripts, and similar
records as applicable to Personnel Records (Official Copy)
(below) or Seasonal and Contract Worker Records (below).
b)Destroy in office after 2 years unsolicited application
materials from individuals hired.
c)Destroy in office records concerning 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.*
d)Destroy in office 2 years after receipt unsolicited
applications/resumes and those received after posted
closing dates.
Confidentiality:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
Retention:
29 CFR 1602.31
4.04 APPRENTICESHIP PROGRAM RECORDS
Records concerning registered apprenticeship
programs. Includes applications and selection
materials as well as aggregated data. Also includes
apprenticeship affirmative action plans.
Destroy in office 5 years after the making of the record or the
personnel action involved, whichever occurs later.
Authority:
29 CFR 30.4(a)
29 CFR 1602.20
Retention:
29 CFR 30.12(d)
29 CFR 1602.21
190
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
45
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.05 APTITUDE AND SKILLS TESTING RECORDS
Records concerning aptitude and skills tests required
of job applicants or of current employees to qualify for
promotion or transfer. Includes civil service
examinations.
SEE ALSO: Employment Selection Records (below).
Destroy in office after 2 years. Confidentiality:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
Retention:
29 CFR 1602.31
29 CFR 1627.3(b)(1)(iv)
4.06 ASBESTOS TRAINING
Records concerning training programs about the
proper management of asbestos.
SEE ALSO: Bloodborne Pathogen Training (below),
Hazardous Materials Training Records (below).
a)Destroy in office employee-specific records 1 year after
separation.
b)Destroy in office remaining records when superseded or
obsolete.
Retention:
29 CFR
1910.1001(m)(4)
191
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
46
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.07 BENEFITS RECORDS
Records concerning life, health, accident, and disability
insurance plans as well as seniority and merit systems.
Includes records concerning systems in which
employees can select fringe benefits from a cafeteria
plan, including flexible spending plans. File also
includes notifications, election and claim forms,
rejection letters, and other records related to COBRA
(Consolidated Omnibus Budget Reconciliation Act).
a)Destroy in office approved claims forms after 2 years.*
b)Destroy in office rejected requests 6 months after decision.
c)Destroy in office 3 years after employee returns or
eligibility expires notifications to employees or dependents
informing them of their rights to continue insurance
coverage after termination or during disability or family
leave.
d)Destroy in office remaining records 1 year after plan is
terminated.
Retention:
29 CFR 1627.3(b)(2)
4.08 BLOODBORNE PATHOGEN TRAINING
Includes records showing date of training, sessions,
contents or summaries of sessions, names of
employees attending, and names and qualifications of
instructors.
SEE ALSO: Asbestos Training (above), Hazardous
Materials Training Records (below).
Destroy in office after 3 years. Retention:
29 CFR
1910.1030(h)(2)(ii)
4.09 DIRECTORIES, ROSTERS, OR INDICES
Includes records listing employees, their job titles,
work locations, phone numbers, e-mail addresses, and
similar information.
Destroy in office when superseded or obsolete.
192
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
47
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.10 DISABILITY SALARY CONTINUATION CLAIMS
Forms used by disabled employees to apply for salary
continuation benefits. Also include short-term
disability claims forms and other related records.
a)Transfer original forms to Local Government Employees’
Retirement System (LGERS) or Teachers’ and State
Employees’ Retirement System (TSERS) for action when
received.
b)Destroy in office remaining records after 3 years.
4.11 DISCIPLINARY ACTIONS
Correspondence (including e-mail) and other records
concerning disciplinary actions taken against
employees by personnel or supervisory staff, including
records documenting terminations. Includes records
created by civil service boards when considering, or
reconsidering on appeal, an adverse action against an
employee.
a)Transfer records as applicable to Personnel Records
(Official Copy) (below).
b)Destroy in office all remaining records 2 years after
resolution of all actions.
Authority:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
Retention:
29 CFR 1602.31
Subject to the public
information provision
delineated in the above
authorities.
193
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
48
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.12 DUAL EMPLOYMENT
Records concerning employees’ requests and
authorizations to accept employment with another
local government agency.
SEE ALSO: Secondary Employment (below).
a)Destroy in office approved requests and related records 1
year after employee terminates additional employment.
b)Destroy in office denied requests and related records after
6 months.
4.13 EDUCATIONAL LEAVE AND REIMBURSEMENT
Includes records requesting educational leave and
tuition assistance, reimbursements, and other related
records.
SEE ALSO: Leave Records (below).
a)Transfer records documenting approved leave requests to
Personnel Records (Official Copy) (below).
b)Destroy in office records concerning denied requests 6
months after denial.*
c)Destroy in office records concerning approved tuition
reimbursements 3 years after reimbursement.*
Confidentiality:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
4.14 EMPLOYEE ASSISTANCE PROGRAMS
Records documenting assistance and counseling
opportunities. Includes requests for information,
referrals, forms, releases, correspondence, and other
related records.
Destroy in office after 3 years. Confidentiality:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
194
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
49
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.15 EMPLOYMENT ELIGIBILITY RECORDS
Includes the I-9 forms, employment authorization
documents filed with the U.S. Department of Labor,
petitions filed by the agency, E-Verify documentation,
and Selective Service Registration compliance forms.
a)I-9 forms have mandatory retention throughout the
duration of an individual’s employment. After separation,
destroy records in office 3 years from date of hire or 1 year
from separation, whichever occurs later.
b)Destroy in office after 5 years employment authorization
documents filed with the U.S. Department of Labor.
c)Destroy in office immigrant or nonimmigrant petitions filed
by the agency 3 years after employee separation.
d)Destroy in office remaining records 1 year after employee
separation.
Confidentiality:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
Retention:
8 USC 1324a(b)(3)
4.16 EMPLOYMENT SELECTION RECORDS
Records concerning the selection of applicants for
vacant positions or of current employees for
promotion, transfer, or training opportunities.
Includes interview documentation, rosters, eligibility
lists, test ranking sheets, justification statements,
background and criminal history checks, and similar
records.
SEE ALSO: Applications for Employment (above),
Aptitude and Skills Testing Records (above).
a)Destroy in office background and criminal history checks
after 5 years.
b)Destroy in office remaining records 2 years after hiring
decision.*
Confidentiality:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
Retention:
29 CFR 1602.31
29 CFR 1627.3(b)(1)
195
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
50
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.17 EXIT INTERVIEW RECORDS
Includes feedback from employees planning to
separate from the agency.
Destroy in office after 1 year. Confidentiality:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
4.18 FAMILY MEDICAL LEAVE ACT (FMLA) RECORDS
Records concerning leave taken, premium payments,
employer notice, medical examinations considered in
connection with personnel action, disputes with
employees over FMLA, and other related records.
SEE ALSO: Leave Records (below).
Destroy in office 3 years after leave ends.* Authority:
29 CFR 825.110
Confidentiality:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
Retention:
29 CFR 825.500(b)
196
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
51
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.19 GRIEVANCES
Includes initial complaint by employee, investigation,
action, summary, and disposition.
SEE ALSO: Disciplinary Actions (above), Personnel
Records (Official Copy) (below).
Destroy in office after 2 years.* Confidentiality:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
4.20 HAZARDOUS MATERIALS TRAINING RECORDS
Includes records showing date of training, sessions,
contents or summaries of sessions, names of
employees attending, and names and qualifications of
instructors. May also include documentation of loans
of radioactive materials for the purpose of training
exercises.
SEE ALSO: Asbestos Training (above), Bloodborne
Pathogen Training (above).
Destroy in office after 5 years. Authority:
29 CFR
1910.120(p)(8)(iii)
10A NCAC 15
4.21 INTERNSHIP PROGRAM
Records concerning interns and students who work for
the agency.
Destroy in office after 2 years.
4.22 LAW ENFORCEMENT TRAINING
Records concerning internal training for law
enforcement personnel.
Retain in office permanently.
197
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
52
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.23 LEAVE RECORDS
Records concerning employee leave, including
requests for and approval of sick, vacation, overtime,
buy-back, shared, donated, etc. Also includes records
documenting leave without pay.
SEE ALSO: Educational Leave and Reimbursement
(above), Family Medical Leave Act (FMLA) Records
(above), Military Leave (below).
a)Destroy in office approved requests 3 years after return or
separation of employee.*
b)Destroy in office denied requests after 6 months.
Confidentiality:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
4.24 MEDICAL RECORDS
Records for employees, contractors, and volunteers
concerning asbestos, toxic substances, and
bloodborne pathogen exposure; physical examinations
required by the employer in connection with any
personnel action, including health or physical
examination reports, or certificates created in
accordance with the Americans with Disabilities Act
(ADA); and records of injury or illness. (Does not
include worker’s compensation or health insurance
claim records.)
SEE ALSO: Benefits Records (above), Workers’
Compensation Program Claims (below).
a)Destroy in office exposure records 30 years after date of
exposure.*
b)Destroy in office records pertaining to first-aid job-related
illness and injury after 5 years.
c)Provide medical records to employees who have worked
for less than 1 year at time of separation.
d)Destroy in office after 1 year records concerning physical
examinations or health certificates.
e)Destroy in office remaining records 30 years after
employee separation.
Retention Note: Records must be maintained separately from
an employee’s personnel jacket. If part of a worker’s
compensation claim, follow disposition for Workers'
Compensation Program Claims (below).
Authority:
29 CFR 1910.1020(e)
Confidentiality:
29 CFR 1630.14(c)(1)
29 CFR
1910.1030(h)(1)(iii)
Retention:
29 CFR 1627.3(b)(1)(v)
29 CFR 1910.1020(d)
42 USC 12112(d)(3)
198
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
53
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.25 MILITARY LEAVE
Records concerning military leave, as established by
the Uniformed Services Employment and
Reemployment Rights Act (USERRA).
SEE ALSO: Leave Records (above).
Destroy in office 3 years after leave ends or employee
separates from agency.*
Authority:
5 CFR 1208
4.26 PERFORMANCE REVIEWS
Information used to establish employees’ goals and
primary tasks. Records used to evaluate each
employee’s work performance.
SEE ALSO: Personnel Records (Official Copy) (below).
Destroy in office after 3 years. Confidentiality (applies
only to performance
evaluations):
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 60A-168
G.S. 161E-257.2
G.S. 162A-6.1
4.27 PERSONNEL ACTION NOTICES
Records used to create or change information in the
personnel records of individual employees concerning
such issues as hiring, termination, transfer, pay grade,
and position or job title.
Transfer records to Personnel Records (Official Copy) (below). Subject to the public
information provision
delineated in relevant
General Statutes.
199
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
54
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.28 PERSONNEL RECORDS (OFFICIAL COPY)
Official copy of personnel file maintained on each
permanent and temporary agency employee that is
eligible for benefits. Includes basic employee
information and records and forms relating to the
selection or non-selection, promotion, transfer, leave,
salary, suspension, and termination of employment.
Note: For agencies responsible for maintaining
personnel files for criminal justice officers, please
consult 12 NCAC 09C .0307 for the mandatory records
of certification that must be housed in the personnel
file.
SEE ALSO: Medical Records (above), Seasonal and
Contract Worker Records (below).
a)Destroy in office after 30 years from date of separation
information needed to document: date and amount of
each increase or decrease in salary with that agency; date
and type of each promotion, demotion, transfer,
suspension, separation, or other change in position
classification with that agency; date and general
description of the reasons for each promotion with that
agency; date and type of each dismissal, suspension, or
demotion for disciplinary reasons taken by the agency;
and, if the disciplinary action was a dismissal, a copy of the
written notice of the final decision of the agency setting
forth the specific acts or omissions that are the basis of the
dismissal.
b)Destroy in office information necessary to verify benefits
30 years after date of separation.
c)Destroy in office remaining records when individual
retention periods are reached as noted in individual items
in this Records Retention and Disposition Schedule.
Authority/
Confidentiality:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
4.29 PERSONNEL RECORDS (SUPERVISOR COPY)
Personnel jacket that is often maintained by
supervisors.
a)Transfer records as applicable to Personnel Records
(Official Copy) (above).
b)Destroy in office remaining records when reference value
ends.±
Agency Policy: Destroy in office after _________________
Confidentiality:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
3 years
200
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
55
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.30 POLICIES AND PROCEDURES (PERSONNEL)
Official internal agency personnel policies and
procedures. Also includes agreements and
authorizations required of employees, orientation
materials, and informational data.
SEE ALSO: Civil Rights Records (STANDARD 6: LEGAL
RECORDS), and Workers’ Compensation Program
Administration (below).
a)Retain in office internal agency personnel policies and
procedures permanently.
b)Destroy in office remaining records when superseded or
obsolete.
4.31 POLYGRAPH RECORDS
Includes statements informing employee of the time,
place, and reasons for the test; copy of notice sent to
examiner identifying employee to be tested; and
copies of opinions, reports, or similar records
generated by the examiner and provided to the
agency.
Destroy in office 3 years from the date the test was given, or
from the date the test was requested if no examination was
given.
Confidentiality:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
Retention:
29 CFR 801.30
201
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
56
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.32 POSITION CLASSIFICATION, CONTROL, AND HISTORY
Records concerning personnel actions and position
control, status of each established permanent,
temporary full-time, or part-time position, and other
related topics. Also includes listings providing
classification, titles, and position numbers.
SEE ALSO: Position Descriptions (below).
a)Retain in office records with historical value permanently.
b)Destroy in office remaining records when superseded or
obsolete.
4.33 POSITION DESCRIPTIONS
Includes information on job title, grade, duties, agency
assigned, and responsibilities.
Destroy in office 2 years after superseded. Retention:
29 CFR 1620.32
4.34 POSITION EVALUATIONS
Forms used to evaluate the primary purpose of a
position.
Destroy in office after 1 year.
4.35 RECRUITMENT RECORDS
Includes ads and notices of overtime, promotion, and
training. Also includes employment listings.
Destroy in office 1 year from date of record. Retention:
29 CFR 1627.3(b)
202
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
57
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.36 RETIREMENT RECORDS
Includes descriptive information about retirement
systems along with plans and related records outlining
the terms of employee pension and other deferred
compensation plans, including 401(k).
SEE ALSO: Payroll and Earnings Records; Payroll
Deduction Records (STANDARD 2: BUDGET, FISCAL,
AND PAYROLL RECORDS).
a)Destroy in office descriptive information about retirement
plans 1 year after plan is terminated.
b)Destroy in office records concerning employer-sponsored
retirement plans 7 years after payment.*
c)Transfer Local Governmental Employees’ Retirement
System (LGERS) forms to Department of State Treasurer.
d)Transfer applicable records to Personnel Records (Official
Copy) (above).
Retention:
29 CFR 1627.3(b)(2)
4.37 SEASONAL AND CONTRACT WORKER RECORDS
Records concerning seasonal or contractual
employees who are not provided with or eligible for
benefits.
SEE ALSO: Personnel Records (Official Copy) (above).
Destroy in office 5 years after date of separation. Confidentiality:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
4.38 SECONDARY EMPLOYMENT
Records concerning employees’ requests and
authorizations to accept employment with a private
entity.
SEE ALSO: Dual Employment (above.)
a)Destroy in office approved requests and related records 1
year after employee terminates outside employment.
b)Destroy in office denied requests and related records after
6 months.
203
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
58
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.39 SERVICE AWARDS AND COMMENDATIONS
Includes award and selection committee reports,
nominations, selection criteria, and similar
administrative records relating to employee
recognition or incentive programs.
SEE ALSO: Personnel Records (Official Copy) (above).
Destroy in office 2 years from date of record creation or the
personnel action involved.
4.40 SUGGESTIONS AND SURVEYS
Recommendations and feedback submitted by agency
employees.
Destroy in office after 1 year.
4.41 TRAINING AND EDUCATIONAL RECORDS
Records concerning the delivery of training to agency
personnel. Includes training manuals, syllabi and
course outlines, and other related records. Also
includes employee-specific records (certificates,
transcripts, test scores, etc.) relating to the training,
testing, or continuing education of employees.
SEE ALSO: Conferences and Workshops (STANDARD 7:
PUBLIC RELATIONS RECORDS), Educational Leave and
Reimbursement (above). Other required trainings are
handled in Asbestos Training (above), Bloodborne
Pathogen Training (above), Hazardous Materials
Training Records (above), Law Enforcement Training
(above).
a)Transfer records as applicable to Personnel Records
(Official Copy) (above), if such training and testing is
required for the position held or could affect career
advancement.
b)Destroy in office certifications and other qualifications 5
years after expiration or employee separation.
c)Destroy in office general training materials when
superseded or obsolete.
d)Destroy in office remaining employee-specific records after
1 year.
Retention:
29 CFR 1627.3(b)(1)(iv)
204
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
59
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.42 UNEMPLOYMENT COMPENSATION CLAIMS
Claim forms and other related records concerning
unemployment compensation cases.
Destroy in office after 5 years.* Confidentiality:
G.S. 115C Art. 21A
G.S. 122C-158
G.S. 130A-45.9
G.S. 153A-98
G.S. 160A-168
G.S. 161E-257.2
G.S. 162A-6.1
Retention:
04 NCAC 24D .0501(a)
4.43 UNEMPLOYMENT COMPENSATION REPORTS
Quarterly reports showing month-to-date wages,
month-to-date compensation, year-to-date wages,
and year-to-date compensation for each employee.
May be filed with NC Division of Employment Security.
Destroy in office after 5 years.* Retention:
04 NCAC 24D .0501(a)
4.44 UNEMPLOYMENT INSURANCE
Forms submitted to the Department of Commerce to
report wage records of terminated employees.
Transfer to the N.C. Department of Commerce, Division of
Employment Security.
4.45 VERIFICATION OF EMPLOYMENT RECORDS
Inquiries and responses concerning verification of an
employee’s prior or current employment with the
agency.
Destroy in office after 1 year.
4.46 VOLUNTEER RECORDS
Records concerning individuals who volunteer to assist
with various agency activities.
Destroy in office 2 years after completion of assignment.
205
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
4: HR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
60
ITEM #
STANDARD 4: HUMAN RESOURCES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
4.47 WORK SCHEDULES AND ASSIGNMENTS
Records concerning work, duty, shift, crew, or case
schedules, rosters, or assignments.
Destroy in office after 1 year.
4.48 WORKERS’ COMPENSATION PROGRAM
ADMINISTRATION
Includes program policies, guidelines, and related
administrative documentation.
a)Retain in office records with historical value permanently.
b)Destroy in office remaining records when superseded or
obsolete.
4.49 WORKERS’ COMPENSATION PROGRAM CLAIMS
Records concerning workers’ compensation claims
filed by employees’ supervisors concerning accidental
injuries or illnesses suffered on the job. Includes
Employer’s Report of Injury to Employee (Form 19),
accident investigation reports, medical reports, claim
cost reports, reference copies of medical invoices, and
other related records.
Note: All official copies of claims records should be
transferred to the North Carolina Industrial
Commission in compliance with G.S. 97-92(a).
Destroy in office agency’s working file for workers’
compensation claims by its employees 5 years after employee
returns to work or separates from agency.*
Confidentiality:
G.S. 8-53
G.S. 97-92(b)
206
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
5: IT *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
61
STANDARD 5: INFORMATION TECHNOLOGY (IT) RECORDS
Information technology encompasses all activities undertaken by agency to design, develop, and operate electronic information systems. This section covers
records for which Information Technology personnel are responsible, including administrative records and those used to process data and monitor and control
operations.
Note: Administration, use, and retention of records concerning computer and information security should comply with applicable provisions of G.S. 132-6.1 on
the confidentiality of records regarding “hardware or software security, passwords, or security standards, procedures, processes, configurations, software, and
codes.” (G.S. 132-6.1 (c))
ITEM #
STANDARD 5: INFORMATION TECHNOLOGY RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
5.01 AUDITS: IT SYSTEMS
Records documenting user actions affecting the
contents of monitored systems. Also includes fixity
checks and other periodic tests of data validity.
a)Destroy in office 1 year after superseded or obsolete fixity
check documentation.
b)Destroy in office remaining records after disposition of
record.*
Confidentiality:
G.S. 132-6.1(c)
5.02 COMPUTER AND NETWORK USAGE RECORDS
Records documenting usage of electronic devices and
networks. Includes login files, system usage files,
individual program usage files, and records of use of
the Internet by employees.
Destroy in office after 1 year.
5.03 DATA DOCUMENTATION RECORDS
Records concerning data in automated systems.
Includes data element dictionary, file layout, code
book or table, entity relationships tables, and other
records related to the structure, management, and
organization of data.
Destroy in office 3 years after system is discontinued and/or
replaced.
207
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
5: IT *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
62
ITEM #
STANDARD 5: INFORMATION TECHNOLOGY RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
5.04 DATA MIGRATION RECORDS
Technical records documenting data migrations.
Note: The data itself is subject to the disposition
instructions indicated for its relevant records series;
these are merely records about migrating said data.
Destroy in office 1 year after completion of data migration.
5.05 DATA WAREHOUSES
Federated data gathered by the agency from other
sources for the purposes of comparison and
distribution.
SEE ALSO: Collected Data (STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS).
Destroy in office when superseded or obsolete. Maintain confidentiality
consistent with any
restrictions placed on
the data provider.
5.06 DIGITIZATION AND SCANNING RECORDS
Records concerning data entry and imaging
operations. Includes quality control records.
See also REQUEST FOR DISPOSAL OF ORIGINAL
RECORDS DUPLICATED BY ELECTRONIC MEANS, page
A-21.
Destroy in office 10 days after digitization.
Note: The digital surrogate becomes the record copy and must
be retained according to the disposition instructions for that
record type.
5.07 ELECTRONIC RECORDS POLICIES AND PROCEDURES
Includes procedural manuals as well as an Electronic
Records and Imaging Policy and a Security Backup
Policy.
Destroy in office 3 years after superseded or obsolete. Confidentiality:
G.S. 132-1.7(b)
G.S. 132-6.1(c)
208
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
5: IT *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
63
ITEM #
STANDARD 5: INFORMATION TECHNOLOGY RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
5.08 INFORMATION TECHNOLOGY ASSISTANCE RECORDS
Records documenting troubleshooting and problem-
solving assistance provided by agency information
systems personnel to users of the systems. Includes
help desk assistance requests, resolution records, and
related documentation.
Destroy in office 1 year after work is completed.
5.09 NETWORK AND SYSTEM SECURITY RECORDS
Records documenting cybersecurity efforts. Includes
records concerning firewalls, anti-virus programs,
intruder scanning logs, and other related records.
a)Destroy in office finalized cyber incident reports 5 years
after resolution.
b)Destroy in office after 2 years records documenting
incidents involving unauthorized attempted entry or
probes on data processing systems, IT systems,
telecommunications networks, and electronic security
systems.
c)Destroy in office after 1 year records concerning firewalls,
anti-virus programs, and other related records.
Confidentiality:
G.S. 132-6.1(c)
5.10 NETWORK DIAGRAMS
Records documenting the logical and physical
relationships of network components for purposes of
organization, deployment, troubleshooting,
monitoring of access, and management of day-to-day
operations.
Destroy in office when superseded or obsolete. Confidentiality:
G.S. 132-6.1(c)
209
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
5: IT *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
64
ITEM #
STANDARD 5: INFORMATION TECHNOLOGY RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
5.11 PROJECT DOCUMENTATION
Records created to design, develop, control, or
monitor a specific project or group of IT projects.
Includes statements of work, assessments,
maintenance agreements, and testing records.
SEE ALSO: Projects (STANDARD 1: ADMINISTRATION
AND MANAGEMENT RECORDS).
a)Retain in office permanently records with historical value.
b)Destroy in office remaining records 3 years after
completion of project.
5.12 SOFTWARE LICENSE AND COPYRIGHT PROVISIONS
RECORDS
Records documenting compliance with agency
software license and copyright provisions. Includes
software licenses, correspondence (including e-mail),
and related documentation.
Destroy in office 1 year after software is superseded or
obsolete.
5.13 SYSTEM ACCESS RECORDS
Records documenting access requests and
authorizations, system access logs, and other related
records.
Destroy in office 1 year after superseded or obsolete.
5.14 SYSTEM DOCUMENTATION RECORDS
Records documenting operating systems, application
programs, structure and form of datasets, system
structure, and system-to-system communication.
Includes system overviews, dataset inventories, server
name, IP address, purpose of the system, vendor-
supplied documentation, installed software, and
current source code.
Destroy in office 3 years after superseded or obsolete. Confidentiality:
G.S. 132-1.1(g)
G.S. 132-6.1(c)
210
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
5: IT *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
65
ITEM #
STANDARD 5: INFORMATION TECHNOLOGY RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
5.15 SYSTEM MAINTENANCE RECORDS: HARDWARE
REPAIR OR SERVICE
Records documenting inspections, maintenance, and
repairs of agency computer systems that are owned or
leased. Includes computer equipment inventories and
service records.
SEE ALSO: Equipment and Vehicle Maintenance,
Repair, and Inspection Records (STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS).
a)Destroy in office records documenting routine inspections
and maintenance of equipment after 1 year.
b)Destroy records documenting all other equipment
maintenance and repairs upon the final disposition of the
equipment.
5.16 SYSTEM MAINTENANCE RECORDS: RECORDS
BACKUPS
Records documenting regular or essential system
backups. Includes backup tape inventories, relevant
correspondence (including e-mail), and related
documentation.
See also Security Backup Files as Public Records in
North Carolina: Guidelines for the Recycling,
Destruction, Erasure, and Re-use of Security Backup
Files, available on the State Archives of North Carolina
website.
Destroy in office in accordance with your office’s established,
regular backup plan and procedures.±
Agency Policy: Destroy in office after ___________________
5.17 TECHNICAL PROGRAM DOCUMENTATION
Records concerning program code, program
flowcharts, program maintenance logs, systems
change notices, and other related records that
document modifications to computer programs.
Destroy in office 1 year after superseded or obsolete.
1 year
211
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
5: IT *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
66
ITEM #
STANDARD 5: INFORMATION TECHNOLOGY RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
5.18 VOICE OVER INTERNET PROTOCOL (VoIP) RECORDS
Records concerning line registrations, calls logs, and
voicemail records.
a)Destroy in office records concerning line registration when
superseded or obsolete.
b)Destroy in office call logs after 1 year.
c)Destroy in office voicemail records after 30 days.
5.19 WEB MANAGEMENT AND OPERATIONS RECORDS:
STRUCTURE
Site maps that show the directory structure into which
content pages are organized, and commercial, off-the-
shelf software configuration or content management
system files used to operate the site and establish its
look and feel. Includes server environment
configuration specifications.
SEE ALSO: Website (Electronic) (STANDARD 7: PUBLIC
RELATIONS RECORDS).
Destroy in office when superseded or obsolete.
212
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
6: Legal *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
67
STANDARD 6: LEGAL RECORDS
Official documentation created or accumulated to substantiate the rights, obligations, or interests of the agency or their individual employees or clients.
Please note the confidentiality that G.S. 132-1.1(a) confers to communications by legal counsel expires three years after receipt of such communication.
ITEM #
STANDARD 6: LEGAL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
6.01 AFFIDAVITS OF PUBLICATION
Proof of publication provided by newspapers
regarding publication of ordinances, public hearings,
bid solicitations, payment of bills, public sales, etc.
SEE ALSO: Public Bodies: Meeting Notices (STANDARD
1: ADMINISTRATION AND MANAGEMENT RECORDS).
a)Retain in office permanently if record provides sole
evidence of publication.
b)Destroy in office remaining records after 3 years.*
Authority:
G.S. 1-600
6.02 ANNEXATION RECORDS
Records concerning annexation of property into the
city. Includes petitions, reports, correspondence
(including e-mail), maps, ordinances, and public
hearings.
a)Destroy in office withdrawn petitions after 1 year.
b)Retain remaining records in office permanently.
Retention Note: Annexation maps and ordinances must be filed
with the County Register of Deeds office and the office of the
Secretary of State (G.S. 160A-29, G.S. 160A-58.61 and G.S.
160A-58.90). A map must also be filed with the county board of
elections (G.S. 163-288.1).
6.03 AUTHENTICATIONS
Certificates of authentication issued by the agency.
Retain in office permanently.
213
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
6: Legal *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
68
ITEM #
STANDARD 6: LEGAL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
6.04 CIVIL RIGHTS CASE RECORDS
Records concerning discrimination complaints by
employees or former employees and employee
requests for reasonable accommodation. Includes
equal opportunity (EO) complaints.
SEE ALSO: Constituent Comments, Complaints,
Petitions, and Service Requests (STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS),
Personnel Records (Official Copy) (STANDARD 4:
HUMAN RESOURCES RECORDS).
a)Destroy in office requests for reasonable accommodation 2
years after they become obsolete.
b)Destroy in office discrimination complaints 1 year after final
disposition of the charge or the action.*
Retention Note: 29 CFR 1602.14 defines final disposition of the
charge or the action as “the date of expiration of the statutory
period within which the aggrieved person may bring an action
in a U.S. District Court or, where an action is brought against an
employer either by the aggrieved person, the Commission, or by
the Attorney General, the date on which such litigation is
terminated.”
Retention:
29 CFR 1602.14
29 CFR 1602.31
214
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
6: Legal *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
69
ITEM #
STANDARD 6: LEGAL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
6.05 CIVIL RIGHTS RECORDS
Records concerning documentation of personnel
policies and procedures to comply with the Age
Discrimination in Employment Act (ADEA), the
Americans with Disabilities Act (ADA), the Equal Pay
Act, the Genetic Information Nondiscrimination Act
(GINA), Section 504 of the 1973 Rehabilitation Act, and
the 1964 Civil Rights Act. Includes reports required by
the Equal Employment Opportunity (EEO) Commission
and affirmative action plans.
SEE ALSO: Civil Rights Case Records (above),
Constituent Comments, Complaints, Petitions, and
Service Requests (STANDARD 1: ADMINISTRATION
AND MANAGEMENT RECORDS), Policies and
Procedures (Personnel) (STANDARD 4: HUMAN
RESOURCES RECORDS).
Destroy in office 3 years after superseded or obsolete. Authority:
29 CFR 1602.1
29 CFR 1602.7
29 CFR 1608.4
Retention:
29 CFR 1602.30
29 CFR 1602.32
34 CFR 104.6(c)(2)
6.06 CONDEMNATION RECORDS
Settled and pending condemnation cases.
SEE ALSO: Accounts Payable (STANDARD 2: BUDGET,
FISCAL, AND PAYROLL RECORDS) for disposition of
financial records.
Retain in office permanently.
215
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
6: Legal *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
70
ITEM #
STANDARD 6: LEGAL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
6.07 CONFLICT OF INTEREST AND CONFLICT OF
COMMITMENT DISCLOSURE STATEMENTS
Completed by the elected agency officials as well as
designated staff members in order to disclose an
official’s status or ownership interests.
Destroy in office 1 year after completion of term or separation.
6.08 CONTRACTS, LEASES, AND AGREEMENTS @
Contracts and agreements for construction,
equipment, property, supplies, special programs, and
projects. Includes franchise agreements, hold
harmless agreements, good faith effort
documentation, contractor compliance monitoring,
leases, and memoranda of understanding.
SEE ALSO: Software License and Copyright Provisions
Records (STANDARD 5: INFORMATION TECHNOLOGY
RECORDS).
a)Retain in office contracts and agreements with historical
value permanently.
b)Destroy in office sealed contract records 10 years after
expiration of contract.*
c)Destroy in office all records related to capital improvement
contracts and business associate agreements 6 years after
completion, termination, or expiration.*
d)Destroy in office records documenting restrictions and
compliance with license and copyright provisions for
products and services purchased by the agency 1 year after
superseded or obsolete.*
e)Destroy in office all other contracts and agreements 3
years after completion, termination, or expiration.*
Retention:
G.S. 1-47(2)
G.S. 1-50(a)(5)
45 CFR 164.316
G.S. 1-52
6.09 DECLARATORY RULINGS
Records concerning declaratory rulings issued by the
agency to interpret statutes or rules as applied to a
specified set of facts.
Retain in office permanently.
216
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
6: Legal *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
71
ITEM #
STANDARD 6: LEGAL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
6.10 DELEGATION OF AUTHORITY RECORDS
Records documenting delegations of power to
authorize agency business. Includes signature
authorities and powers of attorney.
Destroy in office 1 year after superseded or obsolete.
6.11 EASEMENTS AND RIGHT-OF-WAY AGREEMENTS
Granted to the agency.
SEE ALSO: Accounts Payable (STANDARD 2: BUDGET,
FISCAL, AND PAYROLL RECORDS) for disposition of
financial records; LOCAL PROGRAM SCHEDULE,
Excavation Permits and Right-of-Way Acquisition
Working Records (STANDARD 19: STREET
MAINTENANCE, PUBLIC WORKS, AND ENGINEERING
RECORDS).
Destroy in office 10 years after expiration of agreement.
6.12 ENCROACHMENTS
Records concerning agreements granted by or to the
agency. Also includes maps or drawings detailing
construction plans attached to agreements.
a)Retain in office permanently records concerning
agreements granted by outside entities to the agency.
b)Destroy in office when superseded or obsolete records
concerning agreements granted to utilities, businesses,
and private residents to encroach upon agency property.
6.13 EXPUNCTIONS
Expunction orders received by local agencies.
Destroy in office when record is expunged.
217
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
6: Legal *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
72
ITEM #
STANDARD 6: LEGAL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
6.14 INVESTIGATION AND HEARING RECORDS
Records concerning complaints, fraud allegations,
contestments, grievances, and inquiries against
individuals and other entities. Includes summaries,
charges, reports, assessments and findings, hearing
transcripts and evidence, decisions and sanctions,
referrals, correspondence, and other related records.
Destroy in office 3 years after completion.*
6.15 LAND OWNERSHIP RECORDS
Includes deeds and titles.
Destroy in office 1 year after agency relinquishes ownership of
land.*
6.16 LEGAL CORRESPONDENCE
Correspondence (including e-mail) and related records
concerning legal matters not related to specific legal
cases or official opinions.
Destroy in office after 5 years.
For information on handling e-mail, see ELECTRONIC RECORDS,
page A-11.
Confidentiality:
G.S. 132-1.1(a)
6.17 LEGAL OPINIONS
Formal legal opinions written by counsel in response
to requests concerning the governance and
administration of the agency.
Retain in office permanently.
6.18 LEGAL REVIEW RECORDS
Includes legal reviews of by-laws and charges to
boards and commissions, conflicts of interest, and all
other agency matters as requested.
SEE ALSO: Legal Opinions (above).
a)Retain in office records with historical value permanently.
b)Destroy in office remaining records after expiration of
relevant statute of limitations.
Confidentiality:
G.S. 132-1.1(a)
218
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
6: Legal *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
73
ITEM #
STANDARD 6: LEGAL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
6.19 LITIGATION CASE RECORDS
Civil suits to which the agency is a party. Includes
affidavits, agreements, appeals, bills, briefs, citations,
commitments, complaints, discharges, motions,
notices, pleas, releases, statements, testimony,
verdicts, waivers, warrants, and writs.
a)Retain in office cases having precedential or historical
value permanently.
b)Destroy in office adjudicated cases 6 years after final
disposition.
c)Destroy in office non-adjudicated cases (out-of-court
claims) 6 years after final disposition or expiration of
relevant statute of limitations.
Confidentiality:
G.S. 132-1.1(a)
G.S. 132-1.9
6.20 OATHS OF OFFICE
SEE ALSO: Public Bodies: Member Files (STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS).
Transfer official copy of oath of office to the municipal clerk or
the county clerk to the board of commissioners or the clerk of
the governing board for permanent retention.
Retention Note: The Clerk should present a copy of the oaths of
elected officials to the Clerk of Superior Court for recording.
Authority:
G.S. 105-349
G.S. 153A-26
G.S. 160A-61
G.S. 160A-68
G.S. 160A-284
Retention:
G.S. 7A-103(2)
6.21 PERMISSIONS
Records conferring legal permission. Includes
copyright permission requests and requests for
permission to publish intellectual property or holdings
of the agency. Also includes copyrights, patents, and
trademarks held by the agency.
a)Retain in office permanently records conferring perpetual
legal permission as well as records documenting
copyrights, patents, and trademarks held by the agency.
b)Destroy in office 3 years after expiration records
concerning one-time copyright permissions granted by
the agency.
219
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
6: Legal *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
74
ITEM #
STANDARD 6: LEGAL RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
6.22 PRE-TRIAL RELEASE PROGRAM RECORDS
Records documenting supervision for defendants who
do not pose a risk to the community as they await
trial.
Destroy in office 3 years after trial.
6.23 RELEASE FORMS
Records documenting consent and waiving the
individual’s right to hold the agency responsible for
injuries or damages occurring while voluntarily
participating in events or activities.
Destroy in office 5 years after termination of release/waiver.
6.24 SETTLEMENTS
Records concerning pre-litigation or informal
settlements.
Destroy in office 10 years after expiration. Authority:
G.S. 132-1.3
6.25 VEHICLE TITLES
Titles of agency owned vehicles.
Dispose of in accordance with Division of Motor Vehicles
procedures for title transfer upon disposition of vehicle.
Authority:
G.S. 20-72
220
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
7: PR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
75
STANDARD 7: PUBLIC RELATIONS RECORDS
Official records and materials created and accumulated by internal public relations programs operated by the agency.
ITEM #
STANDARD 7: PUBLIC RELATIONS RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
7.01 AGENCY PUBLICATIONS
Publications created at agency expense. Also includes
correspondence and other related records regarding
the design and creation of agency publications.
a)Retain in office records with historical value permanently.
b)Destroy publications management records after 5 years.
c)Destroy in office remaining records when reference value
ends.±
Agency Policy: Destroy in office after _________________
7.02 AUDIO-VISUAL RECORDINGS @
Recordings (including digital) and films produced by or
for the agency. This does not include recordings of
public meetings or security videos.
SEE ALSO: Public Bodies: Audio and Video Recordings
of Meetings (STANDARD 1: ADMINISTRATION AND
MANAGEMENT RECORDS), Office and Property
Security Records (STANDARD 1: ADMINISTRATION
AND MANAGEMENT RECORDS).
a)Retain in office records with historical value permanently.
b)Destroy in office remaining records when reference value
ends.±
Agency Policy: Destroy in office after _________________
7.03 COMMUNITY AWARDS @
Records concerning awards by the agency recognizing
community contributions.
a)Retain in office records with historical value permanently.
b)Destroy in office remaining records when reference value
ends.±
Agency Policy: Destroy in office after _________________
2 years
2 years
2 years
221
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
7: PR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
76
ITEM #
STANDARD 7: PUBLIC RELATIONS RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
7.04 CONFERENCES AND WORKSHOPS @
Records concerning conferences and workshops
conducted by agency employees. Includes slides,
charts, transparencies, handouts, and other related
records used in presentations.
SEE ALSO: Training and Educational Records
(STANDARD 4: HUMAN RESOURCES RECORDS).
a)Retain in office records with historical value permanently.
b)Destroy in office remaining records when superseded or
obsolete.
7.05 EDUCATIONAL MATERIALS
Materials produced for usage by teachers or tour
groups. Includes lesson plans, activities, and other
related records.
Destroy in office when superseded or obsolete.
7.06 FUND DRIVE AND EVENT RECORDS
Records documenting the promotion and organization
of fund drives and other special events in which the
agency participated. Includes records concerning
solicitations requesting and donations providing
money or in-kind donations for agency programs. Also
includes invitations, registration materials, agendas,
handouts, presentations, and programs.
SEE ALSO: Donations and Solicitations (STANDARD 2:
BUDGET, FISCAL, AND PAYROLL RECORDS).
a)Retain in office records with historical value permanently.
b)Destroy in office remaining records when superseded or
obsolete.
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2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
7: PR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
77
ITEM #
STANDARD 7: PUBLIC RELATIONS RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
7.07 INVITATIONS
Invitations sent and received concerning agency and
external functions.
Destroy in office after event occurs.
7.08 MEDIA FILE
Reference copies of newspaper, magazine, and other
media clippings concerning the agency, agency
officials, and other topics of interest.
Destroy in office when reference value ends.±
Agency Policy: Destroy in office after _________________
7.09 POPULAR ANNUAL FINANCE REPORT
Comprehensive annual financial report (CAFR)
a)Retain records with historical value permanently.
b)Destroy in office remaining records when superseded or
obsolete.
7.10 PUBLIC HEARINGS
Includes agendas, minutes, notices, speaker sign-up
sheets, and similar documentation.
SEE ALSO: Public Bodies: Minutes (STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS).
a)Retain in office minutes permanently.
b)Destroy in office remaining records after 1 year.
2 years
223
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
7: PR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
78
ITEM #
STANDARD 7: PUBLIC RELATIONS RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
7.11 PUBLIC RECORDS REQUESTS
Formal requests submitted by persons seeking access
to agency records along with documentation of
agency response.
Destroy in office 2 years after resolution.*
Note: These disposition instructions apply only to the request,
internal agency records related to searching for and preparing
responsive records, and communication of response; the
documents that are responsive to public records requests
should be handled according to their respective disposition
instructions. However, if the agency also retains separate
copies of the documents that are responsive to public records
requests, they may also be destroyed 2 years after completion
of the request.
7.12 PUBLICITY RECORDS @
Records concerning overall public relations of agency.
Includes advertisements, announcements,
correspondence (including e-mail), photographic
materials, news and press releases, and other related
records.
a)Retain in office records with historical value permanently.
b)Destroy in office remaining records when superseded or
obsolete.*
7.13 SOCIAL MEDIA
SEE ALSO: Website (Electronic) (below).
See APPENDIX (page A-12) for guidance in handling social
media.
7.14 SPEECHES
Speeches made by agency officials.
a)Retain in office records with historical value permanently.
b)Destroy in office remaining records when reference value
ends.±
Agency Policy: Destroy in office after _________________
224
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
7: PR *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
79
ITEM #
STANDARD 7: PUBLIC RELATIONS RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
7.15 WEBSITE (ELECTRONIC)
Records created and maintained in paper and
electronic formats concerning the creation and
maintenance of the agency’s presence on the World
Wide Web. Includes correspondence (including e-
mail), procedures, instructions, website designs,
HTML/XHTML, or other web-based file formats, and
other related records.
SEE ALSO: Web Management and Operations Records:
Structure (STANDARD 5: INFORMATION TECHNOLOGY
RECORDS).
a)Capture website annually or whenever a major revision in
design and/or content has taken place, whichever occurs
first. Retain captured content in office permanently. Can
be maintained as website snapshots or via Web crawler.
b)Destroy in office remaining records when superseded or
obsolete.
225
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
8: Risk Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
80
STANDARD 8: RISK MANAGEMENT RECORDS
Official records created and accumulated to manage risks in the agency.
ITEM #
STANDARD 8: RISK MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
8.01 ACCIDENT/INCIDENT REPORTS (CUSTOMER AND
EMPLOYEE)
SEE ALSO: Workers’ Compensation Program Claims
(STANDARD 4: HUMAN RESOURCES RECORDS).
a)Transfer records resulting in workers' compensation to
Workers’ Compensation Program Claims (STANDARD 4:
HUMAN RESOURCES RECORDS).
b)Destroy in office remaining employee claims 3 years after
settlement or denial of claim.*
c)Destroy in office adult non-employee reports 3 years after
settlement or denial of claim.*
d)Destroy in office reports that do not result in claims or
official action after 3 years.
e)Destroy in office reports of minors after minor has reached
age of 21.
8.02 DECLARATIONS AND TERMINATIONS OF STATES OF
EMERGENCY
Retain in office permanently. Authority:
G.S. 166A-19.22
226
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
8: Risk Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
81
ITEM #
STANDARD 8: RISK MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
8.03 DISASTER AND EMERGENCY MANAGEMENT PLANS @
Records concerning preparedness, evacuations, and
operations in the event of a disaster (natural,
accidental, or malicious). Includes background
surveys, studies, reports, and records concerning the
process of notifying personnel in the event of an
emergency. Also includes Continuity of Operations
Plans (COOP) and Business Continuity Plans (BCP).
Destroy in office when superseded or obsolete. Confidentiality:
G.S. 132-1.7
8.04 DISASTER RECOVERY
Administrative records documenting and recovery
efforts for emergencies of a short duration as well as
disasters inflicting widespread destruction and having
long-term consequences for the agency. Includes
documents coordinating activities with federal, state,
and local emergency management, incident reports,
inventories, and disaster relief allocations.
a)Retain in office permanently records documenting major
agency disaster recovery efforts and records evaluating
emergency response and efficacy.
b)Destroy in office after 3 years records concerning minor or
routine agency recovery operations that are managed with
minimal disruption to normal operations.
8.05 EMERGENCY DRILLS AND EQUIPMENT RECORDS
Includes test records for fire suppression, defibrillator,
respirator fit, and other emergency equipment. Also
includes records concerning agency emergency and
fire drills.
Destroy in office when superseded or obsolete.
8.06 EMERGENCY NOTIFICATIONS
Notifications and alerts sent to residents by
Emergency Management or other agency staff
regarding a current emergency.
Destroy in office after 1 year.
227
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
8: Risk Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
82
ITEM #
STANDARD 8: RISK MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
8.07 EMPLOYEE SECURITY RECORDS
Records concerning the issuance of keys, identification
cards, parking assignments, passes, etc., to employees.
SEE ALSO: Office and Property Security Records
(STANDARD 1: ADMINISTRATION AND MANAGEMENT
RECORDS).
Destroy in office when superseded or obsolete.
8.08 FIRE, HEALTH, AND ENVIRONMENTAL SAFETY
RECORDS
Records concerning agency safety measures. Includes
reports, logs, and other related records documenting
inspections of agency facilities.
a)Destroy in office inspection reports after 7 years.
b)Destroy in office safety audits after 3 years.
c)Destroy in office remaining records when superseded or
obsolete.
8.09 FIXED NUCLEAR FACILITIES PLANS FILE
Records concerning emergency plans for county fixed
nuclear facilities.
Destroy in office when superseded or obsolete.
8.10 FUEL OIL STORAGE TANK RECORDS Destroy in office closure records 3 years after completion of
permanent closure.
Authority:
40 CFR 280.34
Retention:
40 CFR 280.74
228
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
8: Risk Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
83
ITEM #
STANDARD 8: RISK MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
8.11 HAZARDOUS MATERIALS MANAGEMENT
Records documenting agency efforts to prevent and
mitigate exposure to hazardous materials. Includes
risk assessments, management plans, and
abatement/removal records.
SEE ALSO: Safety Data Sheets (below).
Note: Title 10A of the NC Administrative Code provides
guidelines about the records requirements for persons
who receive, possess, use, transfer, own or acquire any
sources of radiation within the State of North Carolina.
a)Retain in office permanently records documenting
hazardous waste disposal sites on agency property and
documenting the use of pathogens and biological toxins
(select agents) at the agency.
b)Destroy in office asbestos records 1 year after building is
demolished. (Note: If building is sold, transfer records to
new owner.)
c)Destroy in office after 5 years records concerning the
receipt, maintenance, and disposal of radioactive
materials.
d)Destroy in office 3 years after superseded or obsolete
records concerning hazard mitigation plans.
e)Destroy in office records documenting environmental and
hazardous waste remediation projects 5 years after project
completion.
f)Destroy in office remaining records after 30 years.
Retention:
29 CFR
1910.1001(j)(3)(ii)
229
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
8: Risk Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
84
ITEM #
STANDARD 8: RISK MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
8.12 INSURANCE POLICIES
Records concerning automobile, theft, fire, and all
other insurance policies purchased by agency. Also
includes insurance audits, claims reports, surveys,
endorsements, certificates of insurance, and waivers.
a)Destroy in office records concerning automobile and other
liability insurance policies 10 years after superseded or
obsolete.*
b)Destroy in office certificates of insurance after 1 year.
c)Destroy in office self-insurer certifications 6 years from
date of termination of policy or settlement of all claims.
d)Destroy in office remaining records after 1 year after
superseded or obsolete.
8.13 LOSS CONTROL INSPECTION REPORTS
Self-inspections to identify potential liabilities or
hazards that may exist in agency owned buildings or
property.
Destroy in office when superseded or obsolete.
8.14 LOST, STOLEN, OR DAMAGED PROPERTY REPORTS
Includes reports of property lost or stolen at agency.
Also includes reports and employee narratives of
vandalism to agency property.
Destroy in office after 2 years.*
8.15 NATIONAL FLOOD INSURANCE PROGRAM RECORDS
Records concerning the participation of a local
government agency in FEMA’s National Flood
Insurance Program (NFIP). Includes floodplain
management ordinances, maps, and other related
records.
a)Retain in office permanently floodplain management
ordinances.
b)Destroy in office copies of flood insurance rate maps,
elevation certificates, and elevation information when
superseded or obsolete.
230
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
8: Risk Management *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
@ In some cases, more specific record retention and disposition requirements can be found in the relevant program schedule. See the appendix for pointers to
such records series.
85
ITEM #
STANDARD 8: RISK MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
8.16 OCCUPATIONAL SAFETY AND HEALTH
ADMINISTRATION (OSHA)
Records concerning injury or illness, extent and
outcomes, summary totals for calendar year, and
OSHA forms. Includes ergonomic assessments for
employees.
Destroy in office after 5 years. Retention:
29 CFR 1904.33
29 CFR 1904.44
8.17 SAFETY DATA SHEETS
Forms supplied to agencies from manufacturers and
distributors of hazardous materials for materials held
by the agency.
Destroy in office 30 years after materials have been disposed of
according to manufacturer’s instructions.
Retention Note: A data sheet for a mixture may be discarded if
the new data sheet includes the same hazardous chemicals as
the original formulation. If the formulation is different, both
data sheets must be retained for 30 years. Data sheets may
also be discarded if some other record identifying the
substances used, where they were used, and when they were
used is retained the required 30-year period.
Retention:
29 CFR
1910.1020(d)(1)(ii)(B)
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2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
9: Workforce Development *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL
ACTION, page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
86
STANDARD 9: WORKFORCE DEVELOPMENT RECORDS
Official records created and accumulated by the agency to manage workforce development programs. Relevant legislation includes the Comprehensive
Employment and Training Act, the Job Training and Partnership Act, the Workforce Investment Act, and the Workforce Innovation and Opportunity Act.
ITEM #
STANDARD 9: WORKFORCE DEVELOPMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
9.01 AUDIT/AUDIT RESOLUTIONS
Records concerning reports from financial and
compliance audits conducted on Workforce
Investment Act programs in accordance with OMB
Circular A-133. Includes audit reports and
correspondence concerning audits and audit
resolutions for the local area. Also includes federal
and state audits.
Destroy in office after 3 years. Authority:
OMB Circular A-133
29 CFR 97.26
9.02 LOCAL AREA JOB TRAINING PLAN RECORDS
Records concerning the local board’s bid process for
contracting workforce development programs.
Destroy in office when superseded or obsolete. Authority:
20 CFR 652.8
9.03 PARTICIPANT RECORDS
Records concerning applicants, registrants, eligible
applicants/registrants, participants, terminees, and
employees who submit requests for services of the
Dislocated Workers Program and Workforce
Investment Act programs. Includes applications, client
history, Employability Development Plans, program
referral, monitoring notes, pay authorizations, release
forms, and Workforce Investment Act follow-up
questionnaires.
Destroy in office 3 years after close of audit/final year
expenditure.*
Authority:
20 CFR 652.8
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A-1
MANAGING PUBLIC RECORDS IN NORTH CAROLINA
Q.What is this “records retention and disposition schedule”?
A.This document is a tool for the employees of local government agencies across North Carolina to
use when managing the records in their offices. It lists records commonly found in agency
offices and gives an assessment of their value by indicating how long those records should be
retained. This schedule is also an agreement between your agency and the State Archives of
North Carolina.
This schedule serves as the inventory and schedule that the State Archives of North Carolina is
directed by N.C. Gen. Stat. § 121-5(c) and N.C. Gen. Stat. § 132-8 to provide. It supersedes all
previous editions, including all amendments.
Q.How do I get this schedule approved?
A.This schedule must be approved by your governing body for use in your agency. That approval
should be made in a regular meeting and recorded as an action in the minutes. It may be done
as part of the consent agenda, by resolution, or other action.
Q.Am I required to have all the records listed on this schedule?
A.No, this is not a list of records you must have in your office.
Q.What is “reference value”?
A.Items containing “reference value” in the disposition instructions are generally records that hold
limited value, which is typically restricted to those documenting routine operations within the
office. A minimum retention period should be established by the office for any items containing
the phrase “destroy in office when reference value ends” in the disposition instructions.
Q.Do the standards correspond to the organizational structure of my agency?
A.Records series are grouped into standards to make it easier for users to locate records and their
disposition instructions. You may find that the groupings reflect the organizational structure of
your agency, or you may find that records are located in various standards depending on the
content of the record. The intent of the schedule’s organization is to provide an easy reference
guide for the records created in your agency.
Q.What if I cannot find some of my records on this schedule?
A.Sometimes the records are listed in a different standard than how you organize them in your
office. Be sure to check the Index and utilize the search function on the PDF version of the
schedule to facilitate the location of records series. If you still cannot locate your records on the
schedule, contact a Records Management Analyst. We will work with you to amend this records
schedule so that you may destroy records appropriately. The Request for Change in Records
Schedule form (see page A-19) can be used for such requests.
Q.What are public records?
A.The General Statutes of North Carolina, Chapter 132, provides this definition of public records:
“Public record” or “public records” shall mean 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
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A-2
transaction of public business by any agency of North Carolina government or its
subdivisions. Agency of North Carolina government or its subdivisions shall mean and
include every public office, public officer or official (State or local, elected or appointed),
institution, board, commission, bureau, council, department, authority or other unit of
government of the State or of any county, unit, special district or other political subdivision
of government.
Q.Is any person allowed to see my records?
A.Yes, except as restricted by specific provisions in state or federal law. N.C. Gen. Stat. § 132-6
instructs:
“Every custodian of public records shall permit any record in the custodian’s custody to be
inspected and examined at ± times and under reasonable supervision by any person, and
shall, as promptly as possible, furnish copies thereof upon payment of any fees as may be
prescribed by law. … No person requesting to inspect and examine public records, or to
obtain copies thereof, shall be required to disclose the purpose or motive for the request.”
Q.What about my confidential records?
A.Not all government records are open to public inspection. Exceptions to the access
requirements in N.C. Gen. Stat. § 132-6 and the definition of public records in N.C. Gen. Stat. §
132-1 are found throughout the General Statutes. You must be able to cite a specific provision
in the General Statutes or federal law when you restrict or deny access to a particular record.
Q.Am I required to make available to the public copies of drafts that have not been
approved?
A.Yes, even if a report, permit, or other record has not been finalized, it is still a public record
subject to request. Any record that is not confidential by law must be provided when a request
is received, whether it is “finished” or not.
Q.What do I do with permanent records?
A.Permanent records should be maintained in the office that created the records, forever.
The Department of Natural and Cultural Resources (DNCR) is charged by the General Assembly
with the administration of a records management program (N.C. Gen. Stat. § 121-4 (2) and §
132-8.1) and the maintenance of “a program for the selection and preservation of public records
considered essential to the operation of government and to the protection of the rights and
interests of persons” (§ 132-8.2). Permanent records with these characteristics require
preservation duplicates that are human-readable (paper or microfilm). Some examples of these
characteristics include:
Affect multiple people, without regard to relation
Have significance over a long span of time
Document governance
Document citizenship
Examples of records with these characteristics:
Minutes of governing bodies at the state and local levels are the basic evidence of our system
of governance, and are routinely provided for the public to read.
Records, such as deeds and tax scrolls, about land document changes in ownership and
condition. Counties maintain offices expressly for the purpose of making those records
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A-3
available to the public. Other records in local and state governments document potential
public health hazards, such as hazardous materials spills.
Adoptions, marriages, and divorces document changes in familial relationships. Though
adoptions are confidential (not available for public inspection), they document changes in
inheritance and familial succession.
Court records, such as wills, estates, and capital cases, affect people within and across family
groups, are made available for public inspection, and often involve transactions related to
the examples above.
See the Human-Readable Preservation Duplicates policy issued by the North Carolina
Department of Natural and Cultural Resources (https://archives.ncdcr.gov/government/digital-
records/digital-records-policies-and-guidelines/human-readable-preservation) and check with a
records analyst to determine whether your permanent records require a preservation duplicate.
Q.What is historical value?
A.Historical records document significant events, actions, decisions, conditions, relationships, and
similar developments. These records have administrative, legal, fiscal, or evidential importance
for the government or its constituents. Two criteria for determining historical value are
inherent interest and extraordinary documentation:
•Inherent interest is created by non-routine events, by the involvement of famous parties, and
by compelling contexts. For instance, foreclosure proceedings from the 1930s have high
historical value because they date from the era of the Great Depression.
•Extraordinary documentation is found in records that shed light on political, public, or social
history. For instance, the records from the replevin case that returned the Bill of Rights to
North Carolina hold more historical value than most property case files because of the political
history intertwined with this case.
SANC has further elaborated selection criteria that help distinguish records with historical value:
•Do they protect the rights and property of residents and organizations?
•Do they have a long-term impact on residents and organizations?
•Do they document the core functions of an agency?
•Do they document high-level decision-making that shapes an agency’s policies or initiatives?
•Do they summarize an agency’s activities?
Call a Records Management Analyst for further assistance in assessing historical value.
Q.What if I do not have any records?
A.Nearly every position in government generates, receives, or uses records. Computer files of any
kind, including drafts and e-mail, are public records. Even if your records are not the official or
final version, your records are public records. Not all records have high historical, legal, or fiscal
value, but they all must be destroyed in accordance with the provisions of the appropriate
records schedule.
Q.I have a lot of unsorted records. What’s a good first step for getting a handle on
these records?
A.We encourage you to create a file plan of what records you have. When you create this plan,
you can match each record to its placement on this schedule or on the appropriate retention
schedule. A sample file plan is available on page A-22. Having a file plan can help you strategize
how to best organize your physical or digital records. A file plan is also useful in disaster
planning and scheduling destructions.
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A-4
Q.May I store our unused records in the basement, attic, shed, etc.?
A.Public records are public property. Though we encourage agencies to find places to store
records that do not take up too much valuable office space, the selected space should be dry,
secure, and free from pests and mold. Your office must ensure that records stored away from
your main office area are well protected from natural and man-made problems while remaining
readily available to your staff and the public.
Q.Our old records are stored in the attic, basement, or off-site building, etc. Are
we required to provide public access to these records?
A.Yes, as long as the records are not confidential by law. You should also be aware that
confidentiality can expire.
Q.Aren’t all our old records at the State Archives of North Carolina?
A.Probably not. The State Archives of North Carolina collects only very specific types of records
from local government offices. Contact a Records Management Analyst for more information
about which records are held or can be transferred to the State Archives of North Carolina for
permanent preservation.
Q.I found some really old records. What should I do with them?
A.Call a Records Management Analyst. We will help you examine the records and assess their
historical value.
Q.Can I give my old records to the historical society or public library?
A.Before you offer any record to a historical society, public library, or any other entity, you must
contact a Records Management Analyst. Permanent records must be kept either in your offices
or at the State Archives of North Carolina.
Q.Whom can I call with questions?
A.If you are located west of Statesville, call our Western Office in Asheville at (828) 250-3103. If
you are east of Statesville, all the way to the coast, call our Raleigh office at (919) 814-6900.
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A-5
AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION
Q.Why is there an asterisk in the disposition instructions of so many items on this
schedule?
A.No record involved in a pending or ongoing audit, legal, or other official action may be
destroyed before that audit or action is resolved.
A legal hold or litigation hold means that records that are the subject of the legal hold or
litigation hold must be preserved and thus must not be destroyed until officially released from
the hold. A legal hold or litigation hold is placed when either an official discovery order is served
on the agency requesting the production of the records in question (for a litigation, regulatory
investigation, audit, open records request, etc.) or litigation is pending and the agency is thus on
notice to preserve all potentially relevant records. You must also ensure that for a claim or
litigation that appears to be reasonably foreseeable or anticipated but not yet initiated, any
records (in paper or electronic formats) relevant to such a claim or litigation are preserved and
not destroyed until released by your General Counsel. The records in question must not be
destroyed until the completion of the action and the resolution of all issues that arise from it
regardless of the retention period set forth in this schedule.
We have used an asterisk (*) in the disposition instructions to mark records series that are
commonly audited, litigated, or may be subject to other official actions. However, any record
has this potential. Records custodians are responsible for being aware of potential actions, and
for preventing the destruction of any record that is, or may be reasonably expected to become,
involved in an audit, legal, or other official action.
Records used during routine audits may be destroyed when the governing body accepts the
audit, if the records have completed the retention period listed in this schedule. If time remains
in the retention period, the records must be maintained for the remainder of the period. The
auditor’s working papers must be kept according to the schedule. (See Audits: Performance
(STANDARD 1: ADMINISTRATIVE AND MANAGEMENT RECORDS) and Audits: Financial
(STANDARD 2: BUDGET, FISCAL, AND PAYROLL RECORDS).) Should a dispute arise over an audit,
the records that were audited should be retained until that dispute is resolved.
The attorney representing the agency should inform records custodians when legal matters are
concluded and records will no longer be needed. Following the conclusion of any legal action,
the records may be destroyed if they have met the retention period in the schedule. Otherwise,
they should be kept for the remaining time period.
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TRANSITORY RECORDS
Transitory records are defined as “record[s] that [have] little or no documentary or evidential value and
that need not be set aside for future use.”3
According to North Carolina General Statutes § 121 and § 132, every document, paper, letter, map,
book, photograph, film, sound recording, magnetic or other tape, electronic data processing record,
artifact, or other documentary material, regardless of physical form or characteristics, made or received
in connection with the transaction of public business by any state, county, municipal agency, or other
political subdivision of government is considered a public record and may not be disposed of, erased, or
destroyed without specific approval from the Department of Natural and Cultural Resources.
The Department of Natural and Cultural Resources recognizes that some records may have little or no
long-term documentary or evidential value to the creating agency. These records are often called
“transitory records.” The following questions and answers discuss types of transitory records commonly
created in state government. They may be disposed of according to the guidance below. However, all
public employees should be familiar with the General Records Schedule: Local Government Agencies,
their office’s Program Records Retention and Disposition Schedule, and any other applicable guidelines
for their office. If any of these documents require a different retention period for these records, follow
the longer of the two retention periods. When in doubt about whether a record is transitory, or
whether it has special significance or importance, retain the record in question and seek guidance from
the analyst assigned to your agency.
Q.What do I do with routing slips, fax cover sheets, “while you were out” slips,
memory aids, etc.?
A.Routing slips and transmittal sheets adding no information to that contained in the transmitted
material have minimal value after the material has been successfully transmitted. These records
may be destroyed or otherwise disposed of after receipt of the material has been confirmed.
Similarly, “while you were out” slips, memory aids, and other records requesting follow-up
actions (including voicemails) have minimal value once the official action these records are
supporting has been completed and documented. Unless they are listed on the General
Records Schedule: Local Government Agencies or your office’s Program Records Retention
and Disposition Schedule, these records may be destroyed or otherwise disposed of once
the action has been resolved.
Q.What about research materials, drafts, and other working papers used to create
a final, official record?
A.Drafts and working papers are materials, including notes and calculations, gathered or created
to assist in the creation of another record. All drafts and working papers are public records
subject to all provisions of General Statute § 132, but many of them have minimal value after
the final version of the record has been approved, and may be destroyed after final approval, if
they are no longer necessary to support the analysis or conclusions of the official record. Drafts
and working documents which may be destroyed after final approval include:
•Drafts and working papers for internal and external policies
3 Society of American Archivists, Dictionary of Archives Terminology.
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•Drafts and working papers for internal administrative reports, such as daily and
monthly activity reports
•Drafts and working papers for internal, non-policy-level documents, such as informal
workflows and manuals; and
•Drafts and working papers for presentations, workshops, and other explanations of
agency policy that are already formally documented.
Q.What if I have forms designed and used solely to create, update, or modify
records in an electronic medium?
A.If these records are not required for audit or legal purposes, they may be destroyed in office
after completion of data entry and after all verification and quality control procedures.
However, if the forms contain any analog components that are necessary to validate the
information contained on them (e.g., a signature or notary’s seal), they should be retained
according to the disposition instructions for the records series encompassing the forms’
function.
See also the State Archives of North Carolina’s guidance on digital signatures found at:
https://archives.ncdcr.gov/government/digital-records/digital-records-policies-and-
guidelines#digital-signatures
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DESTRUCTION OF PUBLIC RECORDS
Q.When can I destroy records?
A.Each records series listed on this schedule has specific disposition instructions that indicate how
long the series must be kept in your office. In some cases, the disposition instructions are
“Retain in office permanently,” which means that those records must be kept in your offices
forever.
Q.How do I destroy records?
A.After your agency has approved this records retention and disposition schedule, records should
be destroyed in one of the following ways:
1)burned, unless prohibited by local ordinance;
2)shredded, or torn so as 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 materials concerned;
4)sold as waste paper, provided that the purchaser agrees in writing that the documents or
materials concerned will not be resold without pulverizing or shredding the documents so
that the information contained within cannot be practicably read or reconstructed.
The provision that electronic records are to be destroyed means that the data, metadata,
and physical media are to be overwritten, deleted, and unlinked so that the data and
metadata may not be practicably reconstructed.
The data, metadata, and physical media containing confidential records of any format are to
be destroyed in such a manner that the information cannot be read or reconstructed under
any means.
— N.C. Administrative Code, Title 7, Chapter 4, Subchapter M, Section .0510
Without your agency’s approval of this records schedule, no records may legally be destroyed.
Q.How can I destroy records if they are not listed on this schedule?
A.Contact a Records Management Analyst. An analyst will discuss the nature of the records with
you to determine if the records have historical value. If the records do have historical value, we
will discuss the possibility of transferring the records to the State Archives of North Carolina to
be preserved permanently.
If the records do not have historical value, we will ask you to complete a Request for Disposal of
Unscheduled Records (page A-20) if the records are no longer being created. If the records are
an active records series, an analyst will help you develop an amendment to this schedule so that
you can destroy the records appropriately from this point forward.
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Q.Am I required to tell anyone about the destructions?
A.We recommend that you report on your records retention activities to your governing board on an
annual basis. This report does not need to be detailed, but it is important that significant
destructions be entered into the minutes of the Board. See a sample destructions log that follows
(and is available online at the State Archives of North Carolina website,
https://archives.ncdcr.gov/government/rm-tools).
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archives.ncdcr.gov 4615 Mail Service Center, Raleigh NC 27699-4165 919-814-6900
Destructions Log
County/Municipality
Division Section Branch
Location(s) of
Records
Records Series Required
Retention
Date
Range
Volume
(file drawers
or MB)
Media
(Paper,
Electronic)
Date of
Destruction
Method of
Destruction
Authorization for
Destruction P E
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ELECTRONIC RECORDS:
E-MAIL, BORN-DIGITAL RECORDS, AND DIGITAL IMAGING
Q.When can I delete my e-mail?
A.E-mail is a public record as defined by N.C. Gen. Stat. § 121-5 and § 132. Electronic mail is as
much a record as any paper record and must be treated in the same manner. It is the content
of each message that is important. If a particular message would have been filed as a paper
memo, it should still be filed (either in your e-mail program or in your regular directory
structure), and it should be retained the same length of time as its paper counterparts. It is
inappropriate to destroy e-mail simply because storage limits have been reached. Some
examples of e-mail messages that are public records and therefore covered by this policy
include:
•Policies or directives;
•Final drafts of reports and recommendations;
•Correspondence and memoranda related to official business;
•Work schedules and assignments;
•Meeting agendas or minutes
•Any document or message that initiates, facilitates, authorizes, or completes a business
transaction; and
•Messages that create a precedent, such as issuing instructions and advice.
From the Department of Cultural Resources E-Mail Policy (Revised July 2009),
available at the State Archives of North Carolina website
Other publications (available online at the State Archives of North Carolina website) that will be
particularly helpful in managing your e-mail include tutorials on managing e-mail as a public
record and on using Microsoft Exchange.
Q.May I print my e-mail to file it?
A.We do not recommend printing e-mail for preservation purposes. Important metadata is lost
when e-mail is printed.
Q.I use my personal e-mail account for work. No one can see my personal e-mail,
right?
A.The best practice is to avoid using personal resources, including private e-mail accounts, for
public business. N.C. Gen. Stat. § 132-1 states that records “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” are public records (emphasis added). The fact that
public records reside in a personal e-mail account is irrelevant.
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Q.We have an imaging system. Are we required to keep the paper?
A.You may scan any record, but you will need to receive approval from the Government Records
Section in order to destroy paper originals that have been digitized. Your agency must develop
an electronic records policy and then submit a Request for Disposal of Original Records
Duplicated by Electronic Means. You can find these templates in the Digital Imaging section of
the State Archives of North Carolina website (https://archives.ncdcr.gov/government/digital-
records/digital-records-policies-and-guidelines#digital-imaging). Contact a Records
Management Analyst for further instructions on how to develop a compliant electronic records
policy.
Permanent records must have a security preservation copy as defined by State Archives of
North Carolina’s Human-Readable Preservation Duplicate Policy (N.C. Gen. Stat. § 132-8.2):
Preservation duplicates shall be durable, accurate, complete and clear, and such
duplicates made by a photographic, photo static, microfilm, micro card, miniature
photographic, or other process which accurately reproduces and forms a durable
medium for so reproducing the original shall have the same force and effect for all
purposes as the original record whether the original record is in existence or not. ...
Such preservation duplicates shall be preserved in the place and manner of
safekeeping prescribed by the Department of Natural and Cultural Resources.
The preservation duplicate of permanent records must be either on paper or microfilm.
Non-permanent records may be retained in any format. You will need to take precautions with
electronic records that you must keep more than about 5 years. Computer systems do not have
long life cycles. Each time you change computer systems, you must convert all records to the
new system so that you can assure their preservation and provide access.
Q.Computer storage is cheap. Can I just keep my computer records permanently?
A.The best practice is to destroy all records that have met their retention requirements, regardless
of format.
Q.What are the guidelines regarding the creation and handling of electronic public
records, including text messages and social media?
A.There are numerous documents available on the State Archives of North Carolina website
(https://archives.ncdcr.gov/government/digital-records/digital-records-policies-and-guidelines).
Topics covered include shared storage, cloud computing, e-discovery, trustworthy digital public
records, digital signatures, e-mail, social media, text messages, websites, digital imaging,
metadata, file formats, database indexing, and security backups.
Note that e-mail, text messages, and social media should be handled according to their content.
Therefore, this schedule does not include a records series that instructs you on how to handle
one of these born-digital records by format; instead of focusing on how the information is
disseminated, consider what content is contained in the e-mail, text message, or social media
post. For instance, an e-mail requesting leave that is sent to a supervisor should be kept for 3
years (see Leave Records, STANDARD 4: HUMAN RESOURCES RECORDS).
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GEOSPATIAL RECORDS
Q.Why should geographic information system (GIS) datasets be retained and
preserved?
A.Geospatial records are public records and need to be retained and preserved based on their
legal, fiscal, evidential and/or historical value according to an established retention schedule.
Local agencies involved in GIS operations should work with the State Archives of North Carolina
in order to appraise, inventory, and preserve their geospatial records according to established
best practices and standards to insure both their short- and long-term accessibility.
Due to the complexity and transitory nature of these records, geospatial records retention and
long-term preservation is a community-wide challenge. GIS files have become essential to the
function of many local agencies and will continue to frequently be utilized in agency decision-
making processes in the near and far future. Accessibility of GIS records over time has legal,
fiscal, practical, and historical implications. The availability of GIS records can help safeguard
the local government’s legal and fiscal accountability and aid agencies in conducting
retrospective and prospective studies. These studies are only possible when essential data from
the past are still available.
Q.What GIS datasets should be preserved by local governments?
A.The following types of geospatial records have been designated as having archival value:
•Parcel data
•Street centerline data
•Corporate limits data
•Extraterritorial jurisdiction data
•Zoning data, address points
•Orthophotography (imagery)
•Utilities
•Emergency/E-911 themes
For more information, see STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS) RECORDS.
Q.How often should we capture the datasets retained for their legal, fiscal,
evidential or historical value?
A.Consult the retention schedule for frequency of capture. The frequency of capture is based on
the significance of the record as well as its alterability.
Q.What data formats, compression formats, and media should be used to preserve
the data?
A.Archiving practices should be consistent with North Carolina Geographic Information
Coordinating Council (GICC) approved standards and recommendations. (Examples: Content
Standards for Metadata; Data Sharing Recommendations). Consult the GICC website at
https://it.nc.gov/about/boards-commissions/gicc.
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Q.Who should be responsible for creation and long-term storage of
archived data?
A.The creating agency, NCOneMap, and the State Archives of North Carolina may all have
responsibility for archiving data. If you choose to upload your data to NCOneMap, consult with
your county’s GIS department to determine whether data will be uploaded by your agency or
by the whole county. If you choose not to upload your data to NCOneMap, your agency must
comply with standards (for metadata, file naming, data sharing, and long term preservation)
and procedures adopted by the North Carolina Geographic Information Coordinating Council.
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SECURITY PRESERVATION COPIES OF RECORDS
Q.What is the advantage to having security preservation copies of records stored
with the State Archives?
A.Having duplicate copies of essential records in a separate location mitigates the risk that you
may lose the only physical copy of a given record in a disaster or other records loss event.
Maintaining offsite duplicates of records, regardless of format, is a good practice to adopt.
The State Archives creates duplicate copies on microfilm because of the durability of the
medium. Silver negative microfilm does not decay for hundreds of years, ensuring that your
records maintain their integrity over time.
Q.What records will the State Archives back up for us?
A.The State Archives provides security imaging services for minutes of major decision-making
boards and commissions. We will also image records of adoptions for Social Services agencies as
well as maps and plats from Registers of Deeds offices. Once those records are imaged, they are
converted to security microfilm. We will store the silver negative (original) microfilm in our
security vault. Contact the Records Management Analyst in charge of imaging coordination for
the most current information.
Q.How do I start the process of backing up the above listed records?
A.We have three processes for creating backup film copies of these records. First, you can send
photocopies of your approved minutes to us in the mail. Simply include a copy of the
Certification of the Preparation of Records for Security Preservation Copy form (available
online at the State Archives of North Carolina website) with each shipment. For more detailed
instructions, contact a Records Management Analyst.
Secondly, you can bring us your original books. We will film them and return them to you. This
process is most useful when you have more minutes to film than you are willing to photocopy.
It is important to remember that a representative of your office or ours must transport the
original books in person so that the custody of the records is maintained. You should not mail or
ship your original minutes. Contact the Records Management Analyst in charge of imaging
coordination to schedule an appointment for your books to be imaged. We will make every
effort to expedite the filming so that your books will be returned to you as quickly as possible.
Finally, you can submit these records to the State Archives electronically. Please see our
procedures in “Transfer of Minutes in Digital Formats for Microfilming” or contact the Records
Management Analyst in charge of imaging coordination for more information.
Q.In the event of a records loss, how do I obtain copies of the security preservation
copies stored at the State Archives?
A.Contact the Records Management Analyst in charge of imaging coordination who will help you
purchase copies of the microfilm from our office. You can then send those reels to a vendor
who can either make new printed books or scan the film to create a digital copy.
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Q.Can I obtain digital copies of the security preservation records?
A.Yes, you can request digital copies of records when you submit them to the State Archives for
initial reproduction. Contact the Records Management Analyst in charge of imaging
coordination to initiate a request for digital duplicates.
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DISASTER ASSISTANCE
Q.What should I do in case of fire or flood?
A.Secure the area, and keep everyone out until fire or other safety professionals allow entry.
Then, call our Raleigh office at (919) 814-6903 for the Head of the Government Records Section
or (919) 814-6849 for the Head of the Collections Management Branch. If you’re in the western
part of the state, call our Asheville Office at (828) 250-3103. On nights and weekends, call your
local emergency management office.
DO NOT ATTEMPT TO MOVE OR CLEAN ANY RECORDS.
Damaged records are extremely fragile and require careful handling. Our staff are trained in
preliminary recovery techniques, documenting damage to your records, and authorizing
destruction of damaged records. Professional vendors can handle larger disasters.
Q.What help do you give in case of an emergency?
A.We will do everything we can to visit you at the earliest opportunity in order to provide hands-
on assistance. We can assist you in appraising the records that have been damaged so that
precious resources (and especially time) are not spent on records with lesser value. We can
provide lists of professional recovery vendors that you can contact to preserve your essential
and permanent records.
Q.What can I do to prepare for an emergency?
A.We provide training on disaster preparation that includes a discussion of the roles of proper
inventories, staff training, and advance contracts with recovery vendors. If you would like to
have this workshop presented, call a Records Management Analyst.
Q.W hat are essential records?
A.Essential records are records that are necessary for continuity of operations in the event of a
disaster. There are two common categories of records that are considered essential:
•Emergency operating records – including emergency plans and directives,
orders of succession, delegations of authority, staffing assignments,
selected program records needed to continue the most critical agency
operations, as well as related policy or procedural records.
•Legal and financial rights records – these protect the legal and financial
rights of the Government and of the individuals directly affected by its
activities. Examples include accounts receivable records, Social Security
records, payroll records, retirement records, and insurance records. These
records were formerly defined as “rights-and-interests” records.
Essential records should be stored in safe, secure locations as well as
duplicated and stored off-site, if possible.
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STAFF TRAINING
Q.What types of workshops or training do you offer?
A.We have a group of prepared workshops that we can offer at any time at various locations
throughout the state. Contact a Records Management Analyst if you are interested in having
one of the workshops presented to your agency. We will work with you directly to develop
training suited to your specific needs. Our basic workshops are:
•Managing public records in North Carolina
•Disaster preparedness and recovery
•Confidentiality
•Organizing paper and digital files
•Digital communications
Q.Will you design a workshop especially for our office?
A.Yes, we will. Let a Records Management Analyst know what type of training you need.
Q.Are workshops offered only in Raleigh?
A.No, we will come to your offices to present the workshops you need. We have no minimum
audience requirement. We will also do presentations for professional associations, regional
consortiums, and the public. To arrange a workshop, please call the State Records Center at
919-814-6900 or contact a Records Management Analyst
(https://archives.ncdcr.gov/government/local/analysts).
Q.Is there a fee for workshops?
A.Not at this time.
Q.Are the workshops available in an online format?
A.We can offer a virtual workshop for your agency upon request. For descriptions of available
webinars, see https://archives.ncdcr.gov/government/training/webinars. You can also find
several online tutorials available on the State Archives of North Carolina website
(https://archives.ncdcr.gov/government/training/online-tutorials-and-resources).
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archives.ncdcr.gov 4615 Mail Service Center, Raleigh NC 27699-4165 919-814-6900
GOVERNMENT RECORDS SECTION
STATE RECORDS CENTER
Request for Change in Local Government Records Schedule
Use this form to request a change in the records retention and disposition schedule governing the records of
your agency. Submit the signed original and keep a copy for your file. A proposed amendment will be prepared
and submitted to the appropriate state and local officials for their approval and signature. Copies of the signed
amendment will be sent to you for insertion in your copy of the schedule.
AGENCY INFORMATION
Requestor name
Location and Agency [e.g., County/Municipality + Department of Social Services]
Phone and email
Mailing Address
CHANGE REQUESTED
Specify title and edition of records retention schedule being used: _______________________________
Add a new item Delete an existing item Standard Number Page Item Number
Change a retention period Standard Number Page Item Number
Title of Records Series in Schedule or Proposed Title:
Inclusive Dates of Records: Proposed Retention Period:
Description of Records:
Justification for Change:
Requested by:
Signature Title Date
Approved by:
Signature Requestor’s Supervisor Date
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archives.ncdcr.gov 4615 Mail Service Center, Raleigh NC 27699-4165 919-814-6900
GOVERNMENT RECORDS SECTION
STATE RECORDS CENTER
Request for Disposal of Unscheduled Records
AGENCY INFORMATION
Requestor name
Location and Agency [e.g., County/Municipality + Department of Social Services]
Phone and email
Mailing Address
In accordance with the provisions of N.C. Gen. Stat. § 121 and § 132, approval is requested for the destruction
of records listed below. These records have no further use or value for official administrative, fiscal, historical, or
legal purposes.
RECORDS TITLE
AND DESCRIPTION
INCLUSIVE
DATES
QUANTITY RELEVANT
STATUTORY
REGULATIONS
PROPOSED
RETENTION
PERIOD
Requested by:
Signature Title Date
Approved by:
Signature Requestor’s Supervisor Date
Concurred by:
Signature Assistant Records Administrator
State Archives of North Carolina
Date
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archives.ncdcr.gov 4615 Mail Service Center, Raleigh NC 27699-4165 919-814-6900
GOVERNMENT RECORDS SECTION
STATE RECORDS CENTER
Request for Disposal of Original Records Duplicated by Electronic Means
If you have questions, call (919) 814-6900 and ask for a Records Management Analyst.
This form is used to request approval from the Department of Natural and Cultural Resources to dispose of non-permanent
paper records that have been scanned, entered into databases, or otherwise duplicated through digital imaging or other
conversion to a digital environment. This form does not apply to records that have been microfilmed or photocopied or to
records with a permanent retention.
Agency Contact Name: Date (MM-DD-YYYY):
Phone (area code): Email:
County/Municipality: Office:
Mailing address:
Records Series Title
A group of records as listed
in records retention
schedule
Description of Records
Specific records as referred
to in-office
Inclusive
Dates
(1987-1989;
2005-present)
Approx. Volume
of Records
(e.g. “1 file
cabinet,” “5 boxes”)
Retention
Period
As listed in records
retention schedule
Requested by:
Signature Title Date
Approved by:
Signature Requestor’s Supervisor Date
Concurred by:
Signature Assistant Records Administrator
State Archives of North Carolina
Date
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archives.ncdcr.gov 4615 Mail Service Center, Raleigh NC 27699-4165 919-814-6900
File Plan
County/Municipality
Division Section Branch
Records Series Records Creator
Records Owner
(if record copy is
transferred within the
agency)
Media
(Paper,
Electronic,
Scanned)
Required
Retention Location(s) of Records
P E S
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2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
A-23
Related Records Series Found in Local Agency Program Schedules
In some limited cases, records series with similar names and/or functions that are created and maintained by local government entities have not been
superseded by the General Records Schedule: Local Government Agencies. These records series are described as unique records series in one of the local
program retention schedules issued separately by DNCR for use by specific local agencies. This duplication occurs when records with similar names and/or
functions have different retention guidance due to statutory, legal, evidentiary, or fiscal requirements. An example of this is the accounts receivable records
series. In the General Records Schedule, the Accounts Receivable records series has a disposition instruction of “Destroy in office 3 years after collection.” In
the Local Health Departments Schedule, the Accounts Receivable: Clinical Services records series also includes the disposition instruction, “Destroy records
supporting the expenditure of federal funds passed through NC DHHS on a fiscal year basis when the DHHS Office of the Controller provides written guidance
that records are released from all audits and other official actions.” In both cases, the records series documents the money received by the local agency,
however, the retention requirements for the Accounts Receivable: Clinical Services differ due to specific retention requirements concerning the management
and dispersal of grant funds.
The purpose of this table is to provide a source for determining if the general records series item listed in the General Records Schedule: Local Government
Agencies covers the function and/or retention requirements associated with the records created by your agency or if a specific program schedule applies. This
table provides pointers to the relevant records series that can be found in one or more of the local agency program schedules.
Here’s how to use the table:
•The records series found in the left-most column are listed and described in the General Records Schedule: Local Government Agencies and appear in
this schedule with a @ beside them.
•The middle column lists similar records series from one or more of the schedules that have been issued separately for use by specific local agencies.
•The right-hand column lists the local agency program schedule that includes the records series listed in the middle column. The agencies represented
in the right column include, but are not limited to, local health departments, Registers of Deeds, Sheriff’s offices, local social services agencies, and tax
offices.
If you need further information, please contact a Records Management Analyst.
Local General Schedule Records Series Related Records Series Local Program Schedule
Accounts Receivable Accounts Receivable: Clinical Services Local Health Departments Schedule
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2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
A-24
Local General Schedule Records Series Related Records Series Local Program Schedule
Accounts Receivable (cont.) Accounts Receivable – Client Services LME Schedule
LME-MCO Schedule
Administrative Directives, Regulations, and Rules State Board of Elections Numbered Memos County Board of Elections Schedule
Audits: Financial Clinical Record Audits Local Health Departments Schedule
Clinical Record Audits LME Schedule
Clinical Record Audits LME-MCO Schedule
Audits: Performance Pharmacy Audit Records Local Health Departments Schedule
Blueprints and Specifications Blueprints and Specifications
Project Records – Core
Local Government Agencies Program Schedule
Community Awards Student Awards and Honors Records Local Public School Unit Schedule
Conferences and Workshops Health Promotion Training Records Local Health Departments Schedule
Constituent Comments, Complaints, Petitions, and
Service Requests
Animal Complaint Records
Illegal Dumping File
Violations: Building and Housing
Violations: Solid Waste Management
Complaints (Law Enforcement)
Local Government Agencies Program Schedule
Complaints County Sheriff’s Office
Complaints: All Service Areas County Social Services Agencies Schedule
Animal Complaints Local Health Departments Schedule
Complaints File LME Schedule
Complaints File LME-MCO Schedule
Contracts, Leases, and Agreements School Health Provider Contracts Local Health Departments Schedule
Petroleum Leases Register Register of Deeds Schedule
Disaster and Emergency Management Plans Public Health Emergency Preparedness and
Response Records
Local Health Departments Schedule
Equipment and Vehicle Maintenance, Repair, and
Inspection Records
Equipment and Instrument Maintenance and
Repair File
Local Health Departments Schedule
Autopsy and Surgical Pathology: Instrument
Maintenance Records
Clinical Laboratory Records: Instrument
Maintenance Records
Cytology Records: Instrument Maintenance
Records File
Instrument Maintenance File
Public Hospitals Schedule
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2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
A-25
Local General Schedule Records Series Related Records Series Local Program Schedule
Grants
Grants: Financial
CDBG Records
CDBG Outstanding Loan Balances
CDBG Subject to Reversion of Assets Provisions or
Change of Use of Real Property
Continuum of Care Records
Emergency Solutions Grants Records
Home Investment Partnerships Program Records
Housing Assistance for Persons with Disabilities
Housing Opportunities for Persons with AIDS
Records
Local Government Agencies Program Schedule
Indices Board of Adjustment Case Files and Indexes
Conditional Use Permit Records and Index
Rezoning Records and Indexes
Local Government Agencies Program Schedule
Master Client Identification File (Master Client
Index)
LME Schedule
LME-MCO Schedule
Master Patient Index Public Hospital Schedule
Armed Forces Discharges and Index
Chattel Mortgages and Index
Corporations (Incorporations) Records and Index
Deeds, Record of and Index
Deeds of Trust (Mortgages), Record of and Index
Highway Right-of-Way Maps and Index
Land Sold for Taxes and Index
Merchant Returns and Index
Mineral Rights Records and Index
Notaries Public Records and Index
Official Record Book and Index
Partnerships and Assumed Names Records and
Index
Plats, Maps, and Index
Registration of Titles (Torrens Act) and Index
Surveys, Record of and Index
Timber Marks and Index
Vital Records: Births and Index
Vital Records: Deaths and Index
Vital Records: Delayed Births and Index
Register of Deeds Schedule
Inventories Drug Inventories Local Health Departments Schedule
257
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
A-26
Local General Schedule Records Series Related Records Series Local Program Schedule
Inventories (cont.) Drugs Inventories Public Hospitals Schedule
Maps: All Other Utilities: Maps (Utility Installations & Distributions) Local Government Agencies Program Schedule
Plats, Maps, and Index Register of Deeds Schedule
Maps (Utility Installations and Distributions) Water and Sewer Authorities and Sanitary Districts
Schedule
Policies and Procedures Clinical Policies and Procedures
Laboratory Procedures Manual
Behavioral Health Program Policy and Procedure
Records
Local Health Departments Schedule
Laboratory Procedures/Protocol File Public Hospitals Schedule
Poll List/Registration List/Roster/Authorization to
Vote (ATV)
Poll List/Registration List/Roster/Authorization to
Vote (ATV)
County Board of Elections Schedule
Projects Appraisal Project File
Project Records – Cancelled
Project Records – Core
Project Records – Engineering & Compliance
Local Government Agencies Program Schedule
State Board of Elections Correspondence and
Reports
County Board of Elections Schedule
Water and Wastewater System Project Records Waste and Sewer Authorities and Sanitary Districts
Schedule
Publicity Records Student Publicity Records Local Public School Unit Schedule
Rate and Fee Schedules Fee Schedules Local Health Departments Schedule
Fee Schedules LME Schedule
Fee Schedules LME-MCO Schedule
Recordings:
Customer Call Center Recordings
Audio-Visual Recordings
Traffic Video Recordings and Data
Law Enforcement Audio and Video Recordings
Communication Records
Electronic Recordings of Interrogations
Local Government Agencies Program Schedule
Audio and Video Recordings
Communication Records
Electronic Recordings of Interrogations (Juvenile
and Homicide)
County Sheriff’s Office
258
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
A-27
Local General Schedule Records Series Related Records Series Local Program Schedule
Reports and Studies
(continued on following page)
Land Development and Planning Studies and
Reports
Ambulance Call Reports/Patient Care Reports
North Carolina Fire Incident Report
Pool Records
Environmental: Customer Usage Records
Environmental: Discharge Monitoring Reports
Environmental: Landfill Monitoring Reports
Environmental: Reports Submitted to U.S.
Environmental Protection Agency
Utilities: Daily Water and Wastewater Facility
Operators Logs
Utilities: Service Interruption Records
Utilities: Wastewater Maintenance Operation
Reports
Water Quality: Pretreatment Program Records
Water Quality: Public Water Sanitary Survey
Records
Appraisal Reports
Traffic Analysis
Project Records – Core
Project Records – Engineering & Compliance
Alarm Call Reports
Arrest Reports
Chemical Analysis Records
Crime Analysis Records
Detention Facility Incident Reports
Detention Facility Physical Force Records
Incident Response Reports
Inmate Death Reports
Laboratory Case Records
Multiple Firearms Sales Reports
Multiple Firearms Sales Reports Destruction
Records
Traffic Accident Reports
Local Government Agencies Program Schedule
259
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
A-28
Local General Schedule Records Series Related Records Series Local Program Schedule
Reports and Studies (cont.)
(continued on following page)
Daily Store Reports
Monthly Law Enforcement Activity Reports
Monthly Operating Report to Board
Receiving Report
Sales Reports
Stock Difference Reports
Weekly Warehouse Reports
Alcoholic Beverage Control Boards Schedule
Campaign Contribution and Expenditure Reports
Ballot Reports
State Board of Elections Correspondence and
Reports
Voter Registration Lists and Reports
County Board of Elections Schedule
Alarm Call Reports
Arrest Reports
Detention Facility Incident Reports
DWI Reports
Incident Response Reports
Inmate Death Reports
Traffic Accident Reports
County Sheriff’s Office
Program Time and Activity Reports
Medicare Disbursement Reports
Communicable Disease Reports
Test Reports
Adverse Drug Reaction Reports
Intravenous Hood Performance Reports
Medication Storage Inspection Reports
Local Health Departments Schedule
Medicare Disbursement Reports LME Schedule
LME-MCO Schedule
Admission/Discharge/Transfer Reports
Communicable Disease Reports
Call-In Reports
Adverse Drug Reaction Reports
Intravenous Hood Performance Reports
Medication Storage Inspection Reports
Public Hospitals Schedule
260
2021 GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
A-29
Local General Schedule Records Series Related Records Series Local Program Schedule
Reports and Studies (cont.) Certified Facility Operators Logs and Reports
Discharge Monitoring Reports
Periodic Inspection Reports of Industrial Facilities
Wastewater Maintenance Operation Reports
Waste and Sewer Authorities and Sanitary Districts
Schedule
Strategic Plan Land Development and Planning Studies and
Reports
Parks Planning File
Comprehensive Plan and Amendments
Environmental: Comprehensive Solid Waste
Management Plan and Amendments
Planning File (Street Maintenance)
Local Government Agencies Program Schedule
261
A-30
INDEX
1
1099 FORMS. SEE TAX FORMS
A
ABOLISHED POSITIONS, 43
ABSTRACTS OF MUNICIPAL ELECTIONS, 1
ACCIDENT/INCIDENT REPORTS (CUSTOMER AND
EMPLOYEE), 80
ACCOUNTS PAYABLE, 23
ACCOUNTS RECEIVABLE, 23
ACCOUNTS UNCOLLECTABLE, 24
ACCREDITATION RECORDS, 1
ADDRESS POINTS, 38
ADMINISTRATION AND MANAGEMENT RECORDS, 1
ADMINISTRATIVE DIRECTIVES, REGULATIONS, AND
RULES, 1
ADMINISTRATIVE INVESTIGATIONS, 43
AFFIDAVITS OF PUBLICATION, 67
AGENCY PUBLICATIONS, 75
AMBULANCE SERVICE BILLS AND RECORDS FOR
EMERGENCY MEDICAL SERVICE. SEE ACCOUNTS
PAYABLE
ANNEXATION FILE, 67
ANNUAL BUDGET, 24
APPLICATIONS FOR EMPLOYMENT, 44
APPRENTICESHIP PROGRAM RECORDS, 44
APTITUDE AND SKILLS TESTING RECORDS, 45
ARBITRAGE RECORDS, 24
ASBESTOS MANAGEMENT PLAN. SEE HAZARDOUS
MATERIALS MANAGEMENT
ASBESTOS TRAINING, 45
AUDIO-VISUAL RECORDINGS, 75
AUDITS
FINANCIAL, 24
IT SYSTEMS, 61
PERFORMANCE, 2
AUTHENTICATIONS, 67
AUTHORIZATION FORMS, 24
B
BANK STATEMENTS, 25
BANK STATEMENTS AND RECONCILIATIONS, 25
BENEFITS RECORDS, 46
BENEFITS REIMBURSEMENT PLAN. SEE BENEFITS
RECORDS
BIDS FOR DISPOSAL OF PROPERTY, 25
BIDS FOR PURCHASE, 25
BIOGRAPHICAL DATA. SEE HISTORY RECORDS
BLOODBORNE PATHOGEN TRAINING, 46
BLUEPRINTS AND SPECIFICATIONS, 2
BOND CLOSING RECORDS, 25
BOND REGISTER, 26
BONDS, 3
BONDS, NOTES, AND COUPONS, 26
BUDGET ADMINISTRATION RECORDS, 26
BUDGET EXECUTION RECORDS, 26
BUDGET REPORTS, 26
BUDGET REQUESTS AND WORKING PAPERS, 26
BUDGET RESOLUTIONS AND ORDINANCES, 27
BUDGET, FISCAL, AND PAYROLL RECORDS, 23
BULLETINS, 3
BUSINESS CERTIFICATION RECORDS, 3
BUSINESS DEVELOPMENT SUBJECT FILE, 3
C
CALENDARS OF EVENTS AND APPOINTMENTS, 3
CALL CENTER RECORDINGS. SEE CUSTOMER CALL
CENTER RECORDINGS
CANCELED CHECKS. SEE BANK STATEMENTS AND
RECONCILIATIONS
CASH REPORTS. SEE ACCOUNTS RECEIVABLE
CENSUS PROJECT RECORDS, 3
CHARTER RECORDS, 4
CHECK REGISTERS. SEE BANK STATEMENTS AND
RECONCILIATIONS
CHECK STUBS. SEE BANK STATEMENTS AND
RECONCILIATIONS
CITIZEN COMPLAINTS. SEE CONSTITUENT
COMMENTS, COMPLAINTS, PETITIONS, AND
SERVICE REQUESTS
CIVIL RIGHTS CASE RECORDS, 68
CIVIL RIGHTS RECORDS, 69
COLLECTED DATA, 4
COMMUNITY AWARDS, 75
COMPLAINTS (CONSTITUENTS). SEE CONSTITUENT
COMMENTS, COMPLAINTS, PETITIONS, AND
SERVICE REQUESTS
COMPUTER AND NETWORK USAGE RECORDS, 61
CONDEMNATION RECORDS, 69
CONFERENCES AND WORKSHOPS, 76
CONFLICTS OF COMMITMENT, 70
CONFLICTS OF INTEREST, 70
CONSTITUENT COMMENTS, COMPLAINTS,
PETITIONS, AND SERVICE REQUESTS, 5
CONSTITUENT SURVEYS, 5
CONTRACT BUDGET REPORTS, 26
CONTRACT WORKER RECORDS, 57
CONTRACTS, LEASES, AND AGREEMENTS, 70
262
A-31
CORE DATA (GIS RECORDS). SEE GEOGRAPHIC
INFORMATION SYSTEM (GIS) CORE DATA
CORPORATE LIMITS, 38
CORRESPONDENCE (LEGAL), 72
CORRESPONDENCE AND MEMORANDA, 6
COST ALLOCATION PLANS, 27
CREDIT/DEBIT/PROCUREMENT CARD RECORDS, 27
CUSTOMER CALL CENTER RECORDINGS, 6
D
DAILY DETAIL REPORTS. SEE BUDGET REPORTS
DATA DOCUMENTATION (METADATA) (GIS
RECORDS). SEE GEOGRAPHIC INFORMATION
SYSTEM (GIS) DATA DOCUMENTATION
(METADATA)
DATA DOCUMENTATION RECORDS, 61
DATA MIGRATION RECORDS, 62
DATA WAREHOUSES, 62
DEBIT CARD PAYMENTS. SEE PAYMENT CARD DATA
DEBT FINANCING. SEE LOAN RECORDS
DECLARATORY RULINGS, 70
DELEGATION OF AUTHORITY RECORDS, 71
DEPOSITS. SEE ACCOUNTS RECEIVABLE
DESTRUCTIONS LOG, 10
DETAIL REPORT. SEE FINANCIAL REPORTS
DIGITIZATION AND SCANNING RECORDS, 62
DIRECT DEPOSIT FORMS. SEE ELECTRONIC FUNDS
TRANSFERS
DIRECTORIES, ROSTERS, OR INDICES, EMPLOYEE, 46
DISABILITY SALARY CONTINUATION CLAIMS, 47
DISASTER AND EMERGENCY MANAGEMENT PLANS,
81
DISASTER RECOVERY, 81
DISCIPLINARY ACTIONS, 47
DONATIONS AND SOLICITATIONS, 27
DRUG AND ALCOHOL PROGRAMS FILE. SEE
EMPLOYEE ASSISTANCE PROGRAMS
DUAL EMPLOYMENT, 48
E
EASEMENTS AND RIGHT-OF-WAY AGREEMENTS, 71
EDUCATIONAL ASSISTANCE, EMPLOYEE, 48
EDUCATIONAL LEAVE AND REIMBURSEMENT, 48
EDUCATIONAL MATERIALS, 76
EDUCATIONAL RECORDS, EMPLOYEE, 58
ELECTRONIC FUNDS TRANSFERS, 27
ELECTRONIC RECORDS POLICIES AND PROCEDURES,
62
EMERGENCY DRILLS AND EQUPIMENT RECORDS, 81
EMERGENCY NOTIFICATIONS, 81
EMPLOYEE ASSISTANCE PROGRAMS, 48
EMPLOYMENT ELIGIBILITY RECORDS, 49
EMPLOYMENT SELECTION RECORDS, 49
ENCROACHMENTS, 71
EQUIPMENT AND VEHICLE MAINTENANCE, REPAIR,
AND INSPECTION RECORDS, 6
EQUIPMENT INVENTORIES, 10
EQUIPMENT REFERENCE RECORDS, 7
EQUIPMENT USAGE RECORDS, 7
ESCHEATS AND UNCLAIMED PROPERTY, 28
EXIT INTERVIEW RECORDS, EMPLOYEE, 50
EXPENDITURE REPORTS. SEE BUDGET REPORTS
EXPUNCTIONS, 71
EXTRATERRITORIAL JURISDICTIONS, 39
F
FACILITY MAINTENANCE, REPAIR AND INSPECTION
RECORDS, 7
FACILITY SERVICE AND MAINTENANCE
AGREEMENTS. SEE CONTRACTS, LEASES, AND
AGREEMENTS
FACILITY USAGE RECORDS, 7
FAMILY MEDICAL LEAVE ACT (FMLA) RECORDS, 50
FEE SCHEDULES, 17
FILE PLAN, 22
FINANCIAL JOURNALS AND LEDGERS, 28
FINANCIAL REPORTS, 28
FIRE EXTINGUISHER RECORDS. SEE EMERGENCY
DRILLS AND EQUIPMENT RECORDS
FIRE, HEALTH, AND ENVIRONMENTAL SAFTEY
RECORDS, 82
FIXED ASSETS. SEE INVENTORIES
FIXED NUCLEAR FACILITIES PLANS FILE, 82
FORMS AND TEMPLATES, 7
FUEL OIL STORAGE TANK RECORDS, 82
FUND DRIVE AND EVENT RECORDS, 76
G
GEOGRAPHIC INFORMATION SYSTEM (GIS) CORE
DATA, 36
GEOGRAPHIC INFORMATION SYSTEM (GIS) DATA
DOCUMENTATION (METADATA), 36
GEOGRAPHIC INFORMATION SYSTEM (GIS)
INTERNAL STANDARDS AND PROCEDURES, 37
GEOGRAPHIC INFORMATION SYSTEM (GIS)
MONITORING RECORDS, 37
GEOGRAPHIC INFORMATION SYSTEM (GIS)
OPERATIONAL RECORDS, 37
GEOGRAPHIC INFORMATION SYSTEM (GIS) PROJECT
RECORDS, 37
GEOGRAPHIC INFORMATION SYSTEM (GIS)
RECORDS, 36
263
A-32
GOVERNING AND ADVISORY BODY MEMBER FILES.
SEE PUBLIC BODIES: \MEMBER FILES
GOVERNMENT EMPLOYEES RETIREMENT SYSTEM
MONTHLY REPORTS, 28
GRANT PROPOSALS, 8
GRANTS, 8
FINANCIAL, 29
GRIEVANCES, 51
H
HAZARDOUS MATERIALS MANAGEMENT, 83
HAZARDOUS MATERIALS TRAINING RECORDS, 51
HEALTH CERTIFICATES, EMPLOYEE. SEE MEDICAL
RECORDS
HISTORICAL DESIGNATIONS RECORDS, 9
HISTORY RECORDS (AGENCY AND EMPLOYEES, 9
I
I-9 FORMS. SEE EMPLOYMENT ELIGIBILITY RECORDS
IMAGING RECORDS, 62
IMPROPER CONDUCT INVESTIGATIONS, 9
INDICES, 9
INFORMATION TECHNOLOGY (IT) RECORDS, 61
INFORMATION TECHNOLOGY ASSISTANCE RECORDS,
63
INSPECTION RECORDS. SEE EQUIPMENT AND
VEHICLE MAINTENANCE, REPAIR, AND
INSPECTION RECORDS
INSPECTION RECORDS, FACILITY, 7
INSURANCE POLICIES, 84
INTERAGENCY PROGRAMS, 9
INTERNAL STANDARDS AND PROCEDURES (GIS
RECORDS) \T, 37
INTERNSHIP PROGRAM, 51
INVENTORIES, 10
INVESTIGATION AND HEARING RECORDS, 72
INVESTMENTS, 29
INVITATIONS, 77
INVOICES. SEE ACCOUNTS PAYABLE
IT DISASTER PREPAREDNESS AND RECOVERY PLANS.
SEE DISASTER AND EMERGENCY MANAGEMENT
PLANS
L
LAND OWNERSHIP RECORDS, 72
LAW ENFORCEMENT TRAINING, 51
LEAVE RECORDS, 52
LEGAL OPINIONS, 72
LEGAL RECORDS, 67
LEGAL REVIEW RECORDS, 72
LEGISLATION AND REGULATORY RECORDS, 10
LGERS MONTHLY REPORTS. SEE GOVERNMENT
EMPLOYEES RETIREMENT SYSTEM MONTHLY
REPORTS
LITIGATION CASE RECORDS, 73
LOAN RECORDS, 30
LOCAL GOVERNMENT COMMISSION FINANCIAL
STATEMENTS, 30
LOGISTICS MATERIALS, 10
LONGEVITY PAY, 30
LOSS CONTROL INSPECTION REPORTS, 84
LOST, STOLEN, OR DAMAGED PROPERTY REPORTS,
84
M
MAIL, UNDELIVERABLE/RETURNED, 10
MAILING AND DISTRIBUTION RECORDS, 10
MAINTENANCE RECORDS. SEE EQUIPMENT AND
VEHICLE MAINTENANCE, REPAIR, AND
INSPECTION RECORDS
MAINTENANCE RECORDS, FACILITY, 7
MANAGEMENT STUDIES. SEE REPORTS AND STUDIES
MAPPING PROJECT RECORDS, 40
MAPS
\ALL OTHER, 42
\PARCEL, 41
\PARKS, 41
MAPS (PAPER). SEE MAPS: ALL OTHER
MEDIA FILE, 77
MEDICAL RECORDS, EMPLOYEE, 52
MEMBERSHIP RECORDS, 11
METADATA (GIS RECORDS). SEE GEOGRAPHIC
INFORMATION SYSTEM (GIS) DATA
DOCUMENTATION (METADATA)
MILITARY LEAVE, 53
MINUTES OF PUBLIC BODIES. SEE PUBLIC BODIES:
MINUTES
MISCELLANEOUS (NON-BUILDING) APPLICATIONS,
LICENSES, AND PERMITS, 11
MONITORING RECORDS (GIS RECORDS). SEE
GEOGRAPHIC INFORMATION SYSTEM (GIS)
MONITORING RECORDS
N
NATIONAL FLOOD INSURANCE PROGRAM RECORDS,
84
NETWORK AND SYSTEM SECURITY RECORDS, 63
NETWORK DIAGRAMS, 63
NEWSPAPER CLIPPINGS. SEE HISTORY RECORDS
NOTICES OF PUBLIC MEETINGS. SEE PUBLIC BODIES:
\MEETING NOTICES
264
A-33
O
OATHS OF OFFICE, 73
OCCUPATIONAL SAFETY AND HEALTH
ADMINISTRATION (OSHA), 85
OFFICE AND PROPERTY SECURITY RECORDS, 11
OPERATIONAL RECORDS (GIS RECORDS). SEE
GEOGRAPHIC INFORMATION SYSTEM (GIS)
OPERATIONAL RECORDS
ORDINANCE DEVELOPMENT RECORDS, 12
ORDINANCES, 12
ORTHOIMAGERY, 39
OSHA, 85
P
PARKING. SEE SECURITY RECORDS, EMPLOYEE
PAYMENT CARD DATA, 30
PAYROLL AND EARNINGS RECORDS, 31
PAYROLL DEDUCTION RECORDS, 32
PENSION PLAN ENROLLMENT FORMS, EMPLOYEE.
SEE RETIREMENT RECORDS
PERFORMANCE REVIEWS, EMPLOYEE, 53
PERMISSIONS, 73
PERSONNEL ACTION NOTICES, 53
PERSONNEL RECORDS, 43
PERSONNEL RECORDS (OFFICIAL COPY), 54
PERSONNEL RECORDS (SUPERVISOR COPY), 54
PEST CONTROL, 12
PETITIONS (CONSTITUENT). SEE CONSTITUENT
COMMENTS, COMPLAINTS, PETITIONS, AND
SERVICE REQUESTS
PETTY CASH. SEE ACCOUNTS RECEIVABLE
PHONE LOGS, 12
POLICIES AND PROCEDURES, 13
POLICIES AND PROCEDURES (PERSONNEL), 55
POLL LIST, 13
POLYGRAPH RECORDS, EMPLOYEE, 55
POPULAR ANNUAL FINANCE REPORT, 77
POSITION CLASSIFICATION, 56
POSITION CONTROL, 56
POSITION DESCRIPTIONS, 56
POSITION EVALUATIONS, 56
POSITION HISTORY, 56
POSITION REQUISITION AND ANALYSIS RECORDS.
SEE POSITION CLASIFICATION, CONTROL, AND
HISTORY
POWELL BILL RECORDS, 32
PRE-TRIAL RELEASE PROGRAM RECORDS, 74
PRICE QUOTATIONS, 13
PROCEDURES (GIS RECORDS). SEE GEOGRAPHIC
INFORMATION SYSTEM (GIS) INTERNAL
STANDARDS AND PROCEDURES
PROCLAMATIONS AND ORDERS, 14
PROJECT DOCUMENTATION (INFORMATION
TECHNOLOGY), 64
PROJECT RECORDS (GIS RECORDS). SEE GEOGRAPHIC
INFORMATION SYSTEM (GIS) PROJECT RECORDS
PROJECTS, 14
PROPERTY INVENTORIES, 10
PROPERTY MANAGEMENT RECORDS, 14
PUBLIC BODIES
\AGENDA AND MEETING PACKETS, 15
\APPLICATIONS FOR APPOINTMENT, 15
\APPOINTMENT REPORTS, 15
\AUDIO AND VIDEO RECORDINGS OF MEETINGS,
15
\CORRESPONDENCE, 16
\MEETING NOTICES, 16
\MEMBER FILES, 16
\MINUTES, 17
PUBLIC HEARINGS, 77
PUBLIC RECORDS REQUESTS, 78
PUBLIC RELATIONS RECORDS, 75
PUBLICATIONS RECEIVED. SEE REFERENCE (READING)
FILE
PUBLICITY RECORDS, 78
PURCHASE ORDERS, 32
Q
QUALIFIED PRODUCTS LISTS, 32
R
RATE SCHEDULES, 17
REBATE PROGRAM RECORDS, 18
RECONCILIATIONS (FINANCIAL), 25
RECORDS BACKUPS, SYSTEM MAINTENANCE
RECORDS, 65
RECORDS MANAGEMENT, 18
RECRUITMENT RECORDS, 56
REFERENCE (READING) FILE, 18
REFUND REPORTS. SEE FINANCIAL REPORTS
REGULATORY RECORDS (EXTERNAL). SEE
LEGISLATION AND REGULATORY RECORDS
RELEASE FORMS, 74
REPAIR RECORDS. SEE EQUIPMENT AND VEHICLE
MAINTENANCE, REPAIR, AND INSPECTION
RECORDS
REPAIR RECORDS, FACILITY, 7
REPORTS AND STUDIES, 19
REQUEST FOR CHANGE IN LOCAL GOVERNMENT
RECORDS SCHEDULE, 19
REQUEST FOR DISPOSAL OF ORIGINAL RECORDS
DUPLICATED BY ELECTRONIC MEANS, 21
265
A-34
REQUEST FOR DISPOSAL OF UNSCHEDULED
RECORDS, 20
REQUESTS FOR INFORMATION, 20
REQUESTS FOR PROPOSALS, 20
REQUISITIONS, 33
RESOLUTION DEVELOPMENT RECORDS, 20
RESOLUTIONS, 20
RESPIRATOR PROGRAM RECORDS. SEE EMERGENCY
DRILLS AND EQUIPMENT RECORDS
RETIREMENT RECORDS, EMPLOYEE, 57
RETURNED CHECKS. SEE ACCOUNTS UNCOLLECTABLE
RISK MANAGMENT RECORDS, 80
S
SAFETY DATA SHEETS, 85
SALES AND USE TAX REPORTS. SEE TAX RETURNS
SALES INFORMATION. SEE ACCOUNTS RECEIVABLE
SCANNING RECORDS. SEE DIGITIZATION AND
SCANNING RECORDS
SCHOLARSHIP RECORDS, 33
SEASONAL WORKER RECORDS, 57
SECONDARY EMPLOYMENT, 57
SECURITY RECORDS, EMPLOYEE, 82
SECURITY VIDEO RECORDINGS. SEE OFFICE AND
PROPERTY SECURITY RECORDS
SELF-INSURER CERTICATIONS. SEE INSURANCE
POLICIES
SERVICE AWARDS AND COMMENDATIONS, 58
SERVICE REQUESTS (CONSTITUENT). SEE
CONSTITUENT COMMENTS, COMPLAINTS,
PETITIONS, AND SERVICE REQUESTS
SETTLEMENTS, 74
SHIFT PREMIUM PAY, 33
SOCIAL MEDIA, 78, 12
SOFTWARE LICENSE AND COPYRIGHT PROVISIONS
RECORDS, 64
SPACE NEED STUDIES. SEE REPORTS AND STUDIES
SPECIAL EVENT RECORDS. SEE FUND DRIVE AND
EVENT RECORDS
SPEECHES, 78
STAFF MEETINGS FILE, 21
STANDARDS (GIS RECORDS), 37
STATE AND OTHER COUNTY PROGRAMS. SEE
REFERENCE (READING) FILE
STATE OF EMERGENCY, 80
STATEMENTS OF BACK PAY, 33
STOLEN PROPERTY REPORTS, 84
STRATEGIC PLAN, 21
STREET CENTERLINE, 40
SUGGESTIONS, EMPLOYEE, 58
SURPLUS PROPERTY, 21
SURVEYS, EMPLOYEE, 58
SYSTEM ACCESS RECORDS (INFORMATION
TECHNOLOGY), 64
SYSTEM DOCUMENTATION RECORDS, 64
SYSTEM MAINTENANCE RECORDS
\HARDWARE REPAIR OR SERVICE, 65
\RECORDS BACKUPS, 65
T
TAX FORMS, 34
TAX RETURNS, 34
TECHNICAL PROGRAM DOCUMENTATION, 65
TEMPORARY EMPLOYEE RECORDS. SEE PERSONNEL
RECORDS (OFFICIAL COPY)
TEXT MESSAGES, 12
TIME SHEETS, CARDS, AND ATTENDANCE RECORDS,
34
TRACKING MATERIALS, 21
TRAINING RECORDS, EMPLOYEE, 58
TRAVEL REIMBURSEMENTS, 35
TRAVEL REQUESTS, 22
TSERS MONTHLY REPORTS. SEE GOVERNMENT
EMPLOYEES RETIREMENT SYSTEM MONTHLY
REPORTS
U
UNEMPLOYMENT COMPENSATION CLAIMS, 59
UNEMPLOYMENT COMPENSATION REPORTS, 59
UNEMPLOYMENT INSURANCE, 59
UTILITY USAGE LOG. SEE EQUIPMENT, FACILITY, AND
VEHICLE USAGE RECORDS
UTILITY USAGE LOGS. SEE PHONE LOGS
UTILITY USAGE LOGS AND BILLS. SEE ACCOUNTS
PAYABLE
V
VEHICLE MAINTENANCE, REPAIR, AND INSPECTION
RECORDS. SEE EQUIPMENT AND VEHICLE
MAINTENANCE, REPAIR, AND INSPECTION
RECORDS
VEHICLE MILEAGE LOG. SEE EQUIPMENT, FACILITY,
AND VEHICLE USAGE RECORDS
VEHICLE REFERENCE RECORDS, 7
VEHICLE REGISTRATION CARDS, 22
VEHICLE TITLES, 74
VEHICLE USAGE RECORDS, 7
VENDORS, 35
VERIFICATION OF EMPLOYMENT RECORDS, 59
VETERANS COMMISSION QUARTERLY REPORTS. SEE
REPORTS AND STUDIES
VOIP RECORDS, 66
266
A-35
VOLUNTEER RECORDS, 59
VOUCHERS. SEE ACCOUNTS RECEIVABLE
W
W-2 FORMS. SEE TAX FORMS
W-4 FORMS. SEE TAX FORMS
WARRANTIES. SEE EQUIPMENT AND VEHICLE
MAINTENANCE, REPAIR, AND INSPECTION
RECORDS
WEB MANAGEMENT AND OPERATIONS RECORDS
STRUCTURE, 66
WEBSITE (ELECTRONIC), 79
WORK ORDERS, 22
WORK SCHEDULES AND ASSIGNMENT RECORDS,
EMPLOYEE, 60
WORKERS' COMPENSATION PROGRAM
ADMINISTRATION, 60
WORKERS' COMPENSATON PROGRAM CLAIMS, 60
WORKFORCE DEVELOPMENT
\LOCAL AREA JOB TRAINING PLAN RECORDS, 86
WORKFORCE DEVELOPMENT
\AUDIT/AUDIT RESOLUTIONS, 86
WORKFORCE DEVELOPMENT
\PARTICIPANT RECORDS, 86
WORKFORCE DEVELOPMENT RECORDS, 86
WORKSHOPS, 76
267
Changes in 2021 General Records Schedule: Local Government Agencies
1
This change log notes all substantial changes from the 2019 to the 2021 version of the General Records Schedule: Local Government Agencies.
For simplicity, wordsmithing, typographical corrections, pointers to other records series, and modifications to citations have not been tracked.
Substantive changes are listed in the left-hand column. In the center column are the titles of new records series that have been added to the
schedule. In the right-hand column are records series that have been discontinued because the records are no longer created or received by
local government agencies (or in cases where these are listed in the same row as a series that was changed, these records have been combined
into that broader records series). The index to the schedule also includes pointers where one series was subsumed into another.
Please note that what had been the Personnel Records standard (Standard 6) has been retitled as the Human Resources standard;
alphabetization means this is now Standard 4 (and IT Records and Legal Records have been shifted to standards 5 and 6 respectively).
This updated schedule also includes in the appendix a section entitled “Related Records Series Found in Local Agency Program Schedules,” which
identifies records series within the Local General Schedule (indicated with @) that have similar records series on local program schedules.
Changes New Items Discontinued Items
Standard 1: Administration and Management Records
ACCREDITATION RECORDS
Added to description outside evaluations of
agency
ADMINISTRATIVE DIRECTIVES, REGULATIONS,
AND RULES
Added description and modified disposition
instructions
AUDITS: PERFORMANCE
Added disposition instructions for PCI
attestation reports
CONSTITUENT COMMENTS, COMPLAINTS,
PETITIONS, AND SERVICE REQUESTS
Changed title from Citizen to Constituent;
clarified that requests for reasonable
accommodation included in this series are
those from the general public; changed
retention for all complaints to 1 year
268
Changes in 2021 General Records Schedule: Local Government Agencies
2
Changes New Items Discontinued Items
CONSTITUENT SURVEYS
Changed title from Citizen to Constituent
FACILITY MAINTENANCE, REPAIR, AND
INSPECTION RECORDS
Clarified this series also includes records related
to agency-owned property as well as warranties
GRANTS
Added to description any required certifications
and disclosures; specified disposition for grants
funded by local appropriations
HISTORICAL DESIGNATIONS RECORDS
LOGISTICS MATERIALS
Added agency activities to the description and
modified disposition instructions
MISCELLANEOUS (NON-BUILDING)
APPLICATIONS, LICENSES, AND PERMITS
Added to description free government-issued
business permits
OFFICE AND PROPERTY SECURITY RECORDS
Changed title from Office Security Records;
added property to the description and added
disposition instructions for recordings that may
necessitate action by law enforcement
PHONE LOGS
269
Changes in 2021 General Records Schedule: Local Government Agencies
3
Changes New Items Discontinued Items
Inserted PUBLIC BODIES at beginning of series
titles to group together:
• Agenda and Meeting Packets (also
added exhibits to description)
• Applications for Appointment
• Appointment Reports
• Audio and Video Recordings of
Meetings
• Notices of Public Meetings (renamed
Meeting Notices)
• Governing and Advisory Body Member
File (renamed Member Files)
• Minutes of Public Bodies (renamed
Minutes)
PUBLIC BODIES: CORRESPONDENCE
REBATE PROGRAM RECORDS
Deleted Citizen from title
REPORTS AND STUDIES
Added a specific disposition for quarterly
reports
REQUESTS FOR PROPOSALS
Specified inclusion of elements created by the
agency (e.g., notices, evaluations)
STAFF MEETINGS FILE
Renamed from Minutes (Staff Meetings) and
added additional materials relevant to internal
meetings along with materials from external
that had been listed in Agenda and Meeting
Packets
STRATEGIC PLAN
Renamed from Comprehensive Plan, added
mission statements to the description, and
clarified disposition instructions
270
Changes in 2021 General Records Schedule: Local Government Agencies
4
Changes New Items Discontinued Items
Standard 2: Budget, Fiscal, and Payroll Records
ACCOUNTS PAYABLE
Modified disposition of reimbursements to
reflect DES requirements
ACCOUNTS RECEIVABLE
Modified description to add records for debt
setoff program
BOND CLOSING RECORDS
Increased retention requirement to mirror state
requirements
GRANTS: FINANCIAL
Specified disposition for grants funded by local
appropriations
LONGEVITY PAY
Increased retention to reflect DES requirements
PAYROLL AND EARNINGS RECORDS
Increased retention to reflect DES
requirements; added employer contributions to
description
PAYROLL DEDUCTION RECORDS
Added retirement deductions to description
SHIFT PREMIUM PAY
Increased retention to reflect DES requirements
TAX FORMS
Increased retention to reflect DES requirements
TIME SHEETS, CARDS, AND ATTENDANCE
RECORDS
Increased retention to reflect DES requirements
TRAVEL REIMBURSEMENTS
Increased retention to reflect DES requirements
Standard 3: Geographic Information System (GIS) Records
MAPS: ALL OTHER
Included paper maps in description
271
Changes in 2021 General Records Schedule: Local Government Agencies
5
Changes New Items Discontinued Items
Standard 4: Human Resources Records (previously Personnel Records)
APPLICATIONS FOR EMPLOYMENT
Added pointer in disposition to Seasonal and
Contract Workers
BENEFITS RECORDS
Specified disposition for correspondence with
providers
CERTIFICATION AND QUALIFICATION
RECORDS
Already covered by Training and Educational
Records; Conferences and Workshops
HAZARDOUS MATERIALS TRAINING RECORDS
Added to description documentation of loans of
radioactive materials for training purposes
MEDICAL RECORDS
Clarified description to include records of
employees, contractors, and volunteers;
expanded description of health and physical
examinations
PERSONNEL RECORDS (OFFICIAL COPY)
Clarified description to specify employees
eligible for benefits
POLICIES AND PROCEDURES (PERSONNEL)
Added description; deleted disposition for non-
internal records, which should be considered
part of the Reference (Reading) File, and added
disposition for HR administrative records (e.g.,
employee orientation materials)
272
Changes in 2021 General Records Schedule: Local Government Agencies
6
Changes New Items Discontinued Items
RETIREMENT RECORDS
Clarified description; removed separate
disposition for deferred compensation – those
that are from retirement plans are covered in
this item, and those that are for some sort of
bonus should be treated as Payroll and Earnings
Records
TRAINING AND EDUCATIONAL RECORDS
Added general training materials to description;
added disposition for expired employee
certifications/qualifications along with one for
general training materials
UNEMPLOYMENT COMPENSATION CLAIMS
Increased retention to reflect DES requirements
UNEMPLOYMENT COMPENSATION REPORTS
Increased retention to reflect DES requirements
Standard 5: IT Records
Clarified retention for fixity check
documentation
Standard 6: Legal Records
ANNEXATION RECORDS
Specified disposition for withdrawn petitions
CIVIL RIGHTS CASE RECORDS
Specified disposition for employee requests for
reasonable accommodations
ENCROACHMENTS
Changed description from citizens to residents
EXPUNCTIONS
INVESTIGATION AND HEARING RECORDS
REASONABLE ACCOMMODATIONS
Already covered by Constituent Comments,
Complaints, Petitions, and Service Requests
SETTLEMENTS
273
Changes in 2021 General Records Schedule: Local Government Agencies
7
Changes New Items Discontinued Items
Standard 8: Risk Management Records
DISASTER RECOVERY
Clarified description and specified disposition
for records evaluating the efficacy of recovery
efforts
EMERGENCY NOTIFICATIONS
Moved from the Emergency Services
standard of the old County Management
schedule
FIRE, HEALTH, AND ENVIRONMENTAL SAFETY
RECORDS
Added Environmental to the series title and
added specific dispositions for inspection
reports and safety audits
FIXED NUCLEAR FACILITIES PLANS FILE
Moved from the Emergency Services
standard of the old County Management
schedule
HAZARDOUS MATERIALS MANAGEMENT
Broadened description and added numerous
dispositions for particular types of hazardous
materials; now includes asbestos management
plans
ASBESTOS MANAGEMENT PLAN
LOST, STOLEN, OR DAMAGED PROPERTY
REPORTS
Deleted citizen from description
NATIONAL FLOOD INSURANCE PROGRAM
RECORDS
Moved from the Emergency Services
standard of the old County Management
schedule
274
RECORDS RETENTION AND DISPOSITION
SCHEDULE
PROGRAM RECORDS SCHEDULE:
LOCAL GOVERNMENT AGENCIES
Issued By:
North Carolina Department of Natural and Cultural Resources
Division of Archives and Records
Government Records Section
October 1, 2021
275
2021 Program Records Schedule: Local Government Agencies
CONTENTS
Approval ..........................................................................................................................................iv
Front Matter
Executive Summary .......................................................................................................................... v
Legend for Records Schedule .......................................................................................................... vi
Records Retention and Disposition Schedule
Standard 10: Airport Authority Records ......................................................................................... 1
Standard 11: Animal Services Records ........................................................................................... 3
Standard 12: Code Enforcement and Inspection Records .............................................................. 5
Standard 13: Emergency Medical Services and Fire Department Records .................................. 12
Standard 14: Parks and Recreation Records ................................................................................. 16
Standard 15: Planning and Regulation of Development Records ................................................ 19
Standard 16: Public Housing Authorities, Redevelopment Commissions, and Entitlement
Communities Records............................................................................................................... 25
Standard 17: Public Transportation Systems Records .................................................................. 31
Standard 18: Public Utilities and Environmental/Waste Management Records ......................... 34
Standard 19: Street Maintenance, Public Works, and Engineering Records ............................... 46
Standard 20: Law Enforcement Records (excluding Sheriff’s Office) .......................................... 53
Standard 21: Tax Records (for municipalities) ............................................................................. 73
Appendix
Managing Public Records in North Carolina ................................................................................ A-1
Audits, Litigation, and Other Official Actions .............................................................................. A-5
Transitory Records ....................................................................................................................... A-6
Destruction of Public Records ...................................................................................................... A-8
Sample Destructions Log ............................................................................................... A-10
Electronic Records: E-mail, Born Digital Records, and Digital Imaging ..................................... A-11
Geospatial Records ................................................................................................................... A-13
Security Preservation Record Copies ......................................................................................... A-15
Disaster Assistance .................................................................................................................... A-17
Staff Training .............................................................................................................................. A-18
Request Forms
Request for Change in Records Schedule ...................................................................... A-19
Request for Disposal of Unscheduled Records .............................................................. A-20
Request for Disposal of Original Records Duplicated by Electronic Means .................. A-21
File Plan ...................................................................................................................................... A-22
Index ........................................................................................................................................ A-23
276
2021 Program Records Schedule: Local Government Agencies i
Program Records Schedule:
Local Government Agencies
The records retention and disposition schedules and retention periods governing the records series listed herein are
hereby approved. This approval extends to and includes the following standards in the 2021 Program Records
Schedule: Local Government Agencies:
10.Airport Authority Records
11. Animal Services Records
12. Code Enforcement and Inspection Records
13. Emergency Medical Services and Fire Department Records
14. Parks and Recreation Records
15. Planning and Regulation of Development Records
16. Public Housing Authorities, Redevelopment Commissions, and Entitlement Communities Records
17. Public Transportation Systems Records
18. Public Utilities and Environmental/Waste Management Records
19. Street Maintenance, Public Works, and Engineering Records
20. Law Enforcement Records (excluding Sheriff’s Offices)
21. Tax Records (for municipalities)
In accordance with the provisions of Chapters 121 and 132 of the General Statutes of North Carolina, it is agreed
that the records do not and will not have further use or value for official business, research, or reference purposes
after the respective retention periods specified herein and are authorized to be destroyed or otherwise disposed of
by the agency or official having custody of them without further reference to or approval of either party to this
agreement.
Destructions
N.C. Gen. Stat. § 121-5 authorizes the Department of Natural and Cultural Resources to regulate the destruction of
public records. Furthermore, the local government agency agrees to comply with 07 NCAC 04M .0510 when deciding
on a method of destruction. The North Carolina Administrative Code states:
“(a) Paper records which have met their required retention requirements and are not subject to legal or other audit
holds should be destroyed in one of the following ways:
1.burned, unless prohibited by local ordinance;
2.shredded, or torn up so as 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 materials concerned; or
4.sold as waste paper, provided that the purchaser agrees in writing that the documents or materials
concerned will not be resold without pulverizing or shredding the documents so that the
information contained within cannot be practicably read or reconstructed.
(b)When used in an approved records retention and disposition schedule, the provision that electronic records are
to be destroyed means that the data and metadata are to be overwritten, deleted, and unlinked so the data and
metadata may not be practicably reconstructed.
(c)When used in an approved records retention and disposition schedule, the provision that confidential records of
any format are to be destroyed means the data, metadata, and physical media are to be destroyed in such a manner
that the information cannot be read or reconstructed under any means.”
All local government agencies should maintain logs of their destructions either in the minutes of their governing
board or in their Records Management file. Confidential records will be destroyed in such a manner that the records
cannot be practicably read or reconstructed.
277
2021 Program Records Schedule: Local Government Agencies ii
Public records, including electronic records, not listed in this schedule are not authorized to be destroyed.
Audits and Litigation Actions
Records subject to audit or those legally required for ongoing official proceedings must be retained until released
from such audits or official proceedings, notwithstanding the instructions of this schedule.
Electronic Records
All local government agencies and the Department of Natural and Cultural Resources concur that the long-term
and/or permanent preservation of electronic records requires additional commitment and active management by
the agency. Agencies agree to comply with all policies, standards, and best practices published by the Department
of Natural and Cultural Resources regarding the creation and management of electronic records.
Local government agencies should consider retention requirements and disposition authorities when designing and
implementing electronic records management systems. Any type of electronically-created or electronically-stored
information falls under the North Carolina General Assembly’s definition of public records cited above. For example,
e-mail, text messages, blog posts, voicemails, websites, word processing documents, spreadsheets, databases, and
PDFs all fall within this definition of public records. In addition, N.C. Gen. Stat. § 132-6.1(a) specifies:
“Databases purchased, leased, created, or otherwise acquired by every public agency containing public
records shall be designed and maintained in a manner that does not impair or impede the public agency's
ability to permit the public inspection and examination of public records and provides a means of obtaining
copies of such records. Nothing in this subsection shall be construed to require the retention by the public
agency of obsolete hardware or software.”
Local government agencies may scan any paper record and retain it electronically for ease of retrieval. If an agency
wishes to destroy the original paper records before their assigned retention periods have been met, the agency must
establish an electronic records policy, including putting into place procedures for quality assurance and
documentation of authorization for records destructions approved by the Government Records Section. This
electronic records policy and releases for destruction of records must be approved by the Government Records
Section. Agencies should be aware that for the purpose of any audit, litigation, or public records request, they are
considered the records custodian obligated to produce requested records, even if said records are being maintained
electronically by an outside vendor. Therefore, contracts regarding electronically stored information should be
carefully negotiated to specify how records can be exported in case a vendor goes out of business or the agency
decides to award the contract to a different vendor.
Reference Copies
All local government agencies and the Department of Natural and Cultural Resources agree that certain records
series possess only brief administrative, fiscal, legal, research, and reference value. These records series have been
designated by retention periods that allow these records to be destroyed when “reference value ends.” All local
government agencies hereby agree that they will establish and enforce internal policies setting minimum retention
periods for the records that Natural and Cultural Resources has scheduled with the disposition instruction “destroy
when reference value ends.” If a local government agency does not establish internal policies and retention periods,
the local government agency is not complying with the provisions of this retention schedule and is not authorized
by the Department of Natural and Cultural Resources to destroy the records with the disposition instruction “destroy
when reference value ends.”
Record Copy
A record copy is defined as “The single copy of a document, often the original, that is designated as the official copy
for reference and preservation.”1 The record copy is the one whose retention and disposition is mandated by these
schedules; all additional copies are considered reference or access copies and can be destroyed when their
usefulness expires. In some cases, postings to social media may be unofficial copies of information that is captured
elsewhere as a record copy (e.g., a press release about an upcoming agency event that is copied to various social
1 Society of American Archivists, Dictionary of Archives Terminology.
278
2021 Program Records Schedule: Local Government Agencies iii
media platforms). Appropriately retaining record copies and disposing of reference copies requires agencies to
designate clearly what position or office is required to maintain an official record for the duration of its
designated retention period.
Transitory Records
Transitory records are defined as “record[s] that [have] little or no documentary or evidential value and that need
not be set aside for future use.”2
North Carolina has a broad definition of public records. However, the Department of Natural and Cultural Resources
recognizes that some records may have little or no long-term documentary or evidential value to the creating
agency. These records are often called transitory records. They may be disposed of according to the guidance
below. However, all public employees should be familiar with their appropriate retention schedule and any other
applicable guidelines for their office. If there is a required retention period for these records, that requirement must
be followed. When in doubt about whether a record is transitory or whether it has special significance or
importance, retain the record in question and seek guidance from a DNCR records analyst.
Routing slips and transmittal sheets adding no information to that contained in the transmitted material have
minimal value after the material has been successfully transmitted. These records may be destroyed or otherwise
disposed of after receipt of the material has been confirmed. Similarly, “while you were out” slips, memory aids,
and other records requesting follow-up actions (including voicemails and calendar invites) have minimal value once
the official action these records are supporting has been completed and documented. These records may be
destroyed or otherwise disposed of once the action has been resolved.
Drafts and working papers, including notes and calculations, are materials gathered or created to assist in the
creation of another record. All drafts and working papers are public records subject to all provisions of Chapter 132
of the General Statutes, but many of them have minimal value after the final version of the record has been
approved, and may be destroyed after final approval, if they are no longer necessary to support the analysis or
conclusions of the official record. Drafts and working documents that may be destroyed after final approval include:
•Drafts and working papers for internal and external policies
•Drafts and working papers for internal administrative reports, such as daily and monthly activity reports;
•Drafts and working papers for internal, non-policy-level documents, such as informal workflows and
manuals; and
•Drafts and working papers for presentations, workshops, and other explanations of agency policy that is
already formally documented.
Forms used solely to create, update, or modify records in an electronic medium may be destroyed in office after
completion of data entry and after all verification and quality control procedures, so long as these records are not
required for audit or legal purposes. However, if the forms contain any analog components that are necessary to
validate the information contained on them (e.g., a signature or notary’s seal), they must be retained according to
the disposition instructions for the records series encompassing the forms’ function.
It is further agreed that these records may not be destroyed prior to the time periods stated; however, for sufficient
reason they may be retained for longer periods. These schedules supersede previous versions of these schedules
and any localized amendments; they are to remain in effect from the date of approval until they are reviewed and
updated.
2 Ibid.
279
APPROVAL RECOMMENDED
Municipal/County Clerk or Manager
Title: ___________ _
Head of Governing Body
Title:------------
APPROVED
Sarah E. Koonts, Director
Division of Archives and Records
D.Reid Wilson, Secretary
Department of Natural and Cultural
Resources
County/Municipality:---------------
Effective: October 1, 2021
2021 Program Records Schedule: Local Government Agencies iv
County Manager
BOCC Chair
Union County
280
2021 Program Records Schedule: Local Government Agencies v
EXECUTIVE SUMMARY
Some records are covered by the General Records Schedule: Local Government Agencies and,
therefore, are not listed separately here.
According to N.C. Gen. Stat. § 121-5(b) and N.C. Gen. Stat. § 132-3, you may destroy public records
only with the consent of the Department of Natural and Cultural Resources (DNCR). The State
Archives of North Carolina is the division of DNCR charged with administering a records
management program. This schedule is the primary way the State Archives of North Carolina gives
its consent. Without approving this schedule, your agency is obligated to obtain the State Archives
of North Carolina’s permission to destroy any record, no matter how insignificant.
Each records series listed on this schedule has specific disposition instructions that will indicate
how long the series must be kept in your office. In some cases, the disposition instructions are
simply “retain in office permanently,” which means that those records must be kept in your office
forever. In other cases, the retention period may be “destroy in office when reference value ends.”
An agency may have reference copies of materials, meaning “a copy of a record distributed to
make recipients aware of the content but not directing the recipient to take any action on the
matter” (from Society of American Archivists, Dictionary of Archives Terminology). Your agency
must establish and enforce internal policies by setting minimum retention periods for the records
that the State Archives of North Carolina has scheduled with the disposition instructions, “destroy
when reference value ends.”
E-mail is a record as defined by N.C. Gen. Stat. § 121-5 and N.C. Gen. Stat. § 132. It is the content
of the e-mail that is critical when determining the retention period of a particular e-mail, including
attachments, not the media in which the record was created. It is important for all agency
employees and officials to determine the appropriate records series for specific e-mails and retain
them according to the disposition instructions listed with the identified record series.
The State Archives of North Carolina recommends that all agency employees and officials view the
tutorials that are available online through the State Archives website in order to familiarize
themselves with records management principles and practices. The State Archives of North
Carolina’s online tutorials include topics such as records management and scanning guidelines.
The State Archives of North Carolina creates security preservation record copies for minutes and
selected other records of governing bodies and commissions, adoption records, and maps and
plats. Agencies can request copies of the digital images made during this process. Contact the
appropriate Records Management Analyst to begin this process.
If you have records that are not listed in this schedule, contact a Records Management Analyst. An
analyst will discuss the nature of the records with you to determine if the records have historical
value. If the records do not have historical value, we will ask you to complete a Request for
Disposal of Unscheduled Records (page A-19) for records that are no longer being created.
281
2021 Program Records Schedule: Local Government Agencies vi
LEGEND FOR RECORDS SCHEDULE
This records retention and disposition schedule applies to records in all media, unless otherwise
specified.
–symbol designating that one or more records in this series may be confidential or Includes
confidential information.
Item # – an identifying number assigned to each records series for ease of reference.
Series – “a group of similar records that are . . . related as the result of being created, received, or used
in the same activity.” (From Society of American Archivists, Dictionary of Archives Terminology).
Series in this schedule are based on common functions in government offices.
Records Series Title – a short identification of the records in a series, based on their common function.
Series Description – a longer description of the records in a series, often including the types of records
that can frequently be found in that series. This information is included underneath the Records
Series Title.
Disposition Instructions – instructions dictating the length of time a series must be retained and how
the office should dispose of those records after that time.
Citation – a listing of references to statutes, laws, and codes related to the records series. Citations can
include:
•Authority: governing the creation of records
•Confidentiality: limiting access to public records
•Retention: setting a retention period
Throughout this schedule, items that cross-reference other items within this schedule are indicated with
a SEE ALSO reference. If you hover your cursor over one of these items, you will see the hand tool that
will enable you to click on the item to follow the link to that location.
No destruction of records may take place if litigation or audits are pending or reasonably anticipated.
See also AUDITS, LITIGATION, AND OTHER OFFICIAL ACTIONS, page A-5.
Sample records series title and description with cross-reference included
282
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 10: Airport Authority *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
1
ITEM #
STANDARD 10: AIRPORT AUTHORITY RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
10.01 ACCESS CONTROL RECORDS
Records concerning employee or contractor access to
facilities or resources.
Destroy in office 1 year after expiration.
10.02 AIR SPACE CONSTRUCTION
Applications to construct structures which may obstruct
flight space. Includes correspondence and related
records.
Destroy in office after 5 years.
10.03 AIRFIELD INSPECTION
Records concerning airfield inspections on runway
conditions, fueling agents, fire and rescue facilities,
ground vehicle control and other airport condition
information.
Destroy in office after 1 year. Authority/Retention:
14 CFR 139.301
10.04 AIRPORT MASTER RECORD
Federal Aviation Administration (FAA) form 5010
documenting basic information concerning airports.
Destroy in office when superseded or obsolete.
STANDARD 10: PROGRAM OPERATIONAL RECORDS – AIRPORT AUTHORITY RECORDS
Official records and materials created and accumulated incidental to the operation of a county or municipal airport.
283
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 10: Airport Authority *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
2
ITEM #
STANDARD 10: AIRPORT AUTHORITY RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
10.05 LAND DEVELOPMENT AND PLANNING STUDIES AND
REPORTS
Records documenting local government and airport
authority land use and development planning.
Retain in office permanently.
10.06 RADIO LOGS
Records of radio calls received and placed.
Destroy in office after 1 year.
284
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 11: Animal Services *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
3
ITEM #
STANDARD 11: ANIMAL SERVICES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
11.01 ANIMAL ABUSE AND CRUELTY RECORDS
Includes complaints, citations and/or compliance orders,
and other related records.
Destroy in office after 5 years.* See G.S. 14-360 for
definition of animal
cruelty.
11.02 ANIMAL COMPLAINT RECORDS
Includes complaints of animal nuisances.
Destroy in office after 3 years.*
11.03 ANIMAL CONTROL RECORDS
Records of animal control calls. Includes information
regarding animal bites, animals received from residents,
strays caught, animals taken to shelter or returned to
owner, use of tranquilizer guns, and other related
records. Also includes citations and/or compliance orders
issued to animal owners for violations of government
ordinances.
a)Destroy in office records concerning dangerous
animals when known dead or after 10 years.
b)Destroy in office animal control citations and
compliance orders after 3 years.*
c)Destroy in office remaining records after 1 year.
STANDARD 11: PROGRAM OPERATIONAL RECORDS – ANIMAL SERVICES RECORDS
Records created and received during the conduct of animal services programs.
NOTE: Some records are covered by General Records Schedule: Local Government Agencies and, therefore, are not listed separately here. See Reference
(Reading) File and Reports and Studies (Administration and Management Records).
285
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 11: Animal Services *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
4
ITEM #
STANDARD 11: ANIMAL SERVICES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
11.04 ANIMAL LICENSING RECORDS
Records concerning the licensing of dogs, cats, and other
animals. Includes owner and animal information and
record of fees paid.
Destroy in office after 3 years.* Confidentiality:
G.S. 132-1.2 (2)
11.05 ANIMAL SHELTER RECORDS
Records of animals impounded at the shelter, including
date of impoundment, length of impoundment,
disposition of animal, and any other information required
by rules adopted by the State Board of Agriculture. Also
includes certificates of animal release (e.g., adoption,
reclaim, transfer, return to field) and owner contact
records.
Destroy in office 3 years after date of impoundment. Authority/Retention:
G.S. 19A-32.1(j)
Confidentiality (for
specific counties):
G.S. 132-1.15
11.06 CONTROLLED SUBSTANCE EUTHANASIA LOG
Includes amount of controlled substances used.
Destroy in office after 2 years. Retention:
21 CFR 1304.04
11.07 HISTORIES OF PET OWNERS
Records concerning information for each animal owner
who violates government ordinances. Includes complaint
forms and other related records.
Destroy in office after 3 years.*
11.08 RABIES VACCINATION RECORDS
Includes rabies vaccination certificates submitted to
agency by area veterinarians.
Destroy in office after 3 years. Authority:
G.S. 130A-189
286
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 12: Codes & Inspections * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
5
ITEM #
STANDARD 12: CODE ENFORCEMENT AND INSPECTION RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
12.01 AIR POLLUTION SOURCE INFORMATION
Includes records for facilities which are no longer
operational.
Destroy in office after 2 years.*
12.02 BLUEPRINTS AND SPECIFICATIONS
Records concerning blueprints and specifications of local
government owned buildings and facilities, or drawings
submitted when applying for a building permit for new
construction. Includes as-built plans and related records
concerning approved changes or used in determining code
compliance and enforcement of building code.
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Blueprints and Specifications
(STANDARD 1: ADMINISTRATION AND MANAGEMENT
RECORDS).
a)Retain agency blueprints and specifications for life of
structure.
b)Destroy in office commercial blueprints and
specifications 1 year after completion of project.
c)Destroy in office residential blueprints and
specifications when reference value ends.±
Agency Policy: Destroy in office after ___________
Confidentiality:
G.S. 132-1.7
STANDARD 12: PROGRAM OPERATIONAL RECORDS – CODE ENFORCEMENT AND INSPECTION RECORDS
Official records and materials created and accumulated during the conduct of local government code enforcement and inspection programs.
NOTE: Some records are covered by the General Records Schedule: Local Government Agencies and, therefore, are not listed separately here.
6 years.
287
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 12: Codes & Inspections * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
6
ITEM #
STANDARD 12: CODE ENFORCEMENT AND INSPECTION RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
12.03 BUILDING AND ROAD PERMITTING AND INSPECTION
RECORDS
Records documenting applications for permits from
property owners to erect new structures or manufactured
homes, or to make structural modifications, demolition,
fire permits, or the installation of plumbing, electrical, or
mechanical systems. Includes permits, inspection reports,
inspector’s worksheets, inspection requests, denial
reports, sketches, correspondence (including e-mail), and
contractor change forms.
a)Destroy in office permits, applications, and inspection
reports (or worksheets) 6 years after Certificate of
Occupancy is issued or project is complete (inactive).
b)Destroy in office Certificate of Occupancy 6 years after
permit is expired.
c)Destroy in office remaining records, including
applications for which a permit was never issued,
when reference value ends.±
Agency Policy: Destroy in office after _____________
12.04 CONTROLLED SUBSTANCE LABS DECONTAMINATION
RECORDS
Records concerning decontamination compliance.
Destroy in office 3 years after documented
decontamination is complete.
12.05 DROUGHT CONTINGENCY PLANS
Includes water conservation plans in the event of a
drought.
Destroy in office when superseded or obsolete.
12.06 EROSION AND SEDIMENT CONTROL ENFORCEMENT
CASES
Includes settled legal matters and penalties.
SEE ALSO: Violations: Building and Housing, below.
Destroy in office 6 years after settlement.*
2 years.
288
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 12: Codes & Inspections *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
7
ITEM #
STANDARD 12: CODE ENFORCEMENT AND INSPECTION RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
12.07 EROSION AND SEDIMENT CONTROL PLANS
Includes approved and disapproved plans as well as
revisions and addenda.
a)Destroy in office approved plans 6 years after approval
or last revision and/or addendum.
b)Destroy in office non-approved plans after 3 years.
12.08 EXEMPTION (VARIANCE) RECORDS
Records concerning exemptions and variances concerned
with the installation of water, sewer, gas, or electric lines.
a)Destroy in office 5 years after expiration.*
b)Destroy in office records for which an exemption or
variance was not issued after 3 years.
Retention:
40 CFR 141.33
15A NCAC 18C .1526
12.09 GOING-OUT-OF-BUSINESS LICENSES
Records concerning licenses granted to business to hold
going out of business, water and smoke damage, and
distress sales.
Destroy in office 1 year expiration.
12.10 GROUNDWATER MONITORING RECORDS
Includes all groundwater monitoring wells and associated
groundwater surface elevations.
Destroy in office after 5 years.* Authority:
15 NCAC 2C .0100
12.11 ILLEGAL DUMPING FILE
Records concerning illegal dumping complaints received.
SEE ALSO: Violations: Solid Waste Management, below.
Destroy in office after 5 years.*
12.12 INSPECTIONS
Inspections conducted by local government agencies
concerning enforcement of state and local laws, codes,
and ordinances.
Destroy in office after 6 years.*
289
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 12: Codes & Inspections * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
8
ITEM #
STANDARD 12: CODE ENFORCEMENT AND INSPECTION RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
12.13 LEAD AND COPPER COMPLIANCE RECORDS
Includes all monitoring records required by federal, state,
and local regulations.
Destroy in office after 12 years.* Retention:
40 CFR 141.91
12.14 LANDFILL TONNAGE AND COST FILE Destroy in office after the 5 year reporting period is
complete.
12.15 PERMITS: CONSTRUCTION
Records documenting applications and permits
regarding sign installation, fencing, swimming pools,
driveways, or similar activity required by local
ordinance.
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Miscellaneous (Non-Building)
Applications, Licenses, and Permits (STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS).
a)Destroy in office 3 years after completion of project.
b)Destroy in office applications for which a permit was
never issued when reference value ends.±
Agency Policy: Destroy in office after _____________
12.16 PERMITS: PUBLIC UTILITIES PROJECTS
Records documenting permits, approval letters, and other
related documentation required by local, state, or federal
ordinance, regulation, or statute. Includes records
regarding National Pollutant Discharge Elimination
System (NPDES) permits.
a)Retain in office approval letters and supporting
documentation permanently.
b)Destroy in office permits 6 years after expiration,
cancellation, revocation, or denial.*
Authority:
40 CFR 122.28
15A NCAC 18C .0300
Confidentiality:
15A NCAC 02H .0115
2 years.
290
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 12: Codes & Inspections * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
9
ITEM #
STANDARD 12: CODE ENFORCEMENT AND INSPECTION RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
12.17 RECREATIONAL VEHICLE REGISTRATION RECORDS
Records concerning issuance of registrations/decals for
recreational vehicles. Includes, but is not limited to, golf
carts, canoes, and mopeds as well as proof of insurance
and renewals.
Destroy in office 1 year after expiration.*
12.18 UNSAFE BUILDINGS FILE
Records documenting inspections and notifications to
owners of unsafe conditions relative to a particular
structure.
SEE ALSO: Violations: Building and Housing, below.
Destroy in office after 6 years provided all issues have been
resolved.*
12.19 VALVE OPERATION FILE Destroy in office when reference value ends. ±
Agency Policy: Destroy in office after__________________
12.20 VIOLATIONS: BUILDING AND HOUSING
Records documenting violations of building and fire code,
minimum housing, and erosion and sediment control.
Includes complaints, summons, notices, appeals, and
other information created or compiled during the course
of investigation and resolution of each alleged violation.
SEE ALSO: Water Analysis, below.
a)Destroy building code violations in office 6 years after
verification of correction.
b)Destroy remaining records in office 3 years after
verification of correction.*
life of the asset plus 3 years.
291
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 12: Codes & Inspections * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
10
ITEM #
STANDARD 12: CODE ENFORCEMENT AND INSPECTION RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
12.21 VIOLATIONS: SOLID WASTE MANAGEMENT
Includes complaints, notices of violations, citations,
investigation records, court documents, and other related
records issued by solid waste environmental enforcement
programs.
Destroy in office 7 years after resolution of case.*
12.22 VIOLATIONS: WATER CONSERVATION
Records concerning notices of water conservation
violations.
Destroy in office when reference value ends. ±
Agency Policy: Destroy in office after__________________
12.23 WASTEWATER POLLUTION CONTROL AND
ABATEMENT RECORDS
Destroy in office after 5 years.* Authority:
15A NCAC 2B .0505
12.24 WASTEWATER QUALITY ANALYSIS RECORDS a)Destroy in office analysis reports after 3 years.*
b)Destroy in office monitoring and calculation sheets
after 1 year.*
Authority:
15A NCAC 2B .0505
corresponding IBT permit expiration.
292
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 12: Codes & Inspections *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
11
ITEM #
STANDARD 12: CODE ENFORCEMENT AND INSPECTION RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
12.25 WATER ANALYSIS
Records concerning bacteriological, chemical, radiological,
and physical analyses and climatological observations as
well as records of actions taken to correct violations.
SEE ALSO: Violations: Building and Housing and Violations:
Water Conservations, above.
a)Destroy in office records of chemical and
radiological analysis after 10 years.
b)Destroy in office records of bacteriological and
turbidity analysis after 5 years.
c)Destroy in office records of actions taken to
correct violations 3 years after last corrective
action taken.
d)Destroy in office remaining records after 5 years.
Retention:
40 CFR 141.33
15A NCAC 18C .1526
12.26 WATER SYSTEM OPERATIONS RECORDS
Records concerning the operations of water supply,
treatment, distribution, and collection. Includes
backflow prevention reports, flow reports, capacity
studies, pump station reports, and similar records that
summarize
Destroy in office after 10 years. Retention:
40 CFR 141.33
15A NCAC 18C .1526
12.27 WATER TANKS, SPECIFICATIONS, AND BOOSTER
STATIONS FILE
Destroy in office after 5 years.*
293
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 13: EMS & Fire Department *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
12
ITEM #
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
13.01 911 COMMUNICATION RECORDS AND RECORDINGS
Records documenting any communications made by the
public with 911. Includes transcripts and recordings of
911 calls received, transcripts of text messages received
by 911, and computer-aided dispatch (CAD) reports.
SEE ALSO: Dispatch Records and Recordings, below AND
PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT
AGENCIES, Communication Records (STANDARD 20: LAW
ENFORCEMENT RECORDS)
Destroy in office after 30 days, if not made part of a case
file.*
Confidentiality:
G.S. 132-1.5
G.S. 132-1.4(c)(4)
Retention:
G.S. 132-1.4(i)
13.02 AMBULANCE CALL REPORTS (ACR)/PATIENT CARE
REPORTS (PCR)
Records concerning equipment used, patient location,
nature of call, vital signs and other physical signs, care
rendered, medicine ordered, etc.
a)Transfer copy of report to the admitting hospital for
inclusion into patient's medical record.
b)Destroy original in office after 3 years.*
Confidentiality:
G.S. 130A-12
STANDARD 13: PROGRAM OPERATIONAL RECORDS – EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
Official records documenting the primary functions of emergency services programs and fire departments.
Footage from body-worn cameras is scheduled by the content captured or the purpose of the footage rather than by its format. Recordings may fit under
FIRE INVESTIGATION CASE FILES, DISPATCH RECORDS AND RECORDINGS, PUBLICITY RECORDS (General Schedule), TRAINING AND EDUCATIONAL RECORDS
(General Schedule), and other items as appropriate. Footage is only confidential if it fits within an item where confidentiality is conferred by state or
federal statute.
294
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 13: EMS & Fire Department *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
13
ITEM #
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
13.03 BUILDING AND FIRE SAFETY SYSTEM PLANS
Records concerning plans and fire safety systems of
commercial, industrial, and government-owned
properties.
Destroy in office when superseded or obsolete.
13.04 DISPATCH RECORDS AND RECORDINGS
Records and recordings concerning activities during an
emergency services dispatch. Includes company run
reports and fire journals as well as ambulance dispatch
and service run records. Also includes footage from body-
worn cameras of EMS and Fire Department personnel
when responding to an emergency if not otherwise
included in a separate item.
SEE ALSO: 911 Communication Records and Recordings,
above AND PROGRAM RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Communication Records
(STANDARD 20: LAW ENFORCEMENT RECORDS).
Destroy in office after 30 days, if not made part of a case
file.*
Confidentiality:
G.S. 132-1.4
G.S. 143-518
45 CFR 164.501
42 U.S.C. 1395x
13.05 FIRE ALARM AND AUTOMATIC EXTINGUISHER FILE
Records documenting licenses and insurance certificates
of companies that perform installations of fire alarm and
automatic extinguishing systems.
Destroy in office when superseded or obsolete.
13.06 FIRE DISPATCH FILE
Records concerning fire dispatch zones. Includes maps of
fire dispatch zones, census tract information, annexation
research, street closings, and other related material.
Destroy in office when superseded or obsolete.
295
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 13: EMS & Fire Department *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
14
ITEM #
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
13.07 FIRE INVESTIGATION CASE FILES
Records concerning investigations of fire. Includes
reports, photographs, evidence, and other related
records.
SEE ALSO: PROGRAM RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Case File: Felonies AND Case
File: Misdemeanors (STANDARD 20: LAW ENFORCEMENT
RECORDS).
a)Retain in office permanently when loss of life occurs or
if a publicly-owned building is involved.*
b)Destroy in office after 10 years when arson is
involved.*
c)Destroy in office after 5 years when cause of fire is
determined to be accidental and no loss of life
occurs.*
Confidentiality:
G.S. 132-1.4
13.08 FIRE SAFETY INSPECTIONS AND PERMITS
Records documenting inspections of and permits issued
for fire protection measures and procedures for systems
and buildings.
a)Destroy in office inspections with no defects after 3
years.
b)Destroy in office inspections with noted defects 3
years after defects are corrected.*
c)Destroy in office permits 3 years after expiration.
13.09 NORTH CAROLINA FIRE INCIDENT REPORT
Includes report required by state statute to document
certain fire incidents.
For retention of copies of fire incident reports filed with
other agencies, see: GENERAL RECORDS SCHEDULE:
LOCAL GOVERNMENT AGENCIES, Reports (STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS).
Retain original report permanently. Authority/Retention:
G.S. 58-79-45
296
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 13: EMS & Fire Department *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
15
ITEM #
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
13.10 PHARMACEUTICAL AND NARCOTICS RECORDS
Records documenting the administration of
pharmaceuticals and narcotics to patients as required by
the Drug Enforcement Agency.
Destroy in office after 3 years.* Authority:
21 CFR 1310.03
Confidentiality:
G.S. 130A-12
Retention:
21 CFR 1310.04
297
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 14: Parks and Recreation *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
16
ITEM #
STANDARD 14: PARKS AND RECREATION RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
14.01 ADMISSION RECORDS
Records of admissions to parks or recreation facilities.
Destroy in office after 3 years.*
14.02 CITATIONS RECORDS
Citations issued by park personnel to persons who violate
park rules and regulations.
Destroy in office after 2 years.
14.03 OFFICIALS FILE
Records concerning individuals who officiate games.
Includes schedule and correspondence (including e-mail).
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Payroll and Earnings Records
(STANDARD 2: BUDGET, FISCAL, AND PAYROLL
RECORDS) or Seasonal and Contract Worker Records
(STANDARD 4: HUMAN RESOURCES RECORDS) for
disposition of payment records.
Destroy in office after 3 years.
STANDARD 14: PROGRAM OPERATIONAL RECORDS – PARKS AND RECREATION RECORDS
Records created and received by Parks and Recreation departments.
298
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 14: Parks and Recreation * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
17
ITEM #
STANDARD 14: PARKS AND RECREATION RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
14.04 PARKS PLANNING FILE
Records concerning master plans and working plans for
each park property and recreational facility which show
layout, topography, and proposed developments and
improvements. Includes drainage and resource maps,
aerial maps, site analysis drawings, construction plans,
and as-built drawings.
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Strategic Plan (STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS) AND
GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT
AGENCIES, Maps: Parks (STANDARD 3: GEOGRAPHIC
INFORMATION SYSTEMS (GIS) RECORDS).
a)If an element of the Strategic Plan, destroy in office
when reference value ends.±
Agency Policy: Destroy in office after ____________
b)If not an element of the Strategic Plan, destroy in
office when superseded or obsolete.
14.05 POOL RECORDS
Records concerning monthly reports indicating
operational data, chemicals used, chlorination levels and
other information relating to pool construction,
maintenance, and health and safety.
Destroy in office after 1 year.
14.06 RECREATION PROGRAMS
Records concerning athletic and recreation programs.
Includes staff notes, lesson plans, course descriptions,
instruction manuals, schedules, team rosters, reservation
records, copies of receipts for fees paid, age verification
records, and concession operators list.
a)Destroy in office program records after 3 years.
b)Destroy age verification records when reference
value ends.±
Agency Policy: Destroy in office after_____________
Confidentiality:
G.S. 132-1.12
3 years.
10 years.
299
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 14: Parks and Recreation * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
18
ITEM #
STANDARD 14: PARKS AND RECREATION RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
14.07 TICKET STUBS Destroy in office when reference value ends. ±
Agency Policy: Destroy in office after__________________ n/a.
300
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 15: Planning and Regulation of Development *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
19
ITEM #
STANDARD 15: PLANNING AND REGULATION OF DEVELOPMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
15.01 BOARD OF ADJUSTMENT CASE FILES AND INDEXES
Cases submitted to the board requesting variances from
current zoning ordinances. Includes indexes to cases
reviewed by the board.
a)Retain indices in office permanently.
b)Destroy in office case files after 6 years.*
Retention:
G.S. 1-50(5)
STANDARD 15: PROGRAM OPERATIONAL RECORDS – PLANNING AND REGULATION OF DEVELOPMENT RECORDS
Official records and materials created and accumulated during the conduct of local government planning, regulation of development, and zoning
programs.
Community Development Block Grants (CDBG) records are found in Standard 16: Public Housing Authorities, Redevelopment Commissions, and
Entitlement Communities Records.
NOTE: Some records are covered by the Local Government Agencies General Records Retention and Disposition Schedule and, therefore, are not listed
separately here.
301
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 15: Planning and Regulation of Development * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
20
ITEM #
STANDARD 15: PLANNING AND REGULATION OF DEVELOPMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
15.02 CERTIFICATES OF APPROPRIATENESS
Certificates submitted by the Historic Preservation
Commission allowing alterations to exterior portions of
building and structures on or within historic landmarks
and districts. Includes applications and other related
records.
a)Retain in office certificates for life of structure and
then destroy.
b)Destroy in office denied applications when reference
value ends. ±
Agency Policy: Destroy in office after ____________
c)Destroy in office remaining records when reference
value ends. ±
Agency Policy: Destroy in office after ____________
Authority:
G.S. 160A-400.9
15.03 COMPREHENSIVE PLAN AND AMENDMENTS
Official copies of comprehensive plan and all background
surveys, studies, reports, draft versions of plans, and
supporting documentation.
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Strategic Plan (STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS).
a)Retain in office permanently adopted plan and
amendments.
b)Destroy in office remaining records 3 years after
adoption of plan.
3 years.
5 years.
302
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 15: Planning and Regulation of Development * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
21
ITEM #
STANDARD 15: PLANNING AND REGULATION OF DEVELOPMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
15.04 CONDITIONAL USE PERMIT RECORDS AND INDEX
Records concerning applications for conditional use
permits. Permits allow for the construction of buildings,
on the condition that impacts on neighborhoods are
mitigated. Includes original application, blueprint
drawings, investigative reports, planning commission
recommendations, cash receipts, and related
correspondence (including e-mail). Also includes
reference copies of variances or exceptions from zoning
regulations granted by the Board of Adjustment.
a)Destroy in office 3 years after discontinuance of use.
b)Destroy in office applications for which a permit
was never issued when reference value ends. ±
Agency Policy: Destroy in office after _________
15.05 DECLARATIONS AND BY-LAWS FROM TOWNHOUSES,
CONDOMINIUMS, PLANNED RESIDENTIAL
DEVELOPMENTS, COMMON AREAS, ETC.
a)If not filed in Register of Deeds or similar agency,
retain in office permanently.
b)If filed in Register of Deeds or similar agency,
destroy in office when reference value ends. ±
Agency Policy: Destroy in office after ____________
Authority:
G.S. 47C-2-103
15.06 ENVIRONMENTAL IMPACT STUDIES
Records and reports concerning the environmental
impact of major projects proposed by localities and
reviewed by local officials.
Retain in office permanently.
15.07 OPEN SPACE CLASSIFICATION CASE FILE Retain in office permanently.
1 year
the development is closed and all bonds are released.
303
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 15: Planning and Regulation of Development *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
22
ITEM #
STANDARD 15: PLANNING AND REGULATION OF DEVELOPMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
15.08 PERMITS: TEMPORARY MANUFACTURED HOME
Records created to temporarily authorize the location of a
manufactured home on the same lot as a single family
residence.
Destroy in office 6 years after permit expires. Retention:
G.S. 1-50(5)
15.09 PERMITS: ZONING COMPLIANCE
For residential uses, non-residential uses, and accessory
structures.
a)Retain in office permits concerning subdivision,
historical structure, major commercial or industrial
development, or capital construction, where county
or municipality is lead agency, permanently.
b)Destroy in office permits concerning subdivision,
historic structures, major commercial or industrial
development, or capital construction, where county
or municipality is not lead agency, 6 years after last
entry.
c)Destroy in office any other permits and related
records 6 years after last entry.
Retention:
G.S. 1-50(5)
15.10 PETITION & REGULATION RECORDS Destroy in office after 5 years.*
304
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 15: Planning and Regulation of Development *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
23
ITEM #
STANDARD 15: PLANNING AND REGULATION OF DEVELOPMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
15.11 PLANNING REVIEW CASE FILE
For required review of site plan, zoning variance, special
permit, change of zoning, subdivision creation or
enlargement, municipal or county planning action, or
other required review; including, but not limited to, maps,
plans, sketches, photographs, engineering reports,
environmental impact statement and studies, copies of
zoning records, project narrative, correspondence
(including e-mail), and record of final determination.
a)Retain plan reviews and related records containing
subdivision, historical structure, major commercial or
industrial development, or capital construction,
where county or municipality is lead agency,
permanently.
b)Destroy in office plan reviews and related records
containing subdivision, historic structures, major
commercial or industrial development, or capital
construction, where county or municipality is not lead
agency, 6 years after last entry.
c)Destroy in office any other mandatory reviews and
related records 6 years after last entry.
Retention:
G.S. 1-50(c)
15.12 REZONING RECORDS AND INDEXES
Records concerning applications to rezone property
within the county or municipality. Includes original
applications, review forms, maps of areas involved, copies
of investigative reports, copies of relevant planning board
minutes, notices of hearings, and development
agreements.
Retain in office permanently.
305
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 15: Planning and Regulation of Development * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
24
ITEM #
STANDARD 15: PLANNING AND REGULATION OF DEVELOPMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
15.13 SUBDIVISION RECORDS
Includes maps, plats, topographical data, names of
streets, records of public utilities, action by council,
etc. Also includes preliminary subdivision and group
development site plans.
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Maps: Plats (STANDARD 3:
GEOGRAPHIC INFORMATION SYSTEMS RECORDS).
a)If not filed in Register of Deeds or similar agency,
retain in office permanently.
b)If filed in Register of Deeds or similar agency,
destroy in office when reference value ends. ±
Agency Policy: Destroy in office after ___________
15.14 VARIANCES
Includes zoning variances, watershed variances, and
subdivision variances.
Retain official copies permanently in the minutes of the
Board of Adjustment or other governing body.
15.15 VIOLATIONS: ZONING
Records concerning notices of zoning violations.
Destroy in office after 6 years.* Retention:
G.S. 1-50(5)
10 years
306
16: Public Housing 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
25
ITEM #
STANDARD 16: PUBLIC HOUSING AUTHORITIES, REDEVELOPMENT COMMISSIONS, AND ENTITLEMENT COMMUNITIES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
16.01 APPRAISAL PROJECT FILE
Evaluations of properties and structures within proposed
projects. File includes financial assessments of the worth
of real estate and building within proposed project areas.
File may also include assessments of architectural and
historical significance and condition of the involved
structures and real estate.
a)Retain records with historical value permanently.
b)Destroy in office remaining records 5 years after
completion of abandonment of project.*
STANDARD 16: PROGRAM OPERATIONAL RECORDS – PUBLIC HOUSING AUTHORITIES, REDEVELOPMENT COMMISSIONS, AND ENTITLEMENT
COMMUNITIES RECORDS
Official records and materials created and received by public housing authorities, redevelopment commissions, and entitlement communities operated by
local government agencies. Where there is a local funding match required to qualify for grant programs, all records should be retained according to the
grant requirements listed below.
NOTES: Some records, such as those for Section 8 assistance, are covered by the Local Government Agencies General Records Retention and Disposition
Schedule and, therefore, are not listed separately here. See Bond Closing Records (Budget, Fiscal, and Payroll Records), Grants (Administration and
Management Records), and Grants: Financial (Budget, Fiscal, and Payroll Records). 24 CFR Parts 50-58 lay out the environmental review responsibilities of
entities but do not establish specific retention requirements, so these records should be handled in accordance with the requirements of the funding
source.
307
16: Public Housing 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
26
ITEM #
STANDARD 16: PUBLIC HOUSING AUTHORITIES, REDEVELOPMENT COMMISSIONS, AND ENTITLEMENT COMMUNITIES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
16.02 COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG)
RECORDS
Records concerning the administration of projects funded
under the Community Development Block Grant (CDBG)
program, including both direct grants and regrants.
Includes applications, reports, audits, certificates, maps,
and other related records.
a)Retain records with historical value permanently.
b)Destroy in office rejected applications after 1 year.
c)Destroy in office remaining records 4 years after
execution of the closeout agreement for the grant.
Retention:
24 CFR 570
16.03 COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG)
RECORDS: OUTSTANDING LOAN BALANCES
Records concerning individual activities under the
Community Development Block Grant (CDBG) program
for which there are outstanding loan balances, other
receivables, or continent liabilities. Includes reports,
audits, and other related records.
a)For recipients, destroy in office 3 years after the
receivables or liabilities have been satisfied.
b)For subrecipients, destroy in office after such
receivables or liabilities have been satisfied.
Retention:
24 CFR
570.502(a)(7)(i)(B)
16.04 COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG)
RECORDS: SUBJECT TO REVERSION OF ASSETS
PROVISIONS OR CHANGE OF USE OF REAL PROPERTY
Records concerning real property which was acquired or
improved in whole or in part using Community
Development Block Grant (CDBG) funds. Includes reports,
audits, and other related records.
a)For recipients, destroy in office 3 years after these
provisions no longer apply to the activity.
b)For subrecipients, destroy in office when these
provisions no longer apply to the activity.
Authority:
24 CFR 570.503(b)(7)
24 CFR 570.505
Retention:
24 CFR
570.502(a)(7)(i)(B)
308
16: Public Housing 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
27
ITEM #
STANDARD 16: PUBLIC HOUSING AUTHORITIES, REDEVELOPMENT COMMISSIONS, AND ENTITLEMENT COMMUNITIES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
16.05 CONTINUUM OF CARE RECORDS
Records documenting the participation of the agency in
funding by the Department of Housing and Urban
Development. Includes required Federal compliance
records, program records, financial records, and other
related records.
a)Destroy in office records documenting the acquisition,
new construction, or rehabilitation of a project site 15
years after the date site is first occupied/used.
b)Destroy in office program participant records 5 years
after the expenditure of all funds from the grant under
which the program participant was served.
c)Destroy in office all remaining records after 5 years.
Retention:
24 CFR 578.103(c)
16.06 CRIMINAL RECORDS CHECKS
Records received by the local agency to screen applicants
for admission to covered housing programs and for lease
enforcement or eviction.
Destroy in office once the purpose for which the record
was requested has been accomplished, including
expiration of the period for filing a challenge to the PHA
action without institution of a challenge or final disposition
of any such litigation.
Confidentiality/
Retention:
24 CFR 5.903(g)
24 CFR 5.905(c)
309
16: Public Housing 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
28
ITEM #
STANDARD 16: PUBLIC HOUSING AUTHORITIES, REDEVELOPMENT COMMISSIONS, AND ENTITLEMENT COMMUNITIES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
16.07 EMERGENCY SOLUTIONS GRANTS (ESG) RECORDS
Records documenting the participation of the agency in
funding by the Department of Housing and Urban
Development. Includes case management records for
program participants, required federal compliance
records, program records, financial records, and other
related records.
a)Destroy records supporting the expenditure of
federal funds passed through NC Department of
Health and Human Services (DHHS) on a fiscal year
basis when the DHHS Office of the Controller
provides written guidance that records are released
from all audits and other official actions.
b)Destroy in office records documenting renovation of
an emergency shelter 10 years after the date that
ESG funds are first obligated for the renovation.
c)Destroy in office participant records 5 years after the
expenditure of all funds from the grant under which
the program participant was served.
d)Destroy in office all remaining records after 5 years.
Confidentiality:
24 CFR 576.500(x)
Retention:
24 CFR 576.500(y)
16.08 FAÇADE PROJECT FILES
Records documenting the re-granting of funds received by
the agency to restore exteriors of architecturally
important structures in project areas. Includes contracts,
photographs, and correspondence.
Retain in office permanently.
310
16: Public Housing 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
29
ITEM #
STANDARD 16: PUBLIC HOUSING AUTHORITIES, REDEVELOPMENT COMMISSIONS, AND ENTITLEMENT COMMUNITIES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
16.09 HOME INVESTMENT PARTNERSHIPS PROGRAM
RECORDS
Records documenting the participation of the agency in
funding by the Department of Housing and Urban
Development. Includes records concerning designation as
a participating jurisdiction, program records, project
records, Community Housing Development Organizations
records, financial records, program administration
records, records concerning other federal requirements,
and other related records.
a)Destroy in office rental assistance records 5 years after
termination of assistance.*
b)Destroy in office written agreements 5 years after
termination.*
c)Destroy in office 5 years after the affordability period
terminates records of individual tenant income
verifications, projects rents and inspections, and
documents imposing recapture/resale restrictions.
d)Destroy in office records covering displacements and
acquisition 5 years after final payment.*
e)Destroy in office remaining records after 5 years.*
Authority/Retention:
24 CFR 92.508
16.10 HOUSING ASSISTANCE FOR PERSONS WITH DISABILITIES
Records documenting the participation of the agency in
funding by the Department of Housing and Urban
Development. Includes verifications of disability, grant
agreements, performance reports, and other related
records.
Destroy in office 5 years after the end of the grant term. Retention:
24 CFR 582.301(c)
24 CFR 583.305(c)
311
16: Public Housing 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
30
ITEM #
STANDARD 16: PUBLIC HOUSING AUTHORITIES, REDEVELOPMENT COMMISSIONS, AND ENTITLEMENT COMMUNITIES RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
16.11 HOUSING OPPORTUNITIES FOR PERSONS WITH AIDS
(HOPWA) RECORDS
Records documenting the participation of the agency in
funding by the Department of Housing and Urban
Development. Includes grant agreements, performance
reports, and other related records.
Destroy in office after 5 years. Authority/Retention:
24 CFR 574
24 CFR 5.106(d)
16.12 LANDLORD MONITORING RECORDS
Records documenting monitoring of landlords of
properties used in affordable or subsidized housing
programs. Includes certifications and forms and other
compliance-related records.
Destroy in office after 5 years.
16.13 REDEVELOPMENT PLANS
Records concerning redevelopment projects. Includes
documentation of the review and certification process.
a)Retain in office permanently records concerning
approved redevelopment projects.
b)Destroy in office remaining records 2 years after
rejection.
312
17: Public Transportation 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
31
ITEM #
STANDARD 17: PUBLIC TRANSPORTATION SYSTEMS RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
17.01 AMERICANS WITH DISABILITIES ACT (ADA)
PARATRANSIT RECORDS
Includes driver’s daily assignments, dispatch records, logs
of passenger pick-ups and drop-offs, manifests, trip
requests, and appeal forms.
Destroy in office after 5 years.* Authority:
2 CFR 200.333
17.02 AMERICANS WITH DISABILITIES ACT (ADA)
PARATRANSIT VOUCHERS
Vouchers submitted by private transportation companies
for reimbursement for alternative transportation of public
transit clients.
Destroy in office after 5 years.* Authority:
2 CFR 200.333
17.03 AMERICANS WITH DISABILITIES ACT (ADA) PRE-TRIP
INSPECTION FORMS
Destroy in office after 1 year. Authority:
2 CFR 200.333
STANDARD 17: PROGRAM OPERATIONAL RECORDS – PUBLIC TRANSPORTATION SYSTEMS RECORDS
Records received and created by area transit systems and authorities necessary to meet all statutory requirements.
NOTE: Some records are covered by the Local Government Agencies General Records Retention and Disposition Schedule and, therefore, are not listed
separately here.
Comply with requirements of the Federal Transit Administration’s Best Practice Procurement Manual, Master Agreement MA(11) Section 8 manual.
313
17: Public Transportation 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
32
ITEM #
STANDARD 17: PUBLIC TRANSPORTATION SYSTEMS RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
17.04 APPLICATIONS FOR ART-IN-TRANSIT
Applications and supporting documentation submitted by
regional and national artists for exhibit on agency
property.
Destroy in office when reference value ends.±
Agency Policy: Destroy in office after ________ ____
17.05 APPLICATIONS FOR DISCOUNT PASSES
Applications, certificates of disability, and supporting
documentation used to apply for discount passes.
Destroy in office 3 years after service is terminated or
denied.
17.06 APPLICATIONS FOR TRANSIT SERVICE
Includes customer applications, eligibility assessment
records, correspondence (including e-mail), health
information, riders’ guides, and related records.
Destroy in office 3 years after service is terminated or
denied.
17.07 CUSTOMER (RIDER) IDENTIFICATION RECORDS
Records concerning customer identification, approvals,
denials, and related information.
Destroy in office when reference value ends.±
Agency Policy: Destroy in office after ________ ____
17.08 DISADVANTAGED BUSINESS ENTERPRISE (DBE)
RECORDS
Includes company’s articles of incorporation, financial
statements, signed affidavits, letters of reference,
declarations, Federal Schedule A or B, and related
correspondence (including e-mail).
a)Destroy in office company-specific records 5 years
after company is removed from certified list.
b)Destroy in office related DBE program records,
including Federal Transit Administration reports, 5
years from date record was created.
Authority:
2 CFR 200.333
17.09 OPERATOR SHIFT INSPECTION RECORDS
Reports and similar records of operator’s inspections of
vehicle at the beginning and end of shift.
Destroy in office after 5 years. Authority:
2 CFR 200.333
3 years
5 years after closeout
of related grant
314
17: Public Transportation 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
33
ITEM #
STANDARD 17: PUBLIC TRANSPORTATION SYSTEMS RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
17.10 ROUTE HISTORY RECORDS
Includes descriptions of routes, bus stops, passenger lists,
and other related records.
Destroy in office when reference value ends.±
Agency Policy: Destroy in office after ________ ____
17.11 SEAT BELT AND RESTRAINT SYSTEM RECORDS
Records concerning the use and installation of seat belts
and other restraint systems in vehicles.
Destroy in office when reference value ends.±
Agency Policy: Destroy in office after ________ ____
17.12 TRANSIT SCHEDULES
Printed route schedules and related information used to
generate schedules.
Destroy in office when reference value ends.±
Agency Policy: Destroy in office after ________ ____
17.13 VANPOOL DRIVER APPLICATIONS
Applications and supporting records submitted by
persons operating vanpool vehicles.
a)Destroy in office accepted applications 3 years after
person leaves program.
b)Destroy in office applications for persons not
accepted for program after 1 year.
5 years after closeout
of related grant
life of vehicle ends
5 years after closeout
of related grant
315
18: Public Utilities and Environmental/Waste 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
34
ITEM #
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
18.01 ENVIRONMENTAL: COMPREHENSIVE SOLID WASTE
MANAGEMENT PLAN AND AMENDMENTS
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Strategic Plan (STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS).
a)If an element of the Strategic Plan, destroy in office
when reference value ends. ±
Agency Policy: Destroy in office after ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟
b)If not an element of the Strategic Plan, destroy in
office when superseded or obsolete.
Authority:
G.S. 130A-309.09A
18.02 ENVIRONMENTAL: CUSTOMER USAGE RECORDS
Includes reports, plans or similar records submitted by
industrial users or publicly-owned treatment works
concerning intended or actual use of the wastewater
treatment system.
Destroy in office after 3 years.* Retention:
40 CFR 403.12(o)(3)
18.03 ENVIRONMENTAL: DAILY DISPOSAL TICKETS
Record and/or receipts concerning the disposal of
materials at the landfill.
Destroy in office after 3 years.*
STANDARD 18: PROGRAM OPERATIONAL RECORDS – PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
Official records and materials created and accumulated for use by municipal and county sanitation, water, sewage, electrical, and gas operations. Also
contains environmental management records accumulated for use by erosion and sediment control, flood control, and monitoring of pollution. Comply
with applicable provisions of G.S. §132-1.7 regarding confidentiality of public infrastructure detailed plans and drawings.
1 year
316
18: Public Utilities and Environmental/Waste 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
35
ITEM #
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
18.04 ENVIRONMENTAL: DISCHARGE MONITORING REPORTS
Includes discharge and non-discharge monitoring reports
submitted to state and/or federal regulatory agencies.
Also includes copies of monthly reports required by
National Pollution Discharge Elimination System (NPDES)
permits.
a)Destroy in office NPDES reports 5 years from date of
submission.*
b)Destroy in office annual reports 5 years from date of
submission.*
c)Destroy in office daily reports after 3 years.
Retention:
40 CFR 122.41(3)(j)(2)
15A NCAC 2B .0506
18.05 ENVIRONMENTAL: LANDFILL MONITORING REPORTS
Gas and groundwater monitoring records and reports.
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Audits: Performance
(STANDARD 1: ADMINISTRATION AND MANAGEMENT
RECORDS).
a)Retain official reports permanently.
b)Destroy in office remaining records after 3 years.
Retention:
15A NCAC 13B
.1626(10)
18.06 ENVIRONMENTAL: LANDFILL OPERATIONAL PLAN
Describes the intended schedule of construction,
description of on-site waste handling procedures during
active life of the facility, contingency plans, description of
maintenance of installed equipment, and any other
information pertaining to the operation, maintenance,
monitoring, or inspections as may be required by federal
and state law.
Destroy when superseded or obsolete.* Authority:
G.S. 130A-309.09D
317
18: Public Utilities and Environmental/Waste 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
36
ITEM #
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
18.07 ENVIRONMENTAL: LANDFILL PERMITS
Permits and related records of landfills owned or
operated by agency. Includes amendments and hazardous
waste management permits.
a)Retain construction and operation permit for life of
system and then destroy.
b)Destroy in office all other permits and related records
after the 5-year reporting period is complete.
Retention:
G.S. 130A-294 (b1) (4)
18.08 ENVIRONMENTAL: NOTICE OF VIOLATIONS FOR
IMPROPER DISCHARGE OR DISPOSAL FILE
Notices issued by agency concerning improper non-
stormwater discharge or disposal. Includes improper
disposal of waste or products, chlorinated pool discharge,
vehicle maintenance facility runoff, food service waste,
and other unregulated commercial and industrial
discharges.
Destroy in office one year after resolution.
18.09 ENVIRONMENTAL: OUTSIDE WASTE CLEARANCE
RECORDS
Records allowing parties outside the operator’s
jurisdiction to dispose of waste at landfill.
Destroy in office 3 years after expiration of agreement.
18.10 ENVIRONMENTAL: REPORTS SUBMITTED TO
U.S. ENVIRONMENTAL PROTECTION AGENCY
(EPA)
Destroy in office after 2 years.*
18.11 EROSION CONTROL: EROSION AND SEDIMENT
AFFIDAVITS
Forestry and agricultural affidavits clarifying land use
exempt from land-disturbing activity standards.
Destroy in office after 6 years.
318
18: Public Utilities and Environmental/Waste 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
37
ITEM #
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
18.12 EROSION CONTROL: EROSION AND SEDIMENT CONTROL
EXHIBIT RECORDS
Destroy in office when reference value ends. ±
Agency Policy: Destroy in office after ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟
18.13 EROSION CONTROL: EROSION AND SEDIMENT CONTROL
INSPECTIONS
Inspections conducted by agency. Includes inspection
requests, notices of violations, denial reports, sketches,
plans, correspondence (including e-mail), and similar
records concerning the construction, modification or
demolition of existing and new roads and construction
sites.
Destroy in office 6 years after final site inspection.*
18.14 EROSION CONTROL: EROSION AND SEDIMENT CONTROL
PERMITS
Records concerning permits, including permit logs, issued
for site construction.
a)Destroy in office records concerning approved permits
3 years after expiration of permit.
b)Destroy in office non-approved permits after 3 years.
18.15 EROSION CONTROL: EROSION AND SEDIMENT CONTROL
PLANS
Includes approved and disapproved plans submitted to
agency. Includes revisions, addendums, and records
delineating who is financially responsible for the project.
a)Destroy approved plans in office 3 years after
expiration.
b)Destroy non-approved plans after 3 years.
Authority:
15A NCAC 04B .0118
1 year after project completion.
319
18: Public Utilities and Environmental/Waste 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
38
ITEM #
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
18.16 EROSION CONTROL: TROUT BUFFER VARIANCES
Includes denials and waivers.
SEE ALSO: PROGRAM RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Variances (STANDARD 15:
PLANNING AND REGULATION OF DEVELOPMENT
RECORDS).
a)Destroy in office 6 years after approval of permit.
b)Destroy in office after 3 years plans for which a permit
was not issued.
Authority:
15A NCAC 04B .0125
18.17 FLOOD CONTROL: FLOOD CERTIFICATIONS
Records concerning lot reviews for construction projects
submitted to agency.
SEE ALSO: PROGRAM RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Permits: Zoning Compliance
(STANDARD 15: PLANNING AND REGULATION OF
DEVELOPMENT RECORDS).
Destroy in office when superseded or obsolete.
18.18 FLOOD CONTROL: FLOOD STUDIES
Reviews of stream crossings for construction projects
submitted to agency.
Retain in office for life of structure and then destroy.*
18.19 UTILITIES: DAILY WATER AND WASTEWATER FACILITY
OPERATORS LOGS
Records concerning water distribution and treatment.
a)Destroy in office records concerning the operation of
wastewater treatment facilities after 5 years.*
b)Destroy in office records concerning the
operation of water treatment facilities after 3
years.*
Authority:
15A NCAC 18C .1301
320
18: Public Utilities and Environmental/Waste 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
39
ITEM #
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
18.20 UTILITIES: ELECTRIC POWER AND NATURAL GAS FACILITY
ENGINEERING AND SYSTEM PLANS
Includes authorizations to construct, building plans, and
specifications of privately owned utilities.
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Strategic Plan (STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS).
a)If an element of the Strategic Plan, destroy in office
when reference value ends. ±
Agency Policy: Destroy in office after ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟
b)If not an element of the Strategic Plan, destroy in
office when superseded or obsolete.
Confidentiality:
G.S. 132-1.7
18.21 UTILITIES: ELECTRIC POWER AND NATURAL GAS
PERMITS AND APPROVAL RECORDS
Permits, approval letters, and other related
documentation required by local, state, or federal
ordinance, regulation, or statute and issued by agency.
a)Destroy in office permits 5 years after expiration,
cancellation, revocation or denial.*
b)Retain approval letters and supporting documentation
permanently.
18.22 UTILITIES: ELECTRIC POWER AND NATURAL GAS SYSTEM
MAINTENANCE AND REPAIR RECORDS
Records documenting installation, location, specifications,
and maintenance history of meters, lines, pipes, pumps,
and similar system equipment.
Destroy in office 3 years after equipment is no longer
owned and/or operational.
18.23 UTILITIES: ELECTRIC POWER AND NATURAL GAS SYSTEM
MANAGEMENT PLANS
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Strategic Plan (STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS).
Retain in office for life of system and then destroy. Confidentiality:
G.S. 132-1.7
n/a
321
18: Public Utilities and Environmental/Waste 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
40
ITEM #
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
18.24 UTILITIES: ELECTRIC POWER AND NATURAL GAS SYSTEM
PROJECT RECORDS
a)Retain project pre-approval and final approval letters
for life of system and then destroy.
b)Destroy in office remaining records 5 years after
project is completed.
18.25 UTILITIES: LANDLORD AGREEMENTS
Agreements to automatically transfer utility accounts to
landlords when their tenant vacates a property.
Destroy in office 3 years after expiration of agreement.
18.26 UTILITIES: MAPS (UTILITY INSTALLATIONS &
DISTRIBUTIONS)
Includes maps, plats, charts, and similar records showing
the location of water mains, valves, hydrants, meters,
etc., throughout the system.
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Maps, All Other (STANDARD 3:
GEOGRAPHIC INFORMATION SYSTEM (GIS) RECORDS).
Retain for life of system and then destroy. Authority:
15A NCAC 18C .0300
Confidentiality:
G.S. 132-1.7
322
18: Public Utilities and Environmental/Waste 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
41
ITEM #
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
18.27 UTILITIES: METER INSTALLATION, TESTING AND
CALIBRATION RECORDS (ELECTRIC, WATER, GAS)
Includes records concerning the installation or planned
installation of meters and connecting any facility to utility
system owned or operated by the agency.
a)Destroy in office records verifying installation of meter
3 years after equipment is no longer owned and/or
operational.
b)Destroy in office notice to property owners of
approval of utility installation after 2 years.
c)Destroy in office remaining records after reference
value ends.±
Agency Policy: Destroy in office after _____________
18.28 UTILITIES: PUBLIC UTILITIES INSPECTION FORMS
Records relating to the inspection of sanitation, electric,
water, gas and sewer utilities submitted to or conducted
by agency.
Destroy in office when superseded or obsolete.
3 years.
323
18: Public Utilities and Environmental/Waste 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
42
ITEM #
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
18.29 UTILITIES: PUBLIC UTILITIES SYSTEM ENGINEERING,
MAINTENANCE, AND REPAIR RECORDS
Includes records documenting installation, authorizations
to construct, building plans, location, specifications, and
maintenance history, for hydrants, pipes, pumps, valves,
and similar system equipment. Includes drainage system
maintenance and repair records.
a)Retain in office as built plans and specifications for life
of system and then destroy.
b)Destroy in office 5 years after equipment is no longer
owned and/or operational if unlike replacement
occurred.
c)Destroy in office 3 years after equipment is no longer
owned and/or operational if like replacement
occurred.
d)Destroy in office background surveys, studies, reports,
drafts, and other records when superseded or
obsolete.
Authority:
15A NCAC 18C .0300
15A NCAC 2H .0115
Confidentiality:
G.S. 132-1.7
18.30 UTILITIES: RECYCLING WATER RECORDS
Backwash recycling groundwater records. Destroy in office when superseded or obsolete. Authority:
40 CFR 141.76(d)
18.31 UTILITIES: SERVICE INTERRUPTION RECORDS
Includes reports, logs, or similar records documenting
service interruptions.
Destroy in office after 3 years.*
324
18: Public Utilities and Environmental/Waste 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
43
ITEM #
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
18.32 UTILITIES: TAP AND HOOK UP RECORDS
Applications, permits, contracts, logs, or similar records
documenting location and installation of water and
wastewater hookup and taps.
a)Destroy in office permits and contracts 3 years after
termination or cancellation.*
b)Destroy in office denied applications and remaining
records when reference value ends. ±
Agency Policy: Destroy in office after ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟
Confidentiality:
G.S. 132-1.1(c)
18.33 UTILITIES: WATER AND WASTEWATER PERMITS AND
APPROVAL RECORDS
Permits, approval letters, and other related
documentation required by local, state, or federal
ordinance, regulation, or statute for systems owned or
operated by agency. Includes records regarding National
Pollutant Discharge Elimination System (NPDES) permits.
a)Retain approval letters and supporting documentation
permanently.
b)Destroy in office permits and other records 5 years
after expiration, cancellation, revocation or denial.*
Retention:
15A NCAC 18C .0300
15A NCAC 2H .0115
40 CFR 122.28
18.34 UTILITIES: WASTEWATER MAINTENANCE
OPERATION REPORTS
Destroy in office after 3 years.
3 years.
325
18: Public Utilities and Environmental/Waste 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
44
ITEM #
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
18.35 WATER QUALITY: LABORATORY OPERATIONS RECORDS
Includes documentation of all analytical quality control
practices, reporting units, forms, test methods, and
related procedures pertaining to certification obtained by
agency.
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Audits: Performance
(STANDARD 1: ADMINISTRATION AND MANAGEMENT
RECORDS).
a)Destroy in office samples, raw data, analysis reports
and related documentation after 5 years.*
b)Destroy in office records concerning certification 2
years after expiration, cancellation, revocation, or
denial.*
Authority:
15A NCAC 02H
.0805(7)(G)
15A NCAC 02H .1100
18.36 WATER QUALITY: PRETREATMENT PROGRAM RECORDS
Includes annual pretreatment reports, records of
monitoring activities and results, water quality records
and other related documentation.
a)Destroy in office permits and supporting
documentation 5 years after expiration, cancellation,
revocation, or denial.*
b)Destroy in office remaining records after 3 years.*
Retention:
15A NCAC 02H
.0908(f)(1)
40 CFR 503.17
18.37 WATER QUALITY: PUBLIC WATER SANITARY SURVEY
RECORDS
Includes reports, summaries, studies, correspondence
(including e-mail), and other related records documenting
the sanitary condition of system.
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Audits: Performance
(STANDARD 1: ADMINISTRATION AND MANAGEMENT
RECORDS).
a)Destroy in office 10 years after completion of survey.*
b)Destroy in office documentation of corrective
measures 2 years after their implementation.
Retention:
40 CFR 141.33
15A NCAC 18C .1526
326
18: Public Utilities and Environmental/Waste 2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
45
ITEM #
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
18.38 WATER QUALITY: SEWER JETTING AND VECTORING
RECORDS
Records documenting the routine cleaning of wastewater
lines.
Destroy in office after 3 years.
18.39 WATER QUALITY: SLUDGE TREATMENT RECORDS
Includes analyses, certification statements, site
restrictions, monitoring records, vector attraction
reduction requirements, trip tickets, residual records,
control plans and other related documentation conducted
by or for agency.
Destroy in office after 5 years.* Retention:
40 CFR 503.17
18.40 WATER QUALITY: STORMWATER DEVIATION PERMITS
Permits issued to single lots. Includes applications,
certifications of installations, and related records.
a)Destroy in office permits and contracts 3 years after
termination or cancellation.*
b)Destroy in office inspections submitted by owner
when superseded or obsolete.
18.41 WATER QUALITY: VIOLATION RECORDS
Includes all documentation of actions taken to correct
federal, state or local violations of water and wastewater
management standards by agency.
Destroy in office after 5 years.* Retention:
40 CFR 141.33
15A NCAC 18C .1526
18.42 WATER QUALITY: WATER AND WASTEWATER SYSTEM
INSPECTIONS AND TESTS
Includes non-compliance inspections and test records
conducted by a facility.
Destroy in office after 5 years.
327
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 19: Streets, Public Works, and Engineering * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
46
ITEM #
STANDARD 19: STREET MAINTENANCE, PUBLIC WORKS, AND ENGINEERING RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
19.01 APPRAISAL REPORTS
Records appraising privately owned land for
compensation in eminent domain projects.
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Easements and Right-of-Way
Agreements (STANDARD 6: LEGAL RECORDS).
Destroy in office after 10 years.
19.02 CEMETERY DEEDS
Copies of deeds for the purchase of agency-owned
cemetery plots. Includes applications or deed slips.
a)Retain 1 copy of deed in office permanently.
b)Destroy in office remaining records when reference
value ends.±
Agency Policy: Destroy in office after ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟͟͟͟ ͟͟͟ ͟͟͟
19.03 CEMETERY INTERMENT RECORDS
Includes name of deceased, date of interment, and
location of plot.
Retain in office permanently.
Retention Note: If these records are maintained as an
electronic database, a copy should be maintained on paper
or microfilm and updated regularly.
STANDARD 19: PROGRAM OPERATIONAL RECORDS – STREET MAINTENANCE, PUBLIC WORKS, AND ENGINEERING RECORDS
Official records and materials created and accumulated for constructing and maintaining municipal and county-maintained streets and other public works
projects, and engineering records.
1 year
328
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 19: Streets, Public Works, and Engineering * No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
47
ITEM #
STANDARD 19: STREET MAINTENANCE, PUBLIC WORKS, AND ENGINEERING RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
19.04 EXCAVATION PERMITS
Applications, permits, and billing information for
individuals and contractors requesting to work in the
county or municipal right-of-way for demolitions or
excavations.
͟͟͟ ͟͟͟ ͟͟͟
19.05 GRAVE OPENING ORDERS
Authorizations to dig graves in agency-owned cemeteries.
Destroy in office after 1 year.
19.06 INFRASTRUCTURE MAINTENANCE RECORDS
Records documenting the general maintenance and
upkeep of infrastructure, including roads, traffic lights,
and other public works.
Destroy in office after 3 years.
19.07 PLANNING FILE
Includes long-range and immediate plans for paving
streets and other projects.
Destroy in office 5 years after superseded or obsolete.
19.08 PROJECT RECORDS - CANCELLED
Background information for public works and engineering
projects explored but not undertaken. Records are used
as a reference file and include maps, project information,
and the reason that the project failed.
a)Retain records with historical value permanently.
b)Destroy in office remaining records when reference
value ends.±
Agency Policy: Destroy in office after ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟
Confidentiality:
G.S. 132-1.7
a)Destroy in office billing records after 3 years.*
b)Destroy in office applications and permits 1 year after
expiration.
c)Destroy in office applications for which a permit was
never issued when reference value ends.±
Agency Policy: Destroy in office after : 3 years ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟ ͟͟͟
5 years
329
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 19: Streets, Public Works, and Engineering *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
48
ITEM #
STANDARD 19: STREET MAINTENANCE, PUBLIC WORKS, AND ENGINEERING RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
19.09 PROJECT RECORDS – CORE
Records used to document the design and construction of
public works and engineering projects. Includes final as-
built plans and specifications; certificate of
completion/closure; policy correspondence (including e-
mail), covenants; final estimates and budgetary
summaries; geo-technical reports; environmental
mitigation agreements; permits for right-of-way use,
photographs documenting key aspects of construction as-
built; final specifications; and as-built structural
calculations.
Destroy originals after life of structure ends. Confidentiality:
G.S. 132-1.7
330
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 19: Streets, Public Works, and Engineering *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
49
ITEM #
STANDARD 19: STREET MAINTENANCE, PUBLIC WORKS, AND ENGINEERING RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
19.10 PROJECT RECORDS – ENGINEERING & COMPLIANCE
Records used to document the engineering and technical
areas of a public works and engineering project, as well as
compliance with regulatory requirements. Includes
superseded plans and specifications, agreements for
construction and finance, billing information, change
orders, force orders, work orders, construction claims,
contract documentation, contracts, reports, diaries and
narratives, EEO information, material certifications,
material testing reports, notice to proceed, permit of
entry, postings, pre-construction conference records, final
progress payments, punch lists, regulations, shop
drawings, and subcontractor information. File also
includes environmental review records and proof of
compliance with any mitigation measures required as a
condition of project authorization.
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Grants (STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS);
GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT
AGENCIES, Grants: Financial (STANDARD 2: BUDGET,
FISCAL, AND PAYROLL RECORDS); GENERAL RECORDS
SCHEDULE: LOCAL GOVERNMENT AGENCIES, Payroll and
Earnings Records (STANDARD 2: BUDGET, FISCAL, AND
PAYROLL RECORDS.)
Destroy in office 6 years after completion or termination of
project.*
Confidentiality:
G.S. 132-1.7
331
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 19: Streets, Public Works, and Engineering *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
50
ITEM #
STANDARD 19: STREET MAINTENANCE, PUBLIC WORKS, AND ENGINEERING RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
19.11 PROJECT SHEETS FILE
Local forms listing property owners, lot or tract size, right-
of-way data, tax value, and compensation.
Destroy in office after 5 years.
19.12 RIGHT-OF-WAY ACQUISITION WORKING RECORDS
Includes records of negotiations on acquisition of rights-
of-way related to public works and engineering projects,
such as 10-day letter of notification, notification of intent
to acquire, notice of condemnation action, and other
correspondence (including e-mail) relating to right-of-way
acquisitions.
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Easements and Right-of-Way
Agreements (STANDARD 6: LEGAL RECORDS).
Destroy in office after 3 years.*
19.13 STREET NAME AND HOUSE NUMBER FILES
Records relating to the assignment of street names and
house numbers. May also include records documenting
street name changes, and non-temporary street openings
and closings.
Retain in office permanently.
332
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 19: Streets, Public Works, and Engineering *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
51
ITEM #
STANDARD 19: STREET MAINTENANCE, PUBLIC WORKS, AND ENGINEERING RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
19.14 STRUCTURAL MAINTENANCE AND ANALYSIS RECORDS
Records used for maintenance, review, and analysis of
permanent and temporary structures owned by third
parties that extend, cross or abut the public right-of-way.
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Blueprints and Specifications
(STANDARD 1: ADMINISTRATION AND MANAGEMENT
RECORDS).
Destroy records pertaining to structure 3 years after the
end of life of the structure.
Confidentiality:
G.S. 132-1.7
19.15 SURVEY FIELD RECORDS
Records used to document and establish easements and
rights-of-way, and to locate reference points used during
street and utility projects. Records include traverse
information, tie sheets, sketches, field notes, plats,
interpretation of field notes, alignments, profiles of
projects, plans, grade sheets, estimates, databank ties,
and other miscellaneous documents used to establish
grades, rights-of-way and easements.
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Easements and Right-of-Way
Agreements (STANDARD 6: LEGAL RECORDS).
a)Retain records with historical value permanently.
b)Destroy in office remaining records when superseded
or obsolete.
19.16 TRAFFIC ANALYSIS
Analysis of vehicle traffic within agency jurisdiction.
Destroy in office after 5 years.
333
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES 19: Streets, Public Works, and Engineering *No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
52
ITEM #
STANDARD 19: STREET MAINTENANCE, PUBLIC WORKS, AND ENGINEERING RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
19.17 TRAFFIC VIDEO RECORDINGS AND DATA
Recordings and other data used to monitor traffic levels.
Destroy in office after 30 days.*
334
20.Law Enforcement Records2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
53
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.01 ALARM CALL REPORTS
Reports completed by officers responding to alarm
calls. Includes listings of alarm type, time received,
time arrived, reason for activation, and other related
information. Includes forms completed by businesses
and residences naming emergency contacts, location
of safe, or other related information.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office after 30 days if not made part of a
case file.
20.02 ALTERNATIVE SENTENCING PROGRAMS
Records documenting alternative sentencing
programs. Includes work release and weekender
service.
Destroy in office 3 years after individual leaves program.
20.03 ARREST PROCESSING RECORDS
Records used to track a defendant’s time and activities
while in arrest processing. Includes time of arrival and
time to and from each workstation.
Destroy in office 1 year after date of arrest.* Confidentiality:
G.S. 132-1.4
STANDARD 20: PROGRAM OPERATIONAL RECORDS - LAW ENFORCEMENT RECORDS (EXCLUDING SHERIFF’S OFFICES)
Records received and created by any local government law enforcement agency (excluding sheriff’s offices) necessary to meet all statutory requirements.
Comply with applicable provisions of G.S. §132-1.4 regarding confidentiality of law enforcement records and G.S. §153A-98 and G.S. §160A-168 regarding
confidentiality of personal information of law enforcement officers.
Please note: Records created by county sheriff’s offices fall under the purview of the Records Retention Schedule of County Sheriff’s Offices.
335
20.Law Enforcement Records2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
54
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.04 ARREST REPORTS
Reports concerning arrests made by officers.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office 5 years from date of arrest if report
is not made part of a case file.
Confidentiality:
G.S. 132-1.4
20.05 AUCTION RECORDS
Records concerning abandoned and unclaimed articles
or found property in possession of law enforcement
sold at public auction. May include auction receipts of
monies received for items sold.
Destroy in office after 3 years.*
20.06 CASE FILE: FELONIES
Includes investigative reports, complaint reports,
fingerprint cards, original arrest reports, copies of
warrants, special expenditure report, statements of
seized and returned property, interview sheets; case
status reports, photographs, court orders,
correspondence; officer’s notes, court dispositions,
audio or video recordings, and other related
records.
SEE ALSO: Electronic Recordings of Interrogations,
below.
a)Destroy in office records concerning solved cases
20 years after disposition of case and exhaustion of
any appeals.*
b)Retain in office records concerning unsolved cases
until solved, and then follow disposition
instructions in part (a).
Confidentiality:
G.S. 132-1.4
336
20.Law Enforcement Records2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
55
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.07 CASE FILE: MISDEMEANORS
Includes investigative reports, complaint reports,
fingerprint cards, original arrest reports, copies of
warrants, special expenditure reports, statements of
seized and returned property, interview sheets, case
status reports, photographs, court orders,
correspondence, officer’s notes, court dispositions,
audio or video recordings, and other related records.
a)Destroy in office records concerning solved malicious
misdemeanor cases 3 years after disposition of case
and exhaustion of any appeals.*
b)Retain in office records concerning unsolved malicious
misdemeanor cases until solved, and then follow
disposition instructions in part (a).
c)Destroy in office records concerning all misdemeanor
cases not covered in (a) or (b) after 3 years.*
Confidentiality:
G.S. 132-1.4
20.08 COMMUNICATION RECORDS
Recordings, printouts, and logs of telephone, radio,
dispatch, 911 emergency calls or texts, and computer
aided dispatch (CAD) systems incoming and/or
outgoing communications. Includes time and date of
call, contents of call, location of call, name of unit sent
to scene, and other related information.
SEE ALSO: PROGRAM RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, 911 Communication
Records and Recordings AND Dispatch Records and
Recordings.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office after 30 days if not made part of a
case file.
Confidentiality:
G.S. 132-1.4
337
20. Law Enforcement Records
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
56
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.09 COMPLAINTS
Records concerning complaints to which a unit
responded. Includes logs listing name and address of
victim, time, date, nature of complaint, responding
officer’s name, action taken, and other related
information.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office 3 years after resolution if not made
part of a case file.
Confidentiality:
G.S. 132-1.1(a)
20.10 COMPOSITE INTERVIEWS
Summaries of interviews used to determine the
physical description of suspects.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office when reference value ends if not
made part of case file.±
Agency Policy: Destroy in office after ___ __
20.11 CRIME ANALYSIS RECORDS
Records used to anticipate, prevent, or monitor
possible criminal activity. Includes crime reports,
photographs, complaints, copies of citations, criminal
profile information, and interoffice memoranda
generated or accumulated in connection with
investigations or directed patrols.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office when reference value ends if not
made part of case file.±
Agency Policy: Destroy in office after ___ __
Confidentiality:
G.S. 132-1.4
G.S. 132-1.7(a2)
Authority/
Confidentiality/
Retention
28 CFR 23.20
n/a
n/a
338
20. Law Enforcement Records
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
57
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.12 DETENTION FACILITY INCIDENT REPORTS
Detention facility incident reports. Include narratives
of incidents, lists of those involved, statements and
interview reports, inmates’ refusal of medical
treatment, inmates’ refusal to press charges, and other
related records.
SEE ALSO: GENERAL RECORDS SCHEDULE: LOCAL
GOVERNMENT AGENCIES, Litigation Case Records
(STANDARD 6: LEGAL RECORDS).
c)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
d)Destroy in office after 3 years if not made part of a
case file.*
Confidentiality:
G.S. 132-1.1(a)
20.13 DETENTION FACILITY OPERATIONAL RECORDS
Records concerning all activities occurring during shifts
at detention facilities. Includes end of duty (shift
change reports, key and radio control lists, equipment
and inmate/non-inmate housing check lists, cell
inspection reports, laundry exchange and controlled
property lists, tour reports, etc.) and inmate
accountability (rosters, commitment and release
reports, cell locations, etc.) records.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office when reference value ends if not
made part of case file.±
Agency Policy: Destroy in office after ___ __
20.14 DETENTION FACILITY PHYSICAL FORCE RECORDS
Reports made by any officer or employee of a
detention facility who applies physical force to an
inmate or arrestee.
Destroy in office after 3 years.*
n/a
339
20.Law Enforcement Records2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
58
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.15 DIVISION OF CRIMINAL INFORMATION AND
NATIONAL CRIME INFORMATION CENTER (DCI-
NCIC) ENTRIES
Records and logs listing entries and inquiries made
against DCI-NCIC networks and concerning missing
persons, wanted persons, stolen vehicles or other
property, and other related topics.
Destroy in office 1 year after period covered by audit.* Authority:
28 USC 534
20.16 DIVISION OF CRIMINAL INFORMATION AND
NATIONAL CRIME INFORMATION CENTER (DCI-
NCIC) VALIDATION RECORDS
Requests and proofs of verification for DCI-NCIC or
other law enforcement information networks.
Destroy in office after 1 year.* Authority:
28 USC 534
20.17 DNA SAMPLING RECORDS
Records documenting the collection of DNA samples
from persons for qualifying offenses. Includes copies
of judgments. Original samples are forwarded to the
State Crime Lab.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office 1 year from date sample was
obtained if not made part of a case file.
Authority:
G.S. 15A-266.8
340
20. Law Enforcement Records
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
59
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.18 DOMESTIC VIOLENCE RECORDS
Restraining orders and related records.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office after expiration of restraining order
if not made part of a case file.
Confidentiality:
G.S. 132-1.4
20.19 DRUG AND ALCOHOL TESTING RECORDS
Records and reports generated when individuals
suspected of being under the influence of or impaired
by illegal drugs or alcohol are chemically tested.
Includes reports used for persons arrested for driving
while impaired by alcohol and/or drugs and
breathalyzer analysis reports.
SEE ALSO: Laboratory Case Records, below.
a)Transfer original Driving While Impaired (DWI) reports
to county Clerk of Superior Court’s office.
b)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
c)Destroy in office when reference value ends if not
made part of case file.±
Agency Policy: Destroy in office after _______ n/a
341
20. Law Enforcement Records
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
60
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.20 ELECTRONIC RECORDINGS OF INTERROGATIONS
Electronic recordings generated by audio and/or video
recording devices of custodial interrogations in an
investigation of a juvenile or any person in a criminal
investigation.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office when reference value ends if
not made part of case file.±
Agency Policy: Destroy in office after _______
Authority:
G.S. 15A-211
Confidentiality:
G.S. 7B-3001(b)
G.S. 132-1.4A
20.21 FIELD OBSERVATIONS
Records concerning field observations of suspicious
persons or vehicles. Includes subject’s name, address,
and physical description; date, time, and location of
occurrence; reason for stop; name of officer
conducting interview; and other related information.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office when reference value ends if not
made part of case file.±
Agency Policy: Destroy in office after _ ______
Confidentiality:
G.S. 132-1.4
n/a
n/a
342
20. Law Enforcement Records
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
61
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.22 FINGERPRINT CARDS
Records used to verify a subject’s identity. Includes
fingerprints and all necessary information required to
identify an individual. Also includes records of latent
finger and palm prints that were found at the scene
of a crime without identification of suspects
Original fingerprint records are forwarded to the
State Bureau of Investigation.
SEE ALSO: Juvenile Case History Identification Records,
below.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office after 3 years if not made part of case
file.
Confidentiality:
G.S. 132-1.4
Authority:
G.S. 15A-502
20.23 FORCIBLE ENTRY RECORDS
Records concerning forcible entries made by law
enforcement personnel.
Destroy in office after 1 year.
20.24 FUGITIVE WARRANTS CASE RECORDS
Records concerning fugitive warrants sent to a
department from another jurisdiction requesting
assistance in finding an individual. Includes fugitive
profile and warrant.
Destroy in office when reference value ends.±
Agency Policy: Destroy in office after _ ______ n/a
343
20. Law Enforcement Records
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
62
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.25 IDENTIFICATION PHOTOGRAPHS
Photographs (mugshots) of persons arrested in
association with formal investigations. Also includes
driver’s license photos or negatives.
SEE ALSO: Juvenile Case History Identification Records,
below.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office after 3 years if not made part of
a case file.
Confidentiality:
G.S. 132-1.4
20.26 INCIDENT RESPONSE REPORTS
Reports completed by officers responding to
incidents. Includes victim, suspect, and witness
information; damaged and stolen property reports;
statement sheets; Miranda waiver forms; and other
related records.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office when reference value ends if not
made part of case file.±
Agency Policy: Destroy in office after _ __
Confidentiality:
G.S. 132-1.4
20.27 INMATE CLASSIFICATION RECORDS
Records concerning classification information
gathered by the detention facility while inmates are
incarcerated. Also includes incident reports,
behavioral or disciplinary reports, interviews,
classification level assigned, requested housing
moves, and other related records.
Destroy in office 3 years after inmate is released or
transferred from the facility.*
n/a
344
20. Law Enforcement Records
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
63
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.28 INMATE COMMITMENT RECORDS
Copies of judgment and commitment papers received
from the Clerk of Superior Court’s office used to
validate time spent incarcerated.
Destroy in office when reference value ends.±
Agency Policy: Destroy in office after _ ______
20.29 INMATE DEATH REPORTS
Reports filed by office upon the death of an inmate. A
report must be sent to the county health director and
N.C. Department of Health and Human Services, within
five days of the death.
Destroy in office after 3 years.* Authority:
G.S. 153A-224(b)
20.30 INMATE FINANCIAL RECORDS
Records concerning individual inmate funds
maintained by a detention facility for use by the
inmate while incarcerated. Includes balance sheets
listing inmate’s name and number, amount of funds,
dates of deposits and withdrawals, and other related
information.
Destroy in office 3 years after inmate is released or
transferred from the facility.*
n/a
345
20.Law Enforcement Records2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
64
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.31 INMATE GRIEVANCE RECORDS
Records concerning grievances filed by inmates and
actions taken.
a)If legal action is taken and case adjudicated, destroy in
office 5 years after final disposition.
b)If legal action is taken and case non-adjudicated (out-
of-court claims), destroy in office 5 years after final
disposition or expiration of relevant statute of
limitations.
c)Destroy remaining records in office 3 years after
inmate is released or transferred from the facility.*
Confidentiality:
G.S. 132-1.1(a)
20.32 INMATE MAIL, TELEPHONE, OR VISITOR RECORDS
Records concerning telephone calls and mail sent and
received by inmates and individuals visiting inmates
confined in county or municipal detention facilities.
Includes logs listing inmate’s name, date and time of
call or mail, visitor’s signature and address, and other
related information.
Destroy in office after 1 year.*
20.33 INMATE MEAL RECORDS
Records concerning the planning and scheduling of
inmate meals. Includes food service daily shift reports,
daily meal sheets, food order forms, kitchen checklists,
lists of inmates receiving meals and other related
records. File also includes records concerning requests
for special diets made by inmates.
Destroy in office after 3 years.* Retention:
10A NCAC 14J .1723
346
20.Law Enforcement Records2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
65
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.34 INMATE MEDICAL RECORDS
Records concerning medical examinations, diagnoses,
and treatments of inmates. Includes medical
information sheets and screening forms, medical
histories as provided by inmate, receipt and/or release
forms for medications and medical articles, laboratory
and x-ray reports, blood pressure records, sick bay
transfer forms, special diet authorizations,
psychological evaluation forms, suicide watch sheets,
progress notes, health assessment forms, dental
forms, doctors’ orders, transportation records to
outside clinics or hospitals, and other related records.
May also include authorization records for release of
medical information to detention facility staff,
informed consent forms, refusal of treatment forms,
and release of financial responsibility forms.
SEE ALSO: Juvenile Detention Records, below.
Destroy in office 10 years after inmate’s release or parole. Confidentiality:
G.S. 8-53
45 CFR 164.502
20.35 INMATE PERSONAL IDENTIFICATION RECORDS
Records concerning changes to be made to an inmate’s
incarceration file. Includes personal identification
changes, superior court calendar, long form dismissals
and other related records.
Destroy in office 30 days after receipt.*
347
20. Law Enforcement Records
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
66
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.36 INMATE RESEARCH REQUESTS
Requests filed by inmates seeking use of a facility’s law
library or similar collection containing research
materials.
Destroy in office 1 year from date of request.
20.37 JUVENILE CASE FILES
Includes incident and arrest reports, detention orders,
disposition instructions, name and address of person
having legal and/or physical custody of child,
correspondence with county, municipal, or state
juvenile services, and other related records.
a)Destroy in office records when juvenile reaches 21
years of age if adjudicated for an offense that would
have been a Class A, B1, B2, C, D, or E felony if
committed by an adult.
b)Destroy in office records related to all other cases
when juvenile reaches 18 years of age.
Confidentiality:
G.S. 7B-3001(b)
Retention:
20.38 JUVENILE CASE HISTORY IDENTIFICATION RECORDS
Includes fingerprints and photographs.
a)Transfer to the State Bureau of Investigation and
Federal Bureau of Investigation.
b)Destroy in office agency copies when reference
value ends.*±
Agency Policy: Destroy in office after _____
Confidentiality/
Retention:
G.S. 7B-2102
20.39 JUVENILE DETENTION RECORDS
Records concerning medical and non-medical
information gathered on juvenile inmates held in
county or municipal detention facilities.
a)Destroy in office medical records when juvenile
reaches 30 years of age.
b)Destroy in office non-medical records when juvenile
reaches 18 years of age.
Confidentiality:
G.S. 7B-3001(b)
n/a
348
20. Law Enforcement Records
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
67
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.40 LABORATORY CASE RECORDS
Records concerning cases examined in a crime
laboratory; includes reports, notes, charts, and other
related records
Retain in office permanently. Confidentiality:
G.S. 132-1.4
20.41 LAW ENFORCEMENT AUDIO AND VIDEO RECORDINGS
Tapes and digital recordings generated by mobile
and fixed audio and video recording devices.
Does not include Electronic Recordings of
Interrogations, above.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office after 30 days if not made part of a
case file.
Confidentiality:
G.S. 132-1.4A
G.S. 153A-98
20.42 MULTIPLE FIREARMS SALES REPORTS
Reports received from dealers reporting the sale of
multiple firearms.
Destroy in office when reference value ends, but within 20
days after receipt.±
Agency Policy: Destroy in office after _ ____
Retention:
18 USC 923(g)(3)(b)
20.43 MULTIPLE FIREARMS SALES REPORTS
DESTRUCTION RECORDS
Records submitted after 6 months to the U.S. Attorney
General’s Office certifying that all multiple firearm
sales reports received from dealers have been
destroyed.
Destroy in office after 1 year. Authority:
18 USC 923(g)(3)(b)
n/a
349
20. Law Enforcement Records
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
68
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.44 ORDINANCE VIOLATIONS CITATIONS
Citations issued for violations of municipal and
county ordinances.
Destroy in office after 3 years.*
20.45 PAWNSHOP RECORDS
Pawnshop cards and property records submitted to
municipal and county law enforcement offices.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office after 1 year if not made part of a case
file.
Authority:
G.S. 66-391
20.46 PERMISSION TO SEARCH RECORDS
Authorizations for officers to search property, and if
necessary, confiscate property deemed pertinent to an
investigation.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office when reference value ends if not
made part of a case file.±
Agency Policy: Destroy in office after ______ n/a
350
20.Law Enforcement Records2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
69
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.47 PERMITS: CONCEALED WEAPONS AND HANDGUNS
Applications and supporting documentation filed to
carry concealed weapons or purchase handguns.
Includes background checks and other related records.
a)Destroy in office all approved applications after 5
years.
b)Destroy in office denied applications and related
records 5 years from date of denial or resolution of
petition filed with district court, whichever is longer.
c)Destroy in office background checks and related
records concerning approved applications when
permit is issued.
Authority/
Confidentiality:
G.S. 14-415.17
G.S. 132-1.4
G.S. 132-1.7
20.48 PRISON RAPE ELIMINATION ACT (PREA) FILE
Allegation, investigation, and incident review records
documenting investigations into allegations of sexual
abuse or sexual harassment.
Destroy in office 6 years after inmate's release.*
Retention Note: If a minor is involved in the incident,
records should be retained until the minor reaches age 30.
Authority:
28 CFR Part 115
20.49 PRISON RAPE ELIMINATION ACT (PREA) DATA FILE
Aggregated data for every allegation of sexual abuse at
county or municipal lockups.
Destroy in office after 10 years. Authority/Retention:
28 CFR Part 115.187
28 CFR 115.189(d)
20.50 PRISONER TRANSPORT RECORD
Verification forms completed by receiving party of
prisoner patient.
Destroy in office after 1 year.
351
20.Law Enforcement Records2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
70
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.51 PROPERTY RECORDS
Records concerning confiscated property, evidence,
stolen or recovered property, and unclaimed property.
Includes descriptions of property and its value, serial
numbers, and other related records. Records may also
be filed with original incident report.
Destroy in office 3 years after final disposition of property.
20.52 PURSUIT LOGS
Logs concerning pursuits by law enforcement
personnel.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office after 3 years if not made part of a
case file.
20.53 RIDE-ALONG PROGRAM RECORDS
Records concerning a law enforcement ride-along
program.
Destroy in office after 3 years.*
20.54 SEXUAL OFFENDER RECORDS
Records concerning sexual offenders living within
jurisdiction.
a)Destroy in office records of persons registered in the
“Sexually Violent Predator Program” when individual is
known dead or after 90 years.
b)Destroy in office records of persons registered in
the “Sex Offender and Public Protection Program”
after court petition and review by the state; or after
30 years or length of court order, whichever is
greater; or when individual is known dead.
Authority:
G.S. 14-208
Retention:
G.S. 14-208.6A
352
20. Law Enforcement Records
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
71
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.55 TRAFFIC ACCIDENT REPORTS
Records concerning traffic accidents. Includes general
correspondence, property receipts, collision reports,
waivers signed by involved parties agreeing to settle
damages among themselves, and other related
records.
a)Transfer original collision report to the N.C.
Division of Motor Vehicles within 10 days of
accident.
b)Destroy in office after 3 years records concerning
accidents not meeting N.C. Division of Motor Vehicles
reporting requirements, but for which a report was
made.
c)Destroy in office duplicate reports when reference
value ends.±
Agency Policy: Destroy in office after ______
Confidentiality:
18 USC 2721
20.56 TRAFFIC CITATIONS AND WARNINGS
Citations issued to drivers violating motor vehicle and
traffic laws. Includes voided citations and warnings
that do not require a fine or court appearance.
a)Transfer original citations to county Clerk of Superior
Court’s office.
b)If records are made part of a case file, follow
disposition instructions for:
Case FIle: Felonies
Case File: Misdemeanors
c)Destroy remaining records in office after 1 year.
n/a
353
20.Law Enforcement Records2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
72
ITEM # STANDARD 20: LAW ENFORCEMENT RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
20.57 TRESPASS RECORDS
Authorizations by property owners, lessees, or
managers for law enforcement officers to take action
deemed appropriate to remove unauthorized persons
and issue trespass warnings.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office 1 year after expiration if not made
part of a case file.
Authority:
G.S. 14-159.12-13
20.58 VEHICLE TOWING RECORDS
Includes recovery authorizations and consent forms
completed by owners to have vehicle towed, removed,
stored, or left at the scene.
a)If records are made part of a case file, follow
disposition instructions for:
Case File: Felonies
Case File: Misdemeanors
b)Destroy in office after 1 year if not made part of a case
file.
354
21.Tax Records (Municipal)2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
73
ITEM #
STANDARD 21: TAX RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
21.01 ANIMAL LICENSING RECORDS
Records concerning the licensing of dogs, cats, and other
animals by the municipality. Includes owner and animal
information and record of fees paid.
Destroy in office after 3 years.* Authority:
G.S. 160A-212
Confidentiality:
G.S. 105-259
G.S. 132-1.1(b)
G.S. 132-1.2
G.S. 160A-208.1
21.02 BEER AND WINE TAXES AND RECORDS
Records concerning the levy of privilege taxes on beer
and wine.
Destroy in office after 3 years.* Authority:
G.S. 105-133.77-79
21.03 BICYCLE LICENSE PLATE RECORDS
Records concerning issuance of license plates for bicycles.
Destroy in office after 1 year.* Confidentiality:
G.S. 105-259
G.S. 132-1.1(b)
G.S. 132-1.2
G.S. 160A-208.1
STANDARD 21: PROGRAM OPERATIONAL RECORDS - TAX RECORDS (FOR MUNICIPALITIES)
Records received and created by a municipality for the purposes of collecting taxes. For County Tax Administration records, please refer to the separate
County Tax Administration Program Schedule.
355
21.Tax Records (Municipal)2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
74
ITEM #
STANDARD 21: TAX RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
21.04 DELINQUENT TAXPAYER RECORDS
Records concerning taxpayers who have not paid real and
personal property taxes due, including unpaid notices.
SEE ALSO: Delinquent Taxpayer Records: Advertisement
of Tax Liens Against Real Property, below.
Destroy in office after 10 years or 3 years after final
settlement or 1 year after released by governing board,
whichever comes first.*
21.05 DELINQUENT TAXPAYER RECORDS: ADVERTISEMENT OF
TAX LIENS AGAINST REAL PROPERTY
Records concerning the municipal taxation officer’s
publication in the newspaper of delinquent taxpayer and
tax sales notices.
SEE ALSO: Delinquent Taxpayer Records, above.
Destroy in office after 10 years.* Authority:
G.S. 105-369
21.06 MOTOR VEHICLE RENTAL TAX RECORDS
Records concerning motor vehicle rental tax assessments.
Destroy in office after 3 years.*
21.07 MUNICIPAL VEHICLE TAX RECORDS
Records concerning municipal vehicle taxes levied
annually.
Destroy in office after 3 years.* Authority:
G.S. 20-97(b)
21.08 PREPARED FOOD AND BEVERAGE TAX RECORDS
Records concerning prepared food and beverage tax
assessments.
Destroy in office after 3 years.*
356
21.Tax Records (Municipal)2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
75
ITEM #
STANDARD 21: TAX RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
21.09 PRIVILEGE LICENSES, TAXES, AND FEE RECORDS
Records concerning the licensing of occupations,
businesses, trades, professions, and forms of amusement
or entertainment and associated fees and taxes.
SEE ALSO: Animal Licensing Records (above), Beer and
Wine Taxes and Records (above), Municipal Vehicle Tax
Records (above), Taxicab and Limousine Tax Records
(below).
Destroy in office after 3 years.* Authority:
G.S. 160A-194
21.10 ROOM OCCUPANCY TAX RECORDS
Records concerning the administration of room
occupancy tax records for those municipalities who have
adopted room occupancy taxes.
Destroy in office after 3 years.* Authority:
G.S. 160A-215
Confidentiality:
G.S. 105-259
G.S. 132-1.1(b)
G.S. 132-1.2
G.S. 160A-208.1
357
21.Tax Records (Municipal)2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
*No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
76
ITEM #
STANDARD 21: TAX RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
21.11 SCHEDULE “B” LICENSES
Receipts of licenses issued by municipality in accordance
with Article 2, Schedule B of the Revenue Laws of North
Carolina. Applies to privilege licenses issued to attorneys-
at-law and other professionals, installment paper dealers,
and pawnbrokers.
a)Destroy in office 3 years after close of license tax year
stubs or detailed settlement records.
b)Destroy in office stubs 1 years after audit if
settlement records are kept.
Authority:
G.S. 105-41
G.S. 105-83
G.S. 105-88
G.S. 153A-152
G.S. 160A-211
Confidentiality:
G.S. 105-259
G.S. 132-1.1(b)
G.S. 132-1.2
G.S. 160A-208.1
21.12 TAX ABSTRACTS AND LISTS
Records concerning real and personal property in the
municipality, based on assessment lists. Includes name
and address of taxpayer along with descriptions of
property owned and estimated value.
Destroy in office after 10 years or two revaluation cycles. Authority:
G.S. 105-309
G.S. 105-296
21.13 TAX EXEMPT PROPERTY FILE
Records concerning property that is exempt from
taxation.
Destroy in office 5 years after property exemption has
expired or at end of life of structure, whichever comes
first.
21.14 TAX LEDGER CARDS OR SHEETS Destroy in office 5 years after superseded or obsolete.
358
21. Tax Records (Municipal)
2021 PROGRAM RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES
* No destruction of records may take place if audits or litigation are pending or reasonably anticipated. See AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION,
page A-5.
± The agency hereby agrees that it will establish and enforce internal policies setting minimum retention periods for the records that Natural and Cultural
Resources has scheduled with the disposition instruction “destroy when reference value ends.” Please use the space provided.
77
ITEM #
STANDARD 21: TAX RECORDS
RECORDS SERIES TITLE DISPOSITION INSTRUCTIONS CITATION
21.15 TAX LEVY/SEIZURE RECORDS
Inventory of property taken from property owner by the
municipal tax collector to pay back taxes.
a)Destroy in office after 3 years execution forms if levy
and sale of personal property is made. If levy and sale
are conducted by municipal law enforcement agency,
execution forms are to be retained by that agency.
b)If levy, seizure, and sale are not made, destroy in
office forms when reference value ends.±
Agency Policy: Destroy in office after ______________
Authority:
G.S. 105-366
G.S. 105-367
21.16 TAX LIEN SALES
Records concerning sales held to satisfy tax liens.
Destroy in office 10 years after sale.
21.17 TAX REBATES
Records concerning tax rebates given or received.
Destroy in office after 10 years.
21.18 TAX SCROLLS
Records indicating property (real estate and personal)
valuation and taxes due.
Destroy in office after 10 years.
21.19 TAXICAB AND LIMOUSINE TAX RECORDS
Records concerning the levy of privilege taxes on taxicabs
and limousines.
Destroy in office after 3 years.* Authority:
G.S. 20-97(d)
n/a
359
A-1
MANAGING PUBLIC RECORDS IN NORTH CAROLINA
Q.What is this “records retention and disposition schedule”?
A.This document is a tool for the employees of local government agencies across North Carolina to
use when managing the records in their offices. It lists records commonly found in agency
offices and gives an assessment of their value by indicating how long those records should be
retained. This schedule is also an agreement between your agency and the State Archives of
North Carolina.
This schedule serves as the inventory and schedule that the State Archives of North Carolina is
directed by N.C. Gen. Stat. § 121-5(c) and N.C. Gen. Stat. § 132-8 to provide. It supersedes all
previous editions, including all amendments.
Q.How do I get this schedule approved?
A.This schedule must be approved by your governing body for use in your agency. That approval
should be made in a regular meeting and recorded as an action in the minutes. It may be done
as part of the consent agenda, by resolution, or other action.
Q.Am I required to have all the records listed on this schedule?
A.No, this is not a list of records you must have in your office.
Q.What is “reference value”?
A.Items containing “reference value” in the disposition instructions are generally records that hold
limited value, which is typically restricted to those documenting routine operations within the
office. A minimum retention period should be established by the office for any items containing
the phrase “destroy in office when reference value ends” in the disposition instructions.
Q.Do the standards correspond to the organizational structure of my agency?
A.Records series are grouped into standards to make it easier for users to locate records and their
disposition instructions. You may find that the groupings reflect the organizational structure of
your agency, or you may find that records are located in various standards depending on the
content of the record. The intent of the schedule’s organization is to provide an easy reference
guide for the records created in your agency.
Q.What if I cannot find some of my records on this schedule?
A.Sometimes the records are listed in a different standard than how you organize them in your
office. Be sure to check the Index and utilize the search function on the PDF version of the
schedule to facilitate the location of records series. If you still cannot locate your records on the
schedule, contact a Records Management Analyst. We will work with you to amend this records
schedule so that you may destroy records appropriately. The Request for Change in Records
Schedule form (see page A-17) can be used for such requests.
Q.What are public records?
A.The General Statutes of North Carolina, Chapter 132, provides this definition of public records:
“Public record” or “public records” shall mean 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
360
A-2
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. Agency of North Carolina government or its subdivisions shall mean and
include every public office, public officer or official (state or local, elected or appointed),
institution, board, commission, bureau, council, department, authority or other unit of
government of the state or of any county, unit, special district or other political subdivision
of government.
Q.Is any person allowed to see my records?
A.Yes, except as restricted by specific provisions in state or federal law. N.C. Gen. Stat. § 132-6
instructs:
“Every custodian of public records shall permit any record in the custodian’s custody to be
inspected and examined at reasonable times and under reasonable supervision by any
person, and shall, as promptly as possible, furnish copies thereof upon payment of any fees
as may be prescribed by law. … No person requesting to inspect and examine public records,
or to obtain copies thereof, shall be required to disclose the purpose or motive for the
request.”
Q.What about my confidential records?
A.Not all government records are open to public inspection. Exceptions to the access
requirements in N.C. Gen. Stat. § 132-6 and the definition of public records in N.C. Gen. Stat. §
132-1 are found throughout the General Statutes. You must be able to cite a specific provision
in the General Statutes or federal law when you restrict or deny access to a particular record.
Q.Am I required to make available to the public copies of drafts that have not
been approved?
A.Yes, even if a report, permit, or other record has not been finalized, it is still a public record
subject to request. Any record that is not confidential by law must be provided when a request
is received, whether it is “finished” or not.
Q.What do I do with permanent records?
A.Permanent records should be maintained in the office that created the records, forever.
The Department of Natural and Cultural Resources (DNCR) is charged by the General Assembly
with the administration of a records management program (N.C. Gen. Stat. § 121-4 (2) and §
132-8.1) and the maintenance of “a program for the selection and preservation of public records
considered essential to the operation of government and to the protection of the rights and
interests of persons” (§ 132-8.2). Permanent records with these characteristics require
preservation duplicates that are human-readable (paper or microfilm). Some examples of these
characteristics include:
Affect multiple people, without regard to relation
Have significance over a long span of time
Document governance
Document citizenship
Examples of records with these characteristics:
Minutes of governing bodies at the state and local levels are the basic evidence of our system
of governance, and are routinely provided for the public to read.
361
A-3
Records, such as deeds and tax scrolls, about land document changes in ownership and
condition. Counties maintain offices expressly for the purpose of making those records
available to the public. Other records in local and state governments document potential
public health hazards, such as hazardous materials spills.
Adoptions, marriages, and divorces document changes in familial relationships and document
citizenship. Though adoptions are confidential (not available for public inspection), they
document citizenship and changes in inheritance and familial succession.
Court records, such as wills, estates, and capital cases, affect people within and across family
groups, are made available for public inspection, and often involve transactions related to
the examples above.
See the Human-Readable Preservation Duplicates policy issued by the North Carolina
Department of Natural and Cultural Resources (https://archives.ncdcr.gov/government/digital-
records/digital-records-policies-and-guidelines/human-readable-preservation) and check with a
records analyst to determine whether your permanent records require a preservation duplicate.
Q.What is historical value?
A.Historical records document significant events, actions, decisions, conditions, relationships, and
similar developments. These records have administrative, legal, fiscal, or evidential importance
for the government or its citizens. Two criteria for determining historical value are inherent
interest and extraordinary documentation:
•Inherent interest is created by non-routine events, by the involvement of famous parties, and
by compelling contexts. For instance, foreclosure proceedings from the 1930s have high
historical value because they date from the era of the Great Depression.
•Extraordinary documentation is found in records that shed light on political, public, or social
history. For instance, the records from the replevin case that returned the Bill of Rights to
North Carolina hold more historical value than most property case files because of the political
history intertwined with this case.
SANC has further elaborated selection criteria that help distinguish records with historical value:
•Do they protect the rights and property of citizens?
•Do they have a long-term impact on citizens?
•Do they document the core functions of an agency?
•Do they document high-level decision-making that shapes an agency’s policies or initiatives?
•Do they summarize an agency’s activities?
Call a Records Management Analyst for further assistance in assessing historical value.
Q.What if I do not have any records?
A.Nearly every position in government generates, receives, or uses records. Computer files of any
kind, including drafts and e-mail, are public records. Even if your records are not the official or
final version, your records are public records. Not all records have high historical, legal, or fiscal
value, but they all must be destroyed in accordance with the provisions of the appropriate
records schedule.
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A-4
Q. I have a lot of unsorted records. What’s a good first step for getting a
handle on these records?
A.We encourage you to create a file plan of what records you have. When you create this plan,
you can match each record to its placement on this schedule or on the appropriate retention
schedule. A sample file plan is available on Page A-21. Having a file plan can help you strategize
how to best organize your physical or digital records. A file plan is also useful in disaster
planning and scheduling destructions.
Q.May I store our unused records in the basement, attic, shed, etc.?
A.Public records are public property. Though we encourage agencies to find places to store
records that do not take up too much valuable office space, the selected space should be dry,
secure, and free from pests and mold. Your office must ensure that records stored away from
your main office area are well protected from natural and man-made problems while remaining
readily available to your staff and the public.
Q.Our old records are stored in the attic, basement, or off-site building, etc.
Are we required to provide public access to these records?
A.Yes, as long as the records are not confidential by law. You should also be aware that
confidentiality can expire.
Q.Aren’t all our old records at the State Archives of North Carolina?
A.Probably not. The State Archives of North Carolina collects only very specific types of records
from local government offices. Contact a Records Management Analyst for more information
about which records are held or can be transferred to the State Archives of North Carolina for
permanent preservation.
Q.I found some really old records. What should I do with them?
A.Call a Records Management Analyst. We will help you examine the records and assess their
historical value.
Q.Can I give my old records to the historical society or public library?
A.Before you offer any record to a historical society, public library, or any other entity, you must
contact a Records Management Analyst. Permanent records must be kept either in your offices
or at the State Archives of North Carolina.
Q.Whom can I call with questions?
A.If you are located west of Statesville, call our Western Office in Asheville at (828) 250-3103. If
you are east of Statesville, all the way to the coast, call our Raleigh office at (919) 814-6900.
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A-5
AUDITS, LITIGATION, AND OTHER OFFICIAL ACTION
Q.Why is there an asterisk in the disposition instructions of so many items on
this schedule?
A.No record involved in a pending or ongoing audit, legal, or other official action may be
destroyed before that audit or action is resolved.
A legal hold or litigation hold means that records that are the subject of the legal hold or
litigation hold must be preserved and thus must not be destroyed until officially released from
the hold. A legal hold or litigation hold is placed when either an official discovery order is served
on the agency requesting the production of the records in question (for a litigation, regulatory
investigation, audit, open records request, etc.) or litigation is pending and the agency is thus on
notice to preserve all potentially relevant records. You must also ensure that for a claim or
litigation that appears to be reasonably foreseeable or anticipated but not yet initiated, any
records (in paper or electronic formats) relevant to such a claim or litigation are preserved and
not destroyed until released by your General Counsel. The records in question must not be
destroyed until the completion of the action and the resolution of all issues that arise from it
regardless of the retention period set forth in this schedule.
We have used an asterisk (*) in the disposition instructions to mark records series that are
commonly audited, litigated, or may be subject to other official actions. However, any record
has this potential. Records custodians are responsible for being aware of potential actions, and
for preventing the destruction of any record that is, or may be reasonably expected to become,
involved in an audit, legal, or other official action.
Records used during routine audits may be destroyed when the governing body accepts the
audit, if the records have completed the retention period listed in this schedule. If time remains
in the retention period, the records must be maintained for the remainder of the period. The
auditor’s working papers must be kept according to the schedule. (See also GENERAL RECORDS
SCHEDULE: LOCAL GOVERNMENT AGENCIES, Audits: Performance, STANDARD 1:
ADMINISTRATION AND MANAGEMENT RECORDS, Audits: Financial, STANDARD 2: BUDGET,
FISCAL, AND PAYROLL RECORDS.) Should a dispute arise over an audit, the records that were
audited should be retained until that dispute is resolved.
The attorney representing the agency should inform records custodians when legal matters are
concluded and records will no longer be needed. Following the conclusion of any legal action,
the records may be destroyed if they have met the retention period in the schedule. Otherwise,
they should be kept for the remaining time period.
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TRANSITORY RECORDS
Transitory records are defined as “record[s] that [have] little or no documentary or evidential value and
that need not be set aside for future use.”3
According to North Carolina General Statutes § 121 and § 132, every document, paper, letter, map,
book, photograph, film, sound recording, magnetic or other tape, electronic data processing record,
artifact, or other documentary material, regardless of physical form or characteristics, made or received
in connection with the transaction of public business by any state, county, municipal agency, or other
political subdivision of government is considered a public record and may not be disposed of, erased, or
destroyed without specific approval from the Department of Natural and Cultural Resources.
The Department of Natural and Cultural Resources recognizes that some records may have little or no
long-term documentary or evidential value to the creating agency. These records are often called
“transitory records.” The following questions and answers discuss types of transitory records commonly
created in state government. They may be disposed of according to the guidance below. However, all
public employees should be familiar with the General Records Schedule for Local Government Agencies,
their office’s Program Records Retention and Disposition Schedule, and any other applicable guidelines
for their office. If any of these documents require a different retention period for these records, follow
the longer of the two retention periods. When in doubt about whether a record is transitory, or
whether it has special significance or importance, retain the record in question and seek guidance from
the analyst assigned to your agency.
Q.What do I do with routing slips, fax cover sheets, “while you were out”
slips, memory aids, etc.?
A.Routing slips and transmittal sheets adding no information to that contained in the transmitted
material have minimal value after the material has been successfully transmitted. These records
may be destroyed or otherwise disposed of after receipt of the material has been confirmed.
Similarly, “while you were out” slips, memory aids, and other records requesting follow-up
actions (including voicemails) have minimal value once the official action these records are
supporting has been completed and documented. Unless they are listed on the General
Records Schedule for Local Government Agencies or your office’s Program Records
Retention and Disposition Schedule, these records may be destroyed or otherwise disposed
of once the action has been resolved.
Q.What about research materials, drafts, and other working papers used to
create a final, official record?
A.Drafts and working papers are materials, including notes and calculations, gathered or created
to assist in the creation of another record. All drafts and working papers are public records
subject to all provisions of General Statute § 132, but many of them have minimal value after
the final version of the record has been approved, and may be destroyed after final approval, if
they are no longer necessary to support the analysis or conclusions of the official record. Drafts
and working documents which may be destroyed after final approval include:
•Drafts and working papers for internal and external policies
3 Society of American Archivists, Dictionary of Archives Terminology.
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•Drafts and working papers for internal administrative reports, such as daily and
monthly activity reports
•Drafts and working papers for internal, non-policy-level documents, such as informal
workflows and manuals; and
•Drafts and working papers for presentations, workshops, and other explanations of
agency policy that are already formally documented.
Q.What if I have forms designed and used solely to create, update, or modify
records in an electronic medium?
A.If these records are not required for audit or legal purposes, they may be destroyed in office
after completion of data entry and after all verification and quality control
procedures. However, if the forms contain any analog components that are necessary to
validate the information contained on them (e.g. a signature or notary’s seal), they should be
retained according to the disposition instructions for the records series encompassing the forms’
function.
See also the State Archives of North Carolina’s guidance on digital signatures found at:
https://archives.ncdcr.gov/government/digital-records/digital-records-policies-and-
guidelines/digital-signature-policy
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DESTRUCTION OF PUBLIC RECORDS
Q.When can I destroy records?
A.Each records series listed on this schedule has specific disposition instructions that indicate how
long the series must be kept in your office. In some cases, the disposition instructions are
“Retain in office permanently,” which means that those records must be kept in your offices
forever.
Q.How do I destroy records?
A.After your agency has approved this records retention and disposition schedule, records should
be destroyed in one of the following ways:
1)burned, unless prohibited by local ordinance;
2)shredded, or torn so as 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 materials concerned;
4)sold as waste paper, provided that the purchaser agrees in writing that the documents or
materials concerned will not be resold without pulverizing or shredding the documents so
that the information contained within cannot be practicably read or reconstructed.
The provision that electronic records are to be destroyed means that the data, metadata,
and physical media are to be overwritten, deleted, and unlinked so that the data and
metadata may not be practicably reconstructed.
The data, metadata, and physical media containing confidential records of any format are to
be destroyed in such a manner that the information cannot be read or reconstructed under
any means.
— N.C. Administrative Code, Title 7, Chapter 4, Subchapter M, Section .0510
Without your agency’s approval of this records schedule, no records may legally be destroyed.
Q.How can I destroy records if they are not listed on this schedule?
A.Contact a Records Management Analyst. An analyst will discuss the nature of the records with
you to determine if the records have historical value. If the records do have historical value, we
will discuss the possibility of transferring the records to the State Archives of North Carolina to
be preserved permanently.
If the records do not have historical value, we will ask you to complete a Request for Disposal
for Unscheduled Records form if the records are no longer being created. If the records are an
active records series, an analyst will help you develop an amendment to this schedule so that
you can destroy the records appropriately from this point forward.
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Q.Am I required to tell anyone about the destructions?
A.We recommend that you report on your records retention activities to your governing board on
an annual basis. This report does not need to be detailed, but it is important that significant
destructions be entered into the minutes of the Board. See a sample destructions log that
follows (and is available online at the State Archives of North Carolina website,
https://archives.ncdcr.gov/government/rm-tools).
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archives.ncdcr.gov 4615 Mail Service Center, Raleigh NC 27699-4165 919-814-6900
Destructions Log
County/Municipality
Division Section Branch
Location(s) of
Records
Records Series Required
Retention
Date
Range
Volume
(file drawers
or MB)
Media
(Paper,
Electronic) Date of
Destruction
Method of
Destruction
Authorization for
Destruction P E
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ELECTRONIC RECORDS:
E-MAIL, BORN-DIGITAL RECORDS, AND DIGITAL IMAGING
Q.When can I delete my e-mail?
A.E-mail is a public record as defined by N.C. Gen. Stat. § 121-5 and N.C. Gen. Stat. § 132.
Electronic mail is as much a record as any paper record and must be treated in the same
manner. It is the content of each message that is important. If a particular message would
have been filed as a paper memo, it should still be filed (either in your e-mail program or in your
regular directory structure), and it should be retained the same length of time as its paper
counterparts. It is inappropriate to destroy e-mail simply because storage limits have been
reached. Some examples of e-mail messages that are public records and therefore covered by
this policy include:
•Policies or directives;
•Final drafts of reports and recommendations;
•Correspondence and memoranda related to official business;
•Work schedules and assignments;
•Meeting agendas or minutes
•Any document or message that initiates, facilitates, authorizes, or completes a business
transaction; and
•Messages that create a precedent, such as issuing instructions and advice.
From the Department of Cultural Resources E-Mail Policy (Revised July 2009),
available at the State Archives of North Carolina website
Other publications (available online at the State Archives of North Carolina website) that will be
particularly helpful in managing your e-mail include tutorials on managing e-mail as a public
record and on using Microsoft Exchange.
Q.May I print my e-mail to file it?
A.We do not recommend printing e-mail for preservation purposes. Important metadata are lost
when e-mail is printed.
Q.I use my personal e-mail account for work. No one can see my personal e-
mail, right?
A.The best practice is to avoid using personal resources, including private e-mail accounts, for
public business. N.C. Gen. Stat. § 132-1 states that records “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” are public records (emphasis added). The fact that
public records reside in a personal e-mail account is irrelevant.
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Q.We have an imaging system. Are we required to keep the paper?
A.You may scan any record, but you will need to receive approval from the Government Records
Section in order to destroy paper originals that have been digitized. Your agency must develop
an electronic records policy and then submit a Request for Disposal of Original Records
Duplicated by Electronic Means. You can find these templates in the Digital Imaging section of
the State Archives of North Carolina website (https://archives.ncdcr.gov/government/digital-
records/digital-records-policies-and-guidelines#digital-imaging). Contact a Records
Management Analyst for further instructions on how to develop a compliant electronic records
policy.
Permanent records must have a security preservation copy as defined by State Archives of
North Carolina’s Human-Readable Preservation Duplicate Policy (N.C. Gen. Stat. § 132-8.2):
Preservation duplicates shall be durable, accurate, complete and clear, and such
duplicates made by a photographic, photo static, microfilm, micro card, miniature
photographic, or other process which accurately reproduces and forms a durable
medium for so reproducing the original shall have the same force and effect for all
purposes as the original record whether the original record is in existence or not. ...
Such preservation duplicates shall be preserved in the place and manner of
safekeeping prescribed by the Department of Natural and Cultural Resources.
The preservation duplicate of permanent records must be either on paper or microfilm.
Non-permanent records may be retained in any format. You will need to take precautions with
electronic records that you must keep more than about 5 years. Computer systems do not have
long life cycles. Each time you change computer systems, you must convert all records to the
new system so that you can assure their preservation and provide access.
Q.Computer storage is cheap. Can I just keep my computer records
permanently?
A.The best practice is to destroy all records that have met their retention requirements, regardless
of format.
Q.What are the guidelines regarding the creation and handling of electronic
public records, including text messages and social media?
A.There are numerous documents available on the State Archives of North Carolina website
(https://archives.ncdcr.gov/government/digital-records/digital-records-policies-and-guidelines).
Topics covered include shared storage, cloud computing, e-discovery, trustworthy digital public
records, digital signatures, e-mail, social media, text messages, websites, digital imaging,
metadata, file formats, database indexing, and security backups.
Note that e-mail, text messages, and social media should be handled according to their content.
Therefore, this schedule does not include a records series that instructs you on how to handle
one of these born-digital records by format; instead of focusing on how the information is
disseminated, consider what content is contained in the e-mail, text message, or social media
post. For instance, an e-mail requesting leave that is sent to a supervisor should be kept for 3
years. On the General Records Schedule: Local Government Agencies, see Leave Records
(Standard 4: HUMAN RESOURCES RECORDS).
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GEOSPATIAL RECORDS
Q.Why should geographic information system (GIS) datasets be retained and
preserved?
A.Geospatial records are public records and need to be retained and preserved based on their
legal, fiscal, evidential and/or historical value according to an established retention schedule.
Local agencies involved in GIS operations should work with the State Archives of North Carolina
in order to appraise, inventory, and preserve their geospatial records according to established
best practices and standards to insure both their short- and long-term accessibility.
Due to the complexity and transitory nature of these records, geospatial records retention and
long-term preservation is a community-wide challenge. GIS files have become essential to the
function of many local agencies and will continue to frequently be utilized in agency decision-
making processes in the near and far future. Accessibility of GIS records over time has legal,
fiscal, practical, and historical implications. The availability of GIS records can help safeguard
the local government’s legal and fiscal accountability and aid agencies in conducting
retrospective and prospective studies. These studies are only possible when essential data from
the past are still available.
Q.What GIS datasets should be preserved by local governments?
A.The following types of geospatial records have been designated as having archival value:
•Parcel data
•Street centerline data
•Corporate limits data
•Extraterritorial jurisdiction data
•Zoning data, address points
•Orthophotography (imagery)
•Utilities
•Emergency/E-911 themes
For more information, see GENERAL RECORDS SCHEDULE: LOCAL GOVERNMENT AGENCIES,
STANDARD 3: GEOGRAPHIC INFORMATION SYSTEM (GIS) RECORDS.
Q.How often should we capture the datasets retained for their legal, fiscal,
evidential or historical value?
A.Consult the retention schedule for frequency of capture. The frequency of capture is based on
the significance of the record as well as its alterability.
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Q.What data formats, compression formats, and media should be used to
preserve the data?
A.Archiving practices should be consistent with North Carolina Geographic Information
Coordinating Council (GICC) approved standards and recommendations. (Examples: Content
Standards for Metadata; Data Sharing Recommendations). Consult the GICC website at
https://it.nc.gov/about/boards-commissions/gicc.
You should also comply with guidelines and standards issued by the State Archives of North
Carolina, which are available on its website.
Q. Who should be responsible for creation and long-term storage of
archived data?
A.The creating agency, NCOneMap, and the State Archives of North Carolina may all have
responsibility for archiving data. If you choose to upload your data to NCOneMap, consult with
your county’s GIS department to determine whether data will be uploaded by your agency or
by the whole county. If you choose not to upload your data to NCOneMap, your agency must
comply with standards (for metadata, file naming, data sharing, and long term preservation)
and procedures adopted by the North Carolina Geographic Information Coordinating Council.
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SECURITY PRESERVATION COPIES OF RECORDS
Q.What is the advantage to having security preservation copies of records
stored with the State Archives?
A.Having duplicate copies of essential records in a separate location mitigates the risk that you
may lose the only physical copy of a given record in a disaster or other records loss event.
Maintaining offsite duplicates of records, regardless of format, is a good practice to adopt.
The State Archives creates duplicate copies on microfilm because of the durability of the
medium. Silver negative microfilm does not decay for hundreds of years, ensuring that your
records maintain their integrity over time.
Q. What records will the State Archives back up for us?
A.The State Archives provides security imaging services for minutes of major decision-making
boards and commissions. We will also image records of adoptions for Social Services agencies as
well as maps and plats from Registers of Deeds offices. Once those records are imaged, they are
converted to security microfilm. We will store the silver negative (original) microfilm in our
security vault. Contact the Records Management Analyst in charge of imaging coordination for
the most current information.
Q.How do I start the process of backing up the above listed records?
A.We have three processes for creating backup film copies of these records. First, you can send
photocopies of your approved minutes to us in the mail. Simply include a copy of the
Certification of the Preparation of Records for Security Preservation Copy form (available
online at the State Archives of North Carolina website) with each shipment. For more detailed
instructions, contact a Records Management Analyst.
Secondly, you can bring us your original books. We will film them and return them to you. This
process is most useful when you have more minutes to film than you are willing to photocopy.
It is important to remember that a representative of your office or ours must transport the
original books in person so that the custody of the records is maintained. You should not mail or
ship your original minutes. Contact the Records Management Analyst in charge of imaging
coordination to schedule an appointment for your books to be imaged. We will make every
effort to expedite the filming so that your books will be returned to you as quickly as possible.
Finally, you can submit these records to the State Archives electronically. Please see our
procedures in “Transfer of Minutes in Digital Formats for Microfilming” or contact the Records
Management Analyst in charge of imaging coordination for more information.
Q.In the event of a records loss, how do I obtain copies of the security
preservation copies stored at the State Archives?
A.Contact the Records Management Analyst in charge of imaging coordination who will help you
purchase copies of the microfilm from our office. You can then send those reels to a vendor
who can either make new printed books or scan the film to create a digital copy.
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__________________________________________________________________________________________
Q.Can I obtain digital copies of the security preservation records?
A.Yes, you can request digital copies of records when you submit them to the State Archives for
initial reproduction. Contact the Records Management Analyst in charge of imaging
coordination to initiate a request for digital duplicates.
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DISASTER ASSISTANCE
Q.What should I do in case of fire or flood?
A.Secure the area, and keep everyone out until fire or other safety professionals allow entry.
Then, call our Raleigh office at (919) 814-6903 for the Head of the Government Records Section
or (919) 814-6849 for the Head of the Collections Management Branch. If you’re in the western
part of the state, call our Asheville Office at (828) 250-3103. On nights and weekends, call your
local emergency management office.
DO NOT ATTEMPT TO MOVE OR CLEAN ANY RECORDS.
Damaged records are extremely fragile and require careful handling. Our staff are trained in
preliminary recovery techniques, documenting damage to your records, and authorizing
destruction of damaged records. Professional vendors can handle larger disasters.
Q.What help do you give in case of an emergency?
A.We will do everything we can to visit you at the earliest opportunity in order to provide hands-
on assistance. We can assist you in appraising the records that have been damaged so that
precious resources (and especially time) are not spent on records with lesser value. We can
provide lists of professional recovery vendors that you can contact to preserve your essential
and permanent records.
Q.What can I do to prepare for an emergency?
A.We provide training on disaster preparation that includes a discussion of the roles of proper
inventories, staff training, and advance contracts with recovery vendors. If you would like to
have this workshop presented, call a Records Management Analyst.
Q.What are essential records?
A.Essential records are records that are necessary for continuity of operations in the event of a
disaster. There are two common categories of records that are considered essential:
•Emergency operating records – including emergency plans and directives,
orders of succession, delegations of authority, staffing assignments,
selected program records needed to continue the most critical agency
operations, as well as related policy or procedural records.
•Legal and financial rights records – these protect the legal and financial
rights of the Government and of the individuals directly affected by its
activities. Examples include accounts receivable records, Social Security
records, payroll records, retirement records, and insurance records. These
records were formerly defined as “rights-and-interests” records.
Essential records should be stored in safe, secure locations as well as
duplicated and stored off-site, if possible.
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STAFF TRAINING
Q. What types of workshops or training do you offer?
A.We have a group of prepared workshops that we can offer at any time at various locations
throughout the state. Contact a Records Management Analyst if you are interested in having
one of the workshops presented to your agency. We will work with you directly to develop
training suited to your specific needs. Our basic workshops are:
•Managing public records in North Carolina
•Disaster preparedness and recovery
•Digital communications
Q.Will you design a workshop especially for our office?
A.Yes, we will. Let a Records Management Analyst know what type of training you need.
Q.Are workshops offered only in Raleigh?
A.No, we will come to your offices to present the workshops you need. We have no minimum
audience requirement. We will also do presentations for professional associations, regional
consortiums, and the public.
To arrange a workshop, please call the State Records Center at 919-814-6900 or contact a
Records Management Analyst (https://archives.ncdcr.gov/government/local/analysts).
Q.Is there a fee for workshops?
A.Not at this time.
Q.Are the workshops available in an online format?
A.We can offer a virtual workshop for your agency upon request. For descriptions of available
webinars, see https://archives.ncdcr.gov/government/training/webinars. You can also find
several online tutorials available on the State Archives of North Carolina website
(https://archives.ncdcr.gov/government/training/online-tutorials-and-resources).
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archives.ncdcr.gov 4615 Mail Service Center, Raleigh NC 27699-4165 919-814-6900
GOVERNMENT RECORDS SECTION
STATE RECORDS CENTER
Request for Change in Local Government Records Schedule
Use this form to request a change in the records retention and disposition schedule governing the records of
your agency. Submit the signed original and keep a copy for your file. A proposed amendment will be prepared
and submitted to the appropriate state and local officials for their approval and signature. Copies of the signed
amendment will be sent to you for insertion in your copy of the schedule.
AGENCY INFORMATION
Requestor name
Location and Agency [e.g., County/Municipality + Department of Social Services]
Phone and e-mail
Mailing Address
CHANGE REQUESTED
Specify title and edition of records retention schedule being used: _______________________________
Add a new item Delete an existing item Standard Number Page Item Number
Change a retention period Standard Number Page Item Number
Title of Records Series in Schedule or Proposed Title:
Inclusive Dates of Records: Proposed Retention Period:
Description of Records:
Justification for Change:
Requested by:
Signature Title Date
Approved by:
Signature Requestor’s Supervisor Date
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archives.ncdcr.gov 4615 Mail Service Center, Raleigh NC 27699-4165 919-814-6900
GOVERNMENT RECORDS SECTION
STATE RECORDS CENTER
Request for Disposal of Unscheduled Records
AGENCY INFORMATION
Requestor name
Location and Agency [e.g., County/Municipality + Department of Social Services]
Phone and e-mail
Mailing Address
In accordance with the provisions of N.C. GEN. STAT. § 121 and § 132, approval is requested for the
destruction of records listed below. These records have no further use or value for official administrative, fiscal,
historical, or legal purposes.
RECORDS TITLE
AND DESCRIPTION
INCLUSIVE
DATES
QUANTITY RELEVANT
STATUTORY
REGULATIONS
PROPOSED
RETENTION
PERIOD
Requested by:
Signature Title Date
Approved by:
Signature Requestor’s Supervisor Date
Concurred by:
Signature Assistant Records Administrator
State Archives of North Carolina
Date
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archives.ncdcr.gov 4615 Mail Service Center, Raleigh NC 27699-4165 919-814-6900
GOVERNMENT RECORDS SECTION
STATE RECORDS CENTER
Request for Disposal of Original Records Duplicated by Electronic Means
If you have questions, call (919) 814-6900 and ask for a Records Management Analyst.
This form is used to request approval from the Department of Natural and Cultural Resources to dispose of non-permanent
paper records that have been scanned, entered into databases, or otherwise duplicated through digital imaging or other
conversion to a digital environment. This form does not apply to records that have been microfilmed or photocopied or to
records with a permanent retention.
Agency Contact Name: Date (MM-DD-YYYY):
Phone (area code): E-mail:
County/Municipality: Office:
Mailing address:
Records Series Title
A group of records as listed
in records retention
schedule
Description of Records
Specific records as referred
to in-office
Inclusive
Dates
(1987-1989;
2005-present)
Approx. Volume
of Records
(e.g. “1 file
cabinet,” “5 boxes”)
Retention
Period
As listed in records
retention schedule
Requested by:
Signature Title Date
Approved by:
Signature Requestor’s Supervisor Date
Concurred by:
Signature Assistant Records Administrator
State Archives of North Carolina
Date
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archives.ncdcr.gov 4615 Mail Service Center, Raleigh NC 27699-4165 919-814-6900
File Plan
County/Municipality
Division Section Branch
Records Series Records Creator
Records Owner
(if record copy is
transferred within the
agency)
Media
(Paper,
Electronic,
Scanned)
Required
Retention Location(s) of Records
P E S
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INDEX
911 COMMUNICATION RECORDS AND RECORDINGS, 12
ADMISSION RECORDS, 16
AFFIRMATIVE ACTION FILE (AIRPORT), 1
AIR POLLUTION SOURCE INFORMATION, 5
AIR SPACE CONSTRUCTION FILES, 1
AIRFIELD INSPECTION FILES, 1
AIRPORT ACCESS CONTROL RECORDS, 1
AIRPORT MASTER RECORD FILES, 1
ALARM CALL REPORTS, 53
ALTERNATIVE SENTENCING PROGRAMS, 53
AMBULANCE CALL REPORTS, 12
AMERICANS WITH DISABILITIES ACT (ADA) PARATRANSIT
RECORDS, 31
AMERICANS WITH DISABILITIES ACT (ADA) PARATRANSIT
VOUCHERS, 31
AMERICANS WITH DISABILITIES ACT (ADA) PRE-TRIP
INSPECTION FORMS, 31
ANIMAL ABUSE AND CRUELTY RECORDS, 3
ANIMAL COMPLAINT RECORDS, 3
ANIMAL CONTROL RECORDS, 3
ANIMAL LICENSING RECORDS (ANIMAL SERVICES), 4
ANIMAL LICENSING RECORDS (TAX), 73
ANIMAL SHELTER RECORDS, 4
APPRAISAL PROJECT FILE (PUBLIC HOUSING), 25
APPRAISAL REPORTS (STREET MAINTENANCE, PUBLIC
WORKS, AND ENGINEERING), 46
ARREST PROCESSING TRACKING RECORDS, 53
ARREST REPORTS, 54
ART-IN-TRANSIT APPLICATIONS, 32
AUCTION RECORDS, 54
AUDIO AND VIDEO RECORDINGS (LAW ENFORCEMENT), 67
BEER AND WINE TAXES AND RECORDS, 73
BICYCLE LICENSE PLATE RECORDS, 73
BLUEPRINTS AND SPECIFICATIONS, 5
BOARD OF ADJUSTMENT CASE FILE, 19
BUILDING AND FIRE SAFETY SYSTEM PLANS, 13
BUILDING AND ROAD PERMITTING AND INSPECTION
RECORDS, 6
CASE FILE - FELONIES, 54
CASE FILE - MISDEMEANORS, 55
CEMETERY DEEDS, 46
CEMETERY INTERMENT RECORDS, 46
CERTIFICATES OF APPROPRIATENESS, 20
CERTIFICATION FILE. See Redevelopment Plans
CHEMICAL ANALYSIS RECORDS. See DRUG AND ALCOHOL
TESTING RECORDS
CITATIONS RECORDS, 16
COMMUNICATION RECORDS (LAW ENFORCEMENT), 55
COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG)
RECORDS, 26
COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG)
RECORDS: OUTSTANDING LOAN BALANCES, 26
COMMUNITY DEVELOPMENT BLOCK GRANT (CDBG)
RECORDS: SUBJECT TO REVERSION OF ASSETS
PROVISIONS OR CHANGE OF USE OF REAL PROPERTY,
26
COMPLAINTS (LAW ENFORCEMENT), 56
COMPOSITE INTERVIEWS, 56
COMPREHENSIVE PLAN AND AMENDMENTS, 20
COMPREHENSIVE SOLID WASTE MANAGEMENT PLAN &
AMENDMENTS, 34
CONTINUUM OF CARE RECORDS, 27
CONTROLLED SUBSTANCE EUTHANASIA LOG (ANIMAL
SERVICES), 4
CONTROLLED SUBSTANCE LABS DECONTAMINATION
RECORDS, 6
CRIME ANALYSIS RECORDS, 56
CRIMINAL RECORDS CHECKS, 27
CUSTOMER (RIDER) IDENTIFICATION RECORDS, 32
CUSTOMER USAGE RECORDS, 34
DAILY DISPOSAL TICKETS (LANDFILL), 34
DECLARATIONS AND BY-LAWS FROM TOWNHOUSES,
CONDOMINIUMS, PLANNED RESIDENTIAL
DEVELOPMENTS, AND COMMON AREAS, 21
DELINQUENT TAXPAYER RECORDS, 74
DELINQUENT TAXPAYER RECORDS - ADVERTISEMENT OF
TAX LIENS AGAINST REAL PROPERTY, 74
DESTRUCTIONS LOG, A-10
DETENTION FACILITY INCIDENT REPORTS, 57
DETENTION FACILITY OPERATIONAL RECORDS, 57
DETENTION FACILITY PHYSICAL FORCE RECORDS, 57
DISADVANTAGED BUSINESS ENTERPRISE (DBE) RECORDS,
32
DISCHARGE MONITORING REPORTS, 35
DISCOUNT PASSES APPLICATIONS, 32
DISPATCH RECORDS AND RECORDINGS (EMS AND FIRE
DEPARTMENT), 13
DIVISION OF CRIMINAL INFORMATION AND NATIONAL
CRIME INFORMATION CENTER (DCI-NCIC) ENTRIES, 58
DIVISION OF CRIMINAL INFORMATION AND NATIONAL
CRIME INFORMATION CENTER (DCI-NCIC) VALIDATION
RECORDS, 58
DNA SAMPLING RECORDS, 58
DOMESTIC VIOLENCE RECORDS, 59
DROUGHT CONTINGENCY PLANS, 6
DRUG AND ALCOHOL TESTING RECORDS, 59
382
A-24
ELECTRIC POWER AND NATURAL GAS FACILITY
ENGINEERING & SYSTEM PLANS, 39
ELECTRIC POWER AND NATURAL GAS PERMITS AND
APPROVAL RECORDS, 39
ELECTRIC POWER AND NATURAL GAS SYSTEM
MAINTENANCE & REPAIR RECORDS, 39
ELECTRIC POWER AND NATURAL GAS SYSTEM
MANAGEMENT PLANS, 39
ELECTRIC POWER AND NATURAL GAS SYSTEM PROJECT
RECORDS, 40
ELECTRONIC RECORDINGS OF INTERROGATIONS, 60
EMERGENCY SOLUTIONS GRANTS (ESG) RECORDS, 28
ENVIRONMENTAL IMPACT STUDIES, 21
EROSION AND SEDIMENT AFFIDAVITS, 36
EROSION AND SEDIMENT CONTROL ENFORCEMENT CASES,
6
EROSION AND SEDIMENT CONTROL EXHIBIT RECORDS, 37
EROSION AND SEDIMENT CONTROL INSPECTIONS, 37
EROSION AND SEDIMENT CONTROL PERMITS, 37
EROSION AND SEDIMENT CONTROL PLANS, 7, 37
EXCAVATION PERMITS, 47
EXEMPTIONS (VARIANCE) RECORDS, 7
FAÇADE PROJECT FILES, 28
FIELD OBSERVATIONS, 60
FILE PLAN, 22
FINGERPRINT CARDS, 61
FIRE ALARM AND AUTOMATIC EXTINGUISHER FILE, 13
FIRE DISPATCH FILE, 13
FIRE INVESTIGATION CASE FILES, 14
FIRE SAFETY INSPECTIONS AND PERMITS, 14
FLOOD CERTIFICATIONS, 38
FLOOD STUDIES, 38
FORCIBLE ENTRY RECORDS, 61
FUGITIVE WARRANTS CASE RECORDS, 61
GOING OUT OF BUSINESS LICENSES, 7
GRAVE OPENING ORDERS, 47
GROUNDWATER MONITORING RECORDS, 7
HISTORIES OF PET OWNERS, 4
HOME INVESTMENT PARTNERSHIPS PROGRAM RECORDS,
29
HOUSING ASSISTANCE FOR PERSONS WITH DISABILITIES,
29
HOUSING OPPORTUNITIES FOR PERSONS WITH AIDS
(HOPWA) RECORDS, 30
IDENTIFICATION PHOTOGRAPHS, 62
ILLEGAL DUMPING FILE, 7
INCIDENT RESPONSE REPORTS, 62
INFRASTRUCTURE MAINTENANCE RECORDS, 47
INMATE CLASSIFICATION RECORDS, 62
INMATE COMMITMENT RECORDS, 63
INMATE DEATH REPORTS, 63
INMATE FINANCIAL RECORDS, 63
INMATE GRIEVANCE RECORDS, 64
INMATE MAIL, TELEPHONE, OR VISITOR RECORDS, 64
INMATE MEAL RECORDS, 64
INMATE MEDICAL RECORDS, 65
INMATE PERSONAL IDENTIFICATION RECORDS, 65
INMATE RESEARCH REQUESTS, 66
INSPECTIONS, 7
JUVENILE CASE HISTORY FILES, 66
JUVENILE CASE HISTORY IDENTIFICATION RECORDS, 66
JUVENILE DETENTION RECORDS, 66
LABORATORY CASE RECORDS, 67
LABORATORY OPERATIONS RECORDS, 44
LAND DEVELOPMENT AND PLANNING STUDIES AND
REPORTS (AIRPORT), 2
LAND MARKETING AND DEVELOPMENT RECORDS. See
HOME Investment Partnerships Program Records
LANDFILL MONITORING REPORTS, 35
LANDFILL OPERATIONAL PLAN, 35
LANDFILL PERMITS, 36
LANDFILL TONNAGE AND COST FILE, 8
LANDLORD AGREEMENTS (UTILITIES), 40
LANDLORD MONITORING RECORDS, 30
LEAD AND COPPER COMPLIANCE RECORDS, 8
MAPS (UTILITY INSTALLATIONS & DISTRIBUTIONS), 40
METER TESTING AND CALIBRATION RECORDS (ELECTRIC,
WATER, GAS), 41
MOTOR VEHICLE RENTAL TAX RECORDS, 74
MULTIPLE FIREARMS SALES REPORTS, 67
MULTIPLE FIREARMS SALES REPORTS DESTRUCTION
RECORDS, 67
MUNICIPAL VEHICLE TAX RECORDS, 74
NORTH CAROLINA FIRE INCIDENT REPORT, 14
NOTICE OF VIOLATIONS FOR IMPROPER DISCHARGE OR
DISPOSAL FILE, 36
OFFICIALS FILE, 16
OPEN SPACE CLASSIFICATION CASE FILE, 21
OPERATOR SHIFT INSPECTION RECORDS, 32
ORDINANCE VIOLATIONS CITATIONS, 68
OUTSIDE WASTE CLEARANCE RECORDS, 36
PARKS PLANNING FILE, 17
PATIENT CARE REPORTS, 12
PAWNSHOP RECORDS, 68
PERMISSION TO SEARCH RECORDS, 68
PERMITS
CONSTRUCTION, 8
HANDGUN, 69
PUBLIC UTILITIES PROJECTS, 8
TEMPORARY MANUFACTURED HOME, 22
ZONING COMPLIANCE, 22
PETITION & REGULATION RECORDS, 22
PHARMACEUTICAL AND NARCOTICS RECORDS, 15
383
A-25
PLANNING FILE (STREET MAINTENANCE, PUBLIC WORKS,
AND ENGINEERING), 47
PLANNING REVIEW CASE FILE, 23
POOL RECORDS, 17
PREPARED FOOD AND BEVERAGE TAX RECORDS, 74
PRETREATMENT PROGRAM RECORDS, 44
PRISON RAPE ELIMINATION ACT (PREA) DATA FILE, 69
PRISON RAPE ELIMINATION ACT (PREA) FILE, 69
PRISONER AND MENTAL PATEINT TRANSPORT RECORD, 69
PRIVILEGE LICENSES, TAXES, AND FEE RECORDS, 75
PROJECT RECORDS – CANCELLED (PUBLIC WORKS AND
ENGINEERING), 47
PROJECT RECORDS – CORE (PUBLIC WORKS AND
ENGINEERING), 48
PROJECT RECORDS – ENGINEERING & COMPLIANCE, 49
PROJECT SHEETS FILE (STREET MAINTENANCE, PUBLIC
WORKS, AND ENGINEERING RECORDS, 50
PROPERTY MANAGEMENT RECORDS. See HOME
Investment Partnerships Program Records
PROPERTY RECORDS - STOLEN AND RECOVERED, 70
PUBLIC UTILITIES INSPECTION FORMS, 41
PUBLIC UTILITIES SYSTEM ENGINERRING, MAINTENANCE,
AND REPAIR, RECORDS, 42
PUBLIC WATER SANITARY SURVEY RECORDS, 44
PURSUIT LOGS, 70
RABIES VACCINATION RECORDS, 4
RADIO LOGS (AIRPORT), 2
RECREATION PROGRAMS, 17
RECREATIONAL VEHICLE REGISTRATION RECORDS, 9
RECYCLING WATER RECORDS, 42
REDEVELOPMENT PLANS (PUBLIC HOUSING AND
REDEVELOPMENT COMMISSION RECORDS), 30
REHABILITATION RECORDS. See HOME Investment
Partnerships Program Records
RELOCATION RECORDS. See HOME Investment
Partnerships Program Records
REPORTS
DAILY WATER AND WASTEWATER FACILITY OPERATORS
LOGS, 38
ENVIRONMENTAL PROTECTION AGENCY (EPA), 36
WASTEWATER MAINTENANCE OPERATIONS, 43
REQUEST FOR CHANGE IN LOCAL GOVERNMENT RECORDS
SCHEDULE, A-19
REQUEST FOR DISPOSAL OF ORIGINAL RECORDS
DUPLICATED BY ELECTRONIC MEANS, A-21
REQUEST FOR DISPOSAL OF UNSCHEDULED RECORDS,
A-20
REZONING RECORDS AND INDEXES, 23
RIDE-ALONG PROGRAM RECORDS, 70
RIGHT-OF-WAY ACQUISITION WORKING RECORDS, 50
ROOM OCCUPANCY TAX RECORDS, 75
ROUTE HISTORY RECORDS, 33
SCHEDULE “B” LICENSES, 76
SEAT BELT AND RESTRAINT SYSTEM RECORDS, 33
SERVICE INTERRUPTION RECORDS, 42
SEWER JETTING AND VECTORING RECORDS, 45
SEXUAL OFFENDER RECORDS, 70
SLUDGE TREATMENT RECORDS, 45
SOCIAL MEDIA, A-12
SPECIAL USE PERMIT RECORDS AND INDEX, 21
STORMWATER DEVIATION PERMITS, 45
STREET NAME AND HOUSE NUMBER FILES, 50
STRUCTURAL MAINTENANCE AND ANALYSIS RECORDS, 51
SUBDIVISION RECORDS, 24
SURVEY FIELD RECORDS, 51
TAP AND HOOK UP RECORDS, 43
TAX ABSTRACTS AND LISTS, 76
TAX EXEMPT PROPERTY FILE, 76
TAX LEDGER CARDS OR SHEETS, 76
TAX LEVY AND SEIZURE RECORDS, 77
TAX LIEN SALES, 77
TAX REBATES, 77
TAX SCROLLS, 77
TAXICAB AND LIMOUSINE TAX RECORDS, 77
TEXT MESSAGES, A-12
TICKET STUBS, 18
TRAFFIC ACCIDENT REPORTS, 71
TRAFFIC ANALYSIS, 51
TRAFFIC CITATIONS, 71
TRAFFIC VIDEO RECORDINGS AND DATA, 52
TRAFFIC WARNINGS, 71
TRANSIT SCHEDULES, 33
TRANSIT SERVICE APPLICATIONS, 32
TRESPASS RECORDS, 72
TROUT BUFFER VARIANCES, 38
UNSAFE BUILDINGS FILE, 9
VALVE OPERATION FILE, 9
VANPOOL DRIVER APPLICATIONS, 33
VARIANCES (PLANNING AND REGULATION OF
DEVELOPMENT), 24
VEHICLE TOWING RECORDS, 72
VIOLATIONS
BUILDING AND HOUSING, 9
SOLID WASTE MANAGEMENT, 10
WATER CONSERVATION, 10
ZONING, 24
WASTEWATER POLLUTION CONTROL AND ABATEMENT
RECORDS, 10
WASTEWATER QUALITY ANALYSIS RECORDS, 10
WATER & WASTEWATER PERMITS & APPROVAL RECORDS,
43
WATER & WASTEWATER SYSTEM INSPECTIONS & TESTS,
45
WATER ANALYSIS, 11
WATER QUALITY VIOLATION RECORDS, 45
384
A-26
WATER SYSTEM OPERATIONS RECORDS, 11 WATER TANKS, SPECIFICATIONS, AND BOOSTER STATIONS
FILE, 11
385
CHANGE LOG FOR
PROGRAM RECORDS SCHEDULE:
LOCAL GOVERNMENT AGENCIES
Issued By:
North Carolina Department of Natural and Cultural Resources
Division of Archives and Records
Government Records Section
October 1, 2021
386
EXECUTIVE SUMMARY
This document lists the changes that have been made from the Municipal Records Retention and
Disposition Schedule issued on September 10, 2012 as well as the County Management Records
Retention and Disposition Schedule issued on April 15, 2013 that are now present in the 2020 Program
Records Schedule for Government Agencies. While previously adopted amendments, grammatical and
alphabetization changes, wordsmithing, and the updating of citations are not listed, substantive changes
are listed in the left-hand column. In the center column are the titles of new records series that have
been added to the schedule. In the right-hand column are records series that have been either
superseded by the General Records Schedule: Local Government Agencies or discontinued because the
records are no longer created or received by local departments.
MUNICIPAL AND COUNTY MANAGEMENT CLARIFICATION
While some items included below were identical on the Municipal and County Management schedules,
there are cases where an item was only on one schedule or had a different name on each schedule. In
those cases, the item will have either an (M) or a (CM) after its title. An (M) indicates that the
referenced item was only on the Municipal schedule. A (CM) indicates that the referenced item was only
on the County Management schedule. When titles differ, or when multiple items from one schedule fall
under a larger term in the other schedule, all previous item titles are provided.
387
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
STANDARD 10: AIRPORT AUTHORITY RECORDS
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 10: AIRPORT AUTHORITY RECORDS
AIRPORT CERTIFICATION MANUAL
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Accreditation Records.
COMMUNICATIONS RECORDINGS
See General Records Schedule: Local
Government Agencies, Standard 7 (Public
Relations Records), Audio-Visual Recordings.
388
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
STANDARD 11: ANIMAL SERVICES RECORDS
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 11: ANIMAL SERVICES RECORDS
ACTIVITY REPORTS (ANIMAL CONTROL)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
ANIMAL ABUSE AND CRUELTY RECORDS
Used the records series title from the County
Management schedule; changed disposition
instructions from Municipal schedule to
match County Management schedule.
ANIMAL ABUSE CASES (M)
ANIMAL CRUELTY RECORDS (M)
ANIMAL BITE RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
ANIMAL COMPLAINT RECORDS
Removed reference to abuse records, which
are separately covered in “Animal Abuse and
Cruelty Records.”
ANIMAL CONTROL RECORDS
Removed animal abuse case disposition
instructions, which are separately covered in
“Animal Abuse and Cruelty Records”; added
disposition instructions for animal control
citations and compliance orders.
ANIMAL CONTROL CITATIONS/COMPLIANCE
ORDERS
DANGEROUS ANIMAL RECORDS
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2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 11: ANIMAL SERVICES RECORDS
ANIMAL SHELTER RECORDS ANIMAL ADOPTION RECORDS
CERTIFICATES OF ANIMAL RELEASE
IMPOUNDMENT RECORDS (M)
OWNER CONTACT NOTICE RECORDS
SHELTER DISPOSITION SHEETS
RABIES CONTROL REPORTS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
REFERENCE MATERIAL (ANIMAL CONTROL)
(M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reference File.
RABIES VACCINATION RECORDS
Clarified title of “Vaccination Records.”
390
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
STANDARD 12: CODE ENFORCEMENT AND INSPECTION RECORDS
(This standard previously encompassed STANDARD 5: BUILDING INSPECTION RECORDS (of the Municipal schedule) and STANDARD 5: CODE
ENFORCEMENT AND INSPECTION RECORDS (of the County Management schedule)
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 12: CODE ENFORCEMENT RECORDS
BLUEPRINTS AND SPECIFICATIONS
Disposition was amended to change “b”
disposition from “1 year after permit is issued”
to “1 year after completion of project.”
For agency-owned buildings, see General
Records Schedule: Local Government Agencies,
Standard 1, (Administration and Management
Records), Blueprints and Specifications.
BUILDING AND FIRE CODE VIOLATIONS CASES
(Municipal)
See Violations: Building and Housing
BUILDING INSPECTION REPORTS (Municipal)
See Building and Road Permitting and
Inspection Records.
BUILDING PERMITS AND APPLICATIONS
(Municipal)
See Building and Road Permitting and
Inspection Records.
BUILDING PERMIT LOG (Municipal)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
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2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 12: CODE ENFORCEMENT RECORDS
BUILDING PERMIT RECEIPT BOOKS (Municipal)
See Permit Receipt Books.
BUILDING TRADES CERTIFICATIONS (Municipal)
See Trades Certifications.
BURNING PERMITS (BUILDING INSPECTIONS)
(Municipal)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reference (Reading File)
BUSINESS CERTIFICATION RECORDS (County
Management)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Business Certification Records
CERTIFICATES OF OCCUPANCY (Municipal)
See Building and Road Permitting and
Inspection Records.
CONSTRUCTION REPORTS (Municipal)
See Reports: Monthly Building Permits and
Construction.
392
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 12: CODE ENFORCEMENT RECORDS
CONTRACTORS LICENSING (Municipal)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reference (Reading File)
DEMOLITION FILE (Municipal)
See Building and Road Permitting and
Inspection Records.
ENCROACHMENTS OF RIGHT-OF-WAY
APPLICATIONS AND PERMITS (Municipal)
See Permits: Encroachments of Right-of-Way.
EROSION AND SEDIMENT CONTROL
AFFIDAVITS
See General Records Schedule: Local
Government Agencies, Standard 6 (Legal
Records), Litigation Case Records.
FACILITY MAINTENANCE, REPAIR, AND
INSPECTION (County Management)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Facility Maintenance, Repair, and Inspection
Records.
393
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 12: CODE ENFORCEMENT RECORDS
HAZARDOUS WASTE DISPOSAL RECORDS
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Hazardous Materials
Management.
ILLEGAL DUMPING FILE
Cross-reference added to Violations.
INSPECTIONS (Municipal)
Inspection records now separated into different
categories within schedule depending on kind
of inspection. For records concerning violations,
see Violations.
INSPECTIONS
Standardized retention period for all
inspections at 6 years (increasing that for
Sewage Disposal Systems from 2 years and for
Substandard Housing and Unsafe Buildings from
5 years)
INSPECTIONS: ELECTRIC POWER AND
NATURAL GAS SYSTEM (County Management)
INSPECTIONS: PERIODIC REPORTS OF
INDUSTRIAL FACILITIES (County Management)
INSPECTIONS: SANITARY LANDFILL (County
Management)
INSPECTIONS: SEWAGE DISPOSAL SYSTEM
(County Management)
INSPECTIONS: SUBSTANDARD HOUSING AND
UNSAFE BUILDINGS (County Management)
INSPECTIONS: WASTE LOADS (County
Management)
INSPECTIONS: WATER AND WASTEWATER
SYSTEM (County Management)
394
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 12: CODE ENFORCEMENT RECORDS
INSPECTIONS: ENVIRONMENTAL HEALTH
SUMMARIES (County Management)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reference (Reading File)
INSPECTOR WORKSHEETS (Municipal)
See Inspections
LABORATORY OPERATIONS RECORDS (County
Management)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reference (Reading File)
LANDFILL OPERATIONAL PLAN (County
Management)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Strategic Plan.
MAPS, PLATS, AND DRAWINGS (Municipal)
See Program Schedule for Local Government
Records, Standard 15 (Planning and Regulation
of Development Records), Maps, Plats, and
Drawings (Official).
395
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 12: CODE ENFORCEMENT RECORDS
MANUFACTURED HOME PERMITS (Municipal)
See Program Schedule for Local Government
Records, Standard 15 (Planning and Regulation
of Development Records), Permits: Temporary
Manufactured Home.
MONTHLY BUILDING PERMITS AND
CONSTRUCTION REPORTS (Municipal)
See Reports: Monthly Building Permits and
Construction.
NORTH CAROLINA SEDIMENTATION AND
POLLUTION CONTROL COMMISSION
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reference (Reading File)
PERIODIC INSPECTION REPORTS (Municipal)
See Inspections
PERMIT LOG (County Management)
Record no longer applicable.
PERMITS: BURNING (County Management)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reference (Reading File)
396
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 12: CODE ENFORCEMENT RECORDS
PERMITS: FACILITIES USE (County Management)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Equipment, Facility, and Vehicle Usage Records.
PERMITS: LANDFILL (County Management)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reference (Reading File)
PERMITS: MISCELLANEOUS (NON-
CONSTRUCTION)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Miscellaneous (Non-Building) Applications,
Licenses, and Permits.
REPORTS: DAILY WATER AND WASTEWATER
FACILITY OPERATORS LOG
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
397
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 12: CODE ENFORCEMENT RECORDS
REPORTS: DISCHARGE MONITORING
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
REPORTS: ENVIRONMENTAL HEALTH (County
Management)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
REPORTS: LANDFILL MONITORING
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
REPORTS: U.S. ENVIRONMENTAL
PROTECTION AGENCY (EPA)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
398
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 12: CODE ENFORCEMENT RECORDS
REPORTS: WASTEWATER MAINTENANCE
OPERATION
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
SEWAGE DISPOSAL SYSTEM INSPECTION
REPORTS (Municipal)
See Inspections: Sewage Disposal Systems.
STREET ADDRESS LOG (Municipal)
See Program Schedule for Local Government
Agencies, Standard 19 (Street Maintenance,
Public Works, and Engineering Records), Street
Name and House Number File.
STREET INFORMATION
See Program Schedule for Local Government
Agencies, Standard 19 (Street Maintenance,
Public Works, and Engineering Records), Street
Name and House Number File.
SUBSTANDARD HOUSING INSPECTION REPORTS
(Municipal)
See Inspections
399
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 12: CODE ENFORCEMENT RECORDS
TROUT BUFFER VARIANCES (County
Management)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reference (Reading File)
VIOLATIONS
Description expanded to describe various
kinds of violations.
Changed retention from 3 years to 6 years;
added “b” to account for “remaining records.”
VIOLATIONS: SOLID WASTE MANAGEMENT
Changed “produced” to “issued” in item
description.
.
WASTE OIL, BATTERIES, AND ELECTRONICS
COLLECTION FILE
See General Schedule for Local Government
Records, Standard 8 (Risk Management
Records), Hazardous Materials Management.
WATER ANALYSIS
Cross-reference added to Violations.
400
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
The most significant change from the previous schedule is that all items pertaining to Emergency Management are now included in the General
Records Schedule: Local Government Agencies. Since Emergency Management is a function carried out by various local agencies, and since
Emergency Management is not necessarily an agency paired with Emergency Medical Services (EMS) and Fire Departments, it is logical to place
the Emergency Management items in the General Schedule where they apply to all local agencies. All Emergency Management specific
standards will now be found in Standard 8 (Risk and Emergency Management) of the General Records Schedule: Local Government Agencies,
to be reflected in the new revisions to the General Schedule for 2020.
Clarification note added to the standard introduction concerning body-worn camera footage from EMS and Fire Department personnel that
reads: Footage from body-worn cameras is classified with the content captured or the purpose of the footage rather than by its format.
Recordings may fit under FIRE INVESTIGATION CASE FILES, DISPATCH RECORDS AND RECORDINGS, PUBLICITY RECORDS (General Schedule),
TRAINING AND EDUCATIONAL RECORDS, and other items as appropriate. Footage is only confidential if it fits within an item where confidentiality
is conferred by state or federal statute.
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
.. 911 CALL RECORDINGS (CM)
911 TAPE RECORDINGS (M)
See 911 Communication Records and
Recordings.
911 COMMUNICATION RECORDS AND
RECORDINGS
This item includes 911 Communication
Records and 911 Call Recordings. Description
explicitly includes both calls and text
messages. New retention for all 911 records
is retain for 30 days unless made part of a
case file.
911 COMMUNICATION RECORDS
401
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
911 FILE
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Policies and Procedures OR General Records
Schedule: Local Government Agencies,
Standard 4 (Human Resources Records),
Training and Educational Records.
ACCIDENT FILE (M)
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Accident/Incident
Reports (Customer and Employee).
ACTIVITY REPORTS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
AMBULANCE CALL REPORTS (ACR)/PATIENT
CARE REPORTS (PCR)
Minimum retention period now three years
after case is closed rather than eleven years.
Confidentiality statutes also added.
PATIENT CARE REPORTS (M)
AMBULANCE DISPATCH RECORDS
See Dispatch Records and Recordings.
402
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
AMBULANCE SERVICE RUN LOG
See Dispatch Records and Recordings.
ANNUAL REPORT (M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
ANNUAL SUBMISSION ON PERSONNEL AND
ADMINISTRATION FUNDS FILE
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
BUILDING AND FIRE SAFETY SYSTEM PLANS
Revision of Plans item to clarify coverage of
building and fire safety plans for commercial,
industrial, and government-owned
properties, as per records typically held by
local fire marshals.
BUILDING INSPECTIONS
See Fire Safety Inspections and Permits.
Other kinds of inspections are found in the
Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement Records).
403
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
COMPANY RUN REPORT (FIRE JOURNAL)
See Dispatch Records and Recordings.
CONSOLIDATED MONTHLY REPORTS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
DAILY LOG (M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
. DISASTER AND EMERGENCY MANAGEMENT
PLANS
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Disaster and
Emergency Management Plans.
DISPATCH FILE (M)
See Fire Dispatch File.
404
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
DISPATCH RECORDS AND RECORDINGS
Consolidated item includes Ambulance
Dispatch Records, Ambulance Service Run
Log, Company Run Report (Fire Journal), Fire
Alarm Journal, and Fire Dispatch File. Item
description expanded to include body-worn
camera footage from EMS and Fire
Department personnel responding to an
emergency unless footage fits explicitly
within another item. New retention of all
items is 30 days unless made part of a case
file. Confidentiality statutes also added.
DISPATCH RECORDINGS
EMERGENCY NOTIFICATIONS
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Emergency
Notifications.
EMERGENCY SERVICES BILLING RECORDS (M)
See General Records Schedule: Local
Government Agencies, Standard 2 (Budget,
Fiscal, and Payroll Records), Accounts
Receivable.
EMERGENCY SERVICES CORRESPONDENCE
(M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Correspondence and Memoranda.
405
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
EQUIPMENT RECORDS (APPARATUS AND
MAINTENANCE FILE) (M)
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Emergency Drills and
Equipment Records.
EQUIPMENT RECORDS (APPARATUS
OPERATING EXPENSE FILE) (M)
Purchase orders of equipment are now found
in General Records Schedule: Local
Government Agencies, Standard 2 (Budget,
Fiscal, and Payroll Records), Purchase Orders
Reports of expenditures relating to the usage
and upkeep of equipment fall under General
Records Schedule: Local Government
Agencies, Standard 2 (Budget, Fiscal, and
Payroll Records), Budget Reports.
EQUIPMENT RECORDS (APPARATUS TEST
REPORTS) (M)
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Emergency Drills and
Equipment Records.
406
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
EQUIPMENT RECORDS (EQUIPMENT ISSUED
TO FIREFIGHTERS AND EMERGENCY
PERSONNEL) (M)
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Emergency Drills and
Equipment Records.
EQUIPMENT RECORDS (HOSE RECORDS) (M)
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Emergency Drills and
Equipment Records.
EQUIPMENT RECORDS (HOSE TESTS) (M)
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Emergency Drills and
Equipment Records.
EVACUATION PLANS
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Disaster and
Emergency Management Plans.
EXPOSURE RECORDS (M)
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Medical Records.
407
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
FEDERAL ASSISTANCE PROGRAMS
REFERENCE RECORDS (M)
As reference copies, these records can be
destroyed when their reference value ends
for the agency.
FIRE ALARM JOURNAL
See Dispatch Records and Recordings.
FIRE INSPECTION REPORTS (M)
See Fire Safety Inspections and Permits.
FIRE INVESTIGATION CASE FILES
Confidentiality statute added for criminal
investigations. Description modified to allow
for agency’s decision as to what to include in
a fire investigation file. Cross-reference
added to Case History File: Felonies and Case
History File: Misdemeanors from the Law
Enforcement Records standard of the Local
Program Schedule.
FIRE INVESTIGATION RECORDS
See Fire Investigation Case Files.
FIRE LIMITS ORDINANCES
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Ordinances.
408
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
FIRE SAFETY INSPECTIONS AND PERMITS
Item renamed to reflect inclusion of permits.
FIRE SAFETY INSPECTIONS (CM)
FIXED NUCLEAR FACILITIES PLANS FILE
See General Schedule, Standard 8 (Risk
Management Records), Nuclear Facilities
Plans File. Retention changed from “destroy
in office after 3 years” to “destroy in office
when superseded or obsolete.”
HOSE RECORDS (CM)
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Emergency Drills and
Equipment Records.
HYDRANT RECORDS (CM)
HYDRANT RECORDS (LOCATION AND MAIN
SIZE) (M)
HYDRANT RECORDS (MAINTENANCE AND
TEST FILE) (M)
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Emergency Drills and
Equipment Records.
INVENTORY RECORDS FILE (M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Inventories.
409
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
LOCAL EMERGENCY PLANNING COMMITTEE
MINUTES
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Public Bodies: Minutes.
LOCAL EMERGENCY COMMITTEE PLANS
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Disaster and
Emergency Management Plans.
NATIONAL FLOOD INSURANCE PROGRAM
RECORDS
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), National Flood
Insurance Program Records.
NORTH CAROLINA FIRE ASSOCIATION
RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Membership Records.
NORTH CAROLINA FIRE CASUALTY REPORT
Original copy retained by N.C. State Fire
Commission and covered in retention
schedule for state agencies.
410
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
NORTH CAROLINA FIRE INCIDENT REPORT
Retention for original items remains
permanent. Retention for copies provided to
other agencies moved to General Records
Schedule: Local Government Agencies,
Standard 1 (Administration and Management
Records), Reports and Studies.
NORTH CAROLINA FIREMAN’S PENSION FUND
PRINTOUT
Removed from schedule. Printouts are not
the record copy of the item. The records of
the Fireman’s Pension Fund are maintained
at the state level. Agencies may create
printouts as needed, but they have no
responsibility for maintaining printouts as a
public record unless the local agency changes
its content.
NOTIFICATION TO CORRECT (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement Records), Violations.
NUCLEAR CIVIL PROTECTION PLAN
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Disaster and
Emergency Management Plans.
411
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
OPERATIONS FILE (M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Correspondence OR Logistics Materials.
PATIENT CARE REPORTS (M)
See Ambulance Call Reports/Patient Care
Reports.
PHARMACEUTICAL AND NARCOTICS
RECORDS
Consolidated item added with explanatory
description and CFR citation to reflect DEA
requirements for tracking administration of
controlled substances. Confidentiality
statutes also added.
PHARMACEUTICAL RECORDS
PLANS
See Building and Fire Safety System Plans.
PUMP TEST RECORDS
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Emergency Drills and
Equipment Records.
412
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
RADIOLOGICAL DEFENSE (RADEF) DATA BANK
RADIOACTIVE MATERIAL INVENTORY
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Hazardous Materials
Training Records.
RADIOLOGICAL DATA STATION FILE
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Hazardous Materials
Training Records.
RADIOLOGICAL EQUIPMENT INVENTORY (M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Inventories.
RESOLUTIONS ON ESTABLISHMENT OF LOCAL
AGENCY
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Resolutions.
413
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
SAFETY COMMITTEE MEETINGS (CM)
SAFETY COMMITTEE AGENDA AND MEETING
PACKETS (M)
SAFETY COMMITTEE MINUTES (M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Minutes of Public Bodies.
SHELTER FACILITY LISTING
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Disaster and
Emergency Management Plans.
STATE OF EMERGENCY ORDINANCES
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Ordinances.
SUPERFUND AUTHORIZATION RECOVERY ACT
INFORMATION FILE
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Superfund
Authorization Recovery Act Information File.
414
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 13: EMERGENCY MEDICAL SERVICES AND FIRE DEPARTMENT RECORDS
TRAINING AND EDUCATION FILE (M)
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Training and Education
Records.
VOLUNTEER FIRE/RESCUE DEPARTMENT
LOGS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Logistics Materials.
VOLUNTEER FIREFIGHTERS MEDICAL
RECORDS
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Medical Records.
VOLUNTEER FIREFIGHTERS PERSONNEL
RECORDS
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Personnel Records
(Official Copy).
415
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
STANDARD 14: PARKS AND RECREATION RECORDS
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 14: PARKS AND RECREATION RECORDS
ACCIDENT/INCIDENT REPORTS (PARKS &
RECREATION) (CM)
ACCIDENT/INCIDENT REPORTS (PARKS &
RECREATION) (M)
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Accident/Incident
Reports (Customer and Employee).
ANNUAL ACTIVITY REPORT
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
ATHLETIC PROGRAM FILE (M)
See Recreation Programs.
BIRTH CERTIFICATES (REFERENCE COPIES)
See Recreation Programs.
416
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 14: PARKS AND RECREATION RECORDS
FACILITY USE PERMITS (M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Equipment, Facility, and Vehicle Usage
Records.
INTERNATIONAL FEDERATION OF PARKS AND
RECREATION ADMINISTRATION FILE (CM)
INTERNATIONAL FEDERATION OF PARKS AND
RECREATION ADMINISTRATION FILE (M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Membership Records.
INVENTORY OF FACILITIES (M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Inventories.
MAPS FILE (M)
See General Records Schedule: Local
Government Agencies, Standard 3
(Geographic Information System), Maps:
Parks.
417
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 14: PARKS AND RECREATION RECORDS
OFFICIALS FILE
Description revised to:
Records concerning individuals who officiate
games. Includes schedule and
correspondence (including e-mail).
SEE ALSO: GENERAL RECORDS SCHEDULE:
LOCAL GOVERNMENT AGENCIES, Payroll and
Earnings Records (STANDARD 2: BUDGET,
FISCAL, AND PAYROLL RECORDS) or Seasonal
and Contract Worker Records (STANDARD 6:
PERSONNEL RECORDS) for disposition of
payment records.
Item b) deleted from Disposition Instructions
PARKS AND RECREATION AGENDA AND
MEETING PACKETS FILE (M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Public Bodies: Agenda and Meeting Packets.
PARKS AND RECREATION BOARD MEETINGS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Public Bodies: Minutes.
418
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 14: PARKS AND RECREATION RECORDS
PARKS PLANNING FILE
Description revised to Records concerning
and to refer to all parks not just county or
municipality. References to Comprehensive
Plans and Maps updated to current general
schedule standard.
PROMOTIONAL LEAFLETS AND BROCHURES
(M)
See General Records Schedule: Local
Government Agencies, Standard 7 (Public
Relations Records), Publicity Records.
RATE AND FEE REGULATION (M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Rates and Fee Schedules.
419
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 14: PARKS AND RECREATION RECORDS
RECREATION PROGRAMS
Fees Paid added to description (CM)
Disposition Instruction changed to:
A) Destroy age verification records when
reference value ends
B) Destroy in office remaining records after 3
years (M) (CM)
Description includes minor changes including
change to Records concerning. Citation to
GS132-1.12 added (M).
RECREATION EQUIPMENT RECORDS (CM)
RECREATION EQUIPMENT RECORDS (M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Equipment, Repair, and Inspections Records.
RELEASE FORMS (CM)
RELEASE FORMS (M)
See General Records Schedule: Local
Government Agencies, Standard 6 (Legal
Records), Release Forms.
420
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 14: PARKS AND RECREATION RECORDS
RESERVATION RECORDS (CM)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Equipment, Facility, and Vehicle Usage
Records.
RULES AND REGULATIONS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Administrative Directives, Regulations, and
Rules
SPECIAL EVENTS PROGRAM FILE (CM)
SPECIAL EVENTS PROGRAM FILE (M)
See General Records Schedule: Local
Government Agencies, Standard 7 (Public
Relations Records), Fund Drive and Event
Records.
421
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
STANDARD 15: PLANNING AND REGULATION OF DEVELOPMENT RECORDS
The most noticeable change from previous schedules is that the title has been amended from Planning and Zoning to Planning and Regulation of
Development in accordance with changes implemented in G.S. § 160A-360 (repealed effective January 1, 2021).
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 15: PLANNING AND REGULATION OF DEVELOPMENT RECORDS
APPEARANCE COMMISSION AGENDA AND
MEETING PACKETS FILE (County
Management, Municipal)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Minutes of Public Bodies
APPEARANCE COMMISSION MINUTES
(County Management, Municipal)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Agenda and Meeting Packets
APPEARANCE COMMISSION PROJECT FILE
(County Management, Municipal)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Projects
ASSESSMENT RECORDS FILE
(County Management, Municipal)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reference (Reading) File
422
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 15: PLANNING AND REGULATION OF DEVELOPMENT RECORDS
BOARD OF ADJUSTMENT AGENDA AND
MEETING PACKETS
(County Management, Municipal)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Agenda and Meeting Packets
BOARD OF ADJUSTMENT CASE FILES AND
INDEXES
Combined previous Board of Adjustment
Case File and Board of Adjustment Case
Index Records
BOARD OF ADJUSTMENT MINUTES
(County Management, Municipal)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Minutes of Public Bodies
CERTIFICATES OF APPROPRIATENESS FILE
Issued by the Historic Preservation
Commission and retained for life of
structure.
COMMUNITY DEVELOPMENT BLOCK GRANTS
RECORDS: ADMINISTRATIVE
Final reports added to item to allow for
historical value retention.
423
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 15: PLANNING AND REGULATION OF DEVELOPMENT RECORDS
COMMUNITY DEVELOPMENT BLOCK GRANTS
RECORDS: APPLICATIONS
Disposition added for rejected applications.
Final reports removed from item and added to
CDBG Administrative records.
COMMUNITY DEVELOPMENT BLOCK
GRANTS RECORDS: OUTSTANDING LOAN
BALANCES
COMMUNITY DEVELOPMENT BLOCK
GRANTS RECORDS: SUBJECT TO REVERSION
OF ASSETS PROVISIONS OR CHANGE OF USE
OF REAL PROPERTY
COMPREHENSIVE PLAN AND AMENDMENTS
FILE
Modified to excise “Land Use” from title to
coincide with definition given in G.S. 160D 1-2.
Modified “b” disposition to read “remaining
records” instead of listing specific titles.
EASEMENT RELEASE REQUEST FILE
Removed “approved by the Planning Board”
from description as statute does not dictate
who has approval authority and is performed
by more than just the planning board.
424
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 15: PLANNING AND REGULATION OF DEVELOPMENT RECORDS
FEASIBILITY STUDIES
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
MASTER SUMMARY (LOG OR REGISTER)
Retention changed from “permanent” to
“destroy when superseded/obsolete.” The
Log itself is permanent but the information
added to the log is what the retention
instructions should be applied to.
ORTHOPHOTOGRAPHY (County
Management)
See General Records Schedule: Local
Government Agencies, Standard 3
(Geographic Information System
(GIS) Records), Layers:
Orthoimagrey.
PHOTOGRAPHS AND NEGATIVES
(AERIAL) (County Management)
See General Records Schedule: Local
Government Agencies, Standard 3
(Geographic Information System
(GIS) Records), Layers:
Orthoimagrey.
425
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 15: PLANNING AND REGULATION OF DEVELOPMENT RECORDS
PLANNING AND ZONING BOARD
MEETINGS (County Management)
(Municipal)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management
Records), Agenda and Meeting
Packets and Minutes of Public
Bodies.
PLANNING AND ZONING STUDIES
(County Management) (Municipal)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management
Records), Strategic Plan and Projects.
PRELIMINARY SUBDIVISION AND
GROUP DEVELOPMENT SITE PLANS
See Subdivisions.
REDEVELOPMENT PLANNING
RECORDS
(County Management) (Municipal)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management
Records), Strategic Plan.
426
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 15: PLANNING AND REGULATION OF DEVELOPMENT RECORDS
REFERRED PROJECTS
(County Management) (Municipal)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management
Records), Reference (Reading) File.
SPECIAL USE PERMIT RECORDS AND INDEX
FILE
Amended to change “Conditional Use” to
“Special Use” to fit definitions given in G.S.
160D. Also removed “sign permits and
temporary use” permits from description as
these are covered under Permits: Zoning
Compliance.
STREET NAMES AND CHANGES OF
STREET NAMES FILE (County
Management) (Municipal)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management
Records), Reference (Reading) File.
SUBDIVISION RECORDS
“Maps” and “plats” removed from item
description. Cross-reference added to Maps,
Plats, and Other Drawings.
427
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 15: PLANNING AND REGULATION OF DEVELOPMENT RECORDS
VARIANCES
Retention changed to now maintain
item permanently in the minutes of the
Board of Adjustment or other
governing body.
428
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
STANDARD 16: PUBLIC HOUSING AUTHORITIES AND REDEVELOPMENT COMMISSION RECORDS
General note: In the case of many grant-funded records, numerous new records series have been added to reflect the very precise retention
requirements for these records established by the federal government.
Community Development Block Grant records moved to Standard 15: Planning and Regulation of Development Records.
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 16: PUBLIC HOUSING AUTHORITIES AND REDEVELOPMENT COMMISSION RECORDS
CDBG RECORDS
See Program Records Schedule: Local
Government Agencies, Standard 15 (Planning
and Regulation of Development Records),
Community Development Block Grant (CDBG)
Records: Administrative, Applications,
Outstanding Loan Balances, AND Records
Subject to Reversion of Assets Provisions or
Change of Use of Real Property.
CONTINUUM OF CARE RECORDS
CRIMINAL RECORDS CHECKS
EMERGENCY SOLUTIONS GRANTS RECORDS
HOME INVESTMENT PARTNERSHIPS
PROGRAM RECORDS
LAND MARKETING AND DEVELOPMENT
RECORDS
PROPERTY MANAGEMENT RECORDS
REHABILITATION LOAN RECORDS
RELOCATION RECORDS
HOUSING ASSISTANCE FOR PERSONS WITH
DISABILITIES
429
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 16: PUBLIC HOUSING AUTHORITIES AND REDEVELOPMENT COMMISSION RECORDS
HOUSING OPPORTUNITIES FOR PERSONS
WITH AIDS RECORDS
LANDLORD MONITORING RECORDS
REDEVELOPMENT PLANS
Changed title to encompass approved as well
as rejected plans; added description; clarified
disposition instructions for approved vs.
rejected projects
CERTIFICATION FILE
430
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
STANDARD 17: PUBLIC TRANSPORTATION SYSTEMS RECORDS
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 17: PUBLIC TRANSPORTATION SYSTEMS RECORDS
ACCREDITATION RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Accreditation Records.
AGENCY LOGS (SHEETS)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
APPLICATIONS FOR AWARDS
If application is for employee awards, see
General Records Schedule: Local Government
Agencies, Standard 4 (Human Resources
Records), Service Awards and
Commendations.
For application is for public awards, see
General Records Schedule: Local Government
Agencies, Standard 7 (Public Relations
Records), Community Awards.
431
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 17: PUBLIC TRANSPORTATION SYSTEMS RECORDS
CALL IN LOGS (SHEETS)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Vehicle Maintenance, Repair, and Inspection
Records AND Standard 5 (Information
Technology Records) Voice Over Internet
Protocol (VoIP) Records.
CUSTOMER (RIDER) ALERTS
See General Records Schedule: Local
Government Agencies, Standard 7 (Public
Relations Records), Publicity Records.
DISPATCH RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
LOST AND FOUND RECORDS
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Lost, Stolen, or
Damaged Property Reports.
NATIONAL TRANSIT DATABASE (NTD) REPORT
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
432
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 17: PUBLIC TRANSPORTATION SYSTEMS RECORDS
OPERATOR BID RECORDS
See General Records Schedule: Local
Government Agencies, Standard 2 (Budget,
Fiscal, and Payroll Records), Bids for
Purchase.
OPERATOR SCHEDULING AND ASSIGNMENT
RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies and Standard 4 (Human
Resources Records), Work Schedules and
Assignments.
RADIO DISPATCH RECORDINGS AND LOGS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies
RIDERSHIP REPORTS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Equipment, Facility, and Vehicle Usage
Records.
433
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 17: PUBLIC TRANSPORTATION SYSTEMS RECORDS
ROUTE MAINTENANCE RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Facility Maintenance, Repair, and Inspection
Records.
ROUTE REQUESTS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Citizen Comments, Complaints, Petitions, and
Service Requests
SAFETY CERTIFICATIONS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Accreditation Records.
SERVICE PERFORMANCE RECORDS
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Performance Reviews.
SERVICE PLANNING AND DEVELOPMENT
RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Strategic Plan.
434
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 17: PUBLIC TRANSPORTATION SYSTEMS RECORDS
SHELTER RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Blueprints and Specifications AND
Inventories.
SHUTTLE LOGS (SHEETS)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
TERMINAL DISPATCH RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
TICKET CONSIGNMENT RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Inventories
TRANSPORTATION SYSTEM OPERATIONS
REPORTS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
435
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 17: PUBLIC TRANSPORTATION SYSTEMS RECORDS
TRANSPORTATION SYSTEM SERVICE
PERFORMANCE EVALUATIONS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Equipment, Vehicle, and Facility Usage
Records.
TRANSPORTATION SYSTEM STATISTICAL
RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
TRIP REQUESTS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Citizen Comments, Complaints, Petitions, and
Service Requests
VEHICLE BREAKDOWN RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Equipment, Vehicle, and Facility Usage
Records and Work Orders
436
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 17: PUBLIC TRANSPORTATION SYSTEMS RECORDS
VEHICLE OPERATOR INSTRUCTIONS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Equipment and Vehicle Reference Records
VEHICLE USAGE LOGS (SHEETS)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
437
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
This standard combines the Municipal Schedule Standard 17, Public Utilities and Environmental Management Records, and the County
Management Schedule Standard 15, Public Utilities and Waste Management Records. To ease searching, records series have been loosely
grouped into the categories Environmental Records, Erosion Control Records, Flood Control Records, Utilities Records, and Water Quality
Records. This change log indicates name changes under “changes” and the Municipal and County items that have been superseded under
“discontinued items.” Some overlap was found with County Management Schedule Standard 5, Code Enforcement and Inspection Records. In
these cases, the records series can now be found on the Local Government Program Schedule Standard 12, Code Enforcement and Inspection.
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
ABANDONED UTILITY LINE RECORDS
See Program Records Schedule: Local
Government Agencies , Standard 18 (Public
Utilities And Environmental/Waste
Management Records),
Utilities: Public Utilities System Engineering,
Maintenance, and Repair Records.
AIR POLLUTION SOURCE INFORMATION (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records), Air
Pollution Source Information.
ANNUAL REPORTS: UTILITIES
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
438
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
ASBESTOS DISPOSAL FILE (M)
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Hazardous Materials
Management.
BATTERY COLLECTION FILE (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records),Environmental:
Discharge Monitoring Reports.
CABLE TELEVISION FRANCHISE RECORDS
Service reports repealed by Session Law
2018-145. Remaining functions performed at
state level by NC Department of the
Secretary of State as of 2007 according to
G.S. 66-351.
CHRONOLOGY FILE (M)
Item removed. Records in chronology file
should be treated under their appropriate
category in this schedule. Copies of records
compiled in a ready reference file do not
create new record copies.
COMMUNITY WATER SYSTEM PERMIT (M)
Record copy created and issued by N.C.
Department of Environmental Quality. Copy
kept at local level is a reference copy.
439
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
COMPLAINTS (EROSION AND SEDIMENT
CONTROL) (M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records,
Constituent Comments, Complaints, and
Service Requests.
ENVIRONMENTAL: COMPREHENSIVE SOLID
WASTE MANAGEMENT PLAN AND
AMENDMENTS
Background surveys, studies, reports, and
drafts integrated into Disposition (b), destroy
in office when superseded or obsolete.
Cross-reference added to General Records
Schedule: Local Government Agencies,
Standard 1 (Administration and Management
Records), Comprehensive Plan.
COMPREHENSIVE SOLID WASTE
MANAGEMENT PLAN AND AMENDMENTS
(M)
CONSTRUCTION DRAWINGS (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records),
Blueprints and Specifications.
COUNTY LANDFILL RECORDS (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Environmental:
Landfill Operational Plan.
440
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
CUSTOMER ACCOUNT HISTORIES (M)
See General Records Schedule: Local
Government Agencies, Standard 2 (Budget,
Fiscal, and Payroll Records), Accounts
Receivable for financial history. See
Environmental: Customer Usage Records for
usage history.
CUSTOMER DEPOSIT RECORDS (M)
See General Records Schedule: Local
Government Agencies, Standard 2 (Budget,
Fiscal, and Payroll Records), Accounts
Receivable.
CUSTOMER FINANCIAL RECORDS
See General Records Schedule: Local
Government Agencies, Standard 2 (Budget,
Fiscal, and Payroll Records), Accounts
Receivable.
ENVIRONMENTAL: CUSTOMER USAGE
RECORDS
CUSTOMER USAGE RECORDS
CUSTOMER WORK ORDERS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records,
Constituent Comments, Complaints, and
Service Requests.
ENVIRONMENTAL: DAILY DISPOSAL TICKETS DAILY DISPOSAL TICKETS (M)
441
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
UTILITIES: DAILY WATER AND WASTEWATER
FACILITY OPERATORS LOGS
Description of item added.
Disposition order reversed to reflect that
wastewater treatment facility logs are
retained longer than those of water
treatment facilities.
DAILY FACILITY OPERATORS LOGS AND
REPORTS (M)
DAILY PLANT RECORDS (M)
If waste or wastewater treatment plant, see
Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Utilities: Daily Water
and Wastewater Facility Operators Logs.
If other facility, see General Records
Schedule: Local Government Agencies,
Standard 1 (Administration and Management
Records), Reports and Studies.
442
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
DAILY REPORT OF OPERATIONS AND COSTS
(M)
If waste or wastewater treatment plant, see
Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Utilities: Daily Water
and Wastewater Facility Operators Logs.
If other facility, see General Records
Schedule: Local Government Agencies,
Standard 1 (Administration and Management
Records), Reports and Studies AND Standard
2 (Budget, Fiscal, and Payroll Records),
Budget Reports.
DAILY TRIP REPORTS/LOGS (M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
DAM CONSTRUCTION FILES (M)
See Program Records Schedule: Local
Government Agencies, Standard 19 (Street
Maintenance, Public Works, and Engineering
Records), Project Records: Core.
443
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
DAM OPERATIONS AND MAINTENANCE FILES
(M)
See Program Records Schedule: Local
Government Agencies, Standard 19 (Street
Maintenance, Public Works, and Engineering
Records), Infrastructure Maintenance
Records.
DIRECT DRAFT AUTHORIZATIONS (M)
See General Records Schedule: Local
Government Agencies, Standard 2 (Budget,
Fiscal, and Payroll Records), Electronic Funds
Transfers (EFT).
ENVIRONMENTAL: DISCHARGE MONITORING
REPORTS
Order of dispositions changed to place
longest retention requirements (NPDES
reports and annual reports) ahead of daily
reports.
DISCHARGE MONITORING REPORTS (M)
DRIVERS’ DAILY REPORTS (M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
DROUGHT CONTINGENCY PLANS (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records),
Drought Contingency Plans.
444
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
UTILITIES: ELECTRIC POWER AND NATURAL
GAS FACILITY ENGINEERING AND SYSTEM
PLANS
Description of item added.
Cross-reference added to General Records
Schedule: Local Government Agencies,
Standard 1 (Administration and Management
Records), Comprehensive Plan.
Disposition changed. Records are no longer
permanent. If records are an element of the
Comprehensive Plan, destroy in office when
reference value ends. If not an element of
the Comprehensive Plan, destroy in office
when superseded or obsolete.
ELECTRIC POWER AND NATURAL GAS
FACILITY ENGINEERING AND SYSTEM PLANS
(M)
UTILITIES: ELECTRIC POWER AND NATURAL
GAS PERMITS AND APPROVAL RECORDS
ELECTRIC POWER AND NATURAL GAS
PERMITS AND APPROVAL RECORDS (M)
ELECTRIC POWER AND NATURAL GAS SYSTEM
INSPECTIONS AND TESTS (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Utilities: Public
Utilities System Engineering, Maintenance,
and Repair Records.
445
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
UTILITIES: ELECTRIC POWER AND NATURAL
GAS SYSTEM MAINTENANCE AND REPAIR
RECORDS
Disposition (b) removed; disposition for all
records now destroy in office 3 years after
equipment is no longer owned and/or
operational.
ELECTRIC POWER AND NATURAL GAS SYSTEM
MAINTENANCE AND REPAIR RECORDS (M)
UTILITIES: ELECTRIC POWER AND NATURAL
GAS SYSTEM MANAGEMENT PLANS
Cross-reference added to General Records
Schedule: Local Government Agencies,
Standard 1 (Administration and Management
Records), Comprehensive Plan.
Disposition changed from retain in office
permanently to retain in office for life of
system and then destroy.
ELECTRIC POWER AND NATURAL GAS SYSTEM
MANAGEMENT PLANS (M)
UTILITIES: ELECTRIC POWER AND NATURAL
GAS SYSTEM PROJECT RECORDS
Disposition (a) modified for pre-approval and
final approval letters from retain
permanently to retain for life of system and
then destroy.
ELECTRIC POWER AND NATURAL GAS SYSTEM
PROJECT RECORDS (M)
446
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
ENFORCEMENT CASES: EROSION AND
SEDIMENT CONTROL (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records),
Erosion and Sediment Control Enforcement
Cases.
ENGINEERING REPORTS FILE (M)
See Program Records Schedule: Local
Government Agencies, Standard 15 (Planning
and Regulation of Development Records),
Planning Review Case File.
EROSION CONTROL: EROSION AND
SEDIMENT AFFIDAVITS
EROSION AND SEDIMENT AFFIDAVITS (M)
EROSION CONTROL: EROSION AND
SEDIMENT CONTROL EXHIBIT RECORDS
EROSION AND SEDIMENT CONTROL EXHIBIT
RECORDS (M)
EROSION AND SEDIMENT CONTROL NOTICE
OF VIOLATIONS (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records),
Violations: Building and Housing.
447
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
EROSION CONTROL: EROSION AND
SEDIMENT CONTROL INSPECTIONS
Description of item added.
Disposition changed from destroy in office 3
years after final site inspection to destroy in
office 6 years after final site inspection.
EROSION AND SEDIMENT CONTROL
INSPECTIONS (M)
EROSION AND SEDIMENT CONTROL PERMIT
LOGS (M)
See Erosion Control: Erosion and Sediment
Control Permits.
EROSION AND SEDIMENT CONTROL PERMIT
RECEIPT BOOKS (M)
See Erosion Control: Erosion and Sediment
Control Permits.
EROSION CONTROL: EROSION AND
SEDIMENT CONTROL PLANS
Description of item revised to specify that
item includes revisions, addendums, and
records delineating who is financially
responsible for the project.
Disposition of approved plans changed from
destroy in office 6 years after approval or last
revision and/or addendum to destroy in
office 3 years after expiration.
EROSION AND SEDIMENT CONTROL PLANS
(M)
448
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
EROSION AND SEDIMENT CONTROL TRADES
CERTIFICATIONS (M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Accreditation Records.
EXEMPTION (VARIANCE) RECORDS (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records),
Exemption (Variance) Records.
FINAL INSPECTION REPORTS (M)
See Program Records Schedule: Local
Government Agencies, Standard 15 (Planning
and Regulation of Development Records),
Planning Review Case File.
FINANCIAL RESPONSIBILITY AND OWNERSHIP
RECORDS (M)
See Program Records Schedule: Local
Government Agencies, Standard 19 (Street
Maintenance, Public Works, and Engineering
Records), Project Records: Engineering and
Compliance.
FLOOD CONTROL: FLOOD CERTIFICATIONS
FLOOD CONTROL: FLOOD STUDIES
449
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
GARBAGE SERVICE FILE (M)
See Environmental: Comprehensive Solid
Waste Management Plan and Amendments
AND General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records,
Constituent Comments, Complaints, and
Service Requests AND Standard 2 (Budget,
Fiscal, and Payroll Records), Accounts
Receivable.
GROUNDWATER MONITORING RECORDS (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records),
Groundwater Monitoring Records.
HAZARDOUS WASTE DISPOSAL RECORDS (M)
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Hazardous Materials
Management.
ILLEGAL DUMPING FILE (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records), Illegal
Dumping File.
450
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
INFORMATION AND WORKING FILE (M)
Removed from schedule as information and
working files are considered records with
transitory or reference value until they are
placed into another item.
UTILITIES: PUBLIC UTILITIES INSPECTION
FORMS
INSPECTION FORMS (M)
INSPECTIONS (EROSION AND SEDIMENT
CONTROL) (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records),
Inspections.
INSPECTOR WORKSHEETS/NOTES (M)
Item removed from schedule. Worksheets
and notes have transitory value. Inspections
are records of longer-term value.
WATER QUALITY: LABORATORY OPERATIONS
RECORDS
Description clarified to specify that records
pertain to certification obtained by agency.
LABORATORY OPERATIONS RECORDS (M)
LANDFILL INSPECTION RECORDS (M)
See Environmental: Landfill Operational Plan.
451
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
ENVIROMENTAL: LANDFILL MONITORING
REPORTS (M)
Cross-reference added to General Records
Schedule: Local Government Agencies,
Standard 1 (Administration and Management
Records), Audits: Performance.
Retention citation added: 15A NCAC 13B
.1626(10)
LANDFILL MONITORING REPORTS (M)
ENVIRONMENTAL: LANDFILL OPERATIONAL
PLAN
Disposition changed from retain in office
permanently to destroy in office when
superseded or obsolete.
Authority citation added: G.S. 130A-309.09D
LANDFILL OPERATIONAL PLAN (M)
ENVIRONMENTAL: LANDFILL PERMITS
Description for item added
Disposition split into two groups of records:
Retain construction and operation permits
for life of system and then destroy, while all
other permits and related records are eligible
for destruction after the 5-year reporting
period is complete.
LANDFILL PERMITS (M)
452
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
LANDFILL TONNAGE AND COST FILE (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records),
Landfill Tonnage and Cost File.
UTILITIES: LANDLORD AGREEMENTS
Disposition modified to destroy in office 3
years after expiration of agreement.
LANDLORD AGREEMENTS
LEAD AND COPPER COMPLIANCE RECORDS
(M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records), Lead
and Copper Compliance Records.
LIFT STATION INFORMATION FILE (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Utilities: Public
Utilities System Engineering, Maintenance,
and Repair Records.
453
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
LINE INSPECTION MAPS (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Utilities: Public
Utilities System Engineering, Maintenance,
and Repair Records.
LOAD INSPECTION RECORDS (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records),
Inspections.
UTILITIES: MAPS (UTILITY INSTALLATIONS &
DISTRIBUTIONS)
Cross-reference added to General Records
Schedule: Local Government Agencies,
Standard 3 (Geographic Information System
(GIS) Records), Maps: All Other.
Disposition modified from retain
permanently to retain for life of system and
then destroy.
MAPS (UTILITY INSTALLATIONS &
DISTRIBUTIONS)
454
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
METER RECORDS (ELECTRIC, WATER, GAS)
(CM)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Utilities: Electric
Power and Natural Gas System Maintenance
and Repair Records.
METER READING RECORDS (ELECTRIC,
WATER, GAS) (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Environmental:
Customer Usage Records.
UTILITIES: METER INSTALLATION, TESTING
AND CALIBRATION RECORDS (ELECTRIC,
WATER, GAS)
Description of item added.
Dispositions changed. For records verifying
installation of meter, destroy in office 3 years
after equipment is no longer owned and/or
operational. For notices to property owners
of approval of utility installation, destroy in
office after 2 years. For remaining records,
destroy in office when reference value ends.
METER TESTING AND CALIBRATION RECORDS
(ELECTRIC, WATER, GAS) (M)
455
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
MONTHLY REPORTS (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Environmental:
Discharge Monitoring Reports AND General
Records Schedule: Local Government
Agencies, Standard 1 (Administration and
Management Records), Reports and Studies.
MONTHLY REPORTS (LOCAL) (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Environmental:
Discharge Monitoring Reports AND General
Records Schedule: Local Government
Agencies, Standard 1 (Administration and
Management Records), Reports and Studies.
ENVIRONMENTAL: NOTICE OF VIOLATIONS
FOR IMPROPER DISCHARGE OR DISPOSAL
FILE
Description of item added.
Disposition changed from destroy when
reference value ends to one year after
resolution.
NOTICE OF VIOLATIONS FOR IMPROPER
DISCHARGE OR DISPOSAL FILE (M)
456
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
NOTICE TO PROPERTY OWNERS OF
APPROVAL OF WATER UTILITY INSTALLATION
(CM)
NOTICE TO PROPERTY OWNERS OF
APPROVAL OF UTILITY INSTALLATION (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Utilities: Meter
Installation, Testing, and Calibration Records
(Electric, Water, Gas)
ENVIRONMENTAL: OUTSIDE WASTE
CLEARANCE RECORDS
OUTSIDE WASTE CLEARANCE RECORDS
PARTICIPATION CONTRACTS (M)
See General Records Schedule: Local
Government Agencies, Standard 6 (Legal
Records), Contracts, Leases, and Agreements.
PERIODIC INSPECTION REPORTS OF
INDUSTRIAL FACILITIES (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records),
Inspections.
EROSION CONTROL: EROSION AND
SEDIMENT CONTROL PERMITS
PERMITS (EROSION AND SEDIMENT
CONTROL) (M)
457
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
PRELIMINARY PLAN REVIEW FILE (M)
See Program Records Schedule: Local
Government Agencies, Standard 15 (Planning
and Regulation of Development Records),
Planning Review Case File.
WATER QUALITY: PRETREATMENT PROGRAM
RECORDS
PRETREATMENT PROGRAM RECORDS
UTILITIES: PUBLIC UTILITIES SYSTEM
ENGINEERING, MAINTENANCE, AND REPAIR
RECORDS
Disposition for as built plans and
specifications changed from retain
permanently to retain for life of system and
then destroy.
Dispositions re-ordered from longest length
of required retention to shortest.
PUBLIC UTILITIES SYSTEM ENGINEERING,
MAINTENANCE, AND REPAIR RECORDS (CM)
RATE SCHEDULES (M)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Rate and Fee Schedules.
RECYCLING TONNAGE RECORDS (M)
See General Record Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
458
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
UTILITIES: RECYCLING WATER RECORDS
REPORTS: RECYLCING TONNAGE (CM)
See General Record Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
ROUTINE REPORTS (SANITATION) (M)
See General Record Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
SANITARY LANDFILL INSPECTIONS (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Environmental:
Landfill Operational Plan.
WATER QUALITY: PUBLIC WATER SANITARY
SURVEY RECORDS
Cross-reference added to General Records
Schedule: Local Government Agencies,
Standard 1 (Administration and Management
Records), Audits: Performance.
Disposition added for documentation of
correction measures to destroy those records
2 years after their implementation.
SANITARY SURVEY RECORDS
459
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
SCALE HOUSE VIDEO MONITORING
RECORDINGS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Office and Property Security Records.
SERVICE AGREEMENTS
See General Records Schedule: Local
Government Agencies, Standard 6 (Legal
Records), Contracts, Leases, and Agreements.
UTILITIES: SERVICE INTERRUPTION RECORDS SERVICE INTERRUPTION RECORDS
WATER QUALITY: SEWER JETTING AND
VECTORING RECORDS
SEWER JETTING AND VECTORING RECORDS
WATER QUALITY: SLUDGE TREATMENT
RECORDS
Description modified to clarify that
documentation is “conducted by or for
agency.”
SLUDGE TREATMENT RECORDS
SOLID WASTE CONVENIENCE CENTER FILE
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Environmental:
Discharge Monitoring Reports.
460
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
SOLID WASTE MANAGEMENT VIOLATION
RECORDS (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records),
Violations: Solid Waste Management.
SOLID WASTE REPORTS (M)
See General Record Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
SOLID WASTE SERVICE FILE
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Environmental:
Comprehensive Solid Waste Management
Plan and Amendments AND General Records
Schedule: Local Government Agencies,
Standard 1 (Administration and Management
Records, Constituent Comments, Complaints,
and Service Requests AND Standard 2
(Budget, Fiscal, and Payroll Records),
Accounts Receivable.
WATER QUALITY: STORMWATER DEVIATION
PERMITS
461
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
SURETY BOND INFORMATION (M)
See General Records Schedule: Local
Government Agencies, Standard 2 (Budget,
Fiscal, and Payroll Records), Bond Closing
Records AND Bond Register AND Bonds,
Notes, and Coupons.
UTILITIES: TAP AND HOOK UP RECORDS
Confidentiality citation added: G.S. 132-
1.1(c).
TAP AND HOOK UP RECORDS
EROSION CONTROL: TROUT BUFFER
VARIANCES
Cross-reference added to Program Records
Schedule: Local Government Agencies,
Standard 15 (Planning and Regulation of
Development Records), Variances.
Authority citation added: 15A NCAC 04B
.0125
TROUT BUFFER VARIANCES (M)
ENVIRONMENTAL: REPORTS SUBMITTED TO
U.S. ENVIRONMENTAL PROTECTION AGENCY
(EPA)
U.S. ENVIRONMENTAL PROTECTION AGENCY
(EPA) REPORTS (M)
VALVE OPERATION FILE (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records), Valve
Operation File.
462
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
WATER QUALITY: VIOLATION RECORDS VIOLATION RECORDS (M)
WASTE ELECTRONICS COLLECTION FILE (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Environmental:
Discharge Monitoring Reports.
WASTE OIL COLLECTION FILE (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Environmental:
Discharge Monitoring Reports.
UTILITIES: WASTEWATER MAINTENANCE
OPERATION REPORTS
WASTEWATER MAINTENANCE OPERATION
REPORT (M)
WASTEWATER POLLUTION CONTROL AND
ABATEMENT RECORDS (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records),
Wastewater Pollution Control and
Abatement Records.
463
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
WASTEWATER QUALITY ANALYSIS RECORDS
(M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records),
Wastewater Quality Analysis Records.
WATER ANALYSIS (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records), Water
Analysis.
WATER AND SEWER PROJECTS (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Utilities: Public
Utilities System Engineering, Maintenance,
and Repair Records.
WATER AND WASTEWATER FACILITY
ENGINEERING AND SYSTEM PLANS (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Utilities: Public
Utilities System Engineering, Maintenance,
and Repair Records.
464
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
UTILITIES: WATER AND WASTEWATER
PERMITS AND APPROVAL RECORDS
Order of dispositions reversed to place
records for permanent value first.
WATER AND WASTEWATER PERMITS AND
APPROVAL RECORDS (M)
WATER QUALITY: WATER AND WASTEWATER
SYSTEM INSPECTIONS AND TESTS
WATER AND WASTEWATER SYSTEM
INSPECTIONS AND TESTS (M)
WATER AND WASTEWATER SYSTEM
MAINTENANCE AND REPAIR RECORDS (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Utilities: Public
Utilities System Engineering, Maintenance,
and Repair Records.
WATER AND WASTEWATER SYSTEM
MANAGEMENT PLANS (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Utilities: Public
Utilities System Engineering, Maintenance,
and Repair Records.
465
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
WATER AND WASTEWATER SYSTEM PROJECT
RECORDS (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Utilities: Public
Utilities System Engineering, Maintenance,
and Repair Records.
WATER CONSERVATION VIOLATION NOTICES
(M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records),
Violations: Water Conservation.
WATER STOCK PURCHASE RECORDS (M)
See General Records Schedule: Local
Government Agencies, Standard 2 (Budget,
Fiscal, and Payroll Records), Accounts
Payable.
WATER SYSTEM OPERATIONS RECORDS (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records), Water
System Operations Records.
466
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 18: PUBLIC UTILITIES AND ENVIRONMENTAL/WASTE MANAGEMENT RECORDS
WATER TANKS, SPECIFICATIONS, AND
BOOSTER STATIONS FILE (M)
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement and Inspection Records), Water
Tanks, Specifications, and Booster Stations
File.
WEIGH TICKETS/SCALE RECORDS (M)
See Program Records Schedule: Local
Government Agencies, Standard 18 (Public
Utilities and Environmental/Waste
Management Records), Environmental:
Landfill Operational Plan.
467
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
SECTION 19: STREET MAINTENANCE, PUBLIC WORKS, AND ENGINEERING RECORDS
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 19: STREET MAINTENANCE, PUBLIC WORKS, AND ENGINEERING RECORDS
APPRAISAL REPORTS
Description for item now specifies that it
covers “records appraising privately owned
land for compensation in eminent domain
projects.” Added cross-reference to General
Records Schedule: Local Government
Agencies, Standard 6 (Legal Records),
Easements and Right-of-Way Records.
APPRAISAL REPORTS FILE
COMPLIANCE RECORDS
See Program Records Schedule: Local
Government Agencies, Standard 19: Street
Maintenance, Public Works, and Engineering
Records), Project Records – Engineering and
Compliance.
EMERGENCY OPERATIONS PLANS
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Disaster and
Emergency Management Plans.
ENVIRONMENTAL ASSESSMENT RECORDS
See Program Records Schedule: Local
Government Agencies, Standard 19 (Street
Maintenance, Public Works, and Engineering
Records), Project Records – Engineering and
Compliance.
468
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 19: STREET MAINTENANCE, PUBLIC WORKS, AND ENGINEERING RECORDS
INFRASTRUCTURE MAINTENANCE RECORDS
FILE
MAINTENANCE RECORDS FILE
PEST CONTROL RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Pest Control.
PROJECT RECORDS: CANCELLED
PRE-PROJECT RECORDS
PROJECT RECORDS – ENGINEERING AND
COMPLIANCE
This item now includes records previously
found under Compliance Records and
Environmental Assessment Records.
Grants removed from description. Cross-
reference added to General Records
Schedule: Local Government Agencies,
Standard 1 (Administration and Management
Records), Grants, and Standard 2 (Budget,
Fiscal, and Payroll Records), Grants: Financial.
Payroll removed from description. Cross-
reference added to General Records
Schedule: Local Government Agencies,
Standard 2 (Budget, Fiscal, and Payroll
Records), Payroll and Earnings Records.
PROJECT RECORDS – ENGINEERING
469
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 19: STREET MAINTENANCE, PUBLIC WORKS, AND ENGINEERING RECORDS
PROJECT RECORDS – WORK PAPERS
Working Papers are public records, but they
are no longer included on the schedule as the
only records with long-term value are the
final versions of the project records, as
documented in Project Records – Cancelled,
Project Records – Core, and Project Records –
Engineering and Compliance.
PROJECT TRACKING RECORDS
When these records have long-term value,
they are now consolidated into either Project
Records – Cancelled, Project Records – Core,
or Project Records – Engineering and
Compliance.
470
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 19: STREET MAINTENANCE, PUBLIC WORKS, AND ENGINEERING RECORDS
RIGHT-OF-WAY ACQUISITION WORKING
RECORDS
Includes working versions of items previously
found under Right-of-Way Acquisition
Records
Cross-reference added to General Records
Schedule: Local Government Agencies,
Standard 6 (Legal Records), Easements and
Right-of-Way Records.
Final versions of Acquisition Records fall
under the Easements and Right-of-Way
Records in the General Records Schedule:
Local Government Agencies; this item
includes only working papers.
Right-of-Way Acquisition Working Records
have a retention period of three years rather
than a permanent retention in office.
RIGHT-OF-WAY ACQUISITION RECORDS
RIGHT-OF-WAY APPRAISAL RECORDS
See General Records Schedule: Local
Government Agencies Standard 6 (Legal
Records), Easements and Right-of-Way
Records.
471
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 19: STREET MAINTENANCE, PUBLIC WORKS, AND ENGINEERING RECORDS
RIGHT-OF-WAY CORRESPONDENCE FILE
See Program Records Schedule: Local
Government Agencies, Standard 19 (Street
Maintenance, Public Works, and Engineering
Records), Right-of-Way Acquisition Working
Records.
STREET CLEANING RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies. Follow the disposition
instructions under this item based on the
kind of report generated by street cleaning
efforts.
STRUCTURAL MAINTENANCE AND ANALYSIS
RECORDS
Disposition A modified to allow for
destruction three years after the end of life
of a permanent structure.
Now includes a cross-reference to General
Records Schedule: Local Government
Agencies, Standard 1 (Administration and
Management Records), Blueprints and
Specifications.
472
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 19: STREET MAINTENANCE, PUBLIC WORKS, AND ENGINEERING RECORDS
SURVEY FIELD RECORDS
Records that do not have historical value are
now to be retained until superseded or
obsolete, rather than when reference value
ends. Cross-reference added to General
Records Schedule: Local Government
Agencies, Standard 6 (Legal Records),
Easements and Right-of-Way Records.
TESTING AND INSPECTION RECORDS
See Program Records Schedule: Local
Government Agencies, Standard 12 (Code
Enforcement), Building and Road Permitting
and Inspection Records.
TRAFFIC ACCIDENT DATA FILE
See General Records Schedule: Local
Government Agencies, Standard 4
(Information Technology Records), Data
Documentation Records.
TRAFFIC VIDEO RECORDINGS AND DATA
Includes the metadata generated by video
recordings as well as the recordings
themselves.
TRAFFIC CAMERA RECORDINGS
TRAFFIC OPERATIONS PROGRAM FILE
Records from the TOPICS program deleted
from schedule as program is no longer active.
473
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
Standard 19: STREET MAINTENANCE, PUBLIC WORKS, AND ENGINEERING RECORDS
TRAFFIC SIGNAL FILE
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Equipment, Vehicle, and Facility Usage
Records.
474
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
ABANDONED MOTOR VEHICLES (AMV) FILE
See Auction Records.
ACCREDITATION RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Accreditation Records.
ACTIVITY REPORTS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
ALARM CALL REPORTS
Amended description to include residences.
ALERTS FILE
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Bulletins.
475
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
AMBULANCE CALL RECORDS
See Program Records Schedule for Local
Government Agencies, Standard 13
(Emergency Medical Services and Fire
Department Records), Ambulance Call
Reports (ACR)/Patient Care Reports (PCR).
ARREST PROCESSING RECORDS
Merging of Arrest Processing: DWI Tracking
Records and Arrest Processing: Tracking
Records
AUTOMOBILES AND PROPERTY IN STORAGE:
SALES AND REPORTS RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies, and Standard 2 (Budget,
Fiscal, and Payroll Records), Accounts
Receivable.
BASIC TRAINING RECORDS
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Law Enforcement
Training.
476
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
BICYCLE REGISTRATION
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Miscellaneous (Non-Building) Applications,
Licenses, and Permits.
BINGO LICENSURE RECORDS
Original records created and retained by
Department of Public Safety. For copies, see
General Records Schedule: Local Government
Agencies, Standard 1 (Administration and
Management Records), Reference (Reading)
File.
BREATHALYZER RECORDS
See Chemical Analysis Records.
CASE HISTORY FILE: CASES NOT OFFICIALLY
INVESTIGATED
Covered by various items on Law
Enforcement standard of Local Government
Program Schedule
DRUG AND ALCOHOL TESTING RECORDS
Revised title and description to include DWI
and Breathalyzer Records
477
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
CITIZEN COMPLAINTS/ADMINISTRATIVE
INVESTIGATION RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Constituent Comments, Complains, Petitions,
and Service Requests.
COMMENDATION LETTERS
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Service Awards and
Commendations.
COMMUNICATIONS RECORDS (REQUESTS
AND RECEIPTS)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Requests for Information.
CONFIDENTIAL FUNDS RECORDS
See General Records Schedule: Local
Government Agencies, Standard 2 (Budget,
Fiscal, and Payroll Records), Accounts
Payable.
CRIME PREVENTION RECORDS
See Crime Analysis Records.
478
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
CRIMINAL HISTORY RECORDS
See Arrest Reports, Fingerprint Cards, and
Identification Photographs.
DAILY BULLETINS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Bulletins.
DETENTION FACILITY INSPECTION REPORTS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Facility Maintenance, Repair, and Inspection
Records.
DETENTION FACILITY INCIDENT REPORTS
Title changed from INCIDENT REPORTS:
DETENTION FACILITY
DETENTION FACILITY PHYSICAL FORCE
RECORDS
Title changed from Physical Force Records
DOMESTIC VIOLENCE: ACTIVITY REPORTS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
479
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
DOMESTIC VIOLENCE CASE FILES: CLOSED
(COPIES)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reference (Reading) File. Original maintained
by court system.
DRIVER’S LICENSE REVOCATIONS FILE
See respective case file related to revocation
DRIVING WHILE IMPAIRED (DWI) REPORTS
FILE
See Chemical Analysis Records.
DWI KNOLL MOTIONS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reference (Reading) File. Original maintained
by court system.
ELECTRONIC RECORDINGS OF
INTERROGATIONS
ELECTRONIC/VIDEO RECORDINGS OF
INTERROGATIONS (HOMICIDE)
See Electronic Recordings of Interrogations
(Juvenile and Certain Felonies).
480
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
EMERGENCY ACTION RECORDS
See General Records Schedule: Local
Government Agencies, Standard 8 (Risk
Management Records), Disaster and
Emergency Management Plans.
EQUIPMENT INVENTORY AND ISSUANCE
RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Inventories.
EXTRADITION CASE RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reference (Reading) File. Original maintained
by Office of the Governor.
FALSE ALARM REPORTS AND VIOLATIONS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
FEDERAL FIREARMS NOTIFICATION RECORDS
Copies. Originals maintained by federal
government.
481
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
FEDERAL FOREFEITURE RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Grants, and Standard 2 (Budget, Fiscal, and
Payroll Records), Accounts Receivable and
Grants: Financial.
FIELDS OBSERVATIONS
Removed “Reports” from Title
FINGERPRINT CARDS (LATENT)
See Fingerprint Cards.
FIREARMS RANGE FILE
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Equipment, Facility, and Vehicle Usage
Records.
FIREARMS TRAINING RECORDS
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Aptitude and Skills
Testing Records and Standard 6: Law
Enforcement Training.
HANDGUN PERMITS
See Permits: Concealed Weapons and
Handguns.
482
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
HOUSE AND SPECIAL CHECK REQUESTS
See Incident Response Reports.
IMMIGRATION AND CUSTOMS
ENFORCEMENT (ICE DETAINEE RECORDS)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reference (Reading) File. Original records
maintained by County Sheriff’s Department.
INCIDENT REPORTS: DETENION FACILITY
See Incident Response Reports
INMATE DEATH REPORTS
Renamed from Death of Inmate Reports
INMATE INCARCERATION RECORDS
Removed “(Active and Inactive)” from title.
INMATE RESEARCH REQUESTS
Changed Title from Inmate Law Library
(Research) Requests
INTERNAL AFFAIRS CASE RECORDS
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Administrative
Investigations.
483
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
LABORATORY CASE RECORDS
Included to cover investigative agencies
which create and maintain laboratory records
as part of criminal investigations. Records
created and maintained separately from
State Bureau of Identification.
LAW ENFORCEMENT AUDIO AND VIDEO
RECORDINGS
LIST OF INMATE REPORTS
Reports delivered to and maintained by Clerk
of Superior Court
MASTER INDEX FILE
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Indices.
MOBILE UNIT VIDEO TAPES
See Law Enforcement Audio and Video
Recordings.
MODIFIED DIET REQUESTS (INMATES)
See Inmate Meal Records.
484
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
MONTHLY CONFINEMENT (JAIL) REPORTS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reference (Reading) File. Original records by
Department of Health and Human Services.
MUTUAL AID AGREEMENT RECORDS
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Dual Employment.
OBSERVATION REPORTS
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Training and Educational
Records.
PARKING METER RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Inventories.
PARKING METER COLLECTIONS RECORDS
See General Records Schedule: Local
Government Agencies, Standard 2 (Budget,
Fiscal, and Payroll Records), Accounts
Receivable.
485
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
PAROLE COMMISSION NOTIFICATION
REPORTS
Records received and retained by North
Carolina Post-Release Supervision & Parole
Commission
PAWNSHOP RECORDS
Title changed from Pawnshop Cards
PEER COUNSELING (LAW ENFORCEMENT)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Projects, Standard 1: Reports and Studies,
and Standard 7 (Public Relations Records),
Conferences and Workshops.
PERMITS: CONCEALED WEAPONS AND
HANDGUNS
PERSONAL HISTORIES OF KNOWN OR
SUSPECTED LAW BREAKERS
See Arrest Reports, Fingerprint Cards, and
Identification Photographs.
PERSONNEL INSPECTION REPORTS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
486
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
PHYSICAL FORCE RECORDS
See Detention Facility Incident Reports.
POLYGRAPH AND DRUG SCREENING
PROGRAM
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
PROPERTY RECORDS
Consolidated Confiscated, Evidence,
Stolen/Recovered, and Unclaimed Property
records
PURSUIT LOGS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
REIMBURSEMENT REQUESTS FOR INMATES
CONFINED LOCALLY
See General Records Schedule: Local
Government Agencies, Standard 2 (Budget,
Fiscal, and Payroll Records), Accounts
Payable.
487
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
SHIFT ASSIGNMENT RECORDS
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Work Schedules and
Assignments.
SPECIAL ORDER RECORDS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Policies and Procedures.
SQUAD LEADER PROMOTION FILE
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Performance Reviews,
and Standard 6: Position Evaluations.
STATISTICAL REPORTS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
STOLEN MOTOR VEHICLES FILE
See Case Files: Misdemeanors, Case Files:
Felonies, and Incident Response Reports.
488
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
TAXICAB INSPECTION AND LICENSING FILE
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Miscellaneous (Non-Building) Applications,
Licenses, and Permits.
TOWED/SEIZED VEHICLE INVENTORIES
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Inventories.
TRAFFIC CITATION AND PARKING TICKET,
RECORDS OF DATES TURNED IN BY POLICE
OFFICER
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
TRAFFIC STOP REPORTS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
TRAINEE INTERN PROGRAM FILE
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Internship Program.
489
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
TRAINING ATTENDANCE FILE
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Training and Educational
Records.
TRAINING RECORDS
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Law Enforcement
Training.
TRAINING RECORDS: PERSONNEL
See General Records Schedule: Local
Government Agencies, Standard 4 (Human
Resources Records), Training and Educational
Records, and Standard 6: Law Enforcement
Training.
TRANSIENT SOLICITOR REGISTRATION FILE
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Miscellaneous (Non-Building) Applications,
Licenses, and Permits.
TRESPASS RECORDS
Amended title and description. Adjusted
disposition instructions.
490
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
UNIFORM CRIME REPORTS (UCR)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
VEHICLE INSPECTION AND INVENTORY
REPORTS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Equipment and Vehicle Maintenance, Repair,
and Inspection Records.
WANTED PERSONS FILE
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Bulletins.
WARNING TICKETS
See Traffic Citations and Warnings.
WARRANTS FILE
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reference (Reading) File. Official records are
stored with the Administrative Office of the
Courts.
491
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 20: LAW ENFORCEMENT RECORDS (MUNICIPAL)
WARRANTS REGISTER
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
WORK RELEASE EARNINGS REPORTS
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
WRECKER SERVICE RECORDS
See Vehicle Towing Records.
492
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
STANDARD 21: TAX RECORDS (MUNICIPAL)
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 21: TAX RECORDS (MUNICIPAL)
ANNUAL REPORT ON PUBLIC DEPOSITS
Record custodian is Department of the State
Treasurer. Copies retained in municipal tax
office are reference copies and may be
destroyed at agency’s discretion.
ASSESSED VALUATION AND LEVIES REPORT
Record custodian is North Carolina
Department of Revenue. Copies retained in
municipal tax office are reference copies and
may be destroyed at agency’s discretion.
BEER AND WINE TAXES AND RECORDS
BICYCLE LICENSE RECEIPTS
See General Records Schedule: Local
Government Agencies, Standard 2 (Budget,
Fiscal, and Payroll records), Accounts
Receivable.
MOTOR VEHICLE LICENSE PLATE/DECAL
RECORDS
NC DMV has sole authority to issue motor
vehicle license plates and decals. Series
therefore removed from schedule.
493
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 21: TAX RECORDS (MUNICIPAL)
MOTOR VEHICLE LICENSE RECEIPTS
See General Records Schedule: Local
Government Agencies, Standard 2 (Budget,
Fiscal, and Payroll records), Accounts
Receivable.
MUNICIPAL VEHICLE TAX RECORDS
PRIVILEGE LICENSES, TAXES, AND FEES
RECORDS
Includes privilege licenses, privilege license
citation records, privilege tax ledgers, and
privilege tax receipts.
Applies only to general privilege tax items as
authorized by G.S. 160A-194. Specific
privilege licenses authorized by other
statutes are found in Animal Licensing
Records, Beer and Wine Taxes and Records,
Municipal Vehicle Tax Records, and Taxicab
and Limousine Tax Records.
PRIVILEGE LICENSES
See Program Records Schedule: Local
Government Agencies, Standard 21 (Tax
Records), Privilege Licenses, Taxes, and Fees
Records.
PRIVILEGE LICENSE CITATION RECORDS
See Program Records Schedule: Local
Government Agencies, Standard 21 (Tax
Records), Privilege Licenses, Taxes, and Fees
Records.
494
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 21: TAX RECORDS (MUNICIPAL)
PRIVILEGE TAX LEDGER
See Program Records Schedule: Local
Government Agencies, Standard 21 (Tax
Records), Privilege Licenses, Taxes, and Fees
Records.
PRIVILEGE TAX RECEIPTS
See Program Records Schedule: Local
Government Agencies, Standard 21 (Tax
Records), Privilege Licenses, Taxes, and Fees
Records.
REPORTS OF TAXES COLLECTED (DAILY AND
WEEKLY)
See General Records Schedule: Local
Government Agencies, Standard 1
(Administration and Management Records),
Reports and Studies.
ROOM OCCUPANCY TAX RECORDS
Phrase “by resolution” removed from item
description to allow for broader application
of item.
495
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
CHANGES NEW ITEMS DISCONTINUED ITEMS
STANDARD 21: TAX RECORDS (MUNICIPAL)
SCHEDULE “B” LICENSES
Based on statute changes, description now
specifies that this item only applies privilege
licenses issued to attorneys-at-law and other
professionals, installment paper dealers, and
pawnbrokers. Authority and confidentiality
statutes added. Disposition wording changed
for clarity and to allow for destruction of non-
specified items at the end of their reference
value. Disposition also changed to retain all
settlement records for three years rather
than only “detailed” settlements.
TAX EXEMPT PROPERTY FILE
Disposition changed to ensure that records
are kept so long as property exemption
remains in effect. New disposition requires
retaining exemption records for five years
after expiration of exemption or end of life of
the structure.
TAX LEDGER CARDS OR SHEETS
Disposition changed to “destroy in office 5
years after superseded or obsolete.”
TAX RECEIPT BOOK
TAX SALES CERTIFICATES
Item discontinued, as it is no longer
applicable.
TAXICAB AND LIMOUSINE TAX RECORDS
496
2021 LOCAL GOVERNMENT PROGRAM RECORDS RETENTION AND DISPOSITION SCHEDULE CHANGE LOG
497
Union County, NC
Staff Report
Union County Government
Center
500 North Main Street
Monroe, North Carolina
www.unioncountync.gov
File #:25-639 Agenda Date:10/20/2025
TITLE:..title
Minutes for Approval
INFORMATION CONTACT:
Lynn G. West, Clerk to the Board of Commissioners, 704-283-3853
ACTION REQUESTED:
Approve minutes.
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
Draft minutes have been provided to the Board of Commissioners for review and approval on the
Consent Agenda.
FINANCIAL IMPACT:
None.
Union County, NC Printed on 10/7/2025Page 1 of 1
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Union County, NC
Staff Report
Union County Government
Center
500 North Main Street
Monroe, North Carolina
www.unioncountync.gov
File #:25-623 Agenda Date:10/20/2025
TITLE:..title
Communications Monthly Report - September 2025
INFORMATION CONTACT:
Liz Cooper, Public Communications, Director, 704-283-3587
ACTION REQUESTED:
None - Information Only.
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
This report provides valuable metrics and insights into communication platforms and our efforts to
collaborate with all County departments to inform and engage residents, promote programs and
services, and strengthen internal and external communications.
FINANCIAL IMPACT:
None.
Union County, NC Printed on 10/7/2025Page 1 of 1
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Communications
Monthly Report
September 2025
500
Departments
Supported
Projects
Completed
Top Projects
1887
Because September is National Preparedness Month,
the Communications team shared a weekly
preparedness message on social media on behalf of
Emergency Management, encouraging residents to
take proactive steps to stay safe. We also amplified
important information across additional platforms,
ensuring consistent and timely messaging to reach a
broad audience.
National Preparedness
Month
Public Communications supported Human
Resources by coordinating communications and
promoting our 16th annual all-employee event to
meet benefit vendors. The event was a success
with almost 600 employees attending and a
record $1,700 in rae tickets sold to benefit the
Christmas Bureau.
Employee Health &
Benefits Expo
The Solid Waste Department's annual Household
Hazardous Waste collection event relies on a robust
communications plan to ensure residents know how
to participate in the event and what to expect when
they arrive. This year's plan included a video, printed
flyers, a social media campaign, a news story, and
event listing on the county website. The event
resulted in the collection of 47,550 tons of hazard-
ous materials from approximately 650 households in
Union County.
Household Hazardous
Waste Event
September 2025 501
Engagement rate is calculated by dividing the total number of interactions on a post (likes, comments, shares, clicks) by the total number
of impressions that post received, then multiplying by 100 to get a percentage. Impressions are the number of times a user sees a post.
Reach refers to the total number of individuals who saw a specific post on social media.
Total Followers
Social Media
Top Posts
Sprout
Automated Webchat
Residents
Engaged
Total
Communications
Per Month
Let’s Chat
Website Visits
unioncountync.gov
Top WebpagesTop Search Terms
Website
371,826
-15%
vs.
previous month
Facebook
14.4 % Engagement Rate
22,852 Reach
Instagram
2.1% Engagement Rate
1,571 Impressions
LinkedIn
33% Engagement Rate
1,240 Impressions
42,541
594
816
Pay My Water Bill
GIS & Mapping
Taxes & Property
Passport
Summons
Inmate
Jobs
Arrest
September 2025 502
unioncountync.gov
Creative Highlights
Video Engagement
CompletedReceived
Public Records Requests Media Interactions
YouTube
Employee Service Awards
240 Views
11.5 Hours Watch Time
Instagram
Household Hazardous
Waste Event Promo
950 Views
Facebook
Household Hazardous
Waste Event Promo
3,400 Views
244052
Property Flyer
How To Instruction Sheets
for the Finance Department
HEART Union
Logo
September 2025 503
Union County, NC
Staff Report
Union County Government
Center
500 North Main Street
Monroe, North Carolina
www.unioncountync.gov
File #:25-625 Agenda Date:10/20/2025
TITLE:..title
Contract Report July - September 2025
INFORMATION CONTACT:
Corey Brooks, Procurement & Contract Management, Interim Director, 704-283-3683
ACTION REQUESTED:
None - Information Only.
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
Per Section XVIII of the FY 2026 adopted Operating and Capital Budget Ordinance, the contract
report lists executed contracts and purchase orders that were entered into by the County Manager or
Procurement designee from July through September 2025.
FINANCIAL IMPACT:
As noted on contracts and purchase orders.
Union County, NC Printed on 10/7/2025Page 1 of 1
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Contract Report
July - September 2025
Department Vendor Purpose Amount Date
Human Services - Public Health Living Goodness, Inc.provide medical director services for public health 84,400.00$ 7/1/2025
Budget North Carolina Department of Military and Veteran Affairs
Grant from NC DMVA for $18,288.98 to purchased goods, equipment, and services related to better serve
veterans in Union County.18,288.98$ 7/2/2025
Environmental Health HS GovTech Solutions, Inc.Renewal letter extending for additional one year term 38,160.00$ 7/2/2025
Facilities and Fleet Management JOHNSON CONTROLS US HOLDINGS LLC NVR SERVER FOR ADULT PROBATION 3,962.51$ 7/3/2025
Fire Services DANA SAFETY SUPPLY Computer mount package 4,312.75$ 7/3/2025
Facilities and Fleet Management ALLISON FENCE CO INC JUDICIAL CENTER BARRIER GATE OPERATOR 5,468.00$ 7/3/2025
Facilities and Fleet Management CONNECTIVITY LLC 9TH FLOOR LENCORE SPEAKER STATION INSTALL 5,669.15$ 7/3/2025
Facilities and Fleet Management KKC CONTRACTING INC GOVERNMENT CENTER GLASS REPLACEMENT 6,798.76$ 7/3/2025
Fire Services DAVENPORT GROUP DATA PROCESSING EQUIPMENT/SYS 14,892.00$ 7/3/2025
County Manager's Office Lawrence Associates, P.A.
Entering this Task Order for EDC, If you have any project specific questions please contact Ron Mahle. Task
Order for professional surveying services associated with the County owned Goldmine Rd Property. The
service will be a Boundary Survey/Plat: Verify the previously completed boundary survey. Field locate and
improvements and/or encroachments and generate a plat suitable for recordation.10,000.00$ 7/7/2025
Budget Common Heart, Inc.
Community Partner Grant funding for the purpose of eradicating food insecurity, eliminating generational
poverty and provide economic empowerment programs.20,000.00$ 7/7/2025
Sheriff's Office NC STATE BUREAU OF INVESTIGATION (29) DESKTOP DCIN TERMINAL FEES 07/01/25-12/31/25 20,262.00$ 7/7/2025
Sheriff's Office YOUSEF SANSOUR SRT BALLISTIC HELMETS (20)25,100.00$ 7/7/2025
Budget New Covenant Community Development Center
Community Partner Grant Funding for the purpose of providing a range of educational and experiential
learning opportunities for economically and socially at-risk youth 35,000.00$ 7/7/2025
Budget IGM Technology Corp.
Gravity Budget & Reporting Software (includes base platform, budget book, budgeting and analytics,
transparency and digital budget book) - renewal for year 2 41,475.00$ 7/7/2025
Union County Water - Water & Wastewater HYDROSTRUCTURES, P.A.
Union County Union County Water staff have identified certain areas within the Crooked Creek Collection
system with excessive levels of inflow and infiltration (I/I) during periods of wet weather. Phase I addressed
the entire basin with 5 flow meters. Given the size of the basin, Phase II will divide up the five basins further to
identify to perform flow monitoring and I-I analysis within the sub-basin FM 5 by installing flow monitors for a
period of 90 days and performing an analysis of the data to 48,500.00$ 7/8/2025
Budget Safer Communities Ministry, Inc.
Community Partner Grant funding for the purpose of providing life changing program services to prisoners, ex-
offenders, and their families.90,000.00$ 7/9/2025
Union County Water - Engineering CSX Transportation Inc
Facility Encroachment Agreement with CSX Transportation Inc permitting a 12-inch waterline crossing of CSX
right-of-way near Indian Trail Road and Blythe Drive. This is associated with the Indian Trail Town Center
project 1.00$ 7/10/2025
Sheriff's Office NCASRO NCASRO CONFERENCE REGISTRATION 2025 6,600.00$ 7/10/2025
Union County Water - Water & Wastewater HEYWARD INCORPORATED HEYWARD, $ 11030.44, MAGNETIC FLOW METER SYST 11,030.44$ 7/10/2025
911 Communications VDA LABS LLC VMWare for Servers 13,680.00$ 7/10/2025
Fire Services RHINEHART FAMILY COMPANY INC Cylinders 13,928.00$ 7/10/2025
TRANSPORTATION INDUSTRIAL SIGN & GRAPHICS INC 5 VEHICLE WRAPS FOR 5 NEW TRANSPORT VANS 15,075.00$ 7/11/2025
Facilities and Fleet Management R&J STARNES PAINTING CONTRACTORS CONSTRUCTION OF WALLS AT NEW FIRING RANGE BLDG 18,240.00$ 7/11/2025
Facilities and Fleet Management SHAW INTEGRATED AND TURF SOLUTIONS, INC VETERAN'S SERVICES FLOORING 20,961.48$ 7/11/2025
Facilities and Fleet Management DEMOLITION AND ASBESTOS REMOVAL INC REMOVE ASBESTOS & FLOORING AT HISTORIC POST OFFICE 22,190.00$ 7/11/2025
TRANSPORTATION BLOSSMAN SERVICES INC 5 PROPANE CONVERSION KITS FOR 5 NEW VANS 48,130.00$ 7/11/2025
Union County Information Technology SMARTDRAW SOFTWARE LLC SmartDraw Software Renewal 2,995.00$ 7/14/2025
505
Contract Report
July - September 2025
Union County Water - Planning & Resource
Mgmt CentralSquare Technologies, LLC
Routine Business Process Review (Health Check) for WMMS Lucity Implementaiton. Review and analyze
latest configuration with recent upgrade to ensure full utilization of security, preventive maintenance, and
schedule modules. Also reviewing new capabilities in reporting and dashboards. Last performed health
check of this system in 2021. CentralSquare is performing the review to compare our current configuration to
their intended best practices.6,840.00$ 7/14/2025
Union County Information Technology LENOVO (UNITED STATES) INC 52 ThinkPads L16 G1 for Board of Elections 47,297.00$ 7/14/2025
Union County Water - Water & Wastewater HOWDEN USA COMPANY HOWDEN, $3185, LABYRONTH SEALING 3,185.00$ 7/15/2025
Finance Bingham Arbitrage Rebate Services, Inc.
Arbitrage rebate compliance review of County issued debt. Option to renew for additional 2 years under
contract 7684 July 6, 2022 14,000.00$ 7/15/2025
Union County Water - Business Operations CUSTOMER SERVICE SOLUTIONS INC CSS, $28,880, CS ASSESSMENT 28,880.00$ 7/15/2025
Budget Community Health Services of Union County, Inc.
Community Partner Grant Funding for the purpose of providing healthcare access to our uninsured adult
population.150,000.00$ 7/15/2025
Library THE LIBRARY CORPORATION LIBRARY PATRON SOFTWARE, PLATFORM, AND LICENSING 61,499.26$ 7/16/2025
Facilities and Fleet Management LOCKWOOD IDENTITY INC UPDATE TO THE SWRL SIGN FOR ADDRESS CHANGE 3,265.00$ 7/17/2025
Facilities and Fleet Management STEPHENS OFFICE SYSTEMS INC PROGRESS BUILDING CONFERENCE ROOM CHAIRS 4,598.74$ 7/17/2025
Fire Services NEWTON'S FIRE AND SAFETY EQUIPMENT INC MSA Cyl 5500 psig, 66 cu ft 6,600.00$ 7/17/2025
Union County Water - Water & Wastewater MCNAUGHTON-MCKAY ELECTRIC COMPANY MCNAUGHTON, $7897.34, EQUIPMENT 8,259.74$ 7/17/2025
Facilities and Fleet Management GARMON MECHANICAL SERVICE INC SPLIT AC UNIT FOR TRANSPORTATION/PROGRESS BUILDING 11,900.00$ 7/17/2025
Facilities and Fleet Management MSS FIRE & SECURITY LLC GOVERNMENT CENTER CAMERA REPLACEMENTS 26,665.00$ 7/17/2025
Facilities and Fleet Management MSS FIRE & SECURITY LLC UPDATE CAMERAS AT OPS CTR, CANE CREEK STORE, & HCH 29,950.00$ 7/17/2025
911 Communications US Digital Designs, Inc. (Honeywell)Maintenance for US Digital Designs 5,497.79$ 7/18/2025
Finance Capital Management of the Carolinas, LLC Capital Management will pay a portion of our fee for arbitrage compliance services on the 2025B GO Bonds.5,500.00$ 7/18/2025
Finance Capital Management of the Carolinas, LLC Capital Management will pay a portion of our fee for arbitrage compliance services on the 2025A 2/3 Bonds.5,500.00$ 7/18/2025
County Manager's Office Catapult Employers Association, Inc.
Training contract for FY26 Learning and Development program, dates in August are set, 8/14 and 8/21. We
haven't set dates yet for February. Payment is due 10 days before the start of the first session.10,282.00$ 7/18/2025
Union County Information Technology VDA LABS LLC Veeam Annual Renewal 18,267.53$ 7/18/2025
Union County Water - Water & Wastewater FERGUSON US HOLDINGS INC FERGUSON, $22360, BODY COMB AIR VLV 22,360.00$ 7/18/2025
911 Communications Timeclock Plus LLC To renew the scheduling software the department is using for 5 years to lock in at a discounted rate.23,101.17$ 7/18/2025
Sheriff's Office KIESLER POLICE SUPPLY, INC 9MM AMMO UCSO FIRING RANGE 29,951.64$ 7/18/2025
Union County Information Technology VDA LABS LLC VMware Annual Renewal 48,640.00$ 7/18/2025
County Attorney's Office
West Publishing Corporation (Thomson Reuters Enterprise
Centre GmbH) 3-year + 1 month contract for West Proflex on-line legal research access 127,876.10$ 7/18/2025
Library DAVENPORT GROUP DATA PROCESSING EQUIPMENT/SYS 21,160.00$ 7/21/2025
Library Klub Foam LLC
Contractor/Licensee Agreement for "Mess-tival" event at the end of summer reading party at Southwest
Regional Library. Klub Foam has already executed the Master Agreement for Foam Parties.500.00$ 7/22/2025
Human Services - Community Support and
Outreach Verified First, LLC software for background checks for senior nutrition volunteers.960.00$ 7/22/2025
Sheriff's Office Idemia Identity & Security USA LLC
Amendment #2 Maintenance and Support Agreement #003050-003 for all equipment at Union County
Sheriff's Office.14,767.00$ 7/23/2025
Facilities and Fleet Management STEPHENS OFFICE SYSTEMS INC TABLE AND CHAIRS FOR GARAGE KITCHETTE 1,530.03$ 7/24/2025
Facilities and Fleet Management THE BOYD GROUP US INC GERBER - REPAIRS TO ASSET 27-24 - DEDUCTIBLE 5,000.00$ 7/24/2025
Facilities and Fleet Management SUMMIT TOPCO, LP CLASSIC COLLISION - REPAIRS TO ASSET 07-23 5,000.00$ 7/24/2025
Facilities and Fleet Management ACOUSTICAL SOLUTIONS LLC ACOUSTIC PANELING FOR SO INTERROGATION ROOMS 5,568.95$ 7/24/2025
County Manager's Office UNC Charlotte Agreement for training to be delivered by UNC to UC for Leadership Academy in April 2026.6,750.00$ 7/24/2025
Facilities and Fleet Management LOCKWOOD IDENTITY INC GRANITE SIGN FOR THE UC CEMETERY 8,429.99$ 7/24/2025
Union County Water - Water & Wastewater GML CONTRACTORS SERVICES INC GML CONTRACTOR, $9650, SEEDING 9,650.00$ 7/24/2025
506
Contract Report
July - September 2025
Facilities and Fleet Management Greenway Chemical Systems & Services, Inc.
Renew contract #7813 for Water Treatment Services for one year with the option to renew for one additional
year.10,037.04$ 7/24/2025
Facilities and Fleet Management Automated Fire Systems, Inc.Renew contract #7802 for one additional year with one more renewal option available.12,200.00$ 7/24/2025
Union County Water - Water & Wastewater PARKER'S CONCRETE SOLUTIONS LLC PARKERS CONCRETE, $15380, INSTALL WALLS ON PAD 15,380.00$ 7/24/2025
Facilities and Fleet Management AUTOMATED FIRE SYSTEMS INC SERVICE FOR THE FIRE SUPPRESSION SYSTEM AT GC & JC 21,180.00$ 7/24/2025
Union County Water - Water & Wastewater LONE STAR BLOWER INC LONESTAR BLOWER, $21280, SERVICE BLOWER 21,280.00$ 7/24/2025
Union County Water - Water & Wastewater INFRASTRUCTURE & PROCESS SOLUTIONS LLC INFRASTRUCTURE& PROCESS, $24645, COMBO AIR VALVE 24,645.00$ 7/24/2025
Facilities and Fleet Management MSS Fire & Security, LLC
Renew contract #7731 for fire alarm testing and related services for an additional year (year four with one
more renewal option)46,548.24$ 7/24/2025
Facilities and Fleet Management Kraft Power Corporation Renew contract #7814 for one year with the option to renew for one additional year 47,727.00$ 7/24/2025
Union County Water - Water & Wastewater Southern Ionics Incorporated
Sodium Aluminate purchase for process control at the Twelve Mile WRF. Sodium Aluminate is used to aid in
the removal of phosphorus at the WRF.100,000.00$ 7/24/2025
911 Communications DAVENPORT GROUP Portable Monitors 1,722.00$ 7/25/2025
Union County Water - Water & Wastewater PETE DUTY AND ASSOCIATES INC PETE DUTY, $6225, OLDENBURG PUMP REPLACEMENT 6,225.00$ 7/25/2025
Sheriff's Office SUR TEC INC SURTEC CASPER 10X- NARCOTICS 8,738.00$ 7/25/2025
911 Communications MOTOROLA SOLUTIONS, INC Radio Antenna Supplies 12,917.40$ 7/25/2025
Union County Water - Water & Wastewater BW SERVICES LLC BW SERVICE, $15,580, INSTALL FLOW MRT HUNLEY CRK 20,300.00$ 7/25/2025
911 Communications ENDURA LLC Chairs for Primary PSAP 20,480.14$ 7/25/2025
Facilities and Fleet Management SNAP-ON INCORPORATED FINAL TOOL SET FOR FLEET SHOP TECHNICIAN 34,940.68$ 7/25/2025
Sheriff's Office GENERAL MEDICAL DEVICES INC AEDS (40), PADS, BATTERY PACKS, SHERIFF'S OFFICE 56,165.00$ 7/25/2025
Sheriff's Office JOHNSON CONTROLS US HOLDINGS LLC UCSO EXACQ MAINTENANCE AND WINPAK MAINTENANCE 66,559.62$ 7/25/2025
Union County Water - Water & Wastewater Polydyne Fifth renewal of contract #8066 thickening and dewatering polymer for the Twelve Mile Creek WRF.58,000.00$ 7/26/2025
Union County Water - Engineering CDM Smith Inc.
Task Order 8686-05, Forest Park Pump Station Expansion – Force Main And Pump
Station Evaluation.99,995.00$ 7/26/2025
Facilities and Fleet Management Daikin Applied Americas Inc.Enter into contract with Daikin Applied Americas for Chiller and Boiler Maintenance Service 53,508.00$ 7/28/2025
Tax Administration - Appraisal CoStar Realty Information, Inc.Amendment to renew for 4 years for Commercial Real Estate information services/site licenses.75,392.04$ 7/28/2025
Union County Information Technology DAVENPORT GROUP Two Dell PCs for New Employee @ Security and Risk 4,155.00$ 7/30/2025
Union County Water - Water & Wastewater HD SUPPLY INC USA BLUE BOOK, $5796.63, SPECTROPHOTOMER 5,796.63$ 7/30/2025
Union County Water - Water & Wastewater LINDER INDUSTRIAL MACHINERY LINDER, $9536.47, REPAIR CASE 85 EXCAVATOR 9,536.47$ 7/30/2025
Union County Water - Business Operations YADKIN-PEE DEE WATER MANAGEMENT GROUP YADKIN PEEDEE, $15,000, ANNUAL DUES 15,000.00$ 7/30/2025
911 Communications MEDICAL PRIORITY CONSULTANTS Protocol and QA Software 33,280.52$ 7/30/2025
Union County Solid Waste FLEETGENIUS OF NC INC Fleet Genius, $33,846, Recycling boxes 33,846.00$ 7/30/2025
911 Communications CENTRALSQUARE TECHNOLOGIES, LLC DATA MIGRATION FOR SERVERS 36,855.00$ 7/30/2025
911 Communications DAVENPORT GROUP COMPUTERS FOR PRIMARY PSAP 39,052.00$ 7/30/2025
Union County Water - Planning & Resource
Mgmt Langan NC, Inc
First Task Order with Langan Engineering for continued development of UC Water's Condition and Criticality
Model.75,000.00$ 7/30/2025
County Manager's Office Gympass US, LLC d/b/a Wellhub
**This Agreement is condition upon appropriation. - Legal please add proper language.
Wellhub is a platform that enables employers or other organizations to provide a comprehensive fitness and
wellness program to their employees. Wellhub provides a personalized well-being network, accessed by
website or application, which offers employees unrivaled access to thousands of ways to feel good, including
gyms, studios, online classes, well-being solutions, personal trainers and other resources.7,247.08$ 7/31/2025
Economic Development BGE, Inc.
Provide due diligence and planning services for the Wingate Site project. Union County parcels: 09015013B,
09015013E 09015013, 09015013F and 09012003C, totaling approximately 71 acres. Additional services will
require additional fees.11,200.00$ 7/31/2025
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Contract Report
July - September 2025
Union County Water - Engineering Dawn Development Company, Inc.
Change Order No. 1: Final adjusting Change Order to reconcile the bid quantities with actual installed
quantities for all contract items. This CO includes additional costs associated with the jumper connections,
cypress tree removal and concrete apron replacement.127,425.50$ 7/31/2025
Union County Information Technology VDA LABS LLC ManageEngine ADAudit Renewal 1,795.00$ 8/1/2025
Facilities and Fleet Management THE BOYD GROUP US INC REPAIRS TO ASSET 55-22 - DEDUCTIBLE 5,000.00$ 8/1/2025
Facilities and Fleet Management SUMMIT TOPCO, LP REPAIRS TO ASSET 48-19 - DEDUCTIBLE 5,000.00$ 8/1/2025
Facilities and Fleet Management STEPHENS OFFICE SYSTEMS INC OFFICE FURNITURE FOR PROCUREMENT 5,388.35$ 8/1/2025
Union County Water - Water & Wastewater SOUTHEAST ELECTRICAL SERVICES LLC SOUTHEAST ELECTRICAL, $5400, STEVENS MILL STATION 5,400.00$ 8/1/2025
TRANSPORTATION KRUEGER INTERNATIONAL INC KRUEGER INTERNATIONAL WORKSTATION FURNITURE 6,446.13$ 8/1/2025
Facilities and Fleet Management DEMOLITION AND ASBESTOS REMOVAL INC FAIRVIEW ASBESTOS REMOVAL 8,600.00$ 8/1/2025
Union County Solid Waste CAROLINA 1926 LLC Carolina CAT, $8,830.83, 953 right final repair 8,830.83$ 8/1/2025
Union County Water - Water & Wastewater GARRISON ENTERPRISES INC GARRISON ENTERPRISE, $9025, INSTALL 8" INSERTA VLV 9,025.00$ 8/1/2025
County Manager's Office Wright Creative Group, LLC d/b/a Forward Partners FY26 Learning and Development Speaker Series Speaker Contract 10,600.00$ 8/4/2025
Facilities and Fleet Management Trash Control Inc.
Amend contract #8812 to remove one (1) 4yd container and add one (1) 8yd container at Cane Creek
Camping Area and add one (1) 8yd container at Jesse Helms Park.2,346.00$ 8/5/2025
Human Services - Veterans Services Tyler Technologies, Inc.Renewal of contract for one additional year.2,635.00$ 8/5/2025
Union County Water - Water & Wastewater CURTIS POWER SOLUTIONS LLC CURTIS POWER, $7191.05, WTP BATTERY CHG REPLM 7,191.05$ 8/5/2025
Human Resources BUSINESS IMPACT GROUP LLC Items to be given away at Employee Expo 7,502.39$ 8/5/2025
SOIL CONSERVATION HYATT LAND SURVERYING Broome Survey 9,000.00$ 8/5/2025
Sheriff's Office - 1431 Dynamic Imaging Systems, Inc.Amendment/Renewal #6: Support and Maintenance Contract for PictureLink Imaging Systems 9,493.20$ 8/5/2025
Union County Water - Water & Wastewater HEYWARD INCORPORATED HEYWARD, $11675, SAMPLER 11,675.00$ 8/5/2025
Facilities and Fleet Management Johnson Controls Fire Protection LP Renew contract #7834 for an additional year with one more renewal option available 11,720.00$ 8/5/2025
Human Services - Public Health PFIZER INC Blanket PO for Vaccine Purchases 15,000.00$ 8/5/2025
Human Services - Public Health MCKESSON MEDICAL SURGICAL INC Blanket PO for Vaccine Purchases 15,000.00$ 8/5/2025
Human Services - Public Health SANOFI-AVENTIS PASTEUR Blanket PO for Vaccine Purchases 15,000.00$ 8/5/2025
Human Services - Public Health GLAXOSMITHKLINE PHARMACEUTICALS Blanket PO for Vaccine Purchases 15,000.00$ 8/5/2025
Human Services - Public Health MERCK SHARP AND DOHME CORPORATION Blanket PO for Vaccine Purchases 15,000.00$ 8/5/2025
Sheriff's Office - 1429 Black Creek Integrated Systems Corp.Amendment #8: Renew Agreement for one year Security System at UCSO Jail.17,639.00$ 8/5/2025
Public Communications LOCKWOOD IDENTITY INC UNCLASSIFIED EQUIP/SUPPLIES 21,269.99$ 8/5/2025
Union County Water - Business Operations APPLEONE INC APPLEONE, $23,000, Temporary Staffing 23,000.00$ 8/5/2025
911 Communications AGCOP, LLC
Professional services to assist with the recruitment, backgrounds, and retention of telecommunicators in
addition to other assistance for programs, practices, and other associated activities for Emergency Services.24,000.00$ 8/5/2025
Facilities and Fleet Management Anticimex Carolinas, LLC Renew contract #7772 for one year with the option to renew for one additional year 31,228.00$ 8/5/2025
Facilities and Fleet Management GIS Workshop LLC dba gWorks Fleet Management Software 35,436.27$ 8/5/2025
Human Services - Public Health Union County Public Schools Contract for school nurse funding FY 25-26 50,000.00$ 8/5/2025
Union County Water - Water & Wastewater TRANSOURCE INC TRANSOURCE, $149,750, 2026 TRACTOR 149,750.00$ 8/5/2025
Facilities and Fleet Management STEPHENS OFFICE SYSTEMS INC OFFICE FURNITURE FOR JASON MAY - GC 7TH FL 7,900.81$ 8/6/2025
Facilities and Fleet Management BLACK CREEK INTEGRATED SYSTEMS CORP BLACK CREEK ONSITE ASSESSMENT FOR DETENTION CTR 13,890.00$ 8/6/2025
Union County Water - Engineering CDM Smith, Inc.
Task Order 8686-06 - Lead & Copper Rule Improvements Program Support
Scope includes assistance with further service line inventory development, updated lead sampling plan, and
updated communication plan.150,000.00$ 8/6/2025
Planning Town of Indian Trail
Indian Trail and Wesley Chapel interlocal agreements for the Union County 2024 Limited Area East Fork
Twelve Mile Creek Flood Analysis Design and Cost Estimate Study. Each community is contributing $10,000
towards the cost of the study. These went to the BOCC on 7/15/2024 to authorize Brian to sign.10,000.00$ 8/7/2025
Union County Solid Waste INTERSTATE SUPPLIES & SERVICES INC Interstate Supplies & Service, $12,477.96, mower 12,477.96$ 8/7/2025
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Contract Report
July - September 2025
Library Bibliotheca, LLC Annual Software and Maintenance Agreement: July 1, 2025 - June 30, 2026 32,260.45$ 8/7/2025
Economic Development Southern Electrical Equipment Company, Inc
Award a "STEP 2" incentive grant to Southern Electrical Equipment Company, Inc. in an amount not to exceed
$133,000. This grant would be paid over a five-year period beginning in FY 2027.133,000.00$ 8/7/2025
Soil & Water Conservation Construction and Environmental Services LLC Stream Debris Removal Services on Beaverdam Creek 139,391.28$ 8/7/2025
Union County Water - Water & Wastewater Charles R. Underwood, Inc.IFB 2025-041; Hwy 75 Pump and Motor Replacement 85,468.99$ 8/9/2025
Facilities and Fleet Management Automated Fire Systems, Inc.Amend contract #7802 and add the Fairview EMS located at 7402 Concord Hwy., Monroe NC,28110.500.00$ 8/11/2025
Human Services - Community Support and
Outreach Indian Trail United Methodist Church Senior nutrition site visit agreement 1,200.00$ 8/11/2025
Union County Water - Water & Wastewater DATA FLOW SYSTEMS, INC DATA FLOW $5453 FILTERS 5,453.00$ 8/11/2025
Facilities and Fleet Management MSS FIRE & SECURITY LLC FIRE PANEL REPAIR AT THE AG CENTER 5,566.21$ 8/11/2025
Union County Water - Water & Wastewater VALVE AND ACTUATION SERVICES VALVE & ACTUATION $5674 LIMITORQUE REBUILD 5,674.00$ 8/11/2025
Facilities and Fleet Management CM BOWERS LLC ELECTRICAL WORK FOR NEW BLDG AT THE FIRING RANGE 12,033.00$ 8/11/2025
Facilities and Fleet Management DRYS ENTERPRISE INC JUDICIAL CENTER DOOR REPLACEMENT 13,500.00$ 8/11/2025
Facilities and Fleet Management R&J STARNES PAINTING CONTRACTORS SHERIFF'S OFFICE DETENTION CENTER PAINTING 19,650.00$ 8/11/2025
Union County Water - Water & Wastewater KCI Associates of North Carolina, P.A
Union County desires for KCI will utilize instruments to measure the odor at the of the Forest Park force main
discharge manhole, analyze the data, and develop a technical memorandum outlining and
evaluating the field results obtained by the odor instruments from the current CAL-X Pilot.23,210.00$ 8/11/2025
Union County Water - Business Operations FERGUSON US HOLDINGS INC FERGUSON, $28346.71, EASY LINK ANNUAL SUPPORT 28,346.71$ 8/11/2025
Union County Solid Waste FLEETGENIUS OF NC INC Fleet Genius, $35,450, Recycling boxes for sites 35,450.00$ 8/11/2025
Facilities and Fleet Management TK Elevator Corporation Renew contract #7769 for an additional year with one more renewal option available.42,517.82$ 8/11/2025
Human Services - Public Health The North Carolina Alliance of Public Health Agencies, Inc.
FY 2026 Medicaid Consulting Services invoice, Business Associate Agreement and Memorandum of
Understanding.4,915.63$ 8/12/2025
Human Services - Social Services MCCi, LLC Laserfiche Workflow to Copy Metadata from Northwoods Compass 8,100.00$ 8/12/2025
Facilities and Fleet Management YARO PLUMBING INC REPAIR CAST IRON LEAKING AT THE GOVERNMENT CTR 10,300.00$ 8/12/2025
Parks and Recreation Union County Public Schools To conduct a Cross Country Invitational meet at Jesse Helms Park.100.00$ 8/13/2025
Facilities and Fleet Management Gensler Architecture, Design & Planning, P.C. dba Gensler Amend contract #8854 to increase the fees an additional $1000.00 1,000.00$ 8/13/2025
County Manager's Office Town of Weddington
***Please expedite all the interlocal agreements related to Senior Nutrition Services.
Interlocal Agreement between Town of Weddington and Union County for Union County Senior Nutrition
Program to Provide nutrition services to 8 residents of the municipality. The Town of Weddington agrees to
provide the County with $15,849.60 to help defray the costs of four residents of the municipality participating
in the Program during FY26.15,849.60$ 8/13/2025
Human Services - Public Health Brewer Company Inc.Services contract for Paper Folder for PH 395.00$ 8/14/2025
Facilities and Fleet Management LOCKWOOD IDENTITY INC MONUMENT SIGN FOR FAIRVIEW 4,330.00$ 8/14/2025
Sheriff's Office CARAHSOFT TECHNOLOGY CORPORATION MAGNET AXION ESSENTIALS UCSO CSI 4,620.00$ 8/14/2025
County Manager's Office Town of Mineral Springs
Agreement between Town of Mineral Springs and Union County for Union County Senior Nutrition Program to
Provide nutrition services to 4 residents of the municipality. The Town of Mineral Springs agrees to provide the
County with $5,803.20 to help defray the costs of four residents of the municipality participating in the
Program during FY26.5,803.20$ 8/14/2025
County Manager's Office The Village of Lake Park
Interlocal Agreement between The Village of Lake Park and Union County for Union County Senior Nutrition
Program to Provide nutrition services to 4 residents of the municipality. The Town of Mineral Springs agrees to
provide the County with $5,803.20 to help defray the costs of four residents of the municipality participating
in the program during FY26.5,803.20$ 8/14/2025
509
Contract Report
July - September 2025
County Manager's Office Village of Marvin
***Please expedite all the interlocal agreements related to Senior Nutrition Services.
Interlocal Agreement between Village of Marvin and Union County for Union County Senior Nutrition Program
to Provide nutrition services to 3 residents of the municipality. The Village of Marvin agrees to provide the
County with $5,943.60 to help defray the costs of four residents of the municipality participating in the
Program during FY26.5,943.60$ 8/14/2025
Sheriff's Office MIRION TECHNOLOGIES LLC DOSIMETERS UCSO JAIL 6,300.00$ 8/14/2025
Sheriff's Office DANA SAFETY SUPPLY (2) A/S SILVERADO UPFIT, NO WHELEN 13,667.12$ 8/14/2025
Sheriff's Office CARAHSOFT TECHNOLOGY CORPORATION CELLEBRITE CSI DIGITAL LAB 14,050.00$ 8/14/2025
Sheriff's Office STOP STICK LTD (30) STOP STICK 15,305.90$ 8/14/2025
Sheriff's Office FOREMOST CORPORATION OF AMERICA UCSO SRO PROMOTIONAL ITEMS 19,177.00$ 8/14/2025
SOIL CONSERVATION G&S LAND MANAGEMENT LLC Stream Debris Removal 22,395.00$ 8/14/2025
Budget Union-Anson County Habitat for Humanity
To enter into an agreement with Union-Anson County Habitat for Humanity to expend Community
Development Block Grant (CDBG) funds in accordance with the attached Home Repair Program agreement.49,000.00$ 8/14/2025
Union County Water - Water & Wastewater CURTIS POWER SOLUTIONS LLC CURTIS POWER, $10,599.75, ASCO 300 TRANSITION 10,599.75$ 8/15/2025
Library MIDWEST TAPE LLC HOOPLA DIGITAL CONTENT; DVDS 92,000.00$ 8/15/2025
Library OVERDRIVE, INC.EBOOKS, EAUDIOBOOKS, EMAGAZINES, PLATFORM FEE 134,000.00$ 8/15/2025
Human Services - Community Support and
Outreach Exercize Innovations, LLC license to facilitate an evidence-based curriculum (BINGOcize)1,635.00$ 8/18/2025
Union County Information Technology Inter Technologies Corporation
A/V upgrades and replacement of equipment, including a TV with a burnt-in screen, in Conference Room 233
at Union County Human Services.4,920.74$ 8/18/2025
Facilities and Fleet Management DENNIS WHEELER CUSTOM BLUEPRINT CABINET FOR BUILDING CODE 5,901.28$ 8/18/2025
Union County Water - Water & Wastewater HACH COMPANY HACH, $6176.25, CONTROLLER 6,176.25$ 8/18/2025
Union County Water - Business Operations MOTOROLA SOLUTIONS, INC MOTOROLA, $7315.96, PORTABLE RADIOS 7,315.96$ 8/18/2025
Human Services - Public Health Shatamra Jackson LCSW for Public Health Maternity Clinic 20,800.00$ 8/19/2025
Union County Water - Water & Wastewater VEOLIA WATER TECHNOLOGIES INC VEOLIA, $27920.55, TOC ANALYZER 27,920.55$ 8/19/2025
Union County Information Technology THE I P GUYS NET LLC Edge Firewall Maintenance Renewal (Ecessa)5,047.00$ 8/20/2025
Union County Information Technology ZOHO CORPORATION Site24x7 Network Monitoring Renewal 5,119.00$ 8/20/2025
Sheriff's Office QUANTICO TACTICAL INCORPORATED SRT- LIGHTS. SHAWN MAYHEW 9,062.00$ 8/20/2025
Building Code Enforcement Village of Wesley Chapel
Indian Trail and Wesley Chapel interlocal agreements for the Union County 2024 Limited Area East Fork
Twelve Mile Creek Flood Analysis Design and Cost Estimate Study. Each community is contributing $10,000
towards the cost of the study. These went to the BOCC on 7/15/2024 to authorize Brian to sign.10,000.00$ 8/20/2025
County Manager's Office Dawn E. Chanland
Learning and Development vendor for teaching courses in Leadership Academy, Emerging Leaders, and
Speaker Series 17,000.00$ 8/20/2025
Union County Information Technology ESCAPE VELOCITY HOLDINGS, INC.BeyondTrust Renewal 20,095.80$ 8/20/2025
Budget Catoe Well Drilling Inc.
Provide well drilling services for 1000 Walkers Grove Road, Wingate, NC under ARPA enable funding program
for well rehabilitation.30,000.00$ 8/20/2025
Human Resources Top Hill, Inc. d/b/a Spiro's Hilltop Fish Fare & Steakhouse catering for Employee Expo 18,729.80$ 8/21/2025
Sheriff's Office - 1429 Utility Associates, Inc.
Amendment #3, add three (3) ROCKET In-Car Systems to Inmate Transport Vans. Terms are the same as
current contract #8567.29,170.78$ 8/21/2025
Budget Turning Point, Inc.
Community Partner Grant funding for the purpose of assisting victims of domestic violence and their
dependent children.60,000.00$ 8/21/2025
Union County Information Technology DAVENPORT GROUP DATA PROCESSING EQUIPMENT/SYS 1,177.00$ 8/22/2025
Union County Information Technology Inter Technologies Corporation
A/V upgrades to Conference Room 817 at Union County Government Center. This includes the two
replacement TVs with Samsung Commercial-Grade panels, creation of an A/V system, installation and
programming of the wall plate, as well as the installation of various other equipment.8,796.06$ 8/22/2025
Union County Information Technology SHI INTERNATIONAL CORP Zendesk Renewal 12,956.20$ 8/22/2025
510
Contract Report
July - September 2025
Facilities and Fleet Management
McMillan Pazdan Smith, PLLC d/b/a McMillan Pazdan
Smith Architecture
Architect to provide additional scope of services to perform space planning and a test fit for approximately
32,000 sf of retail space on West Franklin Street at Dale Street (parcel number 09274035)19,500.00$ 8/22/2025
Union County Water - Water & Wastewater Univar Solutions USA LLC Contract renewal for 25% Sodium Hydroxide for the Yadkin River Water Treatment Plant.25,000.00$ 8/22/2025
Budget Urban Design Ventures, LLC CDBG Consolidation Plan for the HUD program.49,000.00$ 8/22/2025
Union County Water - Water & Wastewater Bio-Nomic Services, Inc.Repair Sewer Main on HWY 74 and 177.25 VFT of MH Rehab.97,694.00$ 8/22/2025
Union County Water - Business Operations CUSTOMER SERVICE SOLUTIONS INC CSS, $6040, #1 SOCIAL CURRENCY TRAINING 6,040.00$ 8/26/2025
Union County Water - Business Operations CUSTOMER SERVICE SOLUTIONS INC CSS, $7570, #2 SERV EXCELLENCE PROCESS DESIGN & TR 7,570.00$ 8/26/2025
Facilities and Fleet Management GARMON MECHANICAL SERVICE INC PB 3-TON SPLIT HEAT PUMP SIGN SHOP & WAREHOUSE OFF 11,900.00$ 8/26/2025
Union County Water - Business Operations APPLEONE INC APPLEONE, $23000, Temporary Staffing 23,000.00$ 8/26/2025
Human Services - Social Services West Publishing Corporation d/b/a Thomson Reuters CLEAR Proflex to enable diligent effort to locate absent parents in Child Welfare Services 26,707.98$ 8/26/2025
Union County Water - Water & Wastewater E.W.P. Group, Inc. d/b/a Lord & Company, Inc.To provide integration services for UCW department.50,000.00$ 8/26/2025
Union County Water - Water & Wastewater EnviroWaste Services Group, Inc.Service Contract for sewer wet well cleaning and hauling 50,000.00$ 8/26/2025
Union County Water - Water & Wastewater PREFERRED SOURCES INC PREFERRED SOURCE, $7500, MINERAL SPRING REPLM PUMP 7,500.00$ 8/27/2025
Union County Information Technology ESCAPE VELOCITY HOLDINGS, INC.Lansweeper Renewal 8,960.00$ 8/27/2025
Sheriff's Office WEST CHATHAM WARNING DEVICES INC (2) A/S SILVERADO UPFIT WHELEN PARTS 11,573.38$ 8/27/2025
Union County Water - Water & Wastewater HACH COMPANY HACH, $12928, REPAIR CASE 02028875 12,928.00$ 8/27/2025
Union County Water - Water & Wastewater NET TECH INTEGRATION LLC NET TECH, $14568, VEEAM LICENSES 14,568.00$ 8/27/2025
Union County Water - Water & Wastewater VEOLIA WTS ANALYTICAL INSTRUMENTS INC VEOLIA WTS ANALYTICAL, $27920.55, TOC ANALYZER 27,920.55$ 8/27/2025
Union County Water - Business Operations FERGUSON US HOLDINGS INC FERGUSON, $29506.49, Base Station Annual Maint. 29,506.49$ 8/27/2025
Union County Information Technology MCCI LLC ABBYY Renewal 5,840.10$ 8/29/2025
Parks & Recreation STEVENS PUMPING SERVICE INC ON-SITE INSTALLATION/MAINTENANCE SERVICES 11,500.00$ 8/29/2025
Union County Information Technology CARAHSOFT TECHNOLOGY CORPORATION DocuSign Enterprise and Premier Support Renewal 14,163.12$ 8/29/2025
Union County Water - Water & Wastewater DAVENPORT GROUP DAVENPORT, $30400, VMWARE 160 EACH SUBSCRIPTION 30,400.00$ 8/29/2025
Union County Water - Business Operations FERGUSON US HOLDINGS INC FERGUSON, $111791.48, SENSUS ANNUAL RENEWALS 111,791.48$ 8/29/2025
Union County Water - Water & Wastewater A&D ENVIRONMENTAL SERVICES A&D ENVIROMENTAL, $5990.88, FLUSH FLORIDE 5,990.88$ 9/3/2025
Facilities and Fleet Management ALLEGION ACCESS TECHNOLOGIES LLC HUMAN SERVICES DOOR AUTO OPERATOR REPLACMENT 12,110.00$ 9/3/2025
Facilities and Fleet Management THE EPOXY FLOOR COMPANY LLC FIRING RANGE EPOXY FLOORING 28,800.00$ 9/3/2025
Library THE LIBRARY CORPORATION CLOUD HOST SOFTWARE 9,133.95$ 9/5/2025
Union County Water - Water & Wastewater NET TECH INTEGRATION LLC NET TECH, $11,470, SERVER RACK STACK CABLES/SWITCH 11,470.00$ 9/5/2025
Sheriff's Office THE ARTCRAFT GROUP INC UCSO SRO PROMOTIONAL ITEMS 16,555.00$ 9/5/2025
Facilities and Fleet Management MVIX USA INC CANECREEK Mvix Standard Digital Signage System 680.00$ 9/8/2025
Facilities and Fleet Management INTER TECHNOLOGIES CORPORATION CANECREEK CAMP STORE DISPLAYS INSTALL 3,316.71$ 9/8/2025
Facilities and Fleet Management TWIN TRANSMISSION REPAIRS TO ASSET 04-20 6,485.00$ 9/8/2025
Union County Solid Waste Noble Oil Services, Inc.Used Petroleum and Oil filter Disposal-1 year renewal 10,000.00$ 9/8/2025
Union County Water - Water & Wastewater FCX PERFORMANCE INC FCX, $16,257, TALLWOOD 3 WAY VALVE 16,257.00$ 9/8/2025
Union County Water - Water & Wastewater CLEARWATER INC CLEARWATER, $19395, PORTER RIDGE PUMP REPLM 19,395.00$ 9/8/2025
Union County Water - Water & Wastewater XYLEM WATER SOLUTIONS USA INC XYLEM, $29,999.99, 12M RAS PUMP REPLM 29,999.99$ 9/8/2025
Library Bibliotheca, LLC
We wish to revise Contract 9540. During the contract review process, the Library was able to secure a lower
contract price. The original contract was finalized at the initial price. We are entering this amendment to
secure the contract at the updated and lower price. Contract price change: $40,595.32 to $32,260.45 for a
savings of $8,334.87.
Both the original and updated quotes are attached.32,260.45$ 9/8/2025
511
Contract Report
July - September 2025
Facilities and Fleet Management Creech & Associates, PLLC Architectural and Engineering services for the Union County Jail renovation 48,940.47$ 9/8/2025
Union County Solid Waste Southern Environmental Solutions of the Carolinas, LLC Electronic waste recycling-1 year renewal 100,000.00$ 9/8/2025
County Manager's Office Colony Labs, Inc. d/b/a Scribe
"Pro" subscription of Scribe software for Strategy & Innovation (6 licenses) to capture web-based and desktop
application screenshots & screen recording in order to create step-by-step guides for creating instructions
and training guides for internal process and external resources for assisting customers navigating certain
county processes.864.00$ 9/10/2025
Sheriff's Office BLACK CREEK INTEGRATED SYSTEMS CORP VOLP GATEWAY DEVICE UCSO JAIL 1,176.14$ 9/10/2025
Human Resources SOUTHERN PIEDMONT SUNSET SLUSH LLC Treats at Employee Expo 1,800.00$ 9/10/2025
Register of Deeds LOGAN SYSTEMS INC Indexing and Records Management 4,264.00$ 9/10/2025
Sheriff's Office MAGNET FORENSICS LLC GRAYKEY LICENSE UCSO CSI DIGITAL LAB 8,000.00$ 9/10/2025
Union County Information Technology Inter Technologies Corporation
Refresh of AV equipment at the UC Government Center's Conference Room 717 to replace outdated and
faulty equipment.8,258.09$ 9/10/2025
Public Communications Granicus, LLC
This is to amend the agreement for developing the Economic Development website. The project now requires
significantly more design and development time than originally scoped. The Granicus design and
implementation team confirmed that the additional effort, particularly around customized design concepts,
wireframes, and development of the content management system, is the primary driver for upgrading to a
Specialty package sub site.12,000.00$ 9/10/2025
SOIL CONSERVATION HYATT LAND SURVERYING Survey 12,000.00$ 9/10/2025
Economic Development Chmura Economics & Analytics, LLC
Term: The Term of this Order Form shall commence on the Effective Date of this Order Form as set forth
above and continue until the first anniversary of such date. Thereafter, this Order Form shall automatically
renew for successive one (1) year Terms unless Client provides written notice to Chmura of its intention not to
renew no less than thirty (30) days prior to the end of the then-current Term.
Selection: Region +75 Miles and both widget addons for $12,850 plus $250/hour 12,850.00$ 9/10/2025
Union County Water - Water & Wastewater Bio-Nomic Services, Inc.Pre Rehabilitation inspection using CCTV of lines to be rehabilitated.47,200.00$ 9/10/2025
Union County Water - Water & Wastewater Bio-Nomic Services, Inc.CIPP Lining Repairs in Crooked Creek near Lowes due to sewer main failure.47,900.00$ 9/10/2025
Facilities and Fleet Management S&ME, Inc.Construction Materials Testing Services for Food Innovation Center 63,316.00$ 9/10/2025
Human Services - Community Support and
Outreach TRIO Community Meals, LLC Senior nutrition frozen meal program 90,000.00$ 9/10/2025
Soil & Water Conservation NC Department of Agriculture and Consumer Services
THIS AGREEMENT is made under the authority of Chapter 106, Article 75, of the North Carolina General
Statutes, including N.C. Gen. Stat. § 106-906, titled "Cooperation between counties and State in forest
protection and development,” by and between the North Carolina Department of Agriculture and Consumer
Services (hereinafter called the Department), party of the first part, and the Board of Commissioners of
UNION COUNTY in the State of North Carolina (hereinafter called the Board), party of the 105,398.00$ 9/10/2025
Facilities and Fleet Management Anticimex Carolinas, LLC Amend contract #7772 and add pest control services at 108 W. Jefferson St.1,620.00$ 9/11/2025
Union County Water - Planning & Resource
Mgmt CentralSquare Technologies, LLC Research into integration between Lucity and NorthStar to look for optimizations 1,950.00$ 9/11/2025
Facilities and Fleet Management Blue Skies Landscape & Design LLC
Enter into contract with Blue Skies Landscape and Design LLC for pond maintenance services. Services
performed at the Operations Center for $3,120 per year and at the Human Services building and Event Center
for $6,144 per year with a one-time clean-up fee of $1600 for the Operations Center.10,864.00$ 9/11/2025
Union County Water - Water & Wastewater Bio-Nomic Services, Inc.249.5 Feet of Manhole Rehab costing $49,302.50.49,302.50$ 9/11/2025
Facilities and Fleet Management Terracon Consultants, Inc.
Terracon will provide field exploration, laboratory testing, and engineering for the UC Solid Waste Operation
Center new building project.8,900.00$ 9/12/2025
911 Communications DAVENPORT GROUP Radio Technician Laptops 5,878.00$ 9/15/2025
Union County Information Technology ESCAPE VELOCITY HOLDINGS, INC.BeyondTrust PRA Renewal 16,476.03$ 9/15/2025
Union County Water - Water & Wastewater NET TECH INTEGRATION LLC NET TECH, $19,930, FORTIGATE FIREWALLS 19,930.00$ 9/15/2025
Union County Solid Waste SETCO INC Setco Tires, $27,666.04, Solid tires for CAT938M 27,666.04$ 9/15/2025
Union County Water - Water & Wastewater Univar Solutions USA Inc.Contract for Ortho-Polyphosphate for the Yadkin River Water Treatment Plant.40,000.00$ 9/15/2025
512
Contract Report
July - September 2025
Union County Water - Water & Wastewater Waterguard, Inc.Renew contract for purchase of Sodium Hypochlorite for the Yadkin River Water Treatment Plant.60,000.00$ 9/15/2025
Union County Water - Business Operations VERIZON WIRELESS VERIZON, $10,349.76, IPAD 10TH GEN 10,349.76$ 9/16/2025
Facilities and Fleet Management Tecta America Carolinas LLC
Enter into contract with Tecta America Carolinas LLC for roofing preventative maintenance on multiple
buildings for an annual total of $12,000.00.12,000.00$ 9/16/2025
Tax Administration - Revenue Invoice Cloud, Inc.First one-year renewal option- original contact #7837 500.00$ 9/17/2025
Facilities and Fleet Management Anticimex Carolinas, LLC
Amend contract #7772 and add pest control services at the Yadkin WTP. Initial amount $550 and monthly fee
of $250.00.3,800.00$ 9/17/2025
Sheriff's Office Town of Wingate
Contract with the Town of Wingate for Law Enforcement Services.
Four (4) Full-Time Deputy SheriƯ Positions.
Second Quarter Implementation total cost for FY2026
Town of Wingate: $392,356.09
Union County: $43,595.12
Yearly Cost for Contract
Town of Wingate: $523,141.45
Union County: $58,126.83
Total Contract Cost will be ongoing, left total cost at $0.00 1.00$ 9/18/2025
Facilities and Fleet Management DAIKIN APPLIED AMERICAS INC.MAIN LIBRARY CONDENSING COILS REPLACEMENT 7,650.00$ 9/18/2025
Union County Solid Waste GREEN RESOURCE LLC Green Resource, $10,473, Hydroseed material 10,473.00$ 9/18/2025
Cooperative Extension CROSS TECHNOLOGIES INC Moisture Analyzer for Wheat 4,676.00$ 9/19/2025
Sheriff's Office WEST CHATHAM WARNING DEVICES INC CSI TAHOES UPFIT EQUIPMENT 5,020.00$ 9/19/2025
Sheriff's Office DANA SAFETY SUPPLY TAHOE PARTS LAST 3 2024-2025 5,994.12$ 9/19/2025
Board of Elections EPIGNOSIS LLC Online learning management system 6,464.80$ 9/19/2025
Board of Elections HART INTERCIVIC INC Paper ballots for municipal elections 13,969.50$ 9/19/2025
Facilities and Fleet Management LAWRENCE COMPANIES LLC TREE REMOVAL AT CHURCH AND HAYNES ST INTERSECTION 7,921.16$ 9/22/2025
Facilities and Fleet Management REI ENGINEERS INC HUMAN SERVICES MOISTURE INTRUSION ON 3RD FLOOR 11,260.00$ 9/22/2025
Union County Water - Business Operations IRTH SOLUTIONS LLC IRTH, $18207, UTILISPHERE SUBSCRIPTION 18,207.00$ 9/22/2025
Union County Water - Business Operations APPLEONE INC APPLEONE, $23,000, SARA SCHOLTENS 23,000.00$ 9/22/2025
Union County Water - Water & Wastewater TROJAN TECHNOLOGIES CORP TROJAN, $29,936.41, LAMPS & ORINGS 29,936.41$ 9/22/2025
Union County Information Technology TEGO DATA SYSTEMS LLC InfusionPoints Renewal (Term:10/18/25-10/17/26)55,200.00$ 9/22/2025
Facilities and Fleet Management Little Diversified Architectural Consulting, Inc.
Architectural Services to complete an adaptive use study of the existing Jail and former Administrative
building.86,500.00$ 9/22/2025
Library Alliance for Children Union County Christmas Parade Entry for 2025.60.00$ 9/23/2025
Fire Services KNOX COMPANY KnoxDock™, 8600 KEY P ROGRAMMER & RECHARGER W/USB 3,846.00$ 9/23/2025
Facilities and Fleet Management SUMMIT TOPCO, LP REPAIRS TO ASSET 15-22 -DEDUCTIBLE 5,000.00$ 9/23/2025
Union County Water - Business Operations GOFORMZ, INC GOFORMZ, $5120, 12 MOS GF ADVANCED LICENSING 10EA 5,120.00$ 9/23/2025
Facilities and Fleet Management STEPHENS OFFICE SYSTEMS INC OFFICE PODS FOR PUBLIC COMMUNICATIONS 7,727.28$ 9/23/2025
Union County Water - Water & Wastewater EJ USA INC EAST JORDAN, $8130, 10 -COMPOSITE SEWER COVERS 8,130.00$ 9/23/2025
513
Contract Report
July - September 2025
Union County Water - Water & Wastewater PETE DUTY AND ASSOCIATES INC PETE DUTY, $9475, 2-GRINDER PUMPS 9,475.00$ 9/23/2025
Union County Water - Water & Wastewater BROOKS SALES INC BROOKS SALES, $59,148.54, EXCAVATOR 59,148.54$ 9/23/2025
Sheriff's Office LAWMEN'S DISTRIBUTION LLC BULK VESTS ORDER UCSO 82,845.99$ 9/23/2025
Fire Services KNOX COMPANY KnoxDock / Knox eLock Core 121,023.95$ 9/24/2025
Facilities and Fleet Management CDBM INC ZONE 2 TOUCHDOWN OFFICE HVAC 5,808.21$ 9/26/2025
Facilities and Fleet Management ALLISON FENCE CO INC CROOKED CREEK GATE OPERATOR 6,291.00$ 9/26/2025
Facilities and Fleet Management JAIME RODRIGUEZ FARMERS MARKET 1ST FLOOR RENOVATIONS 9,770.00$ 9/26/2025
Facilities and Fleet Management DRYS ENTERPRISE INC JUDICIAL CENTER ROLL UP DOOR 13,200.00$ 9/26/2025
Union County Water - Water & Wastewater Chemtrade Chemicals US LLC
Approve 3.74% price increase and renew contract for Ammonium Sulfate 40% and Aluminum Sulfate 48% for
the Yadkin River Water Treatment Plant from 10/18/2025 to 4/17/2026. This is the fifth and final renewal
under this contract.117,000.00$ 9/26/2025
Facilities and Fleet Management BAKER ROOFING COMPANY LLC PROGRESS BUILDING LEAKING WINDOW REPAIRS 5,280.00$ 9/30/2025
Human Resources The Benefit Company, Inc.Performance of mandatory Affordable Care Act reporting to the IRS for the 2025 calendar year.6,000.00$ 9/30/2025
County Attorney's Office West Publishing Corporation d/b/a Thomson Reuters
3-year contract for West Complete which provides automatic shipments of updates and supplements to the
print products, including but not limited to pocket parts, pamphlets, replacement volumes, or looseleaf
pages.9,818.64$ 9/30/2025
Finance CAVANAUGH MACDONALD CONSULTING LLC OPEB and LEOSSA Actuarial Reports 13,370.00$ 9/30/2025
Human Services - Public Health PFIZER INC BLANKET PO FOR VACCINES 15,000.00$ 9/30/2025
Human Services - Public Health GLAXOSMITHKLINE PHARMACEUTICALS BLANKET PO FOR VACCINES 15,000.00$ 9/30/2025
Friedman's Premiere DBA iPromo (Big Union County)$13,857.79
Unifirst Corporation $17,039.51
Fixed Price Term Agreement Spend
514
Union County, NC
Staff Report
Union County Government
Center
500 North Main Street
Monroe, North Carolina
www.unioncountync.gov
File #:25-646 Agenda Date:10/20/2025
TITLE:..title
Wastewater Treatment Capacity - Monthly Update
INFORMATION CONTACT:
John Shutak, Union County Water, Engineering Director, 704-283-3651
ACTION REQUESTED:
None - Information Only.
PRIOR BOARD ACTIONS:
None.
BACKGROUND:
Union County Water is closely monitoring the wastewater treatment capacities at our Water
Reclamation Facilities. Permitting Capacity is evaluated using the Actual Plant Flows plus the
Permitted/Obligated Flows (unconnected). Union County Water was asked to provide regular
updates. Plant flow information through September 2025 is summarized in the attached table.
Twelve Mile Creek
·Percent of Actual Flows = 70.0%
·Percent of Actual + Permitted Flows = 89.1%
·Actual Flows (MGD)= 5.253
·Actual + Permitted Obligated Flows (MGD)= 6.682
Crooked Creek
·Percent of Actual Flows = 59.4%
·Percent of Actual + Permitted Flows = 88.7%
·Actual Flows (MGD)= 1.129
·Actual + Permitted Obligated Flows (MGD)= 1.686
Olde Sycamore
·Percent of Actual Flows = 26.0%
·Percent of Actual + Permitted Flows = 26.0%
·Actual Flows (MGD)= 0.039
·Actual + Permitted Obligated Flows (MGD)= 0.039
Tallwood
·Percent of Actual Flows = 44.0%
·Percent of Actual + Permitted Flows = 44.0%
·Actual Flows (MGD)= 0.022
·Actual + Permitted Obligated Flows (MGD)= 0.022
Union County, NC Printed on 10/7/2025Page 1 of 2
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File #:25-646 Agenda Date:10/20/2025
Grassy Branch
·Percent of Actual Flows = 86.0%
·Percent of Actual + Permitted Flows = 88.0%
·Actual Flows (MGD)= 0.043
·Actual + Permitted Obligated Flows (MGD)= 0.044
In addition to the wastewater treatment capacities, flow volumes associated with development
projects that are in the planning and review process within the Twelve Mile Creek and Crooked Creek
WRF service areas are provided for information as well. Development flow volumes through
September 2025 are summarized in the attached tables.
FINANCIAL IMPACT:
None.
Union County, NC Printed on 10/7/2025Page 2 of 2
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Water Reclamation Facility Flows
WRF
Permitted
Capacity
(MGD)
Actual
Average
Daily Flow1
(MGD)
Percent
of Actual
Flow
Used
Actual +
Permitted
Obligated
Flows (MGD)
Percent of
Permitted
Flow Used
Actual
Rainfall
(in)
Twelve Mile Creek 7.5 5.253 70.0% 6.682 89.1% 0.4
Crooked Creek 1.9 1.129 59.4% 1.686 88.7% 1.0
Olde Sycamore 0.15 0.039 26.0% 0.039 26.0% 1.3
Tallwood 0.05 0.022 44.0% 0.022 44.0% 1.6
Grassy Branch 0.05 0.043 86.0% 0.044 88.0% 1.7
1Based on a 12-month rolling average.
Development Flows
12-Mile Creek WRF
Backlog Type Number of Projects Requested Flow (MGD)
Approved – Permit Submittal Pending 3 0.143
Engineering Plan Review 15 0.523
Sketch Plan Review 12 0.557
Totals 30 1.223
Crooked Creek WRF
Backlog Type Number of Projects Requested Flow (MGD)
Approved – Permit Submittal Pending 4 0.078
Engineering Plan Review 5 0.197
Sketch Plan Review 6 0.120
Totals 15 0.395
517
Union County, NC
Staff Report
Union County Government
Center
500 North Main Street
Monroe, North Carolina
www.unioncountync.gov
File #:25-626 Agenda Date:10/20/2025
TITLE:..title
Consider a Step 4 Economic Development Incentive Grant to McGee Corporation (Project Canopy)
INFORMATION CONTACT:
Ron Mahle, Economic Development, Director, 980-476-5279
ACTION REQUESTED:
1) Award a Step 4 Economic Development Incentive Grant in an amount not to exceed $696,000
over a 5-year period and 2) authorize the County Manager to a) negotiate and execute an agreement
substantially consistent with this agenda item, b) exercise any renewal or extension term options set
forth in the Agreement, and c) terminate the Agreement if deemed in the best interest of the County,
each in the County Manager's discretion.
PRIOR BOARD ACTIONS:
October 20, 2025, Regular Meeting, Agenda Item # 25-624 - Public Hearing Conducted.
BACKGROUND:
The Union County Economic Development Department started conversations with McGee
Corporation under codename Project Canopy in late 2024 about the potential relocation of their
manufacturing operation from Stallings, North Carolina, to a 60-acre parcel located off Goldmine
Road. The company is considering the purchase of 60-acres, the construction of a 366,000 square
foot manufacturing facility, and the purchase and installation of new production equipment. Total
capital investment is approximately $40,000,000.
McGee Corporation is a fourth-generation existing manufacturer located in Stallings, North Carolina.
The company is an industry leader in the production of steel-frame canopy systems used at fueling
stations and other custom architectural applications. Current employment at McGee Corporation is
163 people earning an average annual salary of $63,000.
Due to exceptional growth in their business, they have outgrown the capacity at their current location
and are searching for a site which will accommodate future growth.
Based on the anticipated capital investment, it is proposed that the Board award a STEP 4 Economic
Development Incentive Grant in an amount-not-to-exceed $696,000 paid over a 5-year period
beginning in FY 2028. The value of the incentive grant will be based upon appraised value each year
as appraised by the Union County Tax Administration Office. This grant is based on the company’s
projected investment of approximately $40,000,000 in land, new building construction, and purchase
and installation of new manufacturing equipment over the grant period, but not less than $2,000,000.
Based on its projected investment in Union County, the current tax rate, and assuming a consistent
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File #:25-626 Agenda Date:10/20/2025
assessed value with no depreciation, the company will pay estimated ad valorem taxes on the new
taxable investment in the amount of $868,400 over the grant period. Actual tax revenue for the
County will be based on the assessed value of the investment each year by the Union County Tax
Administration Office and will vary each year depending upon the depreciation schedule and the
timing of the investments.
The grant is also contingent upon the company retaining its current number of employees located
within Union County.
FINANCIAL IMPACT:
The project, if brought to Union County, would have an economic development incentive grant in an
amount-not-to-exceed $696,000 but would generate approximately $868,400 in ad valorum taxes
over the 5-year grant period. Actual tax revenue for the County will be based on the assessed value
of the investment each year by the Union County Tax Administration Office and will vary each year
depending upon the depreciation schedule and the timing of the investments.
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Union County, NC
Staff Report
Union County Government
Center
500 North Main Street
Monroe, North Carolina
www.unioncountync.gov
File #:25-642 Agenda Date:10/20/2025
TITLE:..title
Union County Land Preservation & Easement Program Update
INFORMATION CONTACT:
Alan Aldridge, Soil & Water Conservation, District Director, 704-233-1621 Ext. 3
ACTION REQUESTED:
1) Approve the allocation of funds, from Budget 10115410-5630-11115, for the purchase of
Easements 90-2026-001, 90-2026-002, 90-2026-003, and 90-2026-004 in the amount of $854,180;
and 2) accept Easements 90-2026-001, 90-2026-002, 90-2026-003, and 90-2026-004 into the Union
County Land Preservation & Easement Program.
PRIOR BOARD ACTIONS:
1) November 6, 2023, Regular Meeting, Agenda Item # 23-755 - a) Approved the Union County Soil
& Water Conservation District to purchase and hold conservation easements for land preservation in
Union County; and b) adopted Budget Amendment # 14 appropriating the County’s General Fund
unassigned fund balance in the amount of $969,006 to be used for the purchase of conservation
easements and associated transaction costs.
2) February 3, 2025, Regular Meeting, Agenda Item # 25-047 - a) Adopted the Union County land
preservation & easement ordinance; b) approved the allocation of funds from BUDGET 10115410-
5630-11115 for the purchase of Easement 90-2025-001 for the amount of $721,575.00; c) accepted
Easement 90-2025-001 into the Union County Land Preservation & Easement Program; d) accepted
the donation of Easement 90-2025-002 into the Union County Land Preservation & Easement
Program; e) adopted Budget Amendment 22 appropriating the County’s General Fund unassigned
fund balance in the amount of $885,991.90 to be used for the purchase of conservation easements
and associated transaction costs.
BACKGROUND:
Union County is currently ranked 13th in the United States for open space land loss on a per year
basis according to the latest research published by the American Farmland Trust. Over the last four
fiscal years, Union County has lost 3,191 acres (FY2020), 2,892 acres (FY2021), 3,625 acres
(FY2022), and 2,419 acres (FY2023) from parcels enrolled in present use value (PUV) alone.
According to the 2022 NCDA Census of Agriculture, Union County has 186,626 acres of farmland. In
the Business-as-Usual scenario published by NC FarmLink, Union County is slated to lose 51,500
acres of current farmland by 2040. This scenario would represent approximately a 28% reduction in
total farmland acreage in Union County by 2040.
The Union County Land Preservation & Easement program allows landowners to sell and/or donate
the development rights to their property while still obtaining ownership of the land. By selling and/or
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File #:25-642 Agenda Date:10/20/2025
donating the development rights, open space and agricultural land will be preserved through
conservation easements held by the Union County Soil & Water Conservation District. The District
will be responsible for monitoring and inspections of easements to maintain compliance within the
program. The use of present use value (PUV) rollback funds will provide financial resources to the
Union County Soil & Water Conservation District for the easement purchases and all associated
transaction costs. These funds are held in a Union County budget line and all non-encumbered funds
will rollover at the end of each fiscal year.
FINANCIAL IMPACT:
$854,180 for the purchase of Easements 90-2026-001, 90-2026-002, 90-2026-003, and 90-2026-
004.
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